0001615774-17-006565.txt : 20171113
0001615774-17-006565.hdr.sgml : 20171113
20171113170235
ACCESSION NUMBER: 0001615774-17-006565
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171113
DATE AS OF CHANGE: 20171113
EFFECTIVENESS DATE: 20171113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 270223495
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17148
FILM NUMBER: 171196885
BUSINESS ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
FORMER COMPANY:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001464790
XXXXXXXX
09-30-2017
09-30-2017
false
B. Riley Financial, Inc.
21255 Burbank Blvd.
Suite 400
Woodland Hills
CA
91367
13F COMBINATION REPORT
028-17148
0001079373
028-03991
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX
N
Michael Markunas
Chief Compliance Officer
310-689-2220
/s/ Michael Markunas
Los Angeles
CA
11-13-2017
1
391
366415
1
0001658704
028-17147
B. RILEY CAPITAL MANAGEMENT, LLC
INFORMATION TABLE
2
infotable.xml
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COM
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COM CL A
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COM
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COM
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COM
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COM
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COM CL A
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COM
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COM
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COM
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COM
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COM
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DFND
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COM
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19
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SH
DFND
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SH
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COM
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COM
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4854
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
111
2553
SH
DFND
1
0
2553
0
VANGUARD MALVERN FDS
STRM INFPROIDX
922020805
2323
46975
SH
DFND
1
0
46975
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
358
6784
SH
DFND
1
0
6784
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
62
1169
SH
DFND
0
0
1169
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
2399
55062
SH
DFND
1
0
55062
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
161
3704
SH
DFND
0
0
3704
VANGUARD INTL EQUITY INDEX F
FTSE PACIFIC ETF
922042866
632
9264
SH
DFND
1
0
9264
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
541
9273
SH
DFND
1
0
9273
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
56
967
SH
DFND
0
0
967
VANGUARD INDEX FDS
MCAP VL IDXVIP
922908512
268
2533
SH
DFND
0
0
2533
VANGUARD INDEX FDS
REIT ETF
922908553
294
3539
SH
DFND
0
0
3539
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
511
3349
SH
DFND
0
0
3349
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
49
318
SH
DFND
1
0
318
0
VANGUARD INDEX FDS
SM CP VAL ETF
922908611
455
3564
SH
DFND
0
0
3564
VANGUARD INDEX FDS
MID CAP ETF
922908629
3526
23986
SH
DFND
1
0
23986
0
VANGUARD INDEX FDS
MID CAP ETF
922908629
18
121
SH
DFND
0
0
121
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
9008
78057
SH
DFND
1
0
78057
0
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
222
1920
SH
DFND
0
0
1920
VANGUARD INDEX FDS
GROWTH ETF
922908736
5465
41168
SH
DFND
0
0
41168
VANGUARD INDEX FDS
GROWTH ETF
922908736
342
2578
SH
DFND
1
0
2578
0
VANGUARD INDEX FDS
VALUE ETF
922908744
2531
25360
SH
DFND
0
0
25360
VANGUARD INDEX FDS
VALUE ETF
922908744
127
1276
SH
DFND
1
0
1276
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
237
1680
SH
DFND
0
0
1680
VANGUARD INDEX FDS
SMALL CP ETF
922908751
62
439
SH
DFND
1
0
439
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
2033
15700
SH
DFND
1
0
15700
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
210
1625
SH
DFND
0
0
1625
NUVEEN HIGH INCOME DECMBR 20
COM
67076E107
651
64373
SH
DFND
0
0
64373
FIRST TR EXCHANGE TRADED FD
DJ INTERNT IDX
33733E302
382
3733
SH
DFND
0
0
3733
ALPS ETF TR
ALERIAN MLP
00162Q866
437
38990
SH
DFND
0
0
38990
ALPS ETF TR
ALERIAN MLP
00162Q866
296
26420
SH
DFND
1
0
26420
0
AT&T INC
COM
00206R102
422
10770
SH
DFND
0
0
10770
AT&T INC
COM
00206R102
80
2042
SH
DFND
1
0
2042
0
ABBVIE INC
COM
00287Y109
344
3873
SH
DFND
0
0
3873
ABBVIE INC
COM
00287Y109
129
1453
SH
DFND
1
0
1453
0
AEHR TEST SYSTEMS
COM
00760J108
303
74126
SH
DFND
1
0
74126
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
251
1455
SH
DFND
0
0
1455
ALPHABET INC
CAP STK CL C
02079K107
225
235
SH
DFND
0
0
235
ALPHABET INC
CAP STK CL C
02079K107
168
175
SH
DFND
1
0
175
0
ALPHABET INC
CAP STK CL A
02079K305
222
228
SH
DFND
0
0
228
ALPHABET INC
CAP STK CL A
02079K305
35
36
SH
DFND
1
0
36
0
ALTRIA GROUP INC
COM
02209S103
384
6054
SH
DFND
0
0
6054
ALTRIA GROUP INC
COM
02209S103
48
750
SH
DFND
1
0
750
0
APOLLO INVT CORP
COM
03761U106
295
48206
SH
DFND
1
0
48206
0
ARES CAP CORP
COM
04010L103
1258
76733
SH
DFND
1
0
76733
0
ARES CAP CORP
COM
04010L103
28
1715
SH
DFND
0
0
1715
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
229
13989
SH
DFND
1
0
13989
0
BBX CAP CORP NEW
CL A
05491N104
6102
827983
SH
DFND
1
0
827983
0
BBX CAP CORP NEW
CL A
05491N104
677
91861
SH
DFND
0
91861
0
BGC PARTNERS INC
CL A
05541T101
153
10600
SH
DFND
0
0
10600
BABCOCK & WILCOX ENTERPRIS I
COM
05614L100
450
135000
SH
DFND
0
135000
0
BARCLAYS BK PLC
IPSP CROIL ETN
06738C786
96
17850
SH
DFND
0
0
17850
BERRY GLOBAL GROUP INC
COM
08579W103
850
15000
SH
Put
DFND
1
0
15000
0
BLACKSTONE GSO FLTING RTE FU
COM
09256U105
176
10000
SH
DFND
1
0
10000
0
BOULEVARD ACQUISITION
CL A
10157Q102
2770
277048
SH
DFND
1
0
277048
0
BROOKLINE BANCORP INC DEL
COM
11373M107
439
28306
SH
DFND
1
0
28306
0
CISCO SYS INC
COM
17275R102
367
10922
SH
DFND
0
0
10922
CISCO SYS INC
COM
17275R102
79
2340
SH
DFND
1
0
2340
0
CLIPPER RLTY INC
COM
18885T306
2460
229722
SH
DFND
0
229722
0
COHEN & STEERS LTD DUR PFD I
COM
19248C105
750
28006
SH
DFND
1
0
28006
0
COMSTOCK RES INC
NOTE 7.750% 4/0
205768AM6
31
39359
PRN
DFND
0
39359
0
COMSTOCK RES INC
NOTE 9.500% 6/1
205768AN4
10
13109
PRN
DFND
0
13109
0
COSTCO WHSL CORP NEW
COM
22160K105
223
1355
SH
DFND
1
0
1355
0
COSTCO WHSL CORP NEW
COM
22160K105
140
851
SH
DFND
0
0
851
DXC TECHNOLOGY CO
COM
23355L106
408
4751
SH
DFND
1
0
4751
0
DXC TECHNOLOGY CO
COM
23355L106
28
321
SH
DFND
0
0
321
DIGITAL TURBINE INC
COM NEW
25400W102
1723
1140753
SH
DFND
1
0
1140753
0
DIGITAL TURBINE INC
COM NEW
25400W102
446
295618
SH
DFND
0
295618
0
ECO STIM ENERGY SOLUTIONS IN
COM
27888D101
143
93075
SH
DFND
1
0
93075
0
EMERGE ENERGY SVCS LP
COM REP PARTN
29102H108
190
23000
SH
DFND
0
0
23000
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
219
12590
SH
DFND
1
0
12590
0
ENERGY TRANSFER PARTNERS LP
UNIT LTD PRT INT
29278N103
94
5114
SH
DFND
1
0
5114
0
ENERGY TRANSFER PARTNERS LP
UNIT LTD PRT INT
29278N103
91
4950
SH
DFND
0
0
4950
EVERSPIN TECHNOLOGIES INC
COM
30041T104
696
40720
SH
DFND
1
0
40720
0
EXXON MOBIL CORP
COM
30231G102
353
4310
SH
DFND
0
0
4310
EXXON MOBIL CORP
COM
30231G102
76
932
SH
DFND
1
0
932
0
FACEBOOK INC
CL A
30303M102
877
5135
SH
DFND
0
0
5135
FACEBOOK INC
CL A
30303M102
606
3544
SH
DFND
1
0
3544
0
FINJAN HLDGS INC
COM NEW
31788H303
3098
1318112
SH
DFND
1
0
1318112
0
FINJAN HLDGS INC
COM NEW
31788H303
1751
745239
SH
DFND
0
745239
0
FINTECH ACQUISITION CORP II
COM
31810G109
980
100000
SH
DFND
1
0
100000
0
FINTECH ACQUISITION CORP II
*W EXP 01/19/202
31810G117
62
50000
SH
DFND
1
0
50000
0
FIRST TR VALUE LINE DIVID IN
SHS
33734H106
557
18731
SH
DFND
0
0
18731
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
290
4304
SH
DFND
0
0
4304
FIRST TR EXCHANGE TRADED FD
TECH ALPHADEX
33734X176
915
19084
SH
DFND
0
0
19084
FIRST TR EXCH TRD ALPHA FD I
EMERG MKT ALPH
33737J182
762
27856
SH
DFND
0
0
27856
FIRST TR SR FLOATING RATE 20
COM SHS
33740K101
207
21339
SH
DFND
0
0
21339
GCP APPLIED TECHNOLOGIES INC
COM
36164Y101
908
29585
SH
DFND
0
29585
0
GSV CAP CORP
COM
36191J101
37
6759
SH
DFND
0
0
6759
GSV CAP CORP
COM
36191J101
25
4600
SH
DFND
1
0
4600
0
GASTAR EXPL INC NEW
COM
36729W202
26
30000
SH
DFND
0
0
30000
GLOBAL MED REIT INC
COM NEW
37954A204
229
25549
SH
DFND
0
0
25549
GOLDMAN SACHS MLP INC OPP FD
COM SHS
38147W103
740
79344
SH
DFND
1
0
79344
0
HP INC
COM
40434L105
2676
134048
SH
DFND
1
0
134048
0
HEALTH INS INNOVATIONS INC
COM CL A
42225K106
5873
405000
SH
DFND
1
0
405000
0
HEWLETT PACKARD ENTERPRISE C
COM
42824C109
814
55312
SH
DFND
1
0
55312
0
HEWLETT PACKARD ENTERPRISE C
COM
42824C109
4
253
SH
DFND
0
0
253
HORNBECK OFFSHORE SVCS INC N
NOTE 1.500% 9/0
440543AN6
195
250000
PRN
DFND
0
250000
0
INSEEGO CORP
NOTE 5.500% 6/1
45782BAA2
657
820000
PRN
DFND
0
820000
0
INVUITY INC
COM NEW
46187J205
2662
299096
SH
DFND
1
0
299096
0
ISHARES TR
FLTG RATE BD ETF
46429B655
3147
61772
SH
DFND
1
0
61772
0
ISHARES TR
MIN VOL EAFE ETF
46429B689
705
9918
SH
DFND
1
0
9918
0
ISHARES TR
MIN VOL USA ETF
46429B697
1071
21269
SH
DFND
1
0
21269
0
ISHARES TR
CORE MSCI EAFE
46432F842
659
10275
SH
DFND
1
0
10275
0
ISHARES INC
CORE MSCI EMKT
46434G103
265
4909
SH
DFND
0
0
4909
ITERIS INC
COM
46564T107
1371
203486
SH
DFND
1
0
203486
0
J JILL INC
COM
46620W102
109
10000
SH
DFND
1
0
10000
0
JPMORGAN CHASE & CO
COM
46625H100
195
2037
SH
DFND
0
0
2037
JPMORGAN CHASE & CO
COM
46625H100
30
312
SH
DFND
1
0
312
0
KBL MERGER CORP IV
UNIT 01/15/2024
48242A203
408
40000
SH
DFND
1
0
40000
0
KAYNE ANDERSON ACQUISITION
COM CL A
48661U102
2047
209998
SH
DFND
1
0
209998
0
KAYNE ANDERSON ACQUISITION
*W EXP 06/30/202
48661U110
50
66666
SH
DFND
1
0
66666
0
KRATOS DEFENSE & SEC SOLUTIONS
COM NEW
50077B207
1237
94544
SH
DFND
1
0
94544
0
LADENBURG THALMAN FIN SVCS I
COM
50575Q102
233
81050
SH
DFND
1
0
81050
0
LONESTAR RES US INC
CL A VTG
54240F103
3135
893275
SH
DFND
1
0
893275
0
LUMENTUM HLDGS INC
COM
55024U109
1287
23349
SH
DFND
1
0
23349
0
MCBC HLDGS INC
COM
55276F107
4872
239071
SH
DFND
1
0
239071
0
MCBC HLDGS INC
COM
55276F107
510
25000
SH
DFND
0
25000
0
M I ACQUISITIONS INC
COM
55304A104
217
21500
SH
DFND
1
0
21500
0
MANPOWERGROUP INC
COM
56418H100
441
3740
SH
DFND
0
0
3740
MATLIN & PARTNERS ACQUISITIO
CL A
57682V106
971
100000
SH
DFND
1
0
100000
0
MATLIN & PARTNERS ACQUISITIO
*W EXP 03/15/202
57682V114
35
100000
SH
DFND
1
0
100000
0
MERCK & CO INC
COM
58933Y105
253
3959
SH
DFND
0
0
3959
MERCK & CO INC
COM
58933Y105
55
852
SH
DFND
1
0
852
0
MONEYGRAM INTL INC
COM NEW
60935Y208
403
25000
SH
Put
DFND
1
0
25000
0
MONSANTO CO NEW
COM
61166W101
846
7062
SH
DFND
0
5000
2062
NATURAL RESOURCE PARTNERS L
COM UNIT LTD PAR
63900P608
990
40000
SH
Call
DFND
1
0
40000
0
NETFLIX INC
COM
64110L106
437
2410
SH
DFND
0
0
2410
NETSCOUT SYS INC
COM
64115T104
1244
38196
SH
DFND
1
0
38196
0
NETLIST INC
COM
64118P109
420
571907
SH
DFND
1
0
571907
0
NUMEREX CORP PA
CL A
67053A102
152
40000
SH
DFND
0
40000
0
NVIDIA CORP
COM
67066G104
1031
5766
SH
DFND
0
0
5766
NUVEEN BUILD AMER BD FD
COM
67074C103
533
24823
SH
DFND
1
0
24823
0
NUVEEN HIGH INCOME 2020 TARG
COM
67075L102
690
68268
SH
DFND
0
0
68268
NUVEEN CR OPPORTUNITIES 2022
COM
67075U102
763
77425
SH
DFND
0
0
77425
NUVEEN HIGH INCOME NOVEMBER COM
COM
67077N106
1290
128116
SH
DFND
0
0
128116
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
238
1107
SH
DFND
0
0
1107
OCLARO INC
COM NEW
67555N206
172
19940
SH
DFND
1
0
19940
0
OPKO HEALTH INC
COM
68375N103
73
10700
SH
DFND
0
0
10700
PAYPAL HLDGS INC
COM
70450Y103
228
3555
SH
DFND
0
0
3555
PENNANTPARK FLOATING RATE CA
COM
70806A106
2635
181985
SH
DFND
1
0
181985
0
PHYSICIANS RLTY TR
COM
71943U104
313
17638
SH
DFND
0
0
17638
PIMCO ETF TR
LOW DURTN AC ETF
72201R718
2204
21803
SH
DFND
1
0
21803
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
7875
77361
SH
DFND
1
0
77361
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
1423
13983
SH
DFND
0
0
13983
PIMCO ETF TR
SHTRM MUN BD ACT
72201R874
200
3972
SH
DFND
1
0
3972
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
669
60000
SH
DFND
1
0
60000
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
1160
7978
SH
DFND
1
0
7978
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
87
596
SH
DFND
0
0
596
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
35083
241200
SH
Put
DFND
1
0
241200
0
POWERSHARES DB CMDTY IDX TRA
UNIT BEN INT
73935S105
187
12125
SH
DFND
0
0
12125
POWERSHARES ETF TRUST
HI YLD EQ DVDN
73935X302
1638
95486
SH
DFND
0
0
95486
POWERSHARES ETF TRUST
GOLDEN DRG CHINA
73935X401
269
6225
SH
DFND
0
0
6225
POWERSHARES ETF TRUST
DYN BIOT & GEN
73935X856
305
6102
SH
DFND
1
0
6102
0
POWERSHARES ETF TRUST II
CEF INC COMPST
73936Q843
212
8830
SH
DFND
1
0
8830
0
POWERSHARES ETF TR II
PFD PORTFOLIO
73936T565
758
50425
SH
DFND
1
0
50425
0
PRIMO WTR CORP
COM
74165N105
1234
105920
SH
DFND
1
0
105920
0
PROSHARES TR
PSHS LC COR PLUS
74347R248
382
6101
SH
DFND
0
0
6101
PROSHARES TR
S&P 500 DV ARIST
74348A467
217
3642
SH
DFND
0
0
3642
RUBICON PROJ INC
COM
78112V102
288
74000
SH
DFND
1
0
74000
0
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
2570
26903
SH
DFND
0
0
26903
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1804
7180
SH
DFND
1
0
7180
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1063
4229
SH
DFND
0
0
4229
SPDR INDEX SHS FDS
GLB NAT RESRCE
78463X541
918
19968
SH
DFND
1
0
19968
0
SPDR INDEX SHS FDS
S&P EMKTSC ETF
78463X756
723
14598
SH
DFND
0
0
14598
SPDR INDEX SHS FDS
MSCI ACWI EXUS
78463X848
669
17676
SH
DFND
0
0
17676
SPDR SERIES TRUST
BLMBRG BRC CNVRT
78464A359
362
7091
SH
DFND
0
0
7091
SPDR SERIES TRUST
BLOOMBERG BRCLYS
78464A417
309
8278
SH
DFND
0
0
8278
SPDR SERIES TRUST
BLOOMBERG BRCLYS
78464A417
2
64
SH
DFND
1
0
64
0
SPDR SERIES TRUST
DJ REIT ETF
78464A607
361
3906
SH
DFND
0
0
3906
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
5461
24400
SH
DFND
0
0
24400
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
580
2592
SH
DFND
1
0
2592
0
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
1075
3293
SH
DFND
0
0
3293
SPDR SER TR
NUVEEN BRC MUNIC
78468R721
208
4250
SH
DFND
0
0
4250
SANOFI
RIGHT 12/31/2020
80105N113
42
115566
SH
DFND
0
115566
0
SANOFI
RIGHT 12/31/2020
80105N113
0
17
SH
DFND
1
0
17
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
274
3351
SH
DFND
0
0
3351
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
134
1635
SH
DFND
1
0
1635
0
SELECT SECTOR SPDR TR
SBI CONS DISCR
81369Y407
310
3440
SH
DFND
1
0
3440
0
SELECT SECTOR SPDR TR
SBI CONS DISCR
81369Y407
107
1193
SH
DFND
0
0
1193
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
725
28040
SH
DFND
0
0
28040
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
5
184
SH
DFND
1
0
184
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
345
5842
SH
DFND
0
0
5842
SELECT ENERGY SVCS INC
CL A COM
81617J301
1512
95000
SH
DFND
1
0
95000
0
SELECT ENERGY SVCS INC
CL A COM
81617J301
521
32747
SH
DFND
0
32747
0
SENSUS HEATLHCARE INC
COM
81728J109
111
22300
SH
DFND
1
0
22300
0
SENSUS HEATLHCARE INC
*W EXP 06/08/201
81728J117
134
231256
SH
DFND
1
0
231256
0
SHOPIFY INC
CL A
82509L107
483
4150
SH
DFND
0
0
4150
SKYWORKS SOLUTIONS INC
COM
83088M102
1243
12272
SH
DFND
1
0
12272
0
SOLAR CAP LTD
COM
83413U100
201
9290
SH
DFND
1
0
9290
0
SOLAR SR CAP LTD
COM
83416M105
4720
273933
SH
DFND
1
0
273933
0
SOUTHCROSS ENERGY PARTNERS L
COM UNIT LTDPT
84130C100
114
48370
SH
DFND
0
0
48370
TEMPUR SEALY INTL INC
COM
88023U101
5484
85000
SH
DFND
1
0
85000
0
TIVO CORP
COM
88870P106
1167
59861
SH
DFND
1
0
59861
0
TORTOISE MLP FD INC
COM
89148B101
873
48185
SH
DFND
1
0
48185
0
TRUECAR INC
COM
89785L107
1169
77351
SH
DFND
1
0
77351
0
USANA HEALTH SCIENCES INC
COM
90328M107
2005
34747
SH
DFND
1
0
34747
0
USANA HEALTH SCIENCES INC
COM
90328M107
2885
50000
SH
Put
DFND
1
0
50000
0
URBAN EDGE PPTYS
COM
91704F104
348
14422
SH
DFND
1
0
14422
0
VANECK VECTORS ETF TR
BIOTECH ETF
92189F726
217
1619
SH
DFND
1
0
1619
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
3557
44393
SH
DFND
1
0
44393
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1045
13037
SH
DFND
0
0
13037
VANGUARD SCOTTSDALE FDS
LG-TERM COR BD
92206C813
790
8391
SH
DFND
1
0
8391
0
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
2764
31404
SH
DFND
1
0
31404
0
VENTAS INC
COM
92276F100
217
3339
SH
DFND
0
3300
39
VERIZON COMMUNICATIONS INC
COM
92343V104
260
5248
SH
DFND
0
0
5248
VERIZON COMMUNICATIONS INC
COM
92343V104
92
1855
SH
DFND
1
0
1855
0
VERSO CORP
CL A
92531L207
218
42791
SH
DFND
1
0
42791
0
VIASAT INC
COM
92552V100
1352
21104
SH
DFND
1
0
21104
0
VONAGE HLDGS CORP
COM
92886T201
624
76700
SH
DFND
1
0
76700
0
WILDHORSE RESOURCE DEV CORP
COM
96812T102
437
32801
SH
DFND
1
0
32801
0
WISDOMTREE TR
GLB US QTLY DIV
97717W844
690
12222
SH
DFND
1
0
12222
0
ATLANTIC ALLIANCE PARTNER CO
SHS
G04897107
1301
122381
SH
DFND
1
0
122381
0
AVISTA HEALTHCARE PUB ACQ CO
CL A
G0726L125
1000
100000
SH
DFND
1
0
100000
0
EATON CORP PLC
SHS
G29183103
250
3261
SH
DFND
0
0
3261
FERROGLOBE PLC
SHS
G33856108
4732
359600
SH
DFND
1
0
359600
0
GTY TECHNOLOGY HOLDINGS INC
CL A
G4182A102
2496
250099
SH
DFND
1
0
250099
0
GTY TECHNOLOGY HOLDINGS INC
*W EXP 99/99/999
G4182A128
68
58333
SH
DFND
1
0
58333
0
HERBALIFE LTD
COM USD SHS
G4412G101
814
12000
SH
Put
DFND
1
0
12000
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
2587
144275
SH
DFND
1
0
144275
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
13
700
SH
DFND
0
0
700
DHT HOLDINGS INC
SHS NEW
Y2065G121
490
123121
SH
DFND
1
0
123121
0
GLOBAL SHIP LEASE INC NEW
SHS A
Y27183105
757
481914
SH
DFND
1
0
481914
0
GLOBAL SHIP LEASE INC NEW
SHS A
Y27183105
10
6200
SH
DFND
0
6200
0