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 |
ACCURAY INC | COM | 004397105 | 404 | 55,700 | SH | DFND | 55,700 | 0 | 0 | ||
ACELRX PHARMACEUTICALS INC | COM | 00444T100 | 383 | 69,700 | SH | DFND | 69,700 | 0 | 0 | ||
ACTAVIS PLC | SHS | G0083B108 | 1,134 | 4,700 | SH | DFND | 4,700 | 0 | 0 | ||
ACTAVIS PLC | SHS | G0083B108 | 57 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
AEGERION PHARMACEUTICALS INC | COM | 00767E102 | 1,849 | 55,400 | SH | DFND | 55,400 | 0 | 0 | ||
AEGERION PHARMACEUTICALS INC | COM | 00767E102 | 16 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
AGILENT TECHNOLOGIES INC | COM | 00846U101 | 51 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 3,316 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 14 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
ALKERMES PLC | SHS | G01767105 | 2,032 | 47,400 | SH | DFND | 47,400 | 0 | 0 | ||
ALKERMES PLC | SHS | G01767105 | 6 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
ALLERGAN INC | COM | 018490102 | 1,034 | 5,800 | SH | DFND | 5,800 | 0 | 0 | ||
ALLIANCEBERNSTEIN INCOME FUN | COM | 01881E101 | 7,125 | 950,000 | SH | DFND | 950,000 | 0 | 0 | ||
AMC NETWORKS INC | CL A | 00164V103 | 1,227 | 21,000 | SH | DFND | 21,000 | 0 | 0 | ||
AMERICAN CAP LTD | COM | 02503Y103 | 708 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 3,294 | 175,000 | SH | DFND | 175,000 | 0 | 0 | ||
AMERICAN CAP SR FLOATING LTD | COM | 02504D108 | 908 | 69,800 | SH | DFND | 69,800 | 0 | 0 | ||
AMERICAN CAPITAL AGENCY CORP | COM | 02503X105 | 3,825 | 180,000 | SH | DFND | 180,000 | 0 | 0 | ||
AMERICAN EAGLE OUTFITTERS NE | COM | 02553E106 | 160 | 11,000 | SH | DFND | 11,000 | 0 | 0 | ||
ANTARES PHARMA INC | COM | 036642106 | 515 | 281,477 | SH | DFND | 281,477 | 0 | 0 | ||
APACHE CORP | COM | 037411105 | 19 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
APOLLO INVT CORP | COM | 03761U106 | 1,103 | 135,000 | SH | DFND | 135,000 | 0 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 2,549 | 149,058 | SH | DFND | 149,058 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 1,965 | 113,557 | SH | DFND | 113,557 | 0 | 0 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 7,806 | 458,114 | SH | DFND | 458,114 | 0 | 0 | ||
ARES MULTI STRATEGY CR FD IN | COM | 04014Q108 | 2,443 | 117,525 | SH | DFND | 117,525 | 0 | 0 | ||
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 1,838 | 340,300 | SH | DFND | 340,300 | 0 | 0 | ||
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 8 | 40,000 | SH | Call | DFND | 40,000 | 0 | 0 | |
ASCENA RETAIL GROUP INC | COM | 04351G101 | 532 | 40,000 | SH | DFND | 40,000 | 0 | 0 | ||
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 8 | 20,900 | SH | Call | DFND | 20,900 | 0 | 0 | |
ATHENAHEALTH INC | COM | 04685W103 | 7 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
B/E AEROSPACE INC | COM | 073302101 | 49 | 12,500 | SH | Call | DFND | 12,500 | 0 | 0 | |
BANK NEW YORK MELLON CORP | COM | 064058100 | 30 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
BARCLAYS BK PLC | IPATH S&P500 VIX | 06742E711 | 1,560 | 350,000 | SH | Put | DFND | 350,000 | 0 | 0 | |
BED BATH & BEYOND INC | COM | 075896100 | 14 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
BIOGEN IDEC INC | COM | 09062X103 | 4,545 | 13,739 | SH | DFND | 13,739 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 819 | 11,356 | SH | DFND | 11,356 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 4 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 1,068 | 75,950 | SH | DFND | 75,950 | 0 | 0 | ||
BLACKROCK KELSO CAPITAL CORP | COM | 092533108 | 299 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 4,018 | 226,472 | SH | DFND | 226,472 | 0 | 0 | ||
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 393 | 27,140 | SH | DFND | 27,140 | 0 | 0 | ||
BLACKROCK MUNICIPL INC QLTY | COM | 092479104 | 1,176 | 85,000 | SH | DFND | 85,000 | 0 | 0 | ||
BLACKROCK MUNIENHANCED FD IN | COM | 09253Y100 | 861 | 76,914 | SH | DFND | 76,914 | 0 | 0 | ||
BLACKROCK MUNIHLDGS NJ QLTY | COM | 09254X101 | 154 | 11,020 | SH | DFND | 11,020 | 0 | 0 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 243 | 17,077 | SH | DFND | 17,077 | 0 | 0 | ||
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 263 | 18,946 | SH | DFND | 18,946 | 0 | 0 | ||
BLACKROCK MUNIHOLDINGS FD IN | COM | 09253N104 | 1,939 | 120,444 | SH | DFND | 120,444 | 0 | 0 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 185 | 13,041 | SH | DFND | 13,041 | 0 | 0 | ||
BLACKROCK MUNIYIELD QLTY FD | COM | 09254E103 | 713 | 52,018 | SH | DFND | 52,018 | 0 | 0 | ||
BLACKSTONE GSO FLTING RTE FU | COM | 09256U105 | 204 | 11,900 | SH | DFND | 11,900 | 0 | 0 | ||
BLACKSTONE GSO LNG SHRT CR I | COM SHS BN INT | 09257D102 | 7,070 | 423,336 | SH | DFND | 423,336 | 0 | 0 | ||
BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 09257R101 | 13,470 | 802,744 | SH | DFND | 802,744 | 0 | 0 | ||
BOEING CO | COM | 097023105 | 36 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
BOSTON BEER INC | CL A | 100557107 | 643 | 2,900 | SH | DFND | 2,900 | 0 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 5,712 | 646,114 | SH | DFND | 646,114 | 0 | 0 | ||
BOULDER TOTAL RETURN FD INC | COM | 101541100 | 403 | 15,286 | SH | DFND | 15,286 | 0 | 0 | ||
BROOKFIELD MTG OPP INC FD IN | COM | 112792106 | 7,958 | 468,394 | SH | DFND | 468,394 | 0 | 0 | ||
BRUKER CORP | COM | 116794108 | 481 | 26,000 | SH | DFND | 26,000 | 0 | 0 | ||
CATAMARAN CORP | COM | 148887102 | 4 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
CATAMARAN CORP | COM | 148887102 | 1,764 | 41,847 | SH | DFND | 41,847 | 0 | 0 | ||
CBS CORP NEW | CL B | 124857202 | 669 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
CELGENE CORP | COM | 151020104 | 853 | 9,000 | SH | DFND | 9,000 | 0 | 0 | ||
CENTRAL FD CDA LTD | CL A | 153501101 | 1,334 | 108,352 | SH | DFND | 108,352 | 0 | 0 | ||
CHICAGO BRIDGE & IRON CO N V | COM | 167250109 | 14 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
CHIMERIX INC | COM | 16934W106 | 291 | 10,519 | SH | DFND | 10,519 | 0 | 0 | ||
CINTAS CORP | COM | 172908105 | 43 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 1,950 | 43,000 | SH | DFND | 43,000 | 0 | 0 | ||
COACH INC | COM | 189754104 | 23 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
COBALT INTL ENERGY INC | COM | 19075F106 | 966 | 71,000 | SH | DFND | 71,000 | 0 | 0 | ||
COHEN & STEERS TOTAL RETURN | COM | 19247R103 | 2,439 | 204,073 | SH | DFND | 204,073 | 0 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 22 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
COMCAST CORP NEW | CL A | 20030N101 | 47 | 27,500 | SH | Call | DFND | 27,500 | 0 | 0 | |
CORNERSTONE PROGRESSIVE RTN | COM | 21925C101 | 4,881 | 1,187,700 | SH | DFND | 1,187,700 | 0 | 0 | ||
CUBIST PHARMACEUTICALS INC | COM | 229678107 | 9 | 30,000 | SH | Call | DFND | 30,000 | 0 | 0 | |
CUMMINS INC | COM | 231021106 | 594 | 4,500 | SH | DFND | 4,500 | 0 | 0 | ||
CYS INVTS INC | COM | 12673A108 | 330 | 40,000 | SH | DFND | 40,000 | 0 | 0 | ||
DANAHER CORP DEL | COM | 235851102 | 1,292 | 17,000 | SH | DFND | 17,000 | 0 | 0 | ||
DANAHER CORP DEL | COM | 235851102 | 26 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
DEUTSCHE HIGH INCOME OPPORT | COM | 25158Y102 | 3,184 | 217,457 | SH | DFND | 217,457 | 0 | 0 | ||
DEX MEDIA INC NEW | COM | 25213A107 | 385 | 40,306 | SH | DFND | 40,306 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 31 | 11,000 | SH | Call | DFND | 11,000 | 0 | 0 | |
DIVERSIFIED REAL ASSET INC F | COM SHS | 25533B108 | 6,480 | 365,460 | SH | DFND | 365,460 | 0 | 0 | ||
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 1,083 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
E M C CORP MASS | COM | 268648102 | 20 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 4,186 | 242,824 | SH | DFND | 242,824 | 0 | 0 | ||
EATON VANCE MUN BD FD | COM | 27827X101 | 1,604 | 128,143 | SH | DFND | 128,143 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 908 | 63,122 | SH | DFND | 63,122 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 2,678 | 411,328 | SH | DFND | 411,328 | 0 | 0 | ||
EL PASO ENERGY CAP TR I | PFD CV TR SECS | 283678209 | 55,210 | 967,403 | SH | DFND | 967,403 | 0 | 0 | ||
ENDO INTL PLC | SHS | G30401106 | 2,050 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
ENDOLOGIX INC | COM | 29266S106 | 765 | 72,200 | SH | DFND | 72,200 | 0 | 0 | ||
ENERGEN CORP | COM | 29265N108 | 722 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
EPR PPTYS | PFD C CNV 5.75% | 26884U208 | 8,079 | 366,713 | SH | DFND | 366,713 | 0 | 0 | ||
EV ENERGY PARTNERS LP | COM UNITS | 26926V107 | 355 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 2,157 | 235,000 | SH | DFND | 235,000 | 0 | 0 | ||
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 1,858 | 85,523 | SH | DFND | 85,523 | 0 | 0 | ||
FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 4,099 | 170,700 | SH | DFND | 170,700 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 2,075 | 81,000 | SH | DFND | 81,000 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 1,118 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 13 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 1,533 | 14,400 | SH | DFND | 14,400 | 0 | 0 | ||
GILEAD SCIENCES INC | COM | 375558103 | 20 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
GUESS INC | COM | 401617105 | 8 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
HALLIBURTON CO | COM | 406216101 | 28 | 11,000 | SH | Call | DFND | 11,000 | 0 | 0 | |
HERBALIFE LTD | COM USD SHS | G4412G101 | 639 | 80,000 | SH | Put | DFND | 80,000 | 0 | 0 | |
HERBALIFE LTD | COM USD SHS | G4412G101 | 66 | 200,000 | SH | Call | DFND | 200,000 | 0 | 0 | |
HERTZ GLOBAL HOLDINGS INC | COM | 42805T105 | 17 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 94 | 11,740 | SH | DFND | 11,740 | 0 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 917 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
HORIZON PHARMA PLC | SHS | G4617B105 | 246 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
IMMUNOGEN INC | COM | 45253H101 | 1,647 | 155,500 | SH | DFND | 155,500 | 0 | 0 | ||
INCYTE CORP | COM | 45337C102 | 2,551 | 52,000 | SH | DFND | 52,000 | 0 | 0 | ||
INCYTE CORP | COM | 45337C102 | 5 | 30,000 | SH | Call | DFND | 30,000 | 0 | 0 | |
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 1,264 | 94,200 | SH | DFND | 94,200 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 18,281 | 525,000 | SH | DFND | 525,000 | 0 | 0 | ||
INVESCO ADVANTAGE MUNICIPAL | SH BEN INT | 46132E103 | 252 | 22,156 | SH | DFND | 22,156 | 0 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 10,553 | 854,527 | SH | DFND | 854,527 | 0 | 0 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 4,402 | 280,000 | SH | DFND | 280,000 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 6,577 | 1,384,617 | SH | DFND | 1,384,617 | 0 | 0 | ||
IRONWOOD PHARMACEUTICALS INC | COM CL A | 46333X108 | 806 | 62,200 | SH | DFND | 62,200 | 0 | 0 | ||
ISHARES | IBOXX HI YD ETF | 464288513 | 26 | 20,000 | SH | Put | DFND | 20,000 | 0 | 0 | |
ISHARES TR | 20+ YR TR BD ETF | 464287432 | 28 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
ISHARES TR | NASDQ BIOTEC ETF | 464287556 | 313 | 52,000 | SH | Put | DFND | 52,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 213 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 43 | 15,000 | SH | Put | DFND | 15,000 | 0 | 0 | |
JARDEN CORP | COM | 471109108 | 62 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 4,030 | 25,100 | SH | DFND | 25,100 | 0 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 39 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
KINDER MORGAN ENERGY PARTNER | UT LTD PARTNER | 494550106 | 933 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
KITE PHARMA INC | COM | 49803L109 | 470 | 16,507 | SH | DFND | 16,507 | 0 | 0 | ||
LANNET INC | COM | 516012101 | 863 | 18,900 | SH | DFND | 18,900 | 0 | 0 | ||
LENNAR CORP | CL B | 526057302 | 922 | 28,800 | SH | DFND | 28,800 | 0 | 0 | ||
LMP CORPORATE LN FD INC | COM | 50208B100 | 1,520 | 131,594 | SH | DFND | 131,594 | 0 | 0 | ||
LMP REAL ESTATE INCOME FD IN | COM | 50208C108 | 4,076 | 363,000 | SH | DFND | 363,000 | 0 | 0 | ||
LOCKHEED MARTIN CORP | COM | 539830109 | 12,977 | 71,000 | SH | DFND | 71,000 | 0 | 0 | ||
MACYS INC | COM | 55616P104 | 26 | 10,500 | SH | Call | DFND | 10,500 | 0 | 0 | |
MACYS INC | COM | 55616P104 | 204 | 3,500 | SH | DFND | 3,500 | 0 | 0 | ||
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 3,766 | 41,777 | SH | DFND | 41,777 | 0 | 0 | ||
MASIMO CORP | COM | 574795100 | 426 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
MCDERMOTT INTL INC | COM | 580037109 | 143 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
MEDIVATION INC | COM | 58501N101 | 2,126 | 21,500 | SH | DFND | 21,500 | 0 | 0 | ||
MICHAEL KORS HLDGS LTD | SHS | G60754101 | 428 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
MOLSON COORS BREWING CO | CL B | 60871R209 | 79 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
MYLAN INC | COM | 628530107 | 4 | 30,000 | SH | Call | DFND | 30,000 | 0 | 0 | |
MYLAN INC | COM | 628530107 | 1,638 | 36,000 | SH | DFND | 36,000 | 0 | 0 | ||
NEW RESIDENTIAL INVT CORP | COM | 64828T102 | 4,081 | 700,000 | SH | DFND | 700,000 | 0 | 0 | ||
NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 72 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
NGP CAP RES CO | COM | 62912R107 | 989 | 160,000 | SH | DFND | 160,000 | 0 | 0 | ||
NOBLE ENERGY INC | COM | 655044105 | 28 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
NPS PHARMACEUTICALS INC | COM | 62936P103 | 2,470 | 95,000 | SH | DFND | 95,000 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 8,620 | 965,270 | SH | DFND | 965,270 | 0 | 0 | ||
NUVEEN DIV ADVANTAGE MUN FD | COM | 67070F100 | 292 | 20,954 | SH | DFND | 20,954 | 0 | 0 | ||
NUVEEN DIVER CURRENCY OPPOR | COM | 67090N109 | 4,857 | 455,671 | SH | DFND | 455,671 | 0 | 0 | ||
NUVEEN DIVID ADV MUN FD 3 | COM SH BEN INT | 67070X101 | 4,191 | 306,548 | SH | DFND | 306,548 | 0 | 0 | ||
NUVEEN DIVID ADVANTAGE MUN I | COM | 67071L106 | 966 | 68,466 | SH | DFND | 68,466 | 0 | 0 | ||
NUVEEN FLEXIBLE INVT INCOME | COM | 67075B104 | 2,908 | 166,085 | SH | DFND | 166,085 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 700 | 62,007 | SH | DFND | 62,007 | 0 | 0 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 1,136 | 99,806 | SH | DFND | 99,806 | 0 | 0 | ||
NUVEEN GBL INCOME OPPORTUN F | COM | 67073C104 | 1,824 | 147,543 | SH | DFND | 147,543 | 0 | 0 | ||
NUVEEN LG/SHT COMMODITY TOTR | COM UT BEN INT | 670731108 | 369 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
NUVEEN MTG OPPORTUNITY TERM | COM | 670735109 | 1,543 | 64,986 | SH | DFND | 64,986 | 0 | 0 | ||
NUVEEN MTG OPPTY TERM FD 2 | COM | 67074R100 | 704 | 30,230 | SH | DFND | 30,230 | 0 | 0 | ||
NUVEEN MUN ADVANTAGE FD INC | COM | 67062H106 | 369 | 27,341 | SH | DFND | 27,341 | 0 | 0 | ||
NUVEEN MUN MKT OPPORTUNITY F | COM | 67062W103 | 2,221 | 167,494 | SH | DFND | 167,494 | 0 | 0 | ||
NUVEEN MUN OPPORTUNITY FD IN | COM | 670984103 | 3,850 | 270,190 | SH | DFND | 270,190 | 0 | 0 | ||
NUVEEN NEW JERSEY DIVID | COM | 67071T109 | 256 | 19,490 | SH | DFND | 19,490 | 0 | 0 | ||
NUVEEN NJ DIV ADVANTAGE MUN | COM | 67069Y102 | 242 | 18,000 | SH | DFND | 18,000 | 0 | 0 | ||
NUVEEN PA INVT QUALITY MUN F | COM | 670972108 | 601 | 44,106 | SH | DFND | 44,106 | 0 | 0 | ||
NUVEEN PERFORMANCE PLUS MUN | COM | 67062P108 | 2,256 | 155,585 | SH | DFND | 155,585 | 0 | 0 | ||
NUVEEN PREM INCOME MUN FD 2 | COM | 67063W102 | 5,797 | 421,609 | SH | DFND | 421,609 | 0 | 0 | ||
NUVEEN PREM INCOME MUN FD 4 | COM | 6706K4105 | 277 | 21,750 | SH | DFND | 21,750 | 0 | 0 | ||
NUVEEN PREMIER MUN INCOME FD | COM | 670988104 | 2,393 | 177,941 | SH | DFND | 177,941 | 0 | 0 | ||
NUVEEN QUALITY INCOME MUN FD | COM | 670977107 | 1,208 | 88,258 | SH | DFND | 88,258 | 0 | 0 | ||
NUVEEN QUALITY MUN FD INC | COM | 67062N103 | 863 | 66,665 | SH | DFND | 66,665 | 0 | 0 | ||
NUVEEN QUALITY PFD INC FD 3 | COM | 67072W101 | 1,749 | 209,000 | SH | DFND | 209,000 | 0 | 0 | ||
NUVEEN SHT DUR CR OPP FD | COM | 67074X107 | 4,176 | 243,899 | SH | DFND | 243,899 | 0 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 2,057 | 307,460 | SH | DFND | 307,460 | 0 | 0 | ||
OPKO HEALTH INC | COM | 68375N103 | 233 | 27,400 | SH | DFND | 27,400 | 0 | 0 | ||
ORACLE CORP | COM | 68389X105 | 1,225 | 32,000 | SH | DFND | 32,000 | 0 | 0 | ||
PENN VA CORP | COM | 707882106 | 13 | 22,000 | SH | Call | DFND | 22,000 | 0 | 0 | |
PENNEY J C INC | COM | 708160106 | 1,325 | 132,000 | SH | DFND | 132,000 | 0 | 0 | ||
PERRIGO CO PLC | SHS | G97822103 | 2,854 | 19,000 | SH | DFND | 19,000 | 0 | 0 | ||
PERRIGO CO PLC | SHS | G97822103 | 6 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
PETSMART INC | COM | 716768106 | 3 | 20,000 | SH | Put | DFND | 20,000 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 25 | 105,200 | SH | Call | DFND | 105,200 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 1,626 | 55,000 | SH | DFND | 55,000 | 0 | 0 | ||
PHARMACYCLICS INC | COM | 716933106 | 705 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
PIMCO DYNAMIC CR INCOME FD | COM SHS | 72202D106 | 2,696 | 120,000 | SH | DFND | 120,000 | 0 | 0 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 251 | 21,397 | SH | DFND | 21,397 | 0 | 0 | ||
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 1,482 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
PRECISION CASTPARTS CORP | COM | 740189105 | 1,090 | 4,600 | SH | DFND | 4,600 | 0 | 0 | ||
PROSHARES TR II | ULT VIX SHRT TRM | 74347W346 | 654 | 42,000 | SH | Put | DFND | 42,000 | 0 | 0 | |
PROTHENA CORP PLC | SHS | G72800108 | 492 | 22,200 | SH | DFND | 22,200 | 0 | 0 | ||
QUALCOMM INC | COM | 747525103 | 598 | 8,000 | SH | DFND | 8,000 | 0 | 0 | ||
QUALCOMM INC | COM | 747525103 | 54 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
RADIO ONE INC | CL D NON VTG | 75040P405 | 94 | 29,700 | SH | DFND | 29,700 | 0 | 0 | ||
RANGE RES CORP | COM | 75281A109 | 678 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
REGENERON PHARMACEUTICALS | COM | 75886F107 | 1,459 | 4,048 | SH | DFND | 4,048 | 0 | 0 | ||
REMY INTL INC | COM | 759663107 | 1,868 | 91,012 | SH | DFND | 91,012 | 0 | 0 | ||
RMR REAL ESTATE INCOME FUND | COM | 76970B101 | 2,212 | 117,639 | SH | DFND | 117,639 | 0 | 0 | ||
SALIX PHARMACEUTICALS INC | COM | 795435106 | 58 | 18,000 | SH | Call | DFND | 18,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 51 | 30,000 | SH | Call | DFND | 30,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 1,822 | 20,111 | SH | DFND | 20,111 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 20 | 12,500 | SH | Call | DFND | 12,500 | 0 | 0 | |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 95 | 71,000 | SH | Call | DFND | 71,000 | 0 | 0 | |
SHIRE PLC | SPONSORED ADR | 82481R106 | 958 | 3,700 | SH | DFND | 3,700 | 0 | 0 | ||
SIRIUS XM HLDGS INC | COM | 82968B103 | 52 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
SOLAR CAP LTD | COM | 83413U100 | 1,246 | 66,700 | SH | DFND | 66,700 | 0 | 0 | ||
SOLAR SR CAP LTD | COM | 83416M105 | 704 | 45,755 | SH | DFND | 45,755 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 54,202 | 275,110 | SH | DFND | 275,110 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 647 | 145,000 | SH | Call | DFND | 145,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 876 | 402,000 | SH | Put | DFND | 402,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | 10 | 25,000 | SH | Put | DFND | 25,000 | 0 | 0 | |
STRYKER CORP | COM | 863667101 | 39 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
SUNESIS PHARMACEUTICALS INC | COM NEW | 867328601 | 181 | 25,300 | SH | DFND | 25,300 | 0 | 0 | ||
SURGICAL CARE AFFILIATES INC | COM | 86881L106 | 260 | 9,723 | SH | DFND | 9,723 | 0 | 0 | ||
TARGET CORP | COM | 87612E106 | 48 | 12,500 | SH | Call | DFND | 12,500 | 0 | 0 | |
TELEFLEX INC | COM | 879369106 | 1,008 | 9,600 | SH | DFND | 9,600 | 0 | 0 | ||
TEREX CORP NEW | COM | 880779103 | 477 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
TEREX CORP NEW | COM | 880779103 | 0 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 852 | 7,000 | SH | DFND | 7,000 | 0 | 0 | ||
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 31 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
THL CR SR LN FD | COM | 87244R103 | 4,574 | 262,397 | SH | DFND | 262,397 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 15 | 12,500 | SH | Call | DFND | 12,500 | 0 | 0 | |
TJX COS INC NEW | COM | 872540109 | 145 | 37,500 | SH | Call | DFND | 37,500 | 0 | 0 | |
TRANSENTERIX INC | COM NEW | 89366M201 | 55 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
TWO HBRS INVT CORP | COM | 90187B101 | 1,499 | 155,000 | SH | DFND | 155,000 | 0 | 0 | ||
UNICO AMERN CORP | COM | 904607108 | 157 | 13,000 | SH | DFND | 13,000 | 0 | 0 | ||
UNION PAC CORP | COM | 907818108 | 21 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 491 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
UNITED PARCEL SERVICE INC | CL B | 911312106 | 25 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 200 | 4,000 | SH | DFND | 4,000 | 0 | 0 | ||
VIACOM INC NEW | CL A | 92553P102 | 1,494 | 19,400 | SH | DFND | 19,400 | 0 | 0 | ||
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 2,646 | 155,000 | SH | DFND | 155,000 | 0 | 0 | ||
VOLCANO CORPORATION | COM | 928645100 | 160 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 3,475 | 631,743 | SH | DFND | 631,743 | 0 | 0 | ||
WALGREEN CO | COM | 931422109 | 771 | 13,000 | SH | DFND | 13,000 | 0 | 0 | ||
WALTER ENERGY INC | COM | 93317Q105 | 8 | 100,000 | SH | Call | DFND | 100,000 | 0 | 0 | |
WELLCARE HEALTH PLANS INC | COM | 94946T106 | 712 | 11,800 | SH | DFND | 11,800 | 0 | 0 | ||
WELLS FARGO & CO NEW | COM | 949746101 | 4,668 | 90,000 | SH | DFND | 90,000 | 0 | 0 | ||
WELLS FARGO ADVANTAGE MULTI | COM SHS | 94987D101 | 712 | 50,977 | SH | DFND | 50,977 | 0 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 5,666 | 488,863 | SH | DFND | 488,863 | 0 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 3,338 | 289,238 | SH | DFND | 289,238 | 0 | 0 | ||
WESTERN ASSET MTG CAP CORP | COM | 95790D105 | 148 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
WILLIAMS SONOMA INC | COM | 969904101 | 44 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
WORLD ACCEP CORP DEL | COM | 981419104 | 51 | 20,100 | SH | Put | DFND | 20,100 | 0 | 0 |