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 |
ADAMS EXPRESS CO | COM | 006212104 | 3,339 | 219,530 | SH | DFND | 1 | 219,530 | 0 | 0 | |
ADVENT CLAY CONV SEC INC FD | COM | 007639107 | 755 | 121,061 | SH | DFND | 1 | 121,061 | 0 | 0 | |
ADVENT CLAYMORE ENH GRW & IN | COM | 00765E104 | 924 | 107,293 | SH | DFND | 1 | 107,293 | 0 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 10,853 | 77,359 | SH | DFND | 1 | 77,359 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 51,778 | 299,800 | SH | DFND | 1 | 299,800 | 0 | 0 | |
ALIGN TECHNOLOGY INC | COM | 016255101 | 18,658 | 100,165 | SH | DFND | 1 | 100,165 | 0 | 0 | |
ALLERGAN PLC | SHS | G0177J108 | 5,185 | 25,300 | SH | DFND | 1 | 25,300 | 0 | 0 | |
ALPINE TOTAL DYNAMIC DIVID F | COM SH BEN INT N | 021060207 | 157 | 17,395 | SH | DFND | 1 | 17,395 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 25,522 | 385,300 | SH | DFND | 1 | 385,300 | 0 | 0 | |
ALTICE USA INC | COM | 02156K103 | 4,880 | 178,700 | SH | DFND | 1 | 178,700 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 23,887 | 24,847 | SH | DFND | 1 | 24,847 | 0 | 0 | |
AMC ENTMT HLDGS INC | CL A COM | 00165C104 | 212 | 14,400 | SH | DFND | 1 | 14,400 | 0 | 0 | |
AMERCO | COM | 023586100 | 13,350 | 35,610 | SH | DFND | 1 | 35,610 | 0 | 0 | |
APPLE INC | COM | 037833100 | 54,128 | 351,210 | SH | DFND | 1 | 351,210 | 0 | 0 | |
ARBOR RLTY TR INC | COM | 038923108 | 1,413 | 172,300 | SH | DFND | 1 | 172,300 | 0 | 0 | |
ARES CAP CORP | COM | 04010L103 | 46,551 | 2,840,200 | SH | DFND | 1 | 2,840,200 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 9,889 | 39,924 | SH | DFND | 1 | 39,924 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 63,711 | 2,514,258 | SH | DFND | 1 | 2,514,258 | 0 | 0 | |
BAOZUN INC | SPONSORED ADR | 06684L103 | 6,254 | 190,900 | SH | DFND | 1 | 190,900 | 0 | 0 | |
BIOGEN INC | COM | 09062X103 | 16,493 | 52,672 | SH | DFND | 1 | 52,672 | 0 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 4,527 | 48,645 | SH | DFND | 1 | 48,645 | 0 | 0 | |
BIOVERATIV INC | COM | 09075E100 | 9,753 | 170,900 | SH | DFND | 1 | 170,900 | 0 | 0 | |
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 177 | 12,500 | SH | DFND | 1 | 12,500 | 0 | 0 | |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 36,287 | 1,169,800 | SH | DFND | 1 | 1,169,800 | 0 | 0 | |
BLUEBIRD BIO INC | COM | 09609G100 | 714 | 5,200 | SH | DFND | 1 | 5,200 | 0 | 0 | |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 7,508 | 257,400 | SH | DFND | 1 | 257,400 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 12,490 | 195,960 | SH | DFND | 1 | 195,960 | 0 | 0 | |
BROADCOM LTD | SHS | Y09827109 | 41,768 | 172,212 | SH | DFND | 1 | 172,212 | 0 | 0 | |
CABLE ONE INC | COM | 12685J105 | 5,064 | 7,012 | SH | DFND | 1 | 7,012 | 0 | 0 | |
CARDIOME PHARMA CORP | COM NO PAR | 14159U301 | 6,132 | 2,878,985 | SH | DFND | 1 | 2,878,985 | 0 | 0 | |
CARTER INC | COM | 146229109 | 272 | 2,750 | SH | DFND | 1 | 2,750 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 11,298 | 769,650 | SH | DFND | 1 | 769,650 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 10,331 | 70,847 | SH | DFND | 1 | 70,847 | 0 | 0 | |
CHILDRENS PL INC | COM | 168905107 | 236 | 2,000 | SH | DFND | 1 | 2,000 | 0 | 0 | |
CITIGROUP INC | W EXP 01/04/201 | 172967226 | 31 | 271,800 | SH | DFND | 1 | 271,800 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 63,032 | 866,543 | SH | DFND | 1 | 866,543 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 6,900 | 83,735 | SH | DFND | 1 | 83,735 | 0 | 0 | |
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 23,858 | 328,900 | SH | DFND | 1 | 328,900 | 0 | 0 | |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 6,214 | 230,500 | SH | DFND | 1 | 230,500 | 0 | 0 | |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 1,856 | 125,319 | SH | DFND | 1 | 125,319 | 0 | 0 | |
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 1,805 | 123,400 | SH | DFND | 1 | 123,400 | 0 | 0 | |
CREDIT ACCEP CORP MICH | COM | 225310101 | 24,083 | 85,959 | SH | DFND | 1 | 85,959 | 0 | 0 | |
CREDIT SUISSE NASSAU BRH | VELOCITY SHS SHR | 22542D357 | 181 | 16,000 | SH | DFND | 1 | 16,000 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 13,937 | 779,931 | SH | DFND | 1 | 779,931 | 0 | 0 | |
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 12,783 | 242,370 | SH | DFND | 1 | 242,370 | 0 | 0 | |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 25,463 | 1,695,300 | SH | DFND | 1 | 1,695,300 | 0 | 0 | |
D R HORTON INC | COM | 23331A109 | 34,559 | 865,495 | SH | DFND | 1 | 865,495 | 0 | 0 | |
DERMIRA INC | COM | 24983L104 | 5,761 | 213,385 | SH | DFND | 1 | 213,385 | 0 | 0 | |
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 459 | 35,700 | SH | DFND | 1 | 35,700 | 0 | 0 | |
DOMINION RES INC VA NEW | COM | 25746U109 | 4,924 | 64,000 | SH | DFND | 1 | 64,000 | 0 | 0 | |
EATON VANCE RISK MNGD DIV EQ | COM | 27829G106 | 110 | 11,700 | SH | DFND | 1 | 11,700 | 0 | 0 | |
ELLIE MAE INC | COM | 28849P100 | 9,617 | 117,100 | SH | DFND | 1 | 117,100 | 0 | 0 | |
EVERSOURCE ENERGY | COM | 30040W108 | 5,010 | 82,900 | SH | DFND | 1 | 82,900 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 23,536 | 371,700 | SH | DFND | 1 | 371,700 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 39,608 | 231,800 | SH | DFND | 1 | 231,800 | 0 | 0 | |
FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 179 | 22,400 | SH | DFND | 1 | 22,400 | 0 | 0 | |
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 121 | 10,100 | SH | DFND | 1 | 10,100 | 0 | 0 | |
FRANKLIN RES INC | COM | 354613101 | 9,596 | 215,600 | SH | DFND | 1 | 215,600 | 0 | 0 | |
GALAPAGOS NV | SPON ADR | 36315X101 | 7,372 | 72,453 | SH | DFND | 1 | 72,453 | 0 | 0 | |
GLOBAL MED REIT INC | COM NEW | 37954A204 | 5,613 | 625,000 | SH | DFND | 1 | 625,000 | 0 | 0 | |
GOLDMAN SACHS BDC INC | SHS | 38147U107 | 1,000 | 43,800 | SH | DFND | 1 | 43,800 | 0 | 0 | |
GOLUB CAP BDC INC | COM | 38173M102 | 12,791 | 679,666 | SH | DFND | 1 | 679,666 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 8,725 | 85,971 | SH | DFND | 1 | 85,971 | 0 | 0 | |
HERCULES TECH GROWTH CAP INC | COM | 427096508 | 173 | 13,400 | SH | DFND | 1 | 13,400 | 0 | 0 | |
HOLOGIC INC | COM | 436440101 | 6,331 | 172,548 | SH | DFND | 1 | 172,548 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 343 | 2,100 | SH | DFND | 1 | 2,100 | 0 | 0 | |
IMAX CORP | COM | 45245E109 | 359 | 15,860 | SH | DFND | 1 | 15,860 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 432 | 3,700 | SH | DFND | 1 | 3,700 | 0 | 0 | |
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 10,395 | 658,750 | SH | DFND | 1 | 658,750 | 0 | 0 | |
IRHYTHM TECHNOLOGIES INC | COM | 450056106 | 514 | 9,900 | SH | DFND | 1 | 9,900 | 0 | 0 | |
ISHARES TR | CORE S&P500 ETF | 464287200 | 354 | 1,400 | SH | DFND | 1 | 1,400 | 0 | 0 | |
ISHARES TR | MSCI INDIA ETF | 46429B598 | 2,296 | 69,900 | SH | DFND | 1 | 69,900 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 790 | 5,400 | SH | DFND | 1 | 5,400 | 0 | 0 | |
JD COM INC | SPON ADR CL A | 47215P106 | 17,557 | 459,600 | SH | DFND | 1 | 459,600 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 30,831 | 322,800 | SH | DFND | 1 | 322,800 | 0 | 0 | |
KERYX BIOPHARMACEUTICALS INC | COM | 492515101 | 5,333 | 751,101 | SH | DFND | 1 | 751,101 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 3,362 | 224,861 | SH | DFND | 1 | 224,861 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 10,980 | 796,778 | SH | DFND | 1 | 796,778 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 53,266 | 287,860 | SH | DFND | 1 | 287,860 | 0 | 0 | |
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 173 | 12,907 | SH | DFND | 1 | 12,907 | 0 | 0 | |
LENNAR CORP | CL A | 526057104 | 14,784 | 279,997 | SH | DFND | 1 | 279,997 | 0 | 0 | |
LIBERTY BROADBAND CORP | COM SER C | 530307305 | 53,515 | 561,545 | SH | DFND | 1 | 561,545 | 0 | 0 | |
LIBERTY INTERACTIVE CORP | LBT VEN COM A NE | 53071M856 | 60,013 | 1,042,792 | SH | DFND | 1 | 1,042,792 | 0 | 0 | |
LOGMEIN INC | COM | 54142L109 | 13,693 | 124,424 | SH | DFND | 1 | 124,424 | 0 | 0 | |
MERCK & CO INC NEW | COM | 58933Y105 | 21,424 | 334,600 | SH | DFND | 1 | 334,600 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 14,167 | 360,200 | SH | DFND | 1 | 360,200 | 0 | 0 | |
MICROSEMI CORP | COM | 595137100 | 5,822 | 113,100 | SH | DFND | 1 | 113,100 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 27,613 | 370,700 | SH | DFND | 1 | 370,700 | 0 | 0 | |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 837 | 35,100 | SH | DFND | 1 | 35,100 | 0 | 0 | |
NATIONAL GRID PLC | SPONSORED ADR NE | 636274409 | 2,633 | 41,983 | SH | DFND | 1 | 41,983 | 0 | 0 | |
NEUBERGER BERMAN INTER MUNI | COM | 64124P101 | 277 | 18,047 | SH | DFND | 1 | 18,047 | 0 | 0 | |
NEUBERGER BERMAN RE ES SEC F | COM | 64190A103 | 113 | 20,100 | SH | DFND | 1 | 20,100 | 0 | 0 | |
NEXPOINT CR STRATEGIES FD | COM NEW | 65340G205 | 354 | 15,353 | SH | DFND | 1 | 15,353 | 0 | 0 | |
ORBOTECH LTD | ORD | M75253100 | 2,282 | 54,061 | SH | DFND | 1 | 54,061 | 0 | 0 | |
PACIRA PHARMACEUTICALS INC | COM | 695127100 | 6,902 | 183,800 | SH | DFND | 1 | 183,800 | 0 | 0 | |
PENNYMAC MTG INVT TR | COM | 70931T103 | 15,899 | 914,272 | SH | DFND | 1 | 914,272 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 12,913 | 361,700 | SH | DFND | 1 | 361,700 | 0 | 0 | |
PHYSICIANS RLTY TR | COM | 71943U104 | 2,411 | 136,000 | SH | DFND | 1 | 136,000 | 0 | 0 | |
PIONEER HIGH INCOME TR | COM | 72369H106 | 694 | 69,300 | SH | DFND | 1 | 69,300 | 0 | 0 | |
POOL CORPORATION | COM | 73278L105 | 292 | 2,700 | SH | DFND | 1 | 2,700 | 0 | 0 | |
PRESTIGE BRANDS HLDGS INC | COM | 74112D101 | 1,599 | 31,930 | SH | DFND | 1 | 31,930 | 0 | 0 | |
PULTE GROUP INC | COM | 745867101 | 23,460 | 858,394 | SH | DFND | 1 | 858,394 | 0 | 0 | |
REGAL ENTMT GROUP | CL A | 758766109 | 174 | 10,900 | SH | DFND | 1 | 10,900 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 20,263 | 216,900 | SH | DFND | 1 | 216,900 | 0 | 0 | |
SERVICE CORP INTL | COM | 817565104 | 6,889 | 199,668 | SH | DFND | 1 | 199,668 | 0 | 0 | |
SIENNA BIOPHARMACEUTICALS IN | COM | 82622H108 | 16,421 | 751,209 | SH | DFND | 1 | 751,209 | 0 | 0 | |
SOLAR CAP LTD | COM | 83413U100 | 17,849 | 824,831 | SH | DFND | 1 | 824,831 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 377 | 1,500 | SH | DFND | 1 | 1,500 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 54,995 | 2,531,982 | SH | DFND | 1 | 2,531,982 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 1,299 | 34,600 | SH | DFND | 1 | 34,600 | 0 | 0 | |
TOLL BROTHERS INC | COM | 889478103 | 336 | 8,100 | SH | DFND | 1 | 8,100 | 0 | 0 | |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 8,396 | 400,563 | SH | DFND | 1 | 400,563 | 0 | 0 | |
TRI POINTE HOMES INC | COM | 87265H109 | 6,867 | 497,271 | SH | DFND | 1 | 497,271 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 9,561 | 62,882 | SH | DFND | 1 | 62,882 | 0 | 0 | |
VIASAT INC | COM | 92552V100 | 31,871 | 495,501 | SH | DFND | 1 | 495,501 | 0 | 0 | |
VIRTUS TOTAL RETURN FUND INC | COM | 92837G100 | 558 | 42,791 | SH | DFND | 1 | 42,791 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 4,539 | 208,703 | SH | DFND | 1 | 208,703 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 229 | 3,400 | SH | DFND | 1 | 3,400 | 0 | 0 | |
WELLS FARGO ADV GLB DIV OPP | COM | 94987C103 | 94 | 15,025 | SH | DFND | 1 | 15,025 | 0 | 0 | |
WELLS FARGO ADVANTAGE MULTI | COM SHS | 94987D101 | 489 | 36,445 | SH | DFND | 1 | 36,445 | 0 | 0 | |
WESTERN ASSET CORPORATE LN F | COM | 95790J102 | 149 | 13,672 | SH | DFND | 1 | 13,672 | 0 | 0 | |
WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 5,545 | 220,300 | SH | DFND | 1 | 220,300 | 0 | 0 | |
YELP INC | CL A | 985817105 | 26,553 | 613,229 | SH | DFND | 1 | 613,229 | 0 | 0 |