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 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 3,068 | 18,347 | SH | DFND | 1 | 18,347 | 0 | 0 | |
ALIGN TECHNOLOGY INC | COM | 016255101 | 3,070 | 16,969 | SH | DFND | 1 | 16,969 | 0 | 0 | |
ALTERYX INC | COM CL A | 02156B103 | 1,783 | 16,600 | SH | DFND | 1 | 16,600 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 9,133 | 5,261 | SH | DFND | 1 | 5,261 | 0 | 0 | |
AMERICAN INTL GROUP INC | COM NEW | 026874784 | 4,885 | 87,700 | SH | DFND | 1 | 87,700 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 9,113 | 47,095 | SH | DFND | 1 | 47,095 | 0 | 0 | |
ANALOG DEVICES INC | COM | 032654105 | 30,923 | 276,763 | SH | DFND | 1 | 276,763 | 0 | 0 | |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 12,499 | 518,834 | SH | DFND | 1 | 518,834 | 0 | 0 | |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 163 | 10,998 | SH | DFND | 1 | 10,998 | 0 | 0 | |
ARES CAP CORP | COM | 04010L103 | 33,802 | 1,813,900 | SH | DFND | 1 | 1,813,900 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 36,356 | 1,246,358 | SH | DFND | 1 | 1,246,358 | 0 | 0 | |
BARINGS BDC INC | COM | 06759L103 | 10,540 | 1,038,400 | SH | DFND | 1 | 1,038,400 | 0 | 0 | |
BAXTER INTL INC | COM | 071813109 | 11,971 | 136,860 | SH | DFND | 1 | 136,860 | 0 | 0 | |
BEIGENE LTD | SPONSORED ADR | 07725L102 | 12,568 | 102,630 | SH | DFND | 1 | 102,630 | 0 | 0 | |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 10,118 | 248,660 | SH | DFND | 1 | 248,660 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 23,464 | 355,520 | SH | DFND | 1 | 355,520 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 64,931 | 939,943 | SH | DFND | 1 | 939,943 | 0 | 0 | |
COHEN & STEERS GLOBAL INC BL | COM | 19248M103 | 1,428 | 157,047 | SH | DFND | 1 | 157,047 | 0 | 0 | |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 8,211 | 184,300 | SH | DFND | 1 | 184,300 | 0 | 0 | |
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 566 | 51,514 | SH | DFND | 1 | 51,514 | 0 | 0 | |
CORREVIO PHARMA CORP | COM | 22026V105 | 4,114 | 2,057,124 | SH | DFND | 1 | 2,057,124 | 0 | 0 | |
COUPA SOFTWARE INC | COM | 22266L106 | 3,169 | 24,460 | SH | DFND | 1 | 24,460 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 3,849 | 93,900 | SH | Call | DFND | 1 | 93,900 | 0 | 0 |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 19,667 | 479,803 | SH | DFND | 1 | 479,803 | 0 | 0 | |
CUSHING RENAISSANCE FD | COM | 231647108 | 423 | 31,877 | SH | DFND | 1 | 31,877 | 0 | 0 | |
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 195 | 19,818 | SH | DFND | 1 | 19,818 | 0 | 0 | |
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 213 | 17,800 | SH | DFND | 1 | 17,800 | 0 | 0 | |
EATON VANCE MUN BD FD | COM | 27827X101 | 225 | 17,387 | SH | DFND | 1 | 17,387 | 0 | 0 | |
EATON VANCE TAX MNGD BUY WRI | COM SH BEN INT | 27829M103 | 585 | 61,500 | SH | DFND | 1 | 61,500 | 0 | 0 | |
ELANCO ANIMAL HEALTH INC | COM | 28414H103 | 5,416 | 203,700 | SH | DFND | 1 | 203,700 | 0 | 0 | |
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 605 | 39,900 | SH | DFND | 1 | 39,900 | 0 | 0 | |
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 689 | 57,390 | SH | DFND | 1 | 57,390 | 0 | 0 | |
FLOOR & DECOR HLDGS INC | CL A | 339750101 | 9,806 | 191,702 | SH | DFND | 1 | 191,702 | 0 | 0 | |
GALAPAGOS NV | SPON ADR | 36315X101 | 4,858 | 31,823 | SH | DFND | 1 | 31,823 | 0 | 0 | |
GCI LIBERTY INC | COM CLASS A | 36164V305 | 20,094 | 323,728 | SH | DFND | 1 | 323,728 | 0 | 0 | |
GLOBAL PMTS INC | COM | 37940X102 | 17,134 | 107,760 | SH | DFND | 1 | 107,760 | 0 | 0 | |
GOLUB CAP BDC INC | COM | 38173M102 | 20,921 | 1,110,466 | SH | DFND | 1 | 1,110,466 | 0 | 0 | |
GOSSAMER BIO INC | COM | 38341P102 | 8,256 | 491,734 | SH | DFND | 1 | 491,734 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 6,314 | 54,887 | SH | DFND | 1 | 54,887 | 0 | 0 | |
HDFC BANK LTD | SPONSORED ADS | 40415F101 | 22,603 | 396,200 | SH | DFND | 1 | 396,200 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 22,991 | 99,090 | SH | DFND | 1 | 99,090 | 0 | 0 | |
HUBSPOT INC | COM | 443573100 | 1,789 | 11,800 | SH | DFND | 1 | 11,800 | 0 | 0 | |
IDEXX LABS INC | COM | 45168D104 | 5,987 | 22,015 | SH | DFND | 1 | 22,015 | 0 | 0 | |
IMAX CORP | COM | 45245E109 | 582 | 26,500 | SH | DFND | 1 | 26,500 | 0 | 0 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,675 | 152,152 | SH | DFND | 1 | 152,152 | 0 | 0 | |
INVESCO HIGH INCOME TR II | COM | 46131F101 | 851 | 59,445 | SH | DFND | 1 | 59,445 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 251,665 | 1,332,900 | SH | Put | DFND | 1 | 1,332,900 | 0 | 0 |
INVESCO SR INCOME TR | COM | 46131H107 | 470 | 112,000 | SH | DFND | 1 | 112,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 1,120 | 7,400 | SH | DFND | 1 | 7,400 | 0 | 0 | |
ISHARES TR | S&P 500 GRWT ETF | 464287309 | 1,152 | 6,400 | SH | DFND | 1 | 6,400 | 0 | 0 | |
ISHARES TR | MSCI INDIA ETF | 46429B598 | 4,512 | 134,400 | SH | DFND | 1 | 134,400 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 28,952 | 246,000 | SH | DFND | 1 | 246,000 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 1,102 | 72,661 | SH | DFND | 1 | 72,661 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 9,205 | 533,000 | SH | DFND | 1 | 533,000 | 0 | 0 | |
LAUDER ESTEE COS INC | CL A | 518439104 | 9,208 | 46,282 | SH | DFND | 1 | 46,282 | 0 | 0 | |
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 637 | 68,236 | SH | DFND | 1 | 68,236 | 0 | 0 | |
LILLY ELI & CO | COM | 532457108 | 829 | 7,413 | SH | DFND | 1 | 7,413 | 0 | 0 | |
MASIMO CORP | COM | 574795100 | 1,071 | 7,200 | SH | DFND | 1 | 7,200 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 26,786 | 625,103 | SH | DFND | 1 | 625,103 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 37,122 | 267,010 | SH | DFND | 1 | 267,010 | 0 | 0 | |
MORGAN STANLEY | COM NEW | 617446448 | 18,071 | 423,500 | SH | DFND | 1 | 423,500 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 758 | 2,850 | SH | DFND | 1 | 2,850 | 0 | 0 | |
NETFLIX INC | COM | 64110L106 | 3,854 | 14,401 | SH | DFND | 1 | 14,401 | 0 | 0 | |
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 1,180 | 97,800 | SH | DFND | 1 | 97,800 | 0 | 0 | |
NUVEEN CONNECTICUT QLTY MUN | COM | 67060D107 | 231 | 17,221 | SH | DFND | 1 | 17,221 | 0 | 0 | |
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 584 | 78,050 | SH | DFND | 1 | 78,050 | 0 | 0 | |
OWENS & MINOR INC NEW | COM | 690732102 | 5,678 | 977,295 | SH | DFND | 1 | 977,295 | 0 | 0 | |
PENNYMAC MTG INVT TR | COM | 70931T103 | 12,418 | 558,600 | SH | DFND | 1 | 558,600 | 0 | 0 | |
POOL CORPORATION | COM | 73278L105 | 15,731 | 77,991 | SH | DFND | 1 | 77,991 | 0 | 0 | |
RH | COM | 74967X103 | 5,630 | 32,958 | SH | DFND | 1 | 32,958 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 3,565 | 28,370 | SH | DFND | 1 | 28,370 | 0 | 0 | |
ROYCE VALUE TR INC | COM | 780910105 | 828 | 60,195 | SH | DFND | 1 | 60,195 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 33,456 | 225,382 | SH | DFND | 1 | 225,382 | 0 | 0 | |
SERVICE CORP INTL | COM | 817565104 | 4,717 | 98,668 | SH | DFND | 1 | 98,668 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 2,954 | 11,636 | SH | DFND | 1 | 11,636 | 0 | 0 | |
SOLAR CAP LTD | COM | 83413U100 | 15,662 | 758,431 | SH | DFND | 1 | 758,431 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,205 | 4,060 | SH | DFND | 1 | 4,060 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 30,340 | 1,252,682 | SH | DFND | 1 | 1,252,682 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 17,370 | 373,700 | SH | DFND | 1 | 373,700 | 0 | 0 | |
TAKE-TWO INTERACTIVE SOFTWAR | COM | 874054109 | 2,005 | 16,000 | SH | DFND | 1 | 16,000 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 7,001 | 118,700 | SH | DFND | 1 | 118,700 | 0 | 0 | |
TELADOC INC | COM | 87918A105 | 9,549 | 141,014 | SH | DFND | 1 | 141,014 | 0 | 0 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 16,704 | 57,348 | SH | DFND | 1 | 57,348 | 0 | 0 | |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 17,419 | 830,246 | SH | DFND | 1 | 830,246 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 35,317 | 67,830 | SH | DFND | 1 | 67,830 | 0 | 0 | |
TWILIO INC | CL A | 90138F102 | 1,857 | 16,890 | SH | DFND | 1 | 16,890 | 0 | 0 | |
VAIL RESORTS INC | COM | 91879Q109 | 14,828 | 65,160 | SH | DFND | 1 | 65,160 | 0 | 0 | |
VERACYTE INC | COM | 92337F107 | 7,057 | 294,040 | SH | DFND | 1 | 294,040 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 5,209 | 30,744 | SH | DFND | 1 | 30,744 | 0 | 0 | |
VIRTUS TOTAL RETURN FUND INC | COM | 92837G100 | 1,683 | 149,455 | SH | DFND | 1 | 149,455 | 0 | 0 | |
VISA INC | COM CL A | 92826C839 | 28,712 | 166,920 | SH | DFND | 1 | 166,920 | 0 | 0 | |
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 233 | 49,500 | SH | DFND | 1 | 49,500 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 1,213 | 59,076 | SH | DFND | 1 | 59,076 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 16,691 | 148,870 | SH | DFND | 1 | 148,870 | 0 | 0 | |
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 1,511 | 152,181 | SH | DFND | 1 | 152,181 | 0 | 0 | |
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 237 | 34,900 | SH | DFND | 1 | 34,900 | 0 | 0 | |
WNS HOLDINGS LTD | SPON ADR | 92932M101 | 8,251 | 140,447 | SH | DFND | 1 | 140,447 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 2,726 | 37,400 | SH | DFND | 1 | 37,400 | 0 | 0 | |
ZOETIS INC | CL A | 98978V103 | 11,037 | 88,590 | SH | DFND | 1 | 88,590 | 0 | 0 |