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 |
| AEGERION PHARMACEUTICALS INC | COM | 00767E102 | 7,790 | 372,000 | SH | DFND | 1 | 372,000 | 0 | 0 | |
| ANTARES PHARMA INC | COM | 036642106 | 6,682 | 2,600,000 | SH | DFND | 1 | 2,600,000 | 0 | 0 | |
| BIOSPECIFICS TECHNOLOGIES CO | COM | 090931106 | 4,055 | 105,000 | SH | DFND | 1 | 105,000 | 0 | 0 | |
| BOINGO WIRELESS INC | COM | 09739C102 | 8,207 | 1,070,000 | SH | DFND | 1 | 1,070,000 | 0 | 0 | |
| CENVEO CORP | NOTE 7.000% 5/1 | 15671BAJ0 | 3,726 | 3,752 | PRN | DFND | 1 | 0 | 0 | 0 | |
| DURECT CORP | COM | 266605104 | 3,038 | 3,849,266 | SH | DFND | 1 | 3,849,266 | 0 | 0 | |
| EASTMAN KODAK CO | COM NEW | 277461406 | 10,204 | 470,000 | SH | DFND | 1 | 470,000 | 0 | 0 | |
| EXELIXIS INC | NOTE 4.250% 8/1 | 30161QAC8 | 3,798 | 6,678 | PRN | DFND | 1 | 0 | 0 | 0 | |
| FEMALE HEALTH CO | COM | 314462102 | 2,642 | 674,000 | SH | DFND | 1 | 674,000 | 0 | 0 | |
| HYPERION THERAPEUTICS INC | COM | 44915N101 | 10,416 | 434,000 | SH | DFND | 1 | 434,000 | 0 | 0 | |
| IAC INTERACTIVECORP | COM PAR $.001 | 44919P508 | 7,781 | 128,000 | SH | DFND | 1 | 128,000 | 0 | 0 | |
| IGNYTA INC | COM | 451731103 | 10,365 | 1,513,100 | SH | DFND | 1 | 1,513,100 | 0 | 0 | |
| KINDRED HEALTHCARE INC | COM | 494580103 | 4,254 | 234,000 | SH | DFND | 1 | 234,000 | 0 | 0 | |
| KONGZHONG CORP | SPONSORED ADR | 50047P104 | 6,476 | 1,197,000 | SH | DFND | 1 | 1,197,000 | 0 | 0 | |
| LEAPFROG ENTERPRISES INC | CL A | 52186N106 | 7,080 | 1,500,000 | SH | DFND | 1 | 1,500,000 | 0 | 0 | |
| PEP BOYS MANNY MOE & JACK | COM | 713278109 | 9,113 | 928,000 | SH | DFND | 1 | 928,000 | 0 | 0 | |
| QLOGIC CORP | COM | 747277101 | 8,551 | 642,000 | SH | DFND | 1 | 642,000 | 0 | 0 | |
| RAPTOR PHARMACEUTICAL CORP | COM | 75382F106 | 8,416 | 800,000 | SH | DFND | 1 | 800,000 | 0 | 0 | |
| RETROPHIN INC | COM | 761299106 | 427 | 34,874 | SH | DFND | 1 | 34,874 | 0 | 0 | |
| SODASTREAM INTERNATIONAL LTD | USD SHS | M9068E105 | 8,652 | 430,000 | SH | DFND | 1 | 430,000 | 0 | 0 | |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 10,277 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| SPECTRUM PHARMACEUTICALS INC | COM | 84763A108 | 14,220 | 2,052,000 | SH | DFND | 1 | 2,052,000 | 0 | 0 | |
| TIME INC NEW | COM | 887228104 | 7,629 | 310,000 | SH | DFND | 1 | 310,000 | 0 | 0 | |
| UNI PIXEL INC | COM NEW | 904572203 | 1,001 | 176,000 | SH | DFND | 1 | 176,000 | 0 | 0 | |
| UNITED ONLINE INC | COM NEW | 911268209 | 5,093 | 350,000 | SH | DFND | 1 | 350,000 | 0 | 0 | |
| URBAN OUTFITTERS INC | COM | 917047102 | 6,042 | 172,000 | SH | DFND | 1 | 172,000 | 0 | 0 | |
| VANDA PHARMACEUTICALS INC | COM | 921659108 | 10,425 | 728,000 | SH | DFND | 1 | 728,000 | 0 | 0 | |
| VOCERA COMMUNICATIONS INC | COM | 92857F107 | 8,857 | 850,000 | SH | DFND | 1 | 850,000 | 0 | 0 | |
| ZOGENIX INC | COM | 98978L105 | 12,878 | 9,400,000 | SH | DFND | 1 | 9,400,000 | 0 | 0 | |