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 | 64,668 | 4,865,909 | SH | DFND | 1 | 4,865,909 | 0 | 0 | |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 17,948 | 1,350,453 | SH | DFND | 2 | 1,350,453 | 0 | 0 | |
| AMPLITUDE HLTHCRE AQUSTIN CO | COM CL A | 03212A105 | 1,237 | 124,460 | SH | DFND | 1 | 124,460 | 0 | 0 | |
| B. RILEY FINANCIAL INC | COM | 05580M108 | 24,003 | 317,915 | SH | DFND | 2 | 317,915 | 0 | 0 | |
| B RILEY PRINCIPAL 150 MERGER | UNIT 99/99/9999 | 05601V202 | 5,268 | 520,000 | SH | DFND | 3 | 520,000 | 0 | 0 | |
| B RILEY PRIN 250 MERGER CORP | UNIT 04/06/2026 | 05602L203 | 1,076 | 108,177 | SH | DFND | 1 | 108,177 | 0 | 0 | |
| B RILEY PRIN 250 MERGER CORP | UNIT 04/06/2026 | 05602L203 | 5,970 | 600,000 | SH | DFND | 3 | 600,000 | 0 | 0 | |
| BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 108,071 | 13,714,574 | SH | DFND | 13,714,574 | 0 | 0 | ||
| BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 89,289 | 11,331,099 | SH | DFND | 1 | 11,331,099 | 0 | 0 | |
| BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 17,697 | 2,245,764 | SH | DFND | 2 | 2,245,764 | 0 | 0 | |
| CADIZ INC | COM NEW | 127537207 | 2,043 | 150,252 | SH | DFND | 1 | 150,252 | 0 | 0 | |
| COLOMBIER ACQUISITION CORP | UNIT 99/99/9999 | 19533H207 | 11,962 | 1,205,812 | SH | DFND | 1 | 1,205,812 | 0 | 0 | |
| COLOMBIER ACQUISITION CORP | UNIT 99/99/9999 | 19533H207 | 3,472 | 350,000 | SH | DFND | 2 | 350,000 | 0 | 0 | |
| EOS ENERGY ENTERPRISES INC | COM CL A | 29415C101 | 1,850 | 103,029 | SH | DFND | 1 | 103,029 | 0 | 0 | |
| EOS ENERGY ENTERPRISES INC | COM CL A | 29415C101 | 7,004 | 390,000 | SH | DFND | 2 | 390,000 | 0 | 0 | |
| EOS ENERGY ENTERPRISES INC | COM CL A | 29415C101 | 108,447 | 6,038,250 | SH | DFND | 3 | 6,038,250 | 0 | 0 | |
| EOS ENERGY ENTERPRISES INC | *W EXP 05/06/202 | 29415C119 | 180 | 25,000 | SH | DFND | 2 | 25,000 | 0 | 0 | |
| EOS ENERGY ENTERPRISES INC | *W EXP 05/06/202 | 29415C119 | 2,340 | 325,000 | SH | DFND | 3 | 325,000 | 0 | 0 | |
| FRANCHISE GROUP INC | COM | 35180X105 | 40,020 | 1,134,675 | SH | DFND | 1 | 1,134,675 | 0 | 0 | |
| FRANCHISE GROUP INC | COM | 35180X105 | 16,892 | 478,920 | SH | DFND | 2 | 478,920 | 0 | 0 | |
| IMEDIA BRANDS INC | COM CL A | 452465206 | 6,820 | 847,205 | SH | DFND | 1 | 847,205 | 0 | 0 | |
| INSPIRED ENTMT INC | COM | 45782N108 | 11,475 | 900,000 | SH | DFND | 1 | 900,000 | 0 | 0 | |
| LANDSEA HOMES CORP | COM | 51509P103 | 131 | 15,700 | SH | DFND | 1 | 15,700 | 0 | 0 | |
| LIBERTY LATIN AMERICA LTD | NOTE 2.000% 7/1 | 53069QAB5 | 102 | 100,000 | PRN | DFND | 1 | 100,000 | 0 | 0 | |
| MARCHEX INC | CL B | 56624R108 | 6,729 | 2,199,098 | SH | DFND | 1 | 2,199,098 | 0 | 0 | |
| 180 DEGREE CAP CORP | COM NEW | 68235B208 | 329 | 40,855 | SH | DFND | 1 | 40,855 | 0 | 0 | |
| QUANTUM CORP | COM NEW | 747906501 | 36,924 | 5,359,100 | SH | DFND | 1 | 5,359,100 | 0 | 0 | |
| QUANTUM CORP | COM NEW | 747906501 | 15,492 | 2,248,511 | SH | DFND | 2 | 2,248,511 | 0 | 0 | |
| ROMAN DBDR TECH ACQUISITION | *W EXP 10/31/202 | 77584N119 | 31 | 18,800 | SH | DFND | 1 | 18,800 | 0 | 0 | |
| SRAX INC | CL A | 78472M106 | 1,846 | 339,371 | SH | DFND | 1 | 339,371 | 0 | 0 | |
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 25,967 | 2,762,457 | SH | DFND | 1 | 2,762,457 | 0 | 0 | |
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 4,564 | 485,543 | SH | DFND | 2 | 485,543 | 0 | 0 | |
| SOFTWARE ACQUISITN GRUP INC | COM CL A | 83407F101 | 1,094 | 109,988 | SH | DFND | 1 | 109,988 | 0 | 0 | |
| SONIM TECHNOLOGIES INC | COM | 83548F101 | 638 | 1,139,085 | SH | DFND | 1,139,085 | 0 | 0 | ||
| SONIM TECHNOLOGIES INC | COM | 83548F101 | 3,215 | 5,740,325 | SH | DFND | 2 | 5,740,325 | 0 | 0 | |
| SONIM TECHNOLOGIES INC | COM | 83548F101 | 1,994 | 3,560,167 | SH | DFND | 3 | 3,560,167 | 0 | 0 | |
| SPARTACUS ACQUISITION CORP | *W EXP 10/31/202 | 84677L117 | 124 | 100,000 | SH | DFND | 2 | 100,000 | 0 | 0 | |
| SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 | 41,423 | 11,538,462 | SH | DFND | 1 | 11,538,462 | 0 | 0 | |
| SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 | 8,214 | 2,288,076 | SH | DFND | 2 | 2,288,076 | 0 | 0 | |
| TILE SHOP HLDGS INC | COM | 88677Q109 | 17,126 | 2,127,500 | SH | DFND | 1 | 2,127,500 | 0 | 0 | |
| TILE SHOP HLDGS INC | COM | 88677Q109 | 14,550 | 1,807,419 | SH | DFND | 2 | 1,807,419 | 0 | 0 | |
| WESTERN MIDSTREAM PARTNERS L | COM UNIT LP INT | 958669103 | 815 | 38,029 | SH | DFND | 1 | 38,029 | 0 | 0 | |
| AFRICAN GOLD ACQUISITION COR | SHS CL A | G0112R108 | 1,448 | 150,000 | SH | DFND | 1 | 150,000 | 0 | 0 | |
| AFRICAN GOLD ACQUISITION COR | *W EXP 03/31/202 | G0112R124 | 422 | 669,750 | SH | DFND | 1 | 669,750 | 0 | 0 | |
| HPX CORP | SHS CL A | G32219100 | 99 | 10,000 | SH | DFND | 1 | 10,000 | 0 | 0 | |
| EMPOWER LTD | CL A COM | G3R39W102 | 262 | 26,213 | SH | DFND | 1 | 26,213 | 0 | 0 | |
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 21,594 | 1,103,432 | SH | DFND | 1 | 1,103,432 | 0 | 0 | |
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 5,750 | 293,824 | SH | DFND | 2 | 293,824 | 0 | 0 | |