# EDGAR Filing Document

**Accession Number:** 0001491072
**File Stem:** 0000950123-23-001977
**Filing Date:** 2023-2
**Character Count:** 27454
**Document Hash:** 46b940e1cc8fde06b6bf5aee67e78bc5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950123-23-001977.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0000950123-23-001977

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**EFFECTIVENESS DATE**: 20230213

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Anson Funds Management LP
- **CENTRAL INDEX KEY:** 0001491072
- **IRS NUMBER:** 300134498
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-16678
- **FILM NUMBER:** 23618355

**BUSINESS ADDRESS:**
- **STREET 1:** 16000 DALLAS PARKWAY
- **STREET 2:** SUITE 800
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75248
- **BUSINESS PHONE:** 214.866.0202

**MAIL ADDRESS:**
- **STREET 1:** 16000 DALLAS PARKWAY
- **STREET 2:** SUITE 800
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75248

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Frigate Ventures LP
- **DATE OF NAME CHANGE:** 20100504

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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:** Anson Funds Management LP<br>**Address:** 16000 DALLAS PARKWAY<br>SUITE 800<br>DALLAS, TX 75248

**Form 13F File Number:** 028-16678

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:** Bruce R Winson<br>**Title:** Managing Member of the General Partner<br>**Phone:** 214-866-0219

**Signature, Place, and Date of Signing:**

/s/ Bruce R Winson  Dallas, TX  02-13-2023<br>[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 are reported 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:** 0

**Form 13F Information Table Entry Total:** 224

**Form 13F Information Table Value Total:** $605371253

      (round to nearest dollar)

**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.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 10X Capital Venture Acquisition Corp III | Warrant | G87077114 |  | 488500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| 1Life Healthcare Inc | Bond Convertible | 68269GAB3 |  | 2903400 | 3000000 | SH |  | DFND |  | 3000000 | 0 | 0 |
| 1stdibs.com Inc | Equity | 320551104 |  | 541406 | 106576 | SH |  | DFND |  | 106576 | 0 | 0 |
| Acer Therapeutics Inc | Equity | 00444P108 |  | 325785 | 129795 | SH |  | DFND |  | 129795 | 0 | 0 |
| Acer Therapeutics Inc | Option | 00444P108 |  | 95631 | 38100 | SH | Call | DFND |  | 38100 | 0 | 0 |
| Acropolis Infrastructure Acquisition Corp | Warrant | 005029111 |  | 497500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Acropolis Infrastructure Acquisition Corp | Equity | 005029103 |  | 1492500 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| Activision Blizzard Inc | Equity | 00507V109 |  | 1937787 | 25314 | SH |  | DFND |  | 25314 | 0 | 0 |
| AdvisorShares Pure US Cannabis ETF | Exchange Traded Fund | 00768Y453 |  | 1411281 | 201900 | SH |  | DFND |  | 201900 | 0 | 0 |
| AdvisorShares Pure US Cannabis ETF | Option | 00768Y453 |  | 1048500 | 150000 | SH | Call | DFND |  | 150000 | 0 | 0 |
| Ainos Inc | Warrant | 00902F113 |  | 31000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Algoma Steel Group Inc | Equity | 015658107 |  | 315405 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Algonquin Power  Utilities Corp | Equity | 015857105 |  | 4744540 | 725000 | SH |  | DFND |  | 725000 | 0 | 0 |
| Allot Ltd | Equity | M0854Q105 |  | 1046964 | 304350 | SH |  | DFND |  | 304350 | 0 | 0 |
| Alphabet Inc | Equity | 02079K305 |  | 1852830 | 21000 | SH |  | DFND |  | 21000 | 0 | 0 |
| Alphabet Inc | Equity | 02079K107 |  | 887300 | 10000 | SH |  | DFND |  | 10000 | 0 | 0 |
| AMAZON.COM INC. | Equity | 023135106 |  | 1680000 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| Americas Gold  Silver Corp | Equity | 03062D100 |  | 357561 | 629400 | SH |  | DFND |  | 629400 | 0 | 0 |
| Apartment Income REIT Corp | Equity | 03750L109 |  | 1461949 | 42610 | SH |  | DFND |  | 42610 | 0 | 0 |
| APPLE INC | Option | 037833100 |  | 5197200 | 40000 | SH | Put | DFND |  | 40000 | 0 | 0 |
| Arbor Rapha Capital Bioholdings Corp I | Warrant | 03881F112 |  | 361663 | 33333 | SH |  | DFND |  | 33333 | 0 | 0 |
| Ares Acquisition Corp | Warrant | G33032122 |  | 2517500 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| Ares Acquisition Corp | Equity | G33032106 |  | 906300 | 90000 | SH |  | DFND |  | 90000 | 0 | 0 |
| Atlas Air Worldwide Holdings Inc | Equity | 049164205 |  | 2016000 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| Aurora Innovation Inc | Warrant | 051774115 |  | 164037 | 135568 | SH |  | DFND |  | 135568 | 0 | 0 |
| BANK OF AMERICA CORP | Equity | 060505104 |  | 1987200 | 60000 | SH |  | DFND |  | 60000 | 0 | 0 |
| Beard Energy Transition Acquisition Corp | Warrant | 07402Q119 |  | 636875 | 62500 | SH |  | DFND |  | 62500 | 0 | 0 |
| BigCommerce Holdings Inc | Equity | 08975P108 |  | 529574 | 60592 | SH |  | DFND |  | 60592 | 0 | 0 |
| Bilander Acquisition Corp | Warrant | 09001T114 |  | 433115 | 43749 | SH |  | DFND |  | 43749 | 0 | 0 |
| BlackSky Technology Inc | Equity | 09263B108 |  | 41580 | 27000 | SH |  | DFND |  | 27000 | 0 | 0 |
| Blockchain Coinvestors Acquisition Corp I | Warrant | G11765115 |  | 27001743 | 2636889 | SH |  | DFND |  | 2636889 | 0 | 0 |
| Blockchain Moon Acquisition Corp | Warrant | 09370F125 |  | 2936398 | 285920 | SH |  | DFND |  | 285920 | 0 | 0 |
| Bluescape Opportunities Acquisition Corp | Warrant | G1195N113 |  | 3525603 | 358293 | SH |  | DFND |  | 358293 | 0 | 0 |
| Bridgetown Holdings Ltd | Warrant | G1355U121 |  | 1264853 | 127634 | SH |  | DFND |  | 127634 | 0 | 0 |
| Brookfield Asset Management Ltd | Equity | 113004105 |  | 858123 | 30000 | SH |  | DFND |  | 30000 | 0 | 0 |
| Bullpen Parlay Acquisition Co | Warrant | G1792A118 |  | 256000 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| CAE Inc | Equity | 124765108 |  | 2222112 | 115000 | SH |  | DFND |  | 115000 | 0 | 0 |
| Cameco Corp | Equity | 13321L108 |  | 1540427 | 67950 | SH |  | DFND |  | 67950 | 0 | 0 |
| Canadian Natural Resources Ltd | Equity | 136385101 |  | 9430648 | 170000 | SH |  | DFND |  | 170000 | 0 | 0 |
| Cartica Acquisition Corp | Equity Unit | G1995D125 |  | 1545000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| Cenovus Energy Inc | Equity | 15135U109 |  | 5814520 | 300000 | SH |  | DFND |  | 300000 | 0 | 0 |
| CF Acquisition Corp VIII | Warrant | 12520C117 |  | 522051 | 50149 | SH |  | DFND |  | 50149 | 0 | 0 |
| Chain Bridge I | Equity | G2061X102 |  | 257000 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| Chain Bridge I | Warrant | G2061X110 |  | 514000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Chicken Soup For The Soul Entertainment Inc | Warrant | 16842Q134 |  | 1383936 | 270300 | SH |  | DFND |  | 270300 | 0 | 0 |
| Churchill Capital Corp VI | Warrant | 17143W119 |  | 3850834 | 385276 | SH |  | DFND |  | 385276 | 0 | 0 |
| Churchill Capital Corp VII | Warrant | 17144M110 |  | 7481777 | 750429 | SH |  | DFND |  | 750429 | 0 | 0 |
| CIIG Capital Partners II Inc | Warrant | 12561U117 |  | 382125 | 37500 | SH |  | DFND |  | 37500 | 0 | 0 |
| CIIG Capital Partners II Inc | Equity | 12561U109 |  | 764250 | 75000 | SH |  | DFND |  | 75000 | 0 | 0 |
| Class Acceleration Corp | Warrant | 18274B114 |  | 2447065 | 240616 | SH |  | DFND |  | 240616 | 0 | 0 |
| Cloudflare Inc | Bond Convertible | 18915MAC1 |  | 1643240 | 2000000 | SH |  | DFND |  | 2000000 | 0 | 0 |
| Concord Acquisition Corp III | Warrant | 20607V114 |  | 127375 | 12500 | SH |  | DFND |  | 12500 | 0 | 0 |
| Conx Corp | Warrant | 212873111 |  | 3506249 | 352033 | SH |  | DFND |  | 352033 | 0 | 0 |
| Counter Press Acquisition Corp | Equity Unit | G2542B109 |  | 1020000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Coupa Software Inc | Bond Convertible | 22266LAC0 |  | 1934640 | 2000000 | SH |  | DFND |  | 2000000 | 0 | 0 |
| Cue Health Inc | Equity | 229790100 |  | 421067 | 203414 | SH |  | DFND |  | 203414 | 0 | 0 |
| Cushman  Wakefield PLC | Equity | G2717B108 |  | 1744400 | 140000 | SH |  | DFND |  | 140000 | 0 | 0 |
| Daseke Inc | Equity | 23753F107 |  | 58613 | 10301 | SH |  | DFND |  | 10301 | 0 | 0 |
| Direct Digital Holdings Inc | Warrant | 25461T113 |  | 1891519 | 780008 | SH |  | DFND |  | 780008 | 0 | 0 |
| Direct Selling Acquisition Corp | Warrant | 25460L111 |  | 1131900 | 110000 | SH |  | DFND |  | 110000 | 0 | 0 |
| DISH Network Corp | Bond Convertible | 25470MAF6 |  | 1604125 | 2500000 | SH |  | DFND |  | 2500000 | 0 | 0 |
| Dune Acquisition Corp | Warrant | 265334110 |  | 476995 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Edible Garden AG Inc | Warrant | 28059P113 |  | 10500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Edify Acquisition Corp | Equity | 28059Q103 |  | 504250 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Elliott Opportunity II Corp | Warrant | G30092111 |  | 504000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Endeavor Group Holdings Inc | Equity | 29260Y109 |  | 2028600 | 90000 | SH |  | DFND |  | 90000 | 0 | 0 |
| Esports Entertainment Group Inc | Warrant | 29667K132 |  | 567180 | 900000 | SH |  | DFND |  | 900000 | 0 | 0 |
| EVgo Inc | Equity | 30052F100 |  | 53028 | 11863 | SH |  | DFND |  | 11863 | 0 | 0 |
| FaZe Holdings Inc | Option | 31423J102 |  | 140600 | 76000 | SH | Put | DFND |  | 76000 | 0 | 0 |
| FGI Industries Ltd | Warrant | G3302D111 |  | 1593131 | 740991 | SH |  | DFND |  | 740991 | 0 | 0 |
| Flex Ltd | Equity | Y2573F102 |  | 1287600 | 60000 | SH |  | DFND |  | 60000 | 0 | 0 |
| Fortress Capital Acquisition Corp | Warrant | G36427121 |  | 564843 | 55925 | SH |  | DFND |  | 55925 | 0 | 0 |
| F-star Therapeutics Inc | Option | 30315R107 |  | 189600 | 30000 | SH | Put | DFND |  | 30000 | 0 | 0 |
| FTAC Hera Acquisition Corp | Warrant | G3728Y111 |  | 544221 | 53830 | SH |  | DFND |  | 53830 | 0 | 0 |
| FTAC Zeus Acquisition Corp | Equity | 30320F106 |  | 1258750 | 125000 | SH |  | DFND |  | 125000 | 0 | 0 |
| FTAC Zeus Acquisition Corp | Warrant | 30320F114 |  | 629375 | 62500 | SH |  | DFND |  | 62500 | 0 | 0 |
| G Squared Ascend II Inc | Warrant | G42041122 |  | 253750 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| Global Systems Dynamics Inc | Warrant | 37653T116 |  | 555754 | 53800 | SH |  | DFND |  | 53800 | 0 | 0 |
| Goal Acquisitions Corp | Equity | 38021H107 |  | 914545 | 90909 | SH |  | DFND |  | 90909 | 0 | 0 |
| GoGreen Investments Corp | Warrant | G9461B119 |  | 109457 | 10545 | SH |  | DFND |  | 10545 | 0 | 0 |
| Gores Technology Partners II Inc | Warrant | 38287L115 |  | 354608 | 35390 | SH |  | DFND |  | 35390 | 0 | 0 |
| Granite Real Estate Investment Trust | Equity | 387437114 |  | 3067979 | 60196 | SH |  | DFND |  | 60196 | 0 | 0 |
| Graphite Bio Inc | Equity | 38870X104 |  | 358829 | 112176 | SH |  | DFND |  | 112176 | 0 | 0 |
| Grove Collaborative Holdings | Warrant | 39957D110 |  | 132488 | 332049 | SH |  | DFND |  | 332049 | 0 | 0 |
| GSK PLC | ADR | 37733W204 |  | 2389520 | 68000 | SH |  | DFND |  | 68000 | 0 | 0 |
| Harvard Bioscience Inc | Equity | 416906105 |  | 301274 | 108763 | SH |  | DFND |  | 108763 | 0 | 0 |
| Hennessy Capital Investment Corp VI | Warrant | 42600H116 |  | 172557 | 17483 | SH |  | DFND |  | 17483 | 0 | 0 |
| HIVE Blockchain Technologies Ltd | Warrant | 43366H142 |  | 322310 | 167000 | SH |  | DFND |  | 167000 | 0 | 0 |
| Horizon Therapeutics Plc | Equity | 44047T109 |  | 2845000 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| Hovnanian Enterprises Inc | Equity | 442487401 |  | 4582975 | 108911 | SH |  | DFND |  | 108911 | 0 | 0 |
| Iconic Sports Acquisition Corp | Warrant | G4712C115 |  | 646250 | 62500 | SH |  | DFND |  | 62500 | 0 | 0 |
| iHuman Inc | ADR | 45175B109 |  | 29273 | 11259 | SH |  | DFND |  | 11259 | 0 | 0 |
| Immuneering Corp | Equity | 45254E107 |  | 158125 | 32603 | SH |  | DFND |  | 32603 | 0 | 0 |
| Immunic Inc | Equity | 4525EP101 |  | 930909 | 664935 | SH |  | DFND |  | 664935 | 0 | 0 |
| Industrial Select Sector SPDR Fund | Option | 81369Y704 |  | 5892600 | 60000 | SH | Put | DFND |  | 60000 | 0 | 0 |
| Innovative Eyewear Inc | Warrant | 45791D117 |  | 205500 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| Innovative International Acquisition Corp | Warrant | G4809M125 |  | 772500 | 75000 | SH |  | DFND |  | 75000 | 0 | 0 |
| Invivyd Inc | Equity | 00534A102 |  | 231234 | 154156 | SH |  | DFND |  | 154156 | 0 | 0 |
| iShares 20 Year Treasury Bond ETF | Option | 464287432 |  | 14884220 | 149500 | SH | Call | DFND |  | 149500 | 0 | 0 |
| iShares MSCI Canada ETF | Option | 464286509 |  | 14728500 | 450000 | SH | Put | DFND |  | 450000 | 0 | 0 |
| iShares Russell 2000 ETF | Option | 464287655 |  | 39666900 | 227500 | SH | Call | DFND |  | 227500 | 0 | 0 |
| iShares Semiconductor ETF | Option | 464287523 |  | 3479800 | 10000 | SH | Put | DFND |  | 10000 | 0 | 0 |
| iShares U.S. Real Estate ETF | Exchange Traded Fund | 464287739 |  | 8612961 | 102300 | SH |  | DFND |  | 102300 | 0 | 0 |
| iShares U.S. Real Estate ETF | Option | 464287739 |  | 16838000 | 200000 | SH | Call | DFND |  | 200000 | 0 | 0 |
| IsoPlexis Corp | Equity | 465005106 |  | 243562 | 157137 | SH |  | DFND |  | 157137 | 0 | 0 |
| iStar Inc | Equity | 45031U101 |  | 1124288 | 147351 | SH |  | DFND |  | 147351 | 0 | 0 |
| Jaws Hurricane Acquisition Corp | Warrant | 47201B111 |  | 373875 | 37500 | SH |  | DFND |  | 37500 | 0 | 0 |
| Jaws Juggernaut Acquisition Corp | Warrant | G50735110 |  | 251450 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| Jaws Mustang Acquisition Corp | Warrant | G50737124 |  | 11876700 | 1175329 | SH |  | DFND |  | 1175329 | 0 | 0 |
| KludeIn I Acquisition Corp | Warrant | 49878L117 |  | 4652124 | 454309 | SH |  | DFND |  | 454309 | 0 | 0 |
| Landcadia Holdings IV Inc | Warrant | 51477A112 |  | 1252500 | 125000 | SH |  | DFND |  | 125000 | 0 | 0 |
| Landsea Homes Corp | Equity | 51509P103 |  | 186263 | 35751 | SH |  | DFND |  | 35751 | 0 | 0 |
| Leafly Holdings Inc | Warrant | 52178J113 |  | 24700 | 37889 | SH |  | DFND |  | 37889 | 0 | 0 |
| Logistics Innovation Technologies Corp | Warrant | 54141L118 |  | 248783 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| Logistics Innovation Technologies Corp | Equity | 54141L100 |  | 746348 | 75000 | SH |  | DFND |  | 75000 | 0 | 0 |
| LSB Industries Inc | Option | 502160104 |  | 665000 | 50000 | SH | Call | DFND |  | 50000 | 0 | 0 |
| Lucid Group Inc | Equity | 549498103 |  | 9698600 | 1420000 | SH |  | DFND |  | 1420000 | 0 | 0 |
| Lyra Therapeutics Inc | Equity | 55234L105 |  | 122859 | 39127 | SH |  | DFND |  | 39127 | 0 | 0 |
| M3-Brigade Acquisition II Corp | Warrant | 553800111 |  | 5908203 | 589641 | SH |  | DFND |  | 589641 | 0 | 0 |
| M3-Brigade Acquisition III Corp | Warrant | 55407R111 |  | 1351997 | 133333 | SH |  | DFND |  | 133333 | 0 | 0 |
| M3-Brigade Acquisition III Corp | Equity | 55407R103 |  | 4056000 | 400000 | SH |  | DFND |  | 400000 | 0 | 0 |
| Macondray Capital Acquisition Corp I | Warrant | G5853A115 |  | 509500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Marathon Digital Holdings Inc | Bond Convertible | 565788AB2 |  | 7554880 | 32000000 | SH |  | DFND |  | 32000000 | 0 | 0 |
| Marriott Vacations Worldwide Corp | Bond Convertible | 57164YAD9 |  | 1954820 | 2000000 | SH |  | DFND |  | 2000000 | 0 | 0 |
| Mason Industrial Technology Inc | Warrant | 57520Y114 |  | 222099 | 22221 | SH |  | DFND |  | 22221 | 0 | 0 |
| MEI PHARMA INC | Equity | 55279B202 |  | 2586535 | 10617959 | SH |  | DFND |  | 10617959 | 0 | 0 |
| Meta Platforms Inc | Equity | 30303M102 |  | 2045780 | 17000 | SH |  | DFND |  | 17000 | 0 | 0 |
| MICROSOFT CORP | Equity | 594918104 |  | 1199100 | 5000 | SH |  | DFND |  | 5000 | 0 | 0 |
| Mosaic Co/The | Equity | 61945C103 |  | 877400 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| Motive Capital Corp II | Warrant | G6293R114 |  | 340997 | 33333 | SH |  | DFND |  | 33333 | 0 | 0 |
| Mount Rainier Acquisition Corp | Warrant | 623006111 |  | 1390500 | 112500 | SH |  | DFND |  | 112500 | 0 | 0 |
| Nano Dimension Ltd | ADR | 63008G203 |  | 18208401 | 7916696 | SH |  | DFND |  | 7916696 | 0 | 0 |
| National Amusements Inc | Preferred Convertible | 92556H305 |  | 771537 | 30859 | SH |  | DFND |  | 30859 | 0 | 0 |
| Nautilus Biotechnology Inc | Equity | 63909J108 |  | 809129 | 449516 | SH |  | DFND |  | 449516 | 0 | 0 |
| Newcourt Acquisition Corp | Equity | G6448C103 |  | 1028000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Newcourt Acquisition Corp | Warrant | G6448C129 |  | 514000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Northern Star Investment Corp II | Equity | 66573W107 |  | 1002000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Nutanix Inc | Option | 67059N108 |  | 781500 | 30000 | SH | Call | DFND |  | 30000 | 0 | 0 |
| Nutrien Ltd | Equity | 67077M108 |  | 730300 | 10000 | SH |  | DFND |  | 10000 | 0 | 0 |
| Olaplex Holdings Inc | Equity | 679369108 |  | 1016992 | 195200 | SH |  | DFND |  | 195200 | 0 | 0 |
| Olema Pharmaceuticals Inc | Equity | 68062P106 |  | 317596 | 129631 | SH |  | DFND |  | 129631 | 0 | 0 |
| OmniAb Inc | Equity | 68218J103 |  | 226858 | 63016 | SH |  | DFND |  | 63016 | 0 | 0 |
| OmniAb Inc | Warrant | 68218J111 |  | 42599 | 11833 | SH |  | DFND |  | 11833 | 0 | 0 |
| ON24 Inc | Equity | 68339B104 |  | 286732 | 33225 | SH |  | DFND |  | 33225 | 0 | 0 |
| OneConnect Financial Technology Co Ltd | ADR | 68248T204 |  | 128449 | 24190 | SH |  | DFND |  | 24190 | 0 | 0 |
| Onfolio Holdings Inc | Warrant | 68277K124 |  | 304000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| Onyx Acquisition Co I | Warrant | G6755Q117 |  | 516000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Onyx Acquisition Co I | Equity | G6755Q109 |  | 1032000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Orion Biotech Opportunities Corp | Warrant | G6780C117 |  | 150750 | 15000 | SH |  | DFND |  | 15000 | 0 | 0 |
| Oscar Health Inc | Equity | 687793109 |  | 467196 | 189917 | SH |  | DFND |  | 189917 | 0 | 0 |
| Osisko Development Corp | Equity | 68828E809 |  | 318326 | 74906 | SH |  | DFND |  | 74906 | 0 | 0 |
| Owl Rock Capital Corp | Option | 69121K104 |  | 2310000 | 200000 | SH | Put | DFND |  | 200000 | 0 | 0 |
| PayPal Holdings Inc | Equity | 70450Y103 |  | 1424400 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| Peloton Interactive Inc | Bond Convertible | 70614WAB6 |  | 1420920 | 2000000 | SH |  | DFND |  | 2000000 | 0 | 0 |
| Pembina Pipeline Corp | Equity | 706327103 |  | 1695440 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Personalis Inc | Equity | 71535D106 |  | 207845 | 104972 | SH |  | DFND |  | 104972 | 0 | 0 |
| Pinduoduo Inc | Option | 722304102 |  | 36795360 | 451200 | SH | Put | DFND |  | 451200 | 0 | 0 |
| Pinterest Inc | Option | 72352L106 |  | 2428000 | 100000 | SH | Call | DFND |  | 100000 | 0 | 0 |
| Pontem Corp | Equity | G71707106 |  | 505500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Pontem Corp | Warrant | G71707122 |  | 168493 | 16666 | SH |  | DFND |  | 16666 | 0 | 0 |
| PROLOGIS INC | Equity | 74340W103 |  | 6866384 | 60910 | SH |  | DFND |  | 60910 | 0 | 0 |
| Pyrophyte Acquisition Corp | Warrant | G7308P127 |  | 387375 | 37500 | SH |  | DFND |  | 37500 | 0 | 0 |
| QUALCOMM INC | Equity | 747525103 |  | 1099400 | 10000 | SH |  | DFND |  | 10000 | 0 | 0 |
| Rail Vision Ltd | Warrant | M8186D114 |  | 271455 | 238265 | SH |  | DFND |  | 238265 | 0 | 0 |
| Raytheon Technologies Corp | Equity | 75513E101 |  | 1513800 | 15000 | SH |  | DFND |  | 15000 | 0 | 0 |
| Resolute Forest Products Inc | Equity | 76117W109 |  | 215900 | 10000 | SH |  | DFND |  | 10000 | 0 | 0 |
| Rexford Industrial Realty Inc | Equity | 76169C100 |  | 1037067 | 18980 | SH |  | DFND |  | 18980 | 0 | 0 |
| Robinhood Markets Inc | Equity | 770700102 |  | 814000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Rose Hill Acquisition Corp | Equity | G7637J107 |  | 516000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Rose Hill Acquisition Corp | Warrant | G7637J123 |  | 257990 | 24999 | SH |  | DFND |  | 24999 | 0 | 0 |
| Ross Acquisition Corp II | Warrant | G7641C114 |  | 5642376 | 557547 | SH |  | DFND |  | 557547 | 0 | 0 |
| Seaport Global Acquisition II Corp | Warrant | 81221H113 |  | 1019000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Seaport Global Acquisition II Corp | Equity | 81221H105 |  | 2038000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| SERITAGE GROWTH PROPERTIES | Equity | 81752R100 |  | 1115782 | 94318 | SH |  | DFND |  | 94318 | 0 | 0 |
| Shaw Communications Inc | Equity | 82028K200 |  | 682689 | 23720 | SH |  | DFND |  | 23720 | 0 | 0 |
| Shelter Acquisition Corp I | Warrant | 822821112 |  | 353582 | 35000 | SH |  | DFND |  | 35000 | 0 | 0 |
| Sierra Wireless Inc | Equity | 826516106 |  | 1739400 | 60000 | SH |  | DFND |  | 60000 | 0 | 0 |
| Silvergate Capital Corp | Equity | 82837P408 |  | 19395850 | 1114704 | SH |  | DFND |  | 1114704 | 0 | 0 |
| Singular Genomics Systems Inc | Equity | 82933R100 |  | 341191 | 169747 | SH |  | DFND |  | 169747 | 0 | 0 |
| Smart for Life Inc | Equity | 83204U103 |  | 241417 | 1027305 | SH |  | DFND |  | 1027305 | 0 | 0 |
| SmartRent Inc | Equity | 83193G107 |  | 343755 | 141463 | SH |  | DFND |  | 141463 | 0 | 0 |
| Snap Inc | Bond Convertible | 83304AAF3 |  | 1398100 | 2000000 | SH |  | DFND |  | 2000000 | 0 | 0 |
| Soar Technology Acquisition Corp | Warrant | G82472120 |  | 520500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| SPDR S 500 ETF Trust | Exchange Traded Fund | 78462F103 |  | 5736450 | 15000 | SH |  | DFND |  | 15000 | 0 | 0 |
| SPDR S 500 ETF Trust | Option | 78462F103 |  | 26770100 | 70000 | SH | Put | DFND |  | 70000 | 0 | 0 |
| Spero Therapeutics Inc | Equity | 84833T103 |  | 5223922 | 3019608 | SH |  | DFND |  | 3019608 | 0 | 0 |
| Spirit AeroSystems Holdings Inc | Option | 848574109 |  | 1480000 | 50000 | SH | Call | DFND |  | 50000 | 0 | 0 |
| Spirit Realty Capital Inc | Equity | 84860W300 |  | 4851495 | 121500 | SH |  | DFND |  | 121500 | 0 | 0 |
| Sports Ventures Acquisition Corp | Warrant | G8372A129 |  | 8695420 | 858630 | SH |  | DFND |  | 858630 | 0 | 0 |
| SpringBig Holdings Inc | Warrant | 85021Q116 |  | 24900 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| SRAX Inc. | Equity | 78472M106 |  | 44000 | 33000 | SH |  | DFND |  | 33000 | 0 | 0 |
| STAG Industrial Inc | Equity | 85254J102 |  | 2584800 | 80000 | SH |  | DFND |  | 80000 | 0 | 0 |
| STORE Capital Corp | Equity | 862121100 |  | 6412000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| Suncor Energy Inc | Equity | 867224107 |  | 14259628 | 450000 | SH |  | DFND |  | 450000 | 0 | 0 |
| Super Micro Computer Inc | Option | 86800U104 |  | 2052500 | 25000 | SH | Put | DFND |  | 25000 | 0 | 0 |
| SVF Investment Corp | Warrant | G8601L128 |  | 5572905 | 551227 | SH |  | DFND |  | 551227 | 0 | 0 |
| Talkspace Inc | Equity | 87427V103 |  | 133841 | 219304 | SH |  | DFND |  | 219304 | 0 | 0 |
| Talon 1 Acquisition Corp | Warrant | G86656116 |  | 388875 | 37500 | SH |  | DFND |  | 37500 | 0 | 0 |
| Talon 1 Acquisition Corp | Equity | G86656108 |  | 777750 | 75000 | SH |  | DFND |  | 75000 | 0 | 0 |
| Tastemaker Acquisition Corp | Warrant | 876545112 |  | 509000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| TC Energy Corp | Equity | 87807B107 |  | 1991294 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Teck Resources Ltd | Equity | 878742204 |  | 1133687 | 30000 | SH |  | DFND |  | 30000 | 0 | 0 |
| Tempur Sealy International Inc | Equity | 88023U101 |  | 2358025 | 68687 | SH |  | DFND |  | 68687 | 0 | 0 |
| TESLA INC. | Equity | 88160R101 |  | 923850 | 7500 | SH |  | DFND |  | 7500 | 0 | 0 |
| Thrive Acquisition Corp | Warrant | G7158C119 |  | 515000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| Thunder Bridge Capital Partners IV Inc | Warrant | 88605L115 |  | 4570786 | 460069 | SH |  | DFND |  | 460069 | 0 | 0 |
| TLG Acquisition One Corp | Equity | 87257M108 |  | 1018000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Tricon Residential Inc | Equity | 89612W102 |  | 21919665 | 2844806 | SH |  | DFND |  | 2844806 | 0 | 0 |
| Triple Flag Precious Metals Corp | Equity | 89679M104 |  | 4162400 | 302500 | SH |  | DFND |  | 302500 | 0 | 0 |
| Turning Point Brands Inc | Equity | 90041L105 |  | 547217 | 25299 | SH |  | DFND |  | 25299 | 0 | 0 |
| Twilio Inc | Option | 90138F102 |  | 1028160 | 21000 | SH | Call | DFND |  | 21000 | 0 | 0 |
| Uber Technologies Inc | Bond Convertible | 90353TAJ9 |  | 1693100 | 2000000 | SH |  | DFND |  | 2000000 | 0 | 0 |
| Ulta Beauty Inc | Option | 90384S303 |  | 10600982 | 22600 | SH | Put | DFND |  | 22600 | 0 | 0 |
| Uniti Group Inc | Equity | 91325V108 |  | 1212176 | 219200 | SH |  | DFND |  | 219200 | 0 | 0 |
| Unity Software Inc | Bond Convertible | 91332UAB7 |  | 1504740 | 2000000 | SH |  | DFND |  | 2000000 | 0 | 0 |
| UserTesting Inc | Equity | 91734E101 |  | 751000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| Valens Co Inc/The | Equity | 91914P603 |  | 161133 | 240000 | SH |  | DFND |  | 240000 | 0 | 0 |
| Viant Technology Inc | Equity | 92557A101 |  | 596399 | 148358 | SH |  | DFND |  | 148358 | 0 | 0 |
| Vimeo Inc | Equity | 92719V100 |  | 501806 | 146299 | SH |  | DFND |  | 146299 | 0 | 0 |
| Viscogliosi Brothers Acquisition Corp | Warrant | 92838K118 |  | 252568 | 24982 | SH |  | DFND |  | 24982 | 0 | 0 |
| Walt Disney Co/The | Equity | 254687106 |  | 1737600 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| Wells Fargo | Equity | 949746101 |  | 1651600 | 40000 | SH |  | DFND |  | 40000 | 0 | 0 |
| XUNLEI LTD. | ADR | 98419E108 |  | 681701 | 374561 | SH |  | DFND |  | 374561 | 0 | 0 |
| Zoom Video Communications Inc | Equity | 98980L101 |  | 12673612 | 187092 | SH |  | DFND |  | 187092 | 0 | 0 |

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