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Type	Result	AUM ($B)

Form 13F Holdings
Firm	Period	DFND	Voting	Shares
Nantahala Capital Management LLC	[2025-06-30]	SOLE	211,110	211,110
Stonepine Capital Management LLC	[2025-06-30]	SOLE	178,000	178,000
Adar1 Capital Management LLC	[2025-06-30]	SOLE	167,111	167,111
AIGH Capital Management LLC	[2025-06-30]	SOLE	164,845	164,845
Velan Capital Investment Management LP	[2025-06-30]	SOLE	122,223	122,223
AIGH Capital Management LLC	[2025-06-30]	OTR	0	51,500
Geode Capital Management LLC	[2025-06-30]	DFND	18,573	18,573
UBS Group AG	[2025-06-30]	DFND	17,644	17,644
Tower Research Capital LLC (TRC)	[2025-06-30]	DFND	439	439
SBI Securities Co., Ltd.	[2025-06-30]	DFND	256	256
BlackRock, Inc.	[2025-06-30]	SOLE	58	58
Citigroup Inc	[2025-06-30]	DFND	35	35
Newedge Advisors LLC	[2025-06-30]	SOLE	0	22
Bank of America Corp /DE/	[2025-06-30]	DFND	0	21
Osaic Holdings Inc	[2025-06-30]	DFND	0	2
Raymond James Financial Inc	[2025-06-30]	DFND	0	2
Activest Wealth Management	[2025-06-30]	SOLE	0	2
Concourse Financial Group Securities Inc	[2025-06-30]	SOLE	0	0
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