0001056823-21-000017.txt : 20210816
0001056823-21-000017.hdr.sgml : 20210816
20210816155601
ACCESSION NUMBER: 0001056823-21-000017
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210630
FILED AS OF DATE: 20210816
DATE AS OF CHANGE: 20210816
EFFECTIVENESS DATE: 20210816
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HORIZON KINETICS ASSET MANAGEMENT LLC
CENTRAL INDEX KEY: 0001056823
IRS NUMBER: 133776334
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06986
FILM NUMBER: 211177609
BUSINESS ADDRESS:
STREET 1: 470 PARK AVENUE SOUTH
STREET 2: 4TH FLOOR SOUTH
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 646-495-7347
MAIL ADDRESS:
STREET 1: 470 PARK AVENUE SOUTH
STREET 2: 4TH FLOOR SOUTH
CITY: NEW YORK
STATE: NY
ZIP: 10016
FORMER COMPANY:
FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT LLC
DATE OF NAME CHANGE: 20130813
FORMER COMPANY:
FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT INC/NY
DATE OF NAME CHANGE: 19990319
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001056823
XXXXXXXX
06-30-2021
06-30-2021
HORIZON KINETICS ASSET MANAGEMENT LLC
470 PARK AVENUE SOUTH
4TH FLOOR SOUTH
NEW YORK
NY
10016
13F HOLDINGS REPORT
028-06986
N
Jay Kesslen
General Counsel
646-867-1176
Jay Kesslen
New York
NY
08-16-2021
0
345
4909322
false
INFORMATION TABLE
2
form13fhr-infoTable.xml
1847 GOEDEKER INC
W EXP 99/99/999
28252C117
81
37752
SH
DFND
37752
0
0
3M CO
COM
88579Y101
311
1563
SH
DFND
1563
0
0
A T & T INC
COM
00206R102
323
11225
SH
DFND
11225
0
0
ABB LTD
SPONSORED ADR
000375204
1080
31787
SH
DFND
31787
0
0
ABBOTT LABS
COM
002824100
1781
15366
SH
DFND
15366
0
0
ABBVIE INC
COM
00287Y109
3274
29068
SH
DFND
29068
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
264
897
SH
DFND
897
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
542
2389
SH
DFND
2389
0
0
ALICO INC
COM
016230104
740
20800
SH
DFND
20800
0
0
ALKERMES PLC
COM
G01767105
539
22000
SH
DFND
22000
0
0
ALLEGHANY CORP DEL
COM
017175100
8687
13023
SH
DFND
13023
0
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q107
509
3000
SH
DFND
3000
0
0
ALPHABET INC
CL A
02079K305
7278
2981
SH
DFND
2981
0
0
ALPHABET INC
CL C
02079K107
7142
2850
SH
DFND
2850
0
0
ALTRIA GROUP INC
COM
02209S103
2013
42214
SH
DFND
42214
0
0
AMC NETWORKS INC
CL A
00164V103
10570
158230
SH
DFND
158230
0
0
AMERICAN TOWER REIT
COM
03027X100
387
1431
SH
DFND
1431
0
0
AMGEN INC
COM
031162100
1070
4389
SH
DFND
4389
0
0
ANALOG DEVICES INC
COM
032654105
818
4750
SH
DFND
4750
0
0
ANNALY CAP MGMT INC
COM
035710409
183
20592
SH
DFND
20592
0
0
APPLE INC
COM
037833100
1940
14168
SH
DFND
14168
0
0
APYX MED CORP COM
COM
03837C106
6341
615000
SH
DFND
615000
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
38907
642032
SH
DFND
642032
0
0
ARENA PHARMACEUTICALS INC
COM NEW
040047607
307
4500
SH
DFND
4500
0
0
ASSOCIATED CAP GROUP INC
CL A
045528106
49125
1264143
SH
DFND
1264143
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
914
15263
SH
DFND
15263
0
0
AUTONATION INC
COM
05329W102
37486
395383
SH
DFND
395383
0
0
BALCHEM CORP
COM
057665200
3539
26959
SH
DFND
26959
0
0
BANCO SANTANDER S.A.
ADR
05964H105
165
42079
SH
DFND
42079
0
0
BANK AMER CORP
COM
060505104
1370
33226
SH
DFND
33226
0
0
BANK OF NEW YORK MELLON CORP
COM
064058100
369
7194
SH
DFND
7194
0
0
BAXTER INTL INC
COM
071813109
584
7258
SH
DFND
7258
0
0
BEL FUSE INC
CL B
077347300
417
28988
SH
DFND
28988
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
4605
11
SH
DFND
11
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
16893
60785
SH
DFND
60785
0
0
BGC PARTNERS INC
CL A
05541T101
10550
1860713
SH
DFND
1860713
0
0
BHP GROUP LTD
SPONSORED ADS
088606108
242
3321
SH
DFND
3321
0
0
BIOGEN INC
COM
09062X103
1342
3875
SH
DFND
3875
0
0
BLACK KNIGHT INC
COM
09215C105
931
11938
SH
DFND
11938
0
0
BLACK STONE MINERALS L P
COM UNIT
09225M101
2265
210697
SH
DFND
210697
0
0
BLACKROCK CREDIT ALL INC TR
COM
092508100
695
44576
SH
DFND
44576
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
786
59300
SH
DFND
59300
0
0
BLACKROCK FLOATING RATE INCOME
COM
091941104
163
12678
SH
DFND
12678
0
0
BLACKROCK MUN 2030 TAR TERM
COM SHS BEN IN
09257P105
578
22050
SH
DFND
22050
0
0
BLACKROCK MUNI INCOME TR II
COM
09249N101
166
10515
SH
DFND
10515
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
1165
74496
SH
DFND
74496
0
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
283
18053
SH
DFND
18053
0
0
BLACKROCK MUNIHLDGS INVESTMENT QUALITY FUND
COM
09254P108
602
40758
SH
DFND
40758
0
0
BLACKROCK MUNIHLDGS QUALITY FUND II INC
COM
09254C107
1441
102863
SH
DFND
102863
0
0
BLACKROCK MUNIHOLDINGS FD IN
COM
09253N104
2252
134194
SH
DFND
134194
0
0
BLACKROCK MUNIVEST FD INC
COM
09253R105
447
46440
SH
DFND
46440
0
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
931
62691
SH
DFND
62691
0
0
BLACKROCK MUNIYIELD QUALITY
COM
09254G108
468
32280
SH
DFND
32280
0
0
BLACKROCK N Y MUN INCOME TR
SH BEN INT
09248L106
323
21411
SH
DFND
21411
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
653
6725
SH
DFND
6725
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
396
12405
SH
DFND
12405
0
0
BOEING CO
COM
097023105
19234
80289
SH
DFND
80289
0
0
BRIGHAM MINERALS INC
CL A COM
10918L103
23983
1126501
SH
DFND
1126501
0
0
BRISTOL MYERS SQUIBBCO
COM
110122108
3188
47709
SH
DFND
47709
0
0
BROADRIDGE FINL SOLUTIONS INC
COM
11133T103
737
4564
SH
DFND
4564
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
100733
1975935
SH
DFND
1975935
0
0
BROOKFIELD ASSET MGMT REINS
CL A EXCH LT VTG
G16169107
688
13230
SH
DFND
13230
0
0
BROOKFIELD BUSINESS PARTNERS
UNIT LTD L P
G16234109
232
5025
SH
DFND
5025
0
0
BROOKFIELD INFRASTRUCTURE CO
COM SB VTG SHS A
11275Q107
385
5103
SH
DFND
5103
0
0
BROOKFIELD INFRASTRUCTURE PARTNERS LP
LP INT UNIT
G16252101
2174
39130
SH
DFND
39130
0
0
BROOKFIELD PPTY PARTNERS L P
UNIT LTD PARTN
G16249107
352
18563
SH
DFND
18563
0
0
BROOKFIELD REAL ASSETS INCOME FUND
SHS BEN INT
112830104
417
19025
SH
DFND
19025
0
0
CACI INTL INC
CL A
127190304
114080
447162
SH
DFND
447162
0
0
CAPITAL SOUTHWEST CORP
COM
140501107
395
17000
SH
DFND
17000
0
0
CARNIVAL CORP
UNIT 99/99/9999
143658300
274
10394
SH
DFND
10394
0
0
CATCHMARK TIMBER TR INC
CL A
14912Y202
5511
471019
SH
DFND
471019
0
0
CATERPILLAR INC
COM
149123101
1509
6933
SH
DFND
6933
0
0
CBOE GLOBAL MARKETS INC
COM
12503M108
51884
435819
SH
DFND
435819
0
0
CBRE GROUP INC
CL A
12504L109
18361
214176
SH
DFND
214176
0
0
CENTERPOINT ENERGY INC
COM
15189T107
379
15472
SH
DFND
15472
0
0
CHARLES RIV LABS INTL INC
COM
159864107
72783
196754
SH
DFND
196754
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
44954
518267
SH
DFND
518267
0
0
CHENIERE ENERGY INC
NOTE 4.250% 3/1
16411RAG4
30727
36483500
PRN
DFND
36483500
0
0
CHEVRON CORP
COM
166764100
1725
16472
SH
DFND
16472
0
0
CISCO SYSTEMS INC
COM
17275R102
2051
38707
SH
DFND
38707
0
0
CIVEO CORP CDA
COM NEW
17878Y207
61551
3457916
SH
DFND
3457916
0
0
CLEARBRIDGE MLP AND MIDSTRM FD
COM
184692200
205
7003
SH
DFND
7003
0
0
CLEARBRIDGE MLP AND MIDSTRM TR
COM
18469Q207
249
9814
SH
DFND
9814
0
0
CME GROUP INC
COM
12572Q105
42561
200116
SH
DFND
200116
0
0
CMS ENERGY CORP
COM
125896100
897
15175
SH
DFND
15175
0
0
COHEN & STEERS INC
COM
19247A100
14644
178388
SH
DFND
178388
0
0
COHEN & STEERS QUALITY RLTY
COM
19247L106
852
54233
SH
DFND
54233
0
0
COINBASE GLOBAL INC
COM CL A
19260Q107
266
1050
SH
DFND
1050
0
0
COLFAX CORP
COM
194014106
5056
110361
SH
DFND
110361
0
0
COLGATE PALMOLIVE CO
COM
194162103
242
2978
SH
DFND
2978
0
0
COMCAST CORP NEW
CL A
20030N101
429
7532
SH
DFND
7532
0
0
COSTAMARE INC
SHS
Y1771G102
2707
229237
SH
DFND
229237
0
0
CRISPR THERAPEUTICS AG
NAMEN AKT
H17182108
992
6125
SH
DFND
6125
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
211
1084
SH
DFND
1084
0
0
CSW INDUSTRIALS INC
COM
126402106
1327
11200
SH
DFND
11200
0
0
CSX CORP
COM
126408103
219
6834
SH
DFND
6834
0
0
CVS HEALTH CORP
COM
126650100
1172
14040
SH
DFND
14040
0
0
DANAHER CORP
COM
235851102
2850
10619
SH
DFND
10619
0
0
DEERE & CO
COM
244199105
279
790
SH
DFND
790
0
0
DISCOVERY INC
COM SER A
25470F104
3923
127861
SH
DFND
127861
0
0
DISCOVERY INC
COM SER C
25470F302
2039
70365
SH
DFND
70365
0
0
DISH NETWORK CORP
CL A
25470M109
1863
44565
SH
DFND
44565
0
0
DISNEY WALT CO DISNEY
COM DISNEY
254687106
1083
6160
SH
DFND
6160
0
0
DNP SELECT INCOME FD
COM
23325P104
137
13113
SH
DFND
13113
0
0
DORCHESTER MINERALS LP
COM UNIT
25820R105
17732
1052357
SH
DFND
1052357
0
0
DORMAN PRODUCTS INC
COM
258278100
2119
20436
SH
DFND
20436
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
4185
231328
SH
DFND
231328
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
5292
263800
SH
DFND
263800
0
0
DOW INC
COM
260557103
263
4160
SH
DFND
4160
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
179
13486
SH
DFND
13486
0
0
EATON VANCE MUN BD FD
COM
27827X101
287
20955
SH
DFND
20955
0
0
EATON VANCE NY MUN BD FD
COM
27827Y109
320
24865
SH
DFND
24865
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
283
20001
SH
DFND
20001
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
148
21764
SH
DFND
21764
0
0
EBAY INC
COM
278642103
12754
181655
SH
DFND
181655
0
0
ECHOSTAR CORP
CL A
278768106
3557
146422
SH
DFND
146422
0
0
EDITAS MEDICINE INC
COM
28106W103
453
8000
SH
DFND
8000
0
0
ELI LILLY AND COMPANY
COM
532457108
1925
8386
SH
DFND
8386
0
0
EMERSON ELEC CO
COM
291011104
1617
16806
SH
DFND
16806
0
0
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
2462
231566
SH
DFND
231566
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
3194
132385
SH
DFND
132385
0
0
EOG RES INC
COM
26875P101
316
3782
SH
DFND
3782
0
0
EQUITY COMMONWEALTH
COM SH BEN INT
294628102
1789
68277
SH
DFND
68277
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
16124
216989
SH
DFND
216989
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
1659
10133
SH
DFND
10133
0
0
EXXON MOBIL CORP
COM
30231G102
3177
50372
SH
DFND
50372
0
0
FEDERATED HERMES INC
CL B
314211103
1252
36932
SH
DFND
36932
0
0
FEDERATED HERMES PREM MUN INC FD
COM
31423P108
652
41657
SH
DFND
41657
0
0
FIDELITY NATIONAL FINANCIAL FNF GROUP
FNF GROUP COM
31620R303
1905
43836
SH
DFND
43836
0
0
FIDELITY NATL INFORMATION SVC
COM
31620M106
553
3905
SH
DFND
3905
0
0
FORTIVE CORP
COM
34959J108
253
3634
SH
DFND
3634
0
0
FRANCO NEVADA CORP
COM
351858105
134006
923734
SH
DFND
923734
0
0
FREEPORT MCMORAN INC
CL B
35671D857
4342
117003
SH
DFND
117003
0
0
GALECTIN THERAPEUTICS INC
COM NEW
363225202
77
24000
SH
DFND
24000
0
0
GALLAGHER ARTHUR J & CO
COM
363576109
487
3479
SH
DFND
3479
0
0
GAMCO INVESTORS INC
CL A COM
361438104
8901
354634
SH
DFND
354634
0
0
GANNETT CO INC NEW
COM
36472T109
55
10075
SH
DFND
10075
0
0
GENERAL ELECTRIC CO
COM
369604103
849
63095
SH
DFND
63095
0
0
GENERAL MLS INC
COM
370334104
238
3900
SH
DFND
3900
0
0
GENERAL MTRS CO
COM
37045V100
1646
27825
SH
DFND
27825
0
0
GENUINE PARTS CO
COM
372460105
304
2400
SH
DFND
2400
0
0
GILEAD SCIENCES INC
COM
375558103
759
11017
SH
DFND
11017
0
0
GLADSTONE LD CORP
COM
376549101
699
29068
SH
DFND
29068
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
665
16700
SH
DFND
16700
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
472
1243
SH
DFND
1243
0
0
GRAHAM HLDGS CO
COM
384637104
647
1021
SH
DFND
1021
0
0
GREENBRIER COS INC
COM
393657101
309
7100
SH
DFND
7100
0
0
GREENLANE HLDGS INC
CL A
395330103
45
10000
SH
DFND
10000
0
0
HONEYWELL INTL INC
COM
438516106
1334
6080
SH
DFND
6080
0
0
LISTED FD TR
HORIZON KINETICS
53656F623
1972
65638
SH
DFND
65638
0
0
HOWARD HUGHES CORP
COM
44267D107
76828
788306
SH
DFND
788306
0
0
IAA INC
COM
449253103
9296
170450
SH
DFND
170450
0
0
IAC INTERACTIVECORP NEW
COM NEW
44891N208
4013
26029
SH
DFND
26029
0
0
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
32064
583088
SH
DFND
583088
0
0
IHS MARKIT LTD
SHS
G47567105
22757
201999
SH
DFND
201999
0
0
INTEL CORP
COM
458140100
501
8919
SH
DFND
8919
0
0
INTELLIA THERAPEUTICS INC
COM
45826J105
1619
10000
SH
DFND
10000
0
0
INTER PARFUMS INC
COM
458334109
13699
190263
SH
DFND
190263
0
0
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
95097
801157
SH
DFND
801157
0
0
INTL FLAVORS & FRAGRANCES
COM
459506101
456
3050
SH
DFND
3050
0
0
INVESCO CURRENCYSHARES
AUSTRALIAN DOL
46090N103
319
4280
SH
DFND
4280
0
0
INVESCO CURRENCYSHARES
CDN DLR SHS
46138T104
264
3330
SH
DFND
3330
0
0
INVESCO INSURED MUNICIPAL INCOME TRUST
COM
46132P108
596
36163
SH
DFND
36163
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
784
58055
SH
DFND
58055
0
0
INVESCO S&P 500 EQL WGT ETF
S&P500 EQL WGT
46137V357
620
4113
SH
DFND
4113
0
0
INVESCO VAN KAMPEN SENIOR INCOME TRUST
COM
46131H107
52
11613
SH
DFND
11613
0
0
INVESCO TR INVT GRADE NEW YO
COM
46131T101
145
10414
SH
DFND
10414
0
0
IONIS PHARMACEUTICALS INC
COM
462222100
319
8000
SH
DFND
8000
0
0
IRON MTN INC NEW
COM
46284V101
1128
26658
SH
DFND
26658
0
0
ISHARES TR
ISHS 1-5YR INVS
464288646
2960
54000
SH
DFND
54000
0
0
ISHARES GOLD TR
ISHARES NEW
464285204
422
12524
SH
DFND
12524
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
892
36835
SH
DFND
36835
0
0
ISHARES TR
SHORT TREAS BD
464288679
887
8030
SH
DFND
8030
0
0
ISHARES TR
GL TIMB FORE ETF
464288174
1434
16521
SH
DFND
16521
0
0
ISHARES TR
MICRO-CAP ETF
464288869
346
2269
SH
DFND
2269
0
0
JOHNSON & JOHNSON
COM
478160104
3059
18571
SH
DFND
18571
0
0
JP MORGAN CHASE & CO
COM
46625H100
449
2884
SH
DFND
2884
0
0
JP MORGAN EXCHANGE TRADED FD
ULTRA SHRT INC
46641Q837
891
17556
SH
DFND
17556
0
0
KAR AUCTION SVCS INC
COM
48238T109
2325
132454
SH
DFND
132454
0
0
KAYNE ANDERSON ENERGY INFRSTR
COM
486606106
335
37630
SH
DFND
37630
0
0
KAYNE ANDERSON NEXTGEN ENERGY
COM
48661E108
234
30880
SH
DFND
30880
0
0
KIMBELL RTY PARTNERS LP
UNIT
49435R102
1116
86852
SH
DFND
86852
0
0
KIMBERLY CLARK CORP
COM
494368103
447
3341
SH
DFND
3341
0
0
KKR & CO INC
COM
48251W104
300
5058
SH
DFND
5058
0
0
KLA-TENCOR CORP
COM NEW
482480100
1707
5265
SH
DFND
5265
0
0
KRAFT HEINZ COMPANY
COM
500754106
338
8296
SH
DFND
8296
0
0
L3 HARRIS TECHNOLOGIES INC
COM
502431109
2040
9438
SH
DFND
9438
0
0
LAS VEGAS SANDS CORP
COM
517834107
4189
79507
SH
DFND
79507
0
0
LENDINGTREE INC NEW
COM
52603B107
1744
8233
SH
DFND
8233
0
0
LENNAR CORP
CL A
526057104
456
4585
SH
DFND
4585
0
0
LIBERTY MEDIA CORP DEL
COM A BRAVES GRP
531229706
945
33504
SH
DFND
33504
0
0
LIBERTY MEDIA CORP DEL
COM C BRAVES GRP
531229888
1450
52197
SH
DFND
52197
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
8787
52248
SH
DFND
52248
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
44549
256532
SH
DFND
256532
0
0
LIBERTY MEDIA CORP DEL
COM SER A FRMLA
531229870
7281
170803
SH
DFND
170803
0
0
LIBERTY MEDIA CORP DEL
COM SER C FRMLA
531229854
10774
223482
SH
DFND
223482
0
0
LIBERTY LATIN AMERICA LTD
COM CL C
G9001E128
234
16578
SH
DFND
16578
0
0
LIBERTY MEDIA CORP DEL
COM C SIRIUSXM
531229607
39849
859008
SH
DFND
859008
0
0
LIBERTY MEDIA CORP DEL
COM A SIRIUSXM
531229409
19189
411951
SH
DFND
411951
0
0
LINDE PLC
COM
G5494J103
460
1591
SH
DFND
1591
0
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
3686
201397
SH
DFND
201397
0
0
LIVE NATION ENTERTAINMENT INC
COM
538034109
56069
640126
SH
DFND
640126
0
0
LOEWS CORP
COM
540424108
380
6956
SH
DFND
6956
0
0
M & T BK CORP
COM
55261F104
225
1550
SH
DFND
1550
0
0
MADISON SQUARE GARDEN SPORTS CP
CL A
55825T103
6798
39394
SH
DFND
39394
0
0
MADISON SQUARE GRDN ENTERTNM
CL A
55826T102
3254
38756
SH
DFND
38756
0
0
MANTECH INTL CORP
CL A
564563104
2164
25000
SH
DFND
25000
0
0
MARATHON PETE CORP
COM
56585A102
436
7220
SH
DFND
7220
0
0
MARKEL CORP
COM
570535104
5339
4499
SH
DFND
4499
0
0
MARKETAXESS HLDGS INC
COM
57060D108
2389
5154
SH
DFND
5154
0
0
MARSH & MCLENNAN COS INC
COM
571748102
19857
141152
SH
DFND
141152
0
0
MASTERCARD INC
CL A
57636Q104
14990
41059
SH
DFND
41059
0
0
MATCH GROUP INC NEW
COM
57667L107
839
5206
SH
DFND
5206
0
0
MAVERIX METALS INC
COM NEW
57776F405
414
76778
SH
DFND
76778
0
0
MCDONALDS CORP
COM
580135101
973
4214
SH
DFND
4214
0
0
MERCK & COMPANY
COM
58933Y105
2781
35753
SH
DFND
35753
0
0
MESABI TR
CTF BEN INT
590672101
67970
1920070
SH
DFND
1920070
0
0
MFS HIGH INCOME MUN TR
SH BEN INT
59318D104
2580
488614
SH
DFND
488614
0
0
MICROSOFT
COM
594918104
2409
8893
SH
DFND
8893
0
0
MICROSTRATEGY INC
CL A NEW
594972408
8236
12394
SH
DFND
12394
0
0
MONDELEZ INTL INC
CL A
609207105
1315
21065
SH
DFND
21065
0
0
MOVADO GROUP INC
COM
624580106
940
29880
SH
DFND
29880
0
0
MSG NETWORK INC
CL A
553573106
1307
89653
SH
DFND
89653
0
0
NASDAQ INC
COM
631103108
7106
40418
SH
DFND
40418
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
7203
657848
SH
DFND
657848
0
0
NEUBERGER BERMAN MUNI FD INC
COM
64124P101
572
35562
SH
DFND
35562
0
0
NEUBERGER BERMAN NY MUN FD INC
COM
64124K102
394
29549
SH
DFND
29549
0
0
NEWELL BRANDS INC
COM
651229106
288
10488
SH
DFND
10488
0
0
NEWMONT CORP
COM
651639106
1673
26399
SH
DFND
26399
0
0
NEXTERA ENERGY INC
COM
65339F101
221
3020
SH
DFND
3020
0
0
NORFOLK SOUTHN CORP
COM
655844108
1276
4806
SH
DFND
4806
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
1944
21310
SH
DFND
21310
0
0
NOVO-NORDISK A S
ADR
670100205
648
7740
SH
DFND
7740
0
0
NUCANA PLC
SPONSORED ADR
67022C106
54
19467
SH
DFND
19467
0
0
NUTRIEN LTD
COM
67077M108
13700
226033
SH
DFND
226033
0
0
NUVEEN AMT-FREE QLTY MUN INCOME
COM
670657105
8359
532395
SH
DFND
532395
0
0
NUVEEN DIV QLTY MUNI FD 3
COM SH BEN INT
67070X101
1119
65021
SH
DFND
65021
0
0
NUVEEN DIVID AMT FREE MUNI CRED INC FD
COM
67071L106
378
21176
SH
DFND
21176
0
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
577
59169
SH
DFND
59169
0
0
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
317
21130
SH
DFND
21130
0
0
NUVEEN INTER DURATION MN TMF
COM
670671106
1073
71660
SH
DFND
71660
0
0
NUVEEN MUN HIGH INC OPP FD
COM
670682103
186
12099
SH
DFND
12099
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
152
13198
SH
DFND
13198
0
0
NUVEEN NY AMT FREE QLTY MUN INC FD
COM
670656107
1401
98746
SH
DFND
98746
0
0
NUVEEN NY QLTY INCOME FD
COM
67066X107
754
50071
SH
DFND
50071
0
0
NUVEEN PREFERRED & INCOME SECURITIES FD
COM
67072C105
220
22113
SH
DFND
22113
0
0
NUVEEN QUALITY MUNI INC FD
COM
67066V101
2726
170276
SH
DFND
170276
0
0
NUVEEN SELECT MAT MUN FD
SH BEN INT
67061T101
236
21500
SH
DFND
21500
0
0
NUVEEN SR INCOME FD
COM
67067Y104
622
105209
SH
DFND
105209
0
0
NUVEEN TAXABLE MUNICIPAL INC FUND
COM
67074C103
3246
138738
SH
DFND
138738
0
0
NVIDIA CORP
COM
67066G104
352
1760
SH
DFND
1760
0
0
OSHKOSH CORP
COM
688239201
20903
167705
SH
DFND
167705
0
0
OSISKO GOLD ROYALTIES LTD
COM
68827L101
16620
1213144
SH
DFND
1213144
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
420
12000
SH
DFND
12000
0
0
PATTERSON UTI ENERGY INC
COM
703481101
4116
414076
SH
DFND
414076
0
0
PAYPAL HLDGS INC
COM
70450Y103
23360
80144
SH
DFND
80144
0
0
PCM FUND INC
COM
69323T101
331
27859
SH
DFND
27859
0
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
19068
252595
SH
DFND
252595
0
0
PEPSICO INC
COM
713448108
625
4218
SH
DFND
4218
0
0
PERKINELMER INC
COM
714046109
378
2450
SH
DFND
2450
0
0
PERMIAN BASIN RTY TR
UNIT BEN INT
714236106
1877
333907
SH
DFND
333907
0
0
PFIZER INC
COM
717081103
2131
54417
SH
DFND
54417
0
0
PHILIP MORRIS INTL INC
COM
718172109
2275
22953
SH
DFND
22953
0
0
PIMCO DYNAMIC CREDIT AND MORTGAGE INCOME FD
COM SHS
72202D106
962
42965
SH
DFND
42965
0
0
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
3319
115197
SH
DFND
115197
0
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
487
4780
SH
DFND
4780
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
1838
68979
SH
DFND
68979
0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
2170
170225
SH
DFND
170225
0
0
PIMCO INCOME STRATEGY FUND II
COM
72201J104
4432
403608
SH
DFND
403608
0
0
PIMCO MUN INCOME FD II
COM
72200W106
227
15050
SH
DFND
15050
0
0
PIMCO NY MUNICIPAL INCOME FD
COM
72200T103
584
45052
SH
DFND
45052
0
0
PIONEER MUN HIGH INC ADV FD
COM
723762100
161
13060
SH
DFND
13060
0
0
PIONEER MUN HIGH INCOME FD
COM SHS
723763108
365
28089
SH
DFND
28089
0
0
POTLATCHDELTIC CORP NEW
COM
737630103
831
15632
SH
DFND
15632
0
0
PROSHARES TR II
SHT VIX ST TRM
74347W130
63630
1145458
SH
DFND
1145458
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
642
4862
SH
DFND
4862
0
0
RAYONIER ADVANCED MATLS INC
COM
75508B104
950
142050
SH
DFND
142050
0
0
RAYONIER INC
COM
754907103
3532
98315
SH
DFND
98315
0
0
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
997
11683
SH
DFND
11683
0
0
RENN FUND INC
COM
759720105
421
173767
SH
DFND
173767
0
0
RESIDEO TECHNOLOGIES INC
COM
76118Y104
2264
75450
SH
DFND
75450
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
203
2425
SH
DFND
2425
0
0
RITCHIE BROS AUCTIONEERS
COM
767744105
2922
49290
SH
DFND
49290
0
0
ROCKWELL AUTOMATION INC
COM
773903109
1387
4848
SH
DFND
4848
0
0
ROYAL CARIBBEAN GROUP
COM
V7780T103
1247
14621
SH
DFND
14621
0
0
ROYAL GOLD INC
COM
780287108
18518
162294
SH
DFND
162294
0
0
ROYALTY PHARMA PLC
SHS CLASS A
G7709Q104
8741
213257
SH
DFND
213257
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
4271
344472
SH
DFND
344472
0
0
S&P GLOBAL INC
COM
78409V104
593
1445
SH
DFND
1445
0
0
SABINE ROYALTY TR
UNIT BEN INT
785688102
353
8757
SH
DFND
8757
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
41203
5222182
SH
DFND
5222182
0
0
SANOFI
SPONSORED ADR
80105N105
895
17000
SH
DFND
17000
0
0
SCIENCE APPLICATNS INTL CP N
COM
808625107
35556
405288
SH
DFND
405288
0
0
SCRIPPS E W CO OHIO
CL A NEW
811054402
979
48000
SH
DFND
48000
0
0
SEABOARD CORP DEL
COM
811543107
402
104
SH
DFND
104
0
0
SEALED AIR CORP NEW
COM
81211K100
2168
36585
SH
DFND
36585
0
0
SIMULATIONS PLUS INC
COM
829214105
240
4367
SH
DFND
4367
0
0
SONOCO PRODUCTS
COM
835495102
1328
19850
SH
DFND
19850
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
784
4732
SH
DFND
4732
0
0
SPDR SER TR
OILGAS EQUIP
78468R549
410
6625
SH
DFND
6625
0
0
SPDR SERIES TR
PORTFOLIO SHORT
78464A474
751
24000
SH
DFND
24000
0
0
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
242
17259
SH
DFND
17259
0
0
SQUARE INC
CL A
852234103
269
1105
SH
DFND
1105
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2277
5319
SH
DFND
5319
0
0
STONECO LTD COM
COM CL A
G85158106
632
9425
SH
DFND
9425
0
0
STRYKER CORP
COM
863667101
519
2000
SH
DFND
2000
0
0
SUNCOR ENERGY INC NEW
COM
867224107
1438
59979
SH
DFND
59979
0
0
TELEFLEX INC
COM
879369106
854
2126
SH
DFND
2126
0
0
TEXAS PACIFIC LAND CORP
COM
88262P102
2475309
1547319
SH
DFND
1547319
0
0
THE SAINT JOE CO
COM
790148100
10523
235892
SH
DFND
235892
0
0
TORONTO DOMINION BK ONT NEW
COM NEW
891160509
1247
17800
SH
DFND
17800
0
0
TRI POINTE HOMES INC
COM
87265H109
3859
180062
SH
DFND
180062
0
0
UNION PACIFIC CORP
COM
907818108
1323
6017
SH
DFND
6017
0
0
VAIL RESORTS INC
COM
91879Q109
399
1262
SH
DFND
1262
0
0
VALMONT INDS INC
COM
920253101
543
2300
SH
DFND
2300
0
0
VANECK VECTORS ETF TR
JR GOLD MINERS E
92189F791
2879
61572
SH
DFND
61572
0
0
VANECK VECTORS ETF TR
OIL SVCS ETF
92189H607
923
4214
SH
DFND
4214
0
0
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
3001
88328
SH
DFND
88328
0
0
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
495
2624
SH
DFND
2624
0
0
VANGUARD INDEX FDS
S&P500 ETF SHS
922908363
1822
4631
SH
DFND
4631
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
746
3348
SH
DFND
3348
0
0
VANGUARD SCOTTSDALE FDS
SHORT TERM TREAS
92206C102
10565
171984
SH
DFND
171984
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1806
21838
SH
DFND
21838
0
0
VERISK ANALYTICS INC
CL A
92345Y106
14856
85027
SH
DFND
85027
0
0
VERIZON COMMUNICATIONS
COM
92343V104
1433
25581
SH
DFND
25581
0
0
VIACOMCBS INC
CL B
92556H206
566
12519
SH
DFND
12519
0
0
VIASAT INC
COM
92552V100
671
13468
SH
DFND
13468
0
0
VIMEO INC
COMMON STOCK
92719V100
1967
40140
SH
DFND
40140
0
0
VIPER ENERGY PARTNERS LP
COM UNT RP INT
92763M105
22945
1218515
SH
DFND
1218515
0
0
VISA INC
COM CL A
92826C839
7012
29987
SH
DFND
29987
0
0
VPC IMPACT ACQUISITION HLDNG
SHS CL A
G9441E100
522
52147
SH
DFND
52147
0
0
W P CAREY INC
COM
92936U109
869
11650
SH
DFND
11650
0
0
WELBILT INC
COM
949090104
394
17000
SH
DFND
17000
0
0
WENDYS COMPANY
COM
95058W100
41795
1784599
SH
DFND
1784599
0
0
WEST FRASER TIMBER LTD
COM
952845105
19030
265487
SH
DFND
265487
0
0
WEYERHAEUSER CO
COM NEW
962166104
18639
541517
SH
DFND
541517
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
129698
2943005
SH
DFND
2943005
0
0
WHITE MOUNTAINS INSURANCE GROUP LTD
COM
G9618E107
1186
1033
SH
DFND
1033
0
0
WILLIAMS COS INC
COM
969457100
3764
141754
SH
DFND
141754
0
0
WSTRN ASSET INFLATION LINKED OPPORT INC FD
COM
95766R104
357
27225
SH
DFND
27225
0
0
WYNN RESORTS LTD
COM
983134107
383
3131
SH
DFND
3131
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
90
34000
SH
DFND
34000
0
0
BARCLAYS BANK PLC
IPTH SR B S&P
06746P621
4178
55700
SH
Call
DFND
55700
0
0
UNITED STS NAT GAS FD LP
UNIT PAR
912318300
1176
84000
SH
Call
DFND
84000
0
0
UNITED STS OIL FD LP
UNITS
91232N207
8458
146800
SH
Call
DFND
146800
0
0