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 |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 24,972 | 5,848,317 | SH | DFND | 5,848,317 | 0 | 0 | ||
| ALTA EQUIPMENT GROUP INC | *W EXP 02/14/202 | 02128L114 | 1,092 | 1,399,420 | SH | DFND | 1,399,420 | 0 | 0 | ||
| B. RILEY FINANCIAL INC | COM | 05580M108 | 1,453 | 78,882 | SH | DFND | 78,882 | 0 | 0 | ||
| BABCOCK & WILCOX ENTERPRIS I | COM | 05614L209 | 7,050 | 6,911,608 | SH | DFND | 6,911,608 | 0 | 0 | ||
| BENEFYTT TECHNOLOGIES INC | COM CL A | 08182C106 | 2,449 | 109,362 | SH | DFND | 109,362 | 0 | 0 | ||
| EXTREME NETWORKS INC | COM | 30226D106 | 4,178 | 1,352,100 | SH | DFND | 1,352,100 | 0 | 0 | ||
| FRANCHISE GROUP INC | COM | 35180X105 | 35,802 | 4,105,728 | SH | DFND | 4,105,728 | 0 | 0 | ||
| GREEN PLAINS INC | NOTE4.125% 9/0 | 393222AF1 | 8 | 12,000 | PRN | DFND | 12,000 | 0 | 0 | ||
| GULF ISLAND FABRICATION INC | COM | 402307102 | 1,299 | 433,026 | SH | DFND | 433,026 | 0 | 0 | ||
| HARTE-HANKS INC | COM | 416196202 | 102 | 65,000 | SH | DFND | 65,000 | 0 | 0 | ||
| HORIZON GLOBAL CORP | NOTE2.750% 7/0 | 44052WAA2 | 112 | 144,000 | PRN | DFND | 144,000 | 0 | 0 | ||
| INFINERA CORP | NOTE2.125% 9/0 | 45667GAC7 | 176 | 210,000 | PRN | DFND | 210,000 | 0 | 0 | ||
| INTEVAC INC | COM | 461148108 | 615 | 150,367 | SH | DFND | 150,367 | 0 | 0 | ||
| KVH INDS INC | COM | 482738101 | 118 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
| NATIONAL HOLDINGS CORP | COM NEW | 636375206 | 9,609 | 6,159,550 | SH | DFND | 6,159,550 | 0 | 0 | ||
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 2,103 | 722,688 | SH | DFND | 722,688 | 0 | 0 | ||
| 180 DEGREE CAP CORP | COM | 68235B109 | 1,652 | 1,216,354 | SH | DFND | 1,216,354 | 0 | 0 | ||
| POTBELLY CORP | COM | 73754Y100 | 2,456 | 794,750 | SH | DFND | 794,750 | 0 | 0 | ||
| QUANTUM CORP | COM NEW | 747906501 | 23,690 | 8,030,501 | SH | DFND | 8,030,501 | 0 | 0 | ||
| RTW RETAILWINDS INC | COM | 74980D100 | 148 | 705,546 | SH | DFND | 705,546 | 0 | 0 | ||
| RANGER ENERGY SVCS INC | COM CL A | 75282U104 | 1,491 | 367,163 | SH | DFND | 367,163 | 0 | 0 | ||
| REALNETWORKS INC | COM NEW | 75605L708 | 136 | 185,895 | SH | DFND | 185,895 | 0 | 0 | ||
| RED ROBIN GOURMET BURGERS IN | COM | 75689M101 | 1,589 | 186,447 | SH | DFND | 186,447 | 0 | 0 | ||
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 6,347 | 3,066,351 | SH | DFND | 3,066,351 | 0 | 0 | ||
| SELECT ENERGY SVCS INC | CL A COM | 81617J301 | 1,764 | 546,177 | SH | DFND | 546,177 | 0 | 0 | ||
| SONIM TECHNOLOGIES INC | COM | 83548F101 | 1,549 | 2,212,743 | SH | DFND | 2,212,743 | 0 | 0 | ||
| SPARK NETWORKS SE | SPONSORED ADR | 846517100 | 699 | 270,740 | SH | DFND | 270,740 | 0 | 0 | ||
| SPOK HLDGS INC | COM | 84863T106 | 5,208 | 487,189 | SH | DFND | 487,189 | 0 | 0 | ||
| TENARIS S A | SPONSORED ADS | 88031M109 | 180 | 14,921 | SH | DFND | 14,921 | 0 | 0 | ||
| WESTERN MIDSTREAM PARTNERS L | COM UNIT LP INT | 958669103 | 94 | 28,900 | SH | DFND | 28,900 | 0 | 0 | ||
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 8,137 | 2,199,070 | SH | DFND | 2,199,070 | 0 | 0 | ||