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 |
1LIFE HEALTHCARE INC | COM | 68269G107 | 7,792 | 384,800 | SH | DFND | 1 | 384,800 | 0 | 0 | |
ABCELLERA BIOLOGICS INC | COM | 00288U106 | 19,465 | 971,297 | SH | DFND | 1 | 971,297 | 0 | 0 | |
ABERDEEN EMRG MRKTS EQT INM | COM | 00301W105 | 445 | 53,444 | SH | DFND | 1 | 53,444 | 0 | 0 | |
ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 19,754 | 309,720 | SH | DFND | 1 | 309,720 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 2,027 | 13,691 | SH | DFND | 1 | 13,691 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 20,406 | 7,656 | SH | DFND | 1 | 7,656 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 75,622 | 23,020 | SH | DFND | 1 | 23,020 | 0 | 0 | |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 4,540 | 137,749 | SH | DFND | 1 | 137,749 | 0 | 0 | |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 823 | 52,061 | SH | DFND | 1 | 52,061 | 0 | 0 | |
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 749 | 47,325 | SH | DFND | 1 | 47,325 | 0 | 0 | |
ARVINAS INC | COM | 04335A105 | 13,642 | 166,000 | SH | DFND | 1 | 166,000 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 415 | 2,700 | SH | DFND | 1 | 2,700 | 0 | 0 | |
BARINGS BDC INC | COM | 06759L103 | 4,275 | 387,926 | SH | DFND | 1 | 387,926 | 0 | 0 | |
BILL COM HLDGS INC | COM | 090043100 | 21,129 | 79,150 | SH | DFND | 1 | 79,150 | 0 | 0 | |
BLACKROCK SCIENCE & TECHNOLO | SHS | 09258G104 | 3,539 | 67,853 | SH | DFND | 1 | 67,853 | 0 | 0 | |
BOEING CO | COM | 097023105 | 29,927 | 136,070 | SH | DFND | 1 | 136,070 | 0 | 0 | |
BROOKDALE SR LIVING INC | COM | 112463104 | 10,034 | 1,592,699 | SH | DFND | 1 | 1,592,699 | 0 | 0 | |
C4 THERAPEUTICS INC | COM STK | 12529R107 | 15,526 | 347,500 | SH | DFND | 1 | 347,500 | 0 | 0 | |
CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 40,490 | 1,618,940 | SH | DFND | 1 | 1,618,940 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 29,973 | 99,399 | SH | DFND | 1 | 99,399 | 0 | 0 | |
CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461209 | 738 | 53,064 | SH | DFND | 1 | 53,064 | 0 | 0 | |
CHECKMATE PHARMACEUTICALS IN | COM | 162818108 | 6,222 | 1,567,326 | SH | DFND | 1 | 1,567,326 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 43,310 | 795,700 | SH | DFND | 1 | 795,700 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 10,285 | 879,032 | SH | DFND | 1 | 879,032 | 0 | 0 | |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 3,150 | 69,700 | SH | DFND | 1 | 69,700 | 0 | 0 | |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 1,380 | 107,850 | SH | DFND | 1 | 107,850 | 0 | 0 | |
CORNERSTONE TOTAL RETURN FD | COM | 21924U300 | 1,078 | 86,900 | SH | DFND | 1 | 86,900 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 15,816 | 141,307 | SH | DFND | 1 | 141,307 | 0 | 0 | |
CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 19,687 | 80,100 | SH | DFND | 1 | 80,100 | 0 | 0 | |
D R HORTON INC | COM | 23331A109 | 35,335 | 420,800 | SH | DFND | 1 | 420,800 | 0 | 0 | |
DBX ETF TR | XTRACK HRVST CSI | 233051879 | 4,996 | 131,100 | SH | DFND | 1 | 131,100 | 0 | 0 | |
DYNATRACE INC | COM NEW | 268150109 | 18,154 | 255,800 | SH | DFND | 1 | 255,800 | 0 | 0 | |
EATON VANCE ENHANCED EQUITY | COM | 278277108 | 255 | 11,000 | SH | DFND | 1 | 11,000 | 0 | 0 | |
EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | 261 | 9,500 | SH | DFND | 1 | 9,500 | 0 | 0 | |
EATON VANCE TAX-MANAGED DIVE | COM | 27828N102 | 559 | 40,085 | SH | DFND | 1 | 40,085 | 0 | 0 | |
EATON VANCE TX ADV GLBL DIV | COM | 27828S101 | 209 | 9,806 | SH | DFND | 1 | 9,806 | 0 | 0 | |
EQUITABLE HLDGS INC | COM | 29452E101 | 36,585 | 1,234,300 | SH | DFND | 1 | 1,234,300 | 0 | 0 | |
EURONET WORLDWIDE INC | COM | 298736109 | 9,001 | 70,720 | SH | DFND | 1 | 70,720 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 34,980 | 594,700 | SH | DFND | 1 | 594,700 | 0 | 0 | |
FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 31620R303 | 46,537 | 1,026,400 | SH | DFND | 1 | 1,026,400 | 0 | 0 | |
FIRST AMERN FINL CORP | COM | 31847R102 | 71,102 | 1,060,430 | SH | DFND | 1 | 1,060,430 | 0 | 0 | |
FIVE9 INC | COM | 338307101 | 19,329 | 121,000 | SH | DFND | 1 | 121,000 | 0 | 0 | |
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 307 | 37,883 | SH | DFND | 1 | 37,883 | 0 | 0 | |
GABELLI EQUITY TR INC | COM | 362397101 | 1,951 | 293,362 | SH | DFND | 1 | 293,362 | 0 | 0 | |
GABELLI MULTIMEDIA TR INC | COM | 36239Q109 | 278 | 30,483 | SH | DFND | 1 | 30,483 | 0 | 0 | |
GENERAL AMERN INVS CO INC | COM | 368802104 | 431 | 10,000 | SH | DFND | 1 | 10,000 | 0 | 0 | |
GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 3,599 | 3,500,000 | PRN | DFND | 1 | 3,500,000 | 0 | 0 | |
GUGGENHEIM CR ALLOCATION FD | COM | 40168G108 | 834 | 40,200 | SH | DFND | 1 | 40,200 | 0 | 0 | |
GUGGENHEIM ENHANCED EQT INCM | COM | 40167B100 | 5,120 | 551,702 | SH | DFND | 1 | 551,702 | 0 | 0 | |
HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 313 | 54,774 | SH | DFND | 1 | 54,774 | 0 | 0 | |
HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 | 681 | 74,884 | SH | DFND | 1 | 74,884 | 0 | 0 | |
HOLOGIC INC | COM | 436440101 | 14,121 | 191,320 | SH | DFND | 1 | 191,320 | 0 | 0 | |
HUBSPOT INC | COM | 443573100 | 17,010 | 25,160 | SH | DFND | 1 | 25,160 | 0 | 0 | |
IRHYTHM TECHNOLOGIES INC | COM | 450056106 | 5,253 | 89,700 | SH | DFND | 1 | 89,700 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 15,367 | 118,020 | SH | DFND | 1 | 118,020 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 15,495 | 119,000 | SH | Call | DFND | 1 | 119,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 28,272 | 175,060 | SH | DFND | 1 | 175,060 | 0 | 0 | |
KAYNE ANDERSON NEXTGEN ENRGY | COM | 48661E108 | 799 | 109,756 | SH | DFND | 1 | 109,756 | 0 | 0 | |
KYMERA THERAPEUTICS INC | COM | 501575104 | 15,919 | 271,000 | SH | DFND | 1 | 271,000 | 0 | 0 | |
LENNAR CORP | CL A | 526057104 | 35,284 | 376,649 | SH | DFND | 1 | 376,649 | 0 | 0 | |
LILLY ELI & CO | COM | 532457108 | 2,776 | 12,013 | SH | DFND | 1 | 12,013 | 0 | 0 | |
MACQUARIE GLOBAL INFRASTRUCT | COM | 55608D101 | 291 | 12,464 | SH | DFND | 1 | 12,464 | 0 | 0 | |
MASTERCARD INCORPORATED | CL A | 57636Q104 | 7,050 | 20,278 | SH | DFND | 1 | 20,278 | 0 | 0 | |
MCKESSON CORP | COM | 58155Q103 | 31,498 | 157,980 | SH | DFND | 1 | 157,980 | 0 | 0 | |
MERCK & CO INC | COM | 58933Y105 | 3,530 | 47,000 | SH | DFND | 1 | 47,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 84,674 | 300,349 | SH | DFND | 1 | 300,349 | 0 | 0 | |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 1,739 | 176,704 | SH | DFND | 1 | 176,704 | 0 | 0 | |
MIRATI THERAPEUTICS INC | COM | 60468T105 | 8,731 | 49,355 | SH | DFND | 1 | 49,355 | 0 | 0 | |
NEW IRELAND FD INC | COM | 645673104 | 139 | 11,319 | SH | DFND | 1 | 11,319 | 0 | 0 | |
NURIX THERAPEUTICS INC | COM | 67080M103 | 14,173 | 473,048 | SH | DFND | 1 | 473,048 | 0 | 0 | |
NUVEEN SHORT DURATION CR OPP | COM | 67074X107 | 371 | 24,540 | SH | DFND | 1 | 24,540 | 0 | 0 | |
PAYCOM SOFTWARE INC | COM | 70432V102 | 20,430 | 41,210 | SH | DFND | 1 | 41,210 | 0 | 0 | |
PENNYMAC FINL SVCS INC NEW | COM | 70932M107 | 60,121 | 983,501 | SH | DFND | 1 | 983,501 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 17,548 | 407,990 | SH | DFND | 1 | 407,990 | 0 | 0 | |
PHYSICIANS RLTY TR | COM | 71943U104 | 1,656 | 94,000 | SH | DFND | 1 | 94,000 | 0 | 0 | |
PIMCO DYNAMIC CR INCOME FD | COM SHS | 72202D106 | 1,521 | 72,000 | SH | DFND | 1 | 72,000 | 0 | 0 | |
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 21,559 | 250,800 | SH | DFND | 1 | 250,800 | 0 | 0 | |
REDWOOD TR INC | COM | 758075402 | 18,266 | 1,417,100 | SH | DFND | 1 | 1,417,100 | 0 | 0 | |
REDWOOD TR INC | NOTE 4.750% 8/1 | 758075AC9 | 2,026 | 1,978,000 | PRN | DFND | 1 | 1,978,000 | 0 | 0 | |
REGENERON PHARMACEUTICALS | COM | 75886F107 | 19,962 | 32,985 | SH | DFND | 1 | 32,985 | 0 | 0 | |
REPARE THERAPEUTICS INC | COM | 760273102 | 5,822 | 221,879 | SH | DFND | 1 | 221,879 | 0 | 0 | |
ROYAL CARIBBEAN GROUP | COM | V7780T103 | 45,680 | 513,547 | SH | DFND | 1 | 513,547 | 0 | 0 | |
SABA CAPITAL INCOME & OPRNT | SHARES | 78518H103 | 3,928 | 863,288 | SH | DFND | 1 | 863,288 | 0 | 0 | |
SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 467 | 73,538 | SH | DFND | 1 | 73,538 | 0 | 0 | |
SEA LTD | SPONSORD ADS | 81141R100 | 21,320 | 66,890 | SH | DFND | 1 | 66,890 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 30,469 | 48,965 | SH | DFND | 1 | 48,965 | 0 | 0 | |
SHOPIFY INC | CL A | 82509L107 | 17,368 | 12,810 | SH | DFND | 1 | 12,810 | 0 | 0 | |
SPDR SER TR | S&P OILGAS EXP | 78468R556 | 5,039 | 52,100 | SH | DFND | 1 | 52,100 | 0 | 0 | |
STARWOOD PPTY TR INC | NOTE 4.375% 4/0 | 85571BAH8 | 11,427 | 10,815,000 | PRN | DFND | 1 | 10,815,000 | 0 | 0 | |
TELADOC HEALTH INC | NOTE 1.250% 6/0 | 87918AAF2 | 705 | 700,000 | PRN | DFND | 1 | 700,000 | 0 | 0 | |
TEMPLETON EMERGING MKTS INCO | COM | 880192109 | 1,105 | 142,788 | SH | DFND | 1 | 142,788 | 0 | 0 | |
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 3,138 | 583,189 | SH | DFND | 1 | 583,189 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 66,067 | 85,195 | SH | DFND | 1 | 85,195 | 0 | 0 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 18,966 | 33,197 | SH | DFND | 1 | 33,197 | 0 | 0 | |
T-MOBILE US INC | COM | 872590104 | 25,963 | 203,220 | SH | DFND | 1 | 203,220 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 29,599 | 47,391 | SH | DFND | 1 | 47,391 | 0 | 0 | |
TWILIO INC | CL A | 90138F102 | 24,958 | 78,225 | SH | DFND | 1 | 78,225 | 0 | 0 | |
TWO HBRS INVT CORP | NOTE 6.250% 1/1 | 90187BAA9 | 1,822 | 1,799,000 | PRN | DFND | 1 | 1,799,000 | 0 | 0 | |
UNIVERSAL HLTH SVCS INC | CL B | 913903100 | 19,581 | 141,515 | SH | DFND | 1 | 141,515 | 0 | 0 | |
VANECK ETF TRUST | PHARMACEUTCL ETF | 92189F692 | 6,780 | 93,100 | SH | DFND | 1 | 93,100 | 0 | 0 | |
VERACYTE INC | COM | 92337F107 | 11,894 | 256,060 | SH | DFND | 1 | 256,060 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 16,254 | 89,610 | SH | DFND | 1 | 89,610 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 25,395 | 140,000 | SH | Call | DFND | 1 | 140,000 | 0 | 0 |
VIACOMCBS INC | CL B | 92556H206 | 27,783 | 703,200 | SH | DFND | 1 | 703,200 | 0 | 0 | |
VISA INC | COM CL A | 92826C839 | 6,005 | 26,960 | SH | DFND | 1 | 26,960 | 0 | 0 | |
WALKER & DUNLOP INC | COM | 93148P102 | 13,833 | 121,880 | SH | DFND | 1 | 121,880 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 2,887 | 11,300 | SH | DFND | 1 | 11,300 | 0 | 0 | |
YUM CHINA HLDGS INC | COM | 98850P109 | 444 | 7,500 | SH | DFND | 1 | 7,500 | 0 | 0 | |
ZAI LAB LTD | ADR | 98887Q104 | 237 | 2,250 | SH | DFND | 1 | 2,250 | 0 | 0 | |
ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 | 8,016 | 54,770 | SH | DFND | 1 | 54,770 | 0 | 0 | |
ZOETIS INC | CL A | 98978V103 | 7,570 | 38,995 | SH | DFND | 1 | 38,995 | 0 | 0 | |
ZOOMINFO TECHNOLOGIES INC | COM CL A | 98980F104 | 9,790 | 160,000 | SH | DFND | 1 | 160,000 | 0 | 0 |