0001593324-17-000002.txt : 20170509
0001593324-17-000002.hdr.sgml : 20170509
20170509122800
ACCESSION NUMBER: 0001593324-17-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170509
DATE AS OF CHANGE: 20170509
EFFECTIVENESS DATE: 20170509
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Penserra Capital Management LLC
CENTRAL INDEX KEY: 0001593324
IRS NUMBER: 270159296
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17117
FILM NUMBER: 17825424
BUSINESS ADDRESS:
STREET 1: 140 BROADWAY
STREET 2: 46TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 646-459-0581
MAIL ADDRESS:
STREET 1: 140 BROADWAY
STREET 2: 46TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
13F-HR
1
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0001593324
XXXXXXXX
03-31-2017
03-31-2017
Penserra Capital Management LLC
140 BROADWAY
46TH FLOOR
NEW YORK
NY
10005
13F HOLDINGS REPORT
028-17117
N
Anthony Castelli
CCO
646-459-0581
Anthony Castelli
New York
NY
05-09-2017
5
591
966303
false
1
0001457320
EXCHANGE TRADED CONCEPTS, LLC
2
0001645173
ETF MANAGERS GROUP, LLC
3
0001599368
Innovator Management LLC
4
0001540305
ETF Series Solutions
5
0001633061
Amplify ETF Trust
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CINTAS CORP
COM
172908105
197
1564
SH
DFND
1
0
0
1564
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
7
727
SH
DFND
1
0
0
727
COHEN & STEERS INC
COM
19247A100
11
295
SH
DFND
1
0
0
295
COHEN & STEERS LTD DUR PFD I
COM
19248C105
17
684
SH
DFND
1
0
0
684
COHEN & STEERS SLT PFD INCM
COM
19248Y107
4
167
SH
DFND
1
0
0
167
COLUMBIA PPTY TR INC
COM NEW
198287203
68
3062
SH
DFND
1
0
0
3062
COOPER COS INC
COM NEW
216648402
156
782
SH
DFND
1
0
0
782
CORECIVIC INC
COM
21871N101
85
2712
SH
DFND
1
0
0
2712
COSTAR GROUP INC
COM
22160N109
152
736
SH
DFND
1
0
0
736
CREDIT SUISSE HIGH YLD BND F
SH BEN INT
22544F103
6
2396
SH
DFND
1
0
0
2396
CRESTWOOD EQUITY PARTNERS LP
UNIT LTD PARTNER
226344208
23
894
SH
DFND
1
0
0
894
CTRIP COM INTL LTD
AMERICAN DEP SHS
22943F100
2150
43744
SH
DFND
1
0
0
43744
CUMMINS INC
COM
231021106
194
1288
SH
DFND
1
0
0
1288
DCP MIDSTREAM LP
COM UT LTD PTN
23311P100
63
1618
SH
DFND
1
0
0
1618
DDR CORP
COM
23317H102
94
7523
SH
DFND
1
0
0
7523
DANAHER CORP
DEL COM
235851102
177
2070
SH
DFND
1
0
0
2070
DELAWARE ENHANCED GBL DIV &
COM
246060107
2
223
SH
DFND
1
0
0
223
DENTSPLY SIRONA INC
COM
24906P109
172
2760
SH
DFND
1
0
0
2760
DEUTSCHE HIGH INCOME OPPORT
COM
25158Y102
3
214
SH
DFND
1
0
0
214
DOLLAR TREE INC
COM
256746108
158
2024
SH
DFND
1
0
0
2024
DOUBLELINE INCOME SOLUTIONS
COM
258622109
48
2400
SH
DFND
1
0
0
2400
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
8
356
SH
DFND
1
0
0
356
DOVER CORP
COM
260003108
158
1978
SH
DFND
1
0
0
1978
DR PEPPER SNAPPLE GROUP INC
COM
26138E109
180
1840
SH
DFND
1
0
0
1840
DREYFUS HIGH YIELD STRATEGIE
SH BEN INT
26200S101
5
1754
SH
DFND
1
0
0
1754
DU PONT E I DE NEMOURS & CO
COM
263534109
203
2530
SH
DFND
1
0
0
2530
DUPONT FABROS TECHNOLOGY INC
COM
26613Q106
102
2073
SH
DFND
1
0
0
2073
EPR PPTYS COM
SH BEN INT
26884U109
108
1472
SH
DFND
1
0
0
1472
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
6
925
SH
DFND
1
0
0
925
EATON VANCE FLTING RATE INC
COM
278279104
8
567
SH
DFND
1
0
0
567
EATON VANCE LTD DUR INCOME F
COM
27828H105
22
1646
SH
DFND
1
0
0
1646
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
7
521
SH
DFND
1
0
0
521
EATON VANCE SH TM DR DIVR IN
COM
27828V104
3
252
SH
DFND
1
0
0
252
EBAY INC
COM
278642103
145
4324
SH
DFND
1
0
0
4324
EDWARDS LIFESCIENCES CORP
COM
28176E108
138
1472
SH
DFND
1
0
0
1472
ELLINGTON FINANCIAL LLC
COM
288522303
7
443
SH
DFND
1
0
0
443
EMERSON ELEC CO
COM
291011104
239
4002
SH
DFND
1
0
0
4002
ENABLE MIDSTREAM PARTNERS LP
COM UNIT RP IN
292480100
19
1142
SH
DFND
1
0
0
1142
ENBRIDGE ENERGY PARTNERS L P
COM
29250R106
93
4916
SH
DFND
1
0
0
4916
ENLINK MIDSTREAM PARTNERS LP
COM UNIT REP LTD
29336U107
47
2597
SH
DFND
1
0
0
2597
EQUIFAX INC
COM
294429105
239
1748
SH
DFND
1
0
0
1748
EXPEDIA INC
DEL COM NEW
30212P303
197
1564
SH
DFND
1
0
0
1564
FS INVT CORP
COM
302635107
33
3411
SH
DFND
1
0
0
3411
FACEBOOK INC
CL A
30303M102
202
1426
SH
DFND
1
0
0
1426
FACTSET RESH SYS INC
COM
303075105
197
1196
SH
DFND
1
0
0
1196
FANG HLDGS LTD
ADR
30711Y102
315
96912
SH
DFND
1
0
0
96912
FASTENAL CO
COM
311900104
203
3956
SH
DFND
1
0
0
3956
FEDERATED INVS INC
PA CL B
314211103
33
1290
SH
DFND
1
0
0
1290
F5 NETWORKS INC
COM
315616102
222
1564
SH
DFND
1
0
0
1564
FIDUS INVT CORP
COM
316500107
5
314
SH
DFND
1
0
0
314
FIFTH STREET FINANCE CORP
COM
31678A103
8
1770
SH
DFND
1
0
0
1770
FIFTH STR SR FLOATNG RATE CO
COM
31679F101
3
394
SH
DFND
1
0
0
394
FIFTH STR ASSET MGMT INC
CL A COM
31679P109
3
671
SH
DFND
1
0
0
671
58 COM INC
SPON ADR REP A
31680Q104
1072
30295
SH
DFND
1
0
0
30295
51JOB INC
SP ADR REP COM
316827104
247
6746
SH
DFND
1
0
0
6746
FIRST TR INTER DUR PFD & IN
COM
33718W103
32
1417
SH
DFND
1
0
0
1417
FIRST TR SR FLG RTE INCM FD
COM
33733U108
5
377
SH
DFND
1
0
0
377
FIRST TR HIGH INCOME L/S FD
COM
33738E109
8
505
SH
DFND
1
0
0
505
FLAHERTY&CRMN PFD SEC INCOM
COM
338478100
12
620
SH
DFND
1
0
0
620
FLAHERTY & CRUMRINE TOTAL RE
COM
338479108
2
140
SH
DFND
1
0
0
140
FLAHERTY & CRUMRINE DYN
PFD SHS
33848W106
11
457
SH
DFND
1
0
0
457
FLAHERTY & CRUMRINE PFD INC
COM
338480106
3
263
SH
DFND
1
0
0
263
FOOT LOCKER INC
COM
344849104
199
2668
SH
DFND
1
0
0
2668
FORTRESS INVESTMENT GROUP LL
CL A
34958B106
41
5236
SH
DFND
1
0
0
5236
FRANKLIN STREET PPTYS CORP
COM
35471R106
32
2670
SH
DFND
1
0
0
2670
FRANKLIN LTD DURATION INC TR
COM
35472T101
4
373
SH
DFND
1
0
0
373
GAMING & LEISURE PPTYS INC
COM
36467J108
149
4474
SH
DFND
1
0
0
4474
GAP INC
DEL COM
364760108
145
5980
SH
DFND
1
0
0
5980
GENERAL MLS INC
COM
370334104
130
2208
SH
DFND
1
0
0
2208
GENESIS ENERGY L P
UNIT LTD PARTN
371927104
59
1832
SH
DFND
1
0
0
1832
GILEAD SCIENCES INC
COM
375558103
112
1656
SH
DFND
1
0
0
1656
GLADSTONE CAPITAL CORP
COM
376535100
3
341
SH
DFND
1
0
0
341
GLADSTONE COML CORP
COM
376536108
12
593
SH
DFND
1
0
0
593
GLADSTONE INVT CORP
COM
376546107
3
422
SH
DFND
1
0
0
422
GLOBAL NET LEASE INC
COM NEW ADDED
379378201
33
1411
SH
DFND
1
0
0
1411
GOLDMAN SACHS BDC INC
SHS
38147U107
12
503
SH
DFND
1
0
0
503
GOLUB CAP BDC INC
COM
38173M102
15
783
SH
DFND
1
0
0
783
GOVERNMENT PPTYS INCOME TR
COM SHS BEN INT
38376A103
36
1751
SH
DFND
1
0
0
1751
GRAMERCY PPTY TR
COM NEW ADDED
385002308
88
3372
SH
DFND
1
0
0
3372
GUGGENHEIM TAXABLE MUN MNGD
COM
401664107
5
245
SH
DFND
1
0
0
245
GUGGENHEIM STRATEGIC OPP FD
COM SBI
40167F101
5
262
SH
DFND
1
0
0
262
HANCOCK JOHN PREMUIM DIV FD
COM SH BEN INT
41013T105
18
1176
SH
DFND
1
0
0
1176
HANCOCK JOHN PFD INCOME FD
SH BEN INT
41013W108
7
362
SH
DFND
1
0
0
362
HANCOCK JOHN PFD INCOME FD I
COM
41013X106
6
297
SH
DFND
1
0
0
297
HANCOCK JOHN PFD INCOME FD I
COM
41021P103
8
443
SH
DFND
1
0
0
443
HANESBRANDS INC
COM
410345102
122
5888
SH
DFND
1
0
0
5888
HANNON ARMSTRONG SUST INFR C
COM
41068X100
22
1131
SH
DFND
1
0
0
1131
HASBRO INC
COM
418056107
197
1978
SH
DFND
1
0
0
1978
HERCULES CAPITAL INC
COM
427096508
15
1056
SH
DFND
1
0
0
1056
HOLLY ENERGY PARTNERS L P
COM UT LTD PTN
435763107
26
730
SH
DFND
1
0
0
730
HONEYWELL INTL INC
COM
438516106
195
1564
SH
DFND
1
0
0
1564
IDEX CORP
COM
45167R104
193
2070
SH
DFND
1
0
0
2070
ILLUMINA INC
COM
452327109
133
782
SH
DFND
1
0
0
782
INDEPENDENCE RLTY TR INC
COM
45378A106
13
1450
SH
DFND
1
0
0
1450
INGREDION INC
COM
457187102
149
1242
SH
DFND
1
0
0
1242
INSIGHT SELECT INCOME FD
COM
45781W109
2
148
SH
DFND
1
0
0
148
INTEL CORP
COM
458140100
146
4048
SH
DFND
1
0
0
4048
INTUIT
COM
461202103
181
1564
SH
DFND
1
0
0
1564
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
41
2662
SH
DFND
1
0
0
2662
INVESCO SR INCOME TR
COM
46131H107
20
4350
SH
DFND
1
0
0
4350
INVESCO BD FD
COM
46132L107
5
272
SH
DFND
1
0
0
272
INVESCO DYNAMIC CR OPP FD
COM
46132R104
12
1051
SH
DFND
1
0
0
1051
INVESTORS REAL ESTATE TR
SH BEN INT
461730103
17
2872
SH
DFND
1
0
0
2872
IRON MTN INC
NEW COM
46284V101
199
5597
SH
DFND
1
0
0
5597
IVY HIGH INC OPPORTUNITIES F
COM
465893105
6
396
SH
DFND
1
0
0
396
JD COM INC
SPON ADR CL A
47215P106
1722
55372
SH
DFND
1
0
0
55372
JUNIPER NETWORKS INC
COM
48203R104
200
7222
SH
DFND
1
0
0
7222
KKR & CO L P
DEL COM UNITS
48248M102
219
12039
SH
DFND
1
0
0
12039
KKR INCOME OPPORTUNITIES FD
COM
48249T106
6
367
SH
DFND
1
0
0
367
KITE RLTY GROUP TR
COM NEW
49803T300
44
2078
SH
DFND
1
0
0
2078
LMP CAP & INCOME FD INC
COM
50208A102
3
256
SH
DFND
1
0
0
256
LADDER CAP CORP
CL A
505743104
41
2886
SH
DFND
1
0
0
2886
LAM RESEARCH CORP
COM
512807108
236
1840
SH
DFND
1
0
0
1840
LAMAR ADVERTISING CO
NEW CL A
512816109
169
2264
SH
DFND
1
0
0
2264
LAUDER ESTEE COS INC
CL A
518439104
148
1748
SH
DFND
1
0
0
1748
LEGGETT & PLATT INC
COM
524660107
192
3818
SH
DFND
1
0
0
3818
LEGG MASON BW GLB INC OPP FD
COM
52469B100
6
510
SH
DFND
1
0
0
510
LEXINGTON REALTY TRUST
COM
529043101
51
5158
SH
DFND
1
0
0
5158
LIFE STORAGE INC
COM
53223X107
88
1075
SH
DFND
1
0
0
1075
LILLY ELI & CO
COM
532457108
170
2024
SH
DFND
1
0
0
2024
LOWES COS INC
COM
548661107
185
2254
SH
DFND
1
0
0
2254
LULULEMON ATHLETICA INC
COM
550021109
238
4600
SH
DFND
1
0
0
4600
MFA FINL INC
COM
55272X102
71
8863
SH
DFND
1
0
0
8863
MFS CHARTER INCOME TR
SH BEN INT
552727109
11
1291
SH
DFND
1
0
0
1291
MFS INTER INCOME TR
SH BEN INT
55273C107
12
2788
SH
DFND
1
0
0
2788
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
6
1094
SH
DFND
1
0
0
1094
MTGE INVT CORP
COM
55378A105
17
1073
SH
DFND
1
0
0
1073
MACYS INC
COM
55616P104
109
3680
SH
DFND
1
0
0
3680
MAIN STREET CAPITAL CORP
COM
56035L104
26
703
SH
DFND
1
0
0
703
MANNING & NAPIER INC
CL A
56382Q102
7
1317
SH
DFND
1
0
0
1317
MATTEL INC
COM
577081102
123
4830
SH
DFND
1
0
0
4830
MCCORMICK & CO INC
COM NON VTG
579780206
179
1840
SH
DFND
1
0
0
1840
MEAD JOHNSON NUTRITION CO
COM
582839106
143
1610
SH
DFND
1
0
0
1610
MEDLEY CAP CORP
COM
58503F106
5
777
SH
DFND
1
0
0
777
MERCADOLIBRE INC
COM
58733R102
1989
9407
SH
DFND
1
0
0
9407
METTLER TOLEDO INTERNATIONAL
COM
592688105
198
414
SH
DFND
1
0
0
414
MICROCHIP TECHNOLOGY INC
COM
595017104
210
2852
SH
DFND
1
0
0
2852
MICRON TECHNOLOGY INC
COM
595112103
295
10212
SH
DFND
1
0
0
10212
MOLSON COORS BREWING CO
CL B
60871R209
114
1196
SH
DFND
1
0
0
1196
MOMO INC
ADR
60879B107
1567
45997
SH
DFND
1
0
0
45997
MONMOUTH REAL ESTATE INVT CO
CL A
609720107
23
1661
SH
DFND
1
0
0
1661
MONROE CAP CORP
COM
610335101
3
234
SH
DFND
1
0
0
234
MONSANTO CO NEW
COM
61166W101
145
1288
SH
DFND
1
0
0
1288
MORGAN STANLEY EMER MKTS DEB
COM
61744H105
4
526
SH
DFND
1
0
0
526
MORGAN STANLEY EM MKTS DM DE
COM
617477104
7
963
SH
DFND
1
0
0
963
NGL ENERGY PARTNERS LP
COM UNIT REPST
62913M107
44
1987
SH
DFND
1
0
0
1987
NETEASE INC
SPONSORED ADR
64110W102
2297
8091
SH
DFND
1
0
0
8091
NQ MOBILE INC
ADR REPSTG CL A
64118U108
113
27253
SH
DFND
1
0
0
27253
NEUBERGER BERMAN HGH YLD FD
COM
64128C106
3
273
SH
DFND
1
0
0
273
NEW AMER HIGH INCOME FD INC
COM NEW
641876800
5
557
SH
DFND
1
0
0
557
NEW MTN FIN CORP
COM
647551100
12
865
SH
DFND
1
0
0
865
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
119
7038
SH
DFND
1
0
0
7038
NEW YORK MTG TR INC
COM PAR $.02
649604501
16
2634
SH
DFND
1
0
0
2634
NEWELL BRANDS INC
COM
651229106
193
4094
SH
DFND
1
0
0
4094
NEWTEK BUSINESS SVCS CORP
COM NEW
652526203
2
175
SH
DFND
1
0
0
175
NICE LTD
SPONSORED ADR
653656108
150
2208
SH
DFND
1
0
0
2208
NUSTAR ENERGY
LP UNIT COM
67058H102
60
1166
SH
DFND
1
0
0
1166
NUSTAR GP HOLDINGS LLC
UNIT RESTG LLC
67059L102
16
597
SH
DFND
1
0
0
597
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
6
541
SH
DFND
1
0
0
541
NUVEEN DIVERSIFIED DIV INCM
COM
6706EP105
3
273
SH
DFND
1
0
0
273
NVIDIA CORP
COM
67066G104
225
2070
SH
DFND
1
0
0
2070
NUVEEN SR INCOME FD
COM
67067Y104
6
936
SH
DFND
1
0
0
936
NUVEEN PREFERRED SECURITIES
COM
67072C105
27
2859
SH
DFND
1
0
0
2859
NUVEEN FLOATING RATE INCOME
COM
67072T108
9
784
SH
DFND
1
0
0
784
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
13
1367
SH
DFND
1
0
0
1367
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
16
1922
SH
DFND
1
0
0
1922
NUVEEN MTG OPPORTUNITY TERM
COM
670735109
5
228
SH
DFND
1
0
0
228
NUVEEN BUILD AMER BD FD
COM
67074C103
7
373
SH
DFND
1
0
0
373
NUVEEN SHT DUR CR OPP FD
COM
67074X107
2
143
SH
DFND
1
0
0
143
NUVEEN PFD & INCOME TERM FD
COM
67075A106
13
546
SH
DFND
1
0
0
546
O REILLY AUTOMOTIVE INC
NEW COM
67103H107
198
736
SH
DFND
1
0
0
736
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
101
2247
SH
DFND
1
0
0
2247
ONE LIBERTY PPTYS INC
COM
682406103
8
372
SH
DFND
1
0
0
372
ONEOK PARTNERS LP
UNIT LTD PARTN
68268N103
224
4161
SH
DFND
1
0
0
4161
ORACLE CORP
COM
68389X105
194
4370
SH
DFND
1
0
0
4370
OUTFRONT MEDIA INC
COM
69007J106
83
3128
SH
DFND
1
0
0
3128
OWENS CORNING
NEW COM
690742101
163
2668
SH
DFND
1
0
0
2668
OXFORD LANE CAP CORP
COM
691543102
2
244
SH
DFND
1
0
0
244
PPG INDS INC
COM
693506107
217
2070
SH
DFND
1
0
0
2070
PVH CORP
COM
693656100
138
1334
SH
DFND
1
0
0
1334
PARKER HANNIFIN CORP
COM
701094104
294
1840
SH
DFND
1
0
0
1840
PAYPAL HLDGS INC
COM
70450Y103
160
3726
SH
DFND
1
0
0
3726
PENNANTPARK FLOATING RATE
CA COM
70806A106
5
380
SH
DFND
1
0
0
380
PENNANTPARK INVT CORP
COM
708062104
8
1033
SH
DFND
1
0
0
1033
PENNSYLVANIA RL ESTATE INVT
SH BEN INT
709102107
26
1738
SH
DFND
1
0
0
1738
PENNYMAC MTG INVT TR
COM
70931T103
27
1565
SH
DFND
1
0
0
1565
PIMCO CORPORATE INCOME STRAT
COM
72200U100
15
954
SH
DFND
1
0
0
954
PIMCO STRATEGIC INCOME FD IN
COM
72200X104
9
1021
SH
DFND
1
0
0
1021
PIMCO CORPORATE & INCOME OPP
COM
72201B101
15
1016
SH
DFND
1
0
0
1016
PIMCO INCOME STRATEGY FUND
COM
72201H108
3
353
SH
DFND
1
0
0
353
PIMCO INCOME STRATEGY FUND I
COM
72201J104
8
828
SH
DFND
1
0
0
828
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
33
1155
SH
DFND
1
0
0
1155
PIMCO GLOBAL STOCKSPLS INCM
COM
722011103
2
148
SH
DFND
1
0
0
148
PIMCO HIGH INCOME FD
COM SHS
722014107
16
1896
SH
DFND
1
0
0
1896
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
5
213
SH
DFND
1
0
0
213
PIMCO DYNMIC CREDIT AND MRT
COM SHS
72202D106
72
3368
SH
DFND
1
0
0
3368
PIONEER HIGH INCOME TR
COM
72369H106
4
408
SH
DFND
1
0
0
408
PIONEER FLOATING RATE TR
COM
72369J102
4
352
SH
DFND
1
0
0
352
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
233
7383
SH
DFND
1
0
0
7383
PREFERRED APT CMNTYS INC
COM
74039L103
7
595
SH
DFND
1
0
0
595
PRICELINE GRP INC
COM NEW
741503403
327
184
SH
DFND
1
0
0
184
PROSPECT CAPITAL CORPORATION
COM
74348T102
45
5073
SH
DFND
1
0
0
5073
PRUDENTIAL GLB SHT DUR HG YL
COM
74433A109
14
988
SH
DFND
1
0
0
988
PRUDENTIAL SHT DURATION HG Y
COM
74442F107
12
802
SH
DFND
1
0
0
802
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
15
2855
SH
DFND
1
0
0
2855
QIWI PLC
SPON ADR REP B
74735M108
109
6365
SH
DFND
1
0
0
6365
QUALCOMM INC
COM
747525103
118
2070
SH
DFND
1
0
0
2070
RAIT FINANCIAL TRUST
COM NEW
749227609
6
2001
SH
DFND
1
0
0
2001
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
26
1917
SH
DFND
1
0
0
1917
RED HAT INC
COM
756577102
175
2024
SH
DFND
1
0
0
2024
REDWOOD TR INC
COM
758075402
29
1795
SH
DFND
1
0
0
1795
RETAIL PPTYS AMER INC
CL A
76131V202
82
5743
SH
DFND
1
0
0
5743
REYNOLDS AMERICAN INC
COM
761713106
226
3588
SH
DFND
1
0
0
3588
ROCKWELL AUTOMATION INC
COM
773903109
257
1656
SH
DFND
1
0
0
1656
SEI INVESTMENTS CO
COM
784117103
220
4370
SH
DFND
1
0
0
4370
SCHEIN HENRY INC
COM
806407102
258
1518
SH
DFND
1
0
0
1518
SCHLUMBERGER LTD
COM
806857108
251
3220
SH
DFND
1
0
0
3220
SELECT INCOME REIT
COM SH BEN INT
81618T100
39
1538
SH
DFND
1
0
0
1538
SNAP ON INC
COM
833034101
186
1104
SH
DFND
1
0
0
1104
SOHU COM INC
COM
83408W103
391
9954
SH
DFND
1
0
0
9954
SOLAR CAP LTD
COM
83413U100
11
527
SH
DFND
1
0
0
527
SOLAR SR CAP LTD
COM
83416M105
3
202
SH
DFND
1
0
0
202
SOUTHWEST AIRLS CO
COM
844741108
257
4784
SH
DFND
1
0
0
4784
SPIRIT RLTY CAP INC
NEW COM
84860W102
118
11730
SH
DFND
1
0
0
11730
SPLUNK INC
COM
848637104
166
2668
SH
DFND
1
0
0
2668
STAG INDL INC
COM
85254J102
52
2080
SH
DFND
1
0
0
2080
STANLEY BLACK & DECKER INC
COM
854502101
207
1564
SH
DFND
1
0
0
1564
STARWOOD PPTY TR INC
COM
85571B105
132
5867
SH
DFND
1
0
0
5867
STELLUS CAP INVT CORP
COM
858568108
2
177
SH
DFND
1
0
0
177
STONE HBR EMERG MRKTS INC FD
COM
86164T107
5
374
SH
DFND
1
0
0
374
STORE CAP CORP
COM
862121100
90
3778
SH
DFND
1
0
0
3778
STRYKER CORP
COM
863667101
199
1518
SH
DFND
1
0
0
1518
SUMMIT MIDSTREAM PARTNERS LP
COM UNIT LTD
866142102
19
829
SH
DFND
1
0
0
829
SUNOCO LOGISTICS PRTNRS L P
COM UNITS
86764L108
526
14411
SH
DFND
1
0
0
14411
SUNOCO LP
COM U REP LP
86765K109
19
801
SH
DFND
1
0
0
801
SYNOPSYS INC
COM
871607107
248
3450
SH
DFND
1
0
0
3450
TC PIPELINES LP
UT COM LTD PRT
87233Q108
53
894
SH
DFND
1
0
0
894
TCW STRATEGIC INCOME FUND IN
COM
872340104
6
1165
SH
DFND
1
0
0
1165
TCP CAP CORP
COM
87238Q103
13
761
SH
DFND
1
0
0
761
THL CR INC
COM
872438106
4
473
SH
DFND
1
0
0
473
TICC CAPITAL CORP
COM
87244T109
5
733
SH
DFND
1
0
0
733
TPG SPECIALTY LENDING INC
COM
87265K102
12
596
SH
DFND
1
0
0
596
TALLGRASS ENERGY PARTNERS LP
COM UNIT
874697105
37
714
SH
DFND
1
0
0
714
TARGET CORP
COM
87612E106
129
2346
SH
DFND
1
0
0
2346
TARGA RES CORP
COM
87612G101
211
3529
SH
DFND
1
0
0
3529
TEMPLETON EMERG MKTS INCOME
COM
880192109
12
1150
SH
DFND
1
0
0
1150
TEMPLETON GLOBAL INCOME FD
COM
880198106
21
3218
SH
DFND
1
0
0
3218
TESORO LOGISTICS LP
COM UNIT LP
88160T107
66
1227
SH
DFND
1
0
0
1227
TEXTRON INC
COM
883203101
218
4600
SH
DFND
1
0
0
4600
THERMO FISHER SCIENTIFIC INC
COM
883556102
176
1150
SH
DFND
1
0
0
1150
TIME WARNER INC
COM NEW
887317303
161
1656
SH
DFND
1
0
0
1656
TRIANGLE CAP CORP
COM
895848109
11
580
SH
DFND
1
0
0
580
TRIPLEPOINT VENTURE GROWTH B
COM
89677Y100
3
231
SH
DFND
1
0
0
231
TRIPADVISOR INC
COM
896945201
91
2116
SH
DFND
1
0
0
2116
21VIANET GROUP INC
SPONSORED ADR
90138A103
128
23333
SH
DFND
1
0
0
23333
TWO HBRS INVT CORP
COM
90187B101
76
8021
SH
DFND
1
0
0
8021
UGI CORP
NEW COM
902681105
168
3404
SH
DFND
1
0
0
3404
UMH PPTYS INC
COM
903002103
9
627
SH
DFND
1
0
0
627
ULTA BEAUTY INC
COM
90384S303
65
230
SH
DFND
1
0
0
230
UNITI GROUP INC
COM ADDED
91325V108
81
3154
SH
DFND
1
0
0
3154
VARIAN MED SYS INC
COM
92220P105
146
1610
SH
DFND
1
0
0
1610
VEREIT INC
COM
92339V100
200
23638
SH
DFND
1
0
0
23638
VIPSHOP HLDGS LTD
SPONSORED ADR
92763W103
1333
99936
SH
DFND
1
0
0
99936
VIRTUS GLOBAL MULTI-SEC INC
COM
92829B101
4
267
SH
DFND
1
0
0
267
VMWARE INC
CL A COM
928563402
169
1840
SH
DFND
1
0
0
1840
VOYA PRIME RATE TR
SH BEN INT
92913A100
11
2088
SH
DFND
1
0
0
2088
W P CAREY INC
COM
92936U109
162
2608
SH
DFND
1
0
0
2608
WABTEC CORP
COM
929740108
165
2116
SH
DFND
1
0
0
2116
WADDELL & REED FINL INC
CL A
930059100
20
1230
SH
DFND
1
0
0
1230
WALGREENS BOOTS ALLIANCE INC
COM
931427108
183
2208
SH
DFND
1
0
0
2208
WASHINGTON PRIME GROUP
NEW COM
93964W108
39
4556
SH
DFND
1
0
0
4556
WEIBO CORP
SPONSORED ADR
948596101
493
9450
SH
DFND
1
0
0
9450
WELLS FARGO INCOME OPPORTUNI WF
INC OPPTY FD
94987B105
8
996
SH
DFND
1
0
0
996
WELLS FARGO MULTI SECTOR INC
COM
94987D101
7
580
SH
DFND
1
0
0
580
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
6
437
SH
DFND
1
0
0
437
WESTERN ASSET GLB HI INCOME
COM
95766B109
6
641
SH
DFND
1
0
0
641
WESTERN ASSET HIGH INCM FD I
COM
95766J102
15
2087
SH
DFND
1
0
0
2087
WESTERN ASSET HIGH INCM OPP
COM
95766K109
15
3113
SH
DFND
1
0
0
3113
WESTERN ASSET HGH YLD DFNDFD
COM
95768B107
8
552
SH
DFND
1
0
0
552
WESTERN ASSET INVT GRADE DEF
COM
95790A101
3
152
SH
DFND
1
0
0
152
WESTERN ASSET MTG DEF OPPTY
COM
95790B109
3
151
SH
DFND
1
0
0
151
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
3
211
SH
DFND
1
0
0
211
WESTERN DIGITAL CORP
COM
958102105
189
2300
SH
DFND
1
0
0
2300
WESTERN REFNG LOGISTICS LP
COM UNIT REP LTP
95931Q205
19
760
SH
DFND
1
0
0
760
WHITESTONE REIT
COM
966084204
9
706
SH
DFND
1
0
0
706
WILLIAMS PARTNERS L P
NEW COM UNIT LTD PAR
96949L105
182
4480
SH
DFND
1
0
0
4480
XILINX INC
COM
983919101
181
3128
SH
DFND
1
0
0
3128
XYLEM INC
COM
98419M100
207
4140
SH
DFND
1
0
0
4140
YY INC ADS
REPCOM CLA
98426T106
507
11012
SH
DFND
1
0
0
11012
ZIMMER BIOMET HLDGS INC
COM
98956P102
157
1288
SH
DFND
1
0
0
1288
ZOETIS INC
CL A
98978V103
159
2990
SH
DFND
1
0
0
2990
ESSENT GROUP LTD
COM
G3198U102
1350
37343
SH
DFND
3
0
0
37343
ACTIVISION BLIZZARD INC
COM
00507V109
191
3834
SH
DFND
3
0
0
3834
ADVANCED ENERGY INDS
COM
007973100
1371
20010
SH
DFND
3
0
0
20010
AIR LEASE CORP
CL A
00912X302
192
4974
SH
DFND
3
0
0
4974
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
763
7080
SH
DFND
3
0
0
7080
ANTERO MIDSTREAM PARTNERS LP
UNT LTD PARTN
03673L103
194
5864
SH
DFND
3
0
0
5864
APPLIED MATLS INC
COM
038222105
1338
34406
SH
DFND
3
0
0
34406
ARISTA NETWORKS INC
COM
040413106
1318
9969
SH
DFND
3
0
0
9969
AUTOHOME INC
SP ADR RP CL A
05278C107
372
11711
SH
DFND
3
0
0
11711
BIOTELEMETRY INC
COM
090672106
1158
40032
SH
DFND
3
0
0
40032
CAVIUM INC
COM
14964U108
380
5307
SH
DFND
3
0
0
5307
CIRRUS LOGIC INC
COM
172755100
763
12573
SH
DFND
3
0
0
12573
CITIZENS FINL GROUP INC
COM
174610105
1129
32687
SH
DFND
3
0
0
32687
COGNEX CORP
COM
192422103
1364
16258
SH
DFND
3
0
0
16258
COHERENT INC
COM
192479103
1142
5557
SH
DFND
3
0
0
5557
COMMSCOPE HLDG CO INC
COM
20337X109
773
18534
SH
DFND
3
0
0
18534
CRITEO S A
SPONS ADS
226718104
746
14936
SH
DFND
3
0
0
14936
DAVE & BUSTERS ENTMT INC
COM
238337109
1312
21477
SH
DFND
3
0
0
21477
EQUIFAX INC
COM
294429105
191
1400
SH
DFND
3
0
0
1400
EVERCORE PARTNERS INC
CLASS A
29977A105
1155
14839
SH
DFND
3
0
0
14839
FACEBOOK INC
CL A
30303M102
382
2692
SH
DFND
3
0
0
2692
IDEXX LABS INC
COM
45168D104
767
4962
SH
DFND
3
0
0
4962
INTERDIGITAL INC
COM
45867G101
385
4463
SH
DFND
3
0
0
4463
LAM RESEARCH CORP
COM
512807108
383
2987
SH
DFND
3
0
0
2987
LOGMEIN INC
COM
54142L109
192
1973
SH
DFND
3
0
0
1973
MASIMO CORP
COM
574795100
1141
12239
SH
DFND
3
0
0
12239
MERCURY SYS INC
COM
589378108
1141
29227
SH
DFND
3
0
0
29227
MICROCHIP TECHNOLOGY INC
COM
595017104
766
10384
SH
DFND
3
0
0
10384
MOMO INC
ADR
60879B107
769
22582
SH
DFND
3
0
0
22582
MONOLITHIC PWR SYS INC
COM
609839105
758
8236
SH
DFND
3
0
0
8236
NETEASE INC
SPONSORED ADR
64110W102
1310
4616
SH
DFND
3
0
0
4616
NVIDIA CORP
COM
67066G104
1350
12402
SH
DFND
3
0
0
12402
NUTRI SYS INC
NEW COM
67069D108
1366
24620
SH
DFND
3
0
0
24620
PRA HEALTH SCIENCES INC
COM
69354M108
773
11851
SH
DFND
3
0
0
11851
PAYCOM SOFTWARE INC
COM
70432V102
1165
20270
SH
DFND
3
0
0
20270
PRICELINE GRP INC
COM NEW
741503403
1139
640
SH
DFND
3
0
0
640
QORVO INC
COM
74736K101
191
2795
SH
DFND
3
0
0
2795
RADIAN GROUP INC
COM
750236101
381
21266
SH
DFND
3
0
0
21266
REALPAGE INC
COM
75606N109
385
11033
SH
DFND
3
0
0
11033
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
190
5374
SH
DFND
3
0
0
5374
SCHWAB CHARLES CORP
NEW COM
808513105
192
4712
SH
DFND
3
0
0
4712
SEACOAST BKG CORP FLA
COM NEW
811707801
1159
48332
SH
DFND
3
0
0
48332
SINCLAIR BROADCAST GROUP INC
CL A
829226109
775
19152
SH
DFND
3
0
0
19152
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
375
11447
SH
DFND
3
0
0
11447
TAL ED GROUP ADS REPSTG
COM
874080104
1186
11131
SH
DFND
3
0
0
11131
ULTA BEAUTY INC
COM
90384S303
384
1349
SH
DFND
3
0
0
1349
VEEVA SYS INC
CL A COM
922475108
1339
26122
SH
DFND
3
0
0
26122
WEIBO CORP
SPONSORED ADR
948596101
385
7394
SH
DFND
3
0
0
7394
WINTRUST FINL CORP
COM
97650W108
193
2796
SH
DFND
3
0
0
2796
ZIONS BANCORPORATION
COM
989701107
194
4620
SH
DFND
3
0
0
4620
CIMPRESS N V
SHS EURO
N20146101
132
1536
SH
DFND
5
0
0
1536
MAKEMYTRIP LIMITED MAURITIUS
SHS
V5633W109
173
5027
SH
DFND
5
0
0
5027
AT&T INC
COM
00206R102
226
5460
SH
DFND
5
0
0
5460
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
149
1386
SH
DFND
5
0
0
1386
AMAZON COM INC
COM
023135106
360
407
SH
DFND
5
0
0
407
AMERICAN EXPRESS CO
COM
025816109
237
3000
SH
DFND
5
0
0
3000
AMERICAN EXPRESS CO
CALL
025816909
0
30
SH
Call
DFND
5
0
0
30
APPLE INC
COM
037833100
163
1140
SH
DFND
5
0
0
1140
BOEING CO
COM
097023105
417
2359
SH
DFND
5
0
0
2359
CHEVRON CORP
NEW COM
166764100
316
2947
SH
DFND
5
0
0
2947
CISCO SYS INC
COM
17275R102
282
8348
SH
DFND
5
0
0
8348
COCA COLA CO
COM
191216100
241
5700
SH
DFND
5
0
0
5700
COPART INC
COM
217204106
365
5897
SH
DFND
5
0
0
5897
CTRIP COM INTL LTD
AMERICAN DEP SHS
22943F100
155
3167
SH
DFND
5
0
0
3167
DISNEY WALT CO
COM DISNEY
254687106
408
3600
SH
DFND
5
0
0
3600
DU PONT E I DE NEMOURS & CO
COM
263534109
256
3199
SH
DFND
5
0
0
3199
EBAY INC
COM
278642103
373
11118
SH
DFND
5
0
0
11118
ETSY INC
COM
29786A106
294
27661
SH
DFND
5
0
0
27661
EXPEDIA INC
DEL COM NEW
30212P303
318
2525
SH
DFND
5
0
0
2525
FTD COS INC
COM
30281V108
304
15121
SH
DFND
5
0
0
15121
GOLDMAN SACHS GROUP INC
COM
38141G104
229
998
SH
DFND
5
0
0
998
GRUBHUB INC
COM
400110102
267
8130
SH
DFND
5
0
0
8130
HSN INC
COM
404303109
321
8663
SH
DFND
5
0
0
8663
HOME DEPOT INC
COM
437076102
405
2760
SH
DFND
5
0
0
2760
IAC INTERACTIVECORP
COM
44919P508
354
4807
SH
DFND
5
0
0
4807
INTERNATIONAL BUSINESS MACHS
COM
459200101
397
2280
SH
DFND
5
0
0
2280
ISHARES TR CORE DIV
GRWTH
46434V621
533
17534
SH
DFND
5
0
0
17534
JPMORGAN CHASE & CO
COM
46625H100
379
4320
SH
DFND
5
0
0
4320
JD COM INC
SPON ADR CL A
47215P106
165
5330
SH
DFND
5
0
0
5330
JUMEI INTL HLDG LTD
SPONSORED ADR
48138L107
98
26605
SH
DFND
5
0
0
26605
KRAFT HEINZ CO
COM
500754106
403
4440
SH
DFND
5
0
0
4440
LANDS END INC
NEW COM
51509F105
382
17819
SH
DFND
5
0
0
17819
LIBERTY INTERACTIVE CORP QVC GP
COM SER A
53071M104
310
15531
SH
DFND
5
0
0
15531
MCDONALDS CORP
COM
580135101
395
3049
SH
DFND
5
0
0
3049
MERCADOLIBRE INC
COM
58733R102
163
775
SH
DFND
5
0
0
775
MERCK & CO INC
COM
58933Y105
232
3660
SH
DFND
5
0
0
3660
MICROSOFT CORP
COM
594918104
239
3637
SH
DFND
5
0
0
3637
NETFLIX INC
COM
64110L106
380
2574
SH
DFND
5
0
0
2574
NIKE INC
CL B
654106103
227
4080
SH
DFND
5
0
0
4080
NIKE INC
CALL
654106903
0
40
SH
Call
DFND
5
0
0
40
NUTRI SYS INC
NEW COM
67069D108
524
9445
SH
DFND
5
0
0
9445
FLWS/1-800 FLOWERS
CL A
68243Q106
320
31453
SH
DFND
5
0
0
31453
OVERSTOCK COM INC
DEL COM
690370101
336
19535
SH
DFND
5
0
0
19535
PAYPAL HLDGS INC
COM
70450Y103
327
7623
SH
DFND
5
0
0
7623
PETMED EXPRESS INC
COM
716382106
321
15979
SH
DFND
5
0
0
15979
PRICELINE GRP INC
COM NEW
741503403
355
200
SH
DFND
5
0
0
200
PROCTER AND GAMBLE CO
COM
742718109
242
2700
SH
DFND
5
0
0
2700
RETAILMENOT INC
COM SER 1
76132B106
286
35339
SH
DFND
5
0
0
35339
SCHWAB STRATEGIC TR US LCAP VA
ETF
808524409
574
11572
SH
DFND
5
0
0
11572
SCHWAB STRATEGIC TR US DIVIDEND
EQ
808524797
580
13018
SH
DFND
5
0
0
13018
SHOPIFY INC
CL A
82509L107
224
3300
SH
DFND
5
0
0
3300
SHUTTERFLY INC
COM
82568P304
306
6344
SH
DFND
5
0
0
6344
SOUTHERN CO
COM
842587107
229
4620
SH
DFND
5
0
0
4620
STAMPS COM INC
COM NEW
852857200
358
3026
SH
DFND
5
0
0
3026
TEXAS INSTRS INC
COM
882508104
251
3120
SH
DFND
5
0
0
3120
3M CO
COM
88579Y101
401
2100
SH
DFND
5
0
0
2100
TRIPADVISOR INC
COM
896945201
257
5975
SH
DFND
5
0
0
5975
UNITED TECHNOLOGIES CORP
COM
913017109
151
1350
SH
DFND
5
0
0
1350
UNITEDHEALTH GROUP INC
COM
91324P102
393
2400
SH
DFND
5
0
0
2400
VANGUARD WORLD FD MEGA CAP VAL
ETF
921910840
505
7380
SH
DFND
5
0
0
7380
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
547
7050
SH
DFND
5
0
0
7050
VIPSHOP HLDGS LTD
SPONSORED ADR
92763W103
138
10368
SH
DFND
5
0
0
10368
VISA INC COM
CL A
92826C839
235
2648
SH
DFND
5
0
0
2648
WAYFAIR INC
CL A
94419L101
374
9247
SH
DFND
5
0
0
9247
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
1328
28916
SH
DFND
4
0
0
28916
ALCOA CORP
COM
013872106
1262
36703
SH
DFND
4
0
0
36703
AMERICAN AIRLS GROUP INC
COM
02376R102
1038
24559
SH
DFND
4
0
0
24559
APPLIED MATLS INC
COM
038222105
1408
36196
SH
DFND
4
0
0
36196
CIT GROUP INC
COM NEW
125581801
1185
27612
SH
DFND
4
0
0
27612
CSX CORP
COM
126408103
1470
31596
SH
DFND
4
0
0
31596
CITIZENS FINL GROUP INC
COM
174610105
1168
33820
SH
DFND
4
0
0
33820
CORNING INC
COM
219350105
1203
44569
SH
DFND
4
0
0
44569
DANAHER CORP
DEL COM
235851102
1144
13384
SH
DFND
4
0
0
13384
FIFTH THIRD BANCORP
COM
316773100
1271
50051
SH
DFND
4
0
0
50051
INCYTE CORP
COM
45337C102
1148
8590
SH
DFND
4
0
0
8590
MARRIOTT INTL INC
NEW CL A
571903202
1307
13881
SH
DFND
4
0
0
13881
MICROCHIP TECHNOLOGY INC
COM
595017104
1299
17616
SH
DFND
4
0
0
17616
MORGAN STANLEY
COM NEW
617446448
1203
28100
SH
DFND
4
0
0
28100
NETAPP INC
COM
64110D104
1297
31002
SH
DFND
4
0
0
31002
NETFLIX INC
COM
64110L106
1303
8816
SH
DFND
4
0
0
8816
NVIDIA CORP
COM
67066G104
2079
19089
SH
DFND
4
0
0
19089
ONEOK INC
NEW COM
682680103
1271
22931
SH
DFND
4
0
0
22931
REGIONS FINL CORP
NEW COM
7591EP100
1237
85190
SH
DFND
4
0
0
85190
SCHWAB CHARLES CORP
NEW COM
808513105
1199
29391
SH
DFND
4
0
0
29391
TD AMERITRADE HLDG CORP
COM
87236Y108
1112
28625
SH
DFND
4
0
0
28625
ULTA BEAUTY INC
COM
90384S303
1189
4172
SH
DFND
4
0
0
4172
UNITED CONTL HLDGS INC
COM
910047109
1175
16636
SH
DFND
4
0
0
16636
WASTE MGMT INC
DEL COM
94106L109
1251
17167
SH
DFND
4
0
0
17167
WESTROCK CO
COM
96145D105
1174
22575
SH
DFND
4
0
0
22575