The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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| COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
| VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| ACELRX PHARMS INC | COM | 00444T950 | 26 | 220 | SH | Put | DFND | 1 | 0 | 220 | 0 |
| ADAMIS PHARMACEUTICALS | COM | 00547W208 | 32 | 88,210 | SH | DFND | 1 | 0 | 88,210 | 0 | |
| AKERS BIOSCIENCES INC | COM | 00973E409 | 118 | 55,400 | SH | DFND | 1 | 0 | 55,400 | 0 | |
| ALTIMMUNE INC | COM | 02155H950 | 171 | 534 | SH | Put | DFND | 1 | 0 | 534 | 0 |
| AMARIN CORP PLC | ADR | 023111206 | 600 | 150,000 | SH | DFND | 1 | 0 | 150,000 | 0 | |
| AMARIN CORP PLC | ADR | 023111906 | 75 | 188 | SH | Call | DFND | 1 | 0 | 188 | 0 |
| APPLIED DNA SCIENCES INC | COM | 03815U300 | 106 | 26,397 | SH | DFND | 1 | 0 | 26,397 | 0 | |
| ASTROTECH CORP NEW | COM | 046484200 | 259 | 99,667 | SH | DFND | 1 | 0 | 99,667 | 0 | |
| ACTINIUM PHARMACEUTICALS | COM | 00507W107 | 121 | 621,840 | SH | DFND | 1 | 0 | 621,840 | 0 | |
| AURINIA PHARMACEUTICALS | COM | 05156V102 | 617 | 42,500 | SH | DFND | 1 | 0 | 42,500 | 0 | |
| AURINIA PHARMACEUTICALS | COM | 05156V902 | 448 | 309 | SH | Call | DFND | 1 | 0 | 309 | 0 |
| AVEO PHARMACEUTICALS INC | COM | 053588307 | 406 | 112,155 | SH | DFND | 1 | 0 | 112,155 | 0 | |
| AVEO PHARMACEUTICALS INC | COM | 053588907 | 1,531 | 4,229 | SH | Call | DFND | 1 | 0 | 4,229 | 0 |
| AVEO PHARMACEUTICALS INC | COM | 053588957 | 2,410 | 10,248 | SH | Put | DFND | 1 | 0 | 10,248 | 0 |
| AVINGER INC | COM | 053734604 | 236 | 568,400 | SH | DFND | 1 | 0 | 568,400 | 0 | |
| BRAINSTORM CELL INC | COM | 10501E951 | 1,875 | 4,041 | SH | Put | DFND | 1 | 0 | 4,041 | 0 |
| BELLICUM PHARMACEUTICALS | COM | 079481404 | 89 | 18,927 | SH | DFND | 1 | 0 | 18,927 | 0 | |
| BRIDGELINE DIGITAL INC | COM | 10807Q700 | 73 | 110,000 | SH | DFND | 1 | 0 | 110,000 | 0 | |
| BENITEC BIOPHARMA LTD | ADS | 082053406 | 85 | 21,592 | SH | DFND | 1 | 0 | 21,592 | 0 | |
| BIO PATH HLDGS INC | COM | 09057N300 | 694 | 154,290 | SH | DFND | 1 | 0 | 154,290 | 0 | |
| BAUDAX BIO INC | COM | 07160F107 | 927 | 373,977 | SH | DFND | 1 | 0 | 373,977 | 0 | |
| CANNABICS | COM | 13764M100 | 1 | 7,286 | SH | DFND | 1 | 0 | 7,286 | 0 | |
| COCRYSTAL PHARMA INC | COM | 19188J300 | 278 | 392,206 | SH | DFND | 1 | 0 | 392,206 | 0 | |
| CITIUS PHARMACEUTICALS | COM | 17322U207 | 813 | 1,354,275 | SH | DFND | 1 | 0 | 1,354,275 | 0 | |
| CEL-SCI CORP | COM | 150837607 | 635 | 55,035 | SH | DFND | 1 | 0 | 55,035 | 0 | |
| CEL-SCI CORP | COM | 150837957 | 2,599 | 2,252 | SH | Put | DFND | 1 | 0 | 2,252 | 0 |
| AURIS MEDICAL HOLDING | COM | G07025201 | 72 | 89,451 | SH | DFND | 1 | 0 | 89,451 | 0 | |
| ENERGY FOCUS INC | COM | 29268T300 | 88 | 267,298 | SH | DFND | 1 | 0 | 267,298 | 0 | |
| ENLIVEX THERAPEUTICS LTD | COM | M4130Y106 | 2,086 | 445,673 | SH | DFND | 1 | 0 | 445,673 | 0 | |
| FIBROGEN INC | COM | 31572Q958 | 1,254 | 361 | SH | Put | DFND | 1 | 0 | 361 | 0 |
| GILEAD SCIENCES INC | COM | 375558903 | 2,764 | 2,166 | SH | Call | DFND | 1 | 0 | 2,166 | 0 |
| SPDR GOLD TRUST | SHS | 78463V107 | 2,655 | 17,934 | SH | DFND | 1 | 0 | 17,934 | 0 | |
| SPDR GOLD TRUST | SHS | 78463V907 | 14,420 | 974 | SH | Call | DFND | 1 | 0 | 974 | 0 |
| SPDR GOLD TRUST | SHS | 78463V957 | 20,668 | 1,396 | SH | Put | DFND | 1 | 0 | 1,396 | 0 |
| GENOCEA BIOSCIENCES INC | COM | 372427401 | 757 | 440,274 | SH | DFND | 1 | 0 | 440,274 | 0 | |
| GENOCEA BIOSCIENCES INC | COM | 372427901 | 207 | 1,201 | SH | Call | DFND | 1 | 0 | 1,201 | 0 |
| GENPREX INC | COM | 372446954 | 107 | 441 | SH | Put | DFND | 1 | 0 | 441 | 0 |
| HEPION PHARMACEUTICALS | COM | 426897104 | 128 | 72,575 | SH | DFND | 1 | 0 | 72,575 | 0 | |
| HELIUS MEDICAL | COM | 42328V504 | 246 | 746,316 | SH | DFND | 1 | 0 | 746,316 | 0 | |
| ISHARES NASDAQ BIOTECH | ETF | 464287906 | 2,036 | 189 | SH | Call | DFND | 1 | 0 | 189 | 0 |
| ISHARES NASDAQ BIOTECH | ETF | 464287956 | 6,917 | 642 | SH | Put | DFND | 1 | 0 | 642 | 0 |
| ISHARES RUSSELL 2000 | ETF | 464287655 | 675 | 5,900 | SH | DFND | 1 | 0 | 5,900 | 0 | |
| ISHARES RUSSELL 2000 | ETF | 464287905 | 4,407 | 385 | SH | Call | DFND | 1 | 0 | 385 | 0 |
| ISHARES RUSSELL 2000 | ETF | 464287955 | 23,556 | 2,058 | SH | Put | DFND | 1 | 0 | 2,058 | 0 |
| MEDIGUS LTD | *W | 58471G128 | 22 | 1,007,444 | SH | DFND | 1 | 0 | 1,007,444 | 0 | |
| MYOMO INC | COM | 62857J201 | 184 | 51,588 | SH | DFND | 1 | 0 | 51,588 | 0 | |
| NABRIVA THERAPEUTICS PLC | SHS | G63637105 | 211 | 367,613 | SH | DFND | 1 | 0 | 367,613 | 0 | |
| NOVAN INC | COM | 66988N106 | 2,108 | 4,438,159 | SH | DFND | 1 | 0 | 4,438,159 | 0 | |
| INSPIREMD INC | COM | 45779A853 | 7 | 11,036 | SH | DFND | 1 | 0 | 11,036 | 0 | |
| INTEC PHARMA LTD | COM | M53644906 | 3 | 175 | SH | Call | DFND | 1 | 0 | 175 | 0 |
| NEUROMETRIX INC | COM | 641255807 | 93 | 82,250 | SH | DFND | 1 | 0 | 82,250 | 0 | |
| INVIVO THERAPEUTICS | COM | 46186M506 | 55 | 32,660 | SH | DFND | 1 | 0 | 32,660 | 0 | |
| OBALON THERAPEUTICS INC | COM | 67424L209 | 124 | 172,389 | SH | DFND | 1 | 0 | 172,389 | 0 | |
| ODONATE THERAPEUTICS INC | COM | 676079106 | 1,353 | 48,988 | SH | DFND | 1 | 0 | 48,988 | 0 | |
| ODONATE THERAPEUTICS INC | COM | 676079956 | 1,229 | 445 | SH | Put | DFND | 1 | 0 | 445 | 0 |
| ORAMED PHARMS INC | COM | 68403P953 | 550 | 1,809 | SH | Put | DFND | 1 | 0 | 1,809 | 0 |
| OUTLOOK THERAPEUTICS INC | COM | 69012T206 | 1,943 | 3,232,342 | SH | DFND | 1 | 0 | 3,232,342 | 0 | |
| PAVMED INC | *W | 70387R122 | 962 | 1,035,396 | SH | DFND | 1 | 0 | 1,035,396 | 0 | |
| PHASEBIO PHARMACEUTICALS | COM | 717224109 | 356 | 107,577 | SH | DFND | 1 | 0 | 107,577 | 0 | |
| PHIO PHARMACEUTICALS | COM | 71880W303 | 452 | 255,194 | SH | DFND | 1 | 0 | 255,194 | 0 | |
| PLURISTEM THERAPEUTICS | COM | 72940R300 | 705 | 192,049 | SH | DFND | 1 | 0 | 192,049 | 0 | |
| PLURISTEM THERAPEUTICS | COM | 72940R950 | 768 | 2,093 | SH | Put | DFND | 1 | 0 | 2,093 | 0 |
| POLARITYTE INC | COM | 731094108 | 377 | 349,358 | SH | DFND | 1 | 0 | 349,358 | 0 | |
| REEBONZ HOLDING LTD | COM | G7457R122 | 10 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
| REWALK ROBOTICS LTD | COM | M8216Q200 | 99 | 229,699 | SH | DFND | 1 | 0 | 229,699 | 0 | |
| SEELOS THERAPEUTICS INC | COM | 81577F109 | 249 | 508,000 | SH | DFND | 1 | 0 | 508,000 | 0 | |
| SEANERGY MARITIME | *W | Y73760152 | 45 | 897,499 | SH | DFND | 1 | 0 | 897,499 | 0 | |
| SINTX TECHNOLOGIES INC | COM | 829392307 | 7 | 18,272 | SH | DFND | 1 | 0 | 18,272 | 0 | |
| SENECA BIOPHARMA INC | COM | 81689B103 | 76 | 115,311 | SH | DFND | 1 | 0 | 115,311 | 0 | |
| SPDR S&P 500 ETF TR | ETF | 78462F903 | 8,609 | 334 | SH | Call | DFND | 1 | 0 | 334 | 0 |
| SPDR S&P 500 ETF TR | ETF | 78462F953 | 38,663 | 1,500 | SH | Put | DFND | 1 | 0 | 1,500 | 0 |
| SORRENTO THERAPEUTICS | COM | 83587F202 | 529 | 287,386 | SH | DFND | 1 | 0 | 287,386 | 0 | |
| SORRENTO THERAPEUTICS | COM | 83587F952 | 289 | 1,569 | SH | Put | DFND | 1 | 0 | 1,569 | 0 |
| SYNTHETIC BIOLOGICS INC | COM | 87164U201 | 25 | 76,896 | SH | DFND | 1 | 0 | 76,896 | 0 | |
| TENAX THERAPEUTICS INC | COM | 88032L209 | 19 | 32,842 | SH | DFND | 1 | 0 | 32,842 | 0 | |
| PARETEUM CORP | COM | 69946T207 | 236 | 572,271 | SH | DFND | 1 | 0 | 572,271 | 0 | |
| PARETEUM CORP | COM | 69946T957 | 21 | 572 | SH | Put | DFND | 1 | 0 | 572 | 0 |
| TRILLIUM THERAPEUTICS | COM | 89620X506 | 1,163 | 287,906 | SH | DFND | 1 | 0 | 287,906 | 0 | |
| TRILLIUM THERAPEUTICS | COM | 89620X906 | 404 | 1,000 | SH | Call | DFND | 1 | 0 | 1,000 | 0 |
| TRILLIUM THERAPEUTICS | COM | 89620X956 | 182 | 451 | SH | Put | DFND | 1 | 0 | 451 | 0 |
| TRANSENTERIX INC | COM | 89366M300 | 619 | 1,760,262 | SH | DFND | 1 | 0 | 1,760,262 | 0 | |
| TETRAPHASE | COM | 88165N204 | 854 | 667,000 | SH | DFND | 1 | 0 | 667,000 | 0 | |
| BARCLAYS IPATH | ETF | 06745R903 | 1,156 | 250 | SH | Call | DFND | 1 | 0 | 250 | 0 |
| SPDR SERIES TRUST | ETF | 78464A950 | 13,699 | 1,769 | SH | Put | DFND | 1 | 0 | 1,769 | 0 |
| XENETIC BIOSCIENCES INC | COM | 984015503 | 45 | 60,523 | SH | DFND | 1 | 0 | 60,523 | 0 | |
| SECTOR HEALTHCARE | ETF | 81369Y209 | 3,048 | 34,410 | SH | DFND | 1 | 0 | 34,410 | 0 | |
| SECTOR HEALTHCARE | ETF | 81369Y909 | 8,858 | 1,000 | SH | Call | DFND | 1 | 0 | 1,000 | 0 |
| SECTOR HEALTHCARE | ETF | 81369Y959 | 51,846 | 5,853 | SH | Put | DFND | 1 | 0 | 5,853 | 0 |
| ZOSANO PHARMA CORP | COM | 98979H202 | 114 | 203,536 | SH | DFND | 1 | 0 | 203,536 | 0 | |