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 |
ABERDEEN CHILE FD INC | COM | 00301W105 | 199 | 28,425 | SH | DFND | 1 | 28,425 | 0 | 0 | |
ABERDEEN INCOME CR STRATEGIE | COM | 003057106 | 153 | 11,085 | SH | DFND | 1 | 11,085 | 0 | 0 | |
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 193 | 22,000 | SH | DFND | 1 | 22,000 | 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 | 4,833 | 26,050 | SH | DFND | 1 | 26,050 | 0 | 0 | |
ALIGN TECHNOLOGY INC | COM | 016255101 | 11,330 | 33,115 | SH | DFND | 1 | 33,115 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 31,768 | 18,689 | SH | DFND | 1 | 18,689 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 12,331 | 66,800 | SH | DFND | 1 | 66,800 | 0 | 0 | |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 12,708 | 577,616 | SH | DFND | 1 | 577,616 | 0 | 0 | |
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 378 | 24,250 | SH | DFND | 1 | 24,250 | 0 | 0 | |
APPLE INC | COM | 037833100 | 20,177 | 109,000 | SH | DFND | 1 | 109,000 | 0 | 0 | |
ARBOR RLTY TR INC | COM | 038923108 | 1,797 | 172,300 | SH | DFND | 1 | 172,300 | 0 | 0 | |
ARES CAP CORP | COM | 04010L103 | 38,384 | 2,333,400 | SH | DFND | 1 | 2,333,400 | 0 | 0 | |
ARMSTRONG WORLD INDS INC NEW | COM | 04247X102 | 600 | 9,500 | SH | DFND | 1 | 9,500 | 0 | 0 | |
AT HOME GROUP INC | COM | 04650Y100 | 615 | 15,700 | SH | DFND | 1 | 15,700 | 0 | 0 | |
AUTOHOME INC | SP ADR RP CL A | 05278C107 | 788 | 7,800 | SH | DFND | 1 | 7,800 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 285 | 1,173 | SH | DFND | 1 | 1,173 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 36,054 | 1,278,958 | SH | DFND | 1 | 1,278,958 | 0 | 0 | |
BAOZUN INC | SPONSORED ADR | 06684L103 | 957 | 17,500 | SH | DFND | 1 | 17,500 | 0 | 0 | |
BIOGEN INC | COM | 09062X103 | 2,923 | 10,072 | SH | DFND | 1 | 10,072 | 0 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 3,810 | 40,445 | SH | DFND | 1 | 40,445 | 0 | 0 | |
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 383 | 29,000 | SH | DFND | 1 | 29,000 | 0 | 0 | |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 33,448 | 1,064,200 | SH | DFND | 1 | 1,064,200 | 0 | 0 | |
BLUEBIRD BIO INC | COM | 09609G100 | 5,485 | 34,950 | SH | DFND | 1 | 34,950 | 0 | 0 | |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 3,116 | 95,300 | SH | DFND | 1 | 95,300 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 8,116 | 146,660 | SH | DFND | 1 | 146,660 | 0 | 0 | |
BROOKFIELD GLOBL LISTED INFR | COM SHS | 11273Q109 | 388 | 32,089 | SH | DFND | 1 | 32,089 | 0 | 0 | |
CARTER INC | COM | 146229109 | 526 | 4,850 | SH | DFND | 1 | 4,850 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 37,113 | 892,150 | SH | DFND | 1 | 892,150 | 0 | 0 | |
CHILDRENS PL INC | COM | 168905107 | 495 | 4,100 | SH | DFND | 1 | 4,100 | 0 | 0 | |
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 2,029 | 45,700 | SH | DFND | 1 | 45,700 | 0 | 0 | |
CHINA UNICOM (HONG KONG) LTD | SPONSORED ADR | 16945R104 | 756 | 60,400 | SH | DFND | 1 | 60,400 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 49,035 | 732,743 | SH | DFND | 1 | 732,743 | 0 | 0 | |
CITIGROUP INC | W EXP 01/04/201 | 172967226 | 3 | 271,800 | SH | DFND | 1 | 271,800 | 0 | 0 | |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 6,491 | 217,300 | SH | DFND | 1 | 217,300 | 0 | 0 | |
CORREVIO PHARMA CORP | COM | 22026V105 | 7,795 | 2,062,263 | SH | DFND | 1 | 2,062,263 | 0 | 0 | |
CREDIT ACCEP CORP MICH | COM | 225310101 | 17,329 | 49,035 | SH | DFND | 1 | 49,035 | 0 | 0 | |
CREDIT SUISSE NASSAU BRH | VELOCITY SHS DAI | 22542D332 | 275 | 5,220 | SH | DFND | 1 | 5,220 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 22,495 | 382,831 | SH | DFND | 1 | 382,831 | 0 | 0 | |
D R HORTON INC | COM | 23331A109 | 24,514 | 597,895 | SH | DFND | 1 | 597,895 | 0 | 0 | |
DBX ETF TR | DBXTR HAR CS 300 | 233051879 | 1,197 | 45,100 | SH | DFND | 1 | 45,100 | 0 | 0 | |
DUFF & PHELPS SLCT ENGY MLP | COM | 26433F108 | 302 | 54,400 | SH | DFND | 1 | 54,400 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 6,130 | 79,400 | SH | DFND | 1 | 79,400 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 37,151 | 191,185 | SH | DFND | 1 | 191,185 | 0 | 0 | |
FIRST REP BK SAN FRANCISCO C | COM | 33616C100 | 581 | 6,000 | SH | DFND | 1 | 6,000 | 0 | 0 | |
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 188 | 12,779 | SH | DFND | 1 | 12,779 | 0 | 0 | |
FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 272 | 19,200 | SH | DFND | 1 | 19,200 | 0 | 0 | |
FLOOR & DECOR HLDGS INC | CL A | 339750101 | 543 | 11,000 | SH | DFND | 1 | 11,000 | 0 | 0 | |
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 146 | 13,388 | SH | DFND | 1 | 13,388 | 0 | 0 | |
GABELLI UTIL TR | COM | 36240A101 | 1,837 | 311,900 | SH | DFND | 1 | 311,900 | 0 | 0 | |
GALAPAGOS NV | SPON ADR | 36315X101 | 4,725 | 51,253 | SH | DFND | 1 | 51,253 | 0 | 0 | |
GCI LIBERTY INC | COM CLASS A | 36164V305 | 46,042 | 1,021,349 | SH | DFND | 1 | 1,021,349 | 0 | 0 | |
GLOBAL MED REIT INC | COM NEW | 37954A204 | 4,216 | 475,800 | SH | DFND | 1 | 475,800 | 0 | 0 | |
GOLUB CAP BDC INC | COM | 38173M102 | 13,108 | 716,266 | SH | DFND | 1 | 716,266 | 0 | 0 | |
GRANITE PT MTG TR INC | COM | 38741L107 | 8,259 | 450,100 | SH | DFND | 1 | 450,100 | 0 | 0 | |
GTT COMMUNICATIONS INC | COM | 362393100 | 10,211 | 226,900 | SH | DFND | 1 | 226,900 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 7,171 | 51,391 | SH | DFND | 1 | 51,391 | 0 | 0 | |
HALYARD HEALTH INC | COM | 40650V100 | 6,269 | 109,500 | SH | DFND | 1 | 109,500 | 0 | 0 | |
HIGHLAND FLOATNG RATE OPPRT | SHS BEN INT | 43010E404 | 347 | 22,227 | SH | DFND | 1 | 22,227 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 6,946 | 35,600 | SH | DFND | 1 | 35,600 | 0 | 0 | |
ILLUMINA INC | COM | 452327109 | 12,722 | 45,550 | SH | DFND | 1 | 45,550 | 0 | 0 | |
INSTALLED BLDG PRODS INC | COM | 45780R101 | 6,215 | 109,900 | SH | DFND | 1 | 109,900 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 10,270 | 206,600 | SH | DFND | 1 | 206,600 | 0 | 0 | |
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 10,083 | 570,624 | SH | DFND | 1 | 570,624 | 0 | 0 | |
INVESCO MUN TR | COM | 46131J103 | 389 | 32,900 | SH | DFND | 1 | 32,900 | 0 | 0 | |
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 390 | 32,700 | SH | DFND | 1 | 32,700 | 0 | 0 | |
IQIYI INC | SPONSORED ADS | 46267X108 | 688 | 21,300 | SH | DFND | 1 | 21,300 | 0 | 0 | |
IRHYTHM TECHNOLOGIES INC | COM | 450056106 | 1,249 | 15,400 | SH | DFND | 1 | 15,400 | 0 | 0 | |
ISHARES TR | CORE S&P500 ETF | 464287200 | 969 | 3,550 | SH | DFND | 1 | 3,550 | 0 | 0 | |
ISHARES TR | RUS 1000 ETF | 464287622 | 973 | 6,400 | SH | DFND | 1 | 6,400 | 0 | 0 | |
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 497 | 34,700 | SH | DFND | 1 | 34,700 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 879 | 5,100 | SH | DFND | 1 | 5,100 | 0 | 0 | |
JD COM INC | SPON ADR CL A | 47215P106 | 21,461 | 551,000 | SH | DFND | 1 | 551,000 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 29,791 | 285,900 | SH | DFND | 1 | 285,900 | 0 | 0 | |
KINDER MORGAN INC DEL | COM | 49456B101 | 21,022 | 1,189,700 | SH | DFND | 1 | 1,189,700 | 0 | 0 | |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 2,855 | 172,401 | SH | DFND | 1 | 172,401 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 2,300 | 126,361 | SH | DFND | 1 | 126,361 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 7,145 | 457,416 | SH | DFND | 1 | 457,416 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 5,936 | 34,340 | SH | DFND | 1 | 34,340 | 0 | 0 | |
LENNAR CORP | CL A | 526057104 | 30,193 | 575,097 | SH | DFND | 1 | 575,097 | 0 | 0 | |
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 2,123 | 331,700 | SH | DFND | 1 | 331,700 | 0 | 0 | |
MACQUARIE FT TR GB INF UT DI | COM | 55607W100 | 492 | 45,400 | SH | DFND | 1 | 45,400 | 0 | 0 | |
MADISON CVRED CALL & EQ STR | COM | 557437100 | 275 | 36,965 | SH | DFND | 1 | 36,965 | 0 | 0 | |
MASONITE INTL CORP NEW | COM | 575385109 | 604 | 8,400 | SH | DFND | 1 | 8,400 | 0 | 0 | |
MFS HIGH YIELD MUN TR | SH BEN INT | 59318E102 | 395 | 87,514 | SH | DFND | 1 | 87,514 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 37,856 | 383,900 | SH | DFND | 1 | 383,900 | 0 | 0 | |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 331 | 27,523 | SH | DFND | 1 | 27,523 | 0 | 0 | |
MIMECAST LTD | ORD SHS | G14838109 | 11,419 | 277,100 | SH | DFND | 1 | 277,100 | 0 | 0 | |
MOHAWK INDS INC | COM | 608190104 | 600 | 2,800 | SH | DFND | 1 | 2,800 | 0 | 0 | |
MOMO INC | ADR | 60879B107 | 735 | 16,900 | SH | DFND | 1 | 16,900 | 0 | 0 | |
MONOLITHIC PWR SYS INC | COM | 609839105 | 11,923 | 89,200 | SH | DFND | 1 | 89,200 | 0 | 0 | |
MORGAN STANLEY | COM NEW | 617446448 | 11,713 | 247,100 | SH | DFND | 1 | 247,100 | 0 | 0 | |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 1,380 | 59,800 | SH | DFND | 1 | 59,800 | 0 | 0 | |
NEUBERGER BERMAN RE ES SEC F | COM | 64190A103 | 382 | 74,297 | SH | DFND | 1 | 74,297 | 0 | 0 | |
NEXPOINT CR STRATEGIES FD | COM NEW | 65340G205 | 1,163 | 53,000 | SH | DFND | 1 | 53,000 | 0 | 0 | |
NUVEEN ALL CAP ENE MLP OPPO | COM | 67075E108 | 126 | 15,000 | SH | DFND | 1 | 15,000 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 14,820 | 62,560 | SH | DFND | 1 | 62,560 | 0 | 0 | |
NXSTAGE MEDICAL INC | COM | 67072V103 | 3,820 | 136,900 | SH | DFND | 1 | 136,900 | 0 | 0 | |
PERRIGO CO PLC | SHS | G97822103 | 4,163 | 57,100 | SH | DFND | 1 | 57,100 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 7,644 | 210,700 | SH | DFND | 1 | 210,700 | 0 | 0 | |
POOL CORPORATION | COM | 73278L105 | 606 | 4,000 | SH | DFND | 1 | 4,000 | 0 | 0 | |
PROOFPOINT INC | COM | 743424103 | 13,168 | 114,200 | SH | DFND | 1 | 114,200 | 0 | 0 | |
PULTE GROUP INC | COM | 745867101 | 7,869 | 273,694 | SH | DFND | 1 | 273,694 | 0 | 0 | |
QORVO INC | COM | 74736K101 | 11,424 | 142,500 | SH | DFND | 1 | 142,500 | 0 | 0 | |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 1,318 | 45,577 | SH | DFND | 1 | 45,577 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 8,525 | 62,500 | SH | DFND | 1 | 62,500 | 0 | 0 | |
SERVICE CORP INTL | COM | 817565104 | 5,507 | 153,868 | SH | DFND | 1 | 153,868 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 9,441 | 54,740 | SH | DFND | 1 | 54,740 | 0 | 0 | |
SIENNA BIOPHARMACEUTICALS IN | COM | 82622H108 | 4,446 | 292,695 | SH | DFND | 1 | 292,695 | 0 | 0 | |
SOLAR CAP LTD | COM | 83413U100 | 17,939 | 877,623 | SH | DFND | 1 | 877,623 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 963 | 3,550 | SH | DFND | 1 | 3,550 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 46,848 | 2,157,882 | SH | DFND | 1 | 2,157,882 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 245 | 6,700 | SH | DFND | 1 | 6,700 | 0 | 0 | |
TAL ED GROUP | ADS REPSTG COM | 874080104 | 1,284 | 34,900 | SH | DFND | 1 | 34,900 | 0 | 0 | |
TCG BDC INC | COM | 872280102 | 3,261 | 191,600 | SH | DFND | 1 | 191,600 | 0 | 0 | |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 200 | 9,300 | SH | DFND | 1 | 9,300 | 0 | 0 | |
TEKLA WORLD HEALTHCARE FD | BEN INT SHS | 87911L108 | 582 | 45,200 | SH | DFND | 1 | 45,200 | 0 | 0 | |
TELADOC INC | COM | 87918A105 | 7,982 | 137,500 | SH | DFND | 1 | 137,500 | 0 | 0 | |
TOLL BROTHERS INC | COM | 889478103 | 610 | 16,500 | SH | DFND | 1 | 16,500 | 0 | 0 | |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 16,873 | 940,546 | SH | DFND | 1 | 940,546 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 13,264 | 38,430 | SH | DFND | 1 | 38,430 | 0 | 0 | |
TRI POINTE HOMES INC | COM | 87265H109 | 5,245 | 320,571 | SH | DFND | 1 | 320,571 | 0 | 0 | |
TRUECAR INC | COM | 89785L107 | 11,565 | 1,146,200 | SH | DFND | 1 | 1,146,200 | 0 | 0 | |
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 973 | 3,900 | SH | DFND | 1 | 3,900 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 8,704 | 51,212 | SH | DFND | 1 | 51,212 | 0 | 0 | |
VIASAT INC | COM | 92552V100 | 22,591 | 343,752 | SH | DFND | 1 | 343,752 | 0 | 0 | |
VIRTUSA CORP | COM | 92827P102 | 4,931 | 101,300 | SH | DFND | 1 | 101,300 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 4,976 | 130,103 | SH | DFND | 1 | 130,103 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 11,009 | 92,700 | SH | DFND | 1 | 92,700 | 0 | 0 | |
WELLS FARGO ADV GLB DIV OPP | COM | 94987C103 | 193 | 34,524 | SH | DFND | 1 | 34,524 | 0 | 0 | |
WELLS FARGO ADVANTAGE INCOME | COM SHS | 94987B105 | 190 | 23,800 | SH | DFND | 1 | 23,800 | 0 | 0 | |
WELLS FARGO ADVANTAGE MULTI | COM SHS | 94987D101 | 2,164 | 173,363 | SH | DFND | 1 | 173,363 | 0 | 0 | |
WELLTOWER INC | COM | 95040Q104 | 21,691 | 346,000 | SH | DFND | 1 | 346,000 | 0 | 0 | |
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 202 | 12,086 | SH | DFND | 1 | 12,086 | 0 | 0 | |
WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 8,445 | 335,500 | SH | DFND | 1 | 335,500 | 0 | 0 | |
WNS HOLDINGS LTD | SPON ADR | 92932M101 | 5,912 | 113,300 | SH | DFND | 1 | 113,300 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 4,833 | 88,700 | SH | DFND | 1 | 88,700 | 0 | 0 |