Executive Vice President

0001420506-19-001054.txt : 20191112 0001420506-19-001054.hdr.sgml : 20191112 20191112101558 ACCESSION NUMBER: 0001420506-19-001054 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191206873 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 09-30-2019 09-30-2019 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 0001535660 028-16247 Lombard Odier Asset Management (Switzerland) SA 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 11-12-2019 1 703 2394870 false 1 0001106185 028-16234 Bank Lombard Odier & Co Ltd INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR COMPAGNIE LOMBARD ODIER SCMA 3M CO COM 88579Y101 701 4268 SH DFND 4268 0 0 ABBOTT LABS COM 002824100 12 149 SH DFND 149 0 0 ABBVIE INC COM 00287Y109 7856 103752 SH DFND 103752 0 0 ABRAXAS PETE CORP COM 003830106 20 38000 SH DFND 38000 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 48 249 SH DFND 249 0 0 ACTIVISION BLIZZARD INC COM 00507V109 0 8 SH DFND 8 0 0 ADOBE INC COM 00724F101 22 80 SH DFND 80 0 0 ADVANCED MICRO DEVICES INC COM 007903107 3 108 SH DFND 108 0 0 AERCAP HOLDINGS NV SHS N00985106 3 57 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HEXCEL CORP NEW COM 428291108 16 200 SH DFND 200 0 0 HOME DEPOT INC COM 437076102 1603 6918 SH DFND 6918 0 0 IHS MARKIT LTD SHS G47567105 127 1899 SH DFND 1899 0 0 INGERSOLL-RAND PLC SHS G47791101 390 3170 SH DFND 3170 0 0 ISHARES INC MSCI THAILND ETF 464286624 44 500 SH DFND 500 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 82 2000 SH DFND 2000 0 0 JD COM INC SPON ADR CL A 47215P106 127 4500 SH DFND 4500 0 0 JOHNSON & JOHNSON COM 478160104 47 360 SH DFND 360 0 0 JPMORGAN CHASE & CO COM 46625H100 5235 44454 SH DFND 44454 0 0 JUNIPER NETWORKS INC COM 48203R104 2 75 SH DFND 75 0 0 KEURIG DR PEPPER INC COM 49271V100 12 451 SH DFND 451 0 0 LAM RESEARCH CORP COM 512807108 2 7 SH DFND 7 0 0 LINDE PLC SHS G5494J103 705 3629 SH DFND 3629 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 133 2000 SH DFND 2000 0 0 LOGITECH INTL S A SHS H50430232 348 8588 SH DFND 8588 0 0 MARSH & MCLENNAN COS INC COM 571748102 70 696 SH DFND 696 0 0 MCDONALDS CORP COM 580135101 722 3362 SH DFND 3362 0 0 MEDTRONIC PLC 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7000 SH DFND 1 7000 0 0 DEERE & CO COM 244199105 96 569 SH DFND 1 569 0 0 DELL TECHNOLOGIES INC CL C 24703L202 8 158 SH DFND 1 158 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 64 1095 SH DFND 1 1095 0 0 DENTSPLY SIRONA INC COM 24906P109 496 9300 SH DFND 1 9300 0 0 DESTINATION XL GROUP INC COM 25065K104 6 3500 SH DFND 1 3500 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 11 1500 SH DFND 1 1500 0 0 DEXCOM INC COM 252131107 75 500 SH DFND 1 500 0 0 DIAMONDBACK ENERGY INC COM 25278X109 1112 12369 SH DFND 1 12369 0 0 DISCOVER FINL SVCS COM 254709108 590 7280 SH DFND 1 7280 0 0 DISNEY WALT CO COM DISNEY 254687106 27638 212123 SH DFND 1 212123 0 0 DOMINION ENERGY INC COM 25746U109 0 0 SH DFND 1 0 0 0 DOVA PHARMACEUTICALS INC COM 25985T102 392 14000 SH DFND 1 14000 0 0 DOW INC COM 260557103 2 43 SH DFND 1 43 0 0 DTE ENERGY CO COM 233331107 316 2377 SH DFND 1 2377 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 120 1250 SH DFND 1 1250 0 0 DUPONT DE NEMOURS INC COM 26614N102 248 3498 SH DFND 1 3498 0 0 DXC TECHNOLOGY CO COM 23355L106 7 245 SH DFND 1 245 0 0 EATON CORP PLC SHS G29183103 155 1858 SH DFND 1 1858 0 0 EBAY INC COM 278642103 254 6500 SH DFND 1 6500 0 0 ECOLAB INC COM 278865100 382 1930 SH DFND 1 1930 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 1507 6850 SH DFND 1 6850 0 0 EDWARDS LIFESCIENCES CORP PUT 28176E958 0 0 SH Put DFND 1 0 0 0 ELECTRONIC ARTS INC COM 285512109 34 354 SH DFND 1 354 0 0 EMCORE CORP COM NEW 290846203 31 10000 SH DFND 1 10000 0 0 EMERSON ELEC CO COM 291011104 557 8331 SH DFND 1 8331 0 0 ENBRIDGE INC COM 29250N105 141 3993 SH DFND 1 3993 0 0 ENDEAVOUR SILVER CORP COM 29258Y103 8 3400 SH DFND 1 3400 0 0 EOG RES INC COM 26875P101 9521 128288 SH DFND 1 128288 0 0 EQT CORP COM 26884L109 3 270 SH DFND 1 270 0 0 EQUIFAX INC COM 294429105 563 4000 SH DFND 1 4000 0 0 EQUINIX INC COM 29444U700 266 461 SH DFND 1 461 0 0 EQUITRANS MIDSTREAM CORPORAT COM 294600101 3 216 SH DFND 1 216 0 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 83 4000 SH DFND 1 4000 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 112 3000 SH DFND 1 3000 0 0 ETSY INC COM 29786A106 28 500 SH DFND 1 500 0 0 EVER GLORY INTL GRP INC COM NEW 299766204 7 2000 SH DFND 1 2000 0 0 EXACT SCIENCES CORP NOTE 0.375% 3/1 30063PAB1 1478 1365000 PRN DFND 1 1365000 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 33 850 SH DFND 1 850 0 0 EXELON CORP COM 30161N101 3304 68394 SH DFND 1 68394 0 0 EXPEDIA GROUP INC COM NEW 30212P303 11594 86243 SH DFND 1 86243 0 0 EXXON MOBIL CORP COM 30231G102 8034 113774 SH DFND 1 113774 0 0 FACEBOOK INC CALL 30303M902 0 0 SH Call DFND 1 0 0 0 FACEBOOK INC CL A 30303M102 37793 212236 SH DFND 1 212236 0 0 FACEBOOK INC PUT 30303M952 0 0 SH Put DFND 1 0 0 0 FEDEX CORP COM 31428X106 7 45 SH DFND 1 45 0 0 FERRARI N V COM N3167Y103 5361 34745 SH DFND 1 34745 0 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 139 10730 SH DFND 1 10730 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 988 7440 SH DFND 1 7440 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 29 3200 SH DFND 1 3200 0 0 FLEXION THERAPEUTICS INC COM 33938J106 11 800 SH DFND 1 800 0 0 FORD MTR CO DEL CALL 345370900 0 0 SH Call DFND 1 0 0 0 FORD MTR CO DEL COM 345370860 149 16252 SH DFND 1 16252 0 0 FORTINET INC COM 34959E109 9 111 SH DFND 1 111 0 0 FORTIS INC COM 349553107 32 748 SH DFND 1 748 0 0 FORTIVE CORP COM 34959J108 34 500 SH DFND 1 500 0 0 FORTUNA SILVER MINES INC COM 349915108 19 6200 SH DFND 1 6200 0 0 FRANCO NEVADA CORP COM 351858105 1231 13500 SH DFND 1 13500 0 0 FREEPORT-MCMORAN INC CL B 35671D857 468 48900 SH DFND 1 48900 0 0 FRESENIUS MED CARE AG&CO KGA SPONSORED ADR 358029106 321 9562 SH DFND 1 9562 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 0 59 SH DFND 1 59 0 0 GALLAGHER ARTHUR J & CO COM 363576109 0 0 SH DFND 1 0 0 0 GAMESTOP CORP NEW CL A 36467W109 1 100 SH DFND 1 100 0 0 GARMIN LTD SHS H2906T109 7656 90400 SH DFND 1 90400 0 0 GARRETT MOTION INC COM 366505105 0 99 SH DFND 1 99 0 0 GARTNER INC COM 366651107 1474 10310 SH DFND 1 10310 0 0 GENERAL ELECTRIC CO COM 369604103 1361 152340 SH DFND 1 152340 0 0 GENERAL MLS INC COM 370334104 827 15000 SH DFND 1 15000 0 0 GENERAL MTRS CO COM 37045V100 122 3248 SH DFND 1 3248 0 0 GERDAU S A SPON ADR REP PFD 373737105 120 38040 SH DFND 1 38040 0 0 GILEAD SCIENCES INC CALL 375558903 59 12500 SH Call DFND 1 12500 0 0 GILEAD SCIENCES INC COM 375558103 1557 24579 SH DFND 1 24579 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 384 9000 SH DFND 1 9000 0 0 GLOBAL X FDS FINTECH ETF 37954Y814 0 0 SH DFND 1 0 0 0 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 155 6400 SH DFND 1 6400 0 0 GLOBAL X FDS MSCI GREECE ETF 37950E366 47 5000 SH DFND 1 5000 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 13 1000 SH DFND 1 1000 0 0 GOLDEN MINERALS CO COM 381119106 2 10160 SH DFND 1 10160 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2121 10234 SH DFND 1 10234 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 94 6500 SH DFND 1 6500 0 0 GOPRO INC CL A 38268T103 13 2500 SH DFND 1 2500 0 0 GREAT PANTHER MINING LIMITED COM 39115V101 6 7900 SH DFND 1 7900 0 0 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 750 655000 PRN DFND 1 655000 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 150 1300 SH DFND 1 1300 0 0 HAIN CELESTIAL GROUP INC COM 405217100 134 6250 SH DFND 1 6250 0 0 HALLIBURTON CO COM 406216101 140 7450 SH DFND 1 7450 0 0 HARLEY DAVIDSON INC COM 412822108 36 1000 SH DFND 1 1000 0 0 HESS CORP COM 42809H107 242 4000 SH DFND 1 4000 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 13 870 SH DFND 1 870 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 72 768 SH DFND 1 768 0 0 HOLOGIC INC COM 436440101 252 5000 SH DFND 1 5000 0 0 HOME DEPOT INC COM 437076102 53586 230984 SH DFND 1 230984 0 0 HONEYWELL INTL INC COM 438516106 1463 8646 SH DFND 1 8646 0 0 IDEXX LABS INC COM 45168D104 109 400 SH DFND 1 400 0 0 IHS MARKIT LTD SHS G47567105 1151 17200 SH DFND 1 17200 0 0 ILLINOIS TOOL WKS INC COM 452308109 7573 48394 SH DFND 1 48394 0 0 ILLUMINA INC COM 452327109 2555 8400 SH DFND 1 8400 0 0 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 1261 950000 PRN DFND 1 950000 0 0 INCYTE CORP COM 45337C102 19 250 SH DFND 1 250 0 0 INGERSOLL-RAND PLC SHS G47791101 19527 158473 SH DFND 1 158473 0 0 INTEL CORP COM 458140100 23724 460425 SH DFND 1 460425 0 0 INTEL CORP PUT 458140950 0 0 SH Put DFND 1 0 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 107 8000 SH DFND 1 8000 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 66 1000 SH DFND 1 1000 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 102 1100 SH DFND 1 1100 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3294 22660 SH DFND 1 22660 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 12236 99750 SH DFND 1 99750 0 0 INTUIT COM 461202103 731 2750 SH DFND 1 2750 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 950 1760 SH DFND 1 1760 0 0 INVESCO EXCHNG TRADED FD TR CHINA TECHNLGY 46138E800 27 600 SH DFND 1 600 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 3320 17587 SH DFND 1 17587 0 0 IRHYTHM TECHNOLOGIES INC COM 450056106 7 100 SH DFND 1 100 0 0 IRIDIUM COMMUNICATIONS INC COM 46269C102 2 100 SH DFND 1 100 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 815 19345 SH DFND 1 19345 0 0 ISHARES INC MSCI BRIC INDX 464286657 142 3500 SH DFND 1 3500 0 0 ISHARES INC MSCI EURZONE ETF 464286608 1406 36150 SH DFND 1 36150 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 43 750 SH DFND 1 750 0 0 ISHARES INC MSCI MEXICO ETF 464286822 171 4000 SH DFND 1 4000 0 0 ISHARES INC MSCI PAC JP ETF 464286665 430 9605 SH DFND 1 9605 0 0 ISHARES INC MSCI WORLD ETF 464286392 881 9600 SH DFND 1 9600 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 199 2350 SH DFND 1 2350 0 0 ISHARES TR 10-20 YR TRS ETF 464288653 13497 90292 SH DFND 1 90292 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 41 325 SH DFND 1 325 0 0 ISHARES TR CORE S&P MCP ETF 464287507 143 739 SH DFND 1 739 0 0 ISHARES TR CORE S&P SCP ETF 464287804 179 2297 SH DFND 1 2297 0 0 ISHARES TR CORE S&P500 ETF 464287200 2149 7200 SH DFND 1 7200 0 0 ISHARES TR INTL TREA BD ETF 464288117 21679 429543 SH DFND 1 429543 0 0 ISHARES TR JPX NIKKEI 400 464287382 281 4600 SH DFND 1 4600 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 186 2800 SH DFND 1 2800 0 0 ISHARES TR MSCI ACWI ETF 464288257 2556 34650 SH DFND 1 34650 0 0 ISHARES TR MSCI EAFE ETF 464287465 308 4716 SH DFND 1 4716 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3689 90260 SH DFND 1 90260 0 0 ISHARES TR MSCI INDIA ETF 46429B598 128 3800 SH DFND 1 3800 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 236 1557 SH DFND 1 1557 0 0 ISHARES TR U.S. MED DVC ETF 464288810 0 0 SH DFND 1 0 0 0 ISHARES TR US AER DEF ETF 464288760 67 300 SH DFND 1 300 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 400 350000 PRN DFND 1 350000 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 125 14815 SH DFND 1 14815 0 0 IZEA WORLDWIDE INC COM 46604H105 10 40000 SH DFND 1 40000 0 0 JAZZ INVESTMENTS I LTD NOTE 1.500% 8/1 472145AD3 0 0 PRN DFND 1 0 0 0 JD COM INC SPON ADR CL A 47215P106 2368 83970 SH DFND 1 83970 0 0 JOHNSON & JOHNSON COM 478160104 4678 36143 SH DFND 1 36143 0 0 JPMORGAN CHASE & CO COM 46625H100 61263 520497 SH DFND 1 520497 0 0 JPMORGAN CHASE & CO PUT 46625H950 0 0 SH Put DFND 1 0 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 29 220 SH DFND 1 220 0 0 KIMBERLY CLARK CORP COM 494368103 838 5900 SH DFND 1 5900 0 0 KINDER MORGAN INC DEL COM 49456B101 155 7523 SH DFND 1 7523 0 0 KINROSS GOLD CORP COM 496902404 7 1500 SH DFND 1 1500 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 3900 87000 SH DFND 1 87000 0 0 KLA CORPORATION COM NEW 482480100 24 148 SH DFND 1 148 0 0 KOHLS CORP COM 500255104 31 615 SH DFND 1 615 0 0 KONTOOR BRANDS INC COM 50050N103 8 235 SH DFND 1 235 0 0 KRAFT HEINZ CO COM 500754106 2014 72066 SH DFND 1 72066 0 0 KROGER CO COM 501044101 56 2159 SH DFND 1 2159 0 0 L BRANDS INC COM 501797104 12 600 SH DFND 1 600 0 0 LAM RESEARCH CORP COM 512807108 36 157 SH DFND 1 157 0 0 LAS VEGAS SANDS CORP COM 517834107 0 0 SH DFND 1 0 0 0 LAUDER ESTEE COS INC CL A 518439104 2903 14589 SH DFND 1 14589 0 0 LEXICON PHARMACEUTICALS INC COM NEW 528872302 17 5500 SH DFND 1 5500 0 0 LILLY ELI & CO COM 532457108 50 451 SH DFND 1 451 0 0 LINDE PLC SHS G5494J103 44414 228890 SH DFND 1 228890 0 0 LINE CORP SPONSORED ADR 53567X101 11 300 SH DFND 1 300 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 14785 222889 SH DFND 1 222889 0 0 LOCKHEED MARTIN CORP COM 539830109 59 150 SH DFND 1 150 0 0 LOGITECH INTL S A PUT H50430952 0 0 SH Put DFND 1 0 0 0 LOGITECH INTL S A SHS H50430232 24571 605467 SH DFND 1 605467 0 0 LOWES COS INC COM 548661107 550 5000 SH DFND 1 5000 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 146 1626 SH DFND 1 1626 0 0 MACROGENICS INC COM 556099109 23 1800 SH DFND 1 1800 0 0 MAGNA INTL INC COM 559222401 560 10500 SH DFND 1 10500 0 0 MARATHON OIL CORP COM 565849106 92 7500 SH DFND 1 7500 0 0 MARATHON PETE CORP COM 56585A102 248 4078 SH DFND 1 4078 0 0 MARSH & MCLENNAN COS INC COM 571748102 5298 52945 SH DFND 1 52945 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 11 430 SH DFND 1 430 0 0 MASTERCARD INC CALL 57636Q904 176 3900 SH Call DFND 1 3900 0 0 MASTERCARD INC CL A 57636Q104 36 132 SH DFND 1 132 0 0 MATCH GROUP INC COM 57665R106 198 2775 SH DFND 1 2775 0 0 MATTEL INC PUT 577081952 1 1000 SH Put DFND 1 1000 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 95 1649 SH DFND 1 1649 0 0 MCDONALDS CORP COM 580135101 17807 82944 SH DFND 1 82944 0 0 MEDICINES CO COM 584688105 200 4000 SH DFND 1 4000 0 0 MEDLEY CAP CORP COM 58503F106 130 50000 SH DFND 1 50000 0 0 MEDTRONIC PLC SHS G5960L103 12074 111175 SH DFND 1 111175 0 0 MERCK & CO INC COM 58933Y105 40964 486648 SH DFND 1 486648 0 0 MERCK & CO INC PUT 58933Y955 0 0 SH Put DFND 1 0 0 0 METHODE ELECTRS INC COM 591520200 5 150 SH DFND 1 150 0 0 METLIFE INC CALL 59156R908 0 0 SH Call DFND 1 0 0 0 METLIFE INC COM 59156R108 18985 402603 SH DFND 1 402603 0 0 METLIFE INC PUT 59156R958 0 0 SH Put DFND 1 0 0 0 MGM RESORTS INTERNATIONAL COM 552953101 5 180 SH DFND 1 180 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 2402 1861000 PRN DFND 1 1861000 0 0 MICRON TECHNOLOGY INC COM 595112103 275 6429 SH DFND 1 6429 0 0 MICROSOFT CORP CALL 594918904 544 20500 SH Call DFND 1 20500 0 0 MICROSOFT CORP COM 594918104 76710 551621 SH DFND 1 551621 0 0 MOLECULAR TEMPLATES INC COM 608550109 8 1227 SH DFND 1 1227 0 0 MOLSON COORS BREWING CO CL B 60871R209 9 150 SH DFND 1 150 0 0 MONDELEZ INTL INC CL A 609207105 44885 811437 SH DFND 1 811437 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 87 1510 SH DFND 1 1510 0 0 MORGAN STANLEY COM NEW 617446448 48 1125 SH DFND 1 1125 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 19 1000 SH DFND 1 1000 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 511 3000 SH DFND 1 3000 0 0 MYLAN N V SHS EURO N59465109 99 5000 SH DFND 1 5000 0 0 MYRIAD GENETICS INC COM 62855J104 14 500 SH DFND 1 500 0 0 NASDAQ INC COM 631103108 45 450 SH DFND 1 450 0 0 NEOVASC INC COM 64065J304 0 85 SH DFND 1 85 0 0 NETAPP INC COM 64110D104 10 190 SH DFND 1 190 0 0 NETFLIX INC COM 64110L106 3793 14184 SH DFND 1 14184 0 0 NETFLIX INC PUT 64110L956 0 0 SH Put DFND 1 0 0 0 NEUBASE THERAPEUTICS INC COM 64132K102 1 200 SH DFND 1 200 0 0 NEUROCRINE BIOSCIENCES INC NOTE 2.250% 5/1 64125CAD1 0 0 PRN DFND 1 0 0 0 NEWELL BRANDS INC COM 651229106 37 2000 SH DFND 1 2000 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 4504 118794 SH DFND 1 118794 0 0 NEXTERA ENERGY INC COM 65339F101 3832 16444 SH DFND 1 16444 0 0 NIKE INC CL B 654106103 8955 95346 SH DFND 1 95346 0 0 NIO INC SPON ADS 62914V106 94 60000 SH DFND 1 60000 0 0 NOBLE CORP PLC SHS USD G65431101 3 2000 SH DFND 1 2000 0 0 NOBLE ENERGY INC COM 655044105 1316 58600 SH DFND 1 58600 0 0 NOKIA CORP SPONSORED ADR 654902204 0 85 SH DFND 1 85 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 1 500 SH DFND 1 500 0 0 NORTHROP GRUMMAN CORP COM 666807102 525 1400 SH DFND 1 1400 0 0 NOVARTIS A G SPONSORED ADR 66987V109 1364 15700 SH DFND 1 15700 0 0 NOVOCURE LTD ORD SHS G6674U108 224 3000 SH DFND 1 3000 0 0 NUCOR CORP COM 670346105 71 1403 SH DFND 1 1403 0 0 NUTANIX INC CL A 67059N108 879 33500 SH DFND 1 33500 0 0 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 379 320000 PRN DFND 1 320000 0 0 NVIDIA CORP COM 67066G104 11694 67155 SH DFND 1 67155 0 0 NVIDIA CORP PUT 67066G954 0 0 SH Put DFND 1 0 0 0 NXP SEMICONDUCTORS N V COM N6596X109 535 4905 SH DFND 1 4905 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 1380 1262000 PRN DFND 1 1262000 0 0 OBSEVA SA COM H5861P103 19 2300 SH DFND 1 2300 0 0 OCCIDENTAL PETE CORP COM 674599105 1162 26140 SH DFND 1 26140 0 0 OCULAR THERAPEUTIX INC COM 67576A100 2 700 SH DFND 1 700 0 0 OI S A SPONSORED ADR NE 670851500 0 2 SH DFND 1 2 0 0 OMNICOM GROUP INC COM 681919106 138 1758 SH DFND 1 1758 0 0 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 874 722000 PRN DFND 1 722000 0 0 ONEOK INC NEW COM 682680103 119 1614 SH DFND 1 1614 0 0 ORACLE CORP COM 68389X105 416 7540 SH DFND 1 7540 0 0 OVERSTOCK COM INC DEL COM 690370101 11 1000 SH DFND 1 1000 0 0 PACCAR INC COM 693718108 42 606 SH DFND 1 606 0 0 PALO ALTO NETWORKS INC COM 697435105 45351 222478 SH DFND 1 222478 0 0 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 2452 2320000 PRN DFND 1 2320000 0 0 PALO ALTO NETWORKS INC PUT 697435955 0 0 SH Put DFND 1 0 0 0 PAYCHEX INC COM 704326107 107 1292 SH DFND 1 1292 0 0 PAYPAL HLDGS INC COM 70450Y103 2789 26928 SH DFND 1 26928 0 0 PEPSICO INC COM 713448108 727 5300 SH DFND 1 5300 0 0 PERSPECTA INC COM 715347100 0 17 SH DFND 1 17 0 0 PETROLEO BRASILEIRO SA PETRO PUT 71654V958 0 5000 SH Put DFND 1 5000 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 332 25260 SH DFND 1 25260 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 58 3969 SH DFND 1 3969 0 0 PFIZER INC COM 717081103 1164 32384 SH DFND 1 32384 0 0 PHILIP MORRIS INTL INC COM 718172109 847 11157 SH DFND 1 11157 0 0 PHILLIPS 66 COM 718546104 3621 35366 SH DFND 1 35366 0 0 PIONEER NAT RES CO COM 723787107 6 45 SH DFND 1 45 0 0 PLANET FITNESS INC CL A 72703H101 80 1390 SH DFND 1 1390 0 0 PLUG POWER INC COM NEW 72919P202 8 3000 SH DFND 1 3000 0 0 POLARIS INC COM 731068102 8 90 SH DFND 1 90 0 0 PPG INDS INC COM 693506107 1952 16462 SH DFND 1 16462 0 0 PPL CORP COM 69351T106 146 4641 SH DFND 1 4641 0 0 PREMIER INC CL A 74051N102 150 5200 SH DFND 1 5200 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 1164 1000000 PRN DFND 1 1000000 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 62 1090 SH DFND 1 1090 0 0 PROCTER & GAMBLE CO COM 742718109 5265 42317 SH DFND 1 42317 0 0 PROGRESSIVE CORP OHIO COM 743315103 5205 67381 SH DFND 1 67381 0 0 PROLOGIS INC COM 74340W103 112 1310 SH DFND 1 1310 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 50 2067 SH DFND 1 2067 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 0 0 SH DFND 1 0 0 0 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 826 795000 PRN DFND 1 795000 0 0 PRUDENTIAL FINL INC CALL 744320902 0 7000 SH Call DFND 1 7000 0 0 PTC INC COM 69370C100 3083 45230 SH DFND 1 45230 0 0 PUBLIC STORAGE COM 74460D109 112 458 SH DFND 1 458 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 274 4430 SH DFND 1 4430 0 0 PURE STORAGE INC CL A 74624M102 42 2500 SH DFND 1 2500 0 0 QIAGEN NV DEBT 1.000%11/1 N72482AT4 623 600000 PRN DFND 1 600000 0 0 QIAGEN NV SHS NEW N72482123 1892 57777 SH DFND 1 57777 0 0 QUALCOMM INC COM 747525103 241 3169 SH DFND 1 3169 0 0 RANGE RES CORP COM 75281A109 26 6648 SH DFND 1 6648 0 0 RAYTHEON CO COM NEW 755111507 426 2171 SH DFND 1 2171 0 0 REGENERON PHARMACEUTICALS COM 75886F107 250 901 SH DFND 1 901 0 0 REPUBLIC SVCS INC COM 760759100 17 200 SH DFND 1 200 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 3 165 SH DFND 1 165 0 0 RIO TINTO PLC SPONSORED ADR 767204100 313 6000 SH DFND 1 6000 0 0 ROKU INC COM CL A 77543R102 0 0 SH DFND 1 0 0 0 ROSS STORES INC COM 778296103 69 629 SH DFND 1 629 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 284 3500 SH DFND 1 3500 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 643 10740 SH DFND 1 10740 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 254 4320 SH DFND 1 4320 0 0 S&P GLOBAL INC COM 78409V104 42899 175140 SH DFND 1 175140 0 0 SALESFORCE COM INC COM 79466L302 2275 15335 SH DFND 1 15335 0 0 SANGAMO THERAPEUTICS INC COM 800677106 91 10000 SH DFND 1 10000 0 0 SEALED AIR CORP NEW COM 81211K100 374 9000 SH DFND 1 9000 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 9 100 SH DFND 1 100 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 14 500 SH DFND 1 500 0 0 SELECTA BIOSCIENCES INC COM 816212104 17 9500 SH DFND 1 9500 0 0 SEMPRA ENERGY COM 816851109 99 674 SH DFND 1 674 0 0 SENSEONICS HLDGS INC COM 81727U105 1 1000 SH DFND 1 1000 0 0 SERVICE CORP INTL COM 817565104 36 750 SH DFND 1 750 0 0 SHOPIFY INC CALL 82509L907 1 200 SH Call DFND 1 200 0 0 SHOPIFY INC CL A 82509L107 644 2070 SH DFND 1 2070 0 0 SIFY TECHNOLOGIES LIMITED SPONSORED ADS 82655M107 0 35 SH DFND 1 35 0 0 SILVERCORP METALS INC COM 82835P103 11 2790 SH DFND 1 2790 0 0 SIMULATIONS PLUS INC COM 829214105 21 600 SH DFND 1 600 0 0 SNAP INC CL A 83304A106 126 8000 SH DFND 1 8000 0 0 SNAP ON INC COM 833034101 87 551 SH DFND 1 551 0 0 SOUTHWEST AIRLS CO COM 844741108 23 434 SH DFND 1 434 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 364 1352 SH DFND 1 1352 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 281 2020 SH DFND 1 2020 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 94 2500 SH DFND 1 2500 0 0 SPDR S&P 500 ETF TR CALL 78462F903 0 0 SH Call DFND 1 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7701 25948 SH DFND 1 25948 0 0 SPDR SERIES TRUST BLOOMBERG SRT TR 78468R408 0 0 SH DFND 1 0 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 60 575 SH DFND 1 575 0 0 SPDR SERIES TRUST SSGA GNDER ETF 78468R747 23 310 SH DFND 1 310 0 0 SPLUNK INC COM 848637104 17 140 SH DFND 1 140 0 0 SPLUNK INC NOTE 0.500% 9/1 848637AC8 1647 1530000 PRN DFND 1 1530000 0 0 SPLUNK INC NOTE 1.125% 9/1 848637AD6 1201 1095000 PRN DFND 1 1095000 0 0 SPOTIFY TECHNOLOGY S A CALL L8681T902 0 0 SH Call DFND 1 0 0 0 SPOTIFY TECHNOLOGY S A PUT L8681T952 0 0 SH Put DFND 1 0 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 46866 411090 SH DFND 1 411090 0 0 SPROUTS FMRS MKT INC COM 85208M102 748 38700 SH DFND 1 38700 0 0 SQUARE INC CL A 852234103 313 5040 SH DFND 1 5040 0 0 SQUARE INC NOTE 0.500% 5/1 852234AD5 1562 1400000 PRN DFND 1 1400000 0 0 STARBUCKS CORP COM 855244109 2962 33508 SH DFND 1 33508 0 0 STEEL CONNECT INC COM 858098106 2 800 SH DFND 1 800 0 0 STERICYCLE INC COM 858912108 31 600 SH DFND 1 600 0 0 STRYKER CORP COM 863667101 716 3310 SH DFND 1 3310 0 0 SUNCOR ENERGY INC NEW COM 867224107 136 4300 SH DFND 1 4300 0 0 SVB FINL GROUP COM 78486Q101 7 32 SH DFND 1 32 0 0 SYNCHRONY FINL COM 87165B103 3413 100235 SH DFND 1 100235 0 0 T MOBILE US INC COM 872590104 12 150 SH DFND 1 150 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 3118 67096 SH DFND 1 67096 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 1 30 SH DFND 1 30 0 0 TARONIS TECHNOLOGIES INC COM NEW 876214206 0 20 SH DFND 1 20 0 0 TATA MTRS LTD SPONSORED ADR 876568502 14 1700 SH DFND 1 1700 0 0 TC ENERGY CORP COM 87807B107 217 4191 SH DFND 1 4191 0 0 TE CONNECTIVITY LTD REG SHS H84989104 5796 62182 SH DFND 1 62182 0 0 TECK RESOURCES LTD CL B 878742204 0 0 SH DFND 1 0 0 0 TEEKAY CORPORATION COM Y8564W103 78 19400 SH DFND 1 19400 0 0 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 3 212 SH DFND 1 212 0 0 TEMPUR SEALY INTL INC PUT 88023U951 0 1000 SH Put DFND 1 1000 0 0 TENABLE HLDGS INC COM 88025T102 34 1500 SH DFND 1 1500 0 0 TESLA INC COM 88160R101 492 2049 SH DFND 1 2049 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 68 9800 SH DFND 1 9800 0 0 TEXAS INSTRS INC COM 882508104 115 893 SH DFND 1 893 0 0 THE CHARLES SCHWAB CORPORATI COM 808513105 9 210 SH DFND 1 210 0 0 THERMO FISHER SCIENTIFIC INC CALL 883556902 0 0 SH Call DFND 1 0 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 64522 221494 SH DFND 1 221494 0 0 THERMO FISHER SCIENTIFIC INC PUT 883556952 0 0 SH Put DFND 1 0 0 0 TIFFANY & CO NEW COM 886547108 4459 48130 SH DFND 1 48130 0 0 TIFFANY & CO NEW PUT 886547958 0 0 SH Put DFND 1 0 0 0 TIM PARTICIPACOES S A SPONSORED ADR 88706P205 1 45 SH DFND 1 45 0 0 TJX COS INC NEW COM 872540109 68 1215 SH DFND 1 1215 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 146 2500 SH DFND 1 2500 0 0 TPG SPECIALTY LENDING INC COM 87265K102 60 2872 SH DFND 1 2872 0 0 TRANSENTERIX INC COM NEW 89366M201 6 10000 SH DFND 1 10000 0 0 TRANSOCEAN LTD REG SHS H8817H100 6 1384 SH DFND 1 1384 0 0 TURQUOISE HILL RES LTD COM 900435108 22 48445 SH DFND 1 48445 0 0 TUTOR PERINI CORP COM 901109108 7 500 SH DFND 1 500 0 0 TWILIO INC CL A 90138F102 165 1500 SH DFND 1 1500 0 0 TWITTER INC CALL 90184L902 0 0 SH Call DFND 1 0 0 0 TWITTER INC COM 90184L102 0 0 SH DFND 1 0 0 0 UBS GROUP AG PUT H42097957 0 0 SH Put DFND 1 0 0 0 UBS GROUP AG SHS H42097107 28382 2497943 SH DFND 1 2497943 0 0 UNILEVER PLC SPON ADR NEW 904767704 294 4900 SH DFND 1 4900 0 0 UNION PACIFIC CORP COM 907818108 324 2000 SH DFND 1 2000 0 0 UNITED AIRLINES HLDGS INC COM 910047109 24 273 SH DFND 1 273 0 0 UNITED RENTALS INC COM 911363109 1371 11000 SH DFND 1 11000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 16064 117665 SH DFND 1 117665 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2111 9714 SH DFND 1 9714 0 0 UNUM GROUP COM 91529Y106 1976 66400 SH DFND 1 66400 0 0 URBAN OUTFITTERS INC COM 917047102 56 2000 SH DFND 1 2000 0 0 V F CORP COM 918204108 187 2100 SH DFND 1 2100 0 0 VALE S A SPONSORED ADS 91912E105 1099 95500 SH DFND 1 95500 0 0 VALERO ENERGY CORP NEW COM 91913Y100 75 885 SH DFND 1 885 0 0 VANDA PHARMACEUTICALS INC COM 921659108 1 100 SH DFND 1 100 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 291 8000 SH DFND 1 8000 0 0 VANECK VECTORS ETF TR OIL REFINERS ETF 92189F585 167 5900 SH DFND 1 5900 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 23 250 SH DFND 1 250 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 1099 20500 SH DFND 1 20500 0 0 VANGUARD SCOTTSDALE FDS LONG TERM TREAS 92206C847 28360 323224 SH DFND 1 323224 0 0 VARIAN MED SYS INC COM 92220P105 366 3075 SH DFND 1 3075 0 0 VEEVA SYS INC CL A COM 922475108 207 1358 SH DFND 1 1358 0 0 VERISK ANALYTICS INC COM 92345Y106 633 4000 SH DFND 1 4000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 18319 303583 SH DFND 1 303583 0 0 VERSUM MATLS INC COM 92532W103 128 2400 SH DFND 1 2400 0 0 VISA INC CALL 92826C909 107 7000 SH Call DFND 1 7000 0 0 VISA INC COM CL A 92826C839 118014 686042 SH DFND 1 686042 0 0 VMWARE INC CALL 928563902 0 400 SH Call DFND 1 400 0 0 VMWARE INC CL A COM 928563402 720 4800 SH DFND 1 4800 0 0 VOYA FINL INC COM 929089100 10 180 SH DFND 1 180 0 0 WABTEC CORP COM 929740108 14 179 SH DFND 1 179 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 925 16703 SH DFND 1 16703 0 0 WALMART INC COM 931142103 1463 12331 SH DFND 1 12331 0 0 WASTE MGMT INC DEL COM 94106L109 6666 57917 SH DFND 1 57917 0 0 WATERS CORP COM 941848103 39 174 SH DFND 1 174 0 0 WEIBO CORP NOTE 1.250%11/1 948596AC5 415 440000 PRN DFND 1 440000 0 0 WELLS FARGO CO NEW COM 949746101 10243 203068 SH DFND 1 203068 0 0 WESTERN DIGITAL CORP COM 958102105 152 2550 SH DFND 1 2550 0 0 WESTERN UN CO COM 959802109 116 5000 SH DFND 1 5000 0 0 WEYERHAEUSER CO COM 962166104 79 2849 SH DFND 1 2849 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 1052 40100 SH DFND 1 40100 0 0 WILLIAMS COS INC DEL COM 969457100 158 6555 SH DFND 1 6555 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 617 17943 SH DFND 1 17943 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 580 11500 SH DFND 1 11500 0 0 WISDOMTREE TR US QTLY DIV GRT 97717X669 165 3670 SH DFND 1 3670 0 0 XYLEM INC COM 98419M100 534 6710 SH DFND 1 6710 0 0 YUM BRANDS INC COM 988498101 349 3070 SH DFND 1 3070 0 0 YUM CHINA HLDGS INC COM 98850P109 11007 242274 SH DFND 1 242274 0 0 ZEBRA TECHNOLOGIES CORP CL A 989207105 305 1480 SH DFND 1 1480 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 32 230 SH DFND 1 230 0 0 ZSCALER INC COM 98980G102 121 2600 SH DFND 1 2600 0 0