0001475597-18-000022.txt : 20181115
0001475597-18-000022.hdr.sgml : 20181115
20181115154719
ACCESSION NUMBER: 0001475597-18-000022
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181115
DATE AS OF CHANGE: 20181115
EFFECTIVENESS DATE: 20181115
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HRT FINANCIAL LLC
CENTRAL INDEX KEY: 0001475597
IRS NUMBER: 800491142
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16455
FILM NUMBER: 181187205
BUSINESS ADDRESS:
STREET 1: 4 WORLD TRADE CENTER, 150 GREENWICH STRE
STREET 2: 57TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10007
BUSINESS PHONE: 212 293-1444
MAIL ADDRESS:
STREET 1: 4 WORLD TRADE CENTER, 150 GREENWICH STRE
STREET 2: 57TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10007
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001475597
XXXXXXXX
09-30-2018
09-30-2018
HRT FINANCIAL LLC
4 WORLD TRADE CENTER, 150 GREENWICH STRE
57TH FLOOR
NEW YORK
NY
10007
13F HOLDINGS REPORT
028-16455
N
Adam Nunes
President and CEO
212-293-1927
Adam Nunes
New York
NY
11-15-2018
0
393
641590
false
INFORMATION TABLE
2
form13fInfoTable.20180928.xml
AK STL HLDG CORP
COM
001547108
146
29938
SH
DFND
29938
0
0
ASGN INC
COM
00191U102
390
4942
SH
DFND
4942
0
0
AT&T INC
COM
00206R102
7063
210351
SH
DFND
210351
0
0
ABBOTT LABS
COM
002824100
248
3386
SH
DFND
3386
0
0
ABBVIE INC
COM
00287Y109
324
3430
SH
DFND
3430
0
0
ACACIA RESH CORP
ACACIA TCH COM
003881307
45
14247
SH
DFND
14247
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
2198
26425
SH
DFND
26425
0
0
ACUITY BRANDS INC
COM
00508Y102
639
4068
SH
DFND
4068
0
0
ADOBE SYS INC
COM
00724F101
514
1906
SH
DFND
1906
0
0
ADVAXIS INC
COM NEW
007624208
14
15164
SH
DFND
15164
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
390
12628
SH
DFND
12628
0
0
AFFILIATED MANAGERS GROUP
COM
008252108
248
1815
SH
DFND
1815
0
0
ALAMOS GOLD INC NEW
COM CL A
011532108
78
17085
SH
DFND
17085
0
0
ALASKA AIR GROUP INC
COM
011659109
207
3014
SH
DFND
3014
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
613
3721
SH
DFND
3721
0
0
ALPHABET INC
CAP STK CL C
02079K107
2095
1756
SH
DFND
1756
0
0
ALPHABET INC
CAP STK CL A
02079K305
9988
8275
SH
DFND
8275
0
0
ALTRIA GROUP INC
COM
02209S103
564
9358
SH
DFND
9358
0
0
AMAZON COM INC
COM
023135106
23611
11788
SH
DFND
11788
0
0
AMBEV SA
SPONSORED ADR
02319V103
395
86490
SH
DFND
86490
0
0
AMGEN INC
COM
031162100
1235
5959
SH
DFND
5959
0
0
ANGLOGOLD ASHANTI LTD
SPONSORED ADR
035128206
285
33292
SH
DFND
33292
0
0
APERGY CORP
COM
03755L104
503
11557
SH
DFND
11557
0
0
APPLE INC
COM
037833100
23088
102281
SH
DFND
102281
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
266
5299
SH
DFND
5299
0
0
ARENA PHARMACEUTICALS INC
COM NEW
040047607
405
8801
SH
DFND
8801
0
0
ARROW INVTS TR
RESV CAP ETF
042765719
360
3599
SH
DFND
3599
0
0
ASCENA RETAIL GROUP INC
COM
04351G101
56
12457
SH
DFND
12457
0
0
ASPEN TECHNOLOGY INC
COM
045327103
340
2985
SH
DFND
2985
0
0
AVERY DENNISON CORP
COM
053611109
894
8252
SH
DFND
8252
0
0
AXOGEN INC
COM
05463X106
467
12674
SH
DFND
12674
0
0
BB&T CORP
COM
054937107
1488
30661
SH
DFND
30661
0
0
BAIDU INC
SPON ADR REP A
056752108
2585
11308
SH
DFND
11308
0
0
BALLARD PWR SYS INC NEW
COM
058586108
132
30714
SH
DFND
30714
0
0
BANCO BRADESCO S A
SP ADR PFD NEW
059460303
183
25959
SH
DFND
25959
0
0
BANCO BILBAO VIZCAYA ARGENTA
SPONSORED ADR
05946K101
178
28278
SH
DFND
28278
0
0
BANK AMER CORP
COM
060505104
3173
107719
SH
DFND
107719
0
0
BANK NEW YORK MELLON CORP
COM
064058100
2220
43549
SH
DFND
43549
0
0
BANK OZK
COM
06417N103
364
9608
SH
DFND
9608
0
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06746L422
12007
450242
SH
DFND
450242
0
0
BAUSCH HEALTH COS INC
COM
071734107
535
20845
SH
DFND
20845
0
0
BIOPHARMX CORP
COM
09072X101
4
24740
SH
DFND
24740
0
0
BLACKROCK INC
COM
09247X101
228
484
SH
DFND
484
0
0
BOEING CO
COM
097023105
9158
24627
SH
DFND
24627
0
0
BOOKING HLDGS INC
COM
09857L108
6705
3380
SH
DFND
3380
0
0
BROWN FORMAN CORP
CL B
115637209
1125
22260
SH
DFND
22260
0
0
BRUNSWICK CORP
COM
117043109
274
4096
SH
DFND
4096
0
0
B2GOLD CORP
COM
11777Q209
142
61811
SH
DFND
61811
0
0
BURLINGTON STORES INC
COM
122017106
337
2071
SH
DFND
2071
0
0
CBS CORP NEW
CL B
124857202
930
16189
SH
DFND
16189
0
0
CDK GLOBAL INC
COM
12508E101
241
3868
SH
DFND
3868
0
0
CME GROUP INC
COM CL A
12572Q105
265
1559
SH
DFND
1559
0
0
CSX CORP
COM
126408103
1311
17713
SH
DFND
17713
0
0
CANOPY GROWTH CORP
COM
138035100
1119
23010
SH
DFND
23010
0
0
CELLDEX THERAPEUTICS INC NEW
COM
15117B103
8
18393
SH
DFND
18393
0
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
8498
26080
SH
DFND
26080
0
0
CHEMED CORP NEW
COM
16359R103
332
1040
SH
DFND
1040
0
0
CHENIERE ENERGY PARTNERS LP
COM UNIT
16411Q101
253
6435
SH
DFND
6435
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
374
83436
SH
DFND
83436
0
0
CHIMERA INVT CORP
COM NEW
16934Q208
189
10465
SH
DFND
10465
0
0
CHIPOTLE MEXICAN GRILL INC
COM
169656105
2244
4938
SH
DFND
4938
0
0
CHURCHILL DOWNS INC
COM
171484108
369
1332
SH
DFND
1332
0
0
CISCO SYS INC
COM
17275R102
720
14809
SH
DFND
14809
0
0
CITIGROUP INC
COM NEW
172967424
3927
54751
SH
DFND
54751
0
0
CITIGROUP GLOBAL MKTS HLDGS
VELOCITYSHARE 3X
17325E291
4679
105325
SH
DFND
105325
0
0
CITIGROUP GLOBAL MKTS HLDGS
INVERSE LVRG ETN
17325E309
1651
315205
SH
DFND
315205
0
0
CITIZENS FINL GROUP INC
COM
174610105
1343
34829
SH
DFND
34829
0
0
CLEAN HARBORS INC
COM
184496107
484
6762
SH
DFND
6762
0
0
COEUR MNG INC
COM NEW
192108504
117
22065
SH
DFND
22065
0
0
COMCAST CORP NEW
CL A
20030N101
12607
356050
SH
DFND
356050
0
0
COMPANHIA ENERGETICA DE MINA
SP ADR N-V PFD
204409601
60
35339
SH
DFND
35339
0
0
COMPANHIA DE SANEAMENTO BASI
SPONSORED ADR
20441A102
80
13602
SH
DFND
13602
0
0
COMPANIA DE MINAS BUENAVENTU
SPONSORED ADR
204448104
198
14775
SH
DFND
14775
0
0
COMSTOCK RES INC
COM
205768302
220
26257
SH
DFND
26257
0
0
CONAGRA BRANDS INC
COM
205887102
202
5971
SH
DFND
5971
0
0
CONCHO RES INC
COM
20605P101
488
3198
SH
DFND
3198
0
0
COPART INC
COM
217204106
394
7647
SH
DFND
7647
0
0
COSTCO WHSL CORP NEW
COM
22160K105
2922
12443
SH
DFND
12443
0
0
COSTAR GROUP INC
COM
22160N109
537
1277
SH
DFND
1277
0
0
CREDIT ACCEP CORP MICH
COM
225310101
421
962
SH
DFND
962
0
0
CREDIT SUISSE AG NASSAU BRH
VLCTYSHS 3X S&P
22539T217
7324
103865
SH
DFND
103865
0
0
CREDIT SUISSE AG NASSAU BRH
VELOCITY SHS EXC
22539T597
1123
172001
SH
DFND
172001
0
0
CREDIT SUISSE GROUP
SPONSORED ADR
225401108
292
19597
SH
DFND
19597
0
0
CREDIT SUISSE NASSAU BRH
VELOCITY SHS 3X
22542D373
1800
96133
SH
DFND
96133
0
0
CRYOPORT INC
COM PAR $0.001
229050307
156
12214
SH
DFND
12214
0
0
CULLEN FROST BANKERS INC
COM
229899109
957
9167
SH
DFND
9167
0
0
CUMMINS INC
COM
231021106
317
2173
SH
DFND
2173
0
0
CYMABAY THERAPEUTICS INC
COM
23257D103
273
24709
SH
DFND
24709
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
269
18577
SH
DFND
18577
0
0
DMC GLOBAL INC
COM
23291C103
208
5101
SH
DFND
5101
0
0
DAVITA INC
COM
23918K108
376
5254
SH
DFND
5254
0
0
DEXCOM INC
COM
252131107
320
2243
SH
DFND
2243
0
0
DIGITAL TURBINE INC
COM NEW
25400W102
16
13461
SH
DFND
13461
0
0
DIREXION SHS ETF TR
DL FTSE BLL 3X
25459W771
262
11006
SH
DFND
11006
0
0
DIREXION SHS ETF TR
DAILY FTSE CHINA
25460E521
3164
55508
SH
DFND
55508
0
0
DIREXION SHS ETF TR
DAILY S&P BIOTEC
25460E539
1263
51790
SH
DFND
51790
0
0
DIREXION SHS ETF TR
DLY SEMICNDTR 3X
25460E836
816
83808
SH
DFND
83808
0
0
DIREXION SHS ETF TR
DLY GOLD INDX 3X
25460E844
165
12799
SH
DFND
12799
0
0
DIREXION SHS ETF TR
DLY JR GOLD 3X
25460E877
4117
52344
SH
DFND
52344
0
0
DISNEY WALT CO
COM DISNEY
254687106
11394
97440
SH
DFND
97440
0
0
DISCOVER FINL SVCS
COM
254709108
285
3733
SH
DFND
3733
0
0
DISH NETWORK CORP
CL A
25470M109
382
10703
SH
DFND
10703
0
0
DIREXION SHS ETF TR
DAILY GOLD MINER
25490K133
7299
185797
SH
DFND
185797
0
0
DIREXION SHS ETF TR
DLY RUSSIA BL 3X
25490K273
258
6184
SH
DFND
6184
0
0
DIREXION SHS ETF TR
DAILY FINL BEAR
25490K539
113
11658
SH
DFND
11658
0
0
DPW HLDGS INC
COM
26140E105
6
16701
SH
DFND
16701
0
0
EOG RES INC
COM
26875P101
258
2027
SH
DFND
2027
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
478
9141
SH
DFND
9141
0
0
EAST WEST BANCORP INC
COM
27579R104
466
7721
SH
DFND
7721
0
0
ELDORADO GOLD CORP NEW
COM
284902103
92
105037
SH
DFND
105037
0
0
ELECTRONIC ARTS INC
COM
285512109
1015
8426
SH
DFND
8426
0
0
EMCORE CORP
COM NEW
290846203
61
13010
SH
DFND
13010
0
0
ENERGEN CORP
COM
29265N108
625
7256
SH
DFND
7256
0
0
ENDOCYTE INC
COM
29269A102
211
11912
SH
DFND
11912
0
0
ENPHASE ENERGY INC
COM
29355A107
107
22141
SH
DFND
22141
0
0
ENTEGRIS INC
COM
29362U104
303
10478
SH
DFND
10478
0
0
EQUINIX INC
COM PAR $0.001
29444U700
341
790
SH
DFND
790
0
0
ERICSSON
ADR B SEK 10
294821608
186
21201
SH
DFND
21201
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
604
4634
SH
DFND
4634
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
641
6747
SH
DFND
6747
0
0
EXXON MOBIL CORP
COM
30231G102
937
11026
SH
DFND
11026
0
0
FS INVT CORP
COM
302635107
138
19639
SH
DFND
19639
0
0
FACEBOOK INC
CL A
30303M102
1896
11530
SH
DFND
11530
0
0
FAIR ISAAC CORP
COM
303250104
275
1207
SH
DFND
1207
0
0
FATE THERAPEUTICS INC
COM
31189P102
583
35845
SH
DFND
35845
0
0
FEDEX CORP
COM
31428X106
6114
25395
SH
DFND
25395
0
0
FIFTH THIRD BANCORP
COM
316773100
1032
36992
SH
DFND
36992
0
0
FIRST HORIZON NATL CORP
COM
320517105
533
30891
SH
DFND
30891
0
0
FIRST INTST BANCSYSTEM INC
COM CL A
32055Y201
203
4540
SH
DFND
4540
0
0
FIRST REP BK SAN FRANCISCO C
COM
33616C100
362
3775
SH
DFND
3775
0
0
FIRST TR EXCHANGE TRADED FD
DJ INTERNT IDX
33733E302
816
5766
SH
DFND
5766
0
0
FIRST TR EXCHANGE TRADED FD
NASDAQ BK ETF
33738R860
20234
725500
SH
DFND
725500
0
0
FLOOR & DECOR HLDGS INC
CL A
339750101
298
9900
SH
DFND
9900
0
0
FOREST CITY RLTY TR INC
COM CL A
345605109
368
14700
SH
DFND
14700
0
0
GALECTIN THERAPEUTICS INC
COM NEW
363225202
90
15050
SH
DFND
15050
0
0
GENERAL ELECTRIC CO
COM
369604103
2593
229716
SH
DFND
229716
0
0
GERDAU S A
SPON ADR REP PFD
373737105
53
12609
SH
DFND
12609
0
0
GERON CORP
COM
374163103
24
13705
SH
DFND
13705
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
234
5826
SH
DFND
5826
0
0
GLOBALSTAR INC
COM
378973408
36
71183
SH
DFND
71183
0
0
GLOBAL PMTS INC
COM
37940X102
587
4615
SH
DFND
4615
0
0
GOLD FIELDS LTD NEW
SPONSORED ADR
38059T106
133
55263
SH
DFND
55263
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
8044
35876
SH
DFND
35876
0
0
GRAINGER W W INC
COM
384802104
718
2009
SH
DFND
2009
0
0
GREAT WESTN BANCORP INC
COM
391416104
317
7516
SH
DFND
7516
0
0
HCA HEALTHCARE INC
COM
40412C101
266
1918
SH
DFND
1918
0
0
HP INC
COM
40434L105
220
8574
SH
DFND
8574
0
0
HARRIS CORP DEL
COM
413875105
237
1404
SH
DFND
1404
0
0
HEICO CORP NEW
COM
422806109
1251
13509
SH
DFND
13509
0
0
HESS CORP
COM
42809H107
358
5002
SH
DFND
5002
0
0
HEWLETT PACKARD ENTERPRISE C
COM
42824C109
211
12947
SH
DFND
12947
0
0
HOME DEPOT INC
COM
437076102
200
970
SH
DFND
970
0
0
HUMANA INC
COM
444859102
228
676
SH
DFND
676
0
0
HUNT J B TRANS SVCS INC
COM
445658107
300
2524
SH
DFND
2524
0
0
HUNTINGTON BANCSHARES INC
COM
446150104
2293
153746
SH
DFND
153746
0
0
ICU MED INC
COM
44930G107
298
1056
SH
DFND
1056
0
0
IPG PHOTONICS CORP
COM
44980X109
365
2345
SH
DFND
2345
0
0
IAMGOLD CORP
COM
450913108
154
41946
SH
DFND
41946
0
0
ING GROEP N V
SPONSORED ADR
456837103
246
18991
SH
DFND
18991
0
0
INOGEN INC
COM
45780L104
879
3603
SH
DFND
3603
0
0
INTEL CORP
COM
458140100
1828
38656
SH
DFND
38656
0
0
INTERPUBLIC GROUP COS INC
COM
460690100
349
15291
SH
DFND
15291
0
0
INTERSECT ENT INC
COM
46071F103
250
8717
SH
DFND
8717
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
1325
7137
SH
DFND
7137
0
0
INVESCO DB COMMDY INDX TRCK
UNIT
46138B103
212
11847
SH
DFND
11847
0
0
INVESTORS BANCORP INC NEW
COM
46146L101
226
18495
SH
DFND
18495
0
0
ISHARES GOLD TRUST
ISHARES
464285105
512
44821
SH
DFND
44821
0
0
ISHARES INC
MSCI BRAZIL ETF
464286400
1043
30938
SH
DFND
30938
0
0
ISHARES INC
MSCI CDA ETF
464286509
326
11358
SH
DFND
11358
0
0
ISHARES INC
MSCI JAPN SMCETF
464286582
318
4088
SH
DFND
4088
0
0
ISHARES INC
MSCI FRANCE ETF
464286707
976
31124
SH
DFND
31124
0
0
ISHARES INC
MSCI SPAIN ETF
464286764
373
12621
SH
DFND
12621
0
0
ISHARES INC
MSCI GERMANY ETF
464286806
776
26123
SH
DFND
26123
0
0
ISHARES INC
MSCI HONG KG ETF
464286871
201
8442
SH
DFND
8442
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
8215
191863
SH
DFND
191863
0
0
ISHARES TR
CORE S&P500 ETF
464287200
461
1577
SH
DFND
1577
0
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
917
9065
SH
DFND
9065
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
2201
18058
SH
DFND
18058
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
2319
13764
SH
DFND
13764
0
0
ISHARES TR
U.S. REAL ES ETF
464287739
4376
54694
SH
DFND
54694
0
0
ISHARES TR
MSCI ACWI ETF
464288257
1998
26911
SH
DFND
26911
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
549
40028
SH
DFND
40028
0
0
ISHARES TR
MSCI INDIA ETF
46429B598
411
12661
SH
DFND
12661
0
0
ISHARES INC
CORE MSCI EMKT
46434G103
3134
60535
SH
DFND
60535
0
0
ISHARES INC
MSCI TAIWAN ETF
46434G772
629
16692
SH
DFND
16692
0
0
ISHARES INC
MSCI JPN ETF NEW
46434G822
644
10701
SH
DFND
10701
0
0
ISHARES TR
CUR HED MSCI GER
46434V704
681
25038
SH
DFND
25038
0
0
ISHARES TR
HDG MSCI JAPAN
46434V886
936
27349
SH
DFND
27349
0
0
JPMORGAN CHASE & CO
COM
46625H100
8164
72359
SH
DFND
72359
0
0
JD COM INC
SPON ADR CL A
47215P106
944
36218
SH
DFND
36218
0
0
JETBLUE AIRWAYS CORP
COM
477143101
490
25336
SH
DFND
25336
0
0
JOHNSON & JOHNSON
COM
478160104
246
1782
SH
DFND
1782
0
0
JUNIPER NETWORKS INC
COM
48203R104
207
6920
SH
DFND
6920
0
0
KEYCORP NEW
COM
493267108
1433
72095
SH
DFND
72095
0
0
KINDER MORGAN INC DEL
COM
49456B101
628
35436
SH
DFND
35436
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
298
110378
SH
DFND
110378
0
0
LADENBURG THALMAN FIN SVCS I
COM
50575Q102
78
29058
SH
DFND
29058
0
0
LAM RESEARCH CORP
COM
512807108
5730
37777
SH
DFND
37777
0
0
LAMAR ADVERTISING CO NEW
CL A
512816109
315
4049
SH
DFND
4049
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
235
5411
SH
DFND
5411
0
0
LIFEPOINT HEALTH INC
COM
53219L109
382
5940
SH
DFND
5940
0
0
LITTELFUSE INC
COM
537008104
620
3138
SH
DFND
3138
0
0
LLOYDS BANKING GROUP PLC
SPONSORED ADR
539439109
98
32544
SH
DFND
32544
0
0
LOCKHEED MARTIN CORP
COM
539830109
398
1152
SH
DFND
1152
0
0
LOWES COS INC
COM
548661107
4204
36614
SH
DFND
36614
0
0
M & T BK CORP
COM
55261F104
1296
7880
SH
DFND
7880
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
266
9542
SH
DFND
9542
0
0
MGP INGREDIENTS INC NEW
COM
55303J106
374
4739
SH
DFND
4739
0
0
MACYS INC
COM
55616P104
1001
28825
SH
DFND
28825
0
0
MARATHON PETE CORP
COM
56585A102
15885
198637
SH
DFND
198637
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
308
5463
SH
DFND
5463
0
0
MAXAR TECHNOLOGIES LTD
COM
57778L103
839
25400
SH
DFND
25400
0
0
MCEWEN MNG INC
COM
58039P107
37
19308
SH
DFND
19308
0
0
MERIDIAN BANCORP INC MD
COM
58958U103
188
11094
SH
DFND
11094
0
0
MICROSOFT CORP
COM
594918104
319
2796
SH
DFND
2796
0
0
MICRON TECHNOLOGY INC
COM
595112103
1647
36414
SH
DFND
36414
0
0
MOLINA HEALTHCARE INC
COM
60855R100
225
1516
SH
DFND
1516
0
0
MORGAN STANLEY
COM NEW
617446448
209
4507
SH
DFND
4507
0
0
MURPHY OIL CORP
COM
626717102
229
6880
SH
DFND
6880
0
0
NAVIENT CORPORATION
COM
63938C108
169
12590
SH
DFND
12590
0
0
NETFLIX INC
COM
64110L106
8809
23547
SH
DFND
23547
0
0
NETEASE INC
SPONSORED ADR
64110W102
666
2919
SH
DFND
2919
0
0
NEVRO CORP
COM
64157F103
208
3654
SH
DFND
3654
0
0
NEW GOLD INC CDA
COM
644535106
97
123044
SH
DFND
123044
0
0
NEW YORK CMNTY BANCORP INC
COM
649445103
322
31107
SH
DFND
31107
0
0
NEXTERA ENERGY INC
COM
65339F101
205
1228
SH
DFND
1228
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
227
2643
SH
DFND
2643
0
0
NVIDIA CORP
COM
67066G104
3547
12625
SH
DFND
12625
0
0
OKTA INC
CL A
679295105
302
4295
SH
DFND
4295
0
0
OMNICOM GROUP INC
COM
681919106
668
9829
SH
DFND
9829
0
0
ORACLE CORP
COM
68389X105
1141
22142
SH
DFND
22142
0
0
PNC FINL SVCS GROUP INC
COM
693475105
2552
18741
SH
DFND
18741
0
0
PTC INC
COM
69370C100
243
2292
SH
DFND
2292
0
0
PACWEST BANCORP DEL
COM
695263103
671
14085
SH
DFND
14085
0
0
PALATIN TECHNOLOGIES INC
COM PAR $ .01
696077403
58
58613
SH
DFND
58613
0
0
PALO ALTO NETWORKS INC
COM
697435105
1045
4641
SH
DFND
4641
0
0
PAN AMERICAN SILVER CORP
COM
697900108
151
10282
SH
DFND
10282
0
0
PEOPLES UNITED FINANCIAL INC
COM
712704105
1227
71709
SH
DFND
71709
0
0
PEPSICO INC
COM
713448108
200
1795
SH
DFND
1795
0
0
PETROLEO BRASILEIRO SA PETRO
SP ADR NON VTG
71654V101
169
16195
SH
DFND
16195
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
364
30197
SH
DFND
30197
0
0
PFIZER INC
COM
717081103
205
4668
SH
DFND
4668
0
0
PIMCO CORPORATE INCOME STRAT
COM
72200U100
215
11800
SH
DFND
11800
0
0
PIONEER NAT RES CO
COM
723787107
259
1489
SH
DFND
1489
0
0
PLAINS GP HLDGS L P
LTD PARTNR INT A
72651A207
306
12491
SH
DFND
12491
0
0
PROCTER AND GAMBLE CO
COM
742718109
253
3047
SH
DFND
3047
0
0
PROOFPOINT INC
COM
743424103
221
2080
SH
DFND
2080
0
0
PROSHARES TR
SHRT RUSSELL2000
74348A210
498
13216
SH
DFND
13216
0
0
PROSHARES TR
ULTSHT RUSS2000
74348A319
236
17315
SH
DFND
17315
0
0
PROSPECT CAPITAL CORPORATION
COM
74348T102
106
14590
SH
DFND
14590
0
0
QUALCOMM INC
COM
747525103
4262
59178
SH
DFND
59178
0
0
RH
COM
74967X103
613
4683
SH
DFND
4683
0
0
RANDGOLD RES LTD
ADR
752344309
273
3871
SH
DFND
3871
0
0
RAYTHEON CO
COM NEW
755111507
903
4370
SH
DFND
4370
0
0
RED HAT INC
COM
756577102
327
2406
SH
DFND
2406
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
815
2018
SH
DFND
2018
0
0
REGIONS FINL CORP NEW
COM
7591EP100
1492
81329
SH
DFND
81329
0
0
RENT A CTR INC NEW
COM
76009N100
240
16729
SH
DFND
16729
0
0
RESHAPE LIFESCIENCES INC
COM NEW
761123405
0
21905
SH
DFND
21905
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
392
4893
SH
DFND
4893
0
0
ROYAL GOLD INC
COM
780287108
237
3079
SH
DFND
3079
0
0
S&P GLOBAL INC
COM
78409V104
925
4738
SH
DFND
4738
0
0
SLM CORP
COM
78442P106
167
14984
SH
DFND
14984
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
59161
203500
SH
DFND
203500
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
1304
11573
SH
DFND
11573
0
0
SPDR SERIES TRUST
S&P BK ETF
78464A797
589
12650
SH
DFND
12650
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
3952
41226
SH
DFND
41226
0
0
SRC ENERGY INC
COM
78470V108
260
29273
SH
DFND
29273
0
0
SVB FINL GROUP
COM
78486Q101
492
1586
SH
DFND
1586
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
44
11834
SH
DFND
11834
0
0
SEMGROUP CORP
CL A
81663A105
484
21960
SH
DFND
21960
0
0
SHOPIFY INC
CL A
82509L107
662
4026
SH
DFND
4026
0
0
SIGNATURE BK NEW YORK N Y
COM
82669G104
482
4199
SH
DFND
4199
0
0
SIRIUS XM HLDGS INC
COM
82968B103
615
97360
SH
DFND
97360
0
0
SKYWORKS SOLUTIONS INC
COM
83088M102
1418
15643
SH
DFND
15643
0
0
SNAP INC
CL A
83304A106
293
34610
SH
DFND
34610
0
0
SORRENTO THERAPEUTICS INC
COM NEW
83587F202
197
44931
SH
DFND
44931
0
0
SOUTHERN CO
COM
842587107
304
6986
SH
DFND
6986
0
0
SQUARE INC
CL A
852234103
424
4283
SH
DFND
4283
0
0
STARBUCKS CORP
COM
855244109
860
15133
SH
DFND
15133
0
0
STEEL DYNAMICS INC
COM
858119100
274
6078
SH
DFND
6078
0
0
STERLING BANCORP DEL
COM
85917A100
408
18566
SH
DFND
18566
0
0
STRYKER CORP
COM
863667101
520
2931
SH
DFND
2931
0
0
SUNCOKE ENERGY INC
COM
86722A103
133
11460
SH
DFND
11460
0
0
SUNTRUST BKS INC
COM
867914103
2375
35567
SH
DFND
35567
0
0
SYNOVUS FINL CORP
COM NEW
87161C501
442
9662
SH
DFND
9662
0
0
TD AMERITRADE HLDG CORP
COM
87236Y108
405
7679
SH
DFND
7679
0
0
TELADOC HEALTH INC
COM
87918A105
433
5024
SH
DFND
5024
0
0
TELEFLEX INC
COM
879369106
501
1884
SH
DFND
1884
0
0
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
461
5587
SH
DFND
5587
0
0
TEXAS INSTRS INC
COM
882508104
216
2016
SH
DFND
2016
0
0
3M CO
COM
88579Y101
262
1244
SH
DFND
1244
0
0
TRIMBLE INC
COM
896239100
281
6488
SH
DFND
6488
0
0
TURQUOISE HILL RES LTD
COM
900435108
26
12304
SH
DFND
12304
0
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
1651
35641
SH
DFND
35641
0
0
TWITTER INC
COM
90184L102
712
25026
SH
DFND
25026
0
0
US BANCORP DEL
COM NEW
902973304
3056
57872
SH
DFND
57872
0
0
ULTA BEAUTY INC
COM
90384S303
274
972
SH
DFND
972
0
0
ULTRA PETROLEUM CORP
COM NEW
903914208
52
47310
SH
DFND
47310
0
0
UNILEVER N V
N Y SHS NEW
904784709
444
8008
SH
DFND
8008
0
0
UNION PAC CORP
COM
907818108
2631
16164
SH
DFND
16164
0
0
UNITED RENTALS INC
COM
911363109
582
3559
SH
DFND
3559
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
343
22112
SH
DFND
22112
0
0
UNITED STATES STL CORP NEW
COM
912909108
964
31650
SH
DFND
31650
0
0
VAIL RESORTS INC
COM
91879Q109
211
771
SH
DFND
771
0
0
VALE S A
ADR
91912E105
391
26374
SH
DFND
26374
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
598
5261
SH
DFND
5261
0
0
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
26580
1435212
SH
DFND
1435212
0
0
VANECK VECTORS ETF TR
JR GOLD MINERS E
92189F791
14563
532307
SH
DFND
532307
0
0
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
382
8850
SH
DFND
8850
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
979
18812
SH
DFND
18812
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
268
4770
SH
DFND
4770
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
472
1768
SH
DFND
1768
0
0
VEONEER INCORPORATED
COM
92336X109
270
4911
SH
DFND
4911
0
0
VERASTEM INC
COM
92337C104
109
15122
SH
DFND
15122
0
0
VEREIT INC
COM
92339V100
149
20532
SH
DFND
20532
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
4145
77646
SH
DFND
77646
0
0
VERSARTIS INC
COM
92529L102
22
16158
SH
DFND
16158
0
0
VIRNETX HLDG CORP
COM
92823T108
67
14528
SH
DFND
14528
0
0
WABTEC CORP
COM
929740108
297
2835
SH
DFND
2835
0
0
WALMART INC
COM
931142103
1945
20717
SH
DFND
20717
0
0
WEB COM GROUP INC
COM
94733A104
242
8695
SH
DFND
8695
0
0
WELLS FARGO CO NEW
COM
949746101
699
13300
SH
DFND
13300
0
0
WESTERN ALLIANCE BANCORP
COM
957638109
456
8017
SH
DFND
8017
0
0
WISDOMTREE TR
INDIA ERNGS FD
97717W422
454
18852
SH
DFND
18852
0
0
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
1194
20605
SH
DFND
20605
0
0
WORKDAY INC
CL A
98138H101
979
6713
SH
DFND
6713
0
0
WYNDHAM DESTINATIONS INC
COM
98310W108
964
22244
SH
DFND
22244
0
0
WYNDHAM HOTELS & RESORTS INC
COM
98311A105
253
4568
SH
DFND
4568
0
0
WYNN RESORTS LTD
COM
983134107
915
7207
SH
DFND
7207
0
0
XILINX INC
COM
983919101
245
3058
SH
DFND
3058
0
0
YAMANA GOLD INC
COM
98462Y100
324
130207
SH
DFND
130207
0
0
ZEBRA TECHNOLOGIES CORP
CL A
989207105
412
2333
SH
DFND
2333
0
0
ZIONS BANCORPORATION
COM
989701107
556
11090
SH
DFND
11090
0
0
ALLERGAN PLC
SHS
G0177J108
3055
16042
SH
DFND
16042
0
0
ASPEN INSURANCE HOLDINGS LTD
SHS
G05384105
233
5594
SH
DFND
5594
0
0
CARDTRONICS PLC
SHS CL A
G1991C105
379
11995
SH
DFND
11995
0
0
CREDICORP LTD
COM
G2519Y108
878
3940
SH
DFND
3940
0
0
COSAN LTD
SHS A
G25343107
67
10102
SH
DFND
10102
0
0
WEATHERFORD INTL PLC
ORD SHS
G48833100
105
39092
SH
DFND
39092
0
0
JOHNSON CTLS INTL PLC
SHS
G51502105
330
9450
SH
DFND
9450
0
0
MEDTRONIC PLC
SHS
G5960L103
204
2082
SH
DFND
2082
0
0
NOBLE CORP PLC
SHS USD
G65431101
85
12154
SH
DFND
12154
0
0
NORWEGIAN CRUISE LINE HLDG L
SHS
G66721104
208
3639
SH
DFND
3639
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
297
2526
SH
DFND
2526
0
0
CNH INDL N V
SHS
N20944109
215
17974
SH
DFND
17974
0
0
FERRARI N V
COM
N3167Y103
230
1682
SH
DFND
1682
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
293
3433
SH
DFND
3433
0
0
FLEX LTD
ORD
Y2573F102
184
14030
SH
DFND
14030
0
0
NAVIOS MARITIME ACQUIS CORP
SHS
Y62159101
22
43821
SH
DFND
43821
0
0
SCORPIO TANKERS INC
SHS
Y7542C106
26
13363
SH
DFND
13363
0
0
AT&T INC
PUT
00206R952
970
28900
SH
DFND
28900
0
0
ADOBE SYS INC
PUT
00724F951
944
3500
SH
DFND
3500
0
0
ADVANCED MICRO DEVICES INC
PUT
007903957
389
12600
SH
DFND
12600
0
0
ALPHABET INC
PUT
02079K957
2148
1800
SH
DFND
1800
0
0
ALPHABET INC
PUT
02079K955
241
200
SH
DFND
200
0
0
AMAZON COM INC
PUT
023135956
25638
12800
SH
DFND
12800
0
0
BANK AMER CORP
PUT
060505954
1034
35100
SH
DFND
35100
0
0
BOEING CO
PUT
097023955
1338
3600
SH
DFND
3600
0
0
BOOKING HLDGS INC
PUT
09857L958
4364
2200
SH
DFND
2200
0
0
CITIGROUP INC
PUT
172967954
2826
39400
SH
DFND
39400
0
0
DIREXION SHS ETF TR
CALL
25460E904
157
12200
SH
DFND
12200
0
0
FACEBOOK INC
PUT
30303M952
7992
48600
SH
DFND
48600
0
0
FEDEX CORP
PUT
31428X956
3539
14700
SH
DFND
14700
0
0
GENERAL ELECTRIC CO
PUT
369604953
2053
181900
SH
DFND
181900
0
0
GOLDMAN SACHS GROUP INC
PUT
38141G954
5942
26500
SH
DFND
26500
0
0
INTEL CORP
CALL
458140900
3007
63600
SH
DFND
63600
0
0
INTEL CORP
PUT
458140950
5164
109200
SH
DFND
109200
0
0
ISHARES TR
PUT
464287956
2536
20800
SH
DFND
20800
0
0
JPMORGAN CHASE & CO
PUT
46625H950
4073
36100
SH
DFND
36100
0
0
LAM RESEARCH CORP
PUT
512807958
3564
23500
SH
DFND
23500
0
0
LOWES COS INC
PUT
548661957
1894
16500
SH
DFND
16500
0
0
NETFLIX INC
PUT
64110L956
261
700
SH
DFND
700
0
0
NEWMONT MINING CORP
PUT
651639956
721
23900
SH
DFND
23900
0
0
NVIDIA CORP
CALL
67066G904
562
2000
SH
DFND
2000
0
0
PALO ALTO NETWORKS INC
PUT
697435955
473
2100
SH
DFND
2100
0
0
QUALCOMM INC
PUT
747525953
885
12300
SH
DFND
12300
0
0
RAYTHEON CO
PUT
755111957
888
4300
SH
DFND
4300
0
0
REGENERON PHARMACEUTICALS
PUT
75886F957
1010
2500
SH
DFND
2500
0
0
ROKU INC
PUT
77543R952
1635
22400
SH
DFND
22400
0
0
SPDR S&P 500 ETF TR
PUT
78462F953
3430
11800
SH
DFND
11800
0
0
SPDR GOLD TRUST
PUT
78463V957
642
5700
SH
DFND
5700
0
0
SHOPIFY INC
PUT
82509L957
378
2300
SH
DFND
2300
0
0
SKYWORKS SOLUTIONS INC
PUT
83088M952
344
3800
SH
DFND
3800
0
0
SQUARE INC
PUT
852234953
2653
26800
SH
DFND
26800
0
0
TESLA INC
CALL
88160R901
900
3400
SH
DFND
3400
0
0
TESLA INC
PUT
88160R951
1112
4200
SH
DFND
4200
0
0
UNION PAC CORP
PUT
907818958
521
3200
SH
DFND
3200
0
0
UNITED RENTALS INC
PUT
911363959
638
3900
SH
DFND
3900
0
0
VANECK VECTORS ETF TR
PUT
92189F956
381
20600
SH
DFND
20600
0
0
WALMART INC
PUT
931142953
723
7700
SH
DFND
7700
0
0
ALLERGAN PLC
PUT
G0177J958
495
2600
SH
DFND
2600
0
0
NXP SEMICONDUCTORS N V
PUT
N6596X959
564
6600
SH
DFND
6600
0
0