Executive Vice President

0001420506-18-000656.txt : 20180810 0001420506-18-000656.hdr.sgml : 20180810 20180810105950 ACCESSION NUMBER: 0001420506-18-000656 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180810 DATE AS OF CHANGE: 20180810 EFFECTIVENESS DATE: 20180810 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: 181007560 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 06-30-2018 06-30-2018 false Compagnie Lombard Odier SCmA

RUE DE LA CORRATERIE 18 1204 GENEVA V8 CH1204

13F COMBINATION REPORT 028-16235 0001491719 028-13939 Lombard Odier Asset Management (USA) Corp 0001535784 028-16246 Lombard Odier Asset Management (Europe) Ltd 0001535660 028-16247 Lombard Odier Asset Management (Switzerland) SA N Dominic Stearns Executive Vice President 44 22 709 2111 Dominic Stearns, Executive Vice President 1204 GENEVA V8 08-10-2018 2 818 2724304 false 1 0001106185 028-16234 Bank Lombard Odier & Co Ltd 2 0001528147 028-16548 Lombard Odier Transatlantic Ltd INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR COMPAGNIE LOMBARD ODIER SCMA GENERAL ELECTRIC CO COM 369604103 134 9850 SH DFND 9850 0 0 GENERAL MTRS CO COM 37045V100 158 4000 SH DFND 4000 0 0 GILEAD SCIENCES INC COM 375558103 99 1400 SH DFND 1400 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 32 143 SH DFND 143 0 0 HALLIBURTON CO COM 406216101 435 9651 SH DFND 9651 0 0 HDFC BANK LTD ADR REPS 3 SHS 40415F101 49 464 SH DFND 464 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 26 334 SH DFND 334 0 0 HOME DEPOT INC COM 437076102 320 1639 SH DFND 1639 0 0 IDERA PHARMACEUTICALS INC COM NEW 45168K306 145 110000 SH DFND 110000 0 0 IDEX CORP COM 45167R104 91 667 SH DFND 667 0 0 IHS MARKIT LTD SHS G47567105 98 1899 SH DFND 1899 0 0 INGERSOLL-RAND PLC SHS G47791101 1622 18058 SH DFND 18058 0 0 INTEL CORP COM 458140100 45 903 SH DFND 903 0 0 INTUIT COM 461202103 135 663 SH DFND 663 0 0 ISHARES INC MSCI THAILND ETF 464286624 41 500 SH DFND 500 0 0 JD COM INC SPON ADR CL A 47215P106 175 4500 SH DFND 4500 0 0 JOHNSON & JOHNSON COM 478160104 119 975 SH DFND 975 0 0 JPMORGAN CHASE & CO COM 46625H100 4590 44076 SH DFND 44076 0 0 KROGER CO COM 501044101 47 1650 SH DFND 1650 0 0 LAUDER ESTEE COS INC CL A 518439104 32 225 SH DFND 225 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 405 8330 SH DFND 8330 0 0 LOGITECH INTL S A SHS H50430232 380 8621 SH DFND 8621 0 0 MACYS INC COM 55616P104 51 1350 SH DFND 1350 0 0 MARATHON PETE CORP COM 56585A102 34 484 SH DFND 484 0 0 MARSH & MCLENNAN COS INC COM 571748102 47 576 SH DFND 576 0 0 MATCH GROUP INC COM 57665R106 39 1000 SH DFND 1000 0 0 MEDTRONIC PLC SHS G5960L103 209 2446 SH DFND 2446 0 0 MERCK & CO INC COM 58933Y105 741 12205 SH DFND 12205 0 0 3M CO COM 88579Y101 182 925 SH DFND 925 0 0 ABBOTT LABS COM 002824100 35 569 SH DFND 569 0 0 ABBVIE INC COM 00287Y109 7641 82488 SH DFND 82488 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 41 249 SH DFND 249 0 0 ACTIVISION BLIZZARD INC COM 00507V109 91 1196 SH DFND 1196 0 0 AFLAC INC COM 001055102 47 1090 SH DFND 1090 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 27 442 SH DFND 442 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 22541 121490 SH DFND 121490 0 0 ALLERGAN PLC SHS G0177J108 5558 33348 SH DFND 33348 0 0 ALPHABET INC CAP STK CL A 02079K305 18353 16248 SH DFND 16248 0 0 ALPHABET INC CAP STK CL C 02079K107 1999 1792 SH DFND 1792 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 5 500 SH DFND 500 0 0 ALTRIA GROUP INC COM 02209S103 142 2500 SH DFND 2500 0 0 AMAZON COM INC COM 023135106 12115 7128 SH DFND 7128 0 0 AMERICAN TOWER CORP NEW COM 03027X100 118 820 SH DFND 820 0 0 AMETEK INC NEW COM 031100100 908 12558 SH DFND 12558 0 0 AMGEN INC COM 031162100 990 5363 SH DFND 5363 0 0 AMPHENOL CORP NEW CL A 032095101 95 1093 SH DFND 1093 0 0 ANDEAVOR COM 03349M105 52 400 SH DFND 400 0 0 APPLE INC COM 037833100 3834 20705 SH DFND 20705 0 0 APTIV PLC SHS G6095L109 33 365 SH DFND 365 0 0 AT&T INC COM 00206R102 64 2000 SH DFND 2000 0 0 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 111 2000 SH DFND 2000 0 0 BAIDU INC SPON ADR REP A 056752108 1070 4400 SH DFND 4400 0 0 BALL CORP COM 058498106 856 24045 SH DFND 24045 0 0 BANK AMER CORP COM 060505104 58 2074 SH DFND 2074 0 0 BANK NEW YORK MELLON CORP COM 064058100 986 18285 SH DFND 18285 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 136 730 SH DFND 730 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 11 112 SH DFND 112 0 0 BLACKROCK INC COM 09247X101 44 89 SH DFND 89 0 0 BOEING CO COM 097023105 302 900 SH DFND 900 0 0 BOOKING HLDGS INC COM 09857L108 306 151 SH DFND 151 0 0 CELGENE CORP COM 151020104 84 1060 SH DFND 1060 0 0 CHEVRON CORP NEW COM 166764100 56 442 SH DFND 442 0 0 CHUBB LIMITED COM H1467J104 1926 15179 SH DFND 15179 0 0 CISCO SYS INC COM 17275R102 43 991 SH DFND 991 0 0 COCA COLA CO COM 191216100 561 12806 SH DFND 12806 0 0 COLGATE PALMOLIVE CO COM 194162103 91 1400 SH DFND 1400 0 0 COMCAST CORP NEW CL A 20030N101 19 584 SH DFND 584 0 0 CRESCENT PT ENERGY CORP COM 22576C101 7 1016 SH DFND 1016 0 0 CSX CORP COM 126408103 1025 16077 SH DFND 16077 0 0 CVS HEALTH CORP COM 126650100 490 7617 SH DFND 7617 0 0 DANAHER CORP DEL COM 235851102 123 1245 SH DFND 1245 0 0 DEXCOM INC COM 252131107 2397 25208 SH DFND 25208 0 0 DISCOVER FINL SVCS COM 254709108 81 1156 SH DFND 1156 0 0 DISNEY WALT CO COM DISNEY 254687106 3744 35720 SH DFND 35720 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 55 451 SH DFND 451 0 0 EASTMAN CHEM CO COM 277432100 40 400 SH DFND 400 0 0 ECOLAB INC COM 278865100 135 958 SH DFND 958 0 0 EMERSON ELEC CO COM 291011104 86 1233 SH DFND 1233 0 0 EOG RES INC COM 26875P101 281 2260 SH DFND 2260 0 0 EXELON CORP COM 30161N101 175 4100 SH DFND 4100 0 0 EXPEDIA GROUP INC COM NEW 30212P303 842 7012 SH DFND 7012 0 0 EXXON MOBIL CORP COM 30231G102 25 301 SH DFND 301 0 0 FACEBOOK INC CL A 30303M102 12012 61816 SH DFND 61816 0 0 FIRST REP BK SAN FRANCISCO C COM 33616C100 82 846 SH DFND 846 0 0 FLUOR CORP NEW COM 343412102 46 949 SH DFND 949 0 0 FORTIVE CORP COM 34959J108 92 1199 SH DFND 1199 0 0 FREEPORT-MCMORAN INC CL B 35671D857 4 235 SH DFND 235 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 40 443 SH DFND 443 0 0 MICROSOFT CORP COM 594918104 706 7154 SH DFND 7154 0 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 444 50250 SH DFND 50250 0 0 MONDELEZ INTL INC CL A 609207105 6774 165150 SH DFND 165150 0 0 MORGAN STANLEY COM NEW 617446448 26 558 SH DFND 558 0 0 NETFLIX INC COM 64110L106 117 300 SH DFND 300 0 0 NIKE INC CL B 654106103 866 10859 SH DFND 10859 0 0 NOBLE ENERGY INC COM 655044105 1071 30401 SH 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DFND 1760 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 3465 20601 SH DFND 20601 0 0 SPROUTS FMRS MKT INC COM 85208M102 26 1200 SH DFND 1200 0 0 STARBUCKS CORP COM 855244109 104 2133 SH DFND 2133 0 0 STERICYCLE INC COM 858912108 55 850 SH DFND 850 0 0 SYNCHRONY FINL COM 87165B103 617 18457 SH DFND 18457 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 225 6157 SH DFND 6157 0 0 TE CONNECTIVITY LTD REG SHS H84989104 95 1059 SH DFND 1059 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 7 280 SH DFND 280 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 58 280 SH DFND 280 0 0 TIFFANY & CO NEW COM 886547108 284 2160 SH DFND 2160 0 0 TURTLE BEACH CORP COM NEW 900450206 61 3000 SH DFND 3000 0 0 UBS GROUP AG SHS H42097107 116 7500 SH DFND 7500 0 0 UNION PAC CORP COM 907818108 186 1315 SH DFND 1315 0 0 UNITEDHEALTH GROUP INC COM 91324P102 144 587 SH DFND 587 0 0 US BANCORP DEL COM NEW 902973304 77 1549 SH DFND 1549 0 0 VALERO ENERGY CORP NEW COM 91913Y100 47 425 SH DFND 425 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 22 1000 SH DFND 1000 0 0 VANGUARD SCOTTSDALE FDS LONG TERM TREAS 92206C847 751 10043 SH DFND 10043 0 0 VEON LTD SPONSORED ADR 91822M106 180 75500 SH DFND 75500 0 0 VERISIGN INC COM 92343E102 275 2000 SH DFND 2000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1941 38580 SH DFND 38580 0 0 VISA INC COM CL A 92826C839 4493 33914 SH DFND 33914 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 114 1892 SH DFND 1892 0 0 WEIBO CORP SPONSORED ADR 948596101 3728 42000 SH DFND 42000 0 0 WELLS FARGO CO NEW COM 949746101 641 11570 SH DFND 11570 0 0 YUM CHINA HLDGS INC COM 98850P109 29 759 SH DFND 759 0 0 CITIGROUP INC COM NEW 172967424 374 5590 SH DFND 1 5590 0 0 CITRIX SYS INC COM 177376100 539 5150 SH DFND 1 5150 0 0 CME GROUP INC COM CL A 12572Q105 72 440 SH DFND 1 440 0 0 CNH INDL N V SHS N20944109 32 3000 SH DFND 1 3000 0 0 COCA COLA CO COM 191216100 29737 677937 SH DFND 1 677937 0 0 COEUR MNG INC COM NEW 192108504 5 620 SH DFND 1 620 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 43 540 SH DFND 1 540 0 0 COLGATE PALMOLIVE CO COM 194162103 20495 316252 SH DFND 1 316252 0 0 COMCAST CORP NEW CL A 20030N101 84 2575 SH DFND 1 2575 0 0 CONOCOPHILLIPS COM 20825C104 581 8350 SH DFND 1 8350 0 0 CONSOLIDATED EDISON INC COM 209115104 358 4588 SH DFND 1 4588 0 0 COSAN LTD SHS A G25343107 15 2000 SH DFND 1 2000 0 0 COTY INC COM CL A 222070203 10 700 SH DFND 1 700 0 0 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 47 800 SH DFND 1 800 0 0 CRITEO S A SPONS ADS 226718104 66 2000 SH DFND 1 2000 0 0 CSX CORP COM 126408103 20943 328355 SH DFND 1 328355 0 0 CTI BIOPHARMA CORP COM NEW 12648L601 4 800 SH DFND 1 800 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 15187 318817 SH DFND 1 318817 0 0 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 1073 1040000 PRN DFND 1 1040000 0 0 CUMMINS INC COM 231021106 118 883 SH DFND 1 883 0 0 CVS HEALTH CORP COM 126650100 88 1366 SH DFND 1 1366 0 0 D R HORTON INC COM 23331A109 50 1228 SH DFND 1 1228 0 0 DANAHER CORP DEL COM 235851102 172 1745 SH DFND 1 1745 0 0 DARDEN RESTAURANTS INC COM 237194105 100 937 SH DFND 1 937 0 0 DEERE & CO COM 244199105 335 2390 SH DFND 1 2390 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 62 1235 SH DFND 1 1235 0 0 DENTSPLY SIRONA INC COM 24906P109 3502 80000 SH DFND 1 80000 0 0 DESTINATION XL GROUP INC COM 25065K104 8 3500 SH DFND 1 3500 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 16 1500 SH DFND 1 1500 0 0 3-D SYS CORP DEL COM NEW 88554D205 4 320 SH DFND 1 320 0 0 3M CO COM 88579Y101 16462 83694 SH DFND 1 83694 0 0 ABBOTT LABS COM 002824100 8042 131850 SH DFND 1 131850 0 0 ABBVIE INC COM 00287Y109 108189 1167576 SH DFND 1 1167576 0 0 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 16 1772 SH DFND 1 1772 0 0 ABIOMED INC COM 003654100 115 280 SH DFND 1 280 0 0 AC IMMUNE SA SHS H00263105 33 3500 SH DFND 1 3500 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 6640 40580 SH DFND 1 40580 0 0 ACTIVISION BLIZZARD INC COM 00507V109 61 800 SH DFND 1 800 0 0 ADOBE SYS INC COM 00724F101 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DFND 1 698 0 0 DXC TECHNOLOGY CO COM 23355L106 3 34 SH DFND 1 34 0 0 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 442 380000 PRN DFND 1 380000 0 0 E L F BEAUTY INC COM 26856L103 122 8000 SH DFND 1 8000 0 0 EATON CORP PLC SHS G29183103 265 3544 SH DFND 1 3544 0 0 EBAY INC COM 278642103 439 12100 SH DFND 1 12100 0 0 ECOLAB INC COM 278865100 1191 8487 SH DFND 1 8487 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 73 500 SH DFND 1 500 0 0 EMCORE CORP COM NEW 290846203 51 10000 SH DFND 1 10000 0 0 EMERSON ELEC CO COM 291011104 182 2635 SH DFND 1 2635 0 0 ENCANA CORP COM 292505104 65 5000 SH DFND 1 5000 0 0 ENDEAVOUR SILVER CORP COM 29258Y103 11 3400 SH DFND 1 3400 0 0 ENERGOUS CORP COM 29272C103 44 3000 SH DFND 1 3000 0 0 EOG RES INC COM 26875P101 14975 120325 SH DFND 1 120325 0 0 EQT CORP COM 26884L109 15 270 SH DFND 1 270 0 0 EQUINIX INC COM PAR $0.001 29444U700 190 441 SH DFND 1 441 0 0 ETF MANAGERS TR CALL 26924G901 1 1000 SH Call DFND 1 1000 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 170 4600 SH DFND 1 4600 0 0 EURONET WORLDWIDE INC NOTE 1.500%10/0 298736AH2 547 445000 PRN DFND 1 445000 0 0 EVER GLORY INTL GRP INC COM NEW 299766204 7 2000 SH DFND 1 2000 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 34 850 SH DFND 1 850 0 0 EXELON CORP COM 30161N101 3560 83570 SH DFND 1 83570 0 0 EXPEDIA GROUP INC COM NEW 30212P303 5615 46721 SH DFND 1 46721 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 43 555 SH DFND 1 555 0 0 EXXON MOBIL CORP COM 30231G102 9633 116443 SH DFND 1 116443 0 0 FACEBOOK INC CL A 30303M102 65466 336940 SH DFND 1 336940 0 0 FASTENAL CO COM 311900104 34 705 SH DFND 1 705 0 0 FEDEX CORP COM 31428X106 3422 15070 SH DFND 1 15070 0 0 FERRARI N V COM N3167Y103 952 7000 SH DFND 1 7000 0 0 FERROGLOBE PLC SHS G33856108 9 1000 SH DFND 1 1000 0 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 466 24406 SH DFND 1 24406 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 24 3200 SH DFND 1 3200 0 0 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 53 1000 SH DFND 1 1000 0 0 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 55 400 SH DFND 1 400 0 0 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 58 2200 SH DFND 1 2200 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 158 14223 SH DFND 1 14223 0 0 FORTUNA SILVER MINES INC COM 349915108 35 6200 SH DFND 1 6200 0 0 FRANCO NEVADA CORP COM 351858105 160 2200 SH DFND 1 2200 0 0 FREEPORT-MCMORAN INC CL B 35671D857 2710 156954 SH DFND 1 156954 0 0 GALLAGHER ARTHUR J & CO COM 363576109 103 1570 SH DFND 1 1570 0 0 GAMESTOP CORP NEW CL A 36467W109 718 49300 SH DFND 1 49300 0 0 GARMIN LTD SHS H2906T109 5533 90700 SH DFND 1 90700 0 0 GARTNER INC COM 366651107 41 310 SH DFND 1 310 0 0 GENERAL ELECTRIC CO COM 369604103 5079 373170 SH DFND 1 373170 0 0 GENERAL MLS INC COM 370334104 67275 1520000 SH DFND 1 1520000 0 0 GENERAL MTRS CO COM 37045V100 137 3468 SH DFND 1 3468 0 0 GERDAU S A SPON ADR REP PFD 373737105 142 40080 SH DFND 1 40080 0 0 GILEAD SCIENCES INC COM 375558103 7297 102976 SH DFND 1 102976 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 645 16000 SH DFND 1 16000 0 0 GLOBAL X FDS FINTECH ETF 37954Y814 91 3500 SH DFND 1 3500 0 0 GLOBAL X FDS GB MSCI AR ETF 37950E259 206 7620 SH DFND 1 7620 0 0 GLOBAL X FDS GBL X MSCI NIGER 37954Y665 284 13140 SH DFND 1 13140 0 0 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 284 8650 SH DFND 1 8650 0 0 GLOBAL X FDS MSCI GREECE ETF 37950E366 257 28125 SH DFND 1 28125 0 0 GLOBAL X FDS MSCI PAKISTAN 37950E689 225 20330 SH DFND 1 20330 0 0 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 95 4300 SH DFND 1 4300 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 4898 1372000 SH DFND 1 1372000 0 0 GOLDCORP INC NEW COM 380956409 734 53500 SH DFND 1 53500 0 0 GOLDEN MINERALS CO COM 381119106 3 10160 SH DFND 1 10160 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2228 10100 SH DFND 1 10100 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 151 6500 SH DFND 1 6500 0 0 GOPRO INC CL A 38268T103 16 2500 SH DFND 1 2500 0 0 GREAT PANTHER SILVER LTD COM 39115V101 9 7900 SH DFND 1 7900 0 0 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 280 275000 PRN DFND 1 275000 0 0 HABIT RESTAURANTS INC COM CL A 40449J103 10 1000 SH DFND 1 1000 0 0 HAIN CELESTIAL GROUP INC COM 405217100 149 5000 SH DFND 1 5000 0 0 HALLIBURTON CO COM 406216101 88 1950 SH DFND 1 1950 0 0 HARLEY DAVIDSON INC COM 412822108 42 1000 SH DFND 1 1000 0 0 HESS CORP COM 42809H107 268 4000 SH DFND 1 4000 0 0 HOME DEPOT INC COM 437076102 43566 223298 SH DFND 1 223298 0 0 HONEYWELL INTL INC COM 438516106 144 1000 SH DFND 1 1000 0 0 HORMEL FOODS CORP COM 440452100 223 6000 SH DFND 1 6000 0 0 HP INC COM 40434L105 9 400 SH DFND 1 400 0 0 HYDROGENICS CORP NEW COM NEW 448883207 98 13000 SH DFND 1 13000 0 0 IAMGOLD CORP COM 450913108 5373 922800 SH DFND 1 922800 0 0 ILLINOIS TOOL WKS INC COM 452308109 6691 48300 SH DFND 1 48300 0 0 ILLUMINA INC COM 452327109 35 125 SH DFND 1 125 0 0 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 1876 1420000 PRN DFND 1 1420000 0 0 ILLUMINA INC NOTE 6/1 452327AF6 1806 1530000 PRN DFND 1 1530000 0 0 INCYTE CORP COM 45337C102 218 3250 SH DFND 1 3250 0 0 INGERSOLL-RAND PLC SHS G47791101 12294 136993 SH DFND 1 136993 0 0 INSYS THERAPEUTICS INC NEW COM NEW 45824V209 22 3000 SH DFND 1 3000 0 0 INTEL CORP CALL 458140900 248 34300 SH Call DFND 1 34300 0 0 INTEL CORP COM 458140100 36250 729254 SH DFND 1 729254 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 192 7000 SH DFND 1 7000 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 42 570 SH DFND 1 570 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1028 7350 SH DFND 1 7350 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 11138 89850 SH DFND 1 89850 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 440 920 SH DFND 1 920 0 0 INVESCO EXCHANGE TRADED FD T GLOBAL DRGN CN 46137V571 46 1000 SH DFND 1 1000 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 49 480 SH DFND 1 480 0 0 INVESCO EXCHNG TRADED FD TR CHINA TECHNLGY 46138E800 33 600 SH DFND 1 600 0 0 INVESCO LTD SHS G491BT108 76 2879 SH DFND 1 2879 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 5373 31305 SH DFND 1 31305 0 0 IQIYI INC SPONSORED ADS 46267X108 48 1500 SH DFND 1 1500 0 0 ISHARES INC CALL 46434G904 1 1000 SH Call DFND 1 1000 0 0 ISHARES INC CORE MSCI EMKT 46434G103 14 270 SH DFND 1 270 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 669 20875 SH DFND 1 20875 0 0 ISHARES INC MSCI BRIC INDX 464286657 147 3500 SH DFND 1 3500 0 0 ISHARES INC MSCI CHILE ETF 464286640 235 5105 SH DFND 1 5105 0 0 ISHARES INC MSCI COLMBIA ETF 46434G202 266 17820 SH DFND 1 17820 0 0 ISHARES INC MSCI EURZONE ETF 464286608 1482 36150 SH DFND 1 36150 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 44 750 SH DFND 1 750 0 0 ISHARES INC MSCI MEXICO ETF 464286822 438 9290 SH DFND 1 9290 0 0 ISHARES INC MSCI MLY ETF NEW 46434G814 234 7500 SH DFND 1 7500 0 0 ISHARES INC MSCI PAC JP ETF 464286665 469 10190 SH DFND 1 10190 0 0 ISHARES INC MSCI RUSSIA ETF 46434G798 253 7490 SH DFND 1 7490 0 0 ISHARES INC MSCI TAIWAN ETF 46434G772 261 7245 SH DFND 1 7245 0 0 ISHARES INC MSCI THAILND ETF 464286624 223 2715 SH DFND 1 2715 0 0 ISHARES INC MSCI WORLD ETF 464286392 1303 14900 SH DFND 1 14900 0 0 ISHARES TR 10-20 YR TRS ETF 464288653 56050 426659 SH DFND 1 426659 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 668 5566 SH DFND 1 5566 0 0 ISHARES TR CORE S&P500 ETF 464287200 4369 16000 SH DFND 1 16000 0 0 ISHARES TR INTL TREA BD ETF 464288117 27700 562902 SH DFND 1 562902 0 0 ISHARES TR MSCI ACWI ETF 464288257 1405 19750 SH DFND 1 19750 0 0 ISHARES TR MSCI CHINA ETF 46429B671 45 700 SH DFND 1 700 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 2372 54750 SH DFND 1 54750 0 0 ISHARES TR MSCI INDIA ETF 46429B598 645 19355 SH DFND 1 19355 0 0 ISHARES TR MSCI INDONIA ETF 46429B309 227 9875 SH DFND 1 9875 0 0 ISHARES TR MSCI PERU ETF 464289842 250 6375 SH DFND 1 6375 0 0 ISHARES TR MSCI PHILIPS ETF 46429B408 233 7720 SH DFND 1 7720 0 0 ISHARES TR MSCI POLAND ETF 46429B606 290 13290 SH DFND 1 13290 0 0 ISHARES TR MSCI QATAR ETF 46434V779 267 16320 SH DFND 1 16320 0 0 ISHARES TR MSCI SAUDI ARBIA 46434V423 293 9335 SH DFND 1 9335 0 0 ISHARES TR MSCI UAE ETF 46434V761 247 16295 SH DFND 1 16295 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 370 2257 SH DFND 1 2257 0 0 ISHARES TR S&P US PFD STK 464288687 540 14350 SH DFND 1 14350 0 0 ISHARES TR U.S. ENERGY ETF 464287796 21 500 SH DFND 1 500 0 0 ISHARES TR U.S. REAL ES ETF 464287739 26 325 SH DFND 1 325 0 0 ISHARES TR US AER DEF ETF 464288760 58 300 SH DFND 1 300 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 132 12805 SH DFND 1 12805 0 0 JD COM INC SPON ADR CL A 47215P106 2845 72970 SH DFND 1 72970 0 0 JOHNSON & JOHNSON COM 478160104 20031 165101 SH DFND 1 165101 0 0 JOHNSON CTLS INTL PLC SHS G51502105 33 973 SH DFND 1 973 0 0 JPMORGAN CHASE & CO CALL 46625H900 50 7000 SH Call DFND 1 7000 0 0 JPMORGAN CHASE & CO COM 46625H100 59548 571493 SH DFND 1 571493 0 0 JUNIPER NETWORKS INC COM 48203R104 7 244 SH DFND 1 244 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 32 300 SH DFND 1 300 0 0 KBR INC CALL 48242W906 29 12500 SH Call DFND 1 12500 0 0 KELLOGG CO COM 487836108 6288 90000 SH DFND 1 90000 0 0 KIMBERLY CLARK CORP COM 494368103 9481 90000 SH DFND 1 90000 0 0 KINROSS GOLD CORP COM NO PAR 496902404 5405 1436200 SH DFND 1 1436200 0 0 KIRBY CORP COM 497266106 293 3500 SH DFND 1 3500 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 889 42000 SH DFND 1 42000 0 0 KLA-TENCOR CORP COM 482480100 23 222 SH DFND 1 222 0 0 KOHLS CORP COM 500255104 67 921 SH DFND 1 921 0 0 KRAFT HEINZ CO COM 500754106 10304 164008 SH DFND 1 164008 0 0 LAM RESEARCH CORP COM 512807108 190 1097 SH DFND 1 1097 0 0 LAS VEGAS SANDS CORP COM 517834107 92 1200 SH DFND 1 1200 0 0 LAUDER ESTEE COS INC CL A 518439104 214 1500 SH DFND 1 1500 0 0 LENNAR CORP CL A 526057104 44 838 SH DFND 1 838 0 0 LEXICON PHARMACEUTICALS INC COM NEW 528872302 66 5500 SH DFND 1 5500 0 0 LIGAND PHARMACEUTICALS INC COM NEW 53220K504 83 400 SH DFND 1 400 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 23009 473673 SH DFND 1 473673 0 0 LOCKHEED MARTIN CORP COM 539830109 44 150 SH DFND 1 150 0 0 LOGITECH INTL S A SHS H50430232 18637 423635 SH DFND 1 423635 0 0 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 611 515000 PRN DFND 1 515000 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 183 1670 SH DFND 1 1670 0 0 MAGNA INTL INC COM 559222401 378 6500 SH DFND 1 6500 0 0 MAGNEGAS CORP COM PAR 55939L400 1 2000 SH DFND 1 2000 0 0 MARATHON OIL CORP COM 565849106 156 7500 SH DFND 1 7500 0 0 MARATHON PETE CORP COM 56585A102 391 5567 SH DFND 1 5567 0 0 MARSH & MCLENNAN COS INC COM 571748102 1606 19605 SH DFND 1 19605 0 0 MASTEC INC COM 576323109 8 150 SH DFND 1 150 0 0 MASTERCARD INCORPORATED CL A 57636Q104 137 700 SH DFND 1 700 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 135 2295 SH DFND 1 2295 0 0 MCDONALDS CORP COM 580135101 9485 60531 SH DFND 1 60531 0 0 MCEWEN MNG INC CALL 58039P907 2 5000 SH Call DFND 1 5000 0 0 MCKESSON CORP COM 58155Q103 31 231 SH DFND 1 231 0 0 MEDTRONIC PLC SHS G5960L103 9549 111530 SH DFND 1 111530 0 0 MERCK & CO INC COM 58933Y105 25085 413254 SH DFND 1 413254 0 0 METHODE ELECTRS INC COM 591520200 6 150 SH DFND 1 150 0 0 METLIFE INC CALL 59156R908 27 15000 SH Call DFND 1 15000 0 0 METLIFE INC COM 59156R108 19318 443015 SH DFND 1 443015 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 27 400 SH DFND 1 400 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 952 10462 SH DFND 1 10462 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 3846 3256000 PRN DFND 1 3256000 0 0 MICRON TECHNOLOGY INC COM 595112103 601 11449 SH DFND 1 11449 0 0 MICROSOFT CORP COM 594918104 45847 464903 SH DFND 1 464903 0 0 MOLECULAR TEMPLATES INC COM 608550109 6 1227 SH DFND 1 1227 0 0 MOMO INC ADR 60879B107 54 1250 SH DFND 1 1250 0 0 MONDELEZ INTL INC CL A 609207105 75968 1851850 SH DFND 1 1851850 0 0 MORGAN STANLEY CALL 617446908 40 13000 SH Call DFND 1 13000 0 0 MORGAN STANLEY COM NEW 617446448 106 2237 SH DFND 1 2237 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 26 1000 SH DFND 1 1000 0 0 MYLAN N V SHS EURO N59465109 181 5000 SH DFND 1 5000 0 0 NASDAQ INC COM 631103108 23 250 SH DFND 1 250 0 0 NAVISTAR INTL CORP NEW COM 63934E108 8 200 SH DFND 1 200 0 0 NEKTAR THERAPEUTICS COM 640268108 44 900 SH DFND 1 900 0 0 NEOVASC INC COM 64065J106 4 85000 SH DFND 1 85000 0 0 NETAPP INC COM 64110D104 31 395 SH DFND 1 395 0 0 NETEASE INC SPONSORED ADR 64110W102 18 70 SH DFND 1 70 0 0 NETFLIX INC COM 64110L106 2097 5360 SH DFND 1 5360 0 0 NEWMONT MINING CORP COM 651639106 3799 100755 SH DFND 1 100755 0 0 NIKE INC CL B 654106103 5166 64827 SH DFND 1 64827 0 0 NOBLE CORP PLC SHS USD G65431101 13 2000 SH DFND 1 2000 0 0 NOBLE ENERGY INC COM 655044105 16730 474138 SH DFND 1 474138 0 0 NOKIA CORP SPONSORED ADR 654902204 0 85 SH DFND 1 85 0 0 NORTHROP GRUMMAN CORP COM 666807102 431 1400 SH DFND 1 1400 0 0 NOVARTIS A G SPONSORED ADR 66987V109 30 400 SH DFND 1 400 0 0 NUANCE COMMUNICATIONS INC DBCV 1.000%12/1 67020YAK6 522 580000 PRN DFND 1 580000 0 0 NUCOR CORP COM 670346105 89 1417 SH DFND 1 1417 0 0 NUTRIEN LTD COM 67077M108 26 480 SH DFND 1 480 0 0 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 351 320000 PRN DFND 1 320000 0 0 NVIDIA CORP COM 67066G104 702 2966 SH DFND 1 2966 0 0 NXP SEMICONDUCTORS N V COM N6596X109 437 4000 SH DFND 1 4000 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 2532 2112000 PRN DFND 1 2112000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 12187 145618 SH DFND 1 145618 0 0 OCULAR THERAPEUTIX INC COM 67576A100 5 700 SH DFND 1 700 0 0 OHR PHARMACEUTICAL INC COM NEW 67778H200 1 4000 SH DFND 1 4000 0 0 OI S A SPONSORED ADR NE 670851500 0 2 SH DFND 1 2 0 0 OMNICOM GROUP INC COM 681919106 79 1032 SH DFND 1 1032 0 0 ORACLE CORP COM 68389X105 929 21140 SH DFND 1 21140 0 0 OVERSTOCK COM INC DEL COM 690370101 34 1000 SH DFND 1 1000 0 0 PACCAR INC COM 693718108 36 583 SH DFND 1 583 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 552 155000 SH DFND 1 155000 0 0 PALO ALTO NETWORKS INC COM 697435105 21240 103363 SH DFND 1 103363 0 0 PAN AMERICAN SILVER CORP COM 697900108 31 1760 SH DFND 1 1760 0 0 PAYCHEX INC COM 704326107 117 1723 SH DFND 1 1723 0 0 PAYPAL HLDGS INC COM 70450Y103 3627 43558 SH DFND 1 43558 0 0 PEPSICO INC COM 713448108 685 6302 SH DFND 1 6302 0 0 PERSPECTA INC COM 715347100 0 17 SH DFND 1 17 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 164 18440 SH DFND 1 18440 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 161 16035 SH DFND 1 16035 0 0 PFIZER INC COM 717081103 6249 172262 SH DFND 1 172262 0 0 PG&E CORP COM 69331C108 141 3320 SH DFND 1 3320 0 0 PHILIP MORRIS INTL INC COM 718172109 945 11686 SH DFND 1 11686 0 0 PHILLIPS 66 COM 718546104 37 328 SH DFND 1 328 0 0 PLUG POWER INC COM NEW 72919P202 6 3000 SH DFND 1 3000 0 0 POLARIS INDS INC COM 731068102 11 90 SH DFND 1 90 0 0 PPG INDS INC COM 693506107 4734 45667 SH DFND 1 45667 0 0 PRAXAIR INC COM 74005P104 6999 44264 SH DFND 1 44264 0 0 PRICE T ROWE GROUP INC COM 74144T108 114 977 SH DFND 1 977 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 3454 2870000 PRN DFND 1 2870000 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 77 1452 SH DFND 1 1452 0 0 PROCTER AND GAMBLE CO COM 742718109 9385 120212 SH DFND 1 120212 0 0 PROLOGIS INC COM 74340W103 101 1531 SH DFND 1 1531 0 0 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 804 795000 PRN DFND 1 795000 0 0 PRUDENTIAL FINL INC CALL 744320902 13 7000 SH Call DFND 1 7000 0 0 PUBLIC STORAGE COM 74460D109 114 501 SH DFND 1 501 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 81 1488 SH DFND 1 1488 0 0 QUALCOMM INC COM 747525103 1636 29149 SH DFND 1 29149 0 0 RANDGOLD RES LTD ADR 752344309 478 6200 SH DFND 1 6200 0 0 RANGE RES CORP COM 75281A109 9017 538908 SH DFND 1 538908 0 0 RAYTHEON CO COM NEW 755111507 386 2000 SH DFND 1 2000 0 0 RED HAT INC COM 756577102 15654 116500 SH DFND 1 116500 0 0 REGENERON PHARMACEUTICALS COM 75886F107 483 1400 SH DFND 1 1400 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 69 1150 SH DFND 1 1150 0 0 RIO TINTO PLC SPONSORED ADR 767204100 2801 50500 SH DFND 1 50500 0 0 ROCKWELL AUTOMATION INC COM 773903109 37 222 SH DFND 1 222 0 0 ROSS STORES INC COM 778296103 64 754 SH DFND 1 754 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 263 3500 SH DFND 1 3500 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 962 13240 SH DFND 1 13240 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 279 4039 SH DFND 1 4039 0 0 RPM INTL INC NOTE 2.250%12/1 749685AT0 1115 915000 PRN DFND 1 915000 0 0 S&P GLOBAL INC COM 78409V104 33342 163505 SH DFND 1 163505 0 0 SALESFORCE COM INC COM 79466L302 1088 7978 SH DFND 1 7978 0 0 SANGAMO THERAPEUTICS INC COM 800677106 142 10000 SH DFND 1 10000 0 0 SCORPIO BULKERS INC COM Y7546A122 14 2000 SH DFND 1 2000 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 15 203 SH DFND 1 203 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 18 165 SH DFND 1 165 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 17 200 SH DFND 1 200 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 27 1000 SH DFND 1 1000 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 16 270 SH DFND 1 270 0 0 SELECTA BIOSCIENCES INC COM 816212104 126 9500 SH DFND 1 9500 0 0 SEMPRA ENERGY COM 816851109 28 245 SH DFND 1 245 0 0 SERVICE CORP INTL COM 817565104 36 1000 SH DFND 1 1000 0 0 SHOPIFY INC CL A 82509L107 58 400 SH DFND 1 400 0 0 SIFY TECHNOLOGIES LIMITED SPONSORED ADR 82655M107 0 35 SH DFND 1 35 0 0 SILVERCORP METALS INC COM 82835P103 7 2790 SH DFND 1 2790 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 19 196 SH DFND 1 196 0 0 SMART GLOBAL HLDGS INC SHS G8232Y101 96 3000 SH DFND 1 3000 0 0 SNAP INC CL A 83304A106 16 1200 SH DFND 1 1200 0 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 163 3400 SH DFND 1 3400 0 0 SOUTHWEST AIRLS CO COM 844741108 30 583 SH DFND 1 583 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 340 1400 SH DFND 1 1400 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 325 2744 SH DFND 1 2744 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 96 2500 SH DFND 1 2500 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 94 900 SH DFND 1 900 0 0 SPDR S&P 500 ETF TR PUT 78462F953 58 24000 SH Put DFND 1 24000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7901 29125 SH DFND 1 29125 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 146 1530 SH DFND 1 1530 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 106 1150 SH DFND 1 1150 0 0 SPIRIT RLTY CAP INC NEW NOTE 2.875% 5/1 84860WAA0 600 600000 PRN DFND 1 600000 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 35165 209094 SH DFND 1 209094 0 0 SPROUTS FMRS MKT INC COM 85208M102 3767 170693 SH DFND 1 170693 0 0 SQUARE INC CL A 852234103 62 1000 SH DFND 1 1000 0 0 SSR MNG INC COM 784730103 170 17200 SH DFND 1 17200 0 0 STANLEY BLACK & DECKER INC COM 854502101 90 680 SH DFND 1 680 0 0 STARBUCKS CORP COM 855244109 3343 68454 SH DFND 1 68454 0 0 STARWOOD PPTY TR INC NOTE 4.000% 1/1 85571BAB1 737 650000 PRN DFND 1 650000 0 0 STEEL CONNECT INC COM 858098106 2 800 SH DFND 1 800 0 0 SUNCOR ENERGY INC NEW COM 867224107 366 9000 SH DFND 1 9000 0 0 SWEDISH EXPT CR CORP ROG TTL ETN 22 870297801 14 2440 SH DFND 1 2440 0 0 SYNCHRONY FINL COM 87165B103 16951 507967 SH DFND 1 507967 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 5199 142150 SH DFND 1 142150 0 0 TAPESTRY INC COM 876030107 295 6327 SH DFND 1 6327 0 0 TATA MTRS LTD SPONSORED ADR 876568502 33 1700 SH DFND 1 1700 0 0 TE CONNECTIVITY LTD REG SHS H84989104 8221 91296 SH DFND 1 91296 0 0 TECHNIPFMC PLC COM G87110105 378 11881 SH DFND 1 11881 0 0 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 3 212 SH DFND 1 212 0 0 TELEFONICA S A SPONSORED ADR 879382208 5 534 SH DFND 1 534 0 0 TESLA INC COM 88160R101 790 2301 SH DFND 1 2301 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 471 400000 PRN DFND 1 400000 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 6123 251800 SH DFND 1 251800 0 0 TEXAS INSTRS INC COM 882508104 14280 129519 SH DFND 1 129519 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 3006 14510 SH DFND 1 14510 0 0 TIFFANY & CO NEW COM 886547108 3581 27210 SH DFND 1 27210 0 0 TIM PARTICIPACOES S A SPONSORED ADR 88706P205 1 45 SH DFND 1 45 0 0 TJX COS INC NEW COM 872540109 77 814 SH DFND 1 814 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 145 2500 SH DFND 1 2500 0 0 TRANSCANADA CORP COM 89353D107 110 2554 SH DFND 1 2554 0 0 TRANSENTERIX INC COM NEW 89366M201 43 10000 SH DFND 1 10000 0 0 TRANSOCEAN LTD REG SHS H8817H100 18 1384 SH DFND 1 1384 0 0 TURQUOISE HILL RES LTD COM 900435108 138 48445 SH DFND 1 48445 0 0 TUTOR PERINI CORP COM 901109108 9 500 SH DFND 1 500 0 0 TWITTER INC COM 90184L102 279 6400 SH DFND 1 6400 0 0 TYSON FOODS INC CL A 902494103 75 1095 SH DFND 1 1095 0 0 UBS GROUP AG SHS H42097107 42752 2770498 SH DFND 1 2770498 0 0 UNDER ARMOUR INC CL A 904311107 29 1268 SH DFND 1 1268 0 0 UNILEVER N V N Y SHS NEW 904784709 21731 390000 SH DFND 1 390000 0 0 UNILEVER PLC SPON ADR NEW 904767704 304 5500 SH DFND 1 5500 0 0 UNION PAC CORP COM 907818108 283 2000 SH DFND 1 2000 0 0 UNITED CONTL HLDGS INC COM 910047109 24 346 SH DFND 1 346 0 0 UNITED TECHNOLOGIES CORP COM 913017109 17402 139153 SH DFND 1 139153 0 0 UNITEDHEALTH GROUP INC COM 91324P102 729 2969 SH DFND 1 2969 0 0 V F CORP COM 918204108 829 10150 SH DFND 1 10150 0 0 VALE S A ADR 91912E105 1297 101073 SH DFND 1 101073 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 34 1446 SH DFND 1 1446 0 0 VALERO ENERGY CORP NEW COM 91913Y100 92 826 SH DFND 1 826 0 0 VANECK VECTORS ETF TR AFRICA INDEX ETF 92189F866 97 4100 SH DFND 1 4100 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 6 280 SH DFND 1 280 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 261 8000 SH DFND 1 8000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 47 1110 SH DFND 1 1110 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 39 700 SH DFND 1 700 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 4389 62712 SH DFND 1 62712 0 0 VANGUARD SCOTTSDALE FDS LONG TERM TREAS 92206C847 48743 651827 SH DFND 1 651827 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1047 13400 SH DFND 1 13400 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 13 120 SH DFND 1 120 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 6783 134781 SH DFND 1 134781 0 0 VERSUM MATLS INC COM 92532W103 90 2400 SH DFND 1 2400 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 85 500 SH DFND 1 500 0 0 VISA INC CALL 92826C909 138 6500 SH Call DFND 1 6500 0 0 VISA INC COM CL A 92826C839 112548 849837 SH DFND 1 849837 0 0 VMWARE INC CL A COM 928563402 73 500 SH DFND 1 500 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1092 18197 SH DFND 1 18197 0 0 WALMART INC COM 931142103 1080 12611 SH DFND 1 12611 0 0 WATERS CORP COM 941848103 47 241 SH DFND 1 241 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 3 900 SH DFND 1 900 0 0 WEIBO CORP SPONSORED ADR 948596101 44 500 SH DFND 1 500 0 0 WELLS FARGO CO NEW COM 949746101 11626 209694 SH DFND 1 209694 0 0 WEYERHAEUSER CO COM 962166104 91 2484 SH DFND 1 2484 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 68 3100 SH DFND 1 3100 0 0 WILLIAMS COS INC DEL COM 969457100 24 900 SH DFND 1 900 0 0 WINDSTREAM HLDGS INC COM PAR 97382A309 3 525 SH DFND 1 525 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 617 17943 SH DFND 1 17943 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 621 11500 SH DFND 1 11500 0 0 YUM BRANDS INC COM 988498101 270 3450 SH DFND 1 3450 0 0 YUM CHINA HLDGS INC COM 98850P109 7132 185427 SH DFND 1 185427 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 26 230 SH DFND 1 230 0 0 3M CO COM 88579Y101 453 2300 SH DFND 2 2300 0 0 ABBVIE INC COM 00287Y109 6370 68735 SH DFND 2 68735 0 0 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 44 5000 SH DFND 2 5000 0 0 AETNA INC NEW COM 00817Y108 7 40 SH DFND 2 40 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1423 7675 SH DFND 2 7675 0 0 ALLERGAN PLC SHS G0177J108 566 3400 SH DFND 2 3400 0 0 ALPHABET INC CAP STK CL A 02079K305 9575 8477 SH DFND 2 8477 0 0 ALPHABET INC CAP STK CL C 02079K107 4044 3625 SH DFND 2 3625 0 0 ALTRIA GROUP INC COM 02209S103 57 1000 SH DFND 2 1000 0 0 AMAZON COM INC COM 023135106 1725 1015 SH DFND 2 1015 0 0 AMBEV SA SPONSORED ADR 02319V103 42 9000 SH DFND 2 9000 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 25 1500 SH DFND 2 1500 0 0 AMYRIS INC COM NEW 03236M200 665 104000 SH DFND 2 104000 0 0 ANDEAVOR COM 03349M105 5154 39270 SH DFND 2 39270 0 0 APPLE INC COM 037833100 4658 25144 SH DFND 2 25144 0 0 AT&T INC COM 00206R102 22 700 SH DFND 2 700 0 0 BAIDU INC SPON ADR REP A 056752108 194 800 SH DFND 2 800 0 0 BANCO SANTANDER SA ADR 05964H105 36 6800 SH DFND 2 6800 0 0 BANK AMER CORP COM 060505104 316 11200 SH DFND 2 11200 0 0 BANK MONTREAL QUE COM 063671101 85 1100 SH DFND 2 1100 0 0 BANK N S HALIFAX COM 064149107 116 2050 SH DFND 2 2050 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 235 1260 SH DFND 2 1260 0 0 BOOKING HLDGS INC COM 09857L108 16 8 SH DFND 2 8 0 0 BRIGHTHOUSE FINL INC COM 10922N103 29 727 SH DFND 2 727 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 28 500 SH DFND 2 500 0 0 BUNGE LIMITED COM G16962105 502 7200 SH DFND 2 7200 0 0 CAE INC COM 124765108 52 2500 SH DFND 2 2500 0 0 CALIFORNIA RES CORP COM NEW 13057Q206 0 8 SH DFND 2 8 0 0 CAMDEN PPTY TR SH BEN INT 133131102 27 300 SH DFND 2 300 0 0 CANADIAN NAT RES LTD COM 136385101 97 2700 SH DFND 2 2700 0 0 CANADIAN NATL RY CO COM 136375102 180 2200 SH DFND 2 2200 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 59 9000 SH DFND 2 9000 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 171 3875 SH DFND 2 3875 0 0 CHUBB LIMITED COM H1467J104 1271 10000 SH DFND 2 10000 0 0 CISCO SYS INC COM 17275R102 103 2380 SH DFND 2 2380 0 0 CITIGROUP INC COM NEW 172967424 43 645 SH DFND 2 645 0 0 COCA COLA CO COM 191216100 254 5800 SH DFND 2 5800 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 1422 18000 SH DFND 2 18000 0 0 COLGATE PALMOLIVE CO COM 194162103 100 1540 SH DFND 2 1540 0 0 COMCAST CORP NEW CL A 20030N101 1922 58600 SH DFND 2 58600 0 0 CORNING INC COM 219350105 82 3000 SH DFND 2 3000 0 0 COSTCO WHSL CORP NEW COM 22160K105 42 200 SH DFND 2 200 0 0 DENTSPLY SIRONA INC COM 24906P109 22 500 SH DFND 2 500 0 0 DEXCOM INC COM 252131107 950 10000 SH DFND 2 10000 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 241 1670 SH DFND 2 1670 0 0 DISNEY WALT CO COM DISNEY 254687106 513 4900 SH DFND 2 4900 0 0 DR REDDYS LABS LTD ADR 256135203 27 830 SH DFND 2 830 0 0 ENBRIDGE INC COM 29250N105 64 1800 SH DFND 2 1800 0 0 EOG RES INC COM 26875P101 5374 43150 SH DFND 2 43150 0 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 191 6500 SH DFND 2 6500 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 1080 27000 SH DFND 2 27000 0 0 EXELON CORP COM 30161N101 21 500 SH DFND 2 500 0 0 FACEBOOK INC CL A 30303M102 1931 9940 SH DFND 2 9940 0 0 FERRARI N V COM N3167Y103 32 235 SH DFND 2 235 0 0 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 200 7600 SH DFND 2 7600 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 61 700 SH DFND 2 700 0 0 GILDAN ACTIVEWEAR INC COM 375916103 70 2500 SH DFND 2 2500 0 0 GLOBAL X FDS FINTECH ETF 37954Y814 208 8000 SH DFND 2 8000 0 0 GLOBAL X FDS INTERNET OF THNG 37954Y780 95 4900 SH DFND 2 4900 0 0 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 314 14235 SH DFND 2 14235 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 17 75 SH DFND 2 75 0 0 GROUPE CGI INC CL A SUB VTG 39945C109 63 1000 SH DFND 2 1000 0 0 HALLIBURTON CO COM 406216101 3 60 SH DFND 2 60 0 0 HASBRO INC COM 418056107 32 350 SH DFND 2 350 0 0 HOME DEPOT INC COM 437076102 5002 25603 SH DFND 2 25603 0 0 HONDA MOTOR LTD AMERN SHS 438128308 18 600 SH DFND 2 600 0 0 HONEYWELL INTL INC COM 438516106 43 300 SH DFND 2 300 0 0 HUDSON GLOBAL INC COM 443787106 57 35000 SH DFND 2 35000 0 0 IMPERIAL OIL LTD COM NEW 453038408 25 750 SH DFND 2 750 0 0 INTEL CORP COM 458140100 47 950 SH DFND 2 950 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 162 335 SH DFND 2 335 0 0 INVESCO EXCHANGE TRADED FD T WATER RES ETF 46137V142 38 1250 SH DFND 2 1250 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 2334 13600 SH DFND 2 13600 0 0 ISHARES GOLD TRUST ISHARES 464285105 96 8030 SH DFND 2 8030 0 0 ISHARES INC MSCI GERMANY ETF 464286806 76 2547 SH DFND 2 2547 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 508 8750 SH DFND 2 8750 0 0 ISHARES INC MSCI PAC JP ETF 464286665 1486 32300 SH DFND 2 32300 0 0 ISHARES INC MSCI TAIWAN ETF 46434G772 140 3900 SH DFND 2 3900 0 0 ISHARES TR 0-5YR INVT GR CP 46434V100 99 2000 SH DFND 2 2000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 5068 41670 SH DFND 2 41670 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 426 9900 SH DFND 2 9900 0 0 ISHARES TR CORE S&P SCP ETF 464287804 117 1400 SH DFND 2 1400 0 0 ISHARES TR CORE S&P500 ETF 464287200 601 2200 SH DFND 2 2200 0 0 ISHARES TR CORE US AGGBD ET 464287226 3611 33950 SH DFND 2 33950 0 0 ISHARES TR EAFE VALUE ETF 464288877 54 1061 SH DFND 2 1061 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 531 10400 SH DFND 2 10400 0 0 ISHARES TR GLOB HLTHCRE ETF 464287325 90 1600 SH DFND 2 1600 0 0 ISHARES TR IBOXX HI YD ETF 464288513 264 3100 SH DFND 2 3100 0 0 ISHARES TR IBOXX INV CP ETF 464287242 3114 27200 SH DFND 2 27200 0 0 ISHARES TR JPMORGAN USD EMG 464288281 299 2800 SH DFND 2 2800 0 0 ISHARES TR MSCI ACWI ETF 464288257 2404 33800 SH DFND 2 33800 0 0 ISHARES TR MSCI CHINA ETF 46429B671 1615 25000 SH DFND 2 25000 0 0 ISHARES TR MSCI EAFE ETF 464287465 670 10000 SH DFND 2 10000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 6691 154427 SH DFND 2 154427 0 0 ISHARES TR MSCI EURO FL ETF 464289180 627 31000 SH DFND 2 31000 0 0 ISHARES TR NORTH AMERN NAT 464287374 423 11485 SH DFND 2 11485 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 72 812 SH DFND 2 812 0 0 ISHARES TR RUS MID CAP ETF 464287499 97 458 SH DFND 2 458 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 950 5800 SH DFND 2 5800 0 0 ISHARES TR US HOME CONS ETF 464288752 60 1570 SH DFND 2 1570 0 0 JD COM INC SPON ADR CL A 47215P106 23 600 SH DFND 2 600 0 0 JOHNSON & JOHNSON COM 478160104 3741 30860 SH DFND 2 30860 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 27 1000 SH DFND 2 1000 0 0 JPMORGAN CHASE & CO COM 46625H100 1299 12450 SH DFND 2 12450 0 0 LILLY ELI & CO COM 532457108 35 410 SH DFND 2 410 0 0 LOGITECH INTL S A SHS H50430232 67 1525 SH DFND 2 1525 0 0 LOGMEIN INC COM 54142L109 21 200 SH DFND 2 200 0 0 MARATHON PETE CORP COM 56585A102 21 300 SH DFND 2 300 0 0 MASTERCARD INCORPORATED CL A 57636Q104 39 200 SH DFND 2 200 0 0 MCDONALDS CORP COM 580135101 2443 15550 SH DFND 2 15550 0 0 MEDTRONIC PLC SHS G5960L103 47 550 SH DFND 2 550 0 0 MERCK & CO INC COM 58933Y105 825 13590 SH DFND 2 13590 0 0 METLIFE INC COM 59156R108 349 8000 SH DFND 2 8000 0 0 MICRON TECHNOLOGY INC COM 595112103 26 500 SH DFND 2 500 0 0 MICROSOFT CORP COM 594918104 364 3690 SH DFND 2 3690 0 0 MONDELEZ INTL INC CL A 609207105 3263 79570 SH DFND 2 79570 0 0 NABORS INDUSTRIES LTD SHS G6359F103 64 10000 SH DFND 2 10000 0 0 NATIONAL RETAIL PPTYS INC COM 637417106 110 2500 SH DFND 2 2500 0 0 NETFLIX INC COM 64110L106 117 300 SH DFND 2 300 0 0 NIKE INC CL B 654106103 36 446 SH DFND 2 446 0 0 NOBLE ENERGY INC COM 655044105 459 13000 SH DFND 2 13000 0 0 NUCOR CORP COM 670346105 63 1000 SH DFND 2 1000 0 0 NVIDIA CORP COM 67066G104 261 1100 SH DFND 2 1100 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 335 4000 SH DFND 2 4000 0 0 ORACLE CORP COM 68389X105 3673 83431 SH DFND 2 83431 0 0 PALO ALTO NETWORKS INC COM 697435105 555 2700 SH DFND 2 2700 0 0 PEPSICO INC COM 713448108 3019 27750 SH DFND 2 27750 0 0 PFIZER INC COM 717081103 18 500 SH DFND 2 500 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 31 300 SH DFND 2 300 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 5373 52900 SH DFND 2 52900 0 0 PRAXAIR INC COM 74005P104 799 5050 SH DFND 2 5050 0 0 PRECISION DRILLING CORP COM 2010 74022D308 50 15000 SH DFND 2 15000 0 0 PROCTER AND GAMBLE CO COM 742718109 274 3506 SH DFND 2 3506 0 0 PROSHARES TR ULT FTSE EUROPE 74347X526 27 500 SH DFND 2 500 0 0 QUALCOMM INC COM 747525103 4 73 SH DFND 2 73 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 90 1500 SH DFND 2 1500 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 171 3600 SH DFND 2 3600 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 1662 22100 SH DFND 2 22100 0 0 SALESFORCE COM INC COM 79466L302 184 1350 SH DFND 2 1350 0 0 SAP SE SPON ADR 803054204 486 4200 SH DFND 2 4200 0 0 SELECT BANCORP INC NEW COM 81617L108 23 1724 SH DFND 2 1724 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2653 22375 SH DFND 2 22375 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 84 310 SH DFND 2 310 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 491 18000 SH DFND 2 18000 0 0 SPROUTS FMRS MKT INC COM 85208M102 508 23000 SH DFND 2 23000 0 0 STARBUCKS CORP COM 855244109 3513 71900 SH DFND 2 71900 0 0 SUNCOR ENERGY INC NEW COM 867224107 4509 110925 SH DFND 2 110925 0 0 SYNCHRONY FINL COM 87165B103 3839 115000 SH DFND 2 115000 0 0 TE CONNECTIVITY LTD REG SHS H84989104 3709 41125 SH DFND 2 41125 0 0 TELUS CORP COM 87971M103 67 1900 SH DFND 2 1900 0 0 TESLA INC COM 88160R101 240 700 SH DFND 2 700 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 57 275 SH DFND 2 275 0 0 TJX COS INC NEW COM 872540109 3980 41800 SH DFND 2 41800 0 0 TOTAL S A SPONSORED ADR 89151E109 26 430 SH DFND 2 430 0 0 TRANSCANADA CORP COM 89353D107 37 850 SH DFND 2 850 0 0 UBS GROUP AG SHS H42097107 446 28890 SH DFND 2 28890 0 0 UNITED TECHNOLOGIES CORP COM 913017109 438 3500 SH DFND 2 3500 0 0 US BANCORP DEL COM NEW 902973304 4497 89850 SH DFND 2 89850 0 0 VANECK VECTORS ETF TR AGRIBUSINESS ETF 92189F700 479 7700 SH DFND 2 7700 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 624 2500 SH DFND 2 2500 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1688 40000 SH DFND 2 40000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 3677 65495 SH DFND 2 65495 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1367 17500 SH DFND 2 17500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 336 6670 SH DFND 2 6670 0 0 VISA INC COM CL A 92826C839 494 3735 SH DFND 2 3735 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 66 20000 SH DFND 2 20000 0 0 WELLS FARGO CO NEW COM 949746101 5009 90375 SH DFND 2 90375 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 2718 79000 SH DFND 2 79000 0 0 WISDOMTREE TR EUROPE SMCP DV 97717W869 3132 48000 SH DFND 2 48000 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 205 3800 SH DFND 2 3800 0 0