0001056823-21-000012.txt : 20210216
0001056823-21-000012.hdr.sgml : 20210216
20210216165815
ACCESSION NUMBER: 0001056823-21-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210216
DATE AS OF CHANGE: 20210216
EFFECTIVENESS DATE: 20210216
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HORIZON KINETICS ASSET MANAGEMENT LLC
CENTRAL INDEX KEY: 0001056823
IRS NUMBER: 133776334
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06986
FILM NUMBER: 21640348
BUSINESS ADDRESS:
STREET 1: 470 PARK AVENUE SOUTH
STREET 2: 4TH FLOOR SOUTH
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 646-495-7347
MAIL ADDRESS:
STREET 1: 470 PARK AVENUE SOUTH
STREET 2: 4TH FLOOR SOUTH
CITY: NEW YORK
STATE: NY
ZIP: 10016
FORMER COMPANY:
FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT LLC
DATE OF NAME CHANGE: 20130813
FORMER COMPANY:
FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT INC/NY
DATE OF NAME CHANGE: 19990319
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001056823
XXXXXXXX
12-31-2020
12-31-2020
HORIZON KINETICS ASSET MANAGEMENT LLC
470 PARK AVENUE SOUTH
4TH FLOOR SOUTH
NEW YORK
NY
10016
13F HOLDINGS REPORT
028-06986
N
Jay Kesslen
General Counsel
9147036904
Jay Kesslen
New York
NY
02-16-2021
0
347
3002880
false
INFORMATION TABLE
2
form13fhr-infoTable.xml
3M CO
COM
88579Y101
302
1725
SH
DFND
1725
0
0
A T & T INC
COM
00206R102
266
9235
SH
DFND
9235
0
0
ABB LTD
SPONSORED ADR
000375204
995
35587
SH
DFND
35587
0
0
ABBOTT LABS
COM
002824100
1743
15916
SH
DFND
15916
0
0
ABBVIE INC
COM
00287Y109
3239
30233
SH
DFND
30233
0
0
ACCENTURE PLC
SHS CLASS A
G1151C101
234
894
SH
DFND
894
0
0
AGNC INVT CORP
COM
00123Q104
239
15314
SH
DFND
15314
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
571
2454
SH
DFND
2454
0
0
ALICO INC
COM
016230104
703
22655
SH
DFND
22655
0
0
ALKERMES PLC
COM
G01767105
439
22000
SH
DFND
22000
0
0
ALLEGHANY CORP DEL
COM
017175100
9114
15097
SH
DFND
15097
0
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q107
390
3000
SH
DFND
3000
0
0
ALPHABET INC
CL A
02079K305
6310
3601
SH
DFND
3601
0
0
ALPHABET INC
CL C
02079K107
6159
3516
SH
DFND
3516
0
0
ALTRIA GROUP INC
COM
02209S103
1828
44592
SH
DFND
44592
0
0
AMAZON COM INC
COM
023135106
749
230
SH
DFND
230
0
0
AMC NETWORKS INC
CL A
00164V103
6029
168543
SH
DFND
168543
0
0
AMERICAN TOWER REIT
COM
03027X100
297
1325
SH
DFND
1325
0
0
AMGEN INC
COM
031162100
1024
4455
SH
DFND
4455
0
0
ANALOG DEVICES INC
COM
032654105
809
5475
SH
DFND
5475
0
0
ANNALY CAP MGMT INC
COM
035710409
301
35563
SH
DFND
35563
0
0
APPLE INC
COM
037833100
3133
23613
SH
DFND
23613
0
0
APYX MED CORP
COM
03837C106
4428
615000
SH
DFND
615000
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
9325
184980
SH
DFND
184980
0
0
ARENA PHARMACEUTICALS INC
COM NEW
040047607
346
4500
SH
DFND
4500
0
0
ASSOCIATED CAP GROUP INC
CL A
045528106
46813
1332955
SH
DFND
1332955
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
963
19263
SH
DFND
19263
0
0
AUTONATION INC
COM
05329W102
27790
398192
SH
DFND
398192
0
0
BALCHEM CORP
COM
057665200
3106
26959
SH
DFND
26959
0
0
BANCO SANTANDER SA
ADR
05964H105
113
37079
SH
DFND
37079
0
0
BANK AMER CORP
COM
060505104
1033
34076
SH
DFND
34076
0
0
BANK OF MONTREAL QUE
COM
063671101
461
6060
SH
DFND
6060
0
0
BANK OF NEW YORK MELLON CORP
COM
064058100
237
5586
SH
DFND
5586
0
0
BANK OF NOVA SCOTIA HALIFAX
COM
064149107
227
4205
SH
DFND
4205
0
0
BARRICK GOLD CORP
COM
067901108
424
18602
SH
DFND
18602
0
0
BAXTER INTL INC
COM
071813109
687
8558
SH
DFND
8558
0
0
BEL FUSE INC
CL B
077347300
436
28988
SH
DFND
28988
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
3826
11
SH
DFND
11
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
17162
74018
SH
DFND
74018
0
0
BGC PARTNERS INC
CL A
05541T101
8210
2052577
SH
DFND
2052577
0
0
BHP GROUP LTD
SPONSORED ADS
088606108
248
3797
SH
DFND
3797
0
0
BIOGEN INC
COM
09062X103
968
3954
SH
DFND
3954
0
0
BLACK KNIGHT INC
COM
09215C105
1011
11438
SH
DFND
11438
0
0
BLACK STONE MINERALS L P
COM UNIT
09225M101
1407
210600
SH
DFND
210600
0
0
BLACKROCK CREDIT ALL INC TR
COM
092508100
671
45611
SH
DFND
45611
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
718
59300
SH
DFND
59300
0
0
BLACKROCK FLOATING RATE INCOME
COM
091941104
149
12678
SH
DFND
12678
0
0
BLACKROCK MUN 2030 TAR TERM
COM SHS BEN IN
09257P105
566
22050
SH
DFND
22050
0
0
BLACKROCK MUN INC INVESTMENT QUALITY TRUST
COM
09250G102
1137
76195
SH
DFND
76195
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
1109
74575
SH
DFND
74575
0
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
274
18053
SH
DFND
18053
0
0
BLACKROCK MUNIHLDGS INVESTMENT QUALITY FUND
COM
09254P108
574
40758
SH
DFND
40758
0
0
BLACKROCK MUNIHLDGS QUALITY FUND II INC
COM
09254C107
1404
102863
SH
DFND
102863
0
0
BLACKROCK MUNIHLDGS QUALITY FUND INC
COM
09254A101
997
75386
SH
DFND
75386
0
0
BLACKROCK MUNIVEST FD INC
COM
09253R105
427
46440
SH
DFND
46440
0
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
907
62783
SH
DFND
62783
0
0
BLACKROCK MUNIYIELD QUALITY
COM
09254G108
451
32280
SH
DFND
32280
0
0
BLACKROCK NY MUN INC QUALITY TRUST
COM
09249U105
283
20769
SH
DFND
20769
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
565
8725
SH
DFND
8725
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
462
16783
SH
DFND
16783
0
0
BOEING CO
COM
097023105
20267
94679
SH
DFND
94679
0
0
BRISTOL MYERS SQUIBBCO
COM
110122108
2961
47741
SH
DFND
47741
0
0
BROADRIDGE FINL SOLUTIONS INC
COM
11133T103
699
4564
SH
DFND
4564
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
67795
1642723
SH
DFND
1642723
0
0
BROOKFIELD INFRASTRUCTURE CO
COM SB VTG SHS A
11275Q107
370
5123
SH
DFND
5123
0
0
BROOKFIELD INFRASTRUCTURE PARTNERS LP
LP INT UNIT
G16252101
2025
41002
SH
DFND
41002
0
0
BROOKFIELD PPTY PARTNERS L P
UNIT LTD PARTN
G16249107
334
23091
SH
DFND
23091
0
0
BROOKFIELD PROPERTY REIT INC
CL A
11282X103
381
25518
SH
DFND
25518
0
0
BROOKFIELD REAL ASSETS INCOME FUND
SHS BEN INT
112830104
345
19359
SH
DFND
19359
0
0
BROOKFIELD RENEWABLE PARTNER
PARTNERSHIP UNIT
G16258108
209
4837
SH
DFND
4837
0
0
CACI INTL INC
CL A
127190304
95887
384579
SH
DFND
384579
0
0
CAPITAL SOUTHWEST CORP
COM
140501107
305
17200
SH
DFND
17200
0
0
CARNIVAL CORP
UNIT 99/99/9999
143658300
323
14900
SH
DFND
14900
0
0
CATCHMARK TIMBER TR INC
CL A
14912Y202
2560
273462
SH
DFND
273462
0
0
CATERPILLAR INC
COM
149123101
2008
11033
SH
DFND
11033
0
0
CBOE GLOBAL MARKETS INC
COM
12503M108
41165
442060
SH
DFND
442060
0
0
CENTERPOINT ENERGY INC
COM
15189T107
482
22272
SH
DFND
22272
0
0
CHARLES RIV LABS INTL INC
COM
159864107
27914
111718
SH
DFND
111718
0
0
CHENIERE ENERGY INC COM NEW
COM NEW
16411R208
30101
501429
SH
DFND
501429
0
0
CHENIERE ENERGY INC
NOTE 4.250% 3/1
16411RAG4
28816
36883500
PRN
DFND
36883500
0
0
CHEVRON CORP
COM
166764100
1275
15102
SH
DFND
15102
0
0
CISCO SYSTEMS INC
COM
17275R102
1843
41176
SH
DFND
41176
0
0
CIVEO CORP CDA
COM NEW
17878Y207
42021
3023090
SH
DFND
3023090
0
0
CLEARBRIDGE MLP AND MIDSTRM TR
COM
18469Q207
158
10827
SH
DFND
10827
0
0
CME GROUP INC
COM
12572Q105
27836
152900
SH
DFND
152900
0
0
CMS ENERGY CORP
COM
125896100
975
15975
SH
DFND
15975
0
0
CNOOC LTD
SPONSORED ADR
126132109
950
10365
SH
DFND
10365
0
0
COHEN & STEERS INC
COM
19247A100
2470
33244
SH
DFND
33244
0
0
COHEN & STEERS QUALITY RLTY
COM
19247L106
672
54233
SH
DFND
54233
0
0
COLFAX CORP
COM
194014106
4345
113616
SH
DFND
113616
0
0
COLGATE PALMOLIVE CO
COM
194162103
255
2978
SH
DFND
2978
0
0
COMCAST CORP NEW
CL A
20030N101
419
7997
SH
DFND
7997
0
0
CORELOGIC INC COM
COM
21871D103
1349
17446
SH
DFND
17446
0
0
COSTAMARE INC
SHS
Y1771G102
1997
241237
SH
DFND
241237
0
0
COSTCO WHSL CORP NEW
COM
22160K105
208
553
SH
DFND
553
0
0
CRISPR THERAPEUTICS AG
NAMEN AKT
H17182108
938
6125
SH
DFND
6125
0
0
CSW INDUSTRIALS INC
COM
126402106
1253
11200
SH
DFND
11200
0
0
CSX CORP
COM
126408103
222
2444
SH
DFND
2444
0
0
CUBIC CORP
COM
229669106
549
8852
SH
DFND
8852
0
0
CVS HEALTH CORP
COM
126650100
1006
14730
SH
DFND
14730
0
0
DANAHER CORP
COM
235851102
2276
10244
SH
DFND
10244
0
0
DEERE & CO
COM
244199105
581
2161
SH
DFND
2161
0
0
DISCOVERY INC
COM SER A
25470F104
3988
132552
SH
DFND
132552
0
0
DISCOVERY INC
COM SER C
25470F302
1845
70465
SH
DFND
70465
0
0
DISH NETWORK CORP CL A
CL A
25470M109
1561
48265
SH
DFND
48265
0
0
DISNEY WALT CO
COM DISNEY
254687106
1620
8940
SH
DFND
8940
0
0
DORCHESTER MINERALS LP
COM UNIT
25820R105
8656
793417
SH
DFND
793417
0
0
DORMAN PRODUCTS INC
COM
258278100
1774
20436
SH
DFND
20436
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
4127
248935
SH
DFND
248935
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
5221
265715
SH
DFND
265715
0
0
DOW INC
COM
260557103
456
8218
SH
DFND
8218
0
0
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
124
12425
SH
DFND
12425
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
176
14021
SH
DFND
14021
0
0
EATON VANCE MUN BD FD
COM
27827X101
285
20955
SH
DFND
20955
0
0
EATON VANCE NY MUN BD FD
COM
27827Y109
305
24865
SH
DFND
24865
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
255
20001
SH
DFND
20001
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
151
23748
SH
DFND
23748
0
0
ECHOSTAR CORP
CL A
278768106
3294
155445
SH
DFND
155445
0
0
EDITAS MEDICINE INC
COM
28106W103
561
8000
SH
DFND
8000
0
0
ELI LILLY AND COMPANY
COM
532457108
1883
11154
SH
DFND
11154
0
0
EMERSON ELEC CO
COM
291011104
1475
18356
SH
DFND
18356
0
0
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
1492
241406
SH
DFND
241406
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
2561
130751
SH
DFND
130751
0
0
EQUITY COMMONWEALTH
COM SH BEN INT
294628102
1891
69302
SH
DFND
69302
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
14646
231156
SH
DFND
231156
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
1440
10879
SH
DFND
10879
0
0
EXXON MOBIL CORP
COM
30231G102
2342
56814
SH
DFND
56814
0
0
FEDERATED HERMES INC
CL B
314211103
1091
37748
SH
DFND
37748
0
0
FEDERATED HERMES PREM MUN INC FD
COM
31423P108
617
41657
SH
DFND
41657
0
0
FEDEX CORP
COM
31428X106
360
1388
SH
DFND
1388
0
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
1762
45086
SH
DFND
45086
0
0
FIDELITY NATL INFORMATION SVC
COM
31620M106
473
3344
SH
DFND
3344
0
0
FLOWERS FOODS INC
COM
343498101
252
11125
SH
DFND
11125
0
0
FORTIVE CORP COM
COM
34959J108
296
4175
SH
DFND
4175
0
0
FRANCO NEVADA CORP
COM
351858105
96107
766828
SH
DFND
766828
0
0
FREEPORT MCMORAN INC
CL B
35671D857
3822
146899
SH
DFND
146899
0
0
GALLAGHER ARTHUR J & CO
COM
363576109
346
2799
SH
DFND
2799
0
0
GAMCO INVESTORS INC
CL A COM
361438104
5852
329900
SH
DFND
329900
0
0
GANNETT CO INC NEW
COM
36472T109
41
12075
SH
DFND
12075
0
0
GENERAL DYNAMICS CORP
COM
369550108
223
1496
SH
DFND
1496
0
0
GENERAL ELECTRIC CO
COM
369604103
719
66601
SH
DFND
66601
0
0
GENERAL MLS INC
COM
370334104
226
3850
SH
DFND
3850
0
0
GENERAL MTRS CO
COM
37045V100
1253
30082
SH
DFND
30082
0
0
GENUINE PARTS CO
COM
372460105
241
2400
SH
DFND
2400
0
0
GILEAD SCIENCES INC
COM
375558103
642
11017
SH
DFND
11017
0
0
GLADSTONE LD CORP
COM
376549101
524
35796
SH
DFND
35796
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
861
23400
SH
DFND
23400
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
358
1357
SH
DFND
1357
0
0
GRAHAM HLDGS CO COM
COM
384637104
545
1021
SH
DFND
1021
0
0
GREENBRIER COS INC
COM
393657101
262
7200
SH
DFND
7200
0
0
GREENLANE HLDGS INC
CL A
395330103
40
10000
SH
DFND
10000
0
0
HONEYWELL INTL INC
COM
438516106
1409
6623
SH
DFND
6623
0
0
HOWARD HUGHES CORP
COM
44267D107
67802
859010
SH
DFND
859010
0
0
IAA INC
COM
449253103
10813
166408
SH
DFND
166408
0
0
IAC INTERACTIVECORP NEW
COM
44891N109
3310
17479
SH
DFND
17479
0
0
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
33101
653261
SH
DFND
653261
0
0
IHS MARKIT LTD
SHS
G47567105
21092
234803
SH
DFND
234803
0
0
INTEL CORP
COM
458140100
517
10369
SH
DFND
10369
0
0
INTELLIA THERAPEUTICS INC
COM
45826J105
544
10000
SH
DFND
10000
0
0
INTER PARFUMS INC
COM
458334109
11838
195703
SH
DFND
195703
0
0
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
62885
545449
SH
DFND
545449
0
0
INTL FLAVORS & FRAGRANCES
COM
459506101
332
3050
SH
DFND
3050
0
0
INVESCO CURRENCYSHARES AUSTR
AUSTRALIAN DOL
46090N103
814
10595
SH
DFND
10595
0
0
INVESCO CURRENCYSHARES CANADIAN DLR TRUST
CDN DLR SHS
46138T104
599
7745
SH
DFND
7745
0
0
INVESCO INSURED MUNICIPAL INCOME TRUST
COM
46132P108
566
36163
SH
DFND
36163
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
757
58055
SH
DFND
58055
0
0
INVESCO EXCHANGE TRADED FD
S&P500 EQL WGT
46137V357
950
7450
SH
DFND
7450
0
0
INVESCO SR INCOME TR
COM
46131H107
46
11613
SH
DFND
11613
0
0
INVESCO TR INVT GRADE NEW YO
COM
46131T101
136
10414
SH
DFND
10414
0
0
IONIS PHARMACEUTICALS INC
COM
462222100
509
9000
SH
DFND
9000
0
0
IRON MTN INC NEW
COM
46284V101
731
24808
SH
DFND
24808
0
0
ISHARES TR
ISHS 1-5YR INVS
464288646
2979
54000
SH
DFND
54000
0
0
ISHARES GOLD TR
ISHARES
464285105
1447
79828
SH
DFND
79828
0
0
ISHARES TR
PHLX SEMICND ETF
464287523
347
916
SH
DFND
916
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
3987
162272
SH
DFND
162272
0
0
ISHARES TR
SHORT TREAS BD
464288679
10458
94616
SH
DFND
94616
0
0
ISHARES TR
GL TIMB FORE ETF
464288174
2394
30068
SH
DFND
30068
0
0
ISHARES TR
MICRO-CAP ETF
464288869
292
2459
SH
DFND
2459
0
0
JOHNSON & JOHNSON
COM
478160104
3044
19341
SH
DFND
19341
0
0
JP MORGAN CHASE & CO
COM
46625H100
330
2597
SH
DFND
2597
0
0
JP MORGAN EXCHANGE TRADED FD
ULTRA SHRT INC
46641Q837
1140
22440
SH
DFND
22440
0
0
KAR AUCTION SVCS INC
COM
48238T109
2436
130878
SH
DFND
130878
0
0
KAYNE ANDERSON ENERGY INFRSTR
COM
486606106
259
44962
SH
DFND
44962
0
0
KAYNE ANDERSON NEXTGEN ENERGY
COM
48661E108
202
35180
SH
DFND
35180
0
0
KIMBELL RTY PARTNERS LP
UNIT
49435R102
799
101056
SH
DFND
101056
0
0
KIMBERLY CLARK CORP
COM
494368103
253
1878
SH
DFND
1878
0
0
KKR & CO INC
COM
48251W104
205
5058
SH
DFND
5058
0
0
KLA-TENCOR CORP
COM NEW
482480100
1726
6665
SH
DFND
6665
0
0
KRAFT HEINZ COMPANY
COM
500754106
357
10304
SH
DFND
10304
0
0
L3 HARRIS TECHNOLOGIES INC
COM
502431109
1872
9905
SH
DFND
9905
0
0
LAS VEGAS SANDS CORP
COM
517834107
5048
84706
SH
DFND
84706
0
0
LENDINGTREE INC NEW
COM
52603B107
2254
8233
SH
DFND
8233
0
0
LENNAR CORP
CL A
526057104
414
5435
SH
DFND
5435
0
0
LIBERTY MEDIA CORP DEL
COM A BRAVES GRP
531229706
997
40098
SH
DFND
40098
0
0
LIBERTY MEDIA CORP DEL
COM C BRAVES GRP
531229888
1510
60689
SH
DFND
60689
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
9608
60970
SH
DFND
60970
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
46983
296667
SH
DFND
296667
0
0
LIBERTY MEDIA CORP DEL
COM SER A FRMLA
531229870
6607
173906
SH
DFND
173906
0
0
LIBERTY MEDIA CORP DEL
COM SER C FRMLA
531229854
10076
236525
SH
DFND
236525
0
0
LIBERTY LATIN AMERICA LTD
COM CL C
G9001E128
184
16598
SH
DFND
16598
0
0
LIBERTY MEDIA CORP DEL
COM C SIRIUSXM
531229607
42852
984869
SH
DFND
984869
0
0
LIBERTY MEDIA CORP DEL
COM A SIRIUSXM
531229409
19020
440390
SH
DFND
440390
0
0
LINDE PLC
COM
G5494J103
415
1574
SH
DFND
1574
0
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
2591
249643
SH
DFND
249643
0
0
LIVE NATION ENTERTAINMENT INC
COM
538034109
49859
678543
SH
DFND
678543
0
0
LOCKHEED MARTIN CORP
COM
539830109
313
882
SH
DFND
882
0
0
LOEWS CORP
COM
540424108
318
7070
SH
DFND
7070
0
0
MADISON SQUARE GARDEN SPORTS CP
CL A
55825T103
7080
38460
SH
DFND
38460
0
0
MADISON SQUARE GRDN ENTERTNM
CL A
55826T102
3823
36394
SH
DFND
36394
0
0
MANTECH INTL CORP
CL A
564563104
2224
25000
SH
DFND
25000
0
0
MARATHON PETE CORP
COM
56585A102
312
7534
SH
DFND
7534
0
0
MARKEL CORP
COM
570535104
6589
6377
SH
DFND
6377
0
0
MARKETAXESS HLDGS INC
COM
57060D108
2853
5000
SH
DFND
5000
0
0
MASTERCARD INC
CL A
57636Q104
16175
45316
SH
DFND
45316
0
0
MATCH GROUP INC NEW
COM
57667L107
1087
7187
SH
DFND
7187
0
0
MCDONALDS CORP
COM
580135101
901
4200
SH
DFND
4200
0
0
MERCK & COMPANY
COM
58933Y105
3036
37117
SH
DFND
37117
0
0
MESABI TR
CTF BEN INT
590672101
40204
1433301
SH
DFND
1433301
0
0
MFS HIGH INCOME MUN TR
SH BEN INT
59318D104
2494
491878
SH
DFND
491878
0
0
MICROSOFT
COM
594918104
2796
12570
SH
DFND
12570
0
0
MICROSTRATEGY INC
CL A NEW
594972408
4136
10645
SH
DFND
10645
0
0
MONDELEZ INTL INC
CL A
609207105
1324
22640
SH
DFND
22640
0
0
MORGAN STANLEY NEW
COM NEW
617446448
202
2943
SH
DFND
2943
0
0
MOVADO GROUP INC
COM
624580106
498
29972
SH
DFND
29972
0
0
MSG NETWORK INC
CL A
553573106
956
64877
SH
DFND
64877
0
0
NASDAQ INC
COM
631103108
4338
32682
SH
DFND
32682
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
8000
730560
SH
DFND
730560
0
0
NEUBERGER BERMAN MUNI FD INC
COM
64124P101
541
35562
SH
DFND
35562
0
0
NEUBERGER BERMAN NY MUN FD INC
COM
64124K102
364
29549
SH
DFND
29549
0
0
NEWELL BRANDS INC
COM
651229106
280
13191
SH
DFND
13191
0
0
NEWMONT CORP
COM
651639106
1746
29158
SH
DFND
29158
0
0
NEXTERA ENERGY INC
COM
65339F101
348
4516
SH
DFND
4516
0
0
NORFOLK SOUTHN CORP
COM
655844108
1161
4886
SH
DFND
4886
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
2083
22060
SH
DFND
22060
0
0
NOVO-NORDISK A S
ADR
670100205
541
7740
SH
DFND
7740
0
0
NUTRIEN LTD
COM
67077M108
1144
23752
SH
DFND
23752
0
0
NUVEEN AMT-FREE QLTY MUN INCOME
COM
670657105
8132
538518
SH
DFND
538518
0
0
NUVEEN DIV QLTY MUNI FD 3
COM SH BEN INT
67070X101
1051
65221
SH
DFND
65221
0
0
NUVEEN DIVID AMT FREE MUNI CRED INC FD
COM
67071L106
347
20690
SH
DFND
20690
0
0
NUVEEN FLTNG RTE INCM OPP FDCOM
COM SHS
6706EN100
512
59169
SH
DFND
59169
0
0
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
311
21130
SH
DFND
21130
0
0
NUVEEN INTER DURATION MN TMF
COM
670671106
995
71660
SH
DFND
71660
0
0
NUVEEN MUN HIGH INC OPP FD
COM
670682103
186
12869
SH
DFND
12869
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
146
13198
SH
DFND
13198
0
0
NUVEEN NY AMT FREE QLTY MUN INC FD
COM
670656107
1336
98746
SH
DFND
98746
0
0
NUVEEN NY QLTY INCOME FD
COM
67066X107
709
50071
SH
DFND
50071
0
0
NUVEEN PREFERRED & INCOME SECURITIES FD
COM
67072C105
215
22113
SH
DFND
22113
0
0
NUVEEN QUALITY MUNI INC FD
COM
67066V101
2623
170676
SH
DFND
170676
0
0
NUVEEN SELECT MAT MUN FD
SH BEN INT
67061T101
230
21500
SH
DFND
21500
0
0
NUVEEN SR INCOME FD
COM
67067Y104
546
105209
SH
DFND
105209
0
0
NUVEEN TAXABLE MUNICIPAL INC FUND
COM
67074C103
3307
139230
SH
DFND
139230
0
0
NVIDIA CORP
COM
67066G104
389
744
SH
DFND
744
0
0
OCCIDENTAL PETE CORP
COM
674599105
185
10686
SH
DFND
10686
0
0
OSHKOSH CORP
COM
688239201
15156
176094
SH
DFND
176094
0
0
OSISKO GOLD ROYALTIES LTD
COM
68827L101
188
14861
SH
DFND
14861
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
311
12000
SH
DFND
12000
0
0
PATTERSON UTI ENERGY INC
COM
703481101
2181
414562
SH
DFND
414562
0
0
PAYPAL HLDGS INC
COM
70450Y103
19859
84797
SH
DFND
84797
0
0
PCM FUND INC
COM
69323T101
335
31256
SH
DFND
31256
0
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
15017
252855
SH
DFND
252855
0
0
PEPSICO INC
COM
713448108
1792
12084
SH
DFND
12084
0
0
PERMIAN BASIN RTY TR
UNIT BEN INT
714236106
1288
388996
SH
DFND
388996
0
0
PFIZER INC
COM
717081103
2040
55432
SH
DFND
55432
0
0
PHILIP MORRIS INTL INC
COM
718172109
2016
24353
SH
DFND
24353
0
0
PIMCO DYNAMIC CREDIT AND MORTGAGE INCOME FD
COM SHS
72202D106
1032
48675
SH
DFND
48675
0
0
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
3080
116531
SH
DFND
116531
0
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
491
4816
SH
DFND
4816
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
2273
89951
SH
DFND
89951
0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
2085
182219
SH
DFND
182219
0
0
PIMCO INCOME STRATEGY FUND II
COM
72201J104
4342
437253
SH
DFND
437253
0
0
PIMCO MUN INCOME FD II
COM
72200W106
215
15050
SH
DFND
15050
0
0
PIMCO NY MUNICIPAL INCOME FD
COM
72200T103
526
45052
SH
DFND
45052
0
0
PIONEER MUN HIGH INC ADV TR
COM
723762100
154
13260
SH
DFND
13260
0
0
PIONEER MUN HIGH INCOME TR
COM SHS
723763108
362
29085
SH
DFND
29085
0
0
POTLATCHDELTIC CORP NEW
COM
737630103
669
13372
SH
DFND
13372
0
0
PROSHARES TR
SHT VIX ST TRM
74347W130
51412
1240645
SH
DFND
1240645
0
0
QUALCOMM INC
COM
747525103
206
1354
SH
DFND
1354
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
585
4912
SH
DFND
4912
0
0
RAYONIER ADVANCED MATLS INC
COM
75508B104
974
149450
SH
DFND
149450
0
0
RAYONIER INC
COM
754907103
2818
95903
SH
DFND
95903
0
0
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
837
11709
SH
DFND
11709
0
0
RENN FUND INC
COM
759720105
142
82842
SH
DFND
82842
0
0
RESIDEO TECHNOLOGIES INC
COM
76118Y104
1834
86282
SH
DFND
86282
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
344
5636
SH
DFND
5636
0
0
RITCHIE BROS AUCTIONEERS
COM
767744105
3169
45561
SH
DFND
45561
0
0
ROCKWELL AUTOMATION INC
COM
773903109
1266
5048
SH
DFND
5048
0
0
ROYAL CARIBBEAN GROUP
COM
V7780T103
1137
15221
SH
DFND
15221
0
0
ROYAL GOLD INC
COM
780287108
17991
169150
SH
DFND
169150
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
4229
417867
SH
DFND
417867
0
0
S&P GLOBAL INC
COM
78409V104
475
1445
SH
DFND
1445
0
0
SABINE ROYALTY TR
UNIT BEN INT
785688102
279
9875
SH
DFND
9875
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
18351
2559458
SH
DFND
2559458
0
0
SANOFI
SPONSORED ADR
80105N105
826
17000
SH
DFND
17000
0
0
SCIENCE APPLICATNS INTL CP N
COM
808625107
39474
417095
SH
DFND
417095
0
0
SCRIPPS E W CO OHIO
CL A NEW
811054402
734
48000
SH
DFND
48000
0
0
SEALED AIR CORP NEW
COM
81211K100
1602
34985
SH
DFND
34985
0
0
SIMULATIONS PLUS INC
COM
829214105
314
4367
SH
DFND
4367
0
0
SONOCO PRODUCTS
COM
835495102
1306
22050
SH
DFND
22050
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
3105
17410
SH
DFND
17410
0
0
SPDR SER TR
PORTFOLIO SHORT
78464A474
754
24000
SH
DFND
24000
0
0
SPROTT INC
COM NEW
852066208
222
7665
SH
DFND
7665
0
0
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
469
31070
SH
DFND
31070
0
0
SQUARE INC
CL A
852234103
285
1308
SH
DFND
1308
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2205
5898
SH
DFND
5898
0
0
STONECO LTD
COM CL A
G85158106
971
11570
SH
DFND
11570
0
0
STRYKER CORP
COM
863667101
490
2000
SH
DFND
2000
0
0
SUNCOR ENERGY INC NEW
COM
867224107
983
58610
SH
DFND
58610
0
0
TELEFLEX INC
COM
879369106
875
2126
SH
DFND
2126
0
0
TEXAS PACIFIC LAND TRUST
SUB CTF PROP IT
882610108
1167775
1606293
SH
DFND
1606293
0
0
TORONTO DOMINION BK ONT
COM NEW
891160509
1140
20200
SH
DFND
20200
0
0
TRI POINTE HOMES INC
COM
87265H109
3106
180062
SH
DFND
180062
0
0
TRILOGY METALS INC
COM
89621C105
34
16755
SH
DFND
16755
0
0
UNION PACIFIC CORP
COM
907818108
1809
8687
SH
DFND
8687
0
0
UNITED PARCEL SVC INC
CL B
911312106
418
2480
SH
DFND
2480
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
219
625
SH
DFND
625
0
0
VAIL RESORTS INC
COM
91879Q109
352
1262
SH
DFND
1262
0
0
VALMONT INDS INC
COM
920253101
429
2450
SH
DFND
2450
0
0
VANECK VECTORS ETF TR
JR GOLD MINERS E
92189F791
3735
68854
SH
DFND
68854
0
0
VANECK VECTORS ETF TR
OIL SVCS ETF
92189H607
503
3268
SH
DFND
3268
0
0
VANECK VECTORS
GOLD MINERS ETF
92189F106
4593
127525
SH
DFND
127525
0
0
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
2462
14953
SH
DFND
14953
0
0
VANGUARD INDEX FDS
GROWTH ETF
922908736
646
2551
SH
DFND
2551
0
0
VANGUARD INDEX FDS
S&P500 ETF SHS
922908363
2122
6174
SH
DFND
6174
0
0
VANGUARD INDEXFDS
TOTAL STK MKT
922908769
999
5133
SH
DFND
5133
0
0
VANGUARD SCOTTSDALE FD
SHORT TERM TREAS
92206C102
12541
203584
SH
DFND
203584
0
0
VANGUARD SCOTTSDALE FD
SHRT TRM CORP BD
92206C409
1825
21919
SH
DFND
21919
0
0
VERISK ANALYTICS INC
CL A
92345Y106
1453
7000
SH
DFND
7000
0
0
VERIZON COMMUNICATIONS
COM
92343V104
1433
24389
SH
DFND
24389
0
0
VIACOMCBS INC
CL B
92556H206
493
13223
SH
DFND
13223
0
0
VIASAT INC
COM
92552V100
471
14440
SH
DFND
14440
0
0
VIPER ENERGY PARTNERS LP
COM UNT RP INT
92763M105
1007
86651
SH
DFND
86651
0
0
VISA INC
COM CL A
92826C839
6959
31817
SH
DFND
31817
0
0
W P CAREY INC
COM
92936U109
847
12000
SH
DFND
12000
0
0
WALMART INC
COM
931142103
633
4390
SH
DFND
4390
0
0
WELBILT INC
COM
949090104
269
20416
SH
DFND
20416
0
0
WENDYS COMPANY
COM
95058W100
47855
2183150
SH
DFND
2183150
0
0
WEYERHAEUSER CO
COM NEW
962166104
2244
66911
SH
DFND
66911
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
105758
2533743
SH
DFND
2533743
0
0
WHITE MOUNTAINS INSURANCE GROUP LTD
COM
G9618E107
1034
1033
SH
DFND
1033
0
0
WILLIAMS COS INC
COM
969457100
3189
159047
SH
DFND
159047
0
0
WSTRN ASSET INFLATION LINKED OPPORT INC FD
COM
95766R104
340
27425
SH
DFND
27425
0
0
WYNN RESORTS LTD
COM
983134107
427
3782
SH
DFND
3782
0
0
BARCLAYS BANK PLC
IPTH SR B S&P
06746P621
8708
217700
SH
Call
DFND
217700
0
0
PROSHARES TR II
ULTRA VIX SHORT
74347W148
1698
56600
SH
Call
DFND
56600
0
0
PROSHARES TR II
VIX SH TRM FUTRS
74347W171
795
26500
SH
Call
DFND
26500
0
0
UNITED STS NAT GAS FD LP
UNIT PAR
912318300
1247
75700
SH
Call
DFND
75700
0
0
UNITED STS OIL FD LP
UNITS
91232N207
2073
55200
SH
Call
DFND
55200
0
0