The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
|
||||||||||||||||
| 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 |
| ADMA BIOLOGICS INC | COM | 000899104 | 27,720 | 4,463,829 | SH | DFND | 1 | 4,463,829 | 0 | 0 | |
| ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 26,595 | 1,328,424 | SH | DFND | 1 | 1,328,424 | 0 | 0 | |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 5,444 | 62,200 | SH | DFND | 1 | 62,200 | 0 | 0 | |
| ALPHATEC HOLDINGS INC | COM NEW | 02081G201 | 2,257 | 669,812 | SH | DFND | 1 | 669,812 | 0 | 0 | |
| AMARIN CORP PLC | SPONS ADR NEW | 023111206 | 23,673 | 1,455,000 | SH | Call | DFND | 1 | 1,455,000 | 0 | 0 |
| ANGIODYNAMICS INC | COM | 03475V101 | 6,284 | 289,035 | SH | DFND | 1 | 289,035 | 0 | 0 | |
| ANTARES PHARMA INC | COM | 036642106 | 15,534 | 4,623,247 | SH | DFND | 1 | 4,623,247 | 0 | 0 | |
| ARATANA THERAPEUTICS INC | COM | 03874P101 | 23,846 | 4,083,135 | SH | DFND | 1 | 4,083,135 | 0 | 0 | |
| AVADEL PHARMACEUTICALS PLC | SPONSORED ADR | 05337M104 | 12,260 | 2,792,773 | SH | DFND | 1 | 2,792,773 | 0 | 0 | |
| BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 12,250 | 4,375,066 | SH | DFND | 1 | 4,375,066 | 0 | 0 | |
| CATALYST PHARMACEUTICALS INC | COM | 14888U101 | 19,415 | 5,136,264 | SH | DFND | 1 | 5,136,264 | 0 | 0 | |
| CORIUM INTL INC | COM | 21887L107 | 22,525 | 2,368,557 | SH | DFND | 1 | 2,368,557 | 0 | 0 | |
| DEXCOM INC | COM | 252131107 | 3,462 | 24,200 | SH | DFND | 1 | 24,200 | 0 | 0 | |
| GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 5,700 | 150,000 | SH | Call | DFND | 1 | 150,000 | 0 | 0 |
| HERON THERAPEUTICS INC | COM | 427746102 | 9,217 | 291,213 | SH | DFND | 1 | 291,213 | 0 | 0 | |
| HERON THERAPEUTICS INC | COM | 427746102 | 3,165 | 100,000 | SH | Call | DFND | 1 | 100,000 | 0 | 0 |
| IDERA PHARMACEUTICALS INC | COM PAR | 45168K405 | 5,607 | 629,340 | SH | DFND | 1 | 629,340 | 0 | 0 | |
| INTEGRA LIFESCIENCES HLDGS C | COM NEW | 457985208 | 12,948 | 196,572 | SH | DFND | 1 | 196,572 | 0 | 0 | |
| INTERSECT ENT INC | COM | 46071F103 | 6,733 | 234,200 | SH | DFND | 1 | 234,200 | 0 | 0 | |
| IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 55,062 | 4,894,361 | SH | DFND | 1 | 4,894,361 | 0 | 0 | |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 67,420 | 400,000 | SH | Put | DFND | 1 | 400,000 | 0 | 0 |
| KALA PHARMACEUTICALS INC | COM | 483119103 | 3,416 | 346,083 | SH | DFND | 1 | 346,083 | 0 | 0 | |
| KALVISTA PHARMACEUTICALS INC | COM | 483497103 | 3,317 | 150,000 | SH | DFND | 1 | 150,000 | 0 | 0 | |
| LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | 41,347 | 2,053,991 | SH | DFND | 1 | 2,053,991 | 0 | 0 | |
| LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | 2,013 | 100,000 | SH | Call | DFND | 1 | 100,000 | 0 | 0 |
| MIRATI THERAPEUTICS INC | COM | 60468T105 | 16,846 | 357,672 | SH | DFND | 1 | 357,672 | 0 | 0 | |
| NANOSTRING TECHNOLOGIES INC | COM | 63009R109 | 15,156 | 850,000 | SH | DFND | 1 | 850,000 | 0 | 0 | |
| NOVELION THERAPEUTICS INC | COM NEW | 67001K202 | 5,768 | 1,948,554 | SH | DFND | 1 | 1,948,554 | 0 | 0 | |
| ONCOMED PHARMACEUTICALS INC | COM | 68234X102 | 424 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | |
| PACIFIC BIOSCIENCES CALIF IN | COM | 69404D108 | 13,487 | 2,493,021 | SH | DFND | 1 | 2,493,021 | 0 | 0 | |
| PERNIX THERAPEUTICS HLDGS IN | DBCV 4.250% 4/0 | 71426VAK4 | 3,375 | 15,000,000 | SH | DFND | 1 | 15,000,000 | 0 | 0 | |
| RECRO PHARMA INC | COM | 75629F109 | 14,561 | 2,048,025 | SH | DFND | 1 | 2,048,025 | 0 | 0 | |
| RETROPHIN INC | COM | 761299106 | 26,955 | 938,214 | SH | DFND | 1 | 938,214 | 0 | 0 | |
| SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 15,339 | 160,000 | SH | Put | DFND | 1 | 160,000 | 0 | 0 |
| SCYNEXIS INC | COM | 811292101 | 2,263 | 1,885,904 | SH | DFND | 1 | 1,885,904 | 0 | 0 | |
| SIERRA ONCOLOGY INC | COM | 82640U107 | 6,954 | 4,090,344 | SH | DFND | 1 | 4,090,344 | 0 | 0 | |
| STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 7,722 | 2,181,363 | SH | DFND | 1 | 2,181,363 | 0 | 0 | |
| TANDEM DIABETES CARE INC | COM NEW | 875372203 | 24,551 | 573,079 | SH | DFND | 1 | 573,079 | 0 | 0 | |
| TELIGENT INC NEW | COM | 87960W104 | 12,059 | 3,052,852 | SH | DFND | 1 | 3,052,852 | 0 | 0 | |
| TESARO INC | COM | 881569107 | 4,084 | 104,700 | SH | DFND | 1 | 104,700 | 0 | 0 | |
| TESARO INC | COM | 881569107 | 4,876 | 125,000 | SH | Call | DFND | 1 | 125,000 | 0 | 0 |
| VERICEL CORP | COM | 92346J108 | 1,876 | 132,600 | SH | DFND | 1 | 132,600 | 0 | 0 | |
| VIEWRAY INC | COM | 92672L107 | 2,340 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
| XENON PHARMACEUTICALS INC | COM | 98420N105 | 11,821 | 895,553 | SH | DFND | 1 | 895,553 | 0 | 0 | |
| ZOGENIX INC | COM NEW | 98978L204 | 32,632 | 657,898 | SH | DFND | 1 | 657,898 | 0 | 0 | |
| HORIZON PHARMA PLC | SHS | G4617B105 | 8,038 | 410,532 | SH | DFND | 1 | 410,532 | 0 | 0 | |
| LIVANOVA PLC | SHS | G5509L101 | 6,322 | 51,000 | SH | DFND | 1 | 51,000 | 0 | 0 | |
| QUOTIENT LTD | SHS | G73268107 | 6,075 | 804,700 | SH | DFND | 1 | 804,700 | 0 | 0 | |
| STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 12,431 | 2,563,096 | SH | DFND | 1 | 2,563,096 | 0 | 0 | |
| SOL GEL TECHNOLOGIES | SHS | M8694L103 | 6,358 | 847,700 | SH | DFND | 1 | 847,700 | 0 | 0 | |