0001420506-20-000217.txt : 20200213
0001420506-20-000217.hdr.sgml : 20200213
20200213102854
ACCESSION NUMBER: 0001420506-20-000217
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200213
DATE AS OF CHANGE: 20200213
EFFECTIVENESS DATE: 20200213
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: 20607559
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
12-31-2019
12-31-2019
false
Compagnie Lombard Odier SCmA
RUE DE LA CORRATERIE 18
1204 GENEVA
V8
CH1204
13F COMBINATION REPORT
028-16235
0001535784
028-16246
Lombard Odier Asset Management (Europe) Ltd
0001535660
028-16247
Lombard Odier Asset Management (Switzerland) SA
0001491719
028-13939
Lombard Odier Asset Management (USA) Corp
N
Dominic Stearns
Executive Vice President
44 22 709 2111
Dominic Stearns, Executive Vice President
1204 GENEVA
V8
02-13-2020
1
797
2611507
false
1
0001106185
028-16234
Bank Lombard Odier & Co Ltd
INFORMATION TABLE
2
Form13F_InfoTable.xml
INFORMATION TABLE FOR COMPAGNIE LOMBARD ODIER SCMA
S&P GLOBAL INC
COM
78409V104
705
2583
SH
DFND
2583
0
0
SALESFORCE COM INC
CALL
79466L902
0
0
SH
Call
DFND
0
0
0
SALESFORCE COM INC
COM
79466L302
5
28
SH
DFND
28
0
0
SALESFORCE COM INC
PUT
79466L952
0
0
SH
Put
DFND
0
0
0
SEMPRA ENERGY
COM
816851109
972
6421
SH
DFND
6421
0
0
SERVICENOW INC
COM
81762P102
2
7
SH
DFND
7
0
0
SHOPIFY INC
CL A
82509L107
3
7
SH
DFND
7
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
0
0
SH
DFND
0
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
0
0
SH
DFND
0
0
0
SPDR SERIES TRUST
S&P BK ETF
78464A797
0
0
SH
DFND
0
0
0
SPOTIFY TECHNOLOGY S A
SHS
L8681T102
6754
45195
SH
DFND
45195
0
0
SPROUTS FMRS MKT INC
COM
85208M102
225
11652
SH
DFND
11652
0
0
SQUARE INC
CL A
852234103
1
11
SH
DFND
11
0
0
STARBUCKS CORP
COM
855244109
89
1008
SH
DFND
1008
0
0
STARWOOD PPTY TR INC
COM
85571B105
100
4000
SH
DFND
4000
0
0
STERICYCLE INC
COM
858912108
54
850
SH
DFND
850
0
0
SYNCHRONY FINL
COM
87165B103
94
2631
SH
DFND
2631
0
0
TAIWAN SEMICONDUCTOR MFG LTD
PUT
874039950
0
0
SH
Put
DFND
0
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
831
14328
SH
DFND
14328
0
0
TAKE-TWO INTERACTIVE SOFTWAR
COM
874054109
2
17
SH
DFND
17
0
0
TE CONNECTIVITY LTD
REG SHS
H84989104
193
2014
SH
DFND
2014
0
0
TELEFONICA S A
SPONSORED ADR
879382208
30
4346
SH
DFND
4346
0
0
TESLA INC
COM
88160R101
21
51
SH
DFND
51
0
0
TEXAS INSTRS INC
COM
882508104
115
893
SH
DFND
893
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
4369
13453
SH
DFND
13453
0
0
TIFFANY & CO NEW
COM
886547108
2286
17111
SH
DFND
17111
0
0
TORONTO DOMINION BK ONT
COM NEW
891160509
23
418
SH
DFND
418
0
0
TWILIO INC
CL A
90138F102
2
20
SH
DFND
20
0
0
UBS GROUP AG
SHS
H42097107
733
58110
SH
DFND
58110
0
0
3M CO
COM
88579Y101
1064
6035
SH
DFND
6035
0
0
ABBOTT LABS
COM
002824100
32
365
SH
DFND
365
0
0
ABBVIE INC
COM
00287Y109
8971
101258
SH
DFND
101258
0
0
ABRAXAS PETE CORP
COM
003830106
7
19000
SH
DFND
19000
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
352
1675
SH
DFND
1675
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
35
603
SH
DFND
603
0
0
ADOBE INC
COM
00724F101
53
160
SH
DFND
160
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
5
108
SH
DFND
108
0
0
AERCAP HOLDINGS NV
SHS
N00985106
4
57
SH
DFND
57
0
0
ALBEMARLE CORP
PUT
012653951
0
0
SH
Put
DFND
0
0
0
ALCON INC
ORD SHS
H01301128
766
13554
SH
DFND
13554
0
0
ALIBABA GROUP HLDG LTD
CALL
01609W902
0
0
SH
Call
DFND
0
0
0
ALIBABA GROUP HLDG LTD
PUT
01609W952
0
0
SH
Put
DFND
0
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
2345
11081
SH
DFND
11081
0
0
ALLERGAN PLC
SHS
G0177J108
629
3284
SH
DFND
3284
0
0
ALLISON TRANSMISSION HLDGS I
COM
01973R101
24
500
SH
DFND
500
0
0
ALPHABET INC
CALL
02079K905
0
0
SH
Call
DFND
0
0
0
ALPHABET INC
CAP STK CL A
02079K305
12685
9471
SH
DFND
9471
0
0
ALPHABET INC
CAP STK CL C
02079K107
1291
965
SH
DFND
965
0
0
ALPHABET INC
PUT
02079K955
0
0
SH
Put
DFND
0
0
0
ALPS ETF TR
ALERIAN MLP
00162Q866
4
500
SH
DFND
500
0
0
ALTRIA GROUP INC
COM
02209S103
20
400
SH
DFND
400
0
0
AMAZON COM INC
COM
023135106
6165
3340
SH
DFND
3340
0
0
AMAZON COM INC
PUT
023135956
0
0
SH
Put
DFND
0
0
0
AMETEK INC NEW
COM
031100100
904
9081
SH
DFND
9081
0
0
AMGEN INC
COM
031162100
1212
5028
SH
DFND
5028
0
0
ANALOG DEVICES INC
COM
032654105
3
23
SH
DFND
23
0
0
APPLE INC
COM
037833100
4804
16355
SH
DFND
16355
0
0
APTIV PLC
SHS
G6095L109
826
8704
SH
DFND
8704
0
0
ARCH COAL INC
CL A
039380407
36
508
SH
DFND
508
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
230
4958
SH
DFND
4958
0
0
ARISTA NETWORKS INC
COM
040413106
84
414
SH
DFND
414
0
0
AT&T INC
COM
00206R102
276
7081
SH
DFND
7081
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
71
416
SH
DFND
416
0
0
AXIS CAPITAL HOLDINGS LTD
SHS
G0692U109
119
2000
SH
DFND
2000
0
0
BAIDU INC
PUT
056752958
0
0
SH
Put
DFND
0
0
0
BALL CORP
COM
058498106
1138
17612
SH
DFND
17612
0
0
BANK AMER CORP
COM
060505104
73
2074
SH
DFND
2074
0
0
BANK NEW YORK MELLON CORP
COM
064058100
778
15470
SH
DFND
15470
0
0
BARRICK GOLD CORPORATION
COM
067901108
0
0
SH
DFND
0
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
250
1105
SH
DFND
1105
0
0
BEST BUY INC
COM
086516101
43
491
SH
DFND
491
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
9
112
SH
DFND
112
0
0
BLACKROCK INC
COM
09247X101
54
108
SH
DFND
108
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
56
1000
SH
DFND
1000
0
0
BOEING CO
COM
097023105
141
432
SH
DFND
432
0
0
BOOKING HLDGS INC
CALL
09857L908
0
0
SH
Call
DFND
0
0
0
BOOKING HLDGS INC
COM
09857L108
310
151
SH
DFND
151
0
0
BOOKING HLDGS INC
PUT
09857L958
0
0
SH
Put
DFND
0
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
188
2940
SH
DFND
2940
0
0
BRISTOL MYERS SQUIBB CO
RIGHT 99/99/9999
110122157
5
1660
SH
DFND
1660
0
0
CATERPILLAR INC DEL
COM
149123101
13
85
SH
DFND
85
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
44
720
SH
DFND
720
0
0
CHEVRON CORP NEW
COM
166764100
130
1079
SH
DFND
1079
0
0
CHUBB LIMITED
COM
H1467J104
1448
9319
SH
DFND
9319
0
0
CISCO SYS INC
COM
17275R102
135
2812
SH
DFND
2812
0
0
COCA COLA CO
COM
191216100
3268
59031
SH
DFND
59031
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
140
2250
SH
DFND
2250
0
0
COLGATE PALMOLIVE CO
COM
194162103
55
800
SH
DFND
800
0
0
COMCAST CORP NEW
CL A
20030N101
277
6155
SH
DFND
6155
0
0
COPA HOLDINGS SA
CL A
P31076105
23
217
SH
DFND
217
0
0
CSX CORP
COM
126408103
3341
46147
SH
DFND
46147
0
0
CUMMINS INC
COM
231021106
78
435
SH
DFND
435
0
0
CVS HEALTH CORP
COM
126650100
484
6517
SH
DFND
6517
0
0
DARDEN RESTAURANTS INC
COM
237194105
75
686
SH
DFND
686
0
0
DEERE & CO
COM
244199105
24
140
SH
DFND
140
0
0
DELL TECHNOLOGIES INC
CL C
24703L202
31
600
SH
DFND
600
0
0
DIAMONDBACK ENERGY INC
COM
25278X109
85
912
SH
DFND
912
0
0
DIGITAL RLTY TR INC
COM
253868103
0
0
SH
DFND
0
0
0
DISNEY WALT CO
COM DISNEY
254687106
3377
23375
SH
DFND
23375
0
0
DISNEY WALT CO
PUT
254687956
0
0
SH
Put
DFND
0
0
0
EATON CORP PLC
SHS
G29183103
99
1041
SH
DFND
1041
0
0
ELECTRONIC ARTS INC
COM
285512109
11
100
SH
DFND
100
0
0
EMERSON ELEC CO
COM
291011104
249
3272
SH
DFND
3272
0
0
EOG RES INC
COM
26875P101
1802
21519
SH
DFND
21519
0
0
EQUINIX INC
COM
29444U700
37
63
SH
DFND
63
0
0
EURONAV NV ANTWERPEN
SHS
B38564108
63
5050
SH
DFND
5050
0
0
EXELON CORP
COM
30161N101
804
17623
SH
DFND
17623
0
0
EXPEDIA GROUP INC
CALL
30212P903
0
0
SH
Call
DFND
0
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
371
3440
SH
DFND
3440
0
0
EXPEDIA GROUP INC
PUT
30212P953
0
0
SH
Put
DFND
0
0
0
EXXON MOBIL CORP
COM
30231G102
21
301
SH
DFND
301
0
0
FACEBOOK INC
CALL
30303M902
0
0
SH
Call
DFND
0
0
0
FACEBOOK INC
CL A
30303M102
1810
8815
SH
DFND
8815
0
0
FACEBOOK INC
PUT
30303M952
0
0
SH
Put
DFND
0
0
0
FIAT CHRYSLER AUTOMOBILES N
SHS
N31738102
29
2000
SH
DFND
2000
0
0
FIRST SOLAR INC
COM
336433107
8
150
SH
DFND
150
0
0
FORD MTR CO DEL
COM
345370860
38
4000
SH
DFND
4000
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
52
4000
SH
DFND
4000
0
0
GENERAL ELECTRIC CO
COM
369604103
555
49680
SH
DFND
49680
0
0
GENERAL MTRS CO
COM
37045V100
73
2004
SH
DFND
2004
0
0
GILEAD SCIENCES INC
COM
375558103
39
600
SH
DFND
600
0
0
HALLIBURTON CO
COM
406216101
0
0
SH
DFND
0
0
0
HEXCEL CORP NEW
COM
428291108
22
300
SH
DFND
300
0
0
HOME DEPOT INC
COM
437076102
973
4451
SH
DFND
4451
0
0
HONEYWELL INTL INC
COM
438516106
0
0
SH
DFND
0
0
0
HONEYWELL INTL INC
PUT
438516956
0
0
SH
Put
DFND
0
0
0
IHS MARKIT LTD
SHS
G47567105
143
1899
SH
DFND
1899
0
0
ILLINOIS TOOL WKS INC
COM
452308109
52
290
SH
DFND
290
0
0
INGERSOLL-RAND PLC
SHS
G47791101
421
3170
SH
DFND
3170
0
0
INTEL CORP
COM
458140100
128
2143
SH
DFND
2143
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
638
3000
SH
DFND
3000
0
0
IQVIA HLDGS INC
COM
46266C105
907
5868
SH
DFND
5868
0
0
ISHARES INC
MSCI EURZONE ETF
464286608
0
0
SH
DFND
0
0
0
ISHARES INC
MSCI THAILND ETF
464286624
44
500
SH
DFND
500
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
90
2000
SH
DFND
2000
0
0
ISHARES TR
SELECT DIVID ETF
464287168
0
0
SH
DFND
0
0
0
ISHARES TR
TIPS BD ETF
464287176
0
0
SH
DFND
0
0
0
JOHNSON & JOHNSON
COM
478160104
144
986
SH
DFND
986
0
0
JPMORGAN CHASE & CO
CALL
46625H900
0
0
SH
Call
DFND
0
0
0
JPMORGAN CHASE & CO
COM
46625H100
5784
41483
SH
DFND
41483
0
0
JPMORGAN CHASE & CO
PUT
46625H950
0
0
SH
Put
DFND
0
0
0
JUNIPER NETWORKS INC
COM
48203R104
2
75
SH
DFND
75
0
0
KEURIG DR PEPPER INC
COM
49271V100
13
451
SH
DFND
451
0
0
KOHLS CORP
COM
500255104
31
615
SH
DFND
615
0
0
KRAFT HEINZ CO
COM
500754106
321
10000
SH
DFND
10000
0
0
LAM RESEARCH CORP
COM
512807108
2
7
SH
DFND
7
0
0
LAUDER ESTEE COS INC
CL A
518439104
0
0
SH
DFND
0
0
0
LIGHTPATH TECHNOLOGIES INC
COM CL A
532257805
0
0
SH
DFND
0
0
0
LINDE PLC
CALL
G5494J903
0
0
SH
Call
DFND
0
0
0
LINDE PLC
PUT
G5494J953
0
0
SH
Put
DFND
0
0
0
LINDE PLC
SHS
G5494J103
1193
5568
SH
DFND
5568
0
0
LIVE NATION ENTERTAINMENT IN
COM
538034109
119
1653
SH
DFND
1653
0
0
LOGITECH INTL S A
CALL
H50430902
0
0
SH
Call
DFND
0
0
0
LOGITECH INTL S A
PUT
H50430952
0
0
SH
Put
DFND
0
0
0
LOGITECH INTL S A
SHS
H50430232
303
6388
SH
DFND
6388
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
48
512
SH
DFND
512
0
0
MAGNA INTL INC
CALL
559222901
0
0
SH
Call
DFND
0
0
0
MAGNA INTL INC
COM
559222401
0
0
SH
DFND
0
0
0
MARATHON PETE CORP
COM
56585A102
59
982
SH
DFND
982
0
0
MARRIOTT INTL INC NEW
CL A
571903202
10
68
SH
DFND
68
0
0
MARSH & MCLENNAN COS INC
COM
571748102
64
576
SH
DFND
576
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
101
1649
SH
DFND
1649
0
0
MCDONALDS CORP
COM
580135101
1025
5183
SH
DFND
5183
0
0
MEDTRONIC PLC
SHS
G5960L103
166
1460
SH
DFND
1460
0
0
MERCK & CO INC
COM
58933Y105
1538
16908
SH
DFND
16908
0
0
METLIFE INC
COM
59156R108
1008
19754
SH
DFND
19754
0
0
MICROCHIP TECHNOLOGY INC
COM
595017104
5
43
SH
DFND
43
0
0
MICROSOFT CORP
COM
594918104
2511
15908
SH
DFND
15908
0
0
MICROSOFT CORP
PUT
594918954
0
0
SH
Put
DFND
0
0
0
MONDELEZ INTL INC
CL A
609207105
2700
49013
SH
DFND
49013
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
0
0
SH
DFND
0
0
0
NETFLIX INC
CALL
64110L906
0
0
SH
Call
DFND
0
0
0
NETFLIX INC
COM
64110L106
1582
4890
SH
DFND
4890
0
0
NETFLIX INC
PUT
64110L956
0
0
SH
Put
DFND
0
0
0
NEWMONT GOLDCORP CORPORATION
COM
651639106
52
1200
SH
DFND
1200
0
0
NIKE INC
CALL
654106903
0
0
SH
Call
DFND
0
0
0
NIKE INC
CL B
654106103
41
408
SH
DFND
408
0
0
NIKE INC
PUT
654106953
0
0
SH
Put
DFND
0
0
0
NOBLE ENERGY INC
COM
655044105
20
800
SH
DFND
800
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
47
500
SH
DFND
500
0
0
NUCOR CORP
COM
670346105
56
1000
SH
DFND
1000
0
0
NUTANIX INC
CL A
67059N108
2
56
SH
DFND
56
0
0
NVIDIA CORP
COM
67066G104
5
23
SH
DFND
23
0
0
OCCIDENTAL PETE CORP
COM
674599105
81
1961
SH
DFND
1961
0
0
ORACLE CORP
COM
68389X105
26
500
SH
DFND
500
0
0
PALO ALTO NETWORKS INC
COM
697435105
1654
7136
SH
DFND
7136
0
0
PAYCHEX INC
COM
704326107
110
1292
SH
DFND
1292
0
0
PAYPAL HLDGS INC
COM
70450Y103
3
27
SH
DFND
27
0
0
PEPSICO INC
COM
713448108
19
139
SH
DFND
139
0
0
PFIZER INC
COM
717081103
230
5857
SH
DFND
5857
0
0
PHILLIPS 66
COM
718546104
574
5145
SH
DFND
5145
0
0
PPG INDS INC
COM
693506107
331
2480
SH
DFND
2480
0
0
PRINCIPAL FINL GROUP INC
COM
74251V102
60
1090
SH
DFND
1090
0
0
PROCTER & GAMBLE CO
COM
742718109
771
6180
SH
DFND
6180
0
0
PROGRESSIVE CORP OHIO
COM
743315103
371
5119
SH
DFND
5119
0
0
PUBLIC SVC ENTERPRISE GRP IN
COM
744573106
64
1086
SH
DFND
1086
0
0
PVH CORP
COM
693656100
33
310
SH
DFND
310
0
0
QUALCOMM INC
COM
747525103
105
1182
SH
DFND
1182
0
0
RANGE RES CORP
COM
75281A109
2
491
SH
DFND
491
0
0
RAYTHEON CO
COM NEW
755111507
110
500
SH
DFND
500
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
128
2000
SH
DFND
2000
0
0
RINGCENTRAL INC
CL A
76680R206
4
22
SH
DFND
22
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
33
560
SH
DFND
560
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
30
375
SH
DFND
375
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
30
500
SH
DFND
500
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
28
190
SH
DFND
190
0
0
VANECK VECTORS ETF TRUST
GOLD MINERS ETF
92189F106
105
3596
SH
DFND
3596
0
0
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
0
0
SH
DFND
0
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
0
0
SH
DFND
0
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
0
0
SH
DFND
0
0
0
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
0
0
SH
DFND
0
0
0
VANGUARD SCOTTSDALE FDS
LONG TERM TREAS
92206C847
323
3866
SH
DFND
3866
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
0
0
SH
DFND
0
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
0
0
SH
DFND
0
0
0
VERISIGN INC
COM
92343E102
385
2000
SH
DFND
2000
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
3503
57040
SH
DFND
57040
0
0
VISA INC
COM CL A
92826C839
3502
18637
SH
DFND
18637
0
0
VISA INC
PUT
92826C959
0
0
SH
Put
DFND
0
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
112
1892
SH
DFND
1892
0
0
WALMART INC
COM
931142103
74
626
SH
DFND
626
0
0
WASTE MGMT INC DEL
COM
94106L109
1639
14366
SH
DFND
14366
0
0
WELLS FARGO CO NEW
COM
949746101
1342
24929
SH
DFND
24929
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
42
1391
SH
DFND
1391
0
0
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
0
0
SH
DFND
0
0
0
WISDOMTREE TR
JPN SCAP HDG EQT
97717W521
0
0
SH
DFND
0
0
0
YUM CHINA HLDGS INC
COM
98850P109
125
2604
SH
DFND
2604
0
0
ZENDESK INC
COM
98936J101
2
31
SH
DFND
31
0
0
ZIMMER BIOMET HLDGS INC
COM
98956P102
40
263
SH
DFND
263
0
0
3-D SYS CORP DEL
COM NEW
88554D205
3
320
SH
DFND
1
320
0
0
3M CO
COM
88579Y101
3943
22355
SH
DFND
1
22355
0
0
ABBOTT LABS
COM
002824100
15099
173885
SH
DFND
1
173885
0
0
ABBVIE INC
CALL
00287Y909
94
7300
SH
Call
DFND
1
7300
0
0
ABBVIE INC
COM
00287Y109
93757
1058880
SH
DFND
1
1058880
0
0
ABERDEEN JAPAN EQUITY FD INC
COM
00306J109
15
1938
SH
DFND
1
1938
0
0
AC IMMUNE SA
SHS
H00263105
204
24000
SH
DFND
1
24000
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
5812
27601
SH
DFND
1
27601
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
4830
81280
SH
DFND
1
81280
0
0
ADOBE INC
CALL
00724F901
0
0
SH
Call
DFND
1
0
0
0
ADOBE INC
COM
00724F101
25402
77024
SH
DFND
1
77024
0
0
ADOBE INC
PUT
00724F951
0
0
SH
Put
DFND
1
0
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
856
18650
SH
DFND
1
18650
0
0
ADVANSIX INC
COM
00773T101
0
39
SH
DFND
1
39
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
0
0
SH
DFND
1
0
0
0
AGILENT TECHNOLOGIES INC
COM
00846U101
427
5000
SH
DFND
1
5000
0
0
AGNICO EAGLE MINES LTD
COM
008474108
1893
30690
SH
DFND
1
30690
0
0
AIMMUNE THERAPEUTICS INC
COM
00900T107
33
1000
SH
DFND
1
1000
0
0
AIR PRODS & CHEMS INC
COM
009158106
634
2700
SH
DFND
1
2700
0
0
AKAMAI TECHNOLOGIES INC
NOTE 0.125% 5/0
00971TAJ0
2779
2501000
PRN
DFND
1
2501000
0
0
AKOUSTIS TECHNOLOGIES INC
COM
00973N102
11
1390
SH
DFND
1
1390
0
0
ALAMOS GOLD INC NEW
COM CL A
011532108
23
3809
SH
DFND
1
3809
0
0
ALBEMARLE CORP
COM
012653101
83
1133
SH
DFND
1
1133
0
0
ALCON INC
ORD SHS
H01301128
64910
1146966
SH
DFND
1
1146966
0
0
ALIBABA GROUP HLDG LTD
CALL
01609W902
0
0
SH
Call
DFND
1
0
0
0
ALIBABA GROUP HLDG LTD
PUT
01609W952
0
0
SH
Put
DFND
1
0
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
98795
465833
SH
DFND
1
465833
0
0
ALIGN TECHNOLOGY INC
COM
016255101
274
980
SH
DFND
1
980
0
0
ALLERGAN PLC
CALL
G0177J908
0
0
SH
Call
DFND
1
0
0
0
ALLERGAN PLC
PUT
G0177J958
0
0
SH
Put
DFND
1
0
0
0
ALLERGAN PLC
SHS
G0177J108
27950
146224
SH
DFND
1
146224
0
0
ALPHABET INC
CAP STK CL A
02079K305
216324
161511
SH
DFND
1
161511
0
0
ALPHABET INC
CAP STK CL C
02079K107
20437
15288
SH
DFND
1
15288
0
0
ALPHABET INC
PUT
02079K955
0
0
SH
Put
DFND
1
0
0
0
ALTICE USA INC
CL A
02156K103
285
10407
SH
DFND
1
10407
0
0
ALTRIA GROUP INC
COM
02209S103
1808
36230
SH
DFND
1
36230
0
0
AMAZON COM INC
CALL
023135906
18
300
SH
Call
DFND
1
300
0
0
AMAZON COM INC
COM
023135106
119564
64705
SH
DFND
1
64705
0
0
AMAZON COM INC
PUT
023135956
0
0
SH
Put
DFND
1
0
0
0
AMERICAN AXLE & MFG HLDGS IN
COM
024061103
0
0
SH
DFND
1
0
0
0
AMERICAN ELEC PWR CO INC
COM
025537101
36
386
SH
DFND
1
386
0
0
AMERICAN EXPRESS CO
COM
025816109
5235
42050
SH
DFND
1
42050
0
0
AMERICAN INTL GROUP INC
*W EXP 01/19/202
026874156
0
61
SH
DFND
1
61
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
1
25
SH
DFND
1
25
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
29
126
SH
DFND
1
126
0
0
AMETEK INC NEW
COM
031100100
30749
308243
SH
DFND
1
308243
0
0
AMGEN INC
COM
031162100
18414
76380
SH
DFND
1
76380
0
0
AMYRIS INC
COM NEW
03236M200
497
160756
SH
DFND
1
160756
0
0
ANALOG DEVICES INC
COM
032654105
35
295
SH
DFND
1
295
0
0
ANHEUSER BUSCH INBEV SA/NV
SPONSORED ADR
03524A108
62
750
SH
DFND
1
750
0
0
ANSYS INC
COM
03662Q105
0
0
SH
DFND
1
0
0
0
ANTHEM INC
COM
036752103
272
900
SH
DFND
1
900
0
0
APACHE CORP
COM
037411105
28
1100
SH
DFND
1
1100
0
0
APHRIA INC
COM
03765K104
4
800
SH
DFND
1
800
0
0
APOLLO INVT CORP
COM NEW
03761U502
12
688
SH
DFND
1
688
0
0
APPLE INC
CALL
037833900
0
0
SH
Call
DFND
1
0
0
0
APPLE INC
COM
037833100
106778
363628
SH
DFND
1
363628
0
0
APPLE INC
PUT
037833950
0
0
SH
Put
DFND
1
0
0
0
APPLIED MATLS INC
COM
038222105
0
7
SH
DFND
1
7
0
0
APTIV PLC
SHS
G6095L109
20172
212590
SH
DFND
1
212590
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
0
0
SH
DFND
1
0
0
0
ARES CAP CORP
NOTE 4.625% 3/0
04010LAW3
1201
1109000
PRN
DFND
1
1109000
0
0
ARISTA NETWORKS INC
COM
040413106
17704
87019
SH
DFND
1
87019
0
0
AT&T INC
COM
00206R102
2255
57731
SH
DFND
1
57731
0
0
ATLASSIAN CORP PLC
CL A
G06242104
18
150
SH
DFND
1
150
0
0
AURORA CANNABIS INC
COM
05156X108
41
19100
SH
DFND
1
19100
0
0
AVADEL PHARMACEUTICALS PLC
SPONSORED ADR
05337M104
143
19000
SH
DFND
1
19000
0
0
BAIDU INC
SPON ADR REP A
056752108
911
7190
SH
DFND
1
7190
0
0
BALL CORP
COM
058498106
14566
225225
SH
DFND
1
225225
0
0
BALLARD PWR SYS INC NEW
COM
058586108
412
57500
SH
DFND
1
57500
0
0
BANCO BBVA ARGENTINA SA
SPONSORED ADS
058934100
0
0
SH
DFND
1
0
0
0
BANCO BRADESCO S A
SP ADR PFD NEW
059460303
39
4402
SH
DFND
1
4402
0
0
BANK AMER CORP
COM
060505104
915
25947
SH
DFND
1
25947
0
0
BANK MONTREAL QUE
COM
063671101
26
340
SH
DFND
1
340
0
0
BANK N S HALIFAX
COM
064149107
110
1940
SH
DFND
1
1940
0
0
BANK NEW YORK MELLON CORP
COM
064058100
906
18000
SH
DFND
1
18000
0
0
BARRICK GOLD CORPORATION
CALL
067901908
0
0
SH
Call
DFND
1
0
0
0
BARRICK GOLD CORPORATION
COM
067901108
701
37704
SH
DFND
1
37704
0
0
BAUSCH HEALTH COS INC
COM
071734107
43
1446
SH
DFND
1
1446
0
0
BAXTER INTL INC
COM
071813109
81
964
SH
DFND
1
964
0
0
BCE INC
COM NEW
05534B760
59
1280
SH
DFND
1
1280
0
0
BECTON DICKINSON & CO
COM
075887109
1637
6020
SH
DFND
1
6020
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1019
3
SH
DFND
1
3
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
2309
10192
SH
DFND
1
10192
0
0
BEYOND MEAT INC
CALL
08862E909
1
1000
SH
Call
DFND
1
1000
0
0
BEYOND MEAT INC
COM
08862E109
402
5300
SH
DFND
1
5300
0
0
BEYOND MEAT INC
PUT
08862E959
0
0
SH
Put
DFND
1
0
0
0
BHP GROUP LTD
SPONSORED ADS
088606108
36
650
SH
DFND
1
650
0
0
BIOGEN INC
COM
09062X103
30
100
SH
DFND
1
100
0
0
BLACKROCK INC
CALL
09247X901
0
1500
SH
Call
DFND
1
1500
0
0
BLACKROCK INC
COM
09247X101
463
920
SH
DFND
1
920
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
14503
259195
SH
DFND
1
259195
0
0
BOEING CO
COM
097023105
2566
7878
SH
DFND
1
7878
0
0
BOOKING HLDGS INC
CALL
09857L908
257
800
SH
Call
DFND
1
800
0
0
BOOKING HLDGS INC
COM
09857L108
12502
6087
SH
DFND
1
6087
0
0
BRISTOL MYERS SQUIBB CO
CALL
110122908
0
0
SH
Call
DFND
1
0
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
1622
25270
SH
DFND
1
25270
0
0
BRISTOL MYERS SQUIBB CO
RIGHT 99/99/9999
110122157
4
1420
SH
DFND
1
1420
0
0
BRITISH AMERN TOB PLC
SPONSORED ADR
110448107
0
0
SH
DFND
1
0
0
0
BROADCOM INC
COM
11135F101
2745
8687
SH
DFND
1
8687
0
0
BROADRIDGE FINL SOLUTIONS IN
COM
11133T103
540
4370
SH
DFND
1
4370
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
25823
446300
SH
DFND
1
446300
0
0
BUNGE LIMITED
COM
G16962105
1659
28845
SH
DFND
1
28845
0
0
CABOT OIL & GAS CORP
COM
127097103
26
1500
SH
DFND
1
1500
0
0
CADIZ INC
COM NEW
127537207
78
7100
SH
DFND
1
7100
0
0
CALIFORNIA RES CORP
COM NEW
13057Q206
0
14
SH
DFND
1
14
0
0
CALLAWAY GOLF CO
COM
131193104
32
1500
SH
DFND
1
1500
0
0
CAMECO CORP
COM
13321L108
9
1000
SH
DFND
1
1000
0
0
CANADIAN NATL RY CO
COM
136375102
5
50
SH
DFND
1
50
0
0
CANON INC
SPONSORED ADR
138006309
3
100
SH
DFND
1
100
0
0
CANOPY GROWTH CORP
COM
138035100
81
3800
SH
DFND
1
3800
0
0
CAPRI HOLDINGS LIMITED
SHS
G1890L107
206
5400
SH
DFND
1
5400
0
0
CATERPILLAR INC DEL
COM
149123101
7986
54055
SH
DFND
1
54055
0
0
CBOE GLOBAL MARKETS INC
COM
12503M108
50
420
SH
DFND
1
420
0
0
CELANESE CORP DEL
COM
150870103
12
99
SH
DFND
1
99
0
0
CELLECTIS S A
SPONSORED ADS
15117K103
2
100
SH
DFND
1
100
0
0
CELSIUS HOLDINGS INC
COM NEW
15118V207
121
25000
SH
DFND
1
25000
0
0
CENOVUS ENERGY INC
COM
15135U109
31
3000
SH
DFND
1
3000
0
0
CENTRAL EUROPEAN MEDIA ENTRP
CL A NEW
G20045202
9
2000
SH
DFND
1
2000
0
0
CERENCE INC
COM
156727109
6
250
SH
DFND
1
250
0
0
CERNER CORP
COM
156782104
81
1100
SH
DFND
1
1100
0
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
1
2
SH
DFND
1
2
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
166
1500
SH
DFND
1
1500
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
110
1800
SH
DFND
1
1800
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
6
7000
SH
DFND
1
7000
0
0
CHEVRON CORP NEW
COM
166764100
1157
9605
SH
DFND
1
9605
0
0
CHEWY INC
CL A
16679L109
107
3700
SH
DFND
1
3700
0
0
CHIPOTLE MEXICAN GRILL INC
PUT
169656955
0
0
SH
Put
DFND
1
0
0
0
CHUBB LIMITED
COM
H1467J104
11691
75116
SH
DFND
1
75116
0
0
CIGNA CORP NEW
COM
125523100
0
0
SH
DFND
1
0
0
0
CISCO SYS INC
COM
17275R102
20777
433203
SH
DFND
1
433203
0
0
CITIGROUP INC
COM NEW
172967424
863
10798
SH
DFND
1
10798
0
0
CME GROUP INC
COM
12572Q105
52
260
SH
DFND
1
260
0
0
COCA COLA CO
COM
191216100
101673
1836948
SH
DFND
1
1836948
0
0
COEUR MNG INC
COM NEW
192108504
5
620
SH
DFND
1
620
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
0
0
SH
DFND
1
0
0
0
COLGATE PALMOLIVE CO
COM
194162103
5326
77370
SH
DFND
1
77370
0
0
COMCAST CORP NEW
CL A
20030N101
703
15633
SH
DFND
1
15633
0
0
COMPANHIA SIDERURGICA NACION
SPONSORED ADR
20440W105
0
0
SH
DFND
1
0
0
0
CONOCOPHILLIPS
COM
20825C104
266
4090
SH
DFND
1
4090
0
0
CONSOLIDATED EDISON INC
COM
209115104
154
1700
SH
DFND
1
1700
0
0
CONSTELLATION BRANDS INC
CL A
21036P108
10
53
SH
DFND
1
53
0
0
CONTURA ENERGY INC
COM
21241B100
0
27
SH
DFND
1
27
0
0
CORNING INC
COM
219350105
582
20000
SH
DFND
1
20000
0
0
CORNING INC
PUT
219350955
0
0
SH
Put
DFND
1
0
0
0
COSTCO WHSL CORP NEW
COM
22160K105
23
79
SH
DFND
1
79
0
0
COTY INC
COM CL A
222070203
116
10389
SH
DFND
1
10389
0
0
CREDIT ACCEP CORP MICH
COM
225310101
199
450
SH
DFND
1
450
0
0
CSX CORP
COM
126408103
26554
366974
SH
DFND
1
366974
0
0
CTI BIOPHARMA CORP
COM
12648L601
1
800
SH
DFND
1
800
0
0
CVS HEALTH CORP
COM
126650100
0
0
SH
DFND
1
0
0
0
DANAHER CORPORATION
COM
235851102
461
3005
SH
DFND
1
3005
0
0
DEERE & CO
COM
244199105
1485
8569
SH
DFND
1
8569
0
0
DELL TECHNOLOGIES INC
CL C
24703L202
8
158
SH
DFND
1
158
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
41
700
SH
DFND
1
700
0
0
DENTSPLY SIRONA INC
COM
24906P109
526
9300
SH
DFND
1
9300
0
0
DESTINATION XL GROUP INC
COM
25065K104
4
3500
SH
DFND
1
3500
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
12
1500
SH
DFND
1
1500
0
0
DEXCOM INC
COM
252131107
109
500
SH
DFND
1
500
0
0
DEXCOM INC
NOTE 0.750%12/0
252131AH0
0
0
PRN
DFND
1
0
0
0
DIAMONDBACK ENERGY INC
CALL
25278X909
18
1000
SH
Call
DFND
1
1000
0
0
DIAMONDBACK ENERGY INC
COM
25278X109
1104
11900
SH
DFND
1
11900
0
0
DISCOVER FINL SVCS
COM
254709108
617
7280
SH
DFND
1
7280
0
0
DISNEY WALT CO
CALL
254687906
0
0
SH
Call
DFND
1
0
0
0
DISNEY WALT CO
COM DISNEY
254687106
29160
201624
SH
DFND
1
201624
0
0
DISNEY WALT CO
PUT
254687956
0
0
SH
Put
DFND
1
0
0
0
DOCUSIGN INC
COM
256163106
104
1400
SH
DFND
1
1400
0
0
DOW INC
COM
260557103
2
43
SH
DFND
1
43
0
0
DTE ENERGY CO
COM
233331107
130
1000
SH
DFND
1
1000
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
114
1250
SH
DFND
1
1250
0
0
DUPONT DE NEMOURS INC
COM
26614N102
178
2777
SH
DFND
1
2777
0
0
DXC TECHNOLOGY CO
COM
23355L106
1
34
SH
DFND
1
34
0
0
EATON CORP PLC
SHS
G29183103
29
302
SH
DFND
1
302
0
0
EBAY INC
COM
278642103
304
8411
SH
DFND
1
8411
0
0
ECOLAB INC
COM
278865100
193
1000
SH
DFND
1
1000
0
0
EDWARDS LIFESCIENCES CORP
COM
28176E108
2095
8980
SH
DFND
1
8980
0
0
ELASTIC N V
ORD SHS
N14506104
51
800
SH
DFND
1
800
0
0
ELECTRONIC ARTS INC
COM
285512109
0
0
SH
DFND
1
0
0
0
EMCORE CORP
COM NEW
290846203
30
10000
SH
DFND
1
10000
0
0
EMERSON ELEC CO
COM
291011104
539
7070
SH
DFND
1
7070
0
0
ENBRIDGE INC
COM
29250N105
159
3993
SH
DFND
1
3993
0
0
ENDEAVOUR SILVER CORP
COM
29258Y103
8
3400
SH
DFND
1
3400
0
0
ENLINK MIDSTREAM LLC
COM UNIT REP LTD
29336T100
0
0
SH
DFND
1
0
0
0
EOG RES INC
COM
26875P101
11303
134893
SH
DFND
1
134893
0
0
EQT CORP
COM
26884L109
0
0
SH
DFND
1
0
0
0
EQUIFAX INC
COM
294429105
560
4000
SH
DFND
1
4000
0
0
EQUINIX INC
COM
29444U700
269
461
SH
DFND
1
461
0
0
EQUITRANS MIDSTREAM CORPORAT
COM
294600101
0
0
SH
DFND
1
0
0
0
ETF MANAGERS TR
ETFMG ALTR HRVST
26924G508
68
4000
SH
DFND
1
4000
0
0
ETF MANAGERS TR
PRIME CYBR SCRTY
26924G201
125
3000
SH
DFND
1
3000
0
0
ETSY INC
COM
29786A106
0
0
SH
DFND
1
0
0
0
EVER GLORY INTL GRP INC
COM NEW
299766204
3
2000
SH
DFND
1
2000
0
0
EXACT SCIENCES CORP
COM
30063P105
227
2450
SH
DFND
1
2450
0
0
EXACT SCIENCES CORP
NOTE 0.375% 3/1
30063PAB1
1536
1365000
PRN
DFND
1
1365000
0
0
EXCHANGE TRADED CONCEPTS TR
ROBO GLB ETF
301505707
36
850
SH
DFND
1
850
0
0
EXELON CORP
COM
30161N101
5558
121833
SH
DFND
1
121833
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
1911
17665
SH
DFND
1
17665
0
0
EXPEDIA GROUP INC
PUT
30212P953
0
0
SH
Put
DFND
1
0
0
0
EXXON MOBIL CORP
COM
30231G102
7881
112924
SH
DFND
1
112924
0
0
FACEBOOK INC
CL A
30303M102
37711
183716
SH
DFND
1
183716
0
0
FEDEX CORP
COM
31428X106
7
45
SH
DFND
1
45
0
0
FERRARI N V
COM
N3167Y103
13135
79125
SH
DFND
1
79125
0
0
FIAT CHRYSLER AUTOMOBILES N
SHS
N31738102
622
42000
SH
DFND
1
42000
0
0
FIDELITY NATL INFORMATION SV
COM
31620M106
1019
7329
SH
DFND
1
7329
0
0
FIRST MAJESTIC SILVER CORP
COM
32076V103
51
4200
SH
DFND
1
4200
0
0
FIRST SOLAR INC
COM
336433107
224
4000
SH
DFND
1
4000
0
0
FLEXION THERAPEUTICS INC
COM
33938J106
0
0
SH
DFND
1
0
0
0
FORD MTR CO DEL
COM
345370860
93
10000
SH
DFND
1
10000
0
0
FORTIS INC
COM
349553107
31
748
SH
DFND
1
748
0
0
FORTUNA SILVER MINES INC
COM
349915108
25
6200
SH
DFND
1
6200
0
0
FRANCO NEVADA CORP
COM
351858105
1395
13500
SH
DFND
1
13500
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
595
45400
SH
DFND
1
45400
0
0
FRESENIUS MED CARE AG&CO KGA
SPONSORED ADR
358029106
352
9562
SH
DFND
1
9562
0
0
FRONTIER COMMUNICATIONS CORP
COM NEW
35906A306
0
59
SH
DFND
1
59
0
0
GAMESTOP CORP NEW
CL A
36467W109
1
100
SH
DFND
1
100
0
0
GANNETT CO INC NEW
COM
36472T109
13
2000
SH
DFND
1
2000
0
0
GAP INC
COM
364760108
0
0
SH
DFND
1
0
0
0
GARMIN LTD
SHS
H2906T109
39
400
SH
DFND
1
400
0
0
GARRETT MOTION INC
COM
366505105
0
99
SH
DFND
1
99
0
0
GARTNER INC
COM
366651107
48
310
SH
DFND
1
310
0
0
GASLOG PARTNERS LP
UNIT LTD PTNRP
Y2687W108
8
500
SH
DFND
1
500
0
0
GENERAL ELECTRIC CO
COM
369604103
894
80190
SH
DFND
1
80190
0
0
GENERAL MLS INC
COM
370334104
1419
26500
SH
DFND
1
26500
0
0
GENERAL MTRS CO
COM
37045V100
29
800
SH
DFND
1
800
0
0
GEOSPACE TECHNOLOGIES CORP
COM
37364X109
12
720
SH
DFND
1
720
0
0
GERDAU S A
SPON ADR REP PFD
373737105
177
36000
SH
DFND
1
36000
0
0
GILEAD SCIENCES INC
CALL
375558903
56
12500
SH
Call
DFND
1
12500
0
0
GILEAD SCIENCES INC
COM
375558103
3151
48560
SH
DFND
1
48560
0
0
GILEAD SCIENCES INC
PUT
375558953
0
0
SH
Put
DFND
1
0
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
211
4500
SH
DFND
1
4500
0
0
GLOBAL X FDS
LITHIUM BTRY ETF
37954Y855
79
2900
SH
DFND
1
2900
0
0
GLOBAL X FDS
MSCI GREECE ETF
37950E366
51
5000
SH
DFND
1
5000
0
0
GOLAR LNG LTD BERMUDA
SHS
G9456A100
14
1000
SH
DFND
1
1000
0
0
GOLDEN MINERALS CO
COM
381119106
3
10160
SH
DFND
1
10160
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
2353
10234
SH
DFND
1
10234
0
0
GOODYEAR TIRE & RUBR CO
COM
382550101
101
6500
SH
DFND
1
6500
0
0
GOPRO INC
CL A
38268T103
11
2500
SH
DFND
1
2500
0
0
GREAT PANTHER MINING LIMITED
COM
39115V101
4
7900
SH
DFND
1
7900
0
0
GRUPO FINANCIERO GALICIA S A
SPONSORED ADR
399909100
0
0
SH
DFND
1
0
0
0
GUIDEWIRE SOFTWARE INC
NOTE 1.250% 3/1
40171VAA8
777
655000
PRN
DFND
1
655000
0
0
GW PHARMACEUTICALS PLC
ADS
36197T103
136
1300
SH
DFND
1
1300
0
0
GW PHARMACEUTICALS PLC
PUT
36197T953
0
0
SH
Put
DFND
1
0
0
0
HAIN CELESTIAL GROUP INC
COM
405217100
162
6250
SH
DFND
1
6250
0
0
HALLIBURTON CO
COM
406216101
252
10250
SH
DFND
1
10250
0
0
HARLEY DAVIDSON INC
COM
412822108
19
500
SH
DFND
1
500
0
0
HESS CORP
COM
42809H107
267
4000
SH
DFND
1
4000
0
0
HOLOGIC INC
COM
436440101
0
0
SH
DFND
1
0
0
0
HOME DEPOT INC
COM
437076102
49517
226739
SH
DFND
1
226739
0
0
HONEYWELL INTL INC
COM
438516106
3061
17292
SH
DFND
1
17292
0
0
IDEXX LABS INC
COM
45168D104
104
400
SH
DFND
1
400
0
0
IHS MARKIT LTD
SHS
G47567105
5706
75700
SH
DFND
1
75700
0
0
ILLINOIS TOOL WKS INC
COM
452308109
8693
48394
SH
DFND
1
48394
0
0
ILLUMINA INC
COM
452327109
3085
9300
SH
DFND
1
9300
0
0
ILLUMINA INC
NOTE 0.500% 6/1
452327AH2
1317
950000
PRN
DFND
1
950000
0
0
INCYTE CORP
COM
45337C102
22
250
SH
DFND
1
250
0
0
INGERSOLL-RAND PLC
SHS
G47791101
8824
66393
SH
DFND
1
66393
0
0
INTEL CORP
COM
458140100
22346
373351
SH
DFND
1
373351
0
0
INTEL CORP
PUT
458140950
0
0
SH
Put
DFND
1
0
0
0
INTELLIA THERAPEUTICS INC
COM
45826J105
147
10000
SH
DFND
1
10000
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
124
1000
SH
DFND
1
1000
0
0
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
238
2570
SH
DFND
1
2570
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
2924
21800
SH
DFND
1
21800
0
0
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
13050
101150
SH
DFND
1
101150
0
0
INTERNATIONAL FLAVORS&FRAGRA
PUT
459506951
0
0
SH
Put
DFND
1
0
0
0
INTL PAPER CO
COM
460146103
0
0
SH
DFND
1
0
0
0
INTUIT
COM
461202103
806
3075
SH
DFND
1
3075
0
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
1049
1775
SH
DFND
1
1775
0
0
INVESCO EXCHNG TRADED FD TR
CHINA TECHNLGY
46138E800
32
600
SH
DFND
1
600
0
0
INVESCO EXCHNG TRADED FD TR
NATL AMT MUNI
46138E537
537
20300
SH
DFND
1
20300
0
0
INVESCO EXCHNG TRADED FD TR
PFD ETF
46138E511
358
23900
SH
DFND
1
23900
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
4002
18824
SH
DFND
1
18824
0
0
INVITATION HOMES INC
COM
46187W107
85
2850
SH
DFND
1
2850
0
0
IQVIA HLDGS INC
COM
46266C105
17954
116202
SH
DFND
1
116202
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
526
11095
SH
DFND
1
11095
0
0
ISHARES INC
MSCI BRIC INDX
464286657
0
0
SH
DFND
1
0
0
0
ISHARES INC
MSCI EURZONE ETF
464286608
2813
67150
SH
DFND
1
67150
0
0
ISHARES INC
MSCI JPN ETF NEW
46434G822
44
750
SH
DFND
1
750
0
0
ISHARES INC
MSCI MEXICO ETF
464286822
180
4000
SH
DFND
1
4000
0
0
ISHARES INC
MSCI PAC JP ETF
464286665
445
9605
SH
DFND
1
9605
0
0
ISHARES INC
MSCI WORLD ETF
464286392
948
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
20 YR TR BD ETF
464287432
224
1657
SH
DFND
1
1657
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
152
739
SH
DFND
1
739
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
193
2297
SH
DFND
1
2297
0
0
ISHARES TR
CORE S&P500 ETF
464287200
2327
7200
SH
DFND
1
7200
0
0
ISHARES TR
IBOXX HI YD ETF
464288513
9
102
SH
DFND
1
102
0
0
ISHARES TR
INTL TREA BD ETF
464288117
2908
57958
SH
DFND
1
57958
0
0
ISHARES TR
JPX NIKKEI 400
464287382
293
4600
SH
DFND
1
4600
0
0
ISHARES TR
MSCI AC ASIA ETF
464288182
206
2800
SH
DFND
1
2800
0
0
ISHARES TR
MSCI ACWI ETF
464288257
2746
34650
SH
DFND
1
34650
0
0
ISHARES TR
MSCI CHINA ETF
46429B671
128
2000
SH
DFND
1
2000
0
0
ISHARES TR
MSCI EAFE ETF
464287465
327
4716
SH
DFND
1
4716
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
2687
59910
SH
DFND
1
59910
0
0
ISHARES TR
MSCI INDIA ETF
46429B598
134
3800
SH
DFND
1
3800
0
0
ISHARES TR
NATIONAL MUN ETF
464288414
531
4660
SH
DFND
1
4660
0
0
ISHARES TR
PFD AND INCM SEC
464288687
101
2700
SH
DFND
1
2700
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
258
1557
SH
DFND
1
1557
0
0
ISHARES TR
US AER DEF ETF
464288760
102
460
SH
DFND
1
460
0
0
ISIS PHARMACEUTICALS INC DEL
NOTE 1.000%11/1
464337AJ3
401
350000
PRN
DFND
1
350000
0
0
ITAU UNIBANCO HLDG SA
SPON ADR REP PFD
465562106
78
8562
SH
DFND
1
8562
0
0
IZEA WORLDWIDE INC
COM
46604H105
9
40000
SH
DFND
1
40000
0
0
JD COM INC
SPON ADR CL A
47215P106
690
19570
SH
DFND
1
19570
0
0
JOHNSON & JOHNSON
COM
478160104
5181
35517
SH
DFND
1
35517
0
0
JPMORGAN CHASE & CO
COM
46625H100
71880
515584
SH
DFND
1
515584
0
0
KANSAS CITY SOUTHERN
COM NEW
485170302
22
145
SH
DFND
1
145
0
0
KELLOGG CO
COM
487836108
1694
24500
SH
DFND
1
24500
0
0
KIMBERLY CLARK CORP
COM
494368103
722
5250
SH
DFND
1
5250
0
0
KINDER MORGAN INC DEL
COM
49456B101
176
8303
SH
DFND
1
8303
0
0
KINROSS GOLD CORP
COM
496902404
7
1500
SH
DFND
1
1500
0
0
KIRKLAND LAKE GOLD LTD
COM
49741E100
3929
89000
SH
DFND
1
89000
0
0
KONTOOR BRANDS INC
COM
50050N103
10
235
SH
DFND
1
235
0
0
KRAFT HEINZ CO
COM
500754106
3232
100551
SH
DFND
1
100551
0
0
L BRANDS INC
COM
501797104
11
600
SH
DFND
1
600
0
0
LAUDER ESTEE COS INC
CL A
518439104
2711
13124
SH
DFND
1
13124
0
0
LEXICON PHARMACEUTICALS INC
COM NEW
528872302
17
4000
SH
DFND
1
4000
0
0
LINDE PLC
CALL
G5494J903
0
0
SH
Call
DFND
1
0
0
0
LINDE PLC
SHS
G5494J103
39349
183724
SH
DFND
1
183724
0
0
LINE CORP
SPONSORED ADR
53567X101
15
300
SH
DFND
1
300
0
0
LIVE NATION ENTERTAINMENT IN
COM
538034109
22961
321256
SH
DFND
1
321256
0
0
LIVE NATION ENTERTAINMENT IN
PUT
538034959
0
0
SH
Put
DFND
1
0
0
0
LOCKHEED MARTIN CORP
COM
539830109
157
405
SH
DFND
1
405
0
0
LOGITECH INTL S A
CALL
H50430902
0
0
SH
Call
DFND
1
0
0
0
LOGITECH INTL S A
PUT
H50430952
0
0
SH
Put
DFND
1
0
0
0
LOGITECH INTL S A
SHS
H50430232
27465
580442
SH
DFND
1
580442
0
0
LOWES COS INC
COM
548661107
599
5000
SH
DFND
1
5000
0
0
MACROGENICS INC
COM
556099109
33
3000
SH
DFND
1
3000
0
0
MARATHON OIL CORP
COM
565849106
102
7500
SH
DFND
1
7500
0
0
MARATHON PETE CORP
COM
56585A102
125
2082
SH
DFND
1
2082
0
0
MARKETAXESS HLDGS INC
COM
57060D108
114
300
SH
DFND
1
300
0
0
MARSH & MCLENNAN COS INC
COM
571748102
7323
65745
SH
DFND
1
65745
0
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
11
430
SH
DFND
1
430
0
0
MASTERCARD INC
CALL
57636Q904
235
3900
SH
Call
DFND
1
3900
0
0
MASTERCARD INC
CL A
57636Q104
72
240
SH
DFND
1
240
0
0
MATCH GROUP INC
COM
57665R106
228
2775
SH
DFND
1
2775
0
0
MATTEL INC
PUT
577081952
0
1000
SH
Put
DFND
1
1000
0
0
MCDONALDS CORP
COM
580135101
16940
85725
SH
DFND
1
85725
0
0
MEDICINES CO
COM
584688105
170
2000
SH
DFND
1
2000
0
0
MEDLEY CAP CORP
COM
58503F106
109
50000
SH
DFND
1
50000
0
0
MEDTRONIC PLC
SHS
G5960L103
4588
40444
SH
DFND
1
40444
0
0
MERCK & CO INC
COM
58933Y105
48041
528269
SH
DFND
1
528269
0
0
MERCURY SYS INC
COM
589378108
187
2700
SH
DFND
1
2700
0
0
METHODE ELECTRS INC
COM
591520200
6
150
SH
DFND
1
150
0
0
METLIFE INC
COM
59156R108
13810
270945
SH
DFND
1
270945
0
0
METLIFE INC
PUT
59156R958
0
0
SH
Put
DFND
1
0
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
6
180
SH
DFND
1
180
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1.625% 2/1
595017AF1
2666
1861000
PRN
DFND
1
1861000
0
0
MICRON TECHNOLOGY INC
COM
595112103
369
6850
SH
DFND
1
6850
0
0
MICROSOFT CORP
CALL
594918904
794
26000
SH
Call
DFND
1
26000
0
0
MICROSOFT CORP
COM
594918104
90283
572468
SH
DFND
1
572468
0
0
MICROSOFT CORP
PUT
594918954
0
0
SH
Put
DFND
1
0
0
0
MIDDLEBY CORP
COM
596278101
92
840
SH
DFND
1
840
0
0
MODERNA INC
COM
60770K107
0
0
SH
DFND
1
0
0
0
MOLECULAR TEMPLATES INC
COM
608550109
0
0
SH
DFND
1
0
0
0
MOLSON COORS BREWING CO
CL B
60871R209
8
150
SH
DFND
1
150
0
0
MONDELEZ INTL INC
CL A
609207105
35216
639374
SH
DFND
1
639374
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
5
71
SH
DFND
1
71
0
0
MORGAN STANLEY
COM NEW
617446448
58
1125
SH
DFND
1
1125
0
0
MORGAN STANLEY INDIA INVS FD
COM
61745C105
20
1000
SH
DFND
1
1000
0
0
MOTOROLA SOLUTIONS INC
COM NEW
620076307
644
4000
SH
DFND
1
4000
0
0
MYLAN N V
SHS EURO
N59465109
100
5000
SH
DFND
1
5000
0
0
MYRIAD GENETICS INC
COM
62855J104
14
500
SH
DFND
1
500
0
0
NASDAQ INC
COM
631103108
48
450
SH
DFND
1
450
0
0
NEOVASC INC
COM
64065J304
0
85
SH
DFND
1
85
0
0
NETFLIX INC
COM
64110L106
1593
4924
SH
DFND
1
4924
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
NEW RELIC INC
COM
64829B100
205
3120
SH
DFND
1
3120
0
0
NEWELL BRANDS INC
COM
651229106
38
2000
SH
DFND
1
2000
0
0
NEWMONT GOLDCORP CORPORATION
COM
651639106
5255
120894
SH
DFND
1
120894
0
0
NEXTERA ENERGY INC
COM
65339F101
5048
20844
SH
DFND
1
20844
0
0
NIKE INC
CL B
654106103
7881
77786
SH
DFND
1
77786
0
0
NIO INC
SPON ADS
62914V106
341
85000
SH
DFND
1
85000
0
0
NOBLE ENERGY INC
COM
655044105
1346
54250
SH
DFND
1
54250
0
0
NOKIA CORP
SPONSORED ADR
654902204
0
85
SH
DFND
1
85
0
0
NORDIC AMERICAN TANKERS LIMI
COM
G65773106
5
1000
SH
DFND
1
1000
0
0
NORTHERN OIL & GAS INC NEV
COM
665531109
1
500
SH
DFND
1
500
0
0
NORTHROP GRUMMAN CORP
COM
666807102
482
1400
SH
DFND
1
1400
0
0
NORTONLIFELOCK INC
COM
668771108
31
1200
SH
DFND
1
1200
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
0
0
SH
DFND
1
0
0
0
NOVOCURE LTD
ORD SHS
G6674U108
253
3000
SH
DFND
1
3000
0
0
NUANCE COMMUNICATIONS INC
COM
67020Y100
36
2000
SH
DFND
1
2000
0
0
NUTANIX INC
CALL
67059N908
0
0
SH
Call
DFND
1
0
0
0
NUTANIX INC
CL A
67059N108
875
28000
SH
DFND
1
28000
0
0
NUVASIVE INC
NOTE 2.250% 3/1
670704AG0
428
320000
PRN
DFND
1
320000
0
0
NVIDIA CORP
CALL
67066G904
0
0
SH
Call
DFND
1
0
0
0
NVIDIA CORP
COM
67066G104
12165
51706
SH
DFND
1
51706
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
509
4000
SH
DFND
1
4000
0
0
OBSEVA SA
COM
H5861P103
15
3900
SH
DFND
1
3900
0
0
OCCIDENTAL PETE CORP
COM
674599105
763
18554
SH
DFND
1
18554
0
0
OCULAR THERAPEUTIX INC
COM
67576A100
3
700
SH
DFND
1
700
0
0
OI S A
SPONSORED ADR NE
670851500
0
2
SH
DFND
1
2
0
0
ON SEMICONDUCTOR CORP
NOTE 1.625%10/1
682189AP0
1969
1422000
PRN
DFND
1
1422000
0
0
ONEOK INC NEW
COM
682680103
122
1614
SH
DFND
1
1614
0
0
ORACLE CORP
COM
68389X105
399
7540
SH
DFND
1
7540
0
0
OVERSTOCK COM INC DEL
COM
690370101
7
1000
SH
DFND
1
1000
0
0
PALO ALTO NETWORKS INC
CALL
697435905
0
0
SH
Call
DFND
1
0
0
0
PALO ALTO NETWORKS INC
COM
697435105
56984
246496
SH
DFND
1
246496
0
0
PALO ALTO NETWORKS INC
NOTE 0.750% 7/0
697435AD7
2571
2320000
PRN
DFND
1
2320000
0
0
PALO ALTO NETWORKS INC
PUT
697435955
0
0
SH
Put
DFND
1
0
0
0
PAYPAL HLDGS INC
COM
70450Y103
2913
26928
SH
DFND
1
26928
0
0
PEPSICO INC
COM
713448108
766
5603
SH
DFND
1
5603
0
0
PERSPECTA INC
COM
715347100
0
17
SH
DFND
1
17
0
0
PETROLEO BRASILEIRO SA PETRO
SP ADR NON VTG
71654V101
364
24380
SH
DFND
1
24380
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
72
4480
SH
DFND
1
4480
0
0
PFIZER INC
CALL
717081903
0
0
SH
Call
DFND
1
0
0
0
PFIZER INC
COM
717081103
1118
28460
SH
DFND
1
28460
0
0
PHILIP MORRIS INTL INC
COM
718172109
2561
30082
SH
DFND
1
30082
0
0
PHILLIPS 66
COM
718546104
2627
23576
SH
DFND
1
23576
0
0
PINTEREST INC
CL A
72352L106
2830
151780
SH
DFND
1
151780
0
0
PINTEREST INC
PUT
72352L956
0
0
SH
Put
DFND
1
0
0
0
PIONEER NAT RES CO
COM
723787107
7
45
SH
DFND
1
45
0
0
PLANET FITNESS INC
CL A
72703H101
112
1500
SH
DFND
1
1500
0
0
PLUG POWER INC
COM NEW
72919P202
9
3000
SH
DFND
1
3000
0
0
POLARIS INC
COM
731068102
9
90
SH
DFND
1
90
0
0
PPG INDS INC
COM
693506107
5922
44362
SH
DFND
1
44362
0
0
PREMIER INC
CL A
74051N102
197
5200
SH
DFND
1
5200
0
0
PRICELINE GRP INC
NOTE 0.900% 9/1
741503AX4
1164
1000000
PRN
DFND
1
1000000
0
0
PROCTER & GAMBLE CO
COM
742718109
9115
72990
SH
DFND
1
72990
0
0
PROGRESSIVE CORP OHIO
COM
743315103
9388
129644
SH
DFND
1
129644
0
0
PROSHARES TR
PSHS ULTSH 20YRS
74347B201
72
2697
SH
DFND
1
2697
0
0
PROSPECT CAPITAL CORPORATION
NOTE 4.750% 4/1
74348TAQ5
807
795000
PRN
DFND
1
795000
0
0
PRUDENTIAL FINL INC
CALL
744320902
1
7000
SH
Call
DFND
1
7000
0
0
PTC INC
COM
69370C100
3670
49000
SH
DFND
1
49000
0
0
PUBLIC STORAGE
COM
74460D109
21
100
SH
DFND
1
100
0
0
PUBLIC SVC ENTERPRISE GRP IN
COM
744573106
39
665
SH
DFND
1
665
0
0
PURE STORAGE INC
CALL
74624M902
0
0
SH
Call
DFND
1
0
0
0
PURE STORAGE INC
CL A
74624M102
43
2500
SH
DFND
1
2500
0
0
QIAGEN NV
DEBT 1.000%11/1
N72482AT4
614
600000
PRN
DFND
1
600000
0
0
QIAGEN NV
SHS NEW
N72482123
1975
57777
SH
DFND
1
57777
0
0
QUALCOMM INC
COM
747525103
181
2050
SH
DFND
1
2050
0
0
QUMU CORP
COM
749063103
0
0
SH
DFND
1
0
0
0
RANGE RES CORP
COM
75281A109
33
6648
SH
DFND
1
6648
0
0
RAYTHEON CO
COM NEW
755111507
439
2000
SH
DFND
1
2000
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
300
800
SH
DFND
1
800
0
0
REPUBLIC SVCS INC
COM
760759100
18
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
356
6000
SH
DFND
1
6000
0
0
ROKU INC
COM CL A
77543R102
47
350
SH
DFND
1
350
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
277
3500
SH
DFND
1
3500
0
0
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
644
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
48923
179174
SH
DFND
1
179174
0
0
SALESFORCE COM INC
COM
79466L302
872
5365
SH
DFND
1
5365
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
7
1000
SH
DFND
1
1000
0
0
SANGAMO THERAPEUTICS INC
COM
800677106
84
10000
SH
DFND
1
10000
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
0
0
SH
DFND
1
0
0
0
SEALED AIR CORP NEW
COM
81211K100
358
9000
SH
DFND
1
9000
0
0
SELECT SECTOR SPDR TR
RL EST SEL SEC
81369Y860
0
0
SH
DFND
1
0
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
10
100
SH
DFND
1
100
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
15
500
SH
DFND
1
500
0
0
SELECTA BIOSCIENCES INC
COM
816212104
23
9500
SH
DFND
1
9500
0
0
SENSEONICS HLDGS INC
COM
81727U105
1
1000
SH
DFND
1
1000
0
0
SERVICE CORP INTL
COM
817565104
35
750
SH
DFND
1
750
0
0
SERVICENOW INC
COM
81762P102
113
400
SH
DFND
1
400
0
0
SHERWIN WILLIAMS CO
COM
824348106
1167
2000
SH
DFND
1
2000
0
0
SHOPIFY INC
CL A
82509L107
346
870
SH
DFND
1
870
0
0
SIFY TECHNOLOGIES LIMITED
SPONSORED ADS
82655M107
0
35
SH
DFND
1
35
0
0
SILVERCORP METALS INC
COM
82835P103
16
2790
SH
DFND
1
2790
0
0
SIMULATIONS PLUS INC
COM
829214105
17
600
SH
DFND
1
600
0
0
SNAP INC
CL A
83304A106
131
8000
SH
DFND
1
8000
0
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
364
1279
SH
DFND
1
1279
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
289
2020
SH
DFND
1
2020
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
8352
25948
SH
DFND
1
25948
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
19
175
SH
DFND
1
175
0
0
SPDR SERIES TRUST
SSGA GNDER ETF
78468R747
24
310
SH
DFND
1
310
0
0
SPLUNK INC
NOTE 0.500% 9/1
848637AC8
2150
1780000
PRN
DFND
1
1780000
0
0
SPLUNK INC
NOTE 1.125% 9/1
848637AD6
1358
1095000
PRN
DFND
1
1095000
0
0
SPOTIFY TECHNOLOGY S A
CALL
L8681T902
36
1200
SH
Call
DFND
1
1200
0
0
SPOTIFY TECHNOLOGY S A
PUT
L8681T952
0
0
SH
Put
DFND
1
0
0
0
SPOTIFY TECHNOLOGY S A
SHS
L8681T102
47769
319372
SH
DFND
1
319372
0
0
SPROUTS FMRS MKT INC
COM
85208M102
816
42150
SH
DFND
1
42150
0
0
SQUARE INC
CL A
852234103
316
5040
SH
DFND
1
5040
0
0
SQUARE INC
NOTE 0.500% 5/1
852234AD5
1694
1520000
PRN
DFND
1
1520000
0
0
STARBUCKS CORP
COM
855244109
3034
34500
SH
DFND
1
34500
0
0
STEEL CONNECT INC
COM
858098106
2
800
SH
DFND
1
800
0
0
STERICYCLE INC
COM
858912108
38
600
SH
DFND
1
600
0
0
STEWART INFORMATION SVCS COR
COM
860372101
20
500
SH
DFND
1
500
0
0
STRYKER CORP
COM
863667101
94
450
SH
DFND
1
450
0
0
SUNCOR ENERGY INC NEW
COM
867224107
141
4300
SH
DFND
1
4300
0
0
SVB FINL GROUP
COM
78486Q101
8
32
SH
DFND
1
32
0
0
SYNCHRONY FINL
CALL
87165B903
0
0
SH
Call
DFND
1
0
0
0
SYNCHRONY FINL
COM
87165B103
5429
150735
SH
DFND
1
150735
0
0
T MOBILE US INC
COM
872590104
12
150
SH
DFND
1
150
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
3028
52125
SH
DFND
1
52125
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
22
1700
SH
DFND
1
1700
0
0
TC ENERGY CORP
COM
87807B107
224
4191
SH
DFND
1
4191
0
0
TE CONNECTIVITY LTD
REG SHS
H84989104
4213
43970
SH
DFND
1
43970
0
0
TEEKAY CORPORATION
COM
Y8564W103
103
19400
SH
DFND
1
19400
0
0
TELEFONICA BRASIL SA
SPONSORED ADR
87936R106
3
212
SH
DFND
1
212
0
0
TENABLE HLDGS INC
COM
88025T102
36
1500
SH
DFND
1
1500
0
0
TESLA INC
COM
88160R101
421
1003
SH
DFND
1
1003
0
0
TESLA INC
PUT
88160R951
0
0
SH
Put
DFND
1
0
0
0
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADS
881624209
96
9800
SH
DFND
1
9800
0
0
TEXAS INSTRS INC
COM
882508104
513
4000
SH
DFND
1
4000
0
0
THE CHARLES SCHWAB CORPORATI
COM
808513105
10
210
SH
DFND
1
210
0
0
THE TRADE DESK INC
COM CL A
88339J105
0
0
SH
DFND
1
0
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
70114
215905
SH
DFND
1
215905
0
0
THERMO FISHER SCIENTIFIC INC
PUT
883556952
0
0
SH
Put
DFND
1
0
0
0
TIFFANY & CO NEW
COM
886547108
1396
10440
SH
DFND
1
10440
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
TORONTO DOMINION BK ONT
COM NEW
891160509
119
2125
SH
DFND
1
2125
0
0
TOTAL S A
SPONSORED ADS
89151E109
0
0
SH
DFND
1
0
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
64
2999
SH
DFND
1
2999
0
0
TRANSENTERIX INC
COM
89366M300
1
769
SH
DFND
1
769
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
9
1384
SH
DFND
1
1384
0
0
TRIP COM GROUP LTD
ADS
89677Q107
18164
541602
SH
DFND
1
541602
0
0
TRUIST FINL CORP
COM
89832Q109
189
3360
SH
DFND
1
3360
0
0
TURQUOISE HILL RES LTD
COM
900435108
35
48445
SH
DFND
1
48445
0
0
TUTOR PERINI CORP
COM
901109108
6
500
SH
DFND
1
500
0
0
TWILIO INC
CL A
90138F102
176
1800
SH
DFND
1
1800
0
0
TWILIO INC
PUT
90138F952
0
0
SH
Put
DFND
1
0
0
0
TWITTER INC
NOTE 1.000% 9/1
90184LAD4
975
1000000
PRN
DFND
1
1000000
0
0
UBS GROUP AG
PUT
H42097957
0
0
SH
Put
DFND
1
0
0
0
UBS GROUP AG
SHS
H42097107
31828
2521529
SH
DFND
1
2521529
0
0
UNDER ARMOUR INC
PUT
904311957
0
0
SH
Put
DFND
1
0
0
0
UNILEVER PLC
SPON ADR NEW
904767704
280
4900
SH
DFND
1
4900
0
0
UNION PACIFIC CORP
COM
907818108
362
2000
SH
DFND
1
2000
0
0
UNITED RENTALS INC
COM
911363109
1334
8000
SH
DFND
1
8000
0
0
UNITED RENTALS INC
PUT
911363959
0
0
SH
Put
DFND
1
0
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
17401
116190
SH
DFND
1
116190
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
1886
6414
SH
DFND
1
6414
0
0
URBAN OUTFITTERS INC
COM
917047102
56
2000
SH
DFND
1
2000
0
0
V F CORP
COM
918204108
209
2100
SH
DFND
1
2100
0
0
VALE S A
SPONSORED ADS
91912E105
1240
93900
SH
DFND
1
93900
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
83
885
SH
DFND
1
885
0
0
VANDA PHARMACEUTICALS INC
COM
921659108
2
100
SH
DFND
1
100
0
0
VANECK VECTORS ETF TRUST
GOLD MINERS ETF
92189F106
59
2000
SH
DFND
1
2000
0
0
VANECK VECTORS ETF TRUST
JR GOLD MINERS E
92189F791
394
9300
SH
DFND
1
9300
0
0
VANECK VECTORS ETF TRUST
OIL REFINERS ETF
92189F585
170
5900
SH
DFND
1
5900
0
0
VANECK VECTORS ETF TRUST
VIETNAM ETF
92189F817
24
1500
SH
DFND
1
1500
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
41
700
SH
DFND
1
700
0
0
VANGUARD SCOTTSDALE FDS
LONG TERM TREAS
92206C847
2854
34279
SH
DFND
1
34279
0
0
VARIAN MED SYS INC
COM
92220P105
437
3075
SH
DFND
1
3075
0
0
VEEVA SYS INC
CL A COM
922475108
191
1358
SH
DFND
1
1358
0
0
VENTAS INC
COM
92276F100
23
400
SH
DFND
1
400
0
0
VERISK ANALYTICS INC
COM
92345Y106
1344
9000
SH
DFND
1
9000
0
0
VERITIV CORP
COM
923454102
0
0
SH
DFND
1
0
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
16167
263347
SH
DFND
1
263347
0
0
VISA INC
CALL
92826C909
133
7000
SH
Call
DFND
1
7000
0
0
VISA INC
COM CL A
92826C839
127839
680276
SH
DFND
1
680276
0
0
VMWARE INC
CL A COM
928563402
729
4800
SH
DFND
1
4800
0
0
VOYA FINL INC
COM
929089100
11
180
SH
DFND
1
180
0
0
WABTEC CORP
COM
929740108
13
162
SH
DFND
1
162
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
907
15390
SH
DFND
1
15390
0
0
WALMART INC
COM
931142103
1340
11275
SH
DFND
1
11275
0
0
WASTE MGMT INC DEL
COM
94106L109
7596
66625
SH
DFND
1
66625
0
0
WEIBO CORP
NOTE 1.250%11/1
948596AC5
1175
1240000
PRN
DFND
1
1240000
0
0
WELLS FARGO CO NEW
COM
949746101
7317
136022
SH
DFND
1
136022
0
0
WESTERN DIGITAL CORP
COM
958102105
162
2550
SH
DFND
1
2550
0
0
WESTERN UN CO
COM
959802109
1411
52700
SH
DFND
1
52700
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
1195
40100
SH
DFND
1
40100
0
0
WILLIAMS COS INC DEL
COM
969457100
172
7245
SH
DFND
1
7245
0
0
WISDOMTREE TR
EM LCL DEBT FD
97717X867
645
17943
SH
DFND
1
17943
0
0
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
618
11500
SH
DFND
1
11500
0
0
WISDOMTREE TR
US QTLY DIV GRT
97717X669
178
3670
SH
DFND
1
3670
0
0
XYLEM INC
COM
98419M100
422
5360
SH
DFND
1
5360
0
0
YUM BRANDS INC
COM
988498101
12
120
SH
DFND
1
120
0
0
YUM CHINA HLDGS INC
COM
98850P109
14032
292274
SH
DFND
1
292274
0
0
ZEBRA TECHNOLOGIES CORP
CL A
989207105
319
1250
SH
DFND
1
1250
0
0
ZIMMER BIOMET HLDGS INC
COM
98956P102
35
230
SH
DFND
1
230
0
0
ZOETIS INC
CL A
98978V103
357
2700
SH
DFND
1
2700
0
0
ZSCALER INC
COM
98980G102
120
2600
SH
DFND
1
2600
0
0
ZUORA INC
COM CL A
98983V106
100
7000
SH
DFND
1
7000
0
0