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 |
AbbVie Inc. | Common | 00287Y109 | 4,718 | 74,800 | SH | | DFND | 2 | 74,800 | 0 | 0 |
ACADIA Pharmaceuticals Inc. | Common | 004225108 | 2,080 | 65,397 | SH | | DFND | 2 | 65,397 | 0 | 0 |
Adverum Biotechnologies Inc. | Common | 00773U108 | 271 | 66,000 | SH | | DFND | 2 | 66,000 | 0 | 0 |
Alerian MLP | Common | 00162Q866 | 8 | 600 | SH | | DFND | 1 | 0 | 600 | 0 |
Allergan plc | Common | G0177J108 | 2,027 | 8,800 | SH | | DFND | 1 | 8,800 | 0 | 0 |
AllianceBernstein Holdings LP Unit Ltd | Common | 01881G106 | 23 | 1,000 | SH | | DFND | 1 | 0 | 1,000 | 0 |
AllianceBernstein Holdings LP Unit Ltd | Common | 01881G106 | 34 | 1,500 | SH | | DFND | 1 | 1,500 | 0 | 0 |
Ambac Financial Group, Inc. | Common | 023139884 | 3,134 | 170,426 | SH | | DFND | 2 | 170,426 | 0 | 0 |
Anadarko Petroleum Corporation | Common | 032511107 | 4,106 | 64,800 | SH | | DFND | 2 | 64,800 | 0 | 0 |
Anadarko Petroleum Corporation | Common | 032511107 | 450 | 7,100 | SH | | DFND | 1 | 0 | 7,100 | 0 |
Anadarko Petroleum Corporation | Common | 032511107 | 561 | 8,860 | SH | | DFND | 1 | 8,860 | 0 | 0 |
Anchor Bancorp | Common | 032838104 | 128 | 5,000 | SH | | DFND | 1 | 0 | 5,000 | 0 |
Anchor Bancorp | Common | 032838104 | 185 | 7,250 | SH | | DFND | 1 | 7,250 | 0 | 0 |
Apple Inc. | Common | 037833100 | 2,713 | 24,000 | SH | | DFND | 2 | 24,000 | 0 | 0 |
Apple Inc. | Common | 037833100 | 59 | 525 | SH | | DFND | 1 | 525 | 0 | 0 |
Apple Inc. | Common | 037833100 | 59 | 525 | SH | | DFND | 1 | 0 | 525 | 0 |
Aralez Pharmaceuticals Inc. | Common | 03852X100 | 183 | 37,698 | SH | | DFND | 2 | 37,698 | 0 | 0 |
AT&T Inc. | Common | 00206R102 | 83 | 2,050 | SH | | DFND | 1 | 2,050 | 0 | 0 |
Bank Nova Scotia Halifax | Common | 064149107 | 21 | 400 | SH | | DFND | 1 | 0 | 400 | 0 |
Canadian Natural Resources Ltd. | Common | 136385101 | 441 | 13,750 | SH | | DFND | 1 | 0 | 13,750 | 0 |
Canadian Natural Resources Ltd. | Common | 136385101 | 596 | 18,600 | SH | | DFND | 1 | 18,600 | 0 | 0 |
Capitol Federal Financial, Inc. | Common | 14057J101 | 9,576 | 680,600 | SH | | DFND | 2 | 680,600 | 0 | 0 |
Capitol Federal Financial, Inc. | Common | 14057J101 | 56 | 4,000 | SH | | DFND | 1 | 0 | 4,000 | 0 |
Capitol Federal Financial, Inc. | Common | 14057J101 | 82 | 5,800 | SH | | DFND | 1 | 5,800 | 0 | 0 |
Check Cap Ltd. | Common | M2361E112 | 317 | 159,871 | SH | | DFND | 2 | 159,871 | 0 | 0 |
Check Cap Ltd. @7.50 Exp. 2/28/20 | Common | M2361E120 | 495 | 66,059 | SH | | DFND | 2 | 66,059 | 0 | 0 |
Chemours Co. | Common | 163851108 | 10 | 640 | SH | | DFND | 1 | 0 | 640 | 0 |
Chemours Co. | Common | 163851108 | 12 | 720 | SH | | DFND | 1 | 720 | 0 | 0 |
China Ceramics Co. Ltd. | Common | G2113X100 | 147 | 47,195 | SH | | DFND | 2 | 47,195 | 0 | 0 |
Coca Cola Inc. | Common | 191216100 | 245 | 5,800 | SH | | DFND | 1 | 5,800 | 0 | 0 |
Colony Financial Inc. | Common | 19624R106 | 18 | 1,000 | SH | | DFND | 1 | 0 | 1,000 | 0 |
Community Healthcare Trust Incorporated | Common | 20369C106 | 1,315 | 60,000 | SH | | DFND | 2 | 60,000 | 0 | 0 |
Cousins Properties Inc. | Common | 222795106 | 140 | 13,428 | SH | | DFND | 1 | 0 | 13,428 | 0 |
Delta Air Lines, Inc. | Common | 247361702 | 1,102 | 28,000 | SH | | DFND | 2 | 28,000 | 0 | 0 |
Dow Chemical Company | Common | 260543103 | 41 | 800 | SH | | DFND | 1 | 0 | 800 | 0 |
Du Pont E I De nemours & Co | Common | 263534109 | 217 | 3,200 | SH | | DFND | 1 | 0 | 3,200 | 0 |
Du Pont E I De nemours & Co | Common | 263534109 | 234 | 3,500 | SH | | DFND | 1 | 3,500 | 0 | 0 |
Eagle Materials Inc. | Common | 26969P108 | 18 | 228 | SH | | DFND | 1 | 0 | 228 | 0 |
Eli Lilly & Co. | Commom | 532457108 | 24 | 300 | SH | | DFND | 1 | 0 | 300 | 0 |
Entegra Financial Corp. | Common | 29363J108 | 551 | 30,000 | SH | | DFND | 2 | 30,000 | 0 | 0 |
Entegra Financial Corp. | Common | 29363J108 | 55 | 3,000 | SH | | DFND | 1 | 0 | 3,000 | 0 |
Entegra Financial Corp. | Common | 29363J108 | 133 | 7,250 | SH | | DFND | 1 | 7,250 | 0 | 0 |
Flamel Technologies S.A. | Common | 338488109 | 1,235 | 99,587 | SH | | DFND | 2 | 99,587 | 0 | 0 |
FNB Corporation | Common | 302520101 | 110 | 8,905 | SH | | DFND | 1 | 0 | 8,905 | 0 |
FutureFuel Corporation | Common | 36116M106 | 618 | 54,804 | SH | | DFND | 2 | 54,804 | 0 | 0 |
General Electric | Common | 369604103 | 36 | 1,200 | SH | | DFND | 1 | 0 | 1,200 | 0 |
General Electric | Common | 369604103 | 103 | 3,480 | SH | | DFND | 1 | 3,480 | 0 | 0 |
Gilead Sciences, Inc. | Common | 375558103 | 409 | 5,170 | SH | | DFND | 2 | 5,170 | 0 | 0 |
GlaxoSmithKline plc | Common | 37733W105 | 975 | 22,600 | SH | | DFND | 2 | 22,600 | 0 | 0 |
Global Medical REIT, Inc | Common | 37954A204 | 752 | 77,000 | SH | | DFND | 2 | 77,000 | 0 | 0 |
Hospitality Properties Trust | Common | 44106M102 | 30 | 1,000 | SH | | DFND | 1 | 0 | 1,000 | 0 |
International Busines Machines Corp | Common | 459200101 | 681 | 4,284 | SH | | DFND | 1 | 0 | 4,284 | 0 |
Iridium Communications, Inc. | Common | 46269C102 | 2,741 | 338,000 | SH | | DFND | 2 | 338,000 | 0 | 0 |
Johnson & Johnson | Common | 478160104 | 260 | 2,200 | SH | | DFND | 1 | 0 | 2,200 | 0 |
Johnson & Johnson | Common | 478160104 | 600 | 5,080 | SH | | DFND | 1 | 5,080 | 0 | 0 |
JP Morgan Chase & Co. | Common | 46625H100 | 586 | 8,800 | SH | | DFND | 1 | 8,800 | 0 | 0 |
JP Morgan Chase & Co. | Common | 46625H100 | 949 | 14,250 | SH | | DFND | 1 | 14,250 | 0 | 0 |
Ligand Pharmaceuticals Incorporated | Common | 53220K504 | 101,678 | 996,257 | SH | | DFND | 2 | 996,257 | 0 | 0 |
Ligand Pharmaceuticals Incorporated | Common | 53220K504 | 188 | 1,843 | SH | | DFND | 1 | 0 | 1,843 | 0 |
Macquarie Infrastruture | Common | 55608B105 | 275 | 3,300 | SH | | DFND | 1 | 3,300 | 0 | 0 |
Medtronics Inc. | Common | G5960L103 | 91 | 1,050 | SH | | DFND | 1 | 0 | 1,050 | 0 |
Merck & Co. Inc. | Common | 58933Y105 | 31 | 500 | SH | | DFND | 1 | 0 | 500 | 0 |
Merck & Co. Inc. | Common | 58933Y105 | 50 | 800 | SH | | DFND | 1 | 800 | 0 | 0 |
Microsoft Corporation | Common | 594918104 | 3,879 | 67,350 | SH | | DFND | 2 | 67,350 | 0 | 0 |
Microsoft Corporation | Common | 594918104 | 58 | 1,000 | SH | | DFND | 1 | 0 | 1,000 | 0 |
Microsoft Corporation | Common | 594918104 | 23 | 400 | SH | | DFND | 1 | 400 | 0 | 0 |
Mondelez Int'l Inc. | Common | 609207105 | 132 | 3,000 | SH | | DFND | 1 | 0 | 3,000 | 0 |
Mondelez Int'l Inc. | Common | 609207105 | 127 | 2,900 | SH | | DFND | 1 | 2,900 | 0 | 0 |
Och-Ziff Capital Management Group | Common | 67551U105 | 9 | 2,000 | SH | | DFND | 1 | 2,000 | 0 | 0 |
Oritani Financial Corp | Common | 68633D103 | 31 | 2,000 | SH | | DFND | 1 | 0 | 2,000 | 0 |
Oritani Financial Corp | Common | 68633D103 | 91 | 5,800 | SH | | DFND | 1 | 5,800 | 0 | 0 |
Peoples United Financial | Common | 712704105 | 24 | 1,500 | SH | | DFND | 1 | 0 | 1,500 | 0 |
Pfizer Inc. | Common | 717081103 | 30,743 | 907,676 | SH | | DFND | 2 | 907,676 | 0 | 0 |
Pfizer Inc. | Common | 717081103 | 881 | 26,000 | SH | | DFND | 1 | 0 | 26,000 | 0 |
Pfizer Inc. | Common | 717081103 | 1,998 | 59,000 | SH | | DFND | 1 | 59,000 | 0 | 0 |
Physicians Realty Trust | Common | 71943U104 | 987 | 45,800 | SH | | DFND | 2 | 45,800 | 0 | 0 |
QLT Inc. | Common | 746927102 | 1,125 | 545,926 | SH | | DFND | 2 | 545,926 | 0 | 0 |
RMR Group Inc. | Common | 74967R106 | 1 | 16 | SH | | DFND | 1 | 0 | 16 | 0 |
Rand Logistics, Inc. | Common | 752182105 | 505 | 664,435 | SH | | DFND | 2 | 664,435 | 0 | 0 |
Ryman Hospitality Pptys Inc. | Common | 78377T107 | 19 | 400 | SH | | DFND | 1 | 400 | 0 | 0 |
Standard Financial Corp. | Common | 853393106 | 456 | 20,000 | SH | | DFND | 2 | 20,000 | 0 | 0 |
Starwood Ppty Inc. | Common | 85571B105 | 9 | 400 | SH | | DFND | 1 | 400 | 0 | 0 |
Sunshine Bancorp, Inc. | Common | 86777J108 | 296 | 20,000 | SH | | DFND | 2 | 20,000 | 0 | 0 |
Sunshine Bancorp, Inc. | Common | 86777J108 | 30 | 2,000 | SH | | DFND | 1 | 0 | 2,000 | 0 |
Sunshine Bancorp, Inc. | Common | 86777J108 | 86 | 5,800 | SH | | DFND | 1 | 5,800 | 0 | 0 |
Synergy Pharmaceuticals, Inc. | Common | 871639308 | 873 | 158,400 | SH | | DFND | 2 | 158,400 | 0 | 0 |
The Kraft Heinz Company | Common | 500754106 | 627 | 7,000 | SH | | DFND | 2 | 7,000 | 0 | 0 |
The Kraft Heinz Company | Common | 500754106 | 167 | 1,865 | SH | | DFND | 1 | 0 | 1,865 | 0 |
The Kraft Heinz Company | Common | 500754106 | 272 | 3,035 | SH | | DFND | 1 | 3,035 | 0 | 0 |
TheStreet Inc. | Common | 88368Q103 | 111 | 100,600 | SH | | DFND | 2 | 100,600 | 0 | 0 |
Total SA Sponsored ADR | Common | 89151E109 | 138 | 2,900 | SH | | DFND | 1 | 0 | 2,900 | 0 |
Total SA Sponsored ADR | Common | 89151E109 | 113 | 2,360 | SH | | DFND | 1 | 2,360 | 0 | 0 |
Verizon Communications Inc. | Common | 92343V104 | 14 | 263 | SH | | DFND | 1 | 0 | 263 | 0 |
Verizon Communications Inc. | Common | 92343V104 | 69 | 1,320 | SH | | DFND | 1 | 1,320 | 0 | 0 |
Wheeler Real Estate Investment Trust, Inc. | Common | 963025606 | 765 | 30,000 | SH | | DFND | 2 | 30,000 | 0 | 0 |