The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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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 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 3,193 | 17,500 | SH | DFND | 0 | 17,500 | 0 | 0 | |
ATMOS ENERGY CORP | COM | 049560105 | 220 | 2,138 | SH | DFND | 3 | 2,138 | 0 | 0 | |
ATMOS ENERGY CORP | COM | 049560105 | 62 | 601 | SH | DFND | 6 | 601 | 0 | 0 | |
ATMOS ENERGY CORP | COM | 049560105 | 168 | 1,628 | SH | DFND | 4 | 1,628 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 1,632 | 9,898 | SH | DFND | 0 | 9,898 | 0 | 0 | |
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 1,483 | 1,600,000 | SH | DFND | 3 | 1,600,000 | 0 | 0 | |
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 927 | 1,000,000 | SH | DFND | 0 | 1,000,000 | 0 | 0 | |
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 1,297 | 1,400,000 | SH | DFND | 4 | 1,400,000 | 0 | 0 | |
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 3,137 | 43,300 | SH | DFND | 0 | 43,300 | 0 | 0 | |
DISH NETWORK CORP | NOTE 3.375% 8/1 | 25470MAB5 | 1,678 | 1,975,000 | SH | DFND | 0 | 1,975,000 | 0 | 0 | |
DISH NETWORK CORP | NOTE 3.375% 8/1 | 25470MAB5 | 1,062 | 1,250,000 | SH | DFND | 0 | 1,250,000 | 0 | 0 | |
DISH NETWORK CORP | NOTE 3.375% 8/1 | 25470MAB5 | 1,508 | 1,775,000 | SH | DFND | 5 | 1,775,000 | 0 | 0 | |
DOCUSIGN INC | COM | 256163106 | 329 | 6,343 | SH | DFND | 0 | 6,343 | 0 | 0 | |
DOCUSIGN INC | COM | 256163106 | 6,755 | 130,309 | SH | DFND | 0 | 130,309 | 0 | 0 | |
GOLDMAN SACHS ETF TR | ACCESS INVT GR | 381430479 | 49,525 | 999,000 | SH | DFND | 5 | 999,000 | 0 | 0 | |
HALCON RES CORP | COM | 40537Q605 | 1,090 | 807,420 | SH | DFND | 3 | 807,420 | 0 | 0 | |
HALCON RES CORP (WARR) | COM | 40537Q118 | 10 | 189,474 | SH | DFND | 3 | 189,474 | 0 | 0 | |
ISHARES INC | MSCI CDA ETF | 464286509 | 33,773 | 1,221,904 | SH | DFND | 3 | 1,221,904 | 0 | 0 | |
ISHARES INC | MSCI CDA ETF | 464286509 | 1,472 | 53,252 | SH | DFND | 0 | 53,252 | 0 | 0 | |
ISHARES INC | MSCI CDA ETF | 464286509 | 756 | 27,345 | SH | DFND | 0 | 27,345 | 0 | 0 | |
ISHARES INC | MSCI CDA ETF | 464286509 | 2,059 | 74,477 | SH | DFND | 6 | 74,477 | 0 | 0 | |
ISHARES INC | MSCI CDA ETF | 464286509 | 3,044 | 110,127 | SH | DFND | 4 | 110,127 | 0 | 0 | |
ISHARES INC | MSCI CDA ETF | 464286509 | 20,940 | 757,594 | SH | DFND | 5 | 757,594 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 139,180 | 3,242,771 | SH | DFND | 3 | 3,242,771 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 5,813 | 135,431 | SH | DFND | 0 | 135,431 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 3,065 | 71,407 | SH | DFND | 0 | 71,407 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 8,124 | 189,272 | SH | DFND | 6 | 189,272 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 11,985 | 279,241 | SH | DFND | 4 | 279,241 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 69,458 | 1,618,317 | SH | DFND | 5 | 1,618,317 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 367,767 | 5,670,162 | SH | DFND | 3 | 5,670,162 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 15,022 | 231,601 | SH | DFND | 0 | 231,601 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 8,130 | 125,345 | SH | DFND | 0 | 125,345 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 20,614 | 317,819 | SH | DFND | 6 | 317,819 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 29,780 | 459,139 | SH | DFND | 4 | 459,139 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 173,866 | 2,680,629 | SH | DFND | 5 | 2,680,629 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 12,321 | 142,486 | SH | DFND | 0 | 142,486 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 8 | 95 | SH | DFND | 0 | 95 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 19,412 | 224,496 | SH | DFND | 6 | 224,496 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 27,061 | 312,955 | SH | DFND | 4 | 312,955 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 34,534 | 399,372 | SH | DFND | 5 | 399,372 | 0 | 0 | |
ISHARES TR | MBS ETF | 464288588 | 18,527 | 174,193 | SH | DFND | 0 | 174,193 | 0 | 0 | |
ISHARES TR | MBS ETF | 464288588 | 12 | 115 | SH | DFND | 0 | 115 | 0 | 0 | |
ISHARES TR | MBS ETF | 464288588 | 29,696 | 279,206 | SH | DFND | 6 | 279,206 | 0 | 0 | |
ISHARES TR | MBS ETF | 464288588 | 41,450 | 389,714 | SH | DFND | 4 | 389,714 | 0 | 0 | |
ISHARES TR | MBS ETF | 464288588 | 53,086 | 499,120 | SH | DFND | 5 | 499,120 | 0 | 0 | |
ISHARES TR | INTRM TR CRP ETF | 464288638 | 33,635 | 610,000 | SH | DFND | 3 | 610,000 | 0 | 0 | |
ISHARES TR | INTRM TR CRP ETF | 464288638 | 5,514 | 100,000 | SH | DFND | 5 | 100,000 | 0 | 0 | |
ISHARES TR | SH TR CRPORT ETF | 464288646 | 12,516 | 236,958 | SH | DFND | 0 | 236,958 | 0 | 0 | |
ISHARES TR | SH TR CRPORT ETF | 464288646 | 191 | 3,624 | SH | DFND | 0 | 3,624 | 0 | 0 | |
ISHARES TR | SH TR CRPORT ETF | 464288646 | 19,676 | 372,501 | SH | DFND | 6 | 372,501 | 0 | 0 | |
ISHARES TR | SH TR CRPORT ETF | 464288646 | 27,697 | 524,364 | SH | DFND | 4 | 524,364 | 0 | 0 | |
ISHARES TR | SH TR CRPORT ETF | 464288646 | 35,630 | 674,563 | SH | DFND | 5 | 674,563 | 0 | 0 | |
LINE CORP | SPONSORED ADR | 53567X101 | 958 | 27,200 | SH | DFND | 0 | 27,200 | 0 | 0 | |
ON DECK CAP INC | COM | 682163100 | 130 | 23,957 | SH | DFND | 0 | 23,957 | 0 | 0 | |
ON DECK CAP INC | COM | 682163100 | 519 | 95,830 | SH | DFND | 0 | 95,830 | 0 | 0 | |
PLATINUM GROUP METALS LTD | COM | 72765Q882 | 5,295 | 2,687,745 | SH | DFND | 3 | 2,687,745 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 610,559 | 2,161,424 | SH | DFND | 3 | 2,161,424 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 29,135 | 103,141 | SH | DFND | 0 | 103,141 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 14,330 | 50,731 | SH | DFND | 0 | 50,731 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 41,555 | 147,109 | SH | DFND | 6 | 147,109 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 62,835 | 222,442 | SH | DFND | 4 | 222,442 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 348,698 | 1,234,417 | SH | DFND | 5 | 1,234,417 | 0 | 0 | |
TELEFLEX INC | COM | 879369106 | 523 | 1,731 | SH | DFND | 3 | 1,731 | 0 | 0 | |
TELEFLEX INC | COM | 879369106 | 102 | 339 | SH | DFND | 6 | 339 | 0 | 0 | |
TELEFLEX INC | COM | 879369106 | 245 | 810 | SH | DFND | 4 | 810 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 479 | 1,939 | SH | DFND | 3 | 1,939 | 0 | 0 | |
WELLCARE HEALTH PLANS INC | COM | 94946T106 | 491 | 1,822 | SH | DFND | 3 | 1,822 | 0 | 0 | |
WELLCARE HEALTH PLANS INC | COM | 94946T106 | 26 | 96 | SH | DFND | 6 | 96 | 0 | 0 | |
WELLCARE HEALTH PLANS INC | COM | 94946T106 | 230 | 854 | SH | DFND | 4 | 854 | 0 | 0 | |
YUM CHINA HLDGS INC | COM | 98850P109 | 2,987 | 66,500 | SH | DFND | 0 | 66,500 | 0 | 0 | |
ZUORA INC | COM CL A | 98983V106 | 104 | 5,212 | SH | DFND | 0 | 5,212 | 0 | 0 | |
ZUORA INC | COM CL A | 98983V106 | 313 | 15,635 | SH | DFND | 0 | 15,635 | 0 | 0 |