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 | 1,697 | 218,379 | SH | DFND | 1 | 218,379 | 0 | 0 | |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 43,745 | 5,629,938 | SH | DFND | 5,629,938 | 0 | 0 | ||
| ALTA EQUIPMENT GROUP INC | *W EXP 02/14/202 | 02128L114 | 529 | 505,045 | SH | DFND | 1 | 505,045 | 0 | 0 | |
| ALTA EQUIPMENT GROUP INC | *W EXP 02/14/202 | 02128L114 | 937 | 894,375 | SH | DFND | 894,375 | 0 | 0 | ||
| B. RILEY FINANCIAL INC | COM | 05580M108 | 3,834 | 176,187 | SH | DFND | 176,187 | 0 | 0 | ||
| B RILEY PRIN MERGER CORP II | UNIT 99/99/9999 | 05600U205 | 8,197 | 700,000 | SH | DFND | 700,000 | 0 | 0 | ||
| BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 4,569 | 2,003,886 | SH | DFND | 1 | 2,003,886 | 0 | 0 | |
| BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 17,813 | 7,812,572 | SH | DFND | 7,812,572 | 0 | 0 | ||
| BENEFYTT TECHNOLOGIES INC | COM CL A | 08182C106 | 2,238 | 109,362 | SH | DFND | 109,362 | 0 | 0 | ||
| FRANCHISE GROUP INC | COM | 35180X105 | 22,459 | 1,026,471 | SH | DFND | 1,026,471 | 0 | 0 | ||
| FRANCHISE GROUP INC | COM | 35180X105 | 77,039 | 3,520,991 | SH | DFND | 1 | 3,520,991 | 0 | 0 | |
| GULF ISLAND FABRICATION INC | COM | 402307102 | 1,329 | 433,026 | SH | DFND | 1 | 433,026 | 0 | 0 | |
| HARTE-HANKS INC | COM | 416196202 | 111 | 36,470 | SH | DFND | 1 | 36,470 | 0 | 0 | |
| HORIZON GLOBAL CORP | NOTE 2.750% 7/0 | 44052WAA2 | 84 | 125,000 | PRN | DFND | 1 | 125,000 | 0 | 0 | |
| INFINERA CORP | NOTE 2.125% 9/0 | 45667GAC7 | 179 | 210,000 | PRN | DFND | 1 | 210,000 | 0 | 0 | |
| NATIONAL HOLDINGS CORP | COM NEW | 636375206 | 12,319 | 6,159,550 | SH | DFND | 6,159,550 | 0 | 0 | ||
| 180 DEGREE CAP CORP | COM | 68235B109 | 431 | 247,591 | SH | DFND | 247,591 | 0 | 0 | ||
| 180 DEGREE CAP CORP | COM | 68235B109 | 1,238 | 711,604 | SH | DFND | 1 | 711,604 | 0 | 0 | |
| PROSHARES TR | ULTRAPRO SHT QQQ | 74347G408 | 7,560 | 1,000,000 | SH | DFND | 1 | 1,000,000 | 0 | 0 | |
| QUANTUM CORP | COM NEW | 747906501 | 9,876 | 2,558,511 | SH | DFND | 2,558,511 | 0 | 0 | ||
| QUANTUM CORP | COM NEW | 747906501 | 23,118 | 5,989,100 | SH | DFND | 1 | 5,989,100 | 0 | 0 | |
| RTW RETAILWINDS INC | COM | 74980D100 | 141 | 705,546 | SH | DFND | 1 | 705,546 | 0 | 0 | |
| RANGER ENERGY SVCS INC | COM CL A | 75282U104 | 782 | 265,062 | SH | DFND | 265,062 | 0 | 0 | ||
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 1,341 | 383,279 | SH | DFND | 383,279 | 0 | 0 | ||
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 9,669 | 2,762,457 | SH | DFND | 1 | 2,762,457 | 0 | 0 | |
| SONIM TECHNOLOGIES INC | COM | 83548F101 | 9,466 | 11,819,577 | SH | DFND | 11,819,577 | 0 | 0 | ||
| SPOK HLDGS INC | COM | 84863T106 | 3,539 | 378,474 | SH | DFND | 1 | 378,474 | 0 | 0 | |
| SUNCOKE ENERGY INC | COM | 86722A103 | 2,072 | 700,000 | SH | DFND | 700,000 | 0 | 0 | ||
| NETFIN ACQUISITION CORP | SHS CL A | G6455A107 | 430 | 40,000 | SH | DFND | 1 | 40,000 | 0 | 0 | |
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 1,767 | 416,840 | SH | DFND | 416,840 | 0 | 0 | ||
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 7,557 | 1,782,230 | SH | DFND | 1 | 1,782,230 | 0 | 0 | |