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 |
ADVENT CLAY CONV SEC INC FD | COM | 007639107 | 87 | 14,561 | SH | DFND | 1 | 14,561 | 0 | 0 | |
ADVENT CLAYMORE ENH GRW & IN | COM | 00765E104 | 282 | 33,866 | SH | DFND | 1 | 33,866 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 37,193 | 215,700 | SH | DFND | 1 | 215,700 | 0 | 0 | |
ALIGN TECHNOLOGY INC | COM | 016255101 | 9,053 | 40,745 | SH | DFND | 1 | 40,745 | 0 | 0 | |
ALPINE TOTAL DYNAMIC DIVID F | COM SH BEN INT N | 021060207 | 192 | 20,300 | SH | DFND | 1 | 20,300 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 30,008 | 429,600 | SH | DFND | 1 | 429,600 | 0 | 0 | |
ALTICE USA INC | COM | 02156K103 | 6,099 | 287,300 | SH | DFND | 1 | 287,300 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 24,928 | 21,316 | SH | DFND | 1 | 21,316 | 0 | 0 | |
AMC ENTMT HLDGS INC | CL A COM | 00165C104 | 180 | 11,900 | SH | DFND | 1 | 11,900 | 0 | 0 | |
AMERICAN TOWER CORP NEW | COM | 03027X100 | 10,486 | 73,500 | SH | DFND | 1 | 73,500 | 0 | 0 | |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 19,667 | 917,116 | SH | DFND | 1 | 917,116 | 0 | 0 | |
APPLE INC | COM | 037833100 | 27,738 | 163,910 | SH | DFND | 1 | 163,910 | 0 | 0 | |
ARBOR RLTY TR INC | COM | 038923108 | 1,489 | 172,300 | SH | DFND | 1 | 172,300 | 0 | 0 | |
ARES CAP CORP | COM | 04010L103 | 39,407 | 2,506,800 | SH | DFND | 1 | 2,506,800 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 9,573 | 40,872 | SH | DFND | 1 | 40,872 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 59,972 | 2,031,558 | SH | DFND | 1 | 2,031,558 | 0 | 0 | |
BAOZUN INC | SPONSORED ADR | 06684L103 | 5,390 | 170,800 | SH | DFND | 1 | 170,800 | 0 | 0 | |
BIOGEN INC | COM | 09062X103 | 8,830 | 27,717 | SH | DFND | 1 | 27,717 | 0 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 3,517 | 39,445 | SH | DFND | 1 | 39,445 | 0 | 0 | |
BIOVERATIV INC | COM | 09075E100 | 5,856 | 108,600 | SH | DFND | 1 | 108,600 | 0 | 0 | |
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 174 | 12,500 | SH | DFND | 1 | 12,500 | 0 | 0 | |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 38,429 | 1,194,200 | SH | DFND | 1 | 1,194,200 | 0 | 0 | |
BLUEBIRD BIO INC | COM | 09609G100 | 734 | 4,120 | SH | DFND | 1 | 4,120 | 0 | 0 | |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 2,362 | 95,300 | SH | DFND | 1 | 95,300 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 7,866 | 128,360 | SH | DFND | 1 | 128,360 | 0 | 0 | |
BROADCOM LTD | SHS | Y09827109 | 22,806 | 88,775 | SH | DFND | 1 | 88,775 | 0 | 0 | |
BROOKFIELD GLOBL LISTED INFR | COM SHS | 11273Q109 | 475 | 36,700 | SH | DFND | 1 | 36,700 | 0 | 0 | |
CARDIOME PHARMA CORP | COM NO PAR | 14159U301 | 4,135 | 2,667,585 | SH | DFND | 1 | 2,667,585 | 0 | 0 | |
CARTER INC | COM | 146229109 | 276 | 2,350 | SH | DFND | 1 | 2,350 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 15,662 | 819,150 | SH | DFND | 1 | 819,150 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 10,754 | 103,047 | SH | DFND | 1 | 103,047 | 0 | 0 | |
CHILDRENS PL INC | COM | 168905107 | 291 | 2,000 | SH | DFND | 1 | 2,000 | 0 | 0 | |
CINEMARK HOLDINGS INC | COM | 17243V102 | 212 | 6,100 | SH | DFND | 1 | 6,100 | 0 | 0 | |
CITIGROUP INC | W EXP 01/04/201 | 172967226 | 27 | 271,800 | SH | DFND | 1 | 271,800 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 51,547 | 692,743 | SH | DFND | 1 | 692,743 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 10,454 | 153,735 | SH | DFND | 1 | 153,735 | 0 | 0 | |
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 16,320 | 229,800 | SH | DFND | 1 | 229,800 | 0 | 0 | |
COHEN & STEERS GLOBAL INC BL | COM | 19248M103 | 156 | 15,802 | SH | DFND | 1 | 15,802 | 0 | 0 | |
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 989 | 41,200 | SH | DFND | 1 | 41,200 | 0 | 0 | |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 6,477 | 230,500 | SH | DFND | 1 | 230,500 | 0 | 0 | |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 667 | 43,119 | SH | DFND | 1 | 43,119 | 0 | 0 | |
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 772 | 50,480 | SH | DFND | 1 | 50,480 | 0 | 0 | |
CREDIT ACCEP CORP MICH | COM | 225310101 | 21,856 | 67,565 | SH | DFND | 1 | 67,565 | 0 | 0 | |
CREDIT SUISSE NASSAU BRH | VELOCITY SHS SHR | 22542D357 | 222 | 40,100 | SH | DFND | 1 | 40,100 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 20,912 | 890,631 | SH | DFND | 1 | 890,631 | 0 | 0 | |
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 9,127 | 206,970 | SH | DFND | 1 | 206,970 | 0 | 0 | |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 10,228 | 671,100 | SH | DFND | 1 | 671,100 | 0 | 0 | |
D R HORTON INC | COM | 23331A109 | 14,596 | 285,795 | SH | DFND | 1 | 285,795 | 0 | 0 | |
DERMIRA INC | COM | 24983L104 | 4,925 | 177,085 | SH | DFND | 1 | 177,085 | 0 | 0 | |
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 377 | 17,000 | SH | DFND | 1 | 17,000 | 0 | 0 | |
DUFF & PHELPS SLCT ENGY MLP | COM | 26433F108 | 952 | 162,731 | SH | DFND | 1 | 162,731 | 0 | 0 | |
EATON VANCE RISK MNGD DIV EQ | COM | 27829G106 | 113 | 11,700 | SH | DFND | 1 | 11,700 | 0 | 0 | |
EATON VANCE TAX-ADV BD & OPT | COM SH BEN INT | 27829M103 | 211 | 20,618 | SH | DFND | 1 | 20,618 | 0 | 0 | |
EQUINIX INC | COM PAR $0.001 | 29444U700 | 10,474 | 23,110 | SH | DFND | 1 | 23,110 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 15,846 | 212,300 | SH | DFND | 1 | 212,300 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 25,618 | 145,180 | SH | DFND | 1 | 145,180 | 0 | 0 | |
FIDUCIARY CLAYMORE MLP OPP F | COM | 31647Q106 | 483 | 36,700 | SH | DFND | 1 | 36,700 | 0 | 0 | |
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 487 | 29,400 | SH | DFND | 1 | 29,400 | 0 | 0 | |
FLOOR & DECOR HLDGS INC | CL A | 339750101 | 321 | 6,600 | SH | DFND | 1 | 6,600 | 0 | 0 | |
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 158 | 13,388 | SH | DFND | 1 | 13,388 | 0 | 0 | |
FRANKLIN RES INC | COM | 354613101 | 4,836 | 111,600 | SH | DFND | 1 | 111,600 | 0 | 0 | |
GABELLI EQUITY TR INC | COM | 362397101 | 1,873 | 302,543 | SH | DFND | 1 | 302,543 | 0 | 0 | |
GALAPAGOS NV | SPON ADR | 36315X101 | 6,231 | 66,453 | SH | DFND | 1 | 66,453 | 0 | 0 | |
GLOBAL MED REIT INC | COM NEW | 37954A204 | 5,125 | 625,000 | SH | DFND | 1 | 625,000 | 0 | 0 | |
GODADDY INC | CL A | 380237107 | 9,945 | 197,800 | SH | DFND | 1 | 197,800 | 0 | 0 | |
GOLUB CAP BDC INC | COM | 38173M102 | 12,370 | 679,666 | SH | DFND | 1 | 679,666 | 0 | 0 | |
GUGGENHEIM CR ALLOCATION FD | COM | 40168G108 | 474 | 21,600 | SH | DFND | 1 | 21,600 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 9,620 | 72,871 | SH | DFND | 1 | 72,871 | 0 | 0 | |
HANCOCK JOHN INV TRUST | TAX ADV GLB SH | 41013P749 | 938 | 106,400 | SH | DFND | 1 | 106,400 | 0 | 0 | |
HIGHLAND FLOATNG RATE OPPRT | SHS BEN INT | 43010E404 | 947 | 61,127 | SH | DFND | 1 | 61,127 | 0 | 0 | |
HOLOGIC INC | COM | 436440101 | 1,233 | 28,848 | SH | DFND | 1 | 28,848 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 455 | 2,400 | SH | DFND | 1 | 2,400 | 0 | 0 | |
IMAX CORP | COM | 45245E109 | 416 | 17,960 | SH | DFND | 1 | 17,960 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 350 | 3,700 | SH | DFND | 1 | 3,700 | 0 | 0 | |
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 10,135 | 699,950 | SH | DFND | 1 | 699,950 | 0 | 0 | |
IRHYTHM TECHNOLOGIES INC | COM | 450056106 | 1,508 | 26,900 | SH | DFND | 1 | 26,900 | 0 | 0 | |
ISHARES TR | MSCI INDIA ETF | 46429B598 | 2,521 | 69,900 | SH | DFND | 1 | 69,900 | 0 | 0 | |
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 576 | 38,100 | SH | DFND | 1 | 38,100 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 431 | 3,200 | SH | DFND | 1 | 3,200 | 0 | 0 | |
JD COM INC | SPON ADR CL A | 47215P106 | 17,728 | 428,000 | SH | DFND | 1 | 428,000 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 38,188 | 357,100 | SH | DFND | 1 | 357,100 | 0 | 0 | |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 961 | 59,901 | SH | DFND | 1 | 59,901 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 3,255 | 212,761 | SH | DFND | 1 | 212,761 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 10,115 | 742,078 | SH | DFND | 1 | 742,078 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 21,947 | 119,230 | SH | DFND | 1 | 119,230 | 0 | 0 | |
LENNAR CORP | CL B | 526057302 | 325 | 6,291 | SH | DFND | 1 | 6,291 | 0 | 0 | |
LENNAR CORP | CL A | 526057104 | 12,857 | 203,297 | SH | DFND | 1 | 203,297 | 0 | 0 | |
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 377 | 59,900 | SH | DFND | 1 | 59,900 | 0 | 0 | |
LIBERTY BROADBAND CORP | COM SER C | 530307305 | 48,920 | 574,445 | SH | DFND | 1 | 574,445 | 0 | 0 | |
LIBERTY INTERACTIVE CORP | LBT VEN COM A NE | 53071M856 | 42,263 | 779,192 | SH | DFND | 1 | 779,192 | 0 | 0 | |
LOGMEIN INC | COM | 54142L109 | 11,819 | 103,224 | SH | DFND | 1 | 103,224 | 0 | 0 | |
MADISON CVRED CALL & EQ STR | COM | 557437100 | 285 | 36,965 | SH | DFND | 1 | 36,965 | 0 | 0 | |
MFS HIGH YIELD MUN TR | SH BEN INT | 59318E102 | 54 | 11,695 | SH | DFND | 1 | 11,695 | 0 | 0 | |
MICROCHIP TECHNOLOGY INC | COM | 595017104 | 10,537 | 119,900 | SH | DFND | 1 | 119,900 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 13,183 | 320,600 | SH | DFND | 1 | 320,600 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 31,102 | 363,600 | SH | DFND | 1 | 363,600 | 0 | 0 | |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 538 | 43,161 | SH | DFND | 1 | 43,161 | 0 | 0 | |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 821 | 35,100 | SH | DFND | 1 | 35,100 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 552 | 1,600 | SH | DFND | 1 | 1,600 | 0 | 0 | |
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 381 | 33,400 | SH | DFND | 1 | 33,400 | 0 | 0 | |
NUVEEN REAL ESTATE INCOME FD | COM | 67071B108 | 782 | 69,457 | SH | DFND | 1 | 69,457 | 0 | 0 | |
NXSTAGE MEDICAL INC | COM | 67072V103 | 4,989 | 205,900 | SH | DFND | 1 | 205,900 | 0 | 0 | |
ORBOTECH LTD | ORD | M75253100 | 5,145 | 102,400 | SH | DFND | 1 | 102,400 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 7,632 | 210,700 | SH | DFND | 1 | 210,700 | 0 | 0 | |
PHYSICIANS RLTY TR | COM | 71943U104 | 2,447 | 136,000 | SH | DFND | 1 | 136,000 | 0 | 0 | |
PIMCO STRATEGIC INCOME FD IN | COM | 72200X104 | 352 | 38,300 | SH | DFND | 1 | 38,300 | 0 | 0 | |
POOL CORPORATION | COM | 73278L105 | 311 | 2,400 | SH | DFND | 1 | 2,400 | 0 | 0 | |
PULTE GROUP INC | COM | 745867101 | 11,481 | 345,294 | SH | DFND | 1 | 345,294 | 0 | 0 | |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 1,423 | 45,977 | SH | DFND | 1 | 45,977 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 15,447 | 151,100 | SH | DFND | 1 | 151,100 | 0 | 0 | |
SERVICE CORP INTL | COM | 817565104 | 6,116 | 163,868 | SH | DFND | 1 | 163,868 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 6,376 | 48,900 | SH | DFND | 1 | 48,900 | 0 | 0 | |
SIENNA BIOPHARMACEUTICALS IN | COM | 82622H108 | 14,206 | 785,309 | SH | DFND | 1 | 785,309 | 0 | 0 | |
SOLAR CAP LTD | COM | 83413U100 | 16,152 | 799,231 | SH | DFND | 1 | 799,231 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 49,423 | 2,314,882 | SH | DFND | 1 | 2,314,882 | 0 | 0 | |
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 251 | 15,749 | SH | DFND | 1 | 15,749 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 1,538 | 38,800 | SH | DFND | 1 | 38,800 | 0 | 0 | |
TAL ED GROUP | ADS REPSTG COM | 874080104 | 3,007 | 101,200 | SH | DFND | 1 | 101,200 | 0 | 0 | |
TCG BDC INC | COM | 872280102 | 5,024 | 250,700 | SH | DFND | 1 | 250,700 | 0 | 0 | |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 760 | 33,700 | SH | DFND | 1 | 33,700 | 0 | 0 | |
TEKLA WORLD HEALTHCARE FD | BEN INT SHS | 87911L108 | 814 | 59,837 | SH | DFND | 1 | 59,837 | 0 | 0 | |
TOLL BROTHERS INC | COM | 889478103 | 389 | 8,100 | SH | DFND | 1 | 8,100 | 0 | 0 | |
TORTOISE ENERGY INDEPENDENC | COM | 89148K101 | 416 | 31,297 | SH | DFND | 1 | 31,297 | 0 | 0 | |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 11,138 | 562,511 | SH | DFND | 1 | 562,511 | 0 | 0 | |
TRI POINTE HOMES INC | COM | 87265H109 | 6,107 | 340,771 | SH | DFND | 1 | 340,771 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 9,843 | 65,682 | SH | DFND | 1 | 65,682 | 0 | 0 | |
VIASAT INC | COM | 92552V100 | 29,461 | 393,601 | SH | DFND | 1 | 393,601 | 0 | 0 | |
VIRTUS TOTAL RETURN FUND INC | COM | 92837G100 | 679 | 52,641 | SH | DFND | 1 | 52,641 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 5,595 | 159,403 | SH | DFND | 1 | 159,403 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 9,424 | 117,400 | SH | DFND | 1 | 117,400 | 0 | 0 | |
WELLS FARGO ADV GLB DIV OPP | COM | 94987C103 | 957 | 161,425 | SH | DFND | 1 | 161,425 | 0 | 0 | |
WELLS FARGO ADVANTAGE MULTI | COM SHS | 94987D101 | 946 | 72,445 | SH | DFND | 1 | 72,445 | 0 | 0 | |
WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 6,826 | 245,200 | SH | DFND | 1 | 245,200 | 0 | 0 |