The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
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 |
58 COM INC | SPON ADR REP A | 31680Q104 | 1,254 | 15,700 | SH | DFND | 1 | 15,700 | 0 | 0 | |
ADVANCED ENERGY INDS | COM | 007973100 | 8,480 | 132,700 | SH | DFND | 1 | 132,700 | 0 | 0 | |
ADVENT CLAY CONV SEC INC FD | COM | 007639107 | 212 | 37,917 | SH | DFND | 1 | 37,917 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 20,024 | 109,100 | SH | DFND | 1 | 109,100 | 0 | 0 | |
ALIGN TECHNOLOGY INC | COM | 016255101 | 9,878 | 39,335 | SH | DFND | 1 | 39,335 | 0 | 0 | |
ALPINE TOTAL DYNAMIC DIVID F | COM SH BEN INT N | 021060207 | 3,631 | 406,200 | SH | DFND | 1 | 406,200 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 15,941 | 215,300 | SH | DFND | 1 | 215,300 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 33,410 | 23,084 | SH | DFND | 1 | 23,084 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 9,076 | 53,240 | SH | DFND | 1 | 53,240 | 0 | 0 | |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 13,673 | 621,616 | SH | DFND | 1 | 621,616 | 0 | 0 | |
ARBOR RLTY TR INC | COM | 038923108 | 1,520 | 172,300 | SH | DFND | 1 | 172,300 | 0 | 0 | |
ARES CAP CORP | COM | 04010L103 | 37,253 | 2,347,400 | SH | DFND | 1 | 2,347,400 | 0 | 0 | |
ARMO BIOSCIENCES INC | COM | 04225U104 | 11,967 | 328,351 | SH | DFND | 1 | 328,351 | 0 | 0 | |
AUTOHOME INC | SP ADR RP CL A | 05278C107 | 4,065 | 47,300 | SH | DFND | 1 | 47,300 | 0 | 0 | |
AXON ENTERPRISE INC | COM | 05464C101 | 3,239 | 82,400 | SH | DFND | 1 | 82,400 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 1,378 | 6,173 | SH | DFND | 1 | 6,173 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 38,398 | 1,280,358 | SH | DFND | 1 | 1,280,358 | 0 | 0 | |
BAOZUN INC | SPONSORED ADR | 06684L103 | 6,565 | 143,100 | SH | DFND | 1 | 143,100 | 0 | 0 | |
BIOGEN INC | COM | 09062X103 | 3,438 | 12,557 | SH | DFND | 1 | 12,557 | 0 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 2,946 | 36,345 | SH | DFND | 1 | 36,345 | 0 | 0 | |
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 786 | 67,600 | SH | DFND | 1 | 67,600 | 0 | 0 | |
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 380 | 29,000 | SH | DFND | 1 | 29,000 | 0 | 0 | |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 33,170 | 1,055,700 | SH | DFND | 1 | 1,055,700 | 0 | 0 | |
BLUEBIRD BIO INC | COM | 09609G100 | 1,147 | 6,720 | SH | DFND | 1 | 6,720 | 0 | 0 | |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 2,604 | 95,300 | SH | DFND | 1 | 95,300 | 0 | 0 | |
BOX INC | CL A | 10316T104 | 3,144 | 153,000 | SH | DFND | 1 | 153,000 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 8,441 | 133,460 | SH | DFND | 1 | 133,460 | 0 | 0 | |
BROADCOM LTD | SHS | Y09827109 | 19,699 | 83,595 | SH | DFND | 1 | 83,595 | 0 | 0 | |
BROOKFIELD GLOBL LISTED INFR | COM SHS | 11273Q109 | 316 | 27,025 | SH | DFND | 1 | 27,025 | 0 | 0 | |
CARDIOME PHARMA CORP | COM NO PAR | 14159U301 | 4,816 | 2,075,663 | SH | DFND | 1 | 2,075,663 | 0 | 0 | |
CARTER INC | COM | 146229109 | 442 | 4,250 | SH | DFND | 1 | 4,250 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 24,747 | 1,079,250 | SH | DFND | 1 | 1,079,250 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 8,577 | 96,147 | SH | DFND | 1 | 96,147 | 0 | 0 | |
CHILDRENS PL INC | COM | 168905107 | 392 | 2,900 | SH | DFND | 1 | 2,900 | 0 | 0 | |
CITIGROUP INC | W EXP 01/04/201 | 172967226 | 13 | 271,800 | SH | DFND | 1 | 271,800 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 31,795 | 471,043 | SH | DFND | 1 | 471,043 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 5,614 | 106,335 | SH | DFND | 1 | 106,335 | 0 | 0 | |
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 13,033 | 161,900 | SH | DFND | 1 | 161,900 | 0 | 0 | |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 5,593 | 217,300 | SH | DFND | 1 | 217,300 | 0 | 0 | |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 546 | 35,727 | SH | DFND | 1 | 35,727 | 0 | 0 | |
CREDIT ACCEP CORP MICH | COM | 225310101 | 16,314 | 49,375 | SH | DFND | 1 | 49,375 | 0 | 0 | |
CREDIT SUISSE NASSAU BRH | VELOCITY SHS SHR | 22542D357 | 273 | 29,000 | SH | DFND | 1 | 29,000 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 25,608 | 560,231 | SH | DFND | 1 | 560,231 | 0 | 0 | |
CUSHING RENAISSANCE FD | COM | 231647108 | 878 | 55,840 | SH | DFND | 1 | 55,840 | 0 | 0 | |
D R HORTON INC | COM | 23331A109 | 19,110 | 435,895 | SH | DFND | 1 | 435,895 | 0 | 0 | |
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 235 | 20,329 | SH | DFND | 1 | 20,329 | 0 | 0 | |
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 526 | 26,200 | SH | DFND | 1 | 26,200 | 0 | 0 | |
EATON VANCE TAX MNGD GBL DV | COM | 27829F108 | 1,929 | 211,500 | SH | DFND | 1 | 211,500 | 0 | 0 | |
EATON VANCE TX MGD DIV EQ IN | COM | 27828N102 | 791 | 68,361 | SH | DFND | 1 | 68,361 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 10,459 | 151,400 | SH | DFND | 1 | 151,400 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 11,332 | 70,915 | SH | DFND | 1 | 70,915 | 0 | 0 | |
FIRST REP BK SAN FRANCISCO C | COM | 33616C100 | 361 | 3,900 | SH | DFND | 1 | 3,900 | 0 | 0 | |
FIRST TR STRATEGIC HIGH INC | COM SHS NEW | 337353304 | 193 | 15,800 | SH | DFND | 1 | 15,800 | 0 | 0 | |
FLOOR & DECOR HLDGS INC | CL A | 339750101 | 506 | 9,700 | SH | DFND | 1 | 9,700 | 0 | 0 | |
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 150 | 13,388 | SH | DFND | 1 | 13,388 | 0 | 0 | |
GABELLI EQUITY TR INC | COM | 362397101 | 1,145 | 187,143 | SH | DFND | 1 | 187,143 | 0 | 0 | |
GALAPAGOS NV | SPON ADR | 36315X101 | 4,983 | 49,953 | SH | DFND | 1 | 49,953 | 0 | 0 | |
GCI LIBERTY INC | COM CLASS A | 36164V305 | 48,425 | 916,092 | SH | DFND | 1 | 916,092 | 0 | 0 | |
GLOBAL MED REIT INC | COM NEW | 37954A204 | 4,344 | 625,000 | SH | DFND | 1 | 625,000 | 0 | 0 | |
GOLUB CAP BDC INC | COM | 38173M102 | 12,159 | 679,666 | SH | DFND | 1 | 679,666 | 0 | 0 | |
GRANITE PT MTG TR INC | COM | 38741L107 | 3,353 | 202,700 | SH | DFND | 1 | 202,700 | 0 | 0 | |
GTT COMMUNICATIONS INC | COM | 362393100 | 7,382 | 130,200 | SH | DFND | 1 | 130,200 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 8,753 | 77,691 | SH | DFND | 1 | 77,691 | 0 | 0 | |
HALYARD HEALTH INC | COM | 40650V100 | 8,889 | 192,900 | SH | DFND | 1 | 192,900 | 0 | 0 | |
HIGHLAND FLOATNG RATE OPPRT | SHS BEN INT | 43010E404 | 710 | 44,427 | SH | DFND | 1 | 44,427 | 0 | 0 | |
HOLOGIC INC | COM | 436440101 | 798 | 21,348 | SH | DFND | 1 | 21,348 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 570 | 3,200 | SH | DFND | 1 | 3,200 | 0 | 0 | |
ILLUMINA INC | COM | 452327109 | 8,885 | 37,580 | SH | DFND | 1 | 37,580 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 308 | 3,700 | SH | DFND | 1 | 3,700 | 0 | 0 | |
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 10,517 | 499,624 | SH | DFND | 1 | 499,624 | 0 | 0 | |
INVESCO MUN TR | COM | 46131J103 | 385 | 32,900 | SH | DFND | 1 | 32,900 | 0 | 0 | |
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 389 | 32,700 | SH | DFND | 1 | 32,700 | 0 | 0 | |
IRHYTHM TECHNOLOGIES INC | COM | 450056106 | 1,284 | 20,400 | SH | DFND | 1 | 20,400 | 0 | 0 | |
ISHARES TR | MSCI INDIA ETF | 46429B598 | 2,386 | 69,900 | SH | DFND | 1 | 69,900 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 453 | 3,000 | SH | DFND | 1 | 3,000 | 0 | 0 | |
JD COM INC | SPON ADR CL A | 47215P106 | 13,309 | 328,700 | SH | DFND | 1 | 328,700 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 31,363 | 285,200 | SH | DFND | 1 | 285,200 | 0 | 0 | |
KINDER MORGAN INC DEL | COM | 49456B101 | 23,096 | 1,533,600 | SH | DFND | 1 | 1,533,600 | 0 | 0 | |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 2,738 | 172,401 | SH | DFND | 1 | 172,401 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 3,159 | 168,461 | SH | DFND | 1 | 168,461 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 9,854 | 653,478 | SH | DFND | 1 | 653,478 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 10,207 | 50,240 | SH | DFND | 1 | 50,240 | 0 | 0 | |
LENNAR CORP | CL A | 526057104 | 19,845 | 336,697 | SH | DFND | 1 | 336,697 | 0 | 0 | |
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 2,033 | 331,700 | SH | DFND | 1 | 331,700 | 0 | 0 | |
LOGMEIN INC | COM | 54142L109 | 11,016 | 95,334 | SH | DFND | 1 | 95,334 | 0 | 0 | |
MADISON CVRED CALL & EQ STR | COM | 557437100 | 268 | 36,965 | SH | DFND | 1 | 36,965 | 0 | 0 | |
MFS HIGH YIELD MUN TR | SH BEN INT | 59318E102 | 389 | 87,514 | SH | DFND | 1 | 87,514 | 0 | 0 | |
MFS INVT GRADE MUN TR | SH BEN INT | 59318B108 | 180 | 19,144 | SH | DFND | 1 | 19,144 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 32,200 | 352,800 | SH | DFND | 1 | 352,800 | 0 | 0 | |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 314 | 27,523 | SH | DFND | 1 | 27,523 | 0 | 0 | |
MIMECAST LTD | ORD SHS | G14838109 | 10,129 | 285,900 | SH | DFND | 1 | 285,900 | 0 | 0 | |
MONOLITHIC PWR SYS INC | COM | 609839105 | 10,361 | 89,500 | SH | DFND | 1 | 89,500 | 0 | 0 | |
MORGAN STANLEY | COM NEW | 617446448 | 6,141 | 113,800 | SH | DFND | 1 | 113,800 | 0 | 0 | |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 874 | 35,100 | SH | DFND | 1 | 35,100 | 0 | 0 | |
NEUBERGER BERMAN INTER MUNI | COM | 64124P101 | 383 | 27,800 | SH | DFND | 1 | 27,800 | 0 | 0 | |
NEUBERGER BERMAN RE ES SEC F | COM | 64190A103 | 387 | 81,097 | SH | DFND | 1 | 81,097 | 0 | 0 | |
NEXPOINT CR STRATEGIES FD | COM NEW | 65340G205 | 360 | 15,653 | SH | DFND | 1 | 15,653 | 0 | 0 | |
NUVEEN REAL ESTATE INCOME FD | COM | 67071B108 | 492 | 50,543 | SH | DFND | 1 | 50,543 | 0 | 0 | |
NXSTAGE MEDICAL INC | COM | 67072V103 | 5,012 | 201,600 | SH | DFND | 1 | 201,600 | 0 | 0 | |
PERRIGO CO PLC | SHS | G97822103 | 3,667 | 44,000 | SH | DFND | 1 | 44,000 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 7,478 | 210,700 | SH | DFND | 1 | 210,700 | 0 | 0 | |
PHYSICIANS RLTY TR | COM | 71943U104 | 1,541 | 99,000 | SH | DFND | 1 | 99,000 | 0 | 0 | |
POOL CORPORATION | COM | 73278L105 | 439 | 3,000 | SH | DFND | 1 | 3,000 | 0 | 0 | |
PULTE GROUP INC | COM | 745867101 | 8,027 | 272,194 | SH | DFND | 1 | 272,194 | 0 | 0 | |
PUTMAN HIGH INCOME SEC FUND | SHS BEN INT | 746779107 | 197 | 21,800 | SH | DFND | 1 | 21,800 | 0 | 0 | |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 1,292 | 45,777 | SH | DFND | 1 | 45,777 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 10,967 | 94,300 | SH | DFND | 1 | 94,300 | 0 | 0 | |
SERVICE CORP INTL | COM | 817565104 | 5,686 | 150,668 | SH | DFND | 1 | 150,668 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 15,157 | 91,610 | SH | DFND | 1 | 91,610 | 0 | 0 | |
SIENNA BIOPHARMACEUTICALS IN | COM | 82622H108 | 12,157 | 647,357 | SH | DFND | 1 | 647,357 | 0 | 0 | |
SOLAR CAP LTD | COM | 83413U100 | 14,941 | 735,631 | SH | DFND | 1 | 735,631 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 45,432 | 2,168,582 | SH | DFND | 1 | 2,168,582 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 328 | 7,500 | SH | DFND | 1 | 7,500 | 0 | 0 | |
TAL ED GROUP | ADS REPSTG COM | 874080104 | 1,098 | 29,600 | SH | DFND | 1 | 29,600 | 0 | 0 | |
TCG BDC INC | COM | 872280102 | 3,485 | 194,700 | SH | DFND | 1 | 194,700 | 0 | 0 | |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 360 | 16,700 | SH | DFND | 1 | 16,700 | 0 | 0 | |
TEKLA WORLD HEALTHCARE FD | BEN INT SHS | 87911L108 | 949 | 73,937 | SH | DFND | 1 | 73,937 | 0 | 0 | |
TELADOC INC | COM | 87918A105 | 10,869 | 269,700 | SH | DFND | 1 | 269,700 | 0 | 0 | |
TEMPLETON EMERG MKTS INCOME | COM | 880192109 | 199 | 17,600 | SH | DFND | 1 | 17,600 | 0 | 0 | |
TOLL BROTHERS INC | COM | 889478103 | 441 | 10,200 | SH | DFND | 1 | 10,200 | 0 | 0 | |
TORTOISE ENERGY INDEPENDENC | COM | 89148K101 | 623 | 55,400 | SH | DFND | 1 | 55,400 | 0 | 0 | |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 10,416 | 583,211 | SH | DFND | 1 | 583,211 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 13,352 | 43,500 | SH | DFND | 1 | 43,500 | 0 | 0 | |
TRI POINTE HOMES INC | COM | 87265H109 | 3,576 | 217,671 | SH | DFND | 1 | 217,671 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 9,623 | 59,042 | SH | DFND | 1 | 59,042 | 0 | 0 | |
VIASAT INC | COM | 92552V100 | 22,795 | 346,852 | SH | DFND | 1 | 346,852 | 0 | 0 | |
VIRTUSA CORP | COM | 92827P102 | 1,672 | 34,500 | SH | DFND | 1 | 34,500 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 4,724 | 117,803 | SH | DFND | 1 | 117,803 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 6,274 | 92,900 | SH | DFND | 1 | 92,900 | 0 | 0 | |
WEIBO CORP | SPONSORED ADR | 948596101 | 10,794 | 90,300 | SH | DFND | 1 | 90,300 | 0 | 0 | |
WELLS FARGO ADV GLB DIV OPP | COM | 94987C103 | 1,104 | 194,025 | SH | DFND | 1 | 194,025 | 0 | 0 | |
WELLS FARGO ADVANTAGE INCOME | COM SHS | 94987B105 | 191 | 23,800 | SH | DFND | 1 | 23,800 | 0 | 0 | |
WELLS FARGO ADVANTAGE MULTI | COM SHS | 94987D101 | 2,732 | 209,363 | SH | DFND | 1 | 209,363 | 0 | 0 | |
WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 7,709 | 294,000 | SH | DFND | 1 | 294,000 | 0 | 0 | |
WNS HOLDINGS LTD | SPON ADR | 92932M101 | 4,374 | 96,500 | SH | DFND | 1 | 96,500 | 0 | 0 |