Executive Vice President

0001420506-17-000179.txt : 20170214 0001420506-17-000179.hdr.sgml : 20170214 20170214093301 ACCESSION NUMBER: 0001420506-17-000179 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Compagnie Lombard Odier SCmA CENTRAL INDEX KEY: 0001615423 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16235 FILM NUMBER: 17603112 BUSINESS ADDRESS: STREET 1: RUE DE LA CORRATERIE 18 CITY: 1204 GENEVA STATE: V8 ZIP: CH1204 BUSINESS PHONE: 44 22 709 2111 MAIL ADDRESS: STREET 1: RUE DE LA CORRATERIE 18 CITY: 1204 GENEVA STATE: V8 ZIP: CH1204 FORMER COMPANY: FORMER CONFORMED NAME: Compagnie Odier SCA DATE OF NAME CHANGE: 20160205 FORMER COMPANY: FORMER CONFORMED NAME: Compagnie Lombard, Odier SCA DATE OF NAME CHANGE: 20140731 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001615423 XXXXXXXX 12-31-2016 12-31-2016 false Compagnie Lombard Odier SCmA

RUE DE LA CORRATERIE 18 1204 GENEVA V8 CH1204

13F COMBINATION REPORT 028-16235 0001535660 028-16247 Lombard Odier Asset Management (Switzerland) SA 0001491719 028-13939 Lombard Odier Asset Management (USA) Corp 0001535784 028-16246 Lombard Odier Asset Management (Europe) Ltd N Dominic Stearns Executive Vice President 44 22 709 2111 Dominic Stearns, Executive Vice President 1204 GENEVA V8 02-14-2017 2 1120 3417295 false 1 0001106185 028-16234 Bank Lombard Odier & Co Ltd 2 0001528147 028-16548 Lombard Odier Transatlantic, Limited Partnership INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR COMPAGNIE LOMBARD ODIER SCMA 3-D SYS CORP DEL COM NEW 88554D205 68 5100 SH DFND 5100 0 0 3M CO COM 88579Y101 344 1924 SH DFND 1924 0 0 ABBVIE INC COM 00287Y109 13980 223261 SH DFND 223261 0 0 ACHILLION PHARMACEUTICALS IN COM 00448Q201 95 23000 SH DFND 23000 0 0 ACTINIUM PHARMACEUTICALS INC COM 00507W107 4 5000 SH DFND 5000 0 0 ACTIVISION BLIZZARD INC COM 00507V109 54 1500 SH DFND 1500 0 0 ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 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20000 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06740Q252 377 14743 SH DFND 1 14743 0 0 BARCLAYS BK PLC IPMS INDIA ETN 06739F291 2692 43000 SH DFND 1 43000 0 0 BARCLAYS BK PLC IPSP CROIL ETN 06738C786 24 3800 SH DFND 1 3800 0 0 BARCLAYS PLC ADR 06738E204 75 6800 SH DFND 1 6800 0 0 BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 628 600000 PRN DFND 1 600000 0 0 BARRACUDA NETWORKS INC COM 068323104 64 3000 SH DFND 1 3000 0 0 BARRICK GOLD CORP COM 067901108 6681 417065 SH DFND 1 417065 0 0 BAXTER INTL INC COM 071813109 15 328 SH DFND 1 328 0 0 BAYTEX ENERGY CORP COM 07317Q105 5 1000 SH DFND 1 1000 0 0 BB&T CORP COM 054937107 7809 166078 SH DFND 1 166078 0 0 BCE INC COM NEW 05534B760 69 1602 SH DFND 1 1602 0 0 BED BATH & BEYOND INC COM 075896100 963 23700 SH DFND 1 23700 0 0 BELLATRIX EXPLORATION LTD COM 078314101 72 75000 SH DFND 1 75000 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 2197 9 SH DFND 1 9 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4470 27435 SH DFND 1 27435 0 0 BERRY PLASTICS GROUP 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1 385400 0 0 BROWN & BROWN INC COM 115236101 2938 65500 SH DFND 1 65500 0 0 BUNGE LIMITED COM G16962105 1903 26345 SH DFND 1 26345 0 0 BURCON NUTRASCIENCE CORP COM 120831102 22 11176 SH DFND 1 11176 0 0 CA INC COM 12673P105 73 2305 SH DFND 1 2305 0 0 CABOT OIL & GAS CORP COM 127097103 35 1500 SH DFND 1 1500 0 0 CADIZ INC COM NEW 127537207 157 12700 SH DFND 1 12700 0 0 CALIFORNIA RES CORP COM NEW 13057Q206 1 139 SH DFND 1 139 0 0 CALLAWAY GOLF CO COM 131193104 33 3000 SH DFND 1 3000 0 0 CAMECO CORP COM 13321L108 369 35060 SH DFND 1 35060 0 0 CAMPBELL SOUP CO COM 134429109 6652 110000 SH DFND 1 110000 0 0 CANADIAN NATL RY CO COM 136375102 162 2400 SH DFND 1 2400 0 0 CAPITAL ONE FINL CORP COM 14040H105 157 1800 SH DFND 1 1800 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 132 2540 SH DFND 1 2540 0 0 CATERPILLAR INC DEL COM 149123101 1752 18895 SH DFND 1 18895 0 0 CDN IMPERIAL BK COMM TORONTO COM 136069101 208 2550 SH DFND 1 2550 0 0 CELGENE CORP COM 151020104 672 5800 SH DFND 1 5800 0 0 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0 0 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 265 82130 SH DFND 1 82130 0 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 1372 121625 SH DFND 1 121625 0 0 CONFORMIS INC COM 20717E101 12 1500 SH DFND 1 1500 0 0 CONOCOPHILLIPS COM 20825C104 753 15009 SH DFND 1 15009 0 0 CONSOLIDATED EDISON INC COM 209115104 506 6865 SH DFND 1 6865 0 0 CORNING INC COM 219350105 336 13850 SH DFND 1 13850 0 0 COSAN LTD SHS A G25343107 15 2000 SH DFND 1 2000 0 0 COSTCO WHSL CORP NEW COM 22160K105 296 1850 SH DFND 1 1850 0 0 CREDIT SUISSE AG NASSAU BRH NT LKD 30 22539T274 0 6 SH DFND 1 6 0 0 CREE INC COM 225447101 102 3850 SH DFND 1 3850 0 0 CRITEO S A SPONS ADS 226718104 565 13771 SH DFND 1 13771 0 0 CST BRANDS INC COM 12646R105 1 27 SH DFND 1 27 0 0 CSX CORP COM 126408103 611 17000 SH DFND 1 17000 0 0 CTI BIOPHARMA CORP COM 12648L106 3 8000 SH DFND 1 8000 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 12160 304000 SH DFND 1 304000 0 0 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 959 990000 PRN DFND 1 990000 0 0 CUMMINS INC COM 231021106 160 1172 SH DFND 1 1172 0 0 CVS HEALTH CORP COM 126650100 216 2744 SH DFND 1 2744 0 0 CYTOKINETICS INC COM NEW 23282W605 243 20000 SH DFND 1 20000 0 0 DANAHER CORP DEL COM 235851102 2150 27625 SH DFND 1 27625 0 0 DARDEN RESTAURANTS INC COM 237194105 80 1107 SH DFND 1 1107 0 0 DBV TECHNOLOGIES S A SPONSORED ADR 23306J101 42 1200 SH DFND 1 1200 0 0 DEERE & CO COM 244199105 4291 41650 SH DFND 1 41650 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 638 11640 SH DFND 1 11640 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 21221 315062 SH DFND 1 315062 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 611 12411 SH DFND 1 12411 0 0 DENTSPLY SIRONA INC COM 24906P109 4618 80000 SH DFND 1 80000 0 0 DESTINATION XL GROUP INC COM 25065K104 15 3500 SH DFND 1 3500 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 454 24905 SH DFND 1 24905 0 0 DEVON ENERGY CORP NEW COM 25179M103 87 1900 SH DFND 1 1900 0 0 DEXCOM INC COM 252131107 49276 825008 SH DFND 1 825008 0 0 DIAGEO 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DFND 1 3215 0 0 EATON CORP PLC SHS G29183103 287 4259 SH DFND 1 4259 0 0 EBAY INC COM 278642103 841 28339 SH DFND 1 28339 0 0 ECOLAB INC COM 278865100 927 7905 SH DFND 1 7905 0 0 EDAP TMS S A SPONSORED ADR 268311107 247 75000 SH DFND 1 75000 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 332 3550 SH DFND 1 3550 0 0 EL POLLO LOCO HLDGS INC COM 268603107 102 8300 SH DFND 1 8300 0 0 ELDORADO GOLD CORP NEW COM 284902103 2156 669250 SH DFND 1 669250 0 0 ELECTRONIC ARTS INC COM 285512109 165 2098 SH DFND 1 2098 0 0 EMCORE CORP COM NEW 290846203 86 10000 SH DFND 1 10000 0 0 EMERSON ELEC CO COM 291011104 140 2494 SH DFND 1 2494 0 0 ENBRIDGE INC COM 29250N105 266 6305 SH DFND 1 6305 0 0 ENCANA CORP COM 292505104 113 9548 SH DFND 1 9548 0 0 ENDEAVOUR SILVER CORP COM 29258Y103 26 7400 SH DFND 1 7400 0 0 ENERGOUS CORP COM 29272C103 51 3000 SH DFND 1 3000 0 0 ENERSYS COM 29275Y102 39 500 SH DFND 1 500 0 0 ENI S P A SPONSORED ADR 26874R108 26 800 SH DFND 1 800 0 0 ENSCO PLC SHS CLASS A G3157S106 389 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COM 35906A108 1 360 SH DFND 1 360 0 0 GALLAGHER ARTHUR J & CO COM 363576109 81 1572 SH DFND 1 1572 0 0 GAMESTOP CORP NEW CL A 36467W109 1245 49300 SH DFND 1 49300 0 0 GARMIN LTD SHS H2906T109 97 2008 SH DFND 1 2008 0 0 GENERAL DYNAMICS CORP COM 369550108 17 100 SH DFND 1 100 0 0 GENERAL ELECTRIC CO COM 369604103 31361 992393 SH DFND 1 992393 0 0 GENERAL MLS INC COM 370334104 94173 1524580 SH DFND 1 1524580 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 1328 77328 SH DFND 1 77328 0 0 GENERAL MTRS CO COM 37045V100 1452 41682 SH DFND 1 41682 0 0 GERDAU S A SPON ADR REP PFD 373737105 179 56805 SH DFND 1 56805 0 0 GILDAN ACTIVEWEAR INC COM 375916103 166 6560 SH DFND 1 6560 0 0 GILEAD SCIENCES INC COM 375558103 53310 744466 SH DFND 1 744466 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 2314 60083 SH DFND 1 60083 0 0 GLOBAL X FDS GBL X MSCI NGR 37950E424 29 6800 SH DFND 1 6800 0 0 GOGO INC COM 38046C109 23 2500 SH DFND 1 2500 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 883 293400 SH DFND 1 293400 0 0 GOLDCORP INC NEW COM 380956409 9735 714100 SH DFND 1 714100 0 0 GOLDEN MINERALS CO COM 381119106 6 10160 SH DFND 1 10160 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2849 11900 SH DFND 1 11900 0 0 GOPRO INC CL A 38268T103 21 2500 SH DFND 1 2500 0 0 GRANITE REAL ESTATE INVT TR UNIT 99/99/9999 387437114 169 5055 SH DFND 1 5055 0 0 GREAT PANTHER SILVER LTD COM 39115V101 13 7900 SH DFND 1 7900 0 0 GRUPO FINANCIERO GALICIA S A SP ADR 10 SH B 399909100 380 14130 SH DFND 1 14130 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 78 700 SH DFND 1 700 0 0 HABIT RESTAURANTS INC COM CL A 40449J103 17 1000 SH DFND 1 1000 0 0 HAIN CELESTIAL GROUP INC COM 405217100 338 8655 SH DFND 1 8655 0 0 HALLIBURTON CO COM 406216101 800 14800 SH DFND 1 14800 0 0 HANESBRANDS INC COM 410345102 239 11070 SH DFND 1 11070 0 0 HARTE-HANKS INC COM 416196103 226 150000 SH DFND 1 150000 0 0 HECLA MNG CO COM 422704106 3527 673000 SH DFND 1 673000 0 0 HELMERICH & PAYNE INC COM 423452101 232 3000 SH DFND 1 3000 0 0 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8070 SH DFND 1 8070 0 0 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 2734 2840000 PRN DFND 1 2840000 0 0 ILLUMINA INC NOTE 6/1 452327AF6 2358 2460000 PRN DFND 1 2460000 0 0 IMPAX LABORATORIES INC NOTE 2.000% 6/1 45256BAE1 1100 1390000 PRN DFND 1 1390000 0 0 IMPERVA INC COM 45321L100 106 2800 SH DFND 1 2800 0 0 INCYTE CORP COM 45337C102 611 6100 SH DFND 1 6100 0 0 INFOSYS LTD SPONSORED ADR 456788108 997 67200 SH DFND 1 67200 0 0 INGERSOLL-RAND PLC SHS G47791101 35556 473719 SH DFND 1 473719 0 0 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 14 2000 SH DFND 1 2000 0 0 INTEL CORP COM 458140100 27375 754740 SH DFND 1 754740 0 0 INTEL CORP SDCV 12/1 458140AD2 12642 9340000 PRN DFND 1 9340000 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 39 3000 SH DFND 1 3000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3814 22985 SH DFND 1 22985 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 20662 175345 SH DFND 1 175345 0 0 INTEROIL CORP COM 460951106 48 1000 SH DFND 1 1000 0 0 INTUITIVE SURGICAL INC COM NEW 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TR 1-3 YR TR BD ETF 464287457 2631 31150 SH DFND 1 31150 0 0 ISHARES TR 20 YR TR BD ETF 464287432 7613 63900 SH DFND 1 63900 0 0 ISHARES TR 3-7 YR TR BD ETF 464288661 5447 44466 SH DFND 1 44466 0 0 ISHARES TR 7-10 Y TR BD ETF 464287440 4340 41400 SH DFND 1 41400 0 0 ISHARES TR ASIA 50 ETF 464288430 254 5500 SH DFND 1 5500 0 0 ISHARES TR CHINA ETF 46429B671 87 2000 SH DFND 1 2000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 745 21480 SH DFND 1 21480 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 246 3000 SH DFND 1 3000 0 0 ISHARES TR CORE MSCI EAFE 46432F842 4183 78000 SH DFND 1 78000 0 0 ISHARES TR CORE S&P MCP ETF 464287507 268 1620 SH DFND 1 1620 0 0 ISHARES TR CORE S&P SCP ETF 464287804 592 4300 SH DFND 1 4300 0 0 ISHARES TR CORE S&P500 ETF 464287200 236 1050 SH DFND 1 1050 0 0 ISHARES TR CUR HD EURZN ETF 46434V639 227 8535 SH DFND 1 8535 0 0 ISHARES TR EMGR MKT INF ETF 464288216 384 13673 SH DFND 1 13673 0 0 ISHARES TR EUROPE ETF 464287861 79 2030 SH DFND 1 2030 0 0 ISHARES TR FLTG RATE BD ETF 46429B655 101 2000 SH DFND 1 2000 0 0 ISHARES TR GLB CNS DISC ETF 464288745 38 425 SH DFND 1 425 0 0 ISHARES TR GLOBAL ENERG ETF 464287341 106 3050 SH DFND 1 3050 0 0 ISHARES TR GLOBAL FINLS ETF 464287333 33 570 SH DFND 1 570 0 0 ISHARES TR GLOBAL TECH ETF 464287291 37 340 SH DFND 1 340 0 0 ISHARES TR HDG MSCI EAFE 46434V803 97 3700 SH DFND 1 3700 0 0 ISHARES TR HDG MSCI GERMN 46434V704 115 4450 SH DFND 1 4450 0 0 ISHARES TR HDG MSCI JAPAN 46434V886 2405 86500 SH DFND 1 86500 0 0 ISHARES TR IBOXX HI YD ETF 464288513 402 4650 SH DFND 1 4650 0 0 ISHARES TR IBOXX INV CP ETF 464287242 1973 16840 SH DFND 1 16840 0 0 ISHARES TR INTL SEL DIV ETF 464288448 33 1100 SH DFND 1 1100 0 0 ISHARES TR INTL TREA BD ETF 464288117 25615 285182 SH DFND 1 285182 0 0 ISHARES TR JP MOR EM MK ETF 464288281 94 850 SH DFND 1 850 0 0 ISHARES TR LATN AMER 40 ETF 464287390 8 300 SH DFND 1 300 0 0 ISHARES TR MSCI ACWI ETF 464288257 1169 19750 SH DFND 1 19750 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 13009 371618 SH DFND 1 371618 0 0 ISHARES TR MSCI INDIA ETF 46429B598 68 2550 SH DFND 1 2550 0 0 ISHARES TR MSCI POL CAP ETF 46429B606 27 1475 SH DFND 1 1475 0 0 ISHARES TR NA NAT RES 464287374 413 11485 SH DFND 1 11485 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 70 265 SH DFND 1 265 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1680 15000 SH DFND 1 15000 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 309 2600 SH DFND 1 2600 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 497 3690 SH DFND 1 3690 0 0 ISHARES TR S&P 500 VAL ETF 464287408 6985 68900 SH DFND 1 68900 0 0 ISHARES TR TIPS BD ETF 464287176 11973 105800 SH DFND 1 105800 0 0 ISHARES TR U.S. CNSM SV ETF 464287580 389 2577 SH DFND 1 2577 0 0 ISHARES TR U.S. FINLS ETF 464287788 90 890 SH DFND 1 890 0 0 ISHARES TR U.S. PFD STK ETF 464288687 534 14350 SH DFND 1 14350 0 0 ISHARES TR U.S. TECH ETF 464287721 583 4850 SH DFND 1 4850 0 0 ISHARES TR US HLTHCR PR ETF 464288828 489 3900 SH DFND 1 3900 0 0 ISHARES TR US TREASURY ETF 46429B267 1446 58000 SH DFND 1 58000 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 300 29166 SH DFND 1 29166 0 0 ITT INC COM 45073V108 13 325 SH DFND 1 325 0 0 JA SOLAR HOLDINGS CO LTD SPON ADR REP5ORD 466090206 53 11100 SH DFND 1 11100 0 0 JACK IN THE BOX INC COM 466367109 22 200 SH DFND 1 200 0 0 JAZZ INVESTMENTS I LTD NOTE 1.875% 8/1 472145AB7 1572 1620000 PRN DFND 1 1620000 0 0 JD COM INC SPON ADR CL A 47215P106 2123 83490 SH DFND 1 83490 0 0 JDS UNIPHASE CORP DBCV 0.625% 8/1 46612JAF8 860 830000 PRN DFND 1 830000 0 0 JETBLUE AIRWAYS CORP COM 477143101 67 3000 SH DFND 1 3000 0 0 JOHNSON & JOHNSON COM 478160104 29783 258475 SH DFND 1 258475 0 0 JOHNSON CTLS INTL PLC SHS G51502105 129 3133 SH DFND 1 3133 0 0 JPMORGAN CHASE & CO COM 46625H100 65522 759361 SH DFND 1 759361 0 0 JPMORGAN CHINA REGION FD INC COM 48126T104 53 3361 SH DFND 1 3361 0 0 JUNIPER NETWORKS INC COM 48203R104 7 244 SH DFND 1 244 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 390 4600 SH DFND 1 4600 0 0 KARYOPHARM THERAPEUTICS INC COM 48576U106 17 1800 SH DFND 1 1800 0 0 KELLOGG CO COM 487836108 6634 90000 SH DFND 1 90000 0 0 KIMBERLY CLARK CORP COM 494368103 10305 90300 SH DFND 1 90300 0 0 KINDER MORGAN INC DEL COM 49456B101 50 2400 SH DFND 1 2400 0 0 KINROSS GOLD CORP COM NO PAR 496902404 3090 989200 SH DFND 1 989200 0 0 KITE PHARMA INC COM 49803L109 269 6000 SH DFND 1 6000 0 0 KLONDEX MNS LTD COM 498696103 1976 424000 SH DFND 1 424000 0 0 KRAFT HEINZ CO COM 500754106 23911 273827 SH DFND 1 273827 0 0 KROGER CO COM 501044101 5135 148794 SH DFND 1 148794 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 2049 15950 SH DFND 1 15950 0 0 LAM RESEARCH CORP COM 512807108 39 370 SH DFND 1 370 0 0 LAS VEGAS SANDS CORP COM 517834107 64 1193 SH DFND 1 1193 0 0 LAUDER ESTEE COS INC CL A 518439104 963 12590 SH DFND 1 12590 0 0 LEJU HLDGS LTD SPONSORED ADS 50187J108 0 100 SH DFND 1 100 0 0 LENDINGCLUB CORP COM 52603A109 37 7000 SH DFND 1 7000 0 0 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 113 2008 SH DFND 1 2008 0 0 LIBERTY INTERACTIVE LLC DEB 1.750% 9/3 530610AD6 2170 2000000 PRN DFND 1 2000000 0 0 LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 2768 2560000 PRN DFND 1 2560000 0 0 LILLY ELI & CO COM 532457108 935 12712 SH DFND 1 12712 0 0 LINCOLN NATL CORP IND COM 534187109 331 5000 SH DFND 1 5000 0 0 LOCKHEED MARTIN CORP COM 539830109 49 200 SH DFND 1 200 0 0 LOGITECH INTL S A SHS H50430232 12008 480678 SH DFND 1 480678 0 0 LOWES COS INC COM 548661107 43 600 SH DFND 1 600 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 145 1690 SH DFND 1 1690 0 0 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 892 760000 PRN DFND 1 760000 0 0 MACROGENICS INC COM 556099109 49 2400 SH DFND 1 2400 0 0 MAG SILVER CORP COM 55903Q104 1028 93300 SH DFND 1 93300 0 0 MAGNA INTL INC COM 559222401 592 13625 SH DFND 1 13625 0 0 MAGNEGAS CORP COM NEW 55939L202 45 100000 SH DFND 1 100000 0 0 MALLINCKRODT PUB LTD CO SHS G5785G107 1 11 SH DFND 1 11 0 0 MANULIFE FINL CORP COM 56501R106 50 2800 SH DFND 1 2800 0 0 MARATHON PETE CORP COM 56585A102 492 9767 SH DFND 1 9767 0 0 MARRIOTT INTL INC NEW CL A 571903202 58 700 SH DFND 1 700 0 0 MARSH & MCLENNAN COS INC COM 571748102 897 13270 SH DFND 1 13270 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 7 500 SH DFND 1 500 0 0 MASTERCARD INCORPORATED CL A 57636Q104 386 3740 SH DFND 1 3740 0 0 MCDONALDS CORP COM 580135101 18838 154805 SH DFND 1 154805 0 0 MCKESSON CORP COM 58155Q103 408 2906 SH DFND 1 2906 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 11519 162783 SH DFND 1 162783 0 0 MEDTRONIC PLC SHS G5960L103 14731 206804 SH DFND 1 206804 0 0 MELCO CROWN ENTMT LTD ADR 585464100 13 800 SH DFND 1 800 0 0 MERCK & CO INC COM 58933Y105 35535 603553 SH DFND 1 603553 0 0 METHODE ELECTRS INC COM 591520200 6 150 SH DFND 1 150 0 0 METLIFE INC COM 59156R108 33888 628800 SH DFND 1 628800 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 1469 34200 SH DFND 1 34200 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 49 761 SH DFND 1 761 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 4092 3140000 PRN DFND 1 3140000 0 0 MICRON TECHNOLOGY INC COM 595112103 1375 62750 SH DFND 1 62750 0 0 MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 1594 1600000 PRN DFND 1 1600000 0 0 MICROSOFT CORP COM 594918104 30506 490936 SH DFND 1 490936 0 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 458 50250 SH DFND 1 50250 0 0 MOBILEYE N V AMSTELVEEN ORD SHS N51488117 462 12100 SH DFND 1 12100 0 0 MODUSLINK GLOBAL SOLUTIONS I COM NEW 60786L206 2 800 SH DFND 1 800 0 0 MONDELEZ INTL INC CL A 609207105 101167 2282290 SH DFND 1 2282290 0 0 MONSANTO CO NEW COM 61166W101 10738 102046 SH DFND 1 102046 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 244 5500 SH DFND 1 5500 0 0 MOODYS CORP COM 615369105 264 2800 SH DFND 1 2800 0 0 MORGAN STANLEY COM NEW 617446448 4069 96291 SH DFND 1 96291 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 337 19831 SH DFND 1 19831 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 29 1000 SH DFND 1 1000 0 0 MOSAIC CO NEW COM 61945C103 264 9000 SH DFND 1 9000 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 521 6285 SH DFND 1 6285 0 0 MYLAN N V SHS EURO N59465109 1022 26780 SH DFND 1 26780 0 0 NATIONAL OILWELL VARCO INC COM 637071101 52 1380 SH DFND 1 1380 0 0 NAVISTAR INTL CORP NEW COM 63934E108 6 200 SH DFND 1 200 0 0 NETEASE INC SPONSORED ADR 64110W102 445 2065 SH DFND 1 2065 0 0 NETFLIX INC COM 64110L106 675 5450 SH DFND 1 5450 0 0 NETSCOUT SYS INC COM 64115T104 71 2258 SH DFND 1 2258 0 0 NEW GOLD INC CDA COM 644535106 3014 858000 SH DFND 1 858000 0 0 NEWMONT MINING CORP COM 651639106 10263 301235 SH DFND 1 301235 0 0 NEXPOINT CR STRATEGIES FD COM NEW 65340G205 1 37 SH DFND 1 37 0 0 NEXPOINT RESIDENTIAL TR INC COM 65341D102 1 49 SH DFND 1 49 0 0 NIKE INC CL B 654106103 2307 45344 SH DFND 1 45344 0 0 NOBLE CORP PLC SHS USD G65431101 21 3500 SH DFND 1 3500 0 0 NOBLE ENERGY INC COM 655044105 23098 606914 SH DFND 1 606914 0 0 NOKIA CORP SPONSORED ADR 654902204 8 1713 SH DFND 1 1713 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 13 2150 SH DFND 1 2150 0 0 NORTEL INVERSORA S A SPON ADR PFD B 656567401 164 6300 SH DFND 1 6300 0 0 NORTHROP GRUMMAN CORP COM 666807102 356 1530 SH DFND 1 1530 0 0 NOVAGOLD RES INC COM NEW 66987E206 824 180000 SH DFND 1 180000 0 0 NOVARTIS A G SPONSORED ADR 66987V109 347 4772 SH DFND 1 4772 0 0 NUCOR CORP COM 670346105 118 1978 SH DFND 1 1978 0 0 NVIDIA CORP COM 67066G104 134 1254 SH DFND 1 1254 0 0 NXP SEMICONDUCTORS N V COM N6596X109 955 9739 SH DFND 1 9739 0 0 NXP SEMICONDUCTORS N V DBCV 1.000%12/0 62952QAB6 3186 2800000 PRN DFND 1 2800000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 6374 89526 SH DFND 1 89526 0 0 OCEAN RIG UDW INC SHS G66964100 344 198000 SH DFND 1 198000 0 0 OCLARO INC COM NEW 67555N206 224 25000 SH DFND 1 25000 0 0 OCULAR THERAPEUTIX INC COM 67576A100 19 2200 SH DFND 1 2200 0 0 OHR PHARMACEUTICAL INC COM NEW 67778H200 6 4000 SH DFND 1 4000 0 0 OI S A SPONSORED ADR NE 670851500 0 2 SH DFND 1 2 0 0 OIL STS INTL INC COM 678026105 682 17500 SH DFND 1 17500 0 0 OLD REP INTL CORP NOTE 3.750% 3/1 680223AH7 1190 940000 PRN DFND 1 940000 0 0 ON DECK CAP INC COM 682163100 16 3500 SH DFND 1 3500 0 0 ONCOMED PHARMACEUTICALS INC COM 68234X102 12 1500 SH DFND 1 1500 0 0 ORACLE CORP COM 68389X105 3605 93787 SH DFND 1 93787 0 0 OREXIGEN THERAPEUTICS INC COM NEW 686164302 2 1000 SH DFND 1 1000 0 0 OSIRIS THERAPEUTICS INC NEW COM 68827R108 128 26000 SH DFND 1 26000 0 0 OVASCIENCE INC COM 69014Q101 5 3400 SH DFND 1 3400 0 0 PACCAR INC COM 693718108 49 766 SH DFND 1 766 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 654 172200 SH DFND 1 172200 0 0 PACIFIC DRILLING SA LUXEMBOU SHS NEW L7257P114 151 37500 SH DFND 1 37500 0 0 PALO ALTO NETWORKS INC COM 697435105 52610 420492 SH DFND 1 420492 0 0 PAMPA ENERGIA S A SPONS ADR LVL I 697660207 265 7600 SH DFND 1 7600 0 0 PAN AMERICAN SILVER CORP COM 697900108 57 3760 SH DFND 1 3760 0 0 PAPA MURPHYS HLDGS INC COM 698814100 114 27100 SH DFND 1 27100 0 0 PARKER HANNIFIN CORP COM 701094104 31 220 SH DFND 1 220 0 0 PAYPAL HLDGS INC COM 70450Y103 2009 50892 SH DFND 1 50892 0 0 PDL BIOPHARMA INC COM 69329Y104 6 2720 SH DFND 1 2720 0 0 PEMBINA PIPELINE CORP COM 706327103 150 4800 SH DFND 1 4800 0 0 PENGROWTH ENERGY CORP COM 70706P104 34 23625 SH DFND 1 23625 0 0 PENN WEST PETE LTD NEW COM 707887105 352 199000 SH DFND 1 199000 0 0 PENNEY J C INC COM 708160106 33 4000 SH DFND 1 4000 0 0 PEPSICO INC COM 713448108 1521 14537 SH DFND 1 14537 0 0 PERSHING GOLD CORP COM NEW 715302204 36 11111 SH DFND 1 11111 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 168 18955 SH DFND 1 18955 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1310 129535 SH DFND 1 129535 0 0 PFIZER INC COM 717081103 9401 289499 SH DFND 1 289499 0 0 PGT INNOVATIONS INC COM 69336V101 23 2000 SH DFND 1 2000 0 0 PHH CORP COM NEW 693320202 2 100 SH DFND 1 100 0 0 PHILIP MORRIS INTL INC COM 718172109 3465 37901 SH DFND 1 37901 0 0 PHILLIPS 66 COM 718546104 99 1144 SH DFND 1 1144 0 0 PIONEER NAT RES CO COM 723787107 108 600 SH DFND 1 600 0 0 POLARIS INDS INC COM 731068102 7 90 SH DFND 1 90 0 0 POPEYES LA KITCHEN INC COM 732872106 18 300 SH DFND 1 300 0 0 POTASH CORP SASK INC COM 73755L107 6475 357458 SH DFND 1 357458 0 0 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 148 6000 SH DFND 1 6000 0 0 POWERSHARES INDIA ETF TR INDIA PORT 73935L100 78 4020 SH DFND 1 4020 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 10475 88416 SH DFND 1 88416 0 0 PPG INDS INC COM 693506107 5327 56192 SH DFND 1 56192 0 0 PRAXAIR INC COM 74005P104 10302 87894 SH DFND 1 87894 0 0 PRETIUM RES INC COM 74139C102 1103 133000 SH DFND 1 133000 0 0 PRICE T ROWE GROUP INC COM 74144T108 98 1300 SH DFND 1 1300 0 0 PRICELINE GRP INC COM NEW 741503403 17937 12235 SH DFND 1 12235 0 0 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 10896 8540000 PRN DFND 1 8540000 0 0 PRIMORIS SVCS CORP COM 74164F103 23 1000 SH DFND 1 1000 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 100 1715 SH DFND 1 1715 0 0 PROCTER AND GAMBLE CO CALL 742718909 1 1500 SH Call DFND 1 1500 0 0 PROCTER AND GAMBLE CO COM 742718109 21656 257556 SH DFND 1 257556 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 184 4500 SH DFND 1 4500 0 0 PROSHARES TR SHORT QQQ NEW 74347B714 57 1200 SH DFND 1 1200 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 4942 135250 SH DFND 1 135250 0 0 PROSHARES TR ULTRA FNCLS NEW 74347X633 601 6500 SH DFND 1 6500 0 0 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 1970 1990000 PRN DFND 1 1990000 0 0 PROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1 74348TAM4 1012 960000 PRN DFND 1 960000 0 0 PRUDENTIAL PLC ADR 74435K204 44 1100 SH DFND 1 1100 0 0 PUBLIC STORAGE COM 74460D109 120 536 SH DFND 1 536 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 215 4908 SH DFND 1 4908 0 0 PVH CORP COM 693656100 553 6134 SH DFND 1 6134 0 0 QUALCOMM INC COM 747525103 623 9554 SH DFND 1 9554 0 0 RANDGOLD RES LTD ADR 752344309 3030 39700 SH DFND 1 39700 0 0 RANGE RES CORP COM 75281A109 16795 488851 SH DFND 1 488851 0 0 RAYONIER INC COM 754907103 27 1000 SH DFND 1 1000 0 0 RAYTHEON CO COM NEW 755111507 71 500 SH DFND 1 500 0 0 RED HAT INC COM 756577102 13549 194400 SH DFND 1 194400 0 0 RED HAT INC NOTE 0.250%10/0 756577AD4 6288 5320000 PRN DFND 1 5320000 0 0 REGULUS THERAPEUTICS INC COM 75915K101 11 5000 SH DFND 1 5000 0 0 REPROS THERAPEUTICS INC COM NEW 76028H209 8 6000 SH DFND 1 6000 0 0 REPUBLIC SVCS INC COM 760759100 29 500 SH DFND 1 500 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 617 12942 SH DFND 1 12942 0 0 REYNOLDS AMERICAN INC COM 761713106 124 2226 SH DFND 1 2226 0 0 RICHMONT MINES INC COM 76547T106 635 97750 SH DFND 1 97750 0 0 RIO TINTO PLC SPONSORED ADR 767204100 77 2000 SH DFND 1 2000 0 0 ROSS STORES INC COM 778296103 47 710 SH DFND 1 710 0 0 ROYAL BANK OF CANADA NOTE 4.650% 1/2 780082AD5 9471 8750000 PRN DFND 1 8750000 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 2102 31023 SH DFND 1 31023 0 0 ROYAL BK SCOTLAND GROUP PLC SPON ADR F 780097804 31 1180 SH DFND 1 1180 0 0 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 90 1100 SH DFND 1 1100 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 583 10050 SH DFND 1 10050 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 65 1203 SH DFND 1 1203 0 0 ROYAL GOLD INC COM 780287108 2312 36500 SH DFND 1 36500 0 0 RPM INTL INC NOTE 2.250%12/1 749685AT0 1842 1530000 PRN DFND 1 1530000 0 0 S&P GLOBAL INC COM 78409V104 26509 246487 SH DFND 1 246487 0 0 SALESFORCE COM INC COM 79466L302 903 13190 SH DFND 1 13190 0 0 SALESFORCE COM INC NOTE 0.250% 4/0 79466LAD6 3006 2580000 PRN DFND 1 2580000 0 0 SANOFI RIGHT 12/31/2020 80105N113 380 1000000 SH DFND 1 1000000 0 0 SANOFI SPONSORED ADR 80105N105 809 20000 SH DFND 1 20000 0 0 SAP SE SPON ADR 803054204 13 156 SH DFND 1 156 0 0 SAREPTA THERAPEUTICS INC COM 803607100 44 1600 SH DFND 1 1600 0 0 SASOL LTD SPONSORED ADR 803866300 14 500 SH DFND 1 500 0 0 SCHLUMBERGER LTD COM 806857108 89902 1070689 SH DFND 1 1070689 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 3373 61500 SH DFND 1 61500 0 0 SEABRIDGE GOLD INC COM 811916105 29 3500 SH DFND 1 3500 0 0 SEADRILL LIMITED SHS G7945E105 152 44000 SH DFND 1 44000 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 80 2591 SH DFND 1 2591 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 202 2485 SH DFND 1 2485 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 367 7099 SH DFND 1 7099 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 2110 30599 SH DFND 1 30599 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 104 1385 SH DFND 1 1385 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2759 118690 SH DFND 1 118690 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1058 17000 SH DFND 1 17000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 56 1150 SH DFND 1 1150 0 0 SEMPRA ENERGY COM 816851109 99 990 SH DFND 1 990 0 0 SERES THERAPEUTICS INC COM 81750R102 14 1400 SH DFND 1 1400 0 0 SERVICE CORP INTL COM 817565104 124 4400 SH DFND 1 4400 0 0 SERVICENOW INC COM 81762P102 1858 25000 SH DFND 1 25000 0 0 SERVICENOW INC NOTE 11/0 81762PAB8 1530 1300000 PRN DFND 1 1300000 0 0 SHAKE SHACK INC CL A 819047101 197 5500 SH DFND 1 5500 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 60 3000 SH DFND 1 3000 0 0 SHIRE PLC SPONSORED ADR 82481R106 9 52 SH DFND 1 52 0 0 SIFY TECHNOLOGIES LIMITED SPONSORED ADR 82655M107 0 35 SH DFND 1 35 0 0 SILVER WHEATON CORP COM 828336107 2662 137600 SH DFND 1 137600 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 20 262 SH DFND 1 262 0 0 SOCIETE GENERALE DEBT 8.250%12/3 F849BQAA2 5039 4800000 PRN DFND 1 4800000 0 0 SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 284 7200 SH DFND 1 7200 0 0 SONY CORP ADR NEW 835699307 49 1750 SH DFND 1 1750 0 0 SOTHEBYS COM 835898107 399 10000 SH DFND 1 10000 0 0 SOUTHWEST AIRLS CO COM 844741108 40 805 SH DFND 1 805 0 0 SOUTHWESTERN ENERGY CO COM 845467109 800 73980 SH DFND 1 73980 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 515 2610 SH DFND 1 2610 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1603 14626 SH DFND 1 14626 0 0 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 255 3400 SH DFND 1 3400 0 0 SPDR INDEX SHS FDS CONSM SPLS ETF 78463X723 24 595 SH DFND 1 595 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 77 2300 SH DFND 1 2300 0 0 SPDR INDEX SHS FDS INTL ENRGY ETF 78463X715 17 930 SH DFND 1 930 0 0 SPDR INDEX SHS FDS INTL FINL ETF 78463X699 20 1045 SH DFND 1 1045 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 45 1432 SH DFND 1 1432 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 216 3000 SH DFND 1 3000 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 22 600 SH DFND 1 600 0 0 SPDR S&P 500 ETF TR PUT 78462F953 32 32000 SH Put DFND 1 32000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 13275 59392 SH DFND 1 59392 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 1514 25570 SH DFND 1 25570 0 0 SPDR SERIES TRUST S&P BK ETF 78464A797 63 1458 SH DFND 1 1458 0 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 37 1085 SH DFND 1 1085 0 0 SPECTRA ENERGY CORP COM 847560109 39 950 SH DFND 1 950 0 0 SPLUNK INC COM 848637104 43 850 SH DFND 1 850 0 0 SPROUTS FMRS MKT INC COM 85208M102 6074 321000 SH DFND 1 321000 0 0 STANDARD CHARTERED PLC DEBT 7.500%12/3 G84228CQ9 5095 4950000 PRN DFND 1 4950000 0 0 STARBUCKS CORP COM 855244109 386 6950 SH DFND 1 6950 0 0 STARWOOD PPTY TR INC NOTE 4.000% 1/1 85571BAB1 938 820000 PRN DFND 1 820000 0 0 STARWOOD PPTY TR INC NOTE 4.550% 3/0 85571BAA3 1400 1260000 PRN DFND 1 1260000 0 0 STATE NATL COS INC COM 85711T305 14 1000 SH DFND 1 1000 0 0 STATOIL ASA SPONSORED ADR 85771P102 202 11100 SH DFND 1 11100 0 0 STEMLINE THERAPEUTICS INC COM 85858C107 647 60500 SH DFND 1 60500 0 0 STRATASYS LTD SHS M85548101 52 3180 SH DFND 1 3180 0 0 SUN LIFE FINL INC COM 866796105 162 4210 SH DFND 1 4210 0 0 SUNCOR ENERGY INC NEW COM 867224107 324 9885 SH DFND 1 9885 0 0 SYMANTEC CORP COM 871503108 41 1700 SH DFND 1 1700 0 0 SYNCHRONY FINL COM 87165B103 50 1377 SH DFND 1 1377 0 0 TABLEAU SOFTWARE INC CL A 87336U105 198 4700 SH DFND 1 4700 0 0 TAHOE RES INC COM 873868103 2543 269565 SH DFND 1 269565 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 1408 49000 SH DFND 1 49000 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 10 200 SH DFND 1 200 0 0 TALEND S A ADS 874224207 67 3000 SH DFND 1 3000 0 0 TARGET CORP COM 87612E106 134 1858 SH DFND 1 1858 0 0 TATA MTRS LTD SPONSORED ADR 876568502 261 7600 SH DFND 1 7600 0 0 TE CONNECTIVITY LTD REG SHS H84989104 2114 30519 SH DFND 1 30519 0 0 TEEKAY CORPORATION COM Y8564W103 20677 2575000 SH DFND 1 2575000 0 0 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 159 11000 SH DFND 1 11000 0 0 TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN Y8565J101 76 15000 SH DFND 1 15000 0 0 TELECOM ARGENTINA S A SPON ADR REP B 879273209 216 11900 SH DFND 1 11900 0 0 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 70 5212 SH DFND 1 5212 0 0 TELEFONICA S A SPONSORED ADR 879382208 5 534 SH DFND 1 534 0 0 TERRAVIA HLDGS INC COM 88105A106 860 750000 SH DFND 1 750000 0 0 TESLA MTRS INC COM 88160R101 6831 31958 SH DFND 1 31958 0 0 TESORO CORP COM 881609101 555 6350 SH DFND 1 6350 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1968 54300 SH DFND 1 54300 0 0 TEXAS INSTRS INC COM 882508104 11894 163000 SH DFND 1 163000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1339 9492 SH DFND 1 9492 0 0 THOR INDS INC COM 885160101 506 5054 SH DFND 1 5054 0 0 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 6 13504 SH DFND 1 13504 0 0 TIFFANY & CO NEW COM 886547108 11253 145354 SH DFND 1 145354 0 0 TIM PARTICIPACOES S A SPONSORED ADR 88706P205 1 45 SH DFND 1 45 0 0 TIME INC NEW COM 887228104 0 2 SH DFND 1 2 0 0 TIME WARNER INC COM NEW 887317303 2222 23023 SH DFND 1 23023 0 0 TIMMINS GOLD CORP COM 88741P103 565 1825000 SH DFND 1 1825000 0 0 TJX COS INC NEW COM 872540109 89 1182 SH DFND 1 1182 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 382 7750 SH DFND 1 7750 0 0 TOTAL S A SPONSORED ADR 89151E109 52 1011 SH DFND 1 1011 0 0 TRANSCANADA CORP COM 89353D107 435 9651 SH DFND 1 9651 0 0 TRANSENTERIX INC COM NEW 89366M201 13 10000 SH DFND 1 10000 0 0 TRANSOCEAN LTD REG SHS H8817H100 172 11634 SH DFND 1 11634 0 0 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 2314 1800000 PRN DFND 1 1800000 0 0 TURQUOISE HILL RES LTD COM 900435108 201 62445 SH DFND 1 62445 0 0 TUTOR PERINI CORP COM 901109108 14 500 SH DFND 1 500 0 0 TWITTER INC COM 90184L102 355 21800 SH DFND 1 21800 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 2076 2240000 PRN DFND 1 2240000 0 0 UBS GROUP AG SHS H42097107 78576 5007168 SH DFND 1 5007168 0 0 UNDER ARMOUR INC CL A 904311107 141 4850 SH DFND 1 4850 0 0 UNILEVER N V N Y SHS NEW 904784709 16013 390000 SH DFND 1 390000 0 0 UNILEVER PLC SPON ADR NEW 904767704 533 13100 SH DFND 1 13100 0 0 UNION PAC CORP COM 907818108 519 5010 SH DFND 1 5010 0 0 UNIQURE NV SHS N90064101 11 2000 SH DFND 1 2000 0 0 UNITED CONTL HLDGS INC COM 910047109 35 485 SH DFND 1 485 0 0 UNITED NAT FOODS INC COM 911163103 120 2500 SH DFND 1 2500 0 0 UNITED PARCEL SERVICE INC CL B 911312106 258 2250 SH DFND 1 2250 0 0 UNITED TECHNOLOGIES CORP COM 913017109 32104 292838 SH DFND 1 292838 0 0 UNITEDHEALTH GROUP INC COM 91324P102 331 2070 SH DFND 1 2070 0 0 USA TECHNOLOGIES INC COM NO PAR 90328S500 9 2000 SH DFND 1 2000 0 0 V F CORP COM 918204108 605 11328 SH DFND 1 11328 0 0 VALE S A ADR 91912E105 1260 165500 SH DFND 1 165500 0 0 VALE S A ADR REPSTG PFD 91912E204 186 27000 SH DFND 1 27000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 370 25471 SH DFND 1 25471 0 0 VALERO ENERGY CORP NEW COM 91913Y100 70 1021 SH DFND 1 1021 0 0 VANECK VECTORS ETF TR AFRICA INDEX ETF 92189F866 354 17909 SH DFND 1 17909 0 0 VANECK VECTORS ETF TR AGRIBUSINESS ETF 92189F700 395 7700 SH DFND 1 7700 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 807 38570 SH DFND 1 38570 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 8 256 SH DFND 1 256 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 436 13086 SH DFND 1 13086 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 467 22000 SH DFND 1 22000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 72 1000 SH DFND 1 1000 0 0 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 76 590 SH DFND 1 590 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2634 32600 SH DFND 1 32600 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1238 22800 SH DFND 1 22800 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 111 915 SH DFND 1 915 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 7190 62347 SH DFND 1 62347 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1121 31340 SH DFND 1 31340 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 408 8500 SH DFND 1 8500 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1339 21955 SH DFND 1 21955 0 0 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 251 5100 SH DFND 1 5100 0 0 VANGUARD SCOTTSDALE FDS LONG-TERM GOV 92206C847 23604 320318 SH DFND 1 320318 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1064 13400 SH DFND 1 13400 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 4037 88000 SH DFND 1 88000 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1927 25420 SH DFND 1 25420 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 2079 16400 SH DFND 1 16400 0 0 VENTAS INC COM 92276F100 500 8000 SH DFND 1 8000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 6826 127903 SH DFND 1 127903 0 0 VIMPELCOM LTD SPONSORED ADR 92719A106 290 75500 SH DFND 1 75500 0 0 VISA INC COM CL A 92826C839 99785 1279076 SH DFND 1 1279076 0 0 VMWARE INC CL A COM 928563402 59 750 SH DFND 1 750 0 0 VODAFONE GROUP PLC NEW SPNSR ADR 92857W308 34 1400 SH DFND 1 1400 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 17280 208800 SH DFND 1 208800 0 0 WAL-MART STORES INC COM 931142103 1215 17576 SH DFND 1 17576 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 44 8900 SH DFND 1 8900 0 0 WELLS FARGO & CO NEW COM 949746101 2076 37637 SH DFND 1 37637 0 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 264 222 SH DFND 1 222 0 0 WHIRLPOOL CORP COM 963320106 695 3815 SH DFND 1 3815 0 0 WHITING PETE CORP NEW COM 966387102 18 1500 SH DFND 1 1500 0 0 WHOLE FOODS MKT INC COM 966837106 185 6000 SH DFND 1 6000 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 642 17943 SH DFND 1 17943 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 318 5533 SH DFND 1 5533 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 2507 50600 SH DFND 1 50600 0 0 WORKDAY INC CL A 98138H101 66 1000 SH DFND 1 1000 0 0 WYNN RESORTS LTD COM 983134107 519 6000 SH DFND 1 6000 0 0 XEROX CORP COM 984121103 9 1000 SH DFND 1 1000 0 0 YAHOO INC COM 984332106 179 4640 SH DFND 1 4640 0 0 YAMANA GOLD INC COM 98462Y100 3307 1176372 SH DFND 1 1176372 0 0 YANDEX N V SHS CLASS A N97284108 30 1500 SH DFND 1 1500 0 0 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 404 24500 SH DFND 1 24500 0 0 YUM BRANDS INC COM 988498101 357 5640 SH DFND 1 5640 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 67 650 SH DFND 1 650 0 0 ZIX CORP COM 98974P100 10 2000 SH DFND 1 2000 0 0 ZOETIS INC CL A 98978V103 298 5565 SH DFND 1 5565 0 0 3M CO COM 88579Y101 214 1200 SH DFND 2 1200 0 0 ABBVIE INC COM 00287Y109 4577 73020 SH DFND 2 73020 0 0 AGNICO EAGLE MINES LTD COM 008474108 25 600 SH DFND 2 600 0 0 ALLERGAN PLC SHS G0177J108 483 2300 SH DFND 2 2300 0 0 ALPHABET INC CAP STK CL A 02079K305 4368 5512 SH DFND 2 5512 0 0 ALPHABET INC CAP STK CL C 02079K107 2779 3600 SH DFND 2 3600 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 623 49600 SH DFND 2 49600 0 0 ALTRIA GROUP INC COM 02209S103 68 1000 SH DFND 2 1000 0 0 AMBEV SA SPONSORED ADR 02319V103 44 9000 SH DFND 2 9000 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 19 1500 SH DFND 2 1500 0 0 APPLE INC COM 037833100 3208 27690 SH DFND 2 27690 0 0 AT&T INC COM 00206R102 60 1400 SH DFND 2 1400 0 0 BANK AMER CORP COM 060505104 221 10000 SH DFND 2 10000 0 0 BANK MONTREAL QUE COM 063671101 79 1100 SH DFND 2 1100 0 0 BANK N S HALIFAX COM 064149107 114 2050 SH DFND 2 2050 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 147 900 SH DFND 2 900 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1108 41000 SH DFND 2 41000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 29 500 SH DFND 2 500 0 0 BUNGE LIMITED COM G16962105 520 7200 SH DFND 2 7200 0 0 CAE INC COM 124765108 42 3000 SH DFND 2 3000 0 0 CALIFORNIA RES CORP COM NEW 13057Q206 0 8 SH DFND 2 8 0 0 CANADIAN NAT RES LTD COM 136385101 86 2700 SH DFND 2 2700 0 0 CANADIAN NATL RY CO COM 136375102 148 2200 SH DFND 2 2200 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 31 2400 SH DFND 2 2400 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 178 3375 SH DFND 2 3375 0 0 CISCO SYS INC COM 17275R102 45 1500 SH DFND 2 1500 0 0 COCA COLA CO COM 191216100 273 6600 SH DFND 2 6600 0 0 COLGATE PALMOLIVE CO COM 194162103 135 2080 SH DFND 2 2080 0 0 DENTSPLY SIRONA INC COM 24906P109 29 500 SH DFND 2 500 0 0 DEXCOM INC COM 252131107 60 1000 SH DFND 2 1000 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 424 4070 SH DFND 2 4070 0 0 DISNEY WALT CO COM DISNEY 254687106 208 2000 SH DFND 2 2000 0 0 DR REDDYS LABS LTD ADR 256135203 38 830 SH DFND 2 830 0 0 EMBRAER S A SP ADR REP 4 COM 29082A107 19 1000 SH DFND 2 1000 0 0 ENBRIDGE INC COM 29250N105 51 1200 SH DFND 2 1200 0 0 EOG RES INC COM 26875P101 780 7700 SH DFND 2 7700 0 0 EQUINIX INC COM PAR $0.001 29444U700 37 104 SH DFND 2 104 0 0 ETF MANAGERS TR PUREFUNDS ISE CY 26924G201 63 2370 SH DFND 2 2370 0 0 FACEBOOK INC CL A 30303M102 144 1250 SH DFND 2 1250 0 0 FLIR SYS INC COM 302445101 2517 69620 SH DFND 2 69620 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 53 700 SH DFND 2 700 0 0 FRANCO NEVADA CORP COM 351858105 42 700 SH DFND 2 700 0 0 FRESENIUS MED CARE AG&CO KGA SPONSORED ADR 358029106 298 7050 SH DFND 2 7050 0 0 GILDAN ACTIVEWEAR INC COM 375916103 64 2500 SH DFND 2 2500 0 0 GILEAD SCIENCES INC COM 375558103 108 1500 SH DFND 2 1500 0 0 GOLDCORP INC NEW COM 380956409 71 5200 SH DFND 2 5200 0 0 GROUPE CGI INC CL A SUB VTG 39945C109 48 1000 SH DFND 2 1000 0 0 HASBRO INC COM 418056107 27 350 SH DFND 2 350 0 0 HOME DEPOT INC COM 437076102 335 2500 SH DFND 2 2500 0 0 HONDA MOTOR LTD AMERN SHS 438128308 576 19750 SH DFND 2 19750 0 0 HONEYWELL INTL INC COM 438516106 35 300 SH DFND 2 300 0 0 HUDSON GLOBAL INC COM 443787106 48 35000 SH DFND 2 35000 0 0 IMPERIAL OIL LTD COM NEW 453038408 52 1500 SH DFND 2 1500 0 0 INGERSOLL-RAND PLC SHS G47791101 128 1700 SH DFND 2 1700 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 66 400 SH DFND 2 400 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 30 45 SH DFND 2 45 0 0 ISHARES MSCI EURO FL ETF 464289180 76 4000 SH DFND 2 4000 0 0 ISHARES MSCI GERMANY ETF 464286806 67 2547 SH DFND 2 2547 0 0 ISHARES MSCI PAC JP ETF 464286665 3589 90700 SH DFND 2 90700 0 0 ISHARES GOLD TRUST ISHARES 464285105 80 7280 SH DFND 2 7280 0 0 ISHARES TR 20 YR TR BD ETF 464287432 3940 33045 SH DFND 2 33045 0 0 ISHARES TR CHINA ETF 46429B671 1551 35500 SH DFND 2 35500 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 31 900 SH DFND 2 900 0 0 ISHARES TR CORE S&P SCP ETF 464287804 69 500 SH DFND 2 500 0 0 ISHARES TR CORE S&P500 ETF 464287200 641 2850 SH DFND 2 2850 0 0 ISHARES TR CORE US AGGBD ET 464287226 1800 16675 SH DFND 2 16675 0 0 ISHARES TR FLTG RATE BD ETF 46429B655 421 8300 SH DFND 2 8300 0 0 ISHARES TR GLOB HLTHCRE ETF 464287325 76 800 SH DFND 2 800 0 0 ISHARES TR MSCI ACWI ETF 464288257 1479 25000 SH DFND 2 25000 0 0 ISHARES TR MSCI EAFE ETF 464287465 649 11250 SH DFND 2 11250 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 2031 58000 SH DFND 2 58000 0 0 ISHARES TR US HOME CONS ETF 464288752 43 1570 SH DFND 2 1570 0 0 JOHNSON & JOHNSON COM 478160104 3585 31105 SH DFND 2 31105 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 32 1000 SH DFND 2 1000 0 0 JPMORGAN CHASE & CO COM 46625H100 523 6060 SH DFND 2 6060 0 0 KINROSS GOLD CORP COM NO PAR 496902404 19 6000 SH DFND 2 6000 0 0 LOGMEIN INC COM 54142L109 19 200 SH DFND 2 200 0 0 MARATHON PETE CORP COM 56585A102 3634 72270 SH DFND 2 72270 0 0 MCDONALDS CORP COM 580135101 3462 28450 SH DFND 2 28450 0 0 MEDTRONIC PLC SHS G5960L103 39 550 SH DFND 2 550 0 0 MERCK & CO INC COM 58933Y105 1120 19010 SH DFND 2 19010 0 0 METLIFE INC COM 59156R108 2396 44400 SH DFND 2 44400 0 0 MICROSOFT CORP COM 594918104 211 3400 SH DFND 2 3400 0 0 MONDELEZ INTL INC CL A 609207105 2813 63555 SH DFND 2 63555 0 0 NATIONAL OILWELL VARCO INC COM 637071101 2232 59750 SH DFND 2 59750 0 0 NEWMONT MINING CORP COM 651639106 19 550 SH DFND 2 550 0 0 NOVARTIS A G SPONSORED ADR 66987V109 11 150 SH DFND 2 150 0 0 NUCOR CORP COM 670346105 60 1000 SH DFND 2 1000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 705 9900 SH DFND 2 9900 0 0 ORACLE CORP COM 68389X105 3060 79610 SH DFND 2 79610 0 0 PALO ALTO NETWORKS INC COM 697435105 125 1000 SH DFND 2 1000 0 0 PEPSICO INC COM 713448108 3167 30260 SH DFND 2 30260 0 0 PFIZER INC COM 717081103 16 500 SH DFND 2 500 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 2456 24250 SH DFND 2 24250 0 0 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 135 1300 SH DFND 2 1300 0 0 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 31 1250 SH DFND 2 1250 0 0 PRAXAIR INC COM 74005P104 4792 40875 SH DFND 2 40875 0 0 PROCTER AND GAMBLE CO COM 742718109 281 3350 SH DFND 2 3350 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 606 12700 SH DFND 2 12700 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 139 3600 SH DFND 2 3600 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 616 9100 SH DFND 2 9100 0 0 S&P GLOBAL INC COM 78409V104 26 240 SH DFND 2 240 0 0 SALESFORCE COM INC COM 79466L302 92 1350 SH DFND 2 1350 0 0 SAP SE SPON ADR 803054204 11 125 SH DFND 2 125 0 0 SCHLUMBERGER LTD COM 806857108 2325 27700 SH DFND 2 27700 0 0 SELECT BANCORP INC NEW COM 81617L108 17 1724 SH DFND 2 1724 0 0 SILVER WHEATON CORP COM 828336107 48 2500 SH DFND 2 2500 0 0 SOTHEBYS COM 835898107 90 2250 SH DFND 2 2250 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1975 18023 SH DFND 2 18023 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 144 646 SH DFND 2 646 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 624 13000 SH DFND 2 13000 0 0 STARBUCKS CORP COM 855244109 506 9100 SH DFND 2 9100 0 0 STERICYCLE INC COM 858912108 41 525 SH DFND 2 525 0 0 SUNCOR ENERGY INC NEW COM 867224107 3902 119250 SH DFND 2 119250 0 0 TAHOE RES INC COM 873868103 19 2000 SH DFND 2 2000 0 0 TE CONNECTIVITY LTD REG SHS H84989104 2793 40350 SH DFND 2 40350 0 0 TELUS CORP COM 87971M103 61 1900 SH DFND 2 1900 0 0 TESLA MTRS INC COM 88160R101 19 90 SH DFND 2 90 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 39 275 SH DFND 2 275 0 0 TJX COS INC NEW COM 872540109 2775 36890 SH DFND 2 36890 0 0 TOTAL S A SPONSORED ADR 89151E109 63 1230 SH DFND 2 1230 0 0 TRANSCANADA CORP COM 89353D107 38 850 SH DFND 2 850 0 0 UBS GROUP AG SHS H42097107 1959 124656 SH DFND 2 124656 0 0 UNITED TECHNOLOGIES CORP COM 913017109 3011 27480 SH DFND 2 27480 0 0 US BANCORP DEL COM NEW 902973304 4591 89325 SH DFND 2 89325 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 52 2500 SH DFND 2 2500 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 32 1000 SH DFND 2 1000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 3096 64600 SH DFND 2 64600 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 254 4745 SH DFND 2 4745 0 0 VISA INC COM CL A 92826C839 98 1260 SH DFND 2 1260 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 2165 60500 SH DFND 2 60500 0 0 WISDOMTREE TR EUROPE SMCP DV 97717W869 3543 65000 SH DFND 2 65000 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 133 2700 SH DFND 2 2700 0 0