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 | 44,082 | 5,629,938 | SH | DFND | 5,629,938 | 0 | 0 | ||
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 1,710 | 218,379 | SH | DFND | 1 | 218,379 | 0 | 0 | |
| ALTA EQUIPMENT GROUP INC | *W EXP 02/14/202 | 02128L114 | 1,534 | 894,375 | SH | DFND | 894,375 | 0 | 0 | ||
| ALTA EQUIPMENT GROUP INC | *W EXP 02/14/202 | 02128L114 | 808 | 505,045 | SH | DFND | 1 | 505,045 | 0 | 0 | |
| B. RILEY FINANCIAL INC | COM | 05580M108 | 4,415 | 176,187 | SH | DFND | 176,187 | 0 | 0 | ||
| B RILEY PRIN MERGER CORP II | UNIT 99/99/9999 | 05600U205 | 7,455 | 700,000 | SH | DFND | 700,000 | 0 | 0 | ||
| BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 27,619 | 11,904,612 | SH | DFND | 11,904,612 | 0 | 0 | ||
| BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 5,305 | 2,286,664 | SH | DFND | 1 | 2,286,664 | 0 | 0 | |
| CREXENDO INC | COM | 226552107 | 1,883 | 336,927 | SH | DFND | 1 | 336,927 | 0 | 0 | |
| ENERGY TRANSFER LP | COM UT LTD PTN | 29273V100 | 217 | 40,000 | SH | DFND | 1 | 40,000 | 0 | 0 | |
| FRANCHISE GROUP INC | COM | 35180X105 | 17,155 | 676,471 | SH | DFND | 676,471 | 0 | 0 | ||
| FRANCHISE GROUP INC | COM | 35180X105 | 98,168 | 3,870,991 | SH | DFND | 1 | 3,870,991 | 0 | 0 | |
| GULF ISLAND FABRICATION INC | COM | 402307102 | 1,355 | 433,026 | SH | DFND | 1 | 433,026 | 0 | 0 | |
| HORIZON GLOBAL CORP | NOTE 2.750% 7/0 | 44052WAA2 | 95 | 130,000 | PRN | DFND | 1 | 130,000 | 0 | 0 | |
| INSEEGO CORP | NOTE 3.250% 5/0 | 45782BAD6 | 58 | 60,000 | PRN | DFND | 1 | 60,000 | 0 | 0 | |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 41,676 | 150,000 | SH | Put | DFND | 150,000 | 0 | 0 | |
| LIBERTY LATIN AMERICA LTD | NOTE 2.000% 7/1 | 53069QAB5 | 19 | 23,000 | PRN | DFND | 1 | 23,000 | 0 | 0 | |
| NATIONAL HOLDINGS CORP | COM NEW | 636375206 | 13,058 | 6,159,550 | SH | DFND | 6,159,550 | 0 | 0 | ||
| 180 DEGREE CAP CORP | COM | 68235B109 | 1,345 | 711,604 | SH | DFND | 1 | 711,604 | 0 | 0 | |
| PARK HOTELS RESORTS INC | COM | 700517105 | 260 | 25,999 | SH | DFND | 1 | 25,999 | 0 | 0 | |
| QUANTUM CORP | COM NEW | 747906501 | 11,769 | 2,558,511 | SH | DFND | 2,558,511 | 0 | 0 | ||
| QUANTUM CORP | COM NEW | 747906501 | 27,550 | 5,989,100 | SH | DFND | 1 | 5,989,100 | 0 | 0 | |
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 3,350 | 485,543 | SH | DFND | 485,543 | 0 | 0 | ||
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 19,061 | 2,762,457 | SH | DFND | 1 | 2,762,457 | 0 | 0 | |
| SOFTWARE ACQUISITION GROUP I | COM CL A | 83406B101 | 917 | 92,054 | SH | DFND | 1 | 92,054 | 0 | 0 | |
| SOFTWARE ACQUISITN GRUP INC | UNIT 99/99/9999 | 83407F200 | 1,990 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
| SOFTWARE ACQUISITN GRUP INC | UNIT 99/99/9999 | 83407F200 | 15,832 | 1,591,128 | SH | DFND | 1 | 1,591,128 | 0 | 0 | |
| SONIM TECHNOLOGIES INC | COM | 83548F101 | 9,172 | 11,819,577 | SH | DFND | 11,819,577 | 0 | 0 | ||
| SPOK HLDGS INC | COM | 84863T106 | 2,019 | 212,265 | SH | DFND | 1 | 212,265 | 0 | 0 | |
| SUNCOKE ENERGY INC | COM | 86722A103 | 3,420 | 1,000,000 | SH | DFND | 1 | 1,000,000 | 0 | 0 | |
| NETFIN ACQUISITION CORP | SHS CL A | G6455A107 | 1,604 | 154,710 | SH | DFND | 1 | 154,710 | 0 | 0 | |
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 2,876 | 416,840 | SH | DFND | 416,840 | 0 | 0 | ||
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 12,278 | 1,779,384 | SH | DFND | 1 | 1,779,384 | 0 | 0 | |