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 | 18,696 | 478,400 | SH | | DFND | 1 | 478,400 | 0 | 0 |
21VIANET GROUP INC | SPONSORED ADS A | 90138A103 | 384 | 11,900 | SH | | DFND | 1 | 11,900 | 0 | 0 |
ABBVIE INC | COM | 00287Y109 | 9,046 | 83,590 | SH | | DFND | 1 | 83,590 | 0 | 0 |
ABCELLERA BIOLOGICS INC | COM | 00288U106 | 16,113 | 474,484 | SH | | DFND | 1 | 474,484 | 0 | 0 |
ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 21,216 | 371,300 | SH | | DFND | 1 | 371,300 | 0 | 0 |
AGNC INVT CORP | COM | 00123Q104 | 37,797 | 2,255,200 | SH | | DFND | 1 | 2,255,200 | 0 | 0 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 4,137 | 18,247 | SH | | DFND | 1 | 18,247 | 0 | 0 |
ALPHABET INC | CAP STK CL C | 02079K107 | 22,887 | 11,064 | SH | | DFND | 1 | 11,064 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 6,095 | 1,970 | SH | | DFND | 1 | 1,970 | 0 | 0 |
ANNALY CAPITAL MANAGEMENT IN | COM | 035710409 | 48,621 | 5,653,600 | SH | | DFND | 1 | 5,653,600 | 0 | 0 |
ANTHEM INC | COM | 036752103 | 26,912 | 74,975 | SH | | DFND | 1 | 74,975 | 0 | 0 |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 20,989 | 489,149 | SH | | DFND | 1 | 489,149 | 0 | 0 |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 204 | 13,761 | SH | | DFND | 1 | 13,761 | 0 | 0 |
APPLIED MATLS INC | COM | 038222105 | 35,045 | 262,310 | SH | | DFND | 1 | 262,310 | 0 | 0 |
ARES CAPITAL CORP | NOTE 3.750% 2/0 | 04010LAT0 | 3,096 | 3,000,000 | PRN | | DFND | 1 | 3,000,000 | 0 | 0 |
AVEO PHARMACEUTICALS INC | COM NEW | 053588307 | 2,196 | 300,000 | SH | | DFND | 1 | 300,000 | 0 | 0 |
BAIDU INC | SPON ADR REP A | 056752108 | 653 | 3,000 | SH | | DFND | 1 | 3,000 | 0 | 0 |
BARINGS BDC INC | COM | 06759L103 | 12,613 | 1,263,826 | SH | | DFND | 1 | 1,263,826 | 0 | 0 |
BAXTER INTL INC | COM | 071813109 | 6,005 | 71,200 | SH | | DFND | 1 | 71,200 | 0 | 0 |
BILIBILI INC | SPONS ADS REP Z | 090040106 | 653 | 6,100 | SH | | DFND | 1 | 6,100 | 0 | 0 |
BK OF AMERICA CORP | COM | 060505104 | 38,877 | 1,004,823 | SH | | DFND | 1 | 1,004,823 | 0 | 0 |
BLACKROCK HEALTH SCIENCS TR | COM SHS | 09260E105 | 2,733 | 103,900 | SH | | DFND | 1 | 103,900 | 0 | 0 |
BLACKROCK RES & COMMODITIES | SHS | 09257A108 | 490 | 55,287 | SH | | DFND | 1 | 55,287 | 0 | 0 |
BOOKING HOLDINGS INC | COM | 09857L108 | 22,832 | 9,800 | SH | Call | DFND | 1 | 9,800 | 0 | 0 |
BOOKING HOLDINGS INC | COM | 09857L108 | 28,161 | 12,087 | SH | | DFND | 1 | 12,087 | 0 | 0 |
BRANDYWINEGBL GBL INCM OPP F | COM | 10537L104 | 709 | 58,816 | SH | | DFND | 1 | 58,816 | 0 | 0 |
BROADCOM INC | COM | 11135F101 | 21,968 | 47,380 | SH | | DFND | 1 | 47,380 | 0 | 0 |
CALAMOS CONV OPPORTUNITIES & | SH BEN INT | 128117108 | 919 | 64,600 | SH | | DFND | 1 | 64,600 | 0 | 0 |
CALAMOS LNG SHR EQT DYNAMIC | COM | 12812C106 | 1,704 | 84,435 | SH | | DFND | 1 | 84,435 | 0 | 0 |
CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 38,043 | 1,433,440 | SH | | DFND | 1 | 1,433,440 | 0 | 0 |
CARVANA CO | CL A | 146869102 | 17,808 | 67,864 | SH | | DFND | 1 | 67,864 | 0 | 0 |
CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461209 | 581 | 53,064 | SH | | DFND | 1 | 53,064 | 0 | 0 |
CENTRAL SECS CORP | COM | 155123102 | 1,288 | 33,986 | SH | | DFND | 1 | 33,986 | 0 | 0 |
CHECKMATE PHARMACEUTICALS IN | COM | 162818108 | 16,417 | 1,352,313 | SH | | DFND | 1 | 1,352,313 | 0 | 0 |
CITIGROUP INC | COM NEW | 172967424 | 29,972 | 411,990 | SH | | DFND | 1 | 411,990 | 0 | 0 |
COHEN & STEERS MLP INCOME & | COM SHS | 19249B106 | 2,891 | 903,467 | SH | | DFND | 1 | 903,467 | 0 | 0 |
COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 14,710 | 318,959 | SH | | DFND | 1 | 318,959 | 0 | 0 |
COVETRUS INC | COM | 22304C100 | 12,351 | 412,100 | SH | | DFND | 1 | 412,100 | 0 | 0 |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 13,282 | 109,000 | SH | Call | DFND | 1 | 109,000 | 0 | 0 |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 22,783 | 186,977 | SH | | DFND | 1 | 186,977 | 0 | 0 |
CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 6,240 | 34,190 | SH | | DFND | 1 | 34,190 | 0 | 0 |
D R HORTON INC | COM | 23331A109 | 25,533 | 286,500 | SH | | DFND | 1 | 286,500 | 0 | 0 |
DBX ETF TR | XTRACK HRVST CSI | 233051879 | 5,063 | 131,100 | SH | | DFND | 1 | 131,100 | 0 | 0 |
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 1,034 | 105,426 | SH | | DFND | 1 | 105,426 | 0 | 0 |
DISNEY WALT CO | COM | 254687106 | 20,519 | 111,200 | SH | Call | DFND | 1 | 111,200 | 0 | 0 |
DISNEY WALT CO | COM | 254687106 | 26,084 | 141,360 | SH | | DFND | 1 | 141,360 | 0 | 0 |
DUFF & PHELPS SLT ENGY AND M | COM NEW | 26433F207 | 589 | 80,070 | SH | | DFND | 1 | 80,070 | 0 | 0 |
DYNATRACE INC | COM NEW | 268150109 | 8,817 | 182,780 | SH | | DFND | 1 | 182,780 | 0 | 0 |
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 2,446 | 150,234 | SH | | DFND | 1 | 150,234 | 0 | 0 |
EATON VANCE FLTING RATE INC | COM | 278279104 | 277 | 19,664 | SH | | DFND | 1 | 19,664 | 0 | 0 |
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 155 | 23,448 | SH | | DFND | 1 | 23,448 | 0 | 0 |
EQUITABLE HLDGS INC | COM | 29452E101 | 35,954 | 1,102,200 | SH | | DFND | 1 | 1,102,200 | 0 | 0 |
FIRST AMERN FINL CORP | COM | 31847R102 | 44,493 | 785,400 | SH | | DFND | 1 | 785,400 | 0 | 0 |
FIRST EAGLE SENIOR LOAN FUND | COM NEW | 32010E100 | 876 | 61,100 | SH | | DFND | 1 | 61,100 | 0 | 0 |
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 200 | 16,300 | SH | | DFND | 1 | 16,300 | 0 | 0 |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 5,929 | 662,406 | SH | | DFND | 1 | 662,406 | 0 | 0 |
GABELLI UTIL TR | RIGHT 04/14/2021 | 36240A168 | 22 | 201,400 | SH | | DFND | 1 | 201,400 | 0 | 0 |
GDS HLDGS LTD | SPONSORED ADS | 36165L108 | 288 | 3,552 | SH | | DFND | 1 | 3,552 | 0 | 0 |
GOLUB CAP BDC INC | COM | 38173M102 | 12,078 | 826,125 | SH | | DFND | 1 | 826,125 | 0 | 0 |
GOSSAMER BIO INC | COM | 38341P102 | 4,242 | 458,634 | SH | | DFND | 1 | 458,634 | 0 | 0 |
GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 3,190 | 3,500,000 | PRN | | DFND | 1 | 3,500,000 | 0 | 0 |
GUGGENHEIM ENHANCED EQUITY I | COM | 40167B100 | 212 | 29,365 | SH | | DFND | 1 | 29,365 | 0 | 0 |
HANCOCK JOHN INVT TR | TAX ADV GLB SH | 41013P749 | 555 | 86,430 | SH | | DFND | 1 | 86,430 | 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 | 450 | 76,501 | SH | | DFND | 1 | 76,501 | 0 | 0 |
HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 | 3,414 | 442,756 | SH | | DFND | 1 | 442,756 | 0 | 0 |
HIGHLAND INCOME FD | HIGHLAND INCOME | 43010E404 | 2,967 | 267,533 | SH | | DFND | 1 | 267,533 | 0 | 0 |
HOLOGIC INC | COM | 436440101 | 15,696 | 211,020 | SH | | DFND | 1 | 211,020 | 0 | 0 |
HUMANA INC | COM | 444859102 | 26,838 | 64,015 | SH | | DFND | 1 | 64,015 | 0 | 0 |
INTEL CORP | COM | 458140100 | 20,096 | 314,000 | SH | | DFND | 1 | 314,000 | 0 | 0 |
INVESCO DYNAMIC CR OPPORTUNI | COM | 46132R104 | 1,320 | 116,100 | SH | | DFND | 1 | 116,100 | 0 | 0 |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 367,000 | 1,150,000 | SH | Put | DFND | 1 | 1,150,000 | 0 | 0 |
ISHARES TR | NASDAQ BIOTECH | 464287556 | 29,254 | 194,300 | SH | Put | DFND | 1 | 194,300 | 0 | 0 |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 20,510 | 124,780 | SH | | DFND | 1 | 124,780 | 0 | 0 |
JD.COM INC | SPON ADR CL A | 47215P106 | 1,012 | 12,000 | SH | | DFND | 1 | 12,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 26,260 | 159,780 | SH | | DFND | 1 | 159,780 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 26,861 | 176,450 | SH | | DFND | 1 | 176,450 | 0 | 0 |
KURA ONCOLOGY INC | COM | 50127T109 | 717 | 25,361 | SH | | DFND | 1 | 25,361 | 0 | 0 |
LAM RESEARCH CORP | COM | 512807108 | 26,030 | 43,730 | SH | | DFND | 1 | 43,730 | 0 | 0 |
LENNAR CORP | CL A | 526057104 | 26,016 | 256,999 | SH | | DFND | 1 | 256,999 | 0 | 0 |
LILLY ELI & CO | COM | 532457108 | 1,721 | 9,213 | SH | | DFND | 1 | 9,213 | 0 | 0 |
LYFT INC | CL A COM | 55087P104 | 26,174 | 414,270 | SH | | DFND | 1 | 414,270 | 0 | 0 |
MASTERCARD INCORPORATED | CL A | 57636Q104 | 35,995 | 101,094 | SH | | DFND | 1 | 101,094 | 0 | 0 |
MASTERCARD INCORPORATED | CL A | 57636Q104 | 39,664 | 111,400 | SH | Call | DFND | 1 | 111,400 | 0 | 0 |
MCKESSON CORP | COM | 58155Q103 | 28,633 | 146,805 | SH | | DFND | 1 | 146,805 | 0 | 0 |
MCKESSON CORP | COM | 58155Q103 | 39,047 | 200,200 | SH | Call | DFND | 1 | 200,200 | 0 | 0 |
MERCK & CO. INC | COM | 58933Y105 | 17,754 | 230,300 | SH | | DFND | 1 | 230,300 | 0 | 0 |
MICRON TECHNOLOGY INC | COM | 595112103 | 38,724 | 439,000 | SH | | DFND | 1 | 439,000 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 4,576 | 19,409 | SH | | DFND | 1 | 19,409 | 0 | 0 |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 1,917 | 199,700 | SH | | DFND | 1 | 199,700 | 0 | 0 |
MIRATI THERAPEUTICS INC | COM | 60468T105 | 2,622 | 15,305 | SH | | DFND | 1 | 15,305 | 0 | 0 |
MODERNA INC | COM | 60770K107 | 4,704 | 35,922 | SH | | DFND | 1 | 35,922 | 0 | 0 |
NETEASE INC | SPONSORED ADS | 64110W102 | 880 | 8,525 | SH | | DFND | 1 | 8,525 | 0 | 0 |
NEXPOINT STRATEGIC OPPORTES | COM NEW | 65340G205 | 619 | 54,358 | SH | | DFND | 1 | 54,358 | 0 | 0 |
NUVEEN CORE EQUITY ALPHA FD | COM | 67090X107 | 2,277 | 149,700 | SH | | DFND | 1 | 149,700 | 0 | 0 |
NUVEEN DIVERSIFIED DIVID & I | COM | 6706EP105 | 388 | 40,900 | SH | | DFND | 1 | 40,900 | 0 | 0 |
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 708 | 73,244 | SH | | DFND | 1 | 73,244 | 0 | 0 |
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 388 | 40,700 | SH | | DFND | 1 | 40,700 | 0 | 0 |
NUVEEN REAL ASSET INCOME & G | COM | 67074Y105 | 225 | 15,293 | SH | | DFND | 1 | 15,293 | 0 | 0 |
NUVEEN SHT DUR CR OPP FD | COM | 67074X107 | 385 | 27,300 | SH | | DFND | 1 | 27,300 | 0 | 0 |
NUVEEN TAX-ADVANTAGED DIVID | COM | 67073G105 | 695 | 46,000 | SH | | DFND | 1 | 46,000 | 0 | 0 |
PENNYMAC FINL SVCS INC NEW | COM | 70932M107 | 49,531 | 740,701 | SH | | DFND | 1 | 740,701 | 0 | 0 |
PFIZER INC | COM | 717081103 | 26,752 | 738,400 | SH | | DFND | 1 | 738,400 | 0 | 0 |
PHYSICIANS RLTY TR | COM | 71943U104 | 8,519 | 482,100 | SH | | DFND | 1 | 482,100 | 0 | 0 |
PINDUODUO INC | SPONSORED ADS | 722304102 | 496 | 3,708 | SH | | DFND | 1 | 3,708 | 0 | 0 |
REDWOOD TR INC | COM | 758075402 | 5,891 | 565,900 | SH | | DFND | 1 | 565,900 | 0 | 0 |
REDWOOD TR INC | NOTE 4.750% 8/1 | 758075AC9 | 1,974 | 1,978,000 | PRN | | DFND | 1 | 1,978,000 | 0 | 0 |
REPARE THERAPEUTICS INC | COM | 760273102 | 9,946 | 324,079 | SH | | DFND | 1 | 324,079 | 0 | 0 |
ROYAL CARIBBEAN GROUP | COM | V7780T103 | 39,616 | 462,747 | SH | | DFND | 1 | 462,747 | 0 | 0 |
SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 953 | 186,772 | SH | | DFND | 1 | 186,772 | 0 | 0 |
SIX FLAGS ENTMT CORP NEW | COM | 83001A102 | 9,294 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
SIX FLAGS ENTMT CORP NEW | COM | 83001A102 | 17,245 | 371,100 | SH | | DFND | 1 | 371,100 | 0 | 0 |
SIXTH STREET SPECIALTY LENDN | COM | 83012A109 | 15,620 | 742,727 | SH | | DFND | 1 | 742,727 | 0 | 0 |
SMART GLOBAL HLDGS INC | SHS | G8232Y101 | 11,160 | 242,500 | SH | | DFND | 1 | 242,500 | 0 | 0 |
SPLUNK INC | COM | 848637104 | 3,765 | 27,790 | SH | | DFND | 1 | 27,790 | 0 | 0 |
STARWOOD PPTY TR INC | NOTE 4.375% 4/0 | 85571BAH8 | 11,314 | 10,815,000 | PRN | | DFND | 1 | 10,815,000 | 0 | 0 |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 9,202 | 77,800 | SH | | DFND | 1 | 77,800 | 0 | 0 |
TELADOC HEALTH INC | COM | 87918A105 | 1,562 | 8,592 | SH | | DFND | 1 | 8,592 | 0 | 0 |
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 1,199 | 225,831 | SH | | DFND | 1 | 225,831 | 0 | 0 |
TESLA INC | COM | 88160R101 | 8,924 | 13,360 | SH | | DFND | 1 | 13,360 | 0 | 0 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 21,697 | 47,542 | SH | | DFND | 1 | 47,542 | 0 | 0 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 44,634 | 97,800 | SH | Call | DFND | 1 | 97,800 | 0 | 0 |
TRANSDIGM GROUP INC | COM | 893641100 | 26,809 | 45,600 | SH | Call | DFND | 1 | 45,600 | 0 | 0 |
TRANSDIGM GROUP INC | COM | 893641100 | 30,287 | 51,516 | SH | | DFND | 1 | 51,516 | 0 | 0 |
TWILIO INC | CL A | 90138F102 | 6,444 | 18,910 | SH | | DFND | 1 | 18,910 | 0 | 0 |
TWO HBRS INVT CORP | NOTE 6.250% 1/1 | 90187BAA9 | 2,352 | 2,299,000 | PRN | | DFND | 1 | 2,299,000 | 0 | 0 |
UBER TECHNOLOGIES INC | COM | 90353T100 | 27,353 | 501,800 | SH | | DFND | 1 | 501,800 | 0 | 0 |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 24,036 | 64,600 | SH | | DFND | 1 | 64,600 | 0 | 0 |
UNIVERSAL HLTH SVCS INC | CL B | 913903100 | 22,921 | 171,835 | SH | | DFND | 1 | 171,835 | 0 | 0 |
VERACYTE INC | COM | 92337F107 | 6,203 | 115,400 | SH | Call | DFND | 1 | 115,400 | 0 | 0 |
VERACYTE INC | COM | 92337F107 | 8,861 | 164,860 | SH | | DFND | 1 | 164,860 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 17,466 | 81,280 | SH | | DFND | 1 | 81,280 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 77,898 | 362,500 | SH | Call | DFND | 1 | 362,500 | 0 | 0 |
VIRTUS GLOBAL DIVID & INCOME | COM | 92835W107 | 1,513 | 164,476 | SH | | DFND | 1 | 164,476 | 0 | 0 |
VIRTUS GLOBAL MULTI-SECTOR I | COM | 92829B101 | 206 | 17,332 | SH | | DFND | 1 | 17,332 | 0 | 0 |
VISA INC | COM CL A | 92826C839 | 18,922 | 89,370 | SH | | DFND | 1 | 89,370 | 0 | 0 |
VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 974 | 101,739 | SH | | DFND | 1 | 101,739 | 0 | 0 |
VOYA INFRASTRUCTURE INDLS & | COM | 92912X101 | 774 | 62,508 | SH | | DFND | 1 | 62,508 | 0 | 0 |
VOYA INTL HIGH DIV EQTY INM | COM | 92912Y109 | 1,343 | 240,722 | SH | | DFND | 1 | 240,722 | 0 | 0 |
VOYA NAT RES EQUITY INCOME F | COM | 92913C106 | 3,315 | 1,001,500 | SH | | DFND | 1 | 1,001,500 | 0 | 0 |
WELLS FARGO GLOBAL DIVID OPP | COM | 94987C103 | 965 | 183,445 | SH | | DFND | 1 | 183,445 | 0 | 0 |
ZAI LAB LTD | ADR | 98887Q104 | 12,330 | 92,410 | SH | | DFND | 1 | 92,410 | 0 | 0 |
ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 | 2,364 | 14,765 | SH | | DFND | 1 | 14,765 | 0 | 0 |
ZOETIS INC | CL A | 98978V103 | 18,741 | 119,005 | SH | | DFND | 1 | 119,005 | 0 | 0 |