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 |
1LIFE HEALTHCARE INC | COM | 68269G107 | 2,946 | 162,300 | SH | | DFND | 1 | 162,300 | 0 | 0 |
ABERDEEN INCOME CR STRATEGIE | COM | 003057106 | 724 | 98,549 | SH | | DFND | 1 | 98,549 | 0 | 0 |
ADOBE SYS INC | COM | 00724F101 | 6,686 | 21,010 | SH | | DFND | 1 | 21,010 | 0 | 0 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 7,219 | 37,120 | SH | | DFND | 1 | 37,120 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 27,501 | 14,105 | SH | | DFND | 1 | 14,105 | 0 | 0 |
AMGEN INC | COM | 031162100 | 13,777 | 67,957 | SH | | DFND | 1 | 67,957 | 0 | 0 |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 10,872 | 405,834 | SH | | DFND | 1 | 405,834 | 0 | 0 |
APPLE INC | COM | 037833100 | 17,739 | 69,760 | SH | | DFND | 1 | 69,760 | 0 | 0 |
BK OF AMERICA CORP | COM | 060505104 | 31,089 | 1,464,372 | SH | | DFND | 1 | 1,464,372 | 0 | 0 |
BARINGS BDC INC | COM | 06759L103 | 7,288 | 974,380 | SH | | DFND | 1 | 974,380 | 0 | 0 |
BEIGENE LTD | SPONSORED ADR | 07725L102 | 1,518 | 12,330 | SH | | DFND | 1 | 12,330 | 0 | 0 |
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 3,247 | 384,235 | SH | | DFND | 1 | 384,235 | 0 | 0 |
BLACKROCK FLOATING RATE INCO | COM | 09255X100 | 306 | 30,600 | SH | | DFND | 1 | 30,600 | 0 | 0 |
BLACKROCK MUNI N Y INTER DUR | COM | 09255F109 | 1,136 | 77,528 | SH | | DFND | 1 | 77,528 | 0 | 0 |
BLACKROCK RES & COMMODITIES | SHS | 09257A108 | 213 | 42,246 | SH | | DFND | 1 | 42,246 | 0 | 0 |
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 3,841 | 58,155 | SH | | DFND | 1 | 58,155 | 0 | 0 |
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 200 | 34,775 | SH | | DFND | 1 | 34,775 | 0 | 0 |
CARVANA CO | CL A | 146869102 | 11,528 | 209,261 | SH | | DFND | 1 | 209,261 | 0 | 0 |
CITIGROUP INC | COM NEW | 172967424 | 29,967 | 711,475 | SH | | DFND | 1 | 711,475 | 0 | 0 |
CLEARBRIDGE MLP AND MIDSTRM | COM | 18469Q108 | 824 | 597,000 | SH | | DFND | 1 | 597,000 | 0 | 0 |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 14,158 | 369,859 | SH | | DFND | 1 | 369,859 | 0 | 0 |
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 2,416 | 297,488 | SH | | DFND | 1 | 297,488 | 0 | 0 |
CORNERSTONE TOTAL RETURN FD | COM | 21924U300 | 2,368 | 297,462 | SH | | DFND | 1 | 297,462 | 0 | 0 |
COUPA SOFTWARE INC | COM | 22266L106 | 2,592 | 18,550 | SH | | DFND | 1 | 18,550 | 0 | 0 |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 12,597 | 297,027 | SH | | DFND | 1 | 297,027 | 0 | 0 |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 8,753 | 206,400 | SH | Call | DFND | 1 | 206,400 | 0 | 0 |
CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 3,196 | 57,400 | SH | | DFND | 1 | 57,400 | 0 | 0 |
CUSHING RENAISSANCE FD | COM | 231647108 | 135 | 22,248 | SH | | DFND | 1 | 22,248 | 0 | 0 |
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 75 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
DUFF & PHELPS UTLITY AND INF | COM | 26433C105 | 242 | 25,648 | SH | | DFND | 1 | 25,648 | 0 | 0 |
DUFF & PHELPS UTIL CORP BD T | COM | 26432K108 | 105 | 12,528 | SH | | DFND | 1 | 12,528 | 0 | 0 |
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 2,202 | 208,300 | SH | | DFND | 1 | 208,300 | 0 | 0 |
EATON VANCE MUN BD FD | COM | 27827X101 | 662 | 53,059 | SH | | DFND | 1 | 53,059 | 0 | 0 |
EATON VANCE RISK MNGD DIV EQ | COM | 27829G106 | 94 | 11,300 | SH | | DFND | 1 | 11,300 | 0 | 0 |
EATON VANCE TXMGD GL BUYWR O | COM | 27829C105 | 663 | 88,817 | SH | | DFND | 1 | 88,817 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 14,028 | 84,100 | SH | | DFND | 1 | 84,100 | 0 | 0 |
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 376 | 42,747 | SH | | DFND | 1 | 42,747 | 0 | 0 |
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 2,067 | 217,332 | SH | | DFND | 1 | 217,332 | 0 | 0 |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 582 | 73,900 | SH | | DFND | 1 | 73,900 | 0 | 0 |
FLOOR & DECOR HLDGS INC | CL A | 339750101 | 1,629 | 50,767 | SH | | DFND | 1 | 50,767 | 0 | 0 |
GALAPAGOS NV | SPON ADR | 36315X101 | 4,182 | 21,346 | SH | | DFND | 1 | 21,346 | 0 | 0 |
GCI LIBERTY INC | COM CLASS A | 36164V305 | 6,023 | 105,728 | SH | | DFND | 1 | 105,728 | 0 | 0 |
GDL FUND | COM SH BEN IT | 361570104 | 246 | 31,314 | SH | | DFND | 1 | 31,314 | 0 | 0 |
GDS HLDGS LTD | SPONSORED ADS | 36165L108 | 18,419 | 317,726 | SH | | DFND | 1 | 317,726 | 0 | 0 |
GILEAD SCIENCES INC | COM | 375558103 | 13,980 | 187,000 | SH | | DFND | 1 | 187,000 | 0 | 0 |
GOLUB CAP BDC INC | COM | 38173M102 | 18,603 | 1,481,119 | SH | | DFND | 1 | 1,481,119 | 0 | 0 |
GOSSAMER BIO INC | COM | 38341P102 | 4,667 | 459,834 | SH | | DFND | 1 | 459,834 | 0 | 0 |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 9,050 | 103,346 | SH | | DFND | 1 | 103,346 | 0 | 0 |
HIGHLAND INCOME FD | HIGHLAND INCOME | 43010E404 | 1,235 | 144,727 | SH | | DFND | 1 | 144,727 | 0 | 0 |
HUBSPOT INC | COM | 443573100 | 905 | 6,797 | SH | | DFND | 1 | 6,797 | 0 | 0 |
IDEXX LABS INC | COM | 45168D104 | 1,085 | 4,481 | SH | | DFND | 1 | 4,481 | 0 | 0 |
INPHI CORP | COM | 45772F107 | 7,672 | 96,910 | SH | | DFND | 1 | 96,910 | 0 | 0 |
INTEL CORP | COM | 458140100 | 30,821 | 569,500 | SH | | DFND | 1 | 569,500 | 0 | 0 |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 174,026 | 914,000 | SH | Put | DFND | 1 | 914,000 | 0 | 0 |
JD COM INC | SPON ADR CL A | 47215P106 | 18,688 | 461,433 | SH | | DFND | 1 | 461,433 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 30,845 | 342,603 | SH | | DFND | 1 | 342,603 | 0 | 0 |
KURA ONCOLOGY INC | COM | 50127T109 | 672 | 67,561 | SH | | DFND | 1 | 67,561 | 0 | 0 |
LAM RESEARCH CORP | COM | 512807108 | 15,514 | 64,640 | SH | | DFND | 1 | 64,640 | 0 | 0 |
LAZARD GLOBAL TOTAL RETURN & | COM | 52106W103 | 130 | 10,800 | SH | | DFND | 1 | 10,800 | 0 | 0 |
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 106 | 21,842 | SH | | DFND | 1 | 21,842 | 0 | 0 |
LILLY ELI & CO | COM | 532457108 | 1,028 | 7,413 | SH | | DFND | 1 | 7,413 | 0 | 0 |
LMP CAP & INCOME FD INC | COM | 50208A102 | 117 | 14,520 | SH | | DFND | 1 | 14,520 | 0 | 0 |
MACQUARIE / FIRST TR GLOBAL | COM | 55607W100 | 242 | 32,100 | SH | | DFND | 1 | 32,100 | 0 | 0 |
MACQUARIE GLOBAL INFRASTRUCT | COM | 55608D101 | 158 | 10,219 | SH | | DFND | 1 | 10,219 | 0 | 0 |
MADISON COVERED CALL & EQUIT | COM | 557437100 | 1,347 | 266,208 | SH | | DFND | 1 | 266,208 | 0 | 0 |
MASIMO CORP | COM | 574795100 | 620 | 3,500 | SH | | DFND | 1 | 3,500 | 0 | 0 |
MASTERCARD INC | CL A | 57636Q104 | 11,034 | 45,679 | SH | | DFND | 1 | 45,679 | 0 | 0 |
MICRON TECHNOLOGY INC | COM | 595112103 | 33,005 | 784,706 | SH | | DFND | 1 | 784,706 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 43,848 | 278,030 | SH | | DFND | 1 | 278,030 | 0 | 0 |
MIRATI THERAPEUTICS INC | COM | 60468T105 | 8,325 | 108,300 | SH | | DFND | 1 | 108,300 | 0 | 0 |
MONGODB INC | CL A | 60937P106 | 2,407 | 17,630 | SH | | DFND | 1 | 17,630 | 0 | 0 |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 649 | 35,800 | SH | | DFND | 1 | 35,800 | 0 | 0 |
NETEASE INC | SPONSORED ADS | 64110W102 | 915 | 2,850 | SH | | DFND | 1 | 2,850 | 0 | 0 |
NETFLIX INC | COM | 64110L106 | 36,092 | 96,118 | SH | | DFND | 1 | 96,118 | 0 | 0 |
NEUBERGER BERMAN REAL ESTATE | COM | 64190A103 | 66 | 22,077 | SH | | DFND | 1 | 22,077 | 0 | 0 |
NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | 574 | 5,300 | SH | | DFND | 1 | 5,300 | 0 | 0 |
NEXPOINT STRATEGIC OPORTUNT | COM NEW | 65340G205 | 1,683 | 203,783 | SH | | DFND | 1 | 203,783 | 0 | 0 |
NUVEEN CR STRATEGIES INCOME | COM SHS | 67073D102 | 3,281 | 578,650 | SH | | DFND | 1 | 578,650 | 0 | 0 |
NUVEEN TX ADV TOTAL RET STRG | COM | 67090H102 | 76 | 10,730 | SH | | DFND | 1 | 10,730 | 0 | 0 |
NVIDIA CORP | COM | 67066G104 | 7,847 | 29,770 | SH | | DFND | 1 | 29,770 | 0 | 0 |
OKTA INC | CL A | 679295105 | 7,537 | 61,645 | SH | | DFND | 1 | 61,645 | 0 | 0 |
PAYPAL HLDGS INC | COM | 70450Y103 | 22,625 | 236,312 | SH | | DFND | 1 | 236,312 | 0 | 0 |
PENNYMAC FINL SVCS INC | COM | 70932M107 | 24,490 | 1,107,629 | SH | | DFND | 1 | 1,107,629 | 0 | 0 |
PIONEER FLOATING RATE TR | COM | 72369J102 | 172 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 | 219 | 48,221 | SH | | DFND | 1 | 48,221 | 0 | 0 |
QORVO INC | COM | 74736K101 | 5,991 | 74,298 | SH | | DFND | 1 | 74,298 | 0 | 0 |
REGENERON PHARMACEUTICALS | COM | 75886F107 | 18,181 | 37,235 | SH | | DFND | 1 | 37,235 | 0 | 0 |
RINGCENTRAL INC | CL A | 76680R206 | 13,867 | 65,440 | SH | | DFND | 1 | 65,440 | 0 | 0 |
RIVERNORTH OPPRTUNITIES FD I | COM | 76881Y109 | 524 | 42,200 | SH | | DFND | 1 | 42,200 | 0 | 0 |
ROYCE VALUE TR INC | COM | 780910105 | 193 | 19,950 | SH | | DFND | 1 | 19,950 | 0 | 0 |
SALESFORCE COM INC | COM | 79466L302 | 18,549 | 128,830 | SH | | DFND | 1 | 128,830 | 0 | 0 |
SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 523 | 150,400 | SH | | DFND | 1 | 150,400 | 0 | 0 |
SBA COMMUNICATIONS CORP NEW | CL A | 78410G104 | 7,448 | 27,589 | SH | | DFND | 1 | 27,589 | 0 | 0 |
SCORPIO TANKERS INC | SHS | Y7542C130 | 4,009 | 209,656 | SH | | DFND | 1 | 209,656 | 0 | 0 |
SERVICE CORP INTL | COM | 817565104 | 5,322 | 136,068 | SH | | DFND | 1 | 136,068 | 0 | 0 |
SERVICENOW INC | COM | 81762P102 | 17,005 | 59,337 | SH | | DFND | 1 | 59,337 | 0 | 0 |
SMILEDIRECTCLUB INC | CL A COM | 83192H106 | 3,776 | 808,500 | SH | | DFND | 1 | 808,500 | 0 | 0 |
SOLAR CAP LTD | COM | 83413U100 | 2,149 | 184,595 | SH | | DFND | 1 | 184,595 | 0 | 0 |
SOURCE CAP INC | COM | 836144105 | 516 | 16,800 | SH | | DFND | 1 | 16,800 | 0 | 0 |
T MOBILE US INC | COM | 872590104 | 9,897 | 117,960 | SH | | DFND | 1 | 117,960 | 0 | 0 |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 1,048 | 16,290 | SH | | DFND | 1 | 16,290 | 0 | 0 |
TEKLA HEALTHCARE OPPORTUNITI | SHS | 879105104 | 195 | 12,700 | SH | | DFND | 1 | 12,700 | 0 | 0 |
TELADOC HEALTH INC | COM | 87918A105 | 14,074 | 90,794 | SH | | DFND | 1 | 90,794 | 0 | 0 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 8,524 | 30,058 | SH | | DFND | 1 | 30,058 | 0 | 0 |
TORTOISE ENERGY INDEPENDENC | COM | 89148K101 | 218 | 189,210 | SH | | DFND | 1 | 189,210 | 0 | 0 |
TPG SPECIALTY LENDING INC | COM | 87265K102 | 2,397 | 172,209 | SH | | DFND | 1 | 172,209 | 0 | 0 |
VERACYTE INC | COM | 92337F107 | 2,082 | 85,660 | SH | | DFND | 1 | 85,660 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 9,958 | 41,850 | SH | | DFND | 1 | 41,850 | 0 | 0 |
VIRTUS TOTAL RETURN FUND INC | COM | 92835W107 | 372 | 51,654 | SH | | DFND | 1 | 51,654 | 0 | 0 |
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 228 | 23,665 | SH | | DFND | 1 | 23,665 | 0 | 0 |
VISA INC | COM CL A | 92826C839 | 8,552 | 53,080 | SH | | DFND | 1 | 53,080 | 0 | 0 |
VOYA ASIA PAC DIVID EQUITY I | COM | 92912J102 | 296 | 45,424 | SH | | DFND | 1 | 45,424 | 0 | 0 |
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 1,817 | 489,800 | SH | | DFND | 1 | 489,800 | 0 | 0 |
WESTERN ASSET GLOBAL HIGH IN | COM | 95766B109 | 515 | 68,897 | SH | | DFND | 1 | 68,897 | 0 | 0 |
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 894 | 212,460 | SH | | DFND | 1 | 212,460 | 0 | 0 |
WNS HOLDINGS LTD | SPON ADR | 92932M101 | 4,769 | 110,953 | SH | | DFND | 1 | 110,953 | 0 | 0 |
XAI OCTAGON FLOATNG RATE ALT | COM | 98400T106 | 331 | 73,735 | SH | | DFND | 1 | 73,735 | 0 | 0 |
ZAI LAB LTD | ADR | 98887Q104 | 12,778 | 248,220 | SH | | DFND | 1 | 248,220 | 0 | 0 |
ZENDESK INC | COM | 98936J101 | 739 | 11,541 | SH | | DFND | 1 | 11,541 | 0 | 0 |
ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 | 1,846 | 18,260 | SH | | DFND | 1 | 18,260 | 0 | 0 |
ZOETIS INC | CL A | 98978V103 | 5,862 | 49,810 | SH | | DFND | 1 | 49,810 | 0 | 0 |
ZOOM VIDEO COMMUNICATIONS IN | CL A | 98980L101 | 7,700 | 52,695 | SH | | DFND | 1 | 52,695 | 0 | 0 |