Form 13F-HR DEERFIELD MANAGEMENT For: Dec 31
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The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
12-31-2020 |
| Check here if Amendment |
|
Amendment Number: |
|
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing
this Report: |
| Name: |
DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) |
| Address: |
345 Park Avenue South, 12th Floor |
|
|
|
New York
,
NY10010
|
| Form 13F File Number: |
028-05366 |
The institutional investment manager filing this report and
the person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists, and
tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of
Reporting Manager: |
| Name: |
James E. Flynn |
| Title: |
Managing Member |
| Phone: |
2125511600 |
| Signature, Place, and Date of Signing: |
| /s/ James E. Flynn |
New York
,
NY
|
02-12-2021 |
| [Signature] |
[City, State] |
[Date] |
|
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of
this reporting manager are reported in this report.) |
|
|
13F NOTICE. (Check here if no holdings reported are in
this report, and all holdings are reported by other reporting
manager(s).) |
|
|
13F COMBINATION REPORT. (Check here if a portion of
the holdings for this reporting manager are reported in this
report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
1 |
|
|
|
Form 13F Information Table Entry Total: |
129 |
|
Form 13F Information Table Value Total: |
5,059,781 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
|
028-11827 |
Flynn Management LLC |
| List of Other Included
Managers: |
|
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the
manager filing this report.
|
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
|
1 |
028-11827 |
Flynn Management LLC |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average
burden |
| hours per response:
|
23.8 |
|
|
| 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 |
| 4D MOLECULAR THERAPEUTICS IN |
COM |
35104E100 |
6,218 |
150,000 |
SH |
|
DFND |
1 |
150,000 |
0 |
0 |
| 908 DEVICES INC |
COM |
65443P102 |
4,271 |
75,000 |
SH |
|
DFND |
1 |
75,000 |
0 |
0 |
| ACCELERON PHARMA INC |
COM |
00434H108 |
53,942 |
421,619 |
SH |
|
DFND |
1 |
421,619 |
0 |
0 |
| ACCOLADE INC |
COM |
00437E102 |
27,753 |
638,001 |
SH |
|
DFND |
1 |
638,001 |
0 |
0 |
| ACUTUS MED INC |
COM |
005111109 |
125,087 |
4,341,799 |
SH |
|
DFND |
1 |
4,341,799 |
0 |
0 |
| ADAPTHEALTH CORP |
COM CL A |
00653Q102 |
67,846 |
1,806,332 |
SH |
|
DFND |
1 |
1,806,332 |
0 |
0 |
| ADVERUM BIOTECHNOLOGIES INC |
COM |
00773U108 |
26,064 |
2,404,439 |
SH |
|
DFND |
1 |
2,404,439 |
0 |
0 |
| AERIE PHARMACEUTICALS INC |
NOTE 1.500%10/0 |
00771VAB4 |
137,072 |
149,600,000 |
SH |
|
DFND |
1 |
149,600,000 |
0 |
0 |
| AERIE PHARMACEUTICALS INC |
COM |
00771V108 |
15,699 |
1,162,033 |
SH |
|
DFND |
1 |
1,162,033 |
0 |
0 |
| ALECTOR INC |
COM |
014442107 |
15,965 |
1,055,192 |
SH |
|
DFND |
1 |
1,055,192 |
0 |
0 |
| ALEXION PHARMACEUTICALS INC |
COM |
015351109 |
90,502 |
579,248 |
PRN |
|
DFND |
1 |
579,248 |
0 |
0 |
| ALIGOS THERAPEUTICS INC |
COM |
01626L105 |
16,590 |
600,000 |
SH |
|
DFND |
1 |
600,000 |
0 |
0 |
| ALPHATEC HLDGS INC |
COM NEW |
02081G201 |
29,040 |
2,000,000 |
SH |
|
DFND |
1 |
2,000,000 |
0 |
0 |
| AMERICAN WELL CORP |
CL A |
03044L105 |
20,039 |
791,115 |
SH |
|
DFND |
1 |
791,115 |
0 |
0 |
| ANNEXON INC |
COM |
03589W102 |
29,231 |
1,167,826 |
SH |
|
DFND |
1 |
1,167,826 |
0 |
0 |
| APELLIS PHARMACEUTICALS INC |
NOTE 3.500% 9/1 |
03753UAB2 |
92,483 |
54,825,000 |
SH |
|
DFND |
1 |
54,825,000 |
0 |
0 |
| ARDELYX INC |
COM |
039697107 |
16,573 |
2,561,554 |
SH |
|
DFND |
1 |
2,561,554 |
0 |
0 |
| ARVINAS INC |
COM |
04335A105 |
6,370 |
75,000 |
SH |
|
DFND |
1 |
75,000 |
0 |
0 |
| AVIDITY BIOSCIENCES INC |
COM |
05370A108 |
11,585 |
453,973 |
SH |
|
DFND |
1 |
453,973 |
0 |
0 |
| AVROBIO INC |
COM |
05455M100 |
11,152 |
800,000 |
SH |
|
DFND |
1 |
800,000 |
0 |
0 |
| AXONICS MODULATION TECHNOLOG |
COM |
05465P101 |
39,936 |
800,000 |
SH |
|
DFND |
1 |
800,000 |
0 |
0 |
| BENEFITFOCUS INC |
NOTE 1.250%12/1 |
08180DAB2 |
5,713 |
6,500,000 |
SH |
|
DFND |
1 |
6,500,000 |
0 |
0 |
| BIOATLA INC |
COM |
09077B104 |
9,537 |
280,422 |
SH |
|
DFND |
1 |
280,422 |
0 |
0 |
| BIOCRYST PHARMACEUTICALS |
COM |
09058V103 |
43,477 |
5,835,810 |
SH |
|
DFND |
1 |
5,835,810 |
0 |
0 |
| BIODELIVERY SCIENCES INTL IN |
COM |
09060J106 |
40,026 |
9,530,000 |
SH |
|
DFND |
1 |
9,530,000 |
0 |
0 |
| BIOGEN INC |
COM |
09062X103 |
109,697 |
448,000 |
SH |
|
DFND |
1 |
448,000 |
0 |
0 |
| BIOMARIN PHARMACEUTICAL INC |
COM |
09061G101 |
14,293 |
163,000 |
SH |
|
DFND |
1 |
163,000 |
0 |
0 |
| BLACK DIAMOND THERAPEUTICS I |
COM |
09203E105 |
25,720 |
802,511 |
SH |
|
DFND |
1 |
802,511 |
0 |
0 |
| BLUEPRINT MEDICINES CORP |
COM |
09627Y109 |
45,464 |
405,386 |
PRN |
|
DFND |
1 |
405,386 |
0 |
0 |
| BOSTON SCIENTIFIC CORP |
COM |
101137107 |
14,632 |
407,000 |
PRN |
|
DFND |
1 |
407,000 |
0 |
0 |
| BROOKDALE SR LIVING INC |
COM |
112463104 |
48,834 |
11,023,465 |
SH |
|
DFND |
1 |
11,023,465 |
0 |
0 |
| CABALETTA BIO INC |
COM |
12674W109 |
5,794 |
464,252 |
SH |
|
DFND |
1 |
464,252 |
0 |
0 |
| CENTENE CORP DEL |
COM |
15135B101 |
145,873 |
2,430,000 |
SH |
|
DFND |
1 |
2,430,000 |
0 |
0 |
| CEREVEL THERAPEUTICS HLDNG I |
COM |
15678U128 |
6,384 |
385,043 |
SH |
|
DFND |
1 |
385,043 |
0 |
0 |
| CEREVEL THERAPEUTICS HLDNG I |
*W EXP 06/09/202 |
15678U102 |
942 |
166,666 |
SH |
|
DFND |
1 |
166,666 |
0 |
0 |
| CERTARA INC |
COM |
15687V109 |
20,232 |
600,000 |
SH |
|
DFND |
1 |
600,000 |
0 |
0 |
| CLOVIS ONCOLOGY INC |
NOTE 2.500% 9/1 |
189464AB6 |
45,236 |
49,064,000 |
SH |
|
DFND |
1 |
49,064,000 |
0 |
0 |
| CODIAK BIOSCIENCES INC |
COM |
192010106 |
14,535 |
450,000 |
SH |
|
DFND |
1 |
450,000 |
0 |
0 |
| COGENT BIOSCIENCES INC |
COM |
19240Q201 |
11,230 |
1,000,000 |
SH |
|
DFND |
1 |
1,000,000 |
0 |
0 |
| CONSONANCE HFW ACQUISITION C |
UNIT 99/99/9999 |
G2445M129 |
5,235 |
500,000 |
SH |
|
DFND |
1 |
500,000 |
0 |
0 |
| CONSTELLATION PHARMCETICLS I |
COM |
210373106 |
42,018 |
1,458,957 |
SH |
|
DFND |
1 |
1,458,957 |
0 |
0 |
| CYTOKINETICS INC |
COM NEW |
23282W605 |
51,140 |
2,461,000 |
SH |
|
DFND |
1 |
2,461,000 |
0 |
0 |
| DECIPHERA PHARMACEUTICALS IN |
COM |
24344T101 |
30,166 |
528,585 |
SH |
|
DFND |
1 |
528,585 |
0 |
0 |
| DEERFIELD HEALTHCARE TECH AC |
UNIT 07/16/2025 |
244413209 |
50,400 |
3,360,000 |
SH |
|
DFND |
1 |
3,360,000 |
0 |
0 |
| DEERFIELD HEALTHCARE TECH AC |
COM CL A |
244413100 |
53,333 |
3,418,750 |
SH |
|
DFND |
1 |
3,418,750 |
0 |
0 |
| DELCATH SYS INC |
COM NEW |
24661P807 |
8,960 |
500,000 |
SH |
|
DFND |
1 |
500,000 |
0 |
0 |
| DFP HEALTHCARE ACQUISITNS CO |
UNIT 03/31/2025 |
23343Q209 |
56,051 |
5,000,000 |
SH |
|
DFND |
1 |
5,000,000 |
0 |
0 |
| DFP HEALTHCARE ACQUISITNS CO |
COM CL A |
23343Q100 |
58,968 |
5,460,000 |
SH |
|
DFND |
1 |
5,460,000 |
0 |
0 |
| DYNE THERAPEUTICS INC |
COM |
26818M108 |
11,970 |
570,000 |
SH |
|
DFND |
1 |
570,000 |
0 |
0 |
| EARGO INC |
COM |
270087109 |
5,603 |
125,000 |
SH |
|
DFND |
1 |
125,000 |
0 |
0 |
| EDITAS MEDICINE INC |
COM |
28106W103 |
37,770 |
538,721 |
SH |
|
DFND |
1 |
538,721 |
0 |
0 |
| EUCRATES BIOMEDICAL ACQU COR |
UNIT 10/23/2027 |
G3141W114 |
10,660 |
1,000,000 |
SH |
|
DFND |
1 |
1,000,000 |
0 |
0 |
| FATE THERAPEUTICS INC |
COM |
31189P102 |
51,291 |
564,067 |
PRN |
|
DFND |
1 |
564,067 |
0 |
0 |
| FUSION PHARMACEUTICALS INC |
COM |
36118A100 |
1,908 |
162,378 |
SH |
|
DFND |
1 |
162,378 |
0 |
0 |
| GENERATION BIO CO |
COM |
37148K100 |
27,250 |
961,215 |
SH |
|
DFND |
1 |
961,215 |
0 |
0 |
| GRAYBUG VISION INC |
COM SHS |
38942Q103 |
153,275 |
5,281,713 |
SH |
|
DFND |
1 |
5,281,713 |
0 |
0 |
| HIGHCAPE CAP ACQUISITION COR |
UNIT 09/30/2027 |
42984L204 |
10,320 |
1,000,000 |
SH |
|
DFND |
1 |
1,000,000 |
0 |
0 |
| IMARA INC |
COM |
45249V107 |
12,742 |
577,868 |
SH |
|
DFND |
1 |
577,868 |
0 |
0 |
| INOZYME PHARMA INC |
COM |
45790W108 |
23,742 |
1,150,299 |
SH |
|
DFND |
1 |
1,150,299 |
0 |
0 |
| INSMED INC |
NOTE 1.750% 1/1 |
457669AA7 |
69,219 |
61,000,000 |
SH |
|
DFND |
1 |
61,000,000 |
0 |
0 |
| INSULET CORP |
NOTE 0.375% 9/0 |
45784PAK7 |
76,424 |
57,581,000 |
SH |
|
DFND |
1 |
57,581,000 |
0 |
0 |
| INTERCEPT PHARMACEUTICALS IN |
NOTE 3.250% 7/0 |
45845PAA6 |
45,738 |
57,791,000 |
SH |
|
DFND |
1 |
57,791,000 |
0 |
0 |
| INTERSECT ENT INC |
COM |
46071F103 |
5,850 |
255,456 |
SH |
|
DFND |
1 |
255,456 |
0 |
0 |
| ITAMAR MED LTD |
SPONSORED ADS |
465437101 |
15,765 |
793,803 |
SH |
|
DFND |
1 |
793,803 |
0 |
0 |
| IVERIC BIO INC |
COM |
46583P102 |
39,853 |
5,767,409 |
SH |
|
DFND |
1 |
5,767,409 |
0 |
0 |
| KINNATE BIOPHARMA INC |
COM |
49705R105 |
13,724 |
345,000 |
SH |
|
DFND |
1 |
345,000 |
0 |
0 |
| KODIAK SCIENCES INC |
COM |
50015M109 |
29,735 |
202,406 |
SH |
|
DFND |
1 |
202,406 |
0 |
0 |
| LARIMAR THERAPEUTICS INC |
COM |
517125100 |
110,145 |
5,144,539 |
SH |
|
DFND |
1 |
5,144,539 |
0 |
0 |
| LONGVIEW ACQUISITION CORP |
*W EXP 05/27/202 |
543195119 |
4,833 |
733,333 |
SH |
|
DFND |
1 |
733,333 |
0 |
0 |
| LUMOS PHARMA INC |
COM |
55028X109 |
33,435 |
936,291 |
SH |
|
DFND |
1 |
936,291 |
0 |
0 |
| MEDAVAIL HOLDINGS INC |
COM |
58406B103 |
17,195 |
1,142,552 |
SH |
|
DFND |
1 |
1,142,552 |
0 |
0 |
| MEDTECH ACQUISITION CORP |
UNIT 12/18/2025 |
58507N204 |
10,500 |
1,000,000 |
SH |
|
DFND |
1 |
1,000,000 |
0 |
0 |
| MERIDIAN BIOSCIENCE INC |
COM |
589584101 |
40,389 |
2,161,000 |
SH |
|
DFND |
1 |
2,161,000 |
0 |
0 |
| METACRINE INC |
COM |
59101E103 |
2,181 |
277,469 |
SH |
|
DFND |
1 |
277,469 |
0 |
0 |
| MIRUM PHARMACEUTICALS INC |
COM |
604749101 |
60,218 |
3,448,912 |
SH |
|
DFND |
1 |
3,448,912 |
0 |
0 |
| MOLINA HEALTHCARE INC |
COM |
60855R100 |
26,585 |
125,000 |
SH |
|
DFND |
1 |
125,000 |
0 |
0 |
| MONTES ARCHIMEDES ACQUISITIO |
UNIT 09/30/2025 |
612657205 |
21,000 |
2,000,000 |
PRN |
|
DFND |
1 |
2,000,000 |
0 |
0 |
| NEOS THERAPEUTICS INC |
COM |
64052L106 |
201 |
320,993 |
SH |
|
DFND |
1 |
320,993 |
0 |
0 |
| NEURONETICS INC |
COM |
64131A105 |
10,210 |
919,000 |
SH |
|
DFND |
1 |
919,000 |
0 |
0 |
| NEVRO CORP |
NOTE 1.750% 6/0 |
64157FAA1 |
208,538 |
115,776,000 |
PRN |
|
DFND |
1 |
115,776,000 |
0 |
0 |
| NEVRO CORP |
NOTE 2.750% 4/0 |
64157FAC7 |
21,915 |
12,000,000 |
PRN |
|
DFND |
1 |
12,000,000 |
0 |
0 |
| NKARTA INC |
COM |
65487U108 |
87,280 |
1,419,872 |
SH |
|
DFND |
1 |
1,419,872 |
0 |
0 |
| NOVAVAX INC |
NOTE 3.750% 2/0 |
670002AB0 |
31,326 |
25,000,000 |
SH |
|
DFND |
1 |
25,000,000 |
0 |
0 |
| NUVASIVE INC |
NOTE 2.250% 3/1 |
670704AG0 |
201,278 |
200,000,000 |
SH |
|
DFND |
1 |
200,000,000 |
0 |
0 |
| NUVASIVE INC |
COM |
670704105 |
31,826 |
565,000 |
SH |
|
DFND |
1 |
565,000 |
0 |
0 |
| INVITAE CORP |
NOTE 2.000% 9/0 |
46185LAB9 |
263,849 |
163,385,000 |
SH |
|
DFND |
1 |
163,385,000 |
0 |
0 |
| OAK STR HEALTH INC |
COM |
67181A107 |
58,167 |
951,063 |
SH |
|
DFND |
1 |
951,063 |
0 |
0 |
| OLEMA PHARMACEUTICALS INC |
COM |
68062P106 |
33,473 |
696,191 |
SH |
|
DFND |
1 |
696,191 |
0 |
0 |
| ONCORUS INC |
COM |
68236R103 |
92,107 |
2,848,977 |
SH |
|
DFND |
1 |
2,848,977 |
0 |
0 |
| ORASURE TECHNOLOGIES INC |
COM |
68554V108 |
22,488 |
2,124,515 |
SH |
|
DFND |
1 |
2,124,515 |
0 |
0 |
| ORCHARD THERAPEUTICS PLC |
ADS |
68570P101 |
30,021 |
6,949,416 |
SH |
|
DFND |
1 |
6,949,416 |
0 |
0 |
| OUTSET MED INC |
COM |
690145107 |
9,947 |
175,000 |
SH |
|
DFND |
1 |
175,000 |
0 |
0 |
| OWENS & MINOR INC NEW |
COM |
690732102 |
29,647 |
1,096,000 |
SH |
|
DFND |
1 |
1,096,000 |
0 |
0 |
| OXFORD IMMUNOTEC GLOBAL PLC |
ORD SHS |
G6855A103 |
18,321 |
1,049,035 |
SH |
|
DFND |
1 |
1,049,035 |
0 |
0 |
| PACIFIC BIOSCIENCES CALIF IN |
COM |
69404D108 |
14,916 |
575,000 |
SH |
|
DFND |
1 |
575,000 |
0 |
0 |
| PACIRA BIOSCIENCES INC |
COM |
695127100 |
62,811 |
1,049,647 |
SH |
|
DFND |
1 |
1,049,647 |
0 |
0 |
| PACIRA BIOSCIENCES INC |
NOTE 2.375% 4/0 |
695127AD2 |
22,719 |
20,000,000 |
SH |
|
DFND |
1 |
20,000,000 |
0 |
0 |
| PANACEA ACQUISITION CORP |
UNIT 99/99/9999 |
698102209 |
6,381 |
500,000 |
SH |
|
DFND |
1 |
500,000 |
0 |
0 |
| PMV PHARMACEUTICALS INC |
COM |
69353Y103 |
11,514 |
187,192 |
SH |
|
DFND |
1 |
187,192 |
0 |
0 |
| PRAXIS PRECISION MEDICINES I |
COM |
74006W108 |
19,257 |
350,000 |
SH |
|
DFND |
1 |
350,000 |
0 |
0 |
| PROFOUND MED CORP |
COM NEW |
74319B502 |
14,289 |
695,000 |
SH |
|
DFND |
1 |
695,000 |
0 |
0 |
| PROTAGONIST THERAPEUTICS INC |
COM |
74366E102 |
27,820 |
1,379,971 |
SH |
|
DFND |
1 |
1,379,971 |
0 |
0 |
| PROTARA THERAPEUTICS INC |
COM STK |
74365U107 |
18,948 |
782,670 |
SH |
|
DFND |
1 |
782,670 |
0 |
0 |
| PTC THERAPEUTICS INC |
NOTE 3.000% 8/1 |
69366JAB7 |
18,577 |
14,527,000 |
PRN |
|
DFND |
1 |
14,527,000 |
0 |
0 |
| PULMONX CORP |
COM |
745848101 |
31,992 |
463,511 |
SH |
|
DFND |
1 |
463,511 |
0 |
0 |
| PUMA BIOTECHNOLOGY INC |
COM |
74587V107 |
40,627 |
3,959,741 |
SH |
|
DFND |
1 |
3,959,741 |
0 |
0 |
| QUIDEL CORP |
COM |
74838J101 |
39,523 |
220,000 |
SH |
|
DFND |
1 |
220,000 |
0 |
0 |
| REATA PHARMACEUTICALS INC |
CL A |
75615P103 |
39,558 |
320,000 |
SH |
|
DFND |
1 |
320,000 |
0 |
0 |
| REVOLUTION MEDICINES INC |
COM |
76155X100 |
55,283 |
1,396,383 |
SH |
|
DFND |
1 |
1,396,383 |
0 |
0 |
| RHYTHM PHARMACEUTICALS INC |
COM |
76243J105 |
80,901 |
2,721,203 |
SH |
|
DFND |
1 |
2,721,203 |
0 |
0 |
| SARISSA CAPITAL ACQUISITN CO |
UNIT 10/23/2027 |
G7823W128 |
10,650 |
1,000,000 |
SH |
|
DFND |
1 |
1,000,000 |
0 |
0 |
| SCHOLAR ROCK HLDG CORP |
COM |
80706P103 |
14,019 |
288,876 |
SH |
|
DFND |
1 |
288,876 |
0 |
0 |
| SELECT MED HLDGS CORP |
COM |
81619Q105 |
15,628 |
565,000 |
SH |
|
DFND |
1 |
565,000 |
0 |
0 |
| SENIOR CONNECT ACQUISITN COR |
UNIT 12/09/2023 |
81723H207 |
10,290 |
1,000,000 |
SH |
|
DFND |
1 |
1,000,000 |
0 |
0 |
| SHATTUCK LABS INC |
COM |
82024L103 |
28,826 |
550,000 |
SH |
|
DFND |
1 |
550,000 |
0 |
0 |
| SIENTRA INC |
COM |
82621J105 |
7,461 |
1,918,118 |
SH |
|
DFND |
1 |
1,918,118 |
0 |
0 |
| SILK RD MED INC |
COM |
82710M100 |
7,117 |
113,000 |
SH |
|
DFND |
1 |
113,000 |
0 |
0 |
| SOTERA HEALTH CO |
COM |
83601L102 |
30,486 |
1,111,000 |
SH |
|
DFND |
1 |
1,111,000 |
0 |
0 |
| SPRINGWORKS THERAPEUTICS INC |
COM |
85205L107 |
104,644 |
1,442,970 |
SH |
|
DFND |
1 |
1,442,970 |
0 |
0 |
| STRYKER CORPORATION |
COM |
863667101 |
14,457 |
59,000 |
SH |
|
DFND |
1 |
59,000 |
0 |
0 |
| TAYSHA GENE THERAPIES INC |
COM SHS |
877619106 |
6,635 |
250,000 |
SH |
|
DFND |
1 |
250,000 |
0 |
0 |
| TURMERIC ACQUISITION CORP |
UNIT 10/08/2025 |
G9127T116 |
7,703 |
750,000 |
SH |
|
DFND |
1 |
750,000 |
0 |
0 |
| TURNING POINT THERAPEUTICS I |
COM |
90041T108 |
10,217 |
83,846 |
SH |
|
DFND |
1 |
83,846 |
0 |
0 |
| VAPOTHERM INC |
COM |
922107107 |
16,237 |
604,520 |
SH |
|
DFND |
1 |
604,520 |
0 |
0 |
| VERICEL CORP |
COM |
92346J108 |
2,006 |
64,946 |
SH |
|
DFND |
1 |
64,946 |
0 |
0 |
| VIATRIS INC |
COM |
92556V106 |
294,668 |
15,724,000 |
SH |
|
DFND |
1 |
15,724,000 |
0 |
0 |
| WINDTREE THERAPEUTICS INC |
COM |
97382D303 |
103 |
20,148 |
SH |
|
DFND |
1 |
20,148 |
0 |
0 |
| XERIS PHARMACEUTICALS INC |
NOTE 5.000% 7/1 |
98422LAA5 |
31,658 |
18,000,000 |
PRN |
|
DFND |
1 |
18,000,000 |
0 |
0 |
| ZIMMER BIOMET HOLDINGS INC |
COM |
98956P102 |
14,639 |
95,000 |
SH |
|
DFND |
1 |
95,000 |
0 |
0 |
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