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 |
|
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 |
1LIFE HEALTHCARE INC | COM | 68269G107 | 15,826 | 478,700 | SH | DFND | 1 | 478,700 | 0 | 0 | |
ABCELLERA BIOLOGICS INC | COM | 00288U106 | 15,374 | 698,800 | SH | DFND | 1 | 698,800 | 0 | 0 | |
ABERDEEN EMRG MRKTS EQT INM | COM | 00301W105 | 390 | 43,144 | SH | DFND | 1 | 43,144 | 0 | 0 | |
ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 20,257 | 322,820 | SH | DFND | 1 | 322,820 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 4,670 | 20,591 | SH | DFND | 1 | 20,591 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 14,697 | 5,864 | SH | DFND | 1 | 5,864 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 75,979 | 22,086 | SH | DFND | 1 | 22,086 | 0 | 0 | |
ANTHEM INC | COM | 036752103 | 12,876 | 33,725 | SH | DFND | 1 | 33,725 | 0 | 0 | |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 8,706 | 137,749 | SH | DFND | 1 | 137,749 | 0 | 0 | |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 217 | 13,761 | SH | DFND | 1 | 13,761 | 0 | 0 | |
APPLIED MATLS INC | COM | 038222105 | 11,435 | 80,300 | SH | DFND | 1 | 80,300 | 0 | 0 | |
ARVINAS INC | COM | 04335A105 | 11,111 | 144,300 | SH | DFND | 1 | 144,300 | 0 | 0 | |
AVEO PHARMACEUTICALS INC | COM NEW | 053588307 | 691 | 104,800 | SH | DFND | 1 | 104,800 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 1,305 | 6,400 | SH | DFND | 1 | 6,400 | 0 | 0 | |
BARINGS BDC INC | COM | 06759L103 | 11,475 | 1,086,626 | SH | DFND | 1 | 1,086,626 | 0 | 0 | |
BAXTER INTL INC | COM | 071813109 | 3,896 | 48,400 | SH | DFND | 1 | 48,400 | 0 | 0 | |
BILIBILI INC | SPONS ADS REP Z | 090040106 | 19,672 | 161,460 | SH | DFND | 1 | 161,460 | 0 | 0 | |
BK OF AMERICA CORP | COM | 060505104 | 2,642 | 64,081 | SH | DFND | 1 | 64,081 | 0 | 0 | |
BOEING CO | COM | 097023105 | 20,751 | 86,620 | SH | DFND | 1 | 86,620 | 0 | 0 | |
BROOKDALE SR LIVING INC | COM | 112463104 | 9,172 | 1,160,999 | SH | DFND | 1 | 1,160,999 | 0 | 0 | |
C4 THERAPEUTICS INC | COM STK | 12529R107 | 4,753 | 125,600 | SH | DFND | 1 | 125,600 | 0 | 0 | |
CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 44,668 | 1,694,540 | SH | DFND | 1 | 1,694,540 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 40,157 | 133,049 | SH | DFND | 1 | 133,049 | 0 | 0 | |
CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461209 | 708 | 53,064 | SH | DFND | 1 | 53,064 | 0 | 0 | |
CHECKMATE PHARMACEUTICALS IN | COM | 162818108 | 9,341 | 1,567,326 | SH | DFND | 1 | 1,567,326 | 0 | 0 | |
CIGNA CORP NEW | COM | 125523100 | 20,194 | 85,180 | SH | DFND | 1 | 85,180 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 22,032 | 415,700 | SH | DFND | 1 | 415,700 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 3,450 | 48,761 | SH | DFND | 1 | 48,761 | 0 | 0 | |
COHEN & STEERS MLP INCOME & | COM SHS | 19249B106 | 4,039 | 992,467 | SH | DFND | 1 | 992,467 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 5,588 | 361,888 | SH | DFND | 1 | 361,888 | 0 | 0 | |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 3,308 | 69,700 | SH | DFND | 1 | 69,700 | 0 | 0 | |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 4,652 | 400,700 | SH | DFND | 1 | 400,700 | 0 | 0 | |
CORNERSTONE TOTAL RETURN FD | COM | 21924U300 | 4,462 | 393,100 | SH | DFND | 1 | 393,100 | 0 | 0 | |
COUPA SOFTWARE INC | COM | 22266L106 | 20,872 | 79,630 | SH | DFND | 1 | 79,630 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 28,034 | 173,167 | SH | DFND | 1 | 173,167 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 39,258 | 242,500 | SH | Call | DFND | 1 | 242,500 | 0 | 0 |
COVETRUS INC | COM | 22304C100 | 14,450 | 535,200 | SH | DFND | 1 | 535,200 | 0 | 0 | |
CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 20,130 | 80,100 | SH | DFND | 1 | 80,100 | 0 | 0 | |
D R HORTON INC | COM | 23331A109 | 27,988 | 309,700 | SH | DFND | 1 | 309,700 | 0 | 0 | |
DBX ETF TR | XTRACK HRVST CSI | 233051879 | 5,315 | 131,100 | SH | DFND | 1 | 131,100 | 0 | 0 | |
DYNATRACE INC | COM NEW | 268150109 | 18,543 | 317,400 | SH | DFND | 1 | 317,400 | 0 | 0 | |
DIVERSIFIED HEALTHCARE TR | COM SH BEN INT | 25525P107 | 3,811 | 911,800 | SH | DFND | 1 | 911,800 | 0 | 0 | |
EATON VANCE FLTING RATE INC | COM | 278279104 | 1,135 | 78,864 | SH | DFND | 1 | 78,864 | 0 | 0 | |
EATON VANCE SHORT DURATION D | COM | 27828V104 | 845 | 63,700 | SH | DFND | 1 | 63,700 | 0 | 0 | |
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 838 | 59,200 | SH | DFND | 1 | 59,200 | 0 | 0 | |
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 164 | 24,048 | SH | DFND | 1 | 24,048 | 0 | 0 | |
EQUITABLE HLDGS INC | COM | 29452E101 | 33,452 | 1,098,600 | SH | DFND | 1 | 1,098,600 | 0 | 0 | |
EURONET WORLDWIDE INC | COM | 298736109 | 9,301 | 68,720 | SH | DFND | 1 | 68,720 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 21,113 | 334,700 | SH | DFND | 1 | 334,700 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 41,357 | 118,940 | SH | DFND | 1 | 118,940 | 0 | 0 | |
FIRST AMERN FINL CORP | COM | 31847R102 | 59,153 | 948,730 | SH | DFND | 1 | 948,730 | 0 | 0 | |
FIRST EAGLE SENIOR LOAN FUND | COM NEW | 32010E100 | 3,292 | 208,600 | SH | DFND | 1 | 208,600 | 0 | 0 | |
FIVE9 INC | COM | 338307101 | 19,527 | 106,480 | SH | DFND | 1 | 106,480 | 0 | 0 | |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 1,752 | 212,900 | SH | DFND | 1 | 212,900 | 0 | 0 | |
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 534 | 64,535 | SH | DFND | 1 | 64,535 | 0 | 0 | |
GABELLI EQUITY TR INC | RIGHT 07/14/2021 | 362397218 | 82 | 700,200 | SH | DFND | 1 | 700,200 | 0 | 0 | |
GOSSAMER BIO INC | COM | 38341P102 | 1,297 | 159,725 | SH | DFND | 1 | 159,725 | 0 | 0 | |
GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 2,811 | 3,500,000 | PRN | DFND | 1 | 3,500,000 | 0 | 0 | |
GUGGENHEIM ENHANCED EQT INCM | COM | 40167B100 | 4,599 | 534,102 | SH | DFND | 1 | 534,102 | 0 | 0 | |
HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 433 | 69,082 | SH | DFND | 1 | 69,082 | 0 | 0 | |
HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 | 595 | 65,684 | SH | DFND | 1 | 65,684 | 0 | 0 | |
HOLOGIC INC | COM | 436440101 | 14,640 | 219,420 | SH | DFND | 1 | 219,420 | 0 | 0 | |
HUBSPOT INC | COM | 443573100 | 19,725 | 33,850 | SH | DFND | 1 | 33,850 | 0 | 0 | |
HUMANA INC | COM | 444859102 | 26,187 | 59,150 | SH | DFND | 1 | 59,150 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 18,414 | 328,000 | SH | DFND | 1 | 328,000 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 1,776 | 11,420 | SH | DFND | 1 | 11,420 | 0 | 0 | |
KAYNE ANDERSON NEXTGEN ENRGY | COM | 48661E108 | 873 | 115,300 | SH | DFND | 1 | 115,300 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 24,644 | 138,730 | SH | DFND | 1 | 138,730 | 0 | 0 | |
JD.COM INC | SPON ADR CL A | 47215P106 | 958 | 12,000 | SH | DFND | 1 | 12,000 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 21,449 | 130,200 | SH | DFND | 1 | 130,200 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 529 | 25,361 | SH | DFND | 1 | 25,361 | 0 | 0 | |
KYMERA THERAPEUTICS INC | COM | 501575104 | 4,879 | 100,600 | SH | DFND | 1 | 100,600 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 7,506 | 11,535 | SH | DFND | 1 | 11,535 | 0 | 0 | |
LENNAR CORP | CL A | 526057104 | 27,599 | 277,799 | SH | DFND | 1 | 277,799 | 0 | 0 | |
LILLY ELI & CO | COM | 532457108 | 2,757 | 12,013 | SH | DFND | 1 | 12,013 | 0 | 0 | |
MASTERCARD INCORPORATED | CL A | 57636Q104 | 37,743 | 103,381 | SH | DFND | 1 | 103,381 | 0 | 0 | |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 1,481 | 141,304 | SH | DFND | 1 | 141,304 | 0 | 0 | |
MODERNA INC | COM | 60770K107 | 11,523 | 49,040 | SH | DFND | 1 | 49,040 | 0 | 0 | |
MCKESSON CORP | COM | 58155Q103 | 32,265 | 168,715 | SH | DFND | 1 | 168,715 | 0 | 0 | |
MERCK & CO INC | COM | 58933Y105 | 3,655 | 47,000 | SH | DFND | 1 | 47,000 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 11,047 | 130,000 | SH | DFND | 1 | 130,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 51,159 | 188,849 | SH | DFND | 1 | 188,849 | 0 | 0 | |
MIRATI THERAPEUTICS INC | COM | 60468T105 | 15,945 | 98,715 | SH | DFND | 1 | 98,715 | 0 | 0 | |
NETEASE INC | SPONSORED ADS | 64110W102 | 983 | 8,525 | SH | DFND | 1 | 8,525 | 0 | 0 | |
NEW IRELAND FD INC | COM | 645673104 | 253 | 20,736 | SH | DFND | 1 | 20,736 | 0 | 0 | |
NEW ORIENTAL ED & TECHNOLOGY | SPON ADR | 647581107 | 244 | 29,800 | SH | DFND | 1 | 29,800 | 0 | 0 | |
NURIX THERAPEUTICS INC | COM | 67080M103 | 4,478 | 168,800 | SH | DFND | 1 | 168,800 | 0 | 0 | |
NUVEEN DIVERSIFIED DIVID & I | COM | 6706EP105 | 119 | 11,436 | SH | DFND | 1 | 11,436 | 0 | 0 | |
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 477 | 47,614 | SH | DFND | 1 | 47,614 | 0 | 0 | |
NUVEEN SHORT DURATION CR OPP | COM | 67074X107 | 417 | 27,800 | SH | DFND | 1 | 27,800 | 0 | 0 | |
PENNYMAC FINL SVCS INC NEW | COM | 70932M107 | 60,584 | 981,601 | SH | DFND | 1 | 981,601 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 31,904 | 814,700 | SH | DFND | 1 | 814,700 | 0 | 0 | |
PHYSICIANS RLTY TR | COM | 71943U104 | 1,736 | 94,000 | SH | DFND | 1 | 94,000 | 0 | 0 | |
PIMCO DYNAMIC CR INCOME FD | COM SHS | 72202D106 | 1,247 | 55,700 | SH | DFND | 1 | 55,700 | 0 | 0 | |
PINDUODUO INC | SPONSORED ADS | 722304102 | 406 | 3,200 | SH | DFND | 1 | 3,200 | 0 | 0 | |
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 23,929 | 280,500 | SH | DFND | 1 | 280,500 | 0 | 0 | |
REDWOOD TR INC | COM | 758075402 | 15,475 | 1,282,100 | SH | DFND | 1 | 1,282,100 | 0 | 0 | |
REDWOOD TR INC | NOTE 4.750% 8/1 | 758075AC9 | 2,008 | 1,978,000 | PRN | DFND | 1 | 1,978,000 | 0 | 0 | |
REGENERON PHARMACEUTICALS | COM | 75886F107 | 31,010 | 55,520 | SH | DFND | 1 | 55,520 | 0 | 0 | |
REPARE THERAPEUTICS INC | COM | 760273102 | 10,859 | 348,279 | SH | DFND | 1 | 348,279 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 26,021 | 89,550 | SH | DFND | 1 | 89,550 | 0 | 0 | |
ROYAL CARIBBEAN GROUP | COM | V7780T103 | 46,482 | 545,047 | SH | DFND | 1 | 545,047 | 0 | 0 | |
SABA CAPITAL INCOME & OPRNT | SHARES | 78518H103 | 4,539 | 963,800 | SH | DFND | 1 | 963,800 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 19,285 | 78,950 | SH | DFND | 1 | 78,950 | 0 | 0 | |
SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 438 | 73,538 | SH | DFND | 1 | 73,538 | 0 | 0 | |
SEA LTD | SPONSORD ADS | 81141R100 | 20,812 | 75,790 | SH | DFND | 1 | 75,790 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 6,419 | 11,680 | SH | DFND | 1 | 11,680 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 9,348 | 77,800 | SH | DFND | 1 | 77,800 | 0 | 0 | |
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 583 | 38,400 | SH | DFND | 1 | 38,400 | 0 | 0 | |
STARWOOD PPTY TR INC | NOTE 4.375% 4/0 | 85571BAH8 | 11,696 | 10,815,000 | PRN | DFND | 1 | 10,815,000 | 0 | 0 | |
TALARIS THERAPEUTICS INC | COM | 87410C104 | 494 | 33,600 | SH | DFND | 1 | 33,600 | 0 | 0 | |
TELADOC HEALTH INC | COM | 87918A105 | 1,072 | 6,447 | SH | DFND | 1 | 6,447 | 0 | 0 | |
TELADOC HEALTH INC | NOTE 1.250% 6/0 | 87918AAF2 | 786 | 700,000 | PRN | DFND | 1 | 700,000 | 0 | 0 | |
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 962 | 171,705 | SH | DFND | 1 | 171,705 | 0 | 0 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 21,232 | 42,087 | SH | DFND | 1 | 42,087 | 0 | 0 | |
VENTAS INC | COM | 92276F100 | 26,433 | 462,930 | SH | DFND | 1 | 462,930 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 45,385 | 70,116 | SH | DFND | 1 | 70,116 | 0 | 0 | |
VERACYTE INC | COM | 92337F107 | 9,070 | 226,860 | SH | DFND | 1 | 226,860 | 0 | 0 | |
TWILIO INC | CL A | 90138F102 | 19,367 | 49,135 | SH | DFND | 1 | 49,135 | 0 | 0 | |
TWO HBRS INVT CORP | NOTE 6.250% 1/1 | 90187BAA9 | 1,828 | 1,799,000 | PRN | DFND | 1 | 1,799,000 | 0 | 0 | |
UBER TECHNOLOGIES INC | COM | 90353T100 | 27,170 | 542,100 | SH | DFND | 1 | 542,100 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 11,609 | 28,990 | SH | DFND | 1 | 28,990 | 0 | 0 | |
UNIVERSAL HLTH SVCS INC | CL B | 913903100 | 27,329 | 186,635 | SH | DFND | 1 | 186,635 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 16,030 | 79,500 | SH | Call | DFND | 1 | 79,500 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 18,068 | 89,610 | SH | DFND | 1 | 89,610 | 0 | 0 | |
VIACOMCBS INC | CL B | 92556H206 | 31,785 | 703,200 | SH | DFND | 1 | 703,200 | 0 | 0 | |
VISA INC | COM CL A | 92826C839 | 30,315 | 129,650 | SH | DFND | 1 | 129,650 | 0 | 0 | |
WELLTOWER INC | COM | 95040Q104 | 27,974 | 336,630 | SH | DFND | 1 | 336,630 | 0 | 0 | |
YUM CHINA HLDGS INC | COM | 98850P109 | 489 | 7,500 | SH | DFND | 1 | 7,500 | 0 | 0 | |
ZAI LAB LTD | ADR | 98887Q104 | 12,018 | 67,900 | SH | DFND | 1 | 67,900 | 0 | 0 | |
ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 | 18,710 | 116,340 | SH | DFND | 1 | 116,340 | 0 | 0 | |
ZOETIS INC | CL A | 98978V103 | 13,542 | 72,665 | SH | DFND | 1 | 72,665 | 0 | 0 |