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 INCOME CR STRATEGIE | COM | 003057106 | 1,720 | 164,163 | SH | | DFND | 1 | 164,163 | 0 | 0 |
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 2,415 | 335,000 | SH | | DFND | 1 | 335,000 | 0 | 0 |
ADVENT CLAYMORE CV SECS & IN | COM | 00764C109 | 1,323 | 105,510 | SH | | DFND | 1 | 105,510 | 0 | 0 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 3,617 | 26,390 | SH | | DFND | 1 | 26,390 | 0 | 0 |
ALIGN TECHNOLOGY INC | COM | 016255101 | 6,733 | 32,147 | SH | | DFND | 1 | 32,147 | 0 | 0 |
ALLIANZGI CONV & INCOME FD | COM | 018828103 | 307 | 59,100 | SH | | DFND | 1 | 59,100 | 0 | 0 |
ALLIANZGI CONV & INCOME FD I | COM | 018825109 | 302 | 67,000 | SH | | DFND | 1 | 67,000 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 26,942 | 17,938 | SH | | DFND | 1 | 17,938 | 0 | 0 |
AMGEN INC | COM | 031162100 | 11,436 | 58,745 | SH | | DFND | 1 | 58,745 | 0 | 0 |
ANTHEM INC | COM | 036752103 | 9,382 | 35,723 | SH | | DFND | 1 | 35,723 | 0 | 0 |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 7,422 | 562,734 | SH | | DFND | 1 | 562,734 | 0 | 0 |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 1,640 | 113,968 | SH | | DFND | 1 | 113,968 | 0 | 0 |
APPLE INC | COM | 037833100 | 664 | 4,209 | SH | | DFND | 1 | 4,209 | 0 | 0 |
ARES CAP CORP | COM | 04010L103 | 27,707 | 1,778,400 | SH | | DFND | 1 | 1,778,400 | 0 | 0 |
ASML HOLDING N V | N Y REGISTRY SHS | N07059210 | 5,447 | 35,000 | SH | | DFND | 1 | 35,000 | 0 | 0 |
AT HOME GROUP INC | COM | 04650Y100 | 224 | 12,000 | SH | | DFND | 1 | 12,000 | 0 | 0 |
BANK AMER CORP | COM | 060505104 | 26,253 | 1,065,458 | SH | | DFND | 1 | 1,065,458 | 0 | 0 |
BAOZUN INC | SPONSORED ADR | 06684L103 | 3,716 | 127,200 | SH | | DFND | 1 | 127,200 | 0 | 0 |
BARINGS BDC INC | COM | 06759L103 | 4,399 | 488,200 | SH | | DFND | 1 | 488,200 | 0 | 0 |
BEIGENE LTD | SPONSORED ADR | 07725L102 | 10,030 | 71,510 | SH | | DFND | 1 | 71,510 | 0 | 0 |
BIOGEN INC | COM | 09062X103 | 3,456 | 11,485 | SH | | DFND | 1 | 11,485 | 0 | 0 |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 5,227 | 61,389 | SH | | DFND | 1 | 61,389 | 0 | 0 |
BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 09257R101 | 1,548 | 114,953 | SH | | DFND | 1 | 114,953 | 0 | 0 |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 29,311 | 920,000 | SH | | DFND | 1 | 920,000 | 0 | 0 |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 7,457 | 211,000 | SH | | DFND | 1 | 211,000 | 0 | 0 |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 1,551 | 29,841 | SH | | DFND | 1 | 29,841 | 0 | 0 |
BROADCOM INC | COM | 11135F101 | 10,232 | 40,240 | SH | | DFND | 1 | 40,240 | 0 | 0 |
BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 | 2,971 | 155,800 | SH | | DFND | 1 | 155,800 | 0 | 0 |
CALAMOS CONV OPP AND INC FD | SH BEN INT | 128117108 | 209 | 23,600 | SH | | DFND | 1 | 23,600 | 0 | 0 |
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 2,442 | 372,833 | SH | | DFND | 1 | 372,833 | 0 | 0 |
CARTER INC | COM | 146229109 | 257 | 3,150 | SH | | DFND | 1 | 3,150 | 0 | 0 |
CARVANA CO | CL A | 146869102 | 14,424 | 440,980 | SH | | DFND | 1 | 440,980 | 0 | 0 |
CHILDRENS PL INC | COM | 168905107 | 234 | 2,600 | SH | | DFND | 1 | 2,600 | 0 | 0 |
CHINA FD INC | COM | 169373107 | 807 | 47,800 | SH | | DFND | 1 | 47,800 | 0 | 0 |
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 1,585 | 33,017 | SH | | DFND | 1 | 33,017 | 0 | 0 |
CIGNA CORP NEW | COM | 125523100 | 6,006 | 31,624 | SH | | DFND | 1 | 31,624 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 3,653 | 84,300 | SH | | DFND | 1 | 84,300 | 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 | 26,225 | 503,743 | SH | | DFND | 1 | 503,743 | 0 | 0 |
CLEARBRIDGE ENERGY MLP FD IN | COM | 184692101 | 1,117 | 107,300 | SH | | DFND | 1 | 107,300 | 0 | 0 |
CLEARBRIDGE ENERGY MLP OPP F | COM | 18469P100 | 192 | 24,600 | SH | | DFND | 1 | 24,600 | 0 | 0 |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 6,265 | 217,300 | SH | | DFND | 1 | 217,300 | 0 | 0 |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 6,756 | 604,300 | SH | | DFND | 1 | 604,300 | 0 | 0 |
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 6,834 | 615,100 | SH | | DFND | 1 | 615,100 | 0 | 0 |
CORREVIO PHARMA CORP | COM | 22026V105 | 5,907 | 2,372,224 | SH | | DFND | 1 | 2,372,224 | 0 | 0 |
CREDIT ACCEP CORP MICH | COM | 225310101 | 7,284 | 19,080 | SH | | DFND | 1 | 19,080 | 0 | 0 |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 14,744 | 516,066 | SH | | DFND | 1 | 516,066 | 0 | 0 |
D R HORTON INC | COM | 23331A109 | 9,826 | 283,495 | SH | | DFND | 1 | 283,495 | 0 | 0 |
DBX ETF TR | XTRACK HRVST CSI | 233051879 | 989 | 45,100 | SH | | DFND | 1 | 45,100 | 0 | 0 |
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 1,200 | 137,881 | SH | | DFND | 1 | 137,881 | 0 | 0 |
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 179 | 18,800 | SH | | DFND | 1 | 18,800 | 0 | 0 |
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 2,301 | 132,800 | SH | | DFND | 1 | 132,800 | 0 | 0 |
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 776 | 65,506 | SH | | DFND | 1 | 65,506 | 0 | 0 |
EQUILLIUM INC | COM | 29446K106 | 2,244 | 275,000 | SH | | DFND | 1 | 275,000 | 0 | 0 |
FIRST REP BK SAN FRANCISCO C | COM | 33616C100 | 539 | 6,200 | SH | | DFND | 1 | 6,200 | 0 | 0 |
FLOOR & DECOR HLDGS INC | CL A | 339750101 | 220 | 8,500 | SH | | DFND | 1 | 8,500 | 0 | 0 |
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 694 | 76,928 | SH | | DFND | 1 | 76,928 | 0 | 0 |
FST TR NEW OPPORT MLP & ENE | COM | 33739M100 | 611 | 81,000 | SH | | DFND | 1 | 81,000 | 0 | 0 |
GABELLI CONV&INCOM SECS FD I | COM | 36240B109 | 1,083 | 246,757 | SH | | DFND | 1 | 246,757 | 0 | 0 |
GABELLI GLOBL UTIL & INCOME | COM SH BEN INT | 36242L105 | 329 | 20,412 | SH | | DFND | 1 | 20,412 | 0 | 0 |
GALAPAGOS NV | SPON ADR | 36315X101 | 2,395 | 26,103 | SH | | DFND | 1 | 26,103 | 0 | 0 |
GCI LIBERTY INC | COM CLASS A | 36164V305 | 23,932 | 581,449 | SH | | DFND | 1 | 581,449 | 0 | 0 |
GDS HLDGS LTD | SPONSORED ADR | 36165L108 | 6,126 | 265,300 | SH | | DFND | 1 | 265,300 | 0 | 0 |
GOLDMAN SACHS MLP ENERGY REN | COM | 38148G107 | 564 | 128,507 | SH | | DFND | 1 | 128,507 | 0 | 0 |
GOLUB CAP BDC INC | COM | 38173M102 | 13,922 | 844,266 | SH | | DFND | 1 | 844,266 | 0 | 0 |
GRANITE PT MTG TR INC | COM | 38741L107 | 8,983 | 498,200 | SH | | DFND | 1 | 498,200 | 0 | 0 |
GUIDEWIRE SOFTWARE INC | COM | 40171V100 | 6,450 | 80,400 | SH | | DFND | 1 | 80,400 | 0 | 0 |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 6,644 | 68,217 | SH | | DFND | 1 | 68,217 | 0 | 0 |
HDFC BANK LTD | ADR REPS 3 SHS | 40415F101 | 2,766 | 26,700 | SH | | DFND | 1 | 26,700 | 0 | 0 |
HOME DEPOT INC | COM | 437076102 | 653 | 3,800 | SH | | DFND | 1 | 3,800 | 0 | 0 |
HUAZHU GROUP LTD | SPONSORED ADS | 44332N106 | 7,673 | 268,000 | SH | | DFND | 1 | 268,000 | 0 | 0 |
HUMANA INC | COM | 444859102 | 8,110 | 28,308 | SH | | DFND | 1 | 28,308 | 0 | 0 |
ILLUMINA INC | COM | 452327109 | 8,134 | 27,120 | SH | | DFND | 1 | 27,120 | 0 | 0 |
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 1,531 | 134,424 | SH | | DFND | 1 | 134,424 | 0 | 0 |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 872 | 3,400 | SH | Put | DFND | 1 | 3,400 | 0 | 0 |
IQIYI INC | SPONSORED ADS | 46267X108 | 575 | 38,700 | SH | | DFND | 1 | 38,700 | 0 | 0 |
ISHARES TR | MSCI INDIA ETF | 46429B598 | 9,339 | 280,100 | SH | | DFND | 1 | 280,100 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 6,851 | 53,089 | SH | | DFND | 1 | 53,089 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 13,872 | 142,100 | SH | | DFND | 1 | 142,100 | 0 | 0 |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 2,619 | 183,805 | SH | | DFND | 1 | 183,805 | 0 | 0 |
KURA ONCOLOGY INC | COM | 50127T109 | 1,127 | 80,261 | SH | | DFND | 1 | 80,261 | 0 | 0 |
LADDER CAP CORP | CL A | 505743104 | 5,769 | 372,939 | SH | | DFND | 1 | 372,939 | 0 | 0 |
LAUDER ESTEE COS INC | CL A | 518439104 | 507 | 3,900 | SH | | DFND | 1 | 3,900 | 0 | 0 |
LENNAR CORP | CL A | 526057104 | 15,437 | 394,297 | SH | | DFND | 1 | 394,297 | 0 | 0 |
LIBERTY ALL-STAR GROWTH FD I | COM | 529900102 | 2,127 | 484,400 | SH | | DFND | 1 | 484,400 | 0 | 0 |
LILLY ELI & CO | COM | 532457108 | 1,180 | 10,200 | SH | | DFND | 1 | 10,200 | 0 | 0 |
LUMENTUM HLDGS INC | COM | 55024U109 | 7,451 | 177,363 | SH | | DFND | 1 | 177,363 | 0 | 0 |
MASIMO CORP | COM | 574795100 | 2,158 | 20,100 | SH | | DFND | 1 | 20,100 | 0 | 0 |
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 749 | 102,200 | SH | | DFND | 1 | 102,200 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 32,086 | 315,900 | SH | | DFND | 1 | 315,900 | 0 | 0 |
MIMECAST LTD | ORD SHS | G14838109 | 8,994 | 267,430 | SH | | DFND | 1 | 267,430 | 0 | 0 |
MOMO INC | ADR | 60879B107 | 705 | 29,700 | SH | | DFND | 1 | 29,700 | 0 | 0 |
MORGAN STANLEY | COM NEW | 617446448 | 671 | 16,933 | SH | | DFND | 1 | 16,933 | 0 | 0 |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 1,092 | 59,800 | SH | | DFND | 1 | 59,800 | 0 | 0 |
NETEASE INC | SPONSORED ADR | 64110W102 | 353 | 1,500 | SH | | DFND | 1 | 1,500 | 0 | 0 |
NETFLIX INC | COM | 64110L106 | 8,694 | 32,483 | SH | | DFND | 1 | 32,483 | 0 | 0 |
NEUBERGER BERMAN RE ES SEC F | COM | 64190A103 | 465 | 112,100 | SH | | DFND | 1 | 112,100 | 0 | 0 |
NEXPOINT STRATEGIC OPORTUNT | COM NEW | 65340G205 | 1,305 | 65,500 | SH | | DFND | 1 | 65,500 | 0 | 0 |
NOAH HLDGS LTD | SPON ADS CL A | 65487X102 | 7,637 | 176,300 | SH | | DFND | 1 | 176,300 | 0 | 0 |
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 143 | 15,803 | SH | | DFND | 1 | 15,803 | 0 | 0 |
NUVEEN QUALITY PFD INCOME FD | COM | 67072C105 | 199 | 24,000 | SH | | DFND | 1 | 24,000 | 0 | 0 |
PFIZER INC | COM | 717081103 | 9,197 | 210,700 | SH | | DFND | 1 | 210,700 | 0 | 0 |
PIONEER MUN HIGH INCOME ADV | COM | 723762100 | 164 | 16,100 | SH | | DFND | 1 | 16,100 | 0 | 0 |
PLURALSIGHT INC | COM CL A | 72941B106 | 2,826 | 120,000 | SH | | DFND | 1 | 120,000 | 0 | 0 |
POOL CORPORATION | COM | 73278L105 | 595 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 74255X104 | 227 | 13,700 | SH | | DFND | 1 | 13,700 | 0 | 0 |
PULTE GROUP INC | COM | 745867101 | 394 | 15,173 | SH | | DFND | 1 | 15,173 | 0 | 0 |
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 129 | 30,300 | SH | | DFND | 1 | 30,300 | 0 | 0 |
REDFIN CORP | COM | 75737F108 | 233 | 16,200 | SH | | DFND | 1 | 16,200 | 0 | 0 |
RH | COM | 74967X103 | 3,822 | 31,900 | SH | | DFND | 1 | 31,900 | 0 | 0 |
RINGCENTRAL INC | CL A | 76680R206 | 9,918 | 120,300 | SH | | DFND | 1 | 120,300 | 0 | 0 |
RIVERNORTH DOUBLELINE STRATE | COM | 76882G107 | 1,043 | 64,200 | SH | | DFND | 1 | 64,200 | 0 | 0 |
ROYCE VALUE TR INC | COM | 780910105 | 2,465 | 208,900 | SH | | DFND | 1 | 208,900 | 0 | 0 |
SALESFORCE COM INC | COM | 79466L302 | 21,358 | 155,930 | SH | | DFND | 1 | 155,930 | 0 | 0 |
SBA COMMUNICATIONS CORP NEW | CL A | 78410G104 | 11,575 | 71,500 | SH | | DFND | 1 | 71,500 | 0 | 0 |
SERVICE CORP INTL | COM | 817565104 | 3,997 | 99,268 | SH | | DFND | 1 | 99,268 | 0 | 0 |
SERVICENOW INC | COM | 81762P102 | 6,988 | 39,250 | SH | | DFND | 1 | 39,250 | 0 | 0 |
SIENNA BIOPHARMACEUTICALS IN | COM | 82622H108 | 316 | 136,228 | SH | | DFND | 1 | 136,228 | 0 | 0 |
SOLAR CAP LTD | COM | 83413U100 | 16,016 | 834,600 | SH | | DFND | 1 | 834,600 | 0 | 0 |
STARWOOD PPTY TR INC | COM | 85571B105 | 32,204 | 1,633,882 | SH | | DFND | 1 | 1,633,882 | 0 | 0 |
T MOBILE US INC | COM | 872590104 | 25,533 | 401,400 | SH | | DFND | 1 | 401,400 | 0 | 0 |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 905 | 50,400 | SH | | DFND | 1 | 50,400 | 0 | 0 |
TELADOC INC | COM | 87918A105 | 4,963 | 100,128 | SH | | DFND | 1 | 100,128 | 0 | 0 |
THL CR SR LN FD | COM | 87244R103 | 578 | 38,867 | SH | | DFND | 1 | 38,867 | 0 | 0 |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 13,491 | 745,746 | SH | | DFND | 1 | 745,746 | 0 | 0 |
TRANSDIGM GROUP INC | COM | 893641100 | 10,561 | 31,055 | SH | | DFND | 1 | 31,055 | 0 | 0 |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 9,941 | 39,905 | SH | | DFND | 1 | 39,905 | 0 | 0 |
VERACYTE INC | COM | 92337F107 | 4,989 | 396,600 | SH | | DFND | 1 | 396,600 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 7,422 | 44,789 | SH | | DFND | 1 | 44,789 | 0 | 0 |
VIASAT INC | COM | 92552V100 | 8,757 | 148,552 | SH | | DFND | 1 | 148,552 | 0 | 0 |
VIRTUS GLOBAL DIVID INCOME F | COM | 92835W107 | 797 | 89,200 | SH | | DFND | 1 | 89,200 | 0 | 0 |
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 533 | 48,137 | SH | | DFND | 1 | 48,137 | 0 | 0 |
VIRTUS TOTAL RETURN FUND INC | COM | 92837G100 | 1,181 | 136,400 | SH | | DFND | 1 | 136,400 | 0 | 0 |
VISA INC | COM CL A | 92826C839 | 26,962 | 204,350 | SH | | DFND | 1 | 204,350 | 0 | 0 |
VOYA GLBL EQTY DIV & PREM OP | COM | 92912T100 | 1,386 | 236,500 | SH | | DFND | 1 | 236,500 | 0 | 0 |
VOYA INTL HIGH DIVID EQTY IN | COM | 92912Y109 | 93 | 18,000 | SH | | DFND | 1 | 18,000 | 0 | 0 |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 2,206 | 52,476 | SH | | DFND | 1 | 52,476 | 0 | 0 |
WAYFAIR INC | CL A | 94419L101 | 1,306 | 14,500 | SH | | DFND | 1 | 14,500 | 0 | 0 |
WELLS FARGO ADV GLB DIV OPP | COM | 94987C103 | 514 | 110,873 | SH | | DFND | 1 | 110,873 | 0 | 0 |
WELLS FARGO MULTI SECTOR INC | COM | 94987D101 | 785 | 70,807 | SH | | DFND | 1 | 70,807 | 0 | 0 |
WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 3,569 | 143,900 | SH | | DFND | 1 | 143,900 | 0 | 0 |
WNS HOLDINGS LTD | SPON ADR | 92932M101 | 9,050 | 219,347 | SH | | DFND | 1 | 219,347 | 0 | 0 |
XILINX INC | COM | 983919101 | 9,543 | 112,050 | SH | | DFND | 1 | 112,050 | 0 | 0 |
YELP INC | CL A | 985817105 | 7,960 | 227,500 | SH | | DFND | 1 | 227,500 | 0 | 0 |
ZOETIS INC | CL A | 98978V103 | 4,232 | 49,470 | SH | | DFND | 1 | 49,470 | 0 | 0 |