| 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 | 15,913 | 561,100 | SH | | DFND | 1 | 561,100 | 0 | 0 |
| 21VIANET GROUP INC | SPONSORED ADS A | 90138A103 | 412 | 17,800 | SH | | DFND | 1 | 17,800 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 | 10,887 | 124,300 | SH | | DFND | 1 | 124,300 | 0 | 0 |
| ADVANCED ENERGY INDS | COM | 007973100 | 6,080 | 96,600 | SH | | DFND | 1 | 96,600 | 0 | 0 |
| AGNC INVT CORP | COM | 00123Q104 | 34,035 | 2,446,800 | SH | | DFND | 1 | 2,446,800 | 0 | 0 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 5,776 | 19,647 | SH | | DFND | 1 | 19,647 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 | 24,022 | 7,629 | SH | | DFND | 1 | 7,629 | 0 | 0 |
| AMGEN INC | COM | 031162100 | 29,258 | 115,117 | SH | | DFND | 1 | 115,117 | 0 | 0 |
| ANNALY CAPITAL MANAGEMENT IN | COM | 035710409 | 34,281 | 4,814,700 | SH | | DFND | 1 | 4,814,700 | 0 | 0 |
| APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 12,244 | 405,834 | SH | | DFND | 1 | 405,834 | 0 | 0 |
| APPLE INC | COM | 037833100 | 51,881 | 447,980 | SH | | DFND | 1 | 447,980 | 0 | 0 |
| ARES CAPITAL CORP | COM | 04010L103 | 12,238 | 877,300 | SH | | DFND | 1 | 877,300 | 0 | 0 |
| ARES CAPITAL CORP | NOTE 3.750% 2/0 | 04010LAT0 | 3,059 | 3,000,000 | PRN | | DFND | 1 | 3,000,000 | 0 | 0 |
| AUTOHOME INC | SP ADR RP CL A | 05278C107 | 595 | 6,200 | SH | | DFND | 1 | 6,200 | 0 | 0 |
| BARINGS BDC INC | COM | 06759L103 | 11,959 | 1,494,826 | SH | | DFND | 1 | 1,494,826 | 0 | 0 |
| BAXTER INTL INC | COM | 071813109 | 14,258 | 177,300 | SH | | DFND | 1 | 177,300 | 0 | 0 |
| BILIBILI INC | SPON ADS REP Z | 090040106 | 566 | 13,600 | SH | | DFND | 1 | 13,600 | 0 | 0 |
| BK OF AMERICA CORP | COM | 060505104 | 29,426 | 1,221,492 | SH | | DFND | 1 | 1,221,492 | 0 | 0 |
| BLACKROCK MUN INCOME INVT TR | SH BEN INT | 09248H105 | 171 | 13,200 | SH | | DFND | 1 | 13,200 | 0 | 0 |
| BRANDYWINEGBL GBL INCM OPP | COM | 10537L104 | 150 | 13,072 | SH | | DFND | 1 | 13,072 | 0 | 0 |
| CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 12,013 | 791,340 | SH | | DFND | 1 | 791,340 | 0 | 0 |
| CARVANA CO | CL A | 146869102 | 22,242 | 99,714 | SH | | DFND | 1 | 99,714 | 0 | 0 |
| CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461209 | 216 | 29,060 | SH | | DFND | 1 | 29,060 | 0 | 0 |
| CENTRAL SECS CORP | COM | 155123102 | 1,967 | 67,838 | SH | | DFND | 1 | 67,838 | 0 | 0 |
| CHECKMATE PHARMACEUTICALS IN | COM | 162818108 | 14,864 | 1,313,286 | SH | | DFND | 1 | 1,313,286 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 | 20,541 | 476,490 | SH | | DFND | 1 | 476,490 | 0 | 0 |
| CLEARBRIDGE MLP AND MIDSTRM | COM | 184692200 | 327 | 29,600 | SH | | DFND | 1 | 29,600 | 0 | 0 |
| COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 24,538 | 524,759 | SH | | DFND | 1 | 524,759 | 0 | 0 |
| CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 22,317 | 266,827 | SH | | DFND | 1 | 266,827 | 0 | 0 |
| CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 7,965 | 58,000 | SH | | DFND | 1 | 58,000 | 0 | 0 |
| D R HORTON INC | COM | 23331A109 | 29,851 | 394,700 | SH | | DFND | 1 | 394,700 | 0 | 0 |
| DBX ETF TR | XTRACK HRVST CSI | 233051879 | 4,520 | 131,100 | SH | | DFND | 1 | 131,100 | 0 | 0 |
| DUFF & PHELPS SLT ENGY AND M | COM | 26433F108 | 230 | 656,213 | SH | | DFND | 1 | 656,213 | 0 | 0 |
| EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 780 | 55,648 | SH | | DFND | 1 | 55,648 | 0 | 0 |
| EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 713 | 121,503 | SH | | DFND | 1 | 121,503 | 0 | 0 |
| EATON VANCE TXMGD GL BUYWR O | COM | 27829C105 | 1,254 | 146,850 | SH | | DFND | 1 | 146,850 | 0 | 0 |
| FACEBOOK INC | CL A | 30303M102 | 23,347 | 89,145 | SH | | DFND | 1 | 89,145 | 0 | 0 |
| FIDUCIARY CLAYMORE ENGRY INF | COM | 31647Q205 | 279 | 38,800 | SH | | DFND | 1 | 38,800 | 0 | 0 |
| FIRST AMERN FINL CORP | COM | 31847R102 | 43,584 | 856,100 | SH | | DFND | 1 | 856,100 | 0 | 0 |
| FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 367 | 38,387 | SH | | DFND | 1 | 38,387 | 0 | 0 |
| FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 2,551 | 232,560 | SH | | DFND | 1 | 232,560 | 0 | 0 |
| FIVE9 INC | COM | 338307101 | 7,992 | 61,630 | SH | | DFND | 1 | 61,630 | 0 | 0 |
| FLEXION THERAPEUTICS INC | COM | 33938J106 | 12,972 | 1,246,150 | SH | | DFND | 1 | 1,246,150 | 0 | 0 |
| FUSION PHARMACEUTICALS INC | COM | 36118A100 | 4,842 | 402,800 | SH | | DFND | 1 | 402,800 | 0 | 0 |
| GDL FUND | COM SH BEN IT | 361570104 | 369 | 44,021 | SH | | DFND | 1 | 44,021 | 0 | 0 |
| GDS HLDGS LTD | SPONSORED ADS | 36165L108 | 671 | 8,195 | SH | | DFND | 1 | 8,195 | 0 | 0 |
| GOLUB CAP BDC INC | COM | 38173M102 | 14,149 | 1,068,625 | SH | | DFND | 1 | 1,068,625 | 0 | 0 |
| GOSSAMER BIO INC | COM | 38341P102 | 5,707 | 459,834 | SH | | DFND | 1 | 459,834 | 0 | 0 |
| GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 3,618 | 3,500,000 | PRN | | DFND | 1 | 3,500,000 | 0 | 0 |
| GW PHARMACEUTICALS PLC | ADS | 36197T103 | 18,566 | 190,716 | SH | | DFND | 1 | 190,716 | 0 | 0 |
| HERCULES CAPITAL INC | DBCV 4.375% 2/0 | 427096AF9 | 31 | 30,000 | PRN | | DFND | 1 | 30,000 | 0 | 0 |
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 239 | 66,300 | SH | | DFND | 1 | 66,300 | 0 | 0 |
| HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 | 3,110 | 501,552 | SH | | DFND | 1 | 501,552 | 0 | 0 |
| HIGHLAND INCOME FD | HIGHLAND INCOME | 43010E404 | 3,284 | 382,327 | SH | | DFND | 1 | 382,327 | 0 | 0 |
| HOLOGIC INC | COM | 436440101 | 22,813 | 343,200 | SH | | DFND | 1 | 343,200 | 0 | 0 |
| HOLOGIC INC | COM | 436440101 | 36,559 | 550,000 | SH | Call | DFND | 1 | 550,000 | 0 | 0 |
| IDEXX LABS INC | COM | 45168D104 | 975 | 2,481 | SH | | DFND | 1 | 2,481 | 0 | 0 |
| INTUIT | COM | 461202103 | 8,804 | 26,990 | SH | | DFND | 1 | 26,990 | 0 | 0 |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 117,180 | 2,790,000 | SH | Put | DFND | 1 | 2,790,000 | 0 | 0 |
| JD.COM INC | SPON ADR CL A | 47215P106 | 2,398 | 30,900 | SH | | DFND | 1 | 30,900 | 0 | 0 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 18,975 | 197,103 | SH | | DFND | 1 | 197,103 | 0 | 0 |
| KURA ONCOLOGY INC | COM | 50127T109 | 1,552 | 50,661 | SH | | DFND | 1 | 50,661 | 0 | 0 |
| LABORATORY CORP AMER HLDGS | COM NEW | 50540R409 | 17,656 | 93,780 | SH | | DFND | 1 | 93,780 | 0 | 0 |
| LAM RESEARCH CORP | COM | 512807108 | 9,870 | 29,750 | SH | | DFND | 1 | 29,750 | 0 | 0 |
| LAZARD GLOBAL TOTAL RETURN & | COM | 52106W103 | 168 | 10,800 | SH | | DFND | 1 | 10,800 | 0 | 0 |
| LENNAR CORP | CL A | 526057104 | 28,947 | 354,400 | SH | | DFND | 1 | 354,400 | 0 | 0 |
| LILLY ELI & CO | COM | 532457108 | 1,364 | 9,213 | SH | | DFND | 1 | 9,213 | 0 | 0 |
| MASIMO CORP | COM | 574795100 | 661 | 2,800 | SH | | DFND | 1 | 2,800 | 0 | 0 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 | 13,415 | 39,669 | SH | | DFND | 1 | 39,669 | 0 | 0 |
| MCKESSON CORP | COM | 58155Q103 | 10,981 | 73,730 | SH | | DFND | 1 | 73,730 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 39,145 | 186,114 | SH | | DFND | 1 | 186,114 | 0 | 0 |
| MIRATI THERAPEUTICS INC | COM | 60468T105 | 11,320 | 68,170 | SH | | DFND | 1 | 68,170 | 0 | 0 |
| MODERNA INC | COM | 60770K107 | 19,619 | 277,302 | SH | | DFND | 1 | 277,302 | 0 | 0 |
| NETEASE INC | SPONSORED ADS | 64110W102 | 984 | 2,165 | SH | | DFND | 1 | 2,165 | 0 | 0 |
| NEW ORIENTAL ED & TECHNOLOGY | SPON ADR | 647581107 | 777 | 5,200 | SH | | DFND | 1 | 5,200 | 0 | 0 |
| NEXPOINT STRATEGIC OPPORTES | COM NEW | 65340G205 | 1,965 | 226,858 | SH | | DFND | 1 | 226,858 | 0 | 0 |
| NUVEEN CR STRATEGIES INCOME | COM SHS | 67073D102 | 2,653 | 448,907 | SH | | DFND | 1 | 448,907 | 0 | 0 |
| NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 341 | 41,000 | SH | | DFND | 1 | 41,000 | 0 | 0 |
| NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 787 | 96,000 | SH | | DFND | 1 | 96,000 | 0 | 0 |
| PENNYMAC FINL SVCS INC NEW | COM | 70932M107 | 75,248 | 1,294,709 | SH | | DFND | 1 | 1,294,709 | 0 | 0 |
| PHYSICIANS RLTY TR | COM | 71943U104 | 13,234 | 738,900 | SH | | DFND | 1 | 738,900 | 0 | 0 |
| PINDUODUO INC | SPONSORED ADS | 722304102 | 564 | 7,600 | SH | | DFND | 1 | 7,600 | 0 | 0 |
| PIONEER FLOATING RATE TR | COM | 72369J102 | 1,023 | 101,246 | SH | | DFND | 1 | 101,246 | 0 | 0 |
| QORVO INC | COM | 74736K101 | 13,125 | 101,740 | SH | | DFND | 1 | 101,740 | 0 | 0 |
| QUEST DIAGNOSTICS INC | COM | 74834L100 | 23,765 | 207,575 | SH | | DFND | 1 | 207,575 | 0 | 0 |
| REGENERON PHARMACEUTICALS | COM | 75886F107 | 13,038 | 23,292 | SH | | DFND | 1 | 23,292 | 0 | 0 |
| REPARE THERAPEUTICS INC | COM | 760273102 | 6,209 | 201,779 | SH | | DFND | 1 | 201,779 | 0 | 0 |
| RINGCENTRAL INC | CL A | 76680R206 | 7,403 | 26,960 | SH | | DFND | 1 | 26,960 | 0 | 0 |
| ROYAL CARIBBEAN GROUP | COM | V7780T103 | 31,902 | 492,847 | SH | | DFND | 1 | 492,847 | 0 | 0 |
| SALESFORCE COM INC | COM | 79466L302 | 4,188 | 16,664 | SH | | DFND | 1 | 16,664 | 0 | 0 |
| SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 662 | 189,176 | SH | | DFND | 1 | 189,176 | 0 | 0 |
| SEA LTD | SPONSORD ADS | 81141R100 | 200 | 1,300 | SH | | DFND | 1 | 1,300 | 0 | 0 |
| SIXTH STREET SPECIALTY LENDN | COM | 83012A109 | 14,175 | 823,627 | SH | | DFND | 1 | 823,627 | 0 | 0 |
| SKYWORKS SOLUTIONS INC | COM | 83088M102 | 9,300 | 63,920 | SH | | DFND | 1 | 63,920 | 0 | 0 |
| SMILEDIRECTCLUB INC | CL A COM | 83192H106 | 7,083 | 606,400 | SH | | DFND | 1 | 606,400 | 0 | 0 |
| SPLUNK INC | COM | 848637104 | 6,861 | 36,470 | SH | | DFND | 1 | 36,470 | 0 | 0 |
| STARWOOD PPTY TR INC | NOTE 4.375% 4/0 | 85571BAH8 | 2,227 | 2,315,000 | PRN | | DFND | 1 | 2,315,000 | 0 | 0 |
| STEWART INFORMATION SVCS COR | COM | 860372101 | 8,798 | 201,200 | SH | | DFND | 1 | 201,200 | 0 | 0 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 27,442 | 338,500 | SH | | DFND | 1 | 338,500 | 0 | 0 |
| TAL EDUCATION GROUP | SPONSORED ADS | 874080104 | 753 | 9,900 | SH | | DFND | 1 | 9,900 | 0 | 0 |
| TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 332 | 16,100 | SH | | DFND | 1 | 16,100 | 0 | 0 |
| TEKLA LIFE SCIENCES INVS | SH BEN INT | 87911K100 | 1,036 | 58,926 | SH | | DFND | 1 | 58,926 | 0 | 0 |
| TELADOC HEALTH INC | COM | 87918A105 | 18,682 | 85,214 | SH | | DFND | 1 | 85,214 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 18,753 | 42,473 | SH | | DFND | 1 | 42,473 | 0 | 0 |
| T-MOBILE US INC | COM | 872590104 | 6,010 | 52,550 | SH | | DFND | 1 | 52,550 | 0 | 0 |
| TRANSDIGM GROUP INC | COM | 893641100 | 8,334 | 17,540 | SH | | DFND | 1 | 17,540 | 0 | 0 |
| TWILIO INC | CL A | 90138F102 | 7,304 | 29,560 | SH | | DFND | 1 | 29,560 | 0 | 0 |
| TWO HBRS INVT CORP | NOTE 6.250% 1/1 | 90187BAA9 | 2,298 | 2,299,000 | PRN | | DFND | 1 | 2,299,000 | 0 | 0 |
| VERACYTE INC | COM | 92337F107 | 7,276 | 223,960 | SH | | DFND | 1 | 223,960 | 0 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 20,493 | 75,310 | SH | | DFND | 1 | 75,310 | 0 | 0 |
| VIR BIOTECHNOLOGY INC | COM | 92764N102 | 6,851 | 199,563 | SH | | DFND | 1 | 199,563 | 0 | 0 |
| VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 187 | 17,332 | SH | | DFND | 1 | 17,332 | 0 | 0 |
| VISA INC | COM CL A | 92826C839 | 12,494 | 62,480 | SH | | DFND | 1 | 62,480 | 0 | 0 |
| VOYA ASIA PAC DIVID EQUITY I | COM | 92912J102 | 246 | 31,016 | SH | | DFND | 1 | 31,016 | 0 | 0 |
| VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 554 | 66,394 | SH | | DFND | 1 | 66,394 | 0 | 0 |
| VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 3,790 | 859,400 | SH | | DFND | 1 | 859,400 | 0 | 0 |
| WESTERN ASSET GLOBAL HIGH IN | COM | 95766B109 | 1,350 | 140,072 | SH | | DFND | 1 | 140,072 | 0 | 0 |
| WESTERN ASSET HIGH INCOME FD | COM | 95766J102 | 883 | 138,000 | SH | | DFND | 1 | 138,000 | 0 | 0 |
| WESTERN ASSET HIGH INCOME OP | COM | 95766K109 | 2,547 | 519,716 | SH | | DFND | 1 | 519,716 | 0 | 0 |
| WORKDAY INC | CL A | 98138H101 | 3,711 | 17,250 | SH | | DFND | 1 | 17,250 | 0 | 0 |
| ZAI LAB LTD | ADR | 98887Q104 | 14,240 | 171,220 | SH | | DFND | 1 | 171,220 | 0 | 0 |
| ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 | 1,607 | 11,805 | SH | | DFND | 1 | 11,805 | 0 | 0 |
| ZOETIS INC | CL A | 98978V103 | 6,974 | 42,175 | SH | | DFND | 1 | 42,175 | 0 | 0 |
