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 |
ABERDEEN EMRG MRKTS EQT INM | COM | 00301W105 | 195 | 28,425 | SH | | DFND | 1 | 28,425 | 0 | 0 |
ABERDEEN INCOME CR STRATEGIE | COM | 003057106 | 158 | 11,085 | SH | | DFND | 1 | 11,085 | 0 | 0 |
ADVENT CLAYMORE CV SECS & IN | COM | 00764C109 | 742 | 47,367 | SH | | DFND | 1 | 47,367 | 0 | 0 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 4,803 | 29,150 | SH | | DFND | 1 | 29,150 | 0 | 0 |
ALIGN TECHNOLOGY INC | COM | 016255101 | 9,200 | 23,515 | SH | | DFND | 1 | 23,515 | 0 | 0 |
ALTABA INC | COM | 021346101 | 1,151 | 16,900 | SH | | DFND | 1 | 16,900 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 34,490 | 17,219 | SH | | DFND | 1 | 17,219 | 0 | 0 |
AMGEN INC | COM | 031162100 | 13,246 | 63,900 | SH | | DFND | 1 | 63,900 | 0 | 0 |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 10,474 | 589,116 | SH | | DFND | 1 | 589,116 | 0 | 0 |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 400 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 255 | 16,419 | SH | | DFND | 1 | 16,419 | 0 | 0 |
APPLE INC | COM | 037833100 | 18,750 | 83,060 | SH | | DFND | 1 | 83,060 | 0 | 0 |
ARBOR RLTY TR INC | COM | 038923108 | 991 | 86,300 | SH | | DFND | 1 | 86,300 | 0 | 0 |
ARES CAP CORP | COM | 04010L103 | 36,281 | 2,110,600 | SH | | DFND | 1 | 2,110,600 | 0 | 0 |
ARMSTRONG WORLD INDS INC NEW | COM | 04247X102 | 661 | 9,500 | SH | | DFND | 1 | 9,500 | 0 | 0 |
AT HOME GROUP INC | COM | 04650Y100 | 564 | 17,900 | SH | | DFND | 1 | 17,900 | 0 | 0 |
AVANOS MED INC | COM | 05350V106 | 5,973 | 87,200 | SH | | DFND | 1 | 87,200 | 0 | 0 |
BAIDU INC | SPON ADR REP A | 056752108 | 268 | 1,173 | SH | | DFND | 1 | 1,173 | 0 | 0 |
BANK AMER CORP | COM | 060505104 | 35,987 | 1,221,558 | SH | | DFND | 1 | 1,221,558 | 0 | 0 |
BAOZUN INC | SPONSORED ADR | 06684L103 | 1,064 | 21,900 | SH | | DFND | 1 | 21,900 | 0 | 0 |
BARINGS BDC INC | COM | 06759L103 | 3,541 | 353,700 | SH | | DFND | 1 | 353,700 | 0 | 0 |
BIOGEN INC | COM | 09062X103 | 3,249 | 9,197 | SH | | DFND | 1 | 9,197 | 0 | 0 |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 3,486 | 35,945 | SH | | DFND | 1 | 35,945 | 0 | 0 |
BLACKROCK 2022 GBL INCM OPP | COM | 09258P104 | 199 | 22,200 | SH | | DFND | 1 | 22,200 | 0 | 0 |
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 183 | 13,964 | SH | | DFND | 1 | 13,964 | 0 | 0 |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 32,093 | 957,700 | SH | | DFND | 1 | 957,700 | 0 | 0 |
BLUEBIRD BIO INC | COM | 09609G100 | 3,190 | 21,850 | SH | | DFND | 1 | 21,850 | 0 | 0 |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 3,669 | 95,300 | SH | | DFND | 1 | 95,300 | 0 | 0 |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 8,832 | 142,260 | SH | | DFND | 1 | 142,260 | 0 | 0 |
CARTER INC | COM | 146229109 | 636 | 6,450 | SH | | DFND | 1 | 6,450 | 0 | 0 |
CARVANA CO | CL A | 146869102 | 31,694 | 536,360 | SH | | DFND | 1 | 536,360 | 0 | 0 |
CHILDRENS PL INC | COM | 168905107 | 677 | 5,300 | SH | | DFND | 1 | 5,300 | 0 | 0 |
CHINA FD INC | COM | 169373107 | 1,049 | 53,500 | SH | | DFND | 1 | 53,500 | 0 | 0 |
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 2,544 | 52,000 | SH | | DFND | 1 | 52,000 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 2,291 | 47,100 | SH | | DFND | 1 | 47,100 | 0 | 0 |
CITIGROUP INC | W EXP 01/04/201 | 172967226 | 0 | 271,800 | SH | | DFND | 1 | 271,800 | 0 | 0 |
CITIGROUP INC | COM NEW | 172967424 | 49,432 | 689,043 | SH | | DFND | 1 | 689,043 | 0 | 0 |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 6,732 | 217,300 | SH | | DFND | 1 | 217,300 | 0 | 0 |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 1,778 | 127,000 | SH | | DFND | 1 | 127,000 | 0 | 0 |
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 991 | 71,400 | SH | | DFND | 1 | 71,400 | 0 | 0 |
CORREVIO PHARMA CORP | COM | 22026V105 | 8,600 | 2,139,294 | SH | | DFND | 1 | 2,139,294 | 0 | 0 |
CREDIT ACCEP CORP MICH | COM | 225310101 | 14,196 | 32,405 | SH | | DFND | 1 | 32,405 | 0 | 0 |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 14,978 | 337,731 | SH | | DFND | 1 | 337,731 | 0 | 0 |
D R HORTON INC | COM | 23331A109 | 22,440 | 531,995 | SH | | DFND | 1 | 531,995 | 0 | 0 |
DBX ETF TR | XTRACK HRVST CSI | 233051879 | 1,143 | 45,100 | SH | | DFND | 1 | 45,100 | 0 | 0 |
DEUTSCHE MULTI-MKT INCOME TR | SHS | 25160E102 | 200 | 22,300 | SH | | DFND | 1 | 22,300 | 0 | 0 |
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 156 | 12,400 | SH | | DFND | 1 | 12,400 | 0 | 0 |
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 273 | 22,900 | SH | | DFND | 1 | 22,900 | 0 | 0 |
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 263 | 18,150 | SH | | DFND | 1 | 18,150 | 0 | 0 |
DWS STRATEGIC MUN INCOME TR | COM | 23342Q101 | 201 | 19,000 | SH | | DFND | 1 | 19,000 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 7,974 | 48,485 | SH | | DFND | 1 | 48,485 | 0 | 0 |
FIRST REP BK SAN FRANCISCO C | COM | 33616C100 | 1,114 | 11,600 | SH | | DFND | 1 | 11,600 | 0 | 0 |
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 188 | 12,779 | SH | | DFND | 1 | 12,779 | 0 | 0 |
FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 557 | 32,900 | SH | | DFND | 1 | 32,900 | 0 | 0 |
FLOOR & DECOR HLDGS INC | CL A | 339750101 | 492 | 16,300 | SH | | DFND | 1 | 16,300 | 0 | 0 |
GABELLI UTIL TR | COM | 36240A101 | 913 | 156,877 | SH | | DFND | 1 | 156,877 | 0 | 0 |
GALAPAGOS NV | SPON ADR | 36315X101 | 2,311 | 20,553 | SH | | DFND | 1 | 20,553 | 0 | 0 |
GCI LIBERTY INC | COM CLASS A | 36164V305 | 45,892 | 899,849 | SH | | DFND | 1 | 899,849 | 0 | 0 |
GDS HLDGS LTD | SPONSORED ADR | 36165L108 | 6,965 | 198,253 | SH | | DFND | 1 | 198,253 | 0 | 0 |
GOLUB CAP BDC INC | COM | 38173M102 | 13,430 | 716,266 | SH | | DFND | 1 | 716,266 | 0 | 0 |
GRANITE PT MTG TR INC | COM | 38741L107 | 10,324 | 535,500 | SH | | DFND | 1 | 535,500 | 0 | 0 |
GTT COMMUNICATIONS INC | COM | 362393100 | 9,713 | 223,800 | SH | | DFND | 1 | 223,800 | 0 | 0 |
GUIDEWIRE SOFTWARE INC | COM | 40171V100 | 8,121 | 80,400 | SH | | DFND | 1 | 80,400 | 0 | 0 |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 6,908 | 39,991 | SH | | DFND | 1 | 39,991 | 0 | 0 |
HANCOCK JOHN FINL OPPTYS FD | SH BEN INT NEW | 409735206 | 1,010 | 27,300 | SH | | DFND | 1 | 27,300 | 0 | 0 |
HIGH INCOME SECS FD | SHS BEN INT | 42968F108 | 382 | 40,334 | SH | | DFND | 1 | 40,334 | 0 | 0 |
HIGHLAND FLOATNG RATE OPPRT | SHS BEN INT | 43010E404 | 343 | 22,227 | SH | | DFND | 1 | 22,227 | 0 | 0 |
HOME DEPOT INC | COM | 437076102 | 7,375 | 35,600 | SH | | DFND | 1 | 35,600 | 0 | 0 |
HUYA INC | ADS REP SHS A | 44852D108 | 241 | 10,200 | SH | | DFND | 1 | 10,200 | 0 | 0 |
ILLUMINA INC | COM | 452327109 | 12,021 | 32,750 | SH | | DFND | 1 | 32,750 | 0 | 0 |
INSTALLED BLDG PRODS INC | COM | 45780R101 | 4,403 | 112,900 | SH | | DFND | 1 | 112,900 | 0 | 0 |
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 10,885 | 501,624 | SH | | DFND | 1 | 501,624 | 0 | 0 |
INVESCO HIGH INCOME TR II | COM | 46131F101 | 1,056 | 77,046 | SH | | DFND | 1 | 77,046 | 0 | 0 |
INVESCO MUN TR | COM | 46131J103 | 198 | 17,185 | SH | | DFND | 1 | 17,185 | 0 | 0 |
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 379 | 32,700 | SH | | DFND | 1 | 32,700 | 0 | 0 |
IQIYI INC | SPONSORED ADS | 46267X108 | 799 | 29,500 | SH | | DFND | 1 | 29,500 | 0 | 0 |
IRHYTHM TECHNOLOGIES INC | COM | 450056106 | 1,458 | 15,400 | SH | | DFND | 1 | 15,400 | 0 | 0 |
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 495 | 34,700 | SH | | DFND | 1 | 34,700 | 0 | 0 |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 857 | 5,100 | SH | | DFND | 1 | 5,100 | 0 | 0 |
JD COM INC | SPON ADR CL A | 47215P106 | 292 | 11,200 | SH | | DFND | 1 | 11,200 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 32,430 | 287,400 | SH | | DFND | 1 | 287,400 | 0 | 0 |
KINDER MORGAN INC DEL | COM | 49456B101 | 17,039 | 961,000 | SH | | DFND | 1 | 961,000 | 0 | 0 |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 1,925 | 117,305 | SH | | DFND | 1 | 117,305 | 0 | 0 |
KURA ONCOLOGY INC | COM | 50127T109 | 1,405 | 80,261 | SH | | DFND | 1 | 80,261 | 0 | 0 |
LADDER CAP CORP | CL A | 505743104 | 7,749 | 457,416 | SH | | DFND | 1 | 457,416 | 0 | 0 |
LATIN AMERN DISCOVERY FD INC | COM | 51828C106 | 840 | 75,698 | SH | | DFND | 1 | 75,698 | 0 | 0 |
LENNAR CORP | CL A | 526057104 | 23,350 | 500,097 | SH | | DFND | 1 | 500,097 | 0 | 0 |
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 1,129 | 165,800 | SH | | DFND | 1 | 165,800 | 0 | 0 |
LUXOFT HLDG INC | ORD SHS CL A | G57279104 | 8,997 | 190,000 | SH | | DFND | 1 | 190,000 | 0 | 0 |
MACQUARIE FT TR GB INF UT DI | COM | 55607W100 | 128 | 11,769 | SH | | DFND | 1 | 11,769 | 0 | 0 |
MADISON CVRED CALL & EQ STR | COM | 557437100 | 1,140 | 148,246 | SH | | DFND | 1 | 148,246 | 0 | 0 |
MASONITE INTL CORP NEW | COM | 575385109 | 538 | 8,400 | SH | | DFND | 1 | 8,400 | 0 | 0 |
MEXICO EQUITY & INCOME FD | COM | 592834105 | 490 | 39,894 | SH | | DFND | 1 | 39,894 | 0 | 0 |
MFS HIGH YIELD MUN TR | SH BEN INT | 59318E102 | 387 | 85,031 | SH | | DFND | 1 | 85,031 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 43,278 | 378,400 | SH | | DFND | 1 | 378,400 | 0 | 0 |
MIMECAST LTD | ORD SHS | G14838109 | 10,252 | 244,800 | SH | | DFND | 1 | 244,800 | 0 | 0 |
MOHAWK INDS INC | COM | 608190104 | 491 | 2,800 | SH | | DFND | 1 | 2,800 | 0 | 0 |
MOMO INC | ADR | 60879B107 | 9,583 | 218,800 | SH | | DFND | 1 | 218,800 | 0 | 0 |
MONOLITHIC PWR SYS INC | COM | 609839105 | 10,293 | 82,000 | SH | | DFND | 1 | 82,000 | 0 | 0 |
MORGAN STANLEY | COM NEW | 617446448 | 10,623 | 228,100 | SH | | DFND | 1 | 228,100 | 0 | 0 |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 1,285 | 59,800 | SH | | DFND | 1 | 59,800 | 0 | 0 |
NEUBERGER BERMAN RE ES SEC F | COM | 64190A103 | 417 | 84,469 | SH | | DFND | 1 | 84,469 | 0 | 0 |
NEXPOINT STRATEGIC OPORTUNT | COM NEW | 65340G205 | 603 | 26,900 | SH | | DFND | 1 | 26,900 | 0 | 0 |
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 163 | 15,803 | SH | | DFND | 1 | 15,803 | 0 | 0 |
NUVEEN SR INCOME FD | COM | 67067Y104 | 293 | 47,600 | SH | | DFND | 1 | 47,600 | 0 | 0 |
NVIDIA CORP | COM | 67066G104 | 15,013 | 53,425 | SH | | DFND | 1 | 53,425 | 0 | 0 |
PERRIGO CO PLC | SHS | G97822103 | 3,179 | 44,900 | SH | | DFND | 1 | 44,900 | 0 | 0 |
PFIZER INC | COM | 717081103 | 9,286 | 210,700 | SH | | DFND | 1 | 210,700 | 0 | 0 |
POOL CORPORATION | COM | 73278L105 | 668 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
PULTE GROUP INC | COM | 745867101 | 5,860 | 236,594 | SH | | DFND | 1 | 236,594 | 0 | 0 |
QORVO INC | COM | 74736K101 | 6,920 | 90,000 | SH | | DFND | 1 | 90,000 | 0 | 0 |
REALPAGE INC | COM | 75606N109 | 8,817 | 133,800 | SH | | DFND | 1 | 133,800 | 0 | 0 |
REDFIN CORP | COM | 75737F108 | 6,367 | 340,500 | SH | | DFND | 1 | 340,500 | 0 | 0 |
SALESFORCE COM INC | COM | 79466L302 | 25,411 | 159,790 | SH | | DFND | 1 | 159,790 | 0 | 0 |
SERVICE CORP INTL | COM | 817565104 | 2,876 | 65,068 | SH | | DFND | 1 | 65,068 | 0 | 0 |
SERVICENOW INC | COM | 81762P102 | 9,633 | 49,240 | SH | | DFND | 1 | 49,240 | 0 | 0 |
SHOPIFY INC | CL A | 82509L107 | 10,213 | 62,100 | SH | | DFND | 1 | 62,100 | 0 | 0 |
SIENNA BIOPHARMACEUTICALS IN | COM | 82622H108 | 3,606 | 243,295 | SH | | DFND | 1 | 243,295 | 0 | 0 |
SOLAR CAP LTD | COM | 83413U100 | 21,107 | 987,231 | SH | | DFND | 1 | 987,231 | 0 | 0 |
STARWOOD PPTY TR INC | COM | 85571B105 | 43,117 | 2,003,582 | SH | | DFND | 1 | 2,003,582 | 0 | 0 |
TAL ED GROUP | SPONSORED ADS | 874080104 | 980 | 38,100 | SH | | DFND | 1 | 38,100 | 0 | 0 |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 215 | 9,300 | SH | | DFND | 1 | 9,300 | 0 | 0 |
TEKLA WORLD HEALTHCARE FD | BEN INT SHS | 87911L108 | 634 | 45,200 | SH | | DFND | 1 | 45,200 | 0 | 0 |
TELADOC INC | COM | 87918A105 | 8,350 | 96,700 | SH | | DFND | 1 | 96,700 | 0 | 0 |
TOLL BROTHERS INC | COM | 889478103 | 545 | 16,500 | SH | | DFND | 1 | 16,500 | 0 | 0 |
TORTOISE MLP FD INC | COM | 89148B101 | 1,010 | 62,821 | SH | | DFND | 1 | 62,821 | 0 | 0 |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 19,455 | 954,146 | SH | | DFND | 1 | 954,146 | 0 | 0 |
TRANSDIGM GROUP INC | COM | 893641100 | 12,595 | 33,830 | SH | | DFND | 1 | 33,830 | 0 | 0 |
TRUECAR INC | COM | 89785L107 | 13,122 | 930,638 | SH | | DFND | 1 | 930,638 | 0 | 0 |
VERACYTE INC | COM | 92337F107 | 2,865 | 300,000 | SH | | DFND | 1 | 300,000 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 8,811 | 45,712 | SH | | DFND | 1 | 45,712 | 0 | 0 |
VIASAT INC | COM | 92552V100 | 18,012 | 281,652 | SH | | DFND | 1 | 281,652 | 0 | 0 |
VIRTUSA CORP | COM | 92827P102 | 4,270 | 79,500 | SH | | DFND | 1 | 79,500 | 0 | 0 |
VOYA ASIA PAC DIVID EQUITY I | COM | 92912J102 | 434 | 45,459 | SH | | DFND | 1 | 45,459 | 0 | 0 |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 3,415 | 68,303 | SH | | DFND | 1 | 68,303 | 0 | 0 |
WAYFAIR INC | CL A | 94419L101 | 8,469 | 57,350 | SH | | DFND | 1 | 57,350 | 0 | 0 |
WELLS FARGO ADV GLB DIV OPP | COM | 94987C103 | 100 | 18,973 | SH | | DFND | 1 | 18,973 | 0 | 0 |
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 188 | 23,800 | SH | | DFND | 1 | 23,800 | 0 | 0 |
WELLS FARGO MULTI SECTOR INC | COM | 94987D101 | 1,105 | 90,871 | SH | | DFND | 1 | 90,871 | 0 | 0 |
WELLTOWER INC | COM | 95040Q104 | 9,815 | 152,600 | SH | | DFND | 1 | 152,600 | 0 | 0 |
WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 5,393 | 223,700 | SH | | DFND | 1 | 223,700 | 0 | 0 |
WNS HOLDINGS LTD | SPON ADR | 92932M101 | 4,537 | 89,400 | SH | | DFND | 1 | 89,400 | 0 | 0 |
YELP INC | CL A | 985817105 | 20,566 | 418,000 | SH | | DFND | 1 | 418,000 | 0 | 0 |
ZENDESK INC | COM | 98936J101 | 6,702 | 94,400 | SH | | DFND | 1 | 94,400 | 0 | 0 |