0001634047-17-000003.txt : 20170214
0001634047-17-000003.hdr.sgml : 20170214
20170214111124
ACCESSION NUMBER: 0001634047-17-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170214
DATE AS OF CHANGE: 20170214
EFFECTIVENESS DATE: 20170214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Vident Investment Advisory, LLC
CENTRAL INDEX KEY: 0001634047
IRS NUMBER: 471618011
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16741
FILM NUMBER: 17604422
BUSINESS ADDRESS:
STREET 1: 300 COLONIAL CENTER PARKWAY
STREET 2: SUITE 330
CITY: ROSWELL
STATE: GA
ZIP: 30076
BUSINESS PHONE: 404-487-1961
MAIL ADDRESS:
STREET 1: 300 COLONIAL CENTER PARKWAY
STREET 2: SUITE 330
CITY: ROSWELL
STATE: GA
ZIP: 30076
13F-HR
1
primary_doc.xml
13F-HR
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false
false
false
0001634047
XXXXXXXX
12-31-2016
12-31-2016
false
Vident Investment Advisory, LLC
300 Colonial Center Parkway
Suite 330
Roswell
GA
30076
13F COMBINATION REPORT
028-16741
0001457320
EXCHANGE TRADED CONCEPTS, LLC
0001672826
OSI ETF Trust
N
Anne Czizek
Chief Compliance Officer
415-463-1013
/s/ Anne Czizek
San Francisco
CA
02-14-2016
2
409
833185
1
0001457320
EXCHANGE TRADED CONCEPTS, LLC
2
0001672826
OSI ETF Trust
INFORMATION TABLE
2
infotable.xml
ALCOA CORP
COM
013872106
669
23808
SH
DFND
1
0
23808
0
APPLE INC
COM
037833100
1319
11392
SH
DFND
1
0
11392
0
ABIOMED INC
COM
003654100
351
3112
SH
DFND
1
0
3112
0
ACHILLION PHARMACEUTICALS IN
COM
00448Q201
350
84625
SH
DFND
1
0
84625
0
ADAPTIMMUNE THERAPEUTICS PLC
SPONDS ADR
00653A107
785
193869
SH
DFND
1
0
193869
0
ARCHER DANIELS MIDLAND CO
COM
039483102
2725
59700
SH
DFND
1
0
59700
0
ADURO BIOTECH INC
COM
00739L101
751
65874
SH
DFND
1
0
65874
0
AUTODESK INC
COM
052769106
1308
17669
SH
DFND
1
0
17669
0
ADVAXIS INC
COM NEW
007624208
650
90785
SH
DFND
1
0
90785
0
AMEREN CORP
COM
023608102
2303
43902
SH
DFND
1
0
43902
0
AMERICAN EAGLE OUTFITTERS NE
COM
02553E106
15
982
SH
DFND
2
0
982
0
AMERICAN EAGLE OUTFITTERS NE
COM
02553E106
2007
132287
SH
DFND
1
0
132287
0
AES CORP
COM
00130H105
2096
180408
SH
DFND
1
0
180408
0
AETNA INC NEW
COM
00817Y108
2630
21207
SH
DFND
1
0
21207
0
AMERICAN FINL GROUP INC OHIO
COM
025932104
7
78
SH
DFND
2
0
78
0
AMERICAN FINL GROUP INC OHIO
COM
025932104
2873
32604
SH
DFND
1
0
32604
0
AFLAC INC
COM
001055102
2291
32923
SH
DFND
1
0
32923
0
AGENUS INC
COM NEW
00847G705
695
168710
SH
DFND
1
0
168710
0
AGILYSYS INC
COM
00847J105
342
32967
SH
DFND
1
0
32967
0
ALLSTATE CORP
COM
020002101
2582
34842
SH
DFND
1
0
34842
0
AMBARELLA INC
SHS
G037AX101
1341
24768
SH
DFND
1
0
24768
0
AMGEN INC
COM
031162100
1216
8320
SH
DFND
1
0
8320
0
AMKOR TECHNOLOGY INC
COM
031652100
1701
161249
SH
DFND
1
0
161249
0
AMERICAN TOWER CORP NEW
COM
03027X100
429
2616
SH
DFND
1
0
2616
0
AMAZON COM INC
COM
023135106
1590
2120
SH
DFND
1
0
2120
0
ABERCROMBIE & FITCH CO
CL A
002896207
1345
112054
SH
DFND
1
0
112054
0
ANTHEM INC
COM
036752103
2690
18709
SH
DFND
1
0
18709
0
ALPINE TOTAL DYNAMIC DIVID F
COM SH BEN INT N
021060207
4671
616997
SH
DFND
1
0
616997
0
APTEVO THERAPEUTICS INC
COM
03835L108
35
14524
SH
DFND
1
0
14524
0
ACCURAY INC
COM
004397105
2285
496716
SH
DFND
1
0
496716
0
ARCONIC INC
COM
03965L100
1324
71426
SH
DFND
1
0
71426
0
ARROW ELECTRS INC
COM
042735100
2455
34436
SH
DFND
1
0
34436
0
ATARA BIOTHERAPEUTICS INC
COM
046513107
659
46389
SH
DFND
1
0
46389
0
AEROVIRONMENT INC
COM
008073108
2543
94774
SH
DFND
1
0
94774
0
BROADCOM LTD
SHS
Y09827109
382
2162
SH
DFND
1
0
2162
0
AVNET INC
COM
053807103
2652
55711
SH
DFND
1
0
55711
0
ALLIANCEBERNSTEIN GBL HGH IN
COM
01879R106
1969
156748
SH
DFND
1
0
156748
0
ALPINE GLOBAL PREMIER PPTYS
COM SBI
02083A103
4278
835608
SH
DFND
1
0
835608
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
728
26658
SH
DFND
1
0
26658
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
326
3712
SH
DFND
1
0
3712
0
CREDICORP LTD
COM
G2519Y108
2974
18839
SH
DFND
1
0
18839
0
BAXTER INTL INC
COM
071813109
2520
56836
SH
DFND
1
0
56836
0
BED BATH & BEYOND INC
COM
075896100
2263
55681
SH
DFND
1
0
55681
0
BEST BUY INC
COM
086516101
3296
77250
SH
DFND
1
0
77250
0
BIOTELEMETRY INC
COM
090672106
443
19824
SH
DFND
1
0
19824
0
FRANKLIN RES INC
COM
354613101
2319
58580
SH
DFND
1
0
58580
0
BUNGE LIMITED
COM
G16962105
2439
33769
SH
DFND
1
0
33769
0
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
3622
235986
SH
DFND
1
0
235986
0
BEIGENE LTD
SPONSORED ADR
07725L102
758
24958
SH
DFND
1
0
24958
0
BLACKROCK INTL GRWTH & INC T
COM BENE INTER
092524107
2478
450541
SH
DFND
1
0
450541
0
BENCHMARK ELECTRS INC
COM
08160H101
1903
62408
SH
DFND
1
0
62408
0
BIG LOTS INC
COM
089302103
2176
43330
SH
DFND
1
0
43330
0
BIOGEN INC
COM
09062X103
332
1172
SH
DFND
1
0
1172
0
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
2299
139680
SH
DFND
1
0
139680
0
BELLICUM PHARMACEUTICALS INC
COM
079481107
642
47157
SH
DFND
1
0
47157
0
BLUEBIRD BIO INC
COM
09609G100
641
10385
SH
DFND
1
0
10385
0
BMC STK HLDGS INC
COM
05591B109
362
18578
SH
DFND
1
0
18578
0
BRISTOL MYERS SQUIBB CO
COM
110122108
740
12660
SH
DFND
1
0
12660
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
392
2404
SH
DFND
1
0
2404
0
BROOKS AUTOMATION INC
COM
114340102
17
984
SH
DFND
2
0
984
0
BROOKS AUTOMATION INC
COM
114340102
1304
76403
SH
DFND
1
0
76403
0
CA INC
COM
12673P105
2250
70828
SH
DFND
1
0
70828
0
CONAGRA BRANDS INC
COM
205887102
504
12735
SH
DFND
1
0
12735
0
CARDINAL HEALTH INC
COM
14149Y108
2115
29388
SH
DFND
1
0
29388
0
CAL MAINE FOODS INC
COM NEW
128030202
9
208
SH
DFND
2
0
208
0
CAL MAINE FOODS INC
COM NEW
128030202
2428
54956
SH
DFND
1
0
54956
0
CASEYS GEN STORES INC
COM
147528103
2045
17199
SH
DFND
1
0
17199
0
CAMBREX CORP
COM
132011107
2222
41180
SH
DFND
1
0
41180
0
CBS CORP NEW
CL B
124857202
371
5834
SH
DFND
1
0
5834
0
CDK GLOBAL INC
COM
12508E101
354
5923
SH
DFND
1
0
5923
0
CULLEN FROST BANKERS INC
COM
229899109
5
52
SH
DFND
2
0
52
0
CULLEN FROST BANKERS INC
COM
229899109
3110
35253
SH
DFND
1
0
35253
0
COLFAX CORP
COM
194014106
2992
83285
SH
DFND
1
0
83285
0
COMPUGEN LTD
ORD
M25722105
640
125514
SH
DFND
1
0
125514
0
COGNEX CORP
COM
192422103
2548
40049
SH
DFND
1
0
40049
0
CHEMED CORP NEW
COM
16359R103
2442
15222
SH
DFND
1
0
15222
0
CHICOS FAS INC
COM
168615102
10
712
SH
DFND
2
0
712
0
CHICOS FAS INC
COM
168615102
2920
202889
SH
DFND
1
0
202889
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
846
2295
SH
DFND
1
0
2295
0
CALAMOS GBL DYN INCOME FUND
COM
12811L107
4625
664526
SH
DFND
1
0
664526
0
CINCINNATI FINL CORP
COM
172062101
2455
32410
SH
DFND
1
0
32410
0
CELLDEX THERAPEUTICS INC NEW
COM
15117B103
696
196715
SH
DFND
1
0
196715
0
CELLECTIS S A
SPONSORED ADS
15117K103
720
42498
SH
DFND
1
0
42498
0
CLEARWATER PAPER CORP
COM
18538R103
1937
29551
SH
DFND
1
0
29551
0
COMMERCIAL METALS CO
COM
201723103
3029
139091
SH
DFND
1
0
139091
0
COMCAST CORP NEW
CL A
20030N101
727
10522
SH
DFND
1
0
10522
0
CUMMINS INC
COM
231021106
2880
21072
SH
DFND
1
0
21072
0
CENTENE CORP DEL
COM
15135B101
1758
31116
SH
DFND
1
0
31116
0
CNO FINL GROUP INC
COM
12621E103
2294
119791
SH
DFND
1
0
119791
0
COHERENT INC
COM
192479103
3517
25603
SH
DFND
1
0
25603
0
COOPER STD HLDGS INC
COM
21676P103
2833
27407
SH
DFND
1
0
27407
0
CURIS INC
COM
231269101
763
247867
SH
DFND
1
0
247867
0
CISCO SYS INC
COM
17275R102
2393
79180
SH
DFND
1
0
79180
0
CSG SYS INTL INC
COM
126349109
9
190
SH
DFND
2
0
190
0
CSG SYS INTL INC
COM
126349109
1989
41095
SH
DFND
1
0
41095
0
COOPER TIRE & RUBR CO
COM
216831107
2213
56962
SH
DFND
1
0
56962
0
CENTURYLINK INC
COM
156700106
1895
79687
SH
DFND
1
0
79687
0
CYTOMX THERAPEUTICS INC
COM
23284F105
695
63272
SH
DFND
1
0
63272
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
349
6223
SH
DFND
1
0
6223
0
CONVERGYS CORP
COM
212485106
2097
85389
SH
DFND
1
0
85389
0
CVR ENERGY INC
COM
12662P108
4414
173837
SH
DFND
1
0
173837
0
DARLING INGREDIENTS INC
COM
237266101
2229
172689
SH
DFND
1
0
172689
0
3-D SYS CORP DEL
COM NEW
88554D205
1316
99014
SH
DFND
1
0
99014
0
DILLARDS INC
CL A
254067101
2426
38692
SH
DFND
1
0
38692
0
DEERE & CO
COM
244199105
1329
12901
SH
DFND
1
0
12901
0
DECKERS OUTDOOR CORP
COM
243537107
2015
36377
SH
DFND
1
0
36377
0
DIGITALGLOBE INC
COM NEW
25389M877
3055
106620
SH
DFND
1
0
106620
0
QUEST DIAGNOSTICS INC
COM
74834L100
2604
28334
SH
DFND
1
0
28334
0
DANAHER CORP DEL
COM
235851102
2311
29689
SH
DFND
1
0
29689
0
DICKS SPORTING GOODS INC
COM
253393102
2559
48184
SH
DFND
1
0
48184
0
NOW INC
COM
67011P100
2455
119923
SH
DFND
1
0
119923
0
DENBURY RES INC
COM NEW
247916208
1999
543294
SH
DFND
1
0
543294
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
1801
101768
SH
DFND
1
0
101768
0
AMDOCS LTD
SHS
G02602103
2402
41242
SH
DFND
1
0
41242
0
DIAMONDROCK HOSPITALITY CO
COM
252784301
4
308
SH
DFND
2
0
308
0
DIAMONDROCK HOSPITALITY CO
COM
252784301
2756
239046
SH
DFND
1
0
239046
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
5450
287287
SH
DFND
1
0
287287
0
DSW INC
CL A
23334L102
10
444
SH
DFND
2
0
444
0
DSW INC
CL A
23334L102
1027
45363
SH
DFND
1
0
45363
0
DAVITA INC
COM
23918K108
2037
31731
SH
DFND
1
0
31731
0
DYCOM INDS INC
COM
267475101
779
9701
SH
DFND
1
0
9701
0
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
4134
489173
SH
DFND
1
0
489173
0
EMERGENT BIOSOLUTIONS INC
COM
29089Q105
962
29283
SH
DFND
1
0
29283
0
MORGAN STANLEY EM MKTS DM DE
COM
617477104
4976
694990
SH
DFND
1
0
694990
0
EDISON INTL
COM
281020107
2197
30522
SH
DFND
1
0
30522
0
EMCOR GROUP INC
COM
29084Q100
3329
47052
SH
DFND
1
0
47052
0
EP ENERGY CORP
CL A
268785102
3853
588278
SH
DFND
1
0
588278
0
EPR PPTYS
COM SH BEN INT
26884U109
12
174
SH
DFND
2
0
174
0
EPR PPTYS
COM SH BEN INT
26884U109
360
5022
SH
DFND
1
0
5022
0
WELLS FARGO MULTI SECTOR INC
COM
94987D101
3245
252891
SH
DFND
1
0
252891
0
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
5068
343845
SH
DFND
1
0
343845
0
ELBIT SYS LTD
ORD
M3760D101
1368
13563
SH
DFND
1
0
13563
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
2127
30927
SH
DFND
1
0
30927
0
EATON CORP PLC
SHS
G29183103
2823
42079
SH
DFND
1
0
42079
0
EATON VANCE TX MGD DIV EQ IN
COM
27828N102
1441
139508
SH
DFND
1
0
139508
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
5157
375565
SH
DFND
1
0
375565
0
EXELON CORP
COM
30161N101
2351
66239
SH
DFND
1
0
66239
0
EATON VANCE TAX MNGD GBL DV
COM
27829F108
4367
546504
SH
DFND
1
0
546504
0
EXPRESS INC
COM
30219E103
1362
126584
SH
DFND
1
0
126584
0
FORD MTR CO DEL
COM PAR $0.01
345370860
2239
184544
SH
DFND
1
0
184544
0
FIRST AMERN FINL CORP
COM
31847R102
6
152
SH
DFND
2
0
152
0
FIRST AMERN FINL CORP
COM
31847R102
1994
54443
SH
DFND
1
0
54443
0
FARO TECHNOLOGIES INC
COM
311642102
2537
70482
SH
DFND
1
0
70482
0
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
4790
1034559
SH
DFND
1
0
1034559
0
FACEBOOK INC
CL A
30303M102
801
5590
SH
DFND
1
0
5590
0
FIAT CHRYSLER AUTOMOBILES N
SHS
N31738102
1602
175720
SH
DFND
1
0
175720
0
FRESH DEL MONTE PRODUCE INC
ORD
G36738105
2616
43141
SH
DFND
1
0
43141
0
COMFORT SYS USA INC
COM
199908104
451
13540
SH
DFND
1
0
13540
0
FOOT LOCKER INC
COM
344849104
2527
35644
SH
DFND
1
0
35644
0
FLEX LTD
ORD
Y2573F102
2959
205893
SH
DFND
1
0
205893
0
FLIR SYS INC
COM
302445101
17
462
SH
DFND
2
0
462
0
FLIR SYS INC
COM
302445101
1338
36971
SH
DFND
1
0
36971
0
SPX FLOW INC
COM
78469X107
2486
77544
SH
DFND
1
0
77544
0
FLUOR CORP NEW
COM
343412102
2371
45148
SH
DFND
1
0
45148
0
FINISAR CORP
COM NEW
31787A507
3943
130266
SH
DFND
1
0
130266
0
FIRST TR INTER DUR PFD & IN
COM
33718W103
2091
92232
SH
DFND
1
0
92232
0
FIVE PRIME THERAPEUTICS INC
COM
33830X104
3284
65541
SH
DFND
1
0
65541
0
FMC TECHNOLOGIES INC
COM
30249U101
4458
125466
SH
DFND
1
0
125466
0
GANNETT CO INC
COM
36473H104
4
408
SH
DFND
2
0
408
0
GANNETT CO INC
COM
36473H104
1291
132995
SH
DFND
1
0
132995
0
GENESCO INC
COM
371532102
2111
33995
SH
DFND
1
0
33995
0
GENERAL DYNAMICS CORP
COM
369550108
375
2172
SH
DFND
1
0
2172
0
GREEN DOT CORP
CL A
39304D102
1696
71999
SH
DFND
1
0
71999
0
GUESS INC
COM
401617105
4
358
SH
DFND
2
0
358
0
GUESS INC
COM
401617105
1386
114536
SH
DFND
1
0
114536
0
GAMCO GLOBAL GOLD NAT RES &
COM SH BEN INT
36465A109
4960
941229
SH
DFND
1
0
941229
0
GRAHAM HLDGS CO
COM
384637104
2308
4508
SH
DFND
1
0
4508
0
PRUDENTIAL GLB SHT DUR HG YL
COM
74433A109
4962
333936
SH
DFND
1
0
333936
0
GILEAD SCIENCES INC
COM
375558103
2007
28023
SH
DFND
1
0
28023
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
3848
431345
SH
DFND
1
0
431345
0
CORNING INC
COM
219350105
2711
111714
SH
DFND
1
0
111714
0
GENERAL MTRS CO
COM
37045V100
500
14344
SH
DFND
1
0
14344
0
GAMESTOP CORP NEW
CL A
36467W109
15
594
SH
DFND
2
0
594
0
GAMESTOP CORP NEW
CL A
36467W109
1850
73246
SH
DFND
1
0
73246
0
ALPHABET INC
CAP STK CL A
02079K305
1105
1394
SH
DFND
1
0
1394
0
GENUINE PARTS CO
COM
372460105
2197
22995
SH
DFND
1
0
22995
0
GREAT WESTN BANCORP INC
COM
391416104
3063
70261
SH
DFND
1
0
70261
0
GW PHARMACEUTICALS PLC
ADS
36197T103
334
2988
SH
DFND
1
0
2988
0
HAWAIIAN HOLDINGS INC
COM
419879101
3114
54640
SH
DFND
1
0
54640
0
HCA HOLDINGS INC
COM
40412C101
2223
30030
SH
DFND
1
0
30030
0
HOLLYFRONTIER CORP
COM
436106108
1944
59352
SH
DFND
1
0
59352
0
HARTFORD FINL SVCS GROUP INC
COM
416515104
2824
59263
SH
DFND
1
0
59263
0
HUNTINGTON INGALLS INDS INC
COM
446413106
2612
14179
SH
DFND
1
0
14179
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
4270
603900
SH
DFND
1
0
603900
0
HELIX ENERGY SOLUTIONS GRP I
COM
42330P107
1348
152805
SH
DFND
1
0
152805
0
HOLLYSYS AUTOMATION TECHNOLO
SHS
G45667105
2547
139052
SH
DFND
1
0
139052
0
HELMERICH & PAYNE INC
COM
423452101
3074
39719
SH
DFND
1
0
39719
0
HEWLETT PACKARD ENTERPRISE C
COM
42824C109
2949
127440
SH
DFND
1
0
127440
0
HP INC
COM
40434L105
2543
171393
SH
DFND
1
0
171393
0
HOST HOTELS & RESORTS INC
COM
44107P104
2779
147491
SH
DFND
1
0
147491
0
HUMANA INC
COM
444859102
347
1702
SH
DFND
1
0
1702
0
HUNTSMAN CORP
COM
447011107
2727
142941
SH
DFND
1
0
142941
0
HALYARD HEALTH INC
COM
40650V100
2602
70359
SH
DFND
1
0
70359
0
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
2714
250825
SH
DFND
1
0
250825
0
ICON PLC
SHS
G4705A100
777
10338
SH
DFND
1
0
10338
0
IES HLDGS INC
COM
44951W106
334
17442
SH
DFND
1
0
17442
0
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
4642
686733
SH
DFND
1
0
686733
0
IMMERSION CORP
COM
452521107
1311
123377
SH
DFND
1
0
123377
0
INCYTE CORP
COM
45337C102
805
6065
SH
DFND
1
0
6065
0
INGREDION INC
COM
457187102
2249
17997
SH
DFND
1
0
17997
0
INOVIO PHARMACEUTICALS INC
COM NEW
45773H201
737
106147
SH
DFND
1
0
106147
0
INTEL CORP
COM
458140100
2573
70927
SH
DFND
1
0
70927
0
INNOSPEC INC
COM
45768S105
2096
30599
SH
DFND
1
0
30599
0
IPG PHOTONICS CORP
COM
44980X109
1313
13302
SH
DFND
1
0
13302
0
IROBOT CORP
COM
462726100
2564
43870
SH
DFND
1
0
43870
0
PRUDENTIAL SHT DURATION HG Y
COM
74442F107
3569
230838
SH
DFND
1
0
230838
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
2561
4038
SH
DFND
1
0
4038
0
JABIL CIRCUIT INC
COM
466313103
2635
111340
SH
DFND
1
0
111340
0
JOHN BEAN TECHNOLOGIES CORP
COM
477839104
1344
15633
SH
DFND
1
0
15633
0
JACOBS ENGR GROUP INC DEL
COM
469814107
2747
48197
SH
DFND
1
0
48197
0
JOHNSON & JOHNSON
COM
478160104
1575
13673
SH
DFND
1
0
13673
0
JUNIPER NETWORKS INC
COM
48203R104
2293
81123
SH
DFND
1
0
81123
0
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
1053
107298
SH
DFND
1
0
107298
0
JUNO THERAPEUTICS INC
COM
48205A109
744
39480
SH
DFND
1
0
39480
0
KCG HLDGS INC
CL A
48244B100
1614
121821
SH
DFND
1
0
121821
0
KIRBY CORP
COM
497266106
2455
36919
SH
DFND
1
0
36919
0
KITE PHARMA INC
COM
49803L109
671
14968
SH
DFND
1
0
14968
0
KENNAMETAL INC
COM
489170100
3118
99755
SH
DFND
1
0
99755
0
KINDRED HEALTHCARE INC
COM
494580103
1431
182345
SH
DFND
1
0
182345
0
KROGER CO
COM
501044101
1465
42464
SH
DFND
1
0
42464
0
KOHLS CORP
COM
500255104
3080
62370
SH
DFND
1
0
62370
0
LOEWS CORP
COM
540424108
2848
60819
SH
DFND
1
0
60819
0
LION BIOTECHNOLOGIES INC
COM
53619R102
727
104616
SH
DFND
1
0
104616
0
LEAR CORP
COM NEW
521865204
2944
22240
SH
DFND
1
0
22240
0
LINCOLN ELEC HLDGS INC
COM
533900106
21
268
SH
DFND
2
0
268
0
LINCOLN ELEC HLDGS INC
COM
533900106
1323
17253
SH
DFND
1
0
17253
0
LILLY ELI & CO
COM
532457108
777
10563
SH
DFND
1
0
10563
0
LEGG MASON INC
COM
524901105
1674
55971
SH
DFND
1
0
55971
0
LINCOLN NATL CORP IND
COM
534187109
3668
55351
SH
DFND
1
0
55351
0
LOGMEIN INC
COM
54142L109
318
3296
SH
DFND
1
0
3296
0
LAM RESEARCH CORP
COM
512807108
2726
25779
SH
DFND
1
0
25779
0
LA Z BOY INC
COM
505336107
4
136
SH
DFND
2
0
136
0
LA Z BOY INC
COM
505336107
2577
82980
SH
DFND
1
0
82980
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
1314
34464
SH
DFND
1
0
34464
0
MOBILE TELESYSTEMS PJSC
SPONSORED ADR
607409109
2689
295169
SH
DFND
1
0
295169
0
MICROCHIP TECHNOLOGY INC
COM
595017104
1332
20764
SH
DFND
1
0
20764
0
MCKESSON CORP
COM
58155Q103
2110
15026
SH
DFND
1
0
15026
0
MDU RES GROUP INC
COM
552690109
2479
86171
SH
DFND
1
0
86171
0
METHODE ELECTRS INC
COM
591520200
2710
65530
SH
DFND
1
0
65530
0
MENTOR GRAPHICS CORP
COM
587200106
4060
110058
SH
DFND
1
0
110058
0
METLIFE INC
COM
59156R108
3102
57567
SH
DFND
1
0
57567
0
MANULIFE FINL CORP
COM
56501R106
3422
192396
SH
DFND
1
0
192396
0
MAGNA INTL INC
COM
559222401
2969
68460
SH
DFND
1
0
68460
0
MAGELLAN HEALTH INC
COM NEW
559079207
2596
34502
SH
DFND
1
0
34502
0
MACROGENICS INC
COM
556099109
766
37487
SH
DFND
1
0
37487
0
MKS INSTRUMENT INC
COM
55306N104
18
308
SH
DFND
2
0
308
0
MKS INSTRUMENT INC
COM
55306N104
2905
48910
SH
DFND
1
0
48910
0
3M CO
COM
88579Y101
376
2107
SH
DFND
1
0
2107
0
MOLINA HEALTHCARE INC
COM
60855R100
2016
37146
SH
DFND
1
0
37146
0
MOSAIC CO NEW
COM
61945C103
382
13023
SH
DFND
1
0
13023
0
MRC GLOBAL INC
COM
55345K103
3529
174180
SH
DFND
1
0
174180
0
MERCK & CO INC
COM
58933Y105
848
14397
SH
DFND
1
0
14397
0
MICROSOFT CORP
COM
594918104
1274
20497
SH
DFND
1
0
20497
0
MICRON TECHNOLOGY INC
COM
595112103
3961
180702
SH
DFND
1
0
180702
0
MURPHY OIL CORP
COM
626717102
2429
78026
SH
DFND
1
0
78026
0
MURPHY USA INC
COM
626755102
1830
29777
SH
DFND
1
0
29777
0
NATIONAL INSTRS CORP
COM
636518102
22
714
SH
DFND
2
0
714
0
NATIONAL INSTRS CORP
COM
636518102
1318
42778
SH
DFND
1
0
42778
0
ALLIANZGI CONV & INCOME FD
COM
018828103
5240
822624
SH
DFND
1
0
822624
0
NORDSON CORP
COM
655663102
1315
11734
SH
DFND
1
0
11734
0
NANTKWEST INC
COM
63016Q102
661
115579
SH
DFND
1
0
115579
0
NEWLINK GENETICS CORP
COM
651511107
691
67209
SH
DFND
1
0
67209
0
NORTHROP GRUMMAN CORP
COM
666807102
1329
5713
SH
DFND
1
0
5713
0
NATIONAL OILWELL VARCO INC
COM
637071101
2717
72571
SH
DFND
1
0
72571
0
NRG ENERGY INC
COM NEW
629377508
2037
166144
SH
DFND
1
0
166144
0
NETAPP INC
COM
64110D104
3254
92264
SH
DFND
1
0
92264
0
NETEASE INC
SPONSORED ADR
64110W102
326
1516
SH
DFND
1
0
1516
0
NETGEAR INC
COM
64111Q104
2694
49561
SH
DFND
1
0
49561
0
NUANCE COMMUNICATIONS INC
COM
67020Y100
1328
89153
SH
DFND
1
0
89153
0
NUCOR CORP
COM
670346105
2713
45584
SH
DFND
1
0
45584
0
NU SKIN ENTERPRISES INC
CL A
67018T105
2158
45168
SH
DFND
1
0
45168
0
NVIDIA CORP
COM
67066G104
1277
11960
SH
DFND
1
0
11960
0
NOVARTIS A G
SPONSORED ADR
66987V109
762
10465
SH
DFND
1
0
10465
0
NEWELL BRANDS INC
COM
651229106
332
7443
SH
DFND
1
0
7443
0
NEWS CORP NEW
CL A
65249B109
129
11267
SH
DFND
1
0
11267
0
OWENS CORNING NEW
COM
690742101
2160
41892
SH
DFND
1
0
41892
0
OCEANEERING INTL INC
COM
675232102
14
498
SH
DFND
2
0
498
0
OCEANEERING INTL INC
COM
675232102
2564
90879
SH
DFND
1
0
90879
0
OIL STS INTL INC
COM
678026105
3107
79655
SH
DFND
1
0
79655
0
OWENS & MINOR INC NEW
COM
690732102
36
1024
SH
DFND
2
0
1024
0
OWENS & MINOR INC NEW
COM
690732102
2242
63517
SH
DFND
1
0
63517
0
ON SEMICONDUCTOR CORP
COM
682189105
3083
241622
SH
DFND
1
0
241622
0
OLD REP INTL CORP
COM
680223104
2190
115239
SH
DFND
1
0
115239
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
332
9528
SH
DFND
1
0
9528
0
PIMCO DYNMIC CREDIT AND MRT
COM SHS
72202D106
5295
262012
SH
DFND
1
0
262012
0
PEPSICO INC
COM
713448108
379
3622
SH
DFND
1
0
3622
0
PFIZER INC
COM
717081103
859
26433
SH
DFND
1
0
26433
0
PRINCIPAL FINL GROUP INC
COM
74251V102
3263
56389
SH
DFND
1
0
56389
0
PROCTER AND GAMBLE CO
COM
742718109
373
4434
SH
DFND
1
0
4434
0
PROGRESSIVE CORP OHIO
COM
743315103
2565
72253
SH
DFND
1
0
72253
0
CHILDRENS PL INC
COM
168905107
2879
28520
SH
DFND
1
0
28520
0
PLEXUS CORP
COM
729132100
1967
36393
SH
DFND
1
0
36393
0
PHILIP MORRIS INTL INC
COM
718172109
369
4033
SH
DFND
1
0
4033
0
PORTLAND GEN ELEC CO
COM NEW
736508847
11
252
SH
DFND
2
0
252
0
PORTLAND GEN ELEC CO
COM NEW
736508847
2218
51181
SH
DFND
1
0
51181
0
POST HLDGS INC
COM
737446104
2108
26225
SH
DFND
1
0
26225
0
PILGRIMS PRIDE CORP NEW
COM
72147K108
1821
95882
SH
DFND
1
0
95882
0
PERRIGO CO PLC
SHS
G97822103
332
3984
SH
DFND
1
0
3984
0
PRUDENTIAL FINL INC
COM
744320102
3448
33133
SH
DFND
1
0
33133
0
PATTERSON UTI ENERGY INC
COM
703481101
3261
121122
SH
DFND
1
0
121122
0
PIMCO CORPORATE & INCOME OPP
COM
72201B101
4321
302152
SH
DFND
1
0
302152
0
PVH CORP
COM
693656100
2058
22805
SH
DFND
1
0
22805
0
QUANTA SVCS INC
COM
74762E102
3293
94479
SH
DFND
1
0
94479
0
PIONEER NAT RES CO
COM
723787107
372
2064
SH
DFND
1
0
2064
0
PAYPAL HLDGS INC
COM
70450Y103
700
17726
SH
DFND
1
0
17726
0
QUALCOMM INC
COM
747525103
1469
22530
SH
DFND
1
0
22530
0
QEP RES INC
COM
74733V100
2418
131367
SH
DFND
1
0
131367
0
QIAGEN NV
REG SHS
N72482107
1324
47264
SH
DFND
1
0
47264
0
RYDER SYS INC
COM
783549108
2615
35134
SH
DFND
1
0
35134
0
RAVEN INDS INC
COM
754212108
1825
72440
SH
DFND
1
0
72440
0
ROWAN COMPANIES PLC
SHS CL A
G7665A101
2706
143238
SH
DFND
1
0
143238
0
REINSURANCE GROUP AMER INC
COM NEW
759351604
3284
26099
SH
DFND
1
0
26099
0
TRANSOCEAN LTD
REG SHS
H8817H100
3462
234877
SH
DFND
1
0
234877
0
RLJ LODGING TR
COM
74965L101
8
342
SH
DFND
2
0
342
0
RLJ LODGING TR
COM
74965L101
2364
96529
SH
DFND
1
0
96529
0
ROGERS CORP
COM
775133101
2321
30213
SH
DFND
1
0
30213
0
ROCKWELL AUTOMATION INC
COM
773903109
2557
19025
SH
DFND
1
0
19025
0
ROSS STORES INC
COM
778296103
341
5194
SH
DFND
1
0
5194
0
RELIANCE STEEL & ALUMINUM CO
COM
759509102
24
304
SH
DFND
2
0
304
0
RELIANCE STEEL & ALUMINUM CO
COM
759509102
2366
29746
SH
DFND
1
0
29746
0
ROYCE VALUE TR INC
COM
780910105
5547
415216
SH
DFND
1
0
415216
0
SPRINT CORP
COM SER 1
85207U105
4560
541521
SH
DFND
1
0
541521
0
SANDERSON FARMS INC
COM
800013104
2619
27788
SH
DFND
1
0
27788
0
SANMINA CORPORATION
COM
801056102
3054
83335
SH
DFND
1
0
83335
0
ECHOSTAR CORP
CL A
278768106
2275
44269
SH
DFND
1
0
44269
0
SCHWAB STRATEGIC TR
EMRG MKTEQ ETF
808524706
2136
99100
SH
DFND
1
0
99100
0
SEALED AIR CORP NEW
COM
81211K100
345
7607
SH
DFND
1
0
7607
0
SEATTLE GENETICS INC
COM
812578102
378
3321
SH
DFND
1
0
3321
0
SHIRE PLC
SPONSORED ADR
82481R106
340
1994
SH
DFND
1
0
1994
0
SELECTIVE INS GROUP INC
COM
816300107
2113
49075
SH
DFND
1
0
49075
0
SKYWEST INC
COM
830879102
3041
83428
SH
DFND
1
0
83428
0
SUN LIFE FINL INC
COM
866796105
3081
80330
SH
DFND
1
0
80330
0
SYNNEX CORP
COM
87162W100
2767
22868
SH
DFND
1
0
22868
0
SIMON PPTY GROUP INC NEW
COM
828806109
1383
7782
SH
DFND
1
0
7782
0
STAPLES INC
COM
855030102
2069
228623
SH
DFND
1
0
228623
0
SPARTANNASH CO
COM
847215100
1612
40762
SH
DFND
1
0
40762
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
44029
196964
SH
DFND
1
0
196964
0
SORRENTO THERAPEUTICS INC
COM NEW
83587F202
696
142114
SH
DFND
1
0
142114
0
STRATASYS LTD
SHS
M85548101
1314
79472
SH
DFND
1
0
79472
0
STEEL DYNAMICS INC
COM
858119100
3226
90677
SH
DFND
1
0
90677
0
CONSTELLATION BRANDS INC
CL A
21036P108
773
3973
SH
DFND
1
0
3973
0
PROSHARES TR II
SHT VIX ST TRM
74347W627
528
5800
SH
DFND
1
0
5800
0
SWIFT TRANSN CO
CL A
87074U101
3339
137063
SH
DFND
1
0
137063
0
SOUTHWEST GAS CORP
COM
844895102
11
148
SH
DFND
2
0
148
0
SOUTHWEST GAS CORP
COM
844895102
2368
30907
SH
DFND
1
0
30907
0
SYKES ENTERPRISES INC
COM
871237103
1143
39613
SH
DFND
1
0
39613
0
SYMANTEC CORP
COM
871503108
2726
114121
SH
DFND
1
0
114121
0
SYSCO CORP
COM
871829107
2635
47586
SH
DFND
1
0
47586
0
AT&T INC
COM
00206R102
2438
57331
SH
DFND
1
0
57331
0
TECK RESOURCES LTD
CL B
878742204
270
13463
SH
DFND
1
0
13463
0
TRANSDIGM GROUP INC
COM
893641100
436
948
SH
DFND
1
0
948
0
TELEPHONE & DATA SYS INC
COM NEW
879433829
2113
73176
SH
DFND
1
0
73176
0
TELEDYNE TECHNOLOGIES INC
COM
879360105
1317
10708
SH
DFND
1
0
10708
0
TECH DATA CORP
COM
878237106
2474
29210
SH
DFND
1
0
29210
0
TENNECO INC
COM
880349105
2762
44219
SH
DFND
1
0
44219
0
TERADYNE INC
COM
880770102
3929
154677
SH
DFND
1
0
154677
0
HANOVER INS GROUP INC
COM
410867105
5
52
SH
DFND
2
0
52
0
HANOVER INS GROUP INC
COM
410867105
2704
29711
SH
DFND
1
0
29711
0
THOR INDS INC
COM
885160101
14
138
SH
DFND
2
0
138
0
THOR INDS INC
COM
885160101
3196
31945
SH
DFND
1
0
31945
0
TORCHMARK CORP
COM
891027104
2828
38347
SH
DFND
1
0
38347
0
T MOBILE US INC
COM
872590104
3225
56075
SH
DFND
1
0
56075
0
TARGA RES CORP
COM
87612G101
3434
61246
SH
DFND
1
0
61246
0
TRIMBLE INC
COM
896239100
1322
43839
SH
DFND
1
0
43839
0
TRINITY INDS INC
COM
896522109
3139
113062
SH
DFND
1
0
113062
0
TRAVELERS COMPANIES INC
COM
89417E109
2387
19496
SH
DFND
1
0
19496
0
TRINSEO S A
SHS
L9340P101
3474
58579
SH
DFND
1
0
58579
0
TYSON FOODS INC
CL A
902494103
2480
40205
SH
DFND
1
0
40205
0
TESORO CORP
COM
881609101
2733
31249
SH
DFND
1
0
31249
0
TATA MTRS LTD
SPONSORED ADR
876568502
2449
71226
SH
DFND
1
0
71226
0
TEXAS INSTRS INC
COM
882508104
2923
40064
SH
DFND
1
0
40064
0
TYLER TECHNOLOGIES INC
COM
902252105
326
2280
SH
DFND
1
0
2280
0
UNIVERSAL FST PRODS INC
COM
913543104
2332
22824
SH
DFND
1
0
22824
0
UGI CORP NEW
COM
902681105
2386
51780
SH
DFND
1
0
51780
0
UNITED NAT FOODS INC
COM
911163103
2248
47104
SH
DFND
1
0
47104
0
UNITEDHEALTH GROUP INC
COM
91324P102
2801
17500
SH
DFND
1
0
17500
0
UNUM GROUP
COM
91529Y106
3276
74568
SH
DFND
1
0
74568
0
URBAN OUTFITTERS INC
COM
917047102
2334
81940
SH
DFND
1
0
81940
0
ST JUDE MED INC
COM
790849103
355
4433
SH
DFND
1
0
4433
0
US FOODS HLDG CORP
COM
912008109
414
15061
SH
DFND
1
0
15061
0
UNIVERSAL CORP VA
COM
913456109
5
78
SH
DFND
2
0
78
0
UNIVERSAL CORP VA
COM
913456109
2436
38216
SH
DFND
1
0
38216
0
VISA INC
COM CL A
92826C839
465
3397
SH
DFND
1
0
3397
0
VARIAN MED SYS INC
COM
92220P105
1318
14681
SH
DFND
1
0
14681
0
VEREIT INC
COM
92339V100
135
15976
SH
DFND
1
0
15976
0
PROSHARES TR II
VIX SHORT TERM F
74347W262
257
12100
SH
DFND
1
0
12100
0
VALERO ENERGY CORP NEW
COM
91913Y100
3410
49908
SH
DFND
1
0
49908
0
VISHAY INTERTECHNOLOGY INC
COM
928298108
2850
175938
SH
DFND
1
0
175938
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
1443
117418
SH
DFND
1
0
117418
0
VERIZON COMMUNICATIONS INC
COM
92343V104
2330
43641
SH
DFND
1
0
43641
0
WESCO INTL INC
COM
95082P105
2965
44546
SH
DFND
1
0
44546
0
WELLCARE HEALTH PLANS INC
COM
94946T106
3061
22327
SH
DFND
1
0
22327
0
WESTERN DIGITAL CORP
COM
958102105
3159
46487
SH
DFND
1
0
46487
0
WERNER ENTERPRISES INC
COM
950755108
2660
98708
SH
DFND
1
0
98708
0
WHOLE FOODS MKT INC
COM
966837106
2236
72706
SH
DFND
1
0
72706
0
WAL-MART STORES INC
COM
931142103
2278
32959
SH
DFND
1
0
32959
0
BERKLEY W R CORP
COM
084423102
2937
44155
SH
DFND
1
0
44155
0
WESTERN UN CO
COM
959802109
415
19126
SH
DFND
1
0
19126
0
WOLVERINE WORLD WIDE INC
COM
978097103
1672
76193
SH
DFND
1
0
76193
0
XENCOR INC
COM
98401F105
759
28856
SH
DFND
1
0
28856
0
EXONE CO
COM
302104104
1015
108718
SH
DFND
1
0
108718
0
DENTSPLY SIRONA INC
COM
24906P109
334
5780
SH
DFND
1
0
5780
0
XEROX CORP
COM
984121103
131
15011
SH
DFND
1
0
15011
0
YAHOO INC
COM
984332106
656
16960
SH
DFND
1
0
16960
0
ZAYO GROUP HLDGS INC
COM
98919V105
662
20172
SH
DFND
1
0
20172
0
ZIMMER BIOMET HLDGS INC
COM
98956P102
714
6910
SH
DFND
1
0
6910
0
ZEBRA TECHNOLOGIES CORP
CL A
989207105
2682
31284
SH
DFND
1
0
31284
0
ZIONS BANCORPORATION
COM
989701107
5914
137408
SH
DFND
1
0
137408
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
1230
229960
SH
DFND
1
0
229960
0