GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER

0001062993-17-001047.txt : 20170221 0001062993-17-001047.hdr.sgml : 20170220 20170217174711 ACCESSION NUMBER: 0001062993-17-001047 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170221 DATE AS OF CHANGE: 20170217 EFFECTIVENESS DATE: 20170221 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Freestone Capital Holdings, LLC CENTRAL INDEX KEY: 0001470876 IRS NUMBER: 261341800 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13894 FILM NUMBER: 17622623 BUSINESS ADDRESS: STREET 1: 701 5TH AVENUE STREET 2: 74TH FLOOR CITY: SEATTLE STATE: WA ZIP: 98104 BUSINESS PHONE: 206-398-1100 MAIL ADDRESS: STREET 1: 701 5TH AVENUE STREET 2: 74TH FLOOR CITY: SEATTLE STATE: WA ZIP: 98104 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001470876 XXXXXXXX 12-31-2016 12-31-2016 true 2 RESTATEMENT Freestone Capital Holdings, LLC

701 5TH AVENUE 74TH FLOOR SEATTLE WA 98104

13F HOLDINGS REPORT 028-13894 N SCOTT AKINS GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 206-707-7300 /s/ Scott Akins SEATTLE WA 02-17-2017 1 347 1164320 false 1 0001128159 028-05975 FREESTONE CAPITAL MANAGEMENT LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ALPS ETF TR ALERIAN MLP 00162Q866 3532 280312 SH DFND 1 0 280312 0 AMC NETWORKS INC CL A 00164V103 530 10129 SH DFND 1 0 10129 0 AT&T INC COM 00206R102 1145 26924 SH DFND 1 0 26924 0 AT&T INC COM 00206R102 170 4000 SH Put DFND 1 0 4000 0 ABBOTT LABS COM 002824100 971 25278 SH DFND 1 0 25278 0 ABBVIE INC COM 00287Y109 3781 60374 SH DFND 1 0 60374 0 AECOM COM 00766T100 1045 28754 SH DFND 1 0 28754 0 ADVANCED ENERGY INDS COM 007973100 743 13554 SH DFND 1 0 13554 0 AETNA INC NEW COM 00817Y108 690 5563 SH DFND 1 0 5563 0 ALPHABET INC CAP STK CL C 02079K107 240 311 SH DFND 1 0 311 0 ALPHABET INC CAP STK CL A 02079K305 1094 1380 SH DFND 1 0 1380 0 ALTRIA GROUP INC COM 02209S103 2741 40531 SH DFND 1 0 40531 0 AMAZON COM INC COM 023135106 483 644 SH DFND 1 0 644 0 AMERCO COM 023586100 18306 49532 SH DFND 1 0 49532 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 2157 171613 SH DFND 1 0 171613 0 AMERICAN CAP SR FLOATING LTD COM 02504D108 1921 161483 SH DFND 1 0 161483 0 AMERICAN EXPRESS CO COM 025816109 1661 22427 SH DFND 1 0 22427 0 AMERICAN INTL GROUP INC COM NEW 026874784 1117 17100 SH DFND 1 0 17100 0 AMERISOURCEBERGEN CORP COM 03073E105 7371 94265 SH DFND 1 0 94265 0 AMERIGAS PARTNERS L P UNIT L P INT 030975106 1220 25470 SH DFND 1 0 25470 0 AMGEN INC COM 031162100 4452 30443 SH DFND 1 0 30443 0 ANALOG DEVICES INC COM 032654105 3204 44114 SH DFND 1 0 44114 0 ANGIES LIST INC COM 034754101 123 15000 SH DFND 1 0 15000 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 3952 37479 SH DFND 1 0 37479 0 ANNALY CAP MGMT INC COM 035710409 249 25000 SH DFND 1 0 25000 0 ANTERO RES CORP COM 03674X106 373 15773 SH DFND 1 0 15773 0 APPLE INC COM 037833100 22087 190705 SH DFND 1 0 190705 0 ARGAN INC COM 04010E109 1184 16784 SH DFND 1 0 16784 0 ARES CAP CORP COM 04010L103 9600 582150 SH DFND 1 0 582150 0 ARMSTRONG WORLD INDS INC NEW COM 04247X102 618 14774 SH DFND 1 0 14774 0 AUTOLIV INC COM 052800109 2286 20205 SH DFND 1 0 20205 0 AVON PRODS INC COM 054303102 507 100672 SH DFND 1 0 100672 0 BT GROUP PLC ADR 05577E101 1629 70754 SH DFND 1 0 70754 0 BAKER HUGHES INC COM 057224107 1168 17978 SH DFND 1 0 17978 0 BANK AMER CORP COM 060505104 2011 90975 SH DFND 1 0 90975 0 BAXTER INTL INC COM 071813109 126 2844 SH DFND 1 0 2844 0 BAXTER INTL INC COM 071813109 89 2000 SH Call DFND 1 0 2000 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 230 1413 SH DFND 1 0 1413 0 BEST BUY INC COM 086516101 3239 75905 SH DFND 1 0 75905 0 BHP BILLITON LTD SPONSORED ADR 088606108 570 15943 SH DFND 1 0 15943 0 BIOGEN INC COM 09062X103 659 2322 SH DFND 1 0 2322 0 BLACK STONE MINERALS L P COM UNIT 09225M101 1258 67000 SH DFND 1 0 67000 0 BLOCK H & R INC COM 093671105 19434 845311 SH DFND 1 0 845311 0 BOEING CO COM 097023105 1721 11057 SH DFND 1 0 11057 0 BOEING CO COM 097023105 156 1000 SH Put DFND 1 0 1000 0 BORGWARNER INC COM 099724106 498 12624 SH DFND 1 0 12624 0 BRASKEM S A SP ADR PFD A 105532105 4685 220889 SH DFND 1 0 220889 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 1082 9606 SH DFND 1 0 9606 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 22940 1836671 SH DFND 1 0 1836671 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 4152 62761 SH DFND 1 0 62761 0 BUCKLE INC COM 118440106 506 22189 SH DFND 1 0 22189 0 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 2737 37354 SH DFND 1 0 37354 0 CIGNA CORPORATION COM 125509109 2401 18000 SH DFND 1 0 18000 0 CNX COAL RES LP COM UNIT RP LP 12592V100 1277 69947 SH DFND 1 0 69947 0 CA INC COM 12673P105 21426 674428 SH DFND 1 0 674428 0 CABELAS INC COM 126804301 299 5112 SH DFND 1 0 5112 0 CANADIAN NATL RY CO COM 136375102 345 5115 SH DFND 1 0 5115 0 CAPITAL ONE FINL CORP COM 14040H105 980 11236 SH DFND 1 0 11236 0 CARMAX INC COM 143130102 1268 19696 SH DFND 1 0 19696 0 CATERPILLAR INC DEL COM 149123101 1187 12800 SH DFND 1 0 12800 0 CHEVRON CORP NEW COM 166764100 4258 36177 SH DFND 1 0 36177 0 CHICAGO BRIDGE & IRON CO N V COM 167250109 516 16263 SH DFND 1 0 16263 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 4941 94237 SH DFND 1 0 94237 0 CISCO SYS INC COM 17275R102 23328 771924 SH DFND 1 0 771924 0 CITIGROUP INC COM NEW 172967424 2432 40927 SH DFND 1 0 40927 0 CITY OFFICE REIT INC COM 178587101 132 10000 SH DFND 1 0 10000 0 CIVEO CORP CDA COM 17878Y108 1956 888967 SH DFND 1 0 888967 0 CLEARBRIDGE AMERN ENERG MLP COM 184691103 1915 208654 SH DFND 1 0 208654 0 CLEARBRIDGE ENERGY MLP TR FD COM 18469Q108 1238 96840 SH DFND 1 0 96840 0 CLOROX CO DEL COM 189054109 2316 19294 SH DFND 1 0 19294 0 COACH INC COM 189754104 2783 79473 SH DFND 1 0 79473 0 COHEN & STEERS MLP INC & ENR COM SHS 19249B106 1678 154067 SH DFND 1 0 154067 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 1863 50689 SH DFND 1 0 50689 0 COLONY CAP INC CL A 19624R106 3544 174999 SH DFND 1 0 174999 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 226 13630 SH DFND 1 0 13630 0 CONOCOPHILLIPS COM 20825C104 328 6547 SH DFND 1 0 6547 0 COPART INC COM 217204106 1007 18171 SH DFND 1 0 18171 0 COSTCO WHSL CORP NEW COM 22160K105 2687 16783 SH DFND 1 0 16783 0 COSTCO WHSL CORP NEW COM 22160K105 320 2000 SH Put DFND 1 0 2000 0 CRANE CO COM 224399105 22811 316288 SH DFND 1 0 316288 0 CUMMINS INC COM 231021106 275 2012 SH DFND 1 0 2012 0 DST SYS INC DEL COM 233326107 706 6592 SH DFND 1 0 6592 0 DECKERS OUTDOOR CORP COM 243537107 675 12191 SH DFND 1 0 12191 0 DEERE & CO COM 244199105 1236 12000 SH DFND 1 0 12000 0 DENBURY RES INC COM NEW 247916208 512 139173 SH DFND 1 0 139173 0 DELUXE CORP COM 248019101 20925 292209 SH DFND 1 0 292209 0 DEVON ENERGY CORP NEW COM 25179M103 465 10173 SH DFND 1 0 10173 0 DOLLAR TREE INC COM 256746108 1006 13028 SH DFND 1 0 13028 0 DOW CHEM CO COM 260543103 400 6984 SH DFND 1 0 6984 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 2627 28969 SH DFND 1 0 28969 0 DU PONT E I DE NEMOURS & CO COM 263534109 718 9786 SH DFND 1 0 9786 0 DUN & BRADSTREET CORP DEL NE COM 26483E100 920 7582 SH DFND 1 0 7582 0 EAGLE PT CR CO LLC COM 269808101 5618 336217 SH DFND 1 0 336217 0 EATON VANCE CORP COM NON VTG 278265103 753 17980 SH DFND 1 0 17980 0 EATON VANCE TX MGD DIV EQ IN COM 27828N102 104 10000 SH DFND 1 0 10000 0 EBAY INC COM 278642103 19317 650606 SH DFND 1 0 650606 0 EDGEWELL PERS CARE CO COM 28035Q102 991 13577 SH DFND 1 0 13577 0 EMERSON ELEC CO COM 291011104 280 5030 SH DFND 1 0 5030 0 EMERGENT CAP INC COM 29102N105 500 413668 SH DFND 1 0 413668 0 ENERGIZER HLDGS INC NEW COM 29272W109 840 18834 SH DFND 1 0 18834 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 3178 88762 SH DFND 1 0 88762 0 ENTERPRISE PRODS PARTNERS L COM 293792107 4432 163904 SH DFND 1 0 163904 0 ERICSSON ADR B SEK 10 294821608 3525 604697 SH DFND 1 0 604697 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 539 7835 SH DFND 1 0 7835 0 EXXON MOBIL CORP COM 30231G102 860 9533 SH DFND 1 0 9533 0 EXXON MOBIL CORP COM 30231G102 90 1000 SH Put DFND 1 0 1000 0 FEDERATED INVS INC PA CL B 314211103 212 7494 SH DFND 1 0 7494 0 FEDEX CORP COM 31428X106 1399 7512 SH DFND 1 0 7512 0 F5 NETWORKS INC COM 315616102 1593 11010 SH DFND 1 0 11010 0 FIRST INDUSTRIAL REALTY TRUS COM 32054K103 735 26221 SH DFND 1 0 26221 0 FISERV INC COM 337738108 292 2746 SH DFND 1 0 2746 0 FORD MTR CO DEL COM PAR $0.01 345370860 1759 145045 SH DFND 1 0 145045 0 FREEPORT-MCMORAN INC CL B 35671D857 634 48030 SH DFND 1 0 48030 0 GAMESTOP CORP NEW CL A 36467W109 439 17403 SH DFND 1 0 17403 0 GAP INC DEL COM 364760108 2898 129137 SH DFND 1 0 129137 0 GENERAL DYNAMICS CORP COM 369550108 20326 117722 SH DFND 1 0 117722 0 GENERAL ELECTRIC CO COM 369604103 571 18081 SH DFND 1 0 18081 0 GENERAL MLS INC COM 370334104 236 3828 SH DFND 1 0 3828 0 GENERAL MTRS CO COM 37045V100 3078 88339 SH DFND 1 0 88339 0 GILEAD SCIENCES INC COM 375558103 13657 190711 SH DFND 1 0 190711 0 GILEAD SCIENCES INC COM 375558103 72 1000 SH Put DFND 1 0 1000 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 2683 69681 SH DFND 1 0 69681 0 GOLDCORP INC NEW COM 380956409 377 27716 SH DFND 1 0 27716 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 1932 101309 SH DFND 1 0 101309 0 GRAHAM HLDGS CO COM 384637104 581 1134 SH DFND 1 0 1134 0 GRUPO AEROPORTUARIO DEL SURE SPON ADR SER B 40051E202 2672 18567 SH DFND 1 0 18567 0 HP INC COM 40434L105 24106 1624428 SH DFND 1 0 1624428 0 HALLIBURTON CO COM 406216101 530 9800 SH DFND 1 0 9800 0 HASBRO INC COM 418056107 862 11083 SH DFND 1 0 11083 0 HESS CORP COM 42809H107 469 7530 SH DFND 1 0 7530 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1461 63127 SH DFND 1 0 63127 0 HONEYWELL INTL INC COM 438516106 1489 12852 SH DFND 1 0 12852 0 INFOSYS LTD SPONSORED ADR 456788108 2855 192543 SH DFND 1 0 192543 0 INTEL CORP COM 458140100 4084 112603 SH DFND 1 0 112603 0 INTEL CORP COM 458140100 181 5000 SH Call DFND 1 0 5000 0 INTERCONTINENTAL HOTELS GROU SPON ADR NW 2016 45857P608 5178 116817 SH DFND 1 0 116817 0 INTERDIGITAL INC COM 45867G101 28494 311929 SH DFND 1 0 311929 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2956 17807 SH DFND 1 0 17807 0 INTERPUBLIC GROUP COS INC COM 460690100 21948 937520 SH DFND 1 0 937520 0 INTERSIL CORP CL A 46069S109 261 11723 SH DFND 1 0 11723 0 ISHARES TR MSCI EMG MKT ETF 464287234 2827 80761 SH DFND 1 0 80761 0 ISHARES TR MSCI EAFE ETF 464287465 4223 73155 SH DFND 1 0 73155 0 ISHARES TR CORE S&P MCP ETF 464287507 8758 52972 SH DFND 1 0 52972 0 ISHARES TR RUS 1000 VAL ETF 464287598 739 6597 SH DFND 1 0 6597 0 ISHARES TR RUS 1000 GRW ETF 464287614 356 3391 SH DFND 1 0 3391 0 ISHARES TR RUS 1000 ETF 464287622 422 3390 SH DFND 1 0 3390 0 ISHARES TR RUS 2000 VAL ETF 464287630 228 1914 SH DFND 1 0 1914 0 ISHARES TR RUSSELL 2000 ETF 464287655 10485 77751 SH DFND 1 0 77751 0 ISHARES TR INTL TREA BD ETF 464288117 1797 20000 SH DFND 1 0 20000 0 ISHARES TR MSCI ACWI ETF 464288257 692 11696 SH DFND 1 0 11696 0 JPMORGAN CHASE & CO COM 46625H100 2451 28410 SH DFND 1 0 28410 0 JPMORGAN CHASE & CO COM 46625H100 406 4700 SH Call DFND 1 0 4700 0 JOHNSON & JOHNSON COM 478160104 4982 43244 SH DFND 1 0 43244 0 JOHNSON & JOHNSON COM 478160104 115 1000 SH Call DFND 1 0 1000 0 KLA-TENCOR CORP COM 482480100 2910 36979 SH DFND 1 0 36979 0 KKR & CO L P DEL COM UNITS 48248M102 213 13850 SH DFND 1 0 13850 0 L BRANDS INC COM 501797104 1955 29689 SH DFND 1 0 29689 0 LEJU HLDGS LTD SPONSORED ADS 50187J108 1812 377487 SH DFND 1 0 377487 0 LENDINGCLUB CORP COM 52603A109 65 12300 SH DFND 1 0 12300 0 LILLY ELI & CO COM 532457108 1750 23792 SH DFND 1 0 23792 0 LINCOLN NATL CORP IND COM 534187109 2418 36493 SH DFND 1 0 36493 0 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 6917 281859 SH DFND 1 0 281859 0 M & T BK CORP COM 55261F104 727 4646 SH DFND 1 0 4646 0 MBIA INC COM 55262C100 852 79662 SH DFND 1 0 79662 0 MPLX LP COM UNIT REP LTD 55336V100 4652 134364 SH DFND 1 0 134364 0 MSC INDL DIRECT INC CL A 553530106 2263 24493 SH DFND 1 0 24493 0 MSG NETWORK INC CL A 553573106 19978 929220 SH DFND 1 0 929220 0 MV OIL TR TR UNITS 553859109 242 38804 SH DFND 1 0 38804 0 MACYS INC COM 55616P104 228 6370 SH DFND 1 0 6370 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 4616 61038 SH DFND 1 0 61038 0 MAGNA INTL INC COM 559222401 3449 79463 SH DFND 1 0 79463 0 MANPOWERGROUP INC COM 56418H100 587 6607 SH DFND 1 0 6607 0 MARATHON OIL CORP COM 565849106 242 14000 SH DFND 1 0 14000 0 MARATHON PETE CORP COM 56585A102 506 10050 SH DFND 1 0 10050 0 MARCUS & MILLICHAP INC COM 566324109 550 20582 SH DFND 1 0 20582 0 MARINE HARVEST ASA SPONSORED ADR 56824R205 2536 139883 SH DFND 1 0 139883 0 MARTIN MARIETTA MATLS INC COM 573284106 1584 7151 SH DFND 1 0 7151 0 MATTEL INC COM 577081102 778 28241 SH DFND 1 0 28241 0 MERCK & CO INC COM 58933Y105 494 8384 SH DFND 1 0 8384 0 MESABI TR CTF BEN INT 590672101 3600 336393 SH DFND 1 0 336393 0 METLIFE INC COM 59156R108 1076 19969 SH DFND 1 0 19969 0 MICROSOFT CORP COM 594918104 6703 107867 SH DFND 1 0 107867 0 MICROSOFT CORP COM 594918104 186 3000 SH Put DFND 1 0 3000 0 MICROSTRATEGY INC CL A NEW 594972408 671 3402 SH DFND 1 0 3402 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 6055 664654 SH DFND 1 0 664654 0 MONROE CAP CORP COM 610335101 210 13630 SH DFND 1 0 13630 0 NATIONAL CINEMEDIA INC COM 635309107 512 34754 SH DFND 1 0 34754 0 NEWMARKET CORP COM 651587107 1613 3805 SH DFND 1 0 3805 0 NIKE INC CL B 654106103 24576 483502 SH DFND 1 0 483502 0 NORDSTROM INC COM 655664100 908 18945 SH DFND 1 0 18945 0 NORFOLK SOUTHERN CORP COM 655844108 1375 12725 SH DFND 1 0 12725 0 NORTH AMERN ENERGY PARTNERS COM 656844107 106 27500 SH DFND 1 0 27500 0 NOVARTIS A G SPONSORED ADR 66987V109 741 10175 SH DFND 1 0 10175 0 NOVO-NORDISK A S ADR 670100205 2923 81508 SH DFND 1 0 81508 0 OFS CAP CORP COM 67103B100 2424 176146 SH DFND 1 0 176146 0 OLD DOMINION FGHT LINES INC COM 679580100 1550 18065 SH DFND 1 0 18065 0 OMNICOM GROUP INC COM 681919106 21925 257615 SH DFND 1 0 257615 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 5182 120477 SH DFND 1 0 120477 0 ORACLE CORP COM 68389X105 18790 488700 SH DFND 1 0 488700 0 ORBITAL ATK INC COM 68557N103 1113 12687 SH DFND 1 0 12687 0 ORGANOVO HLDGS INC COM 68620A104 41 12000 SH DFND 1 0 12000 0 OWENS RLTY MTG INC COM 690828108 14682 792712 SH DFND 1 0 792712 0 PNC FINL SVCS GROUP INC COM 693475105 751 6420 SH DFND 1 0 6420 0 PACCAR INC COM 693718108 374 5860 SH DFND 1 0 5860 0 PACIFIC COAST OIL TR UNIT BEN INT 694103102 879 821896 SH DFND 1 0 821896 0 PACIFIC CONTINENTAL CORP COM 69412V108 503 23000 SH DFND 1 0 23000 0 PARKER HANNIFIN CORP COM 701094104 872 6231 SH DFND 1 0 6231 0 PAYCHEX INC COM 704326107 2940 48286 SH DFND 1 0 48286 0 PENNANTPARK FLOATING RATE CA COM 70806A106 4208 298234 SH DFND 1 0 298234 0 P T TELEKOMUNIKASI INDONESIA SPONSORED ADR 715684106 5829 199912 SH DFND 1 0 199912 0 PFIZER INC COM 717081103 3030 93290 SH DFND 1 0 93290 0 PHILIP MORRIS INTL INC COM 718172109 2634 28787 SH DFND 1 0 28787 0 PHILLIPS 66 COM 718546104 551 6374 SH DFND 1 0 6374 0 PHILLIPS 66 COM 718546104 259 3000 SH Call DFND 1 0 3000 0 PITNEY BOWES INC COM 724479100 467 30748 SH DFND 1 0 30748 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 5333 165165 SH DFND 1 0 165165 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 274 2310 SH DFND 1 0 2310 0 PRICESMART INC COM 741511109 727 8703 SH DFND 1 0 8703 0 PROCTER AND GAMBLE CO COM 742718109 1371 16311 SH DFND 1 0 16311 0 PRUDENTIAL PLC ADR 74435K204 437 10983 SH DFND 1 0 10983 0 QUALCOMM INC COM 747525103 22546 345789 SH DFND 1 0 345789 0 RALPH LAUREN CORP CL A 751212101 813 8998 SH DFND 1 0 8998 0 RANDOLPH BANCORP INC COM 752378109 403 25000 SH DFND 1 0 25000 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 1069 13435 SH DFND 1 0 13435 0 RELX PLC SPONSORED ADR 759530108 401 22304 SH DFND 1 0 22304 0 REYNOLDS AMERICAN INC COM 761713106 2899 51737 SH DFND 1 0 51737 0 RIVERVIEW BANCORP INC COM 769397100 147 20999 SH DFND 1 0 20999 0 ROBERT HALF INTL INC COM 770323103 754 15448 SH DFND 1 0 15448 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1064 19574 SH DFND 1 0 19574 0 RUBICON TECHNOLOGY INC COM 78112T107 7 12000 SH DFND 1 0 12000 0 RYANAIR HLDGS PLC SPONSORED ADR NE 783513203 415 4982 SH DFND 1 0 4982 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 46952 210048 SH DFND 1 0 210048 0 SPDR GOLD TRUST GOLD SHS 78463V107 556 5070 SH DFND 1 0 5070 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 595 22500 SH DFND 1 0 22500 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 10332 328115 SH DFND 1 0 328115 0 SPDR SERIES TRUST BLOMBERG INTL TR 78464A516 2079 80000 SH DFND 1 0 80000 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 3265 10821 SH DFND 1 0 10821 0 ST JUDE MED INC COM 790849103 992 12366 SH DFND 1 0 12366 0 SANOFI SPONSORED ADR 80105N105 2683 66336 SH DFND 1 0 66336 0 SAP SE SPON ADR 803054204 3657 42313 SH DFND 1 0 42313 0 SELECT COMFORT CORP COM 81616X103 1043 46131 SH DFND 1 0 46131 0 SELECT INCOME REIT COM SH BEN INT 81618T100 2811 111534 SH DFND 1 0 111534 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 2975 148312 SH DFND 1 0 148312 0 SHIRE PLC SPONSORED ADR 82481R106 370 2173 SH DFND 1 0 2173 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 2939 69174 SH DFND 1 0 69174 0 SINOPEC SHANGHAI PETROCHEMIC SPON ADR H 82935M109 2834 52357 SH DFND 1 0 52357 0 SOLAR CAP LTD COM 83413U100 605 29036 SH DFND 1 0 29036 0 SOLAR SR CAP LTD COM 83416M105 1162 70711 SH DFND 1 0 70711 0 SONY CORP ADR NEW 835699307 335 11948 SH DFND 1 0 11948 0 SPANISH BROADCASTING SYS INC CL A NEW 846425833 54 17367 SH DFND 1 0 17367 0 SPECTRA ENERGY PARTNERS LP COM 84756N109 4314 94100 SH DFND 1 0 94100 0 SPECTRUM BRANDS HLDGS INC COM 84763R101 1047 8562 SH DFND 1 0 8562 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 321 34151 SH DFND 1 0 34151 0 STAPLES INC COM 855030102 2740 302770 SH DFND 1 0 302770 0 STARBUCKS CORP COM 855244109 2295 41339 SH DFND 1 0 41339 0 STARWOOD PPTY TR INC COM 85571B105 1114 50752 SH DFND 1 0 50752 0 STATE STR CORP COM 857477103 671 8638 SH DFND 1 0 8638 0 STATOIL ASA SPONSORED ADR 85771P102 390 21380 SH DFND 1 0 21380 0 STELLUS CAP INVT CORP COM 858568108 3407 282447 SH DFND 1 0 282447 0 STURM RUGER & CO INC COM 864159108 734 13928 SH DFND 1 0 13928 0 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 1129 37570 SH DFND 1 0 37570 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 649 84915 SH DFND 1 0 84915 0 SUNCOR ENERGY INC NEW COM 867224107 449 13736 SH DFND 1 0 13736 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 3686 153472 SH DFND 1 0 153472 0 SYNTEL INC COM 87162H103 9951 502853 SH DFND 1 0 502853 0 TC PIPELINES LP UT COM LTD PRT 87233Q108 4721 80233 SH DFND 1 0 80233 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 3583 124614 SH DFND 1 0 124614 0 TARGET CORP COM 87612E106 1583 21919 SH DFND 1 0 21919 0 TARGA RES CORP COM 87612G101 7400 131986 SH DFND 1 0 131986 0 TATA MTRS LTD SPONSORED ADR 876568502 1715 49862 SH DFND 1 0 49862 0 TEGNA INC COM 87901J105 7045 329358 SH DFND 1 0 329358 0 TELECOM ARGENTINA S A SPON ADR REP B 879273209 2783 153176 SH DFND 1 0 153176 0 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 2792 208640 SH DFND 1 0 208640 0 TEMPUR SEALY INTL INC COM 88023U101 1061 15543 SH DFND 1 0 15543 0 TERRA NITROGEN CO L P COM UNIT 881005201 985 9598 SH DFND 1 0 9598 0 TESORO LOGISTICS LP COM UNIT LP 88160T107 279 5495 SH DFND 1 0 5495 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1552 42827 SH DFND 1 0 42827 0 TESSERA HLDG CORP COM 88166T101 25067 567158 SH DFND 1 0 567158 0 TEXAS INSTRS INC COM 882508104 5047 69163 SH DFND 1 0 69163 0 3M CO COM 88579Y101 694 3884 SH DFND 1 0 3884 0 TIDEWATER INC COM 886423102 170 49749 SH DFND 1 0 49749 0 TIME INC NEW COM 887228104 707 39581 SH DFND 1 0 39581 0 TORTOISE PIPELINE & ENERGY F COM 89148H108 1616 74957 SH DFND 1 0 74957 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 2875 24532 SH DFND 1 0 24532 0 TRAVELERS COMPANIES INC COM 89417E109 1149 9388 SH DFND 1 0 9388 0 TRINITY INDS INC COM 896522109 664 23914 SH DFND 1 0 23914 0 UBS AG LONDON BRH ETRAC 2X LEV LNG 90267B765 2357 119641 SH DFND 1 0 119641 0 US BANCORP DEL COM NEW 902973304 1370 26670 SH DFND 1 0 26670 0 USANA HEALTH SCIENCES INC COM 90328M107 579 9461 SH DFND 1 0 9461 0 U S G CORP COM NEW 903293405 1286 44536 SH DFND 1 0 44536 0 UNILEVER PLC SPON ADR NEW 904767704 2709 66559 SH DFND 1 0 66559 0 UNILEVER N V N Y SHS NEW 904784709 2458 59874 SH DFND 1 0 59874 0 UNITED RENTALS INC COM 911363109 582 5512 SH DFND 1 0 5512 0 UNITED TECHNOLOGIES CORP COM 913017109 609 5555 SH DFND 1 0 5555 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 1255 8746 SH DFND 1 0 8746 0 UNITEDHEALTH GROUP INC COM 91324P102 315 1967 SH DFND 1 0 1967 0 UNITEDHEALTH GROUP INC COM 91324P102 320 2000 SH Put DFND 1 0 2000 0 V F CORP COM 918204108 206 3854 SH DFND 1 0 3854 0 VALSPAR CORP COM 920355104 24639 237810 SH DFND 1 0 237810 0 VANECK MERK GOLD TRUST GOLD TRUST 921078101 1014 89065 SH DFND 1 0 89065 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 254 12148 SH DFND 1 0 12148 0 VANECK VECTORS ETF TR BDC INCOME ETF 92189F411 871 48400 SH DFND 1 0 48400 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 24712 676301 SH DFND 1 0 676301 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 3467 56837 SH DFND 1 0 56837 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2839 64264 SH DFND 1 0 64264 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 14762 412565 SH DFND 1 0 412565 0 VECTOR GROUP LTD COM 92240M108 622 27361 SH DFND 1 0 27361 0 VEDANTA LTD SPONSORED ADR 92242Y100 310 24952 SH DFND 1 0 24952 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 444 2161 SH DFND 1 0 2161 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 751 6513 SH DFND 1 0 6513 0 VERIZON COMMUNICATIONS INC COM 92343V104 3507 65691 SH DFND 1 0 65691 0 VIACOM INC NEW CL B 92553P201 12123 345394 SH DFND 1 0 345394 0 VISA INC COM CL A 92826C839 466 5968 SH DFND 1 0 5968 0 VISA INC COM CL A 92826C839 234 3000 SH Put DFND 1 0 3000 0 VISTA OUTDOOR INC COM 928377100 577 15646 SH DFND 1 0 15646 0 WPP PLC NEW ADR 92937A102 5267 47593 SH DFND 1 0 47593 0 WCF BANCORP INC COM 92940L103 250 25000 SH DFND 1 0 25000 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 99 1200 SH DFND 1 0 1200 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 187 2400 SH Put DFND 1 0 2400 0 WELLS FARGO & CO NEW COM 949746101 3039 55145 SH DFND 1 0 55145 0 WESTERN DIGITAL CORP COM 958102105 3863 56854 SH DFND 1 0 56854 0 WESTERN GAS PARTNERS LP COM UNIT LP IN 958254104 6360 108234 SH DFND 1 0 108234 0 WESTERN UN CO COM 959802109 23511 1082483 SH DFND 1 0 1082483 0 WEYERHAEUSER CO COM 962166104 689 22914 SH DFND 1 0 22914 0 WHOLE FOODS MKT INC COM 966837106 231 7500 SH DFND 1 0 7500 0 WHOLE FOODS MKT INC COM 966837106 246 8000 SH Put DFND 1 0 8000 0 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR 96949L105 5583 146811 SH DFND 1 0 146811 0 WIPRO LTD SPON ADR 1 SH 97651M109 1710 176636 SH DFND 1 0 176636 0 WYNDHAM WORLDWIDE CORP COM 98310W108 2511 32875 SH DFND 1 0 32875 0 XILINX INC COM 983919101 3264 54068 SH DFND 1 0 54068 0 YY INC ADS REPCOM CLA 98426T106 1497 37978 SH DFND 1 0 37978 0 ZEDGE INC CL B 98923T104 63 20100 SH DFND 1 0 20100 0 ZIMMER BIOMET HLDGS INC COM 98956P102 1056 10236 SH DFND 1 0 10236 0 AIRCASTLE LTD COM G0129K104 579 27772 SH DFND 1 0 27772 0 AON PLC SHS CL A G0408V102 575 5155 SH DFND 1 0 5155 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 909 7760 SH DFND 1 0 7760 0 ENSCO PLC SHS CLASS A G3157S106 215 22076 SH DFND 1 0 22076 0 MICHAEL KORS HLDGS LTD SHS G60754101 948 22055 SH DFND 1 0 22055 0 NOMAD HLDGS LTD USD ORD SHS G6564A105 592 61845 SH DFND 1 0 61845 0 SIGNET JEWELERS LIMITED SHS G81276100 861 9137 SH DFND 1 0 9137 0 WHITE MTNS INS GROUP LTD COM G9618E107 1333 1594 SH DFND 1 0 1594 0 CHUBB LIMITED COM H1467J104 903 6834 SH DFND 1 0 6834 0 GARMIN LTD SHS H2906T109 2927 60373 SH DFND 1 0 60373 0 TE CONNECTIVITY LTD REG SHS H84989104 1081 15607 SH DFND 1 0 15607 0 TARO PHARMACEUTICAL INDS LTD SHS M8737E108 8937 84900 SH DFND 1 0 84900 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 3902 427858 SH DFND 1 0 427858 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 2724 31752 SH DFND 1 0 31752 0