0001104659-19-064051.txt : 20191114
0001104659-19-064051.hdr.sgml : 20191114
20191114142335
ACCESSION NUMBER: 0001104659-19-064051
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191114
DATE AS OF CHANGE: 20191114
EFFECTIVENESS DATE: 20191114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Itau Unibanco Holding S.A.
CENTRAL INDEX KEY: 0001132597
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 000000000
STATE OF INCORPORATION: D5
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17515
FILM NUMBER: 191218937
BUSINESS ADDRESS:
STREET 1: PC. ALFREDO EGYDIO DE SOUZA ARANHA, 100
STREET 2: TORRE AE, 3 ANDAR, CEP 04344-902
CITY: SAO PAULO
STATE: D5
ZIP: 00000
BUSINESS PHONE: 55-11-5019-1723
MAIL ADDRESS:
STREET 1: PC. ALFREDO EGYDIO DE SOUZA ARANHA, 100
STREET 2: TORRE AE, 3 ANDAR, CEP 04344-902
CITY: SAO PAULO
STATE: D5
ZIP: 00000
FORMER COMPANY:
FORMER CONFORMED NAME: Itau Unibanco Banco Multiplo S.A.
DATE OF NAME CHANGE: 20090226
FORMER COMPANY:
FORMER CONFORMED NAME: BANCO ITAU HOLDING FINANCEIRA S A
DATE OF NAME CHANGE: 20030319
FORMER COMPANY:
FORMER CONFORMED NAME: BANCO ITAU SA
DATE OF NAME CHANGE: 20010117
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001132597
XXXXXXXX
09-30-2019
09-30-2019
false
Itau Unibanco Holding S.A.
Pc. Alfredo Egydio De Souza Aranha, 100
Torre Ae, 3 Andar, Cep 04344-902
Sao Paulo
D5
00000
13F HOLDINGS REPORT
028-17515
N
Tatiana Grecco
Executive Officer
55-11-36312510
/s/ Tatiana Grecco
Sao Paulo
D5
11-14-2019
1
298
1841078
1
0001541597
028-14678
Itau USA Asset Management Inc.
INFORMATION TABLE
2
infotable.xml
3M CO
COM
88579Y101
52
301
SH
DFND
0
0
301
ABBOTT LABS
COM
002824100
745
8893
SH
DFND
0
0
8893
ADOBE SYS INC
COM
00724F101
1546
5567
SH
DFND
0
0
5567
ADVANCED MICRO DEVICES INC
COM
007903107
279
9224
SH
DFND
0
0
9224
AERIE PHARMACEUTICALS INC
COM
00771V108
18
626
SH
DFND
0
0
626
AGCO CORP
COM
001084102
26
335
SH
DFND
0
0
335
ALCOA CORP
COM
013872106
14
609
SH
DFND
0
0
609
ALDER BIOPHARMACEUTICALS INC
COM
014339105
7
618
SH
DFND
0
0
618
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
28338
169431
SH
DFND
0
0
169431
ALLERGAN PLC
SHS
G0177J108
305
1829
SH
DFND
0
0
1829
ALNYLAM PHARMACEUTICALS INC
COM
02043Q107
12
166
SH
DFND
0
0
166
ALPHABET INC
CAP STK CL A
02079K305
3920
3388
SH
DFND
0
0
3388
AMAZON COM INC
COM
023135106
51410
29512
SH
DFND
0
0
29512
AMBEV SA
SPONSORED ADR
02319V103
5252
1136700
SH
SOLE
452200
0
684500
AMERICA MOVIL SAB DE CV
SPON ADR L SHS
02364W105
65041
4376947
SH
SOLE
1508253
0
2868694
AMERICAN EXPRESS CO
COM
025816109
258
2099
SH
DFND
0
0
2099
AMERICAN INTL GROUP INC
COM NEW
026874784
325
6120
SH
DFND
0
0
6120
AMETEK INC NEW
COM
031100100
149
1644
SH
DFND
0
0
1644
ANTHEM INC
COM
036752103
524
1867
SH
DFND
0
0
1867
APPLE INC
COM
037833100
1532
7776
SH
DFND
0
0
7776
ARCOS DORADOS HOLDINGS INC
SHS CLASS -A -
G0457F107
13190
1962863
SH
DFND
0
0
1962863
ARCUS BIOSCIENCES INC
COM
03969F109
4
464
SH
DFND
0
0
464
ARES MANAGEMENT CORPORATION
COM
03990B101
164
6283
SH
DFND
0
0
6283
ASSEMBLY BIOSCIENCES INC
COM
045396108
4
289
SH
DFND
0
0
289
ASSURANT INC
COM
04621X108
262
2470
SH
DFND
0
0
2470
ASSURED GUARANTY LTD
COM
G0585R106
252
6014
SH
DFND
0
0
6014
ASTRAZENECA PLC
SPONSORED ADR
046353108
427
10397
SH
DFND
0
0
10397
ATHENE HLDG LTD
CL A
G0684D107
179
4184
SH
DFND
0
0
4184
ATLASSIAN CORP PLC
CL A
G06242104
13
102
SH
DFND
0
0
102
ATRECA INC
COM
04965G109
10
513
SH
DFND
0
0
513
AUDENTES THERAPEUTICS INC
COM
05070R104
13
336
SH
DFND
0
0
336
AUTODESK INC
COM
052769106
60
367
SH
DFND
0
0
367
AVANGRID INC
COM
05351W103
151
3003
SH
DFND
0
0
3003
AVON PRODS INC
COM
054303102
3046
785000
SH
DFND
0
0
785000
AXA EQUITABLE HLDGS INC
COM
054561105
59
2854
SH
DFND
0
0
2854
BAIDU INC
SPON ADR REP A
056752108
456
3899
SH
DFND
0
0
3899
BALL CORP
COM
058498106
274
3939
SH
DFND
0
0
3939
BANCO BRADESCO S A
SP ADR PFD NEW
059460303
305544
37536115
SH
SOLE
4365229
0
33170886
BANCO DE CHILE
SPONSORED ADR
059520106
1407
50058
SH
SOLE
2450
0
47608
BANCO SANTANDER BRASIL S A
ADS REP 1 UNIT
05967A107
1785
163900
SH
SOLE
163900
0
0
BANCO SANTANDER CHILE NEW
SP ADR REP COM
05965X109
13142
469340
SH
SOLE
162882
0
306458
BANCOLOMBIA S A
SPON ADR PREF
05968L102
17978
363565
SH
SOLE
110259
0
253306
BANK AMER CORP
COM
060505104
1200
41551
SH
DFND
0
0
41551
BAXTER INTL INC
COM
071813109
187
2288
SH
DFND
0
0
2288
BIOHAVEN PHARMACTL HLDG CO L
COM
G11196105
15
336
SH
DFND
0
0
336
BLUCORA INC
COM
095229100
227
7505
SH
DFND
0
0
7505
BLUEBIRD BIO INC
COM
09609G100
38
300
SH
DFND
0
0
300
BOEING CO
COM
097023105
579
1598
SH
DFND
0
0
1598
BOOKING HLDGS INC
COM
09857L908
915
466
SH
Put
DFND
0
0
466
BOSTON SCIENTIFIC CORP
COM
101137107
588
23556
SH
DFND
0
0
23556
BRF SA
SPONSORED ADR
10552T107
7358
800226
SH
DFND
0
0
800226
BRISTOL MYERS SQUIBB CO
COM
110122108
285
6323
SH
DFND
0
0
6323
BURLINGTON STORES INC
COM
122017106
1237
6697
SH
DFND
0
0
6697
CABOT CORP
COM
127055101
169
3568
SH
DFND
0
0
3568
CALITHERA BIOSCIENCES INC
COM
13089P101
3
682
SH
DFND
0
0
682
CARPENTER TECHNOLOGY CORP
COM
144285103
21
431
SH
DFND
0
0
431
CATERPILLAR INC DEL
COM
149123101
124
914
SH
DFND
0
0
914
CELANESE CORP DEL
COM
150870103
109
1020
SH
DFND
0
0
1020
CEMEX SAB DE CV
SPON ADR NEW
151290889
17370
4371219
SH
SOLE
1423445
0
2947774
CENTRAIS ELETRICAS BRASILEIR
SPONSORED ADR
15234Q207
9988
1042566
SH
DFND
0
0
1042566
CENTRAIS ELETRICAS BRASILEIR
SPON ADR PFD B
15234Q108
2398
238593
SH
DFND
0
0
238593
CERIDIAN HCM HLDG INC
COM
15677J108
29
577
SH
DFND
0
0
577
CHARTER COMMUNICATIONS INC N
CL A
16119P108
317
805
SH
DFND
0
0
805
CHEVRON CORP NEW
COM
166764900
330
2664
SH
Put
DFND
0
0
2664
CME GROUP INC
COM CL A
12572Q105
5
10000
SH
DFND
0
0
10000
COCA COLA CO
COM
191216100
873
17214
SH
DFND
0
0
17214
COHERUS BIOSCIENCES INC
COM
19249H103
22
989
SH
DFND
0
0
989
COMCAST CORP NEW
CL A
20030N101
1689
38650
SH
DFND
0
0
38650
COMPANHIA BRASILEIRA DE DIST
SPN ADR PFD CL A
20440T201
13394
696535
SH
SOLE
333918
0
362617
COMPANHIA DE SANEAMENTO BASI
SPONSORED ADR
20441A102
5835
491134
SH
SOLE
167417
0
323717
COMPANHIA ENERGETICA DE MINA
SP ADR N-V PFD
204409601
17729
5229698
SH
SOLE
1063090
0
4166608
COMPANHIA SIDERURGICA NACION
SPONSORED ADR
20440W105
1150
360727
SH
DFND
0
0
360727
COMPANIA DE MINAS BUENAVENTU
SPONSORED ADR
204448104
3560
234526
SH
SOLE
77723
0
156803
CONCHO RES INC
COM
20605P101
83
810
SH
DFND
0
0
810
COPA HOLDINGS SA
CL A
P31076105
6290
63700
SH
DFND
0
0
63700
COSAN LTD
SHS A
G25343107
11598
778402
SH
DFND
0
0
778402
CREDICORP LTD
COM
G2519Y108
46851
224768
SH
SOLE
75143
0
149625
CVS HEALTH CORP
COM
126650100
933
14800
SH
DFND
0
0
14800
CYTOMX THERAPEUTICS INC
COM
23284F105
8
756
SH
DFND
0
0
756
DANAHER CORP DEL
COM
235851102
322
2265
SH
DFND
0
0
2265
DEERE & CO
COM
244199105
130
787
SH
DFND
0
0
787
DERMIRA INC
COM
24983L104
35
3631
SH
DFND
0
0
3631
DIAMONDBACK ENERGY INC
COM
25278X109
106
981
SH
DFND
0
0
981
DISNEY WALT CO
COM DISNEY
254687106
1110
8431
SH
DFND
0
0
8431
DYCOM INDS INC
COM
267475101
80
1366
SH
DFND
0
0
1366
EDISON INTL
COM
281020107
295
4391
SH
DFND
0
0
4391
ELANCO ANIMAL HEALTH INC
COM
28414H103
31
911
SH
DFND
0
0
911
EMBRAER S A
SP ADR REP 4 COM
29082A107
5756
333683
SH
SOLE
140151
0
193532
ENCANA CORP
COM
292505104
84
16516
SH
DFND
0
0
16516
EQUIFAX INC
COM
294429105
61
456
SH
DFND
0
0
456
EXELON CORP
COM
30161N101
247
5181
SH
DFND
0
0
5181
EXPEDIA GROUP INC
COM NEW
30212P303
378
2855
SH
DFND
0
0
2855
EXXON MOBIL CORP
COM
30231G102
818
10724
SH
DFND
0
0
10724
F M C CORP
COM NEW
302491303
149
1799
SH
DFND
0
0
1799
FACEBOOK INC
CL A
30303M102
2279
12176
SH
DFND
0
0
12176
FIRST SOLAR INC
COM
336433107
67
1027
SH
DFND
0
0
1027
FLEETCOR TECHNOLOGIES INC
COM
339041105
268
960
SH
DFND
0
0
960
FOMENTO ECONOMICO MEXICANO S
SPON ADR UNITS
344419106
59598
650774
SH
SOLE
298684
0
352090
FORTIVE CORP
COM
34959J108
138
1699
SH
DFND
0
0
1699
FORTY SEVEN INC
COM
34983P104
14
1285
SH
DFND
0
0
1285
FREEPORT-MCMORAN INC
CL B
35671D857
13
1107
SH
DFND
0
0
1107
G1 THERAPEUTICS INC
COM
3621LQ109
27
870
SH
DFND
0
0
870
GARDNER DENVER HLDGS INC
COM
36555P107
130
3774
SH
DFND
0
0
3774
GENERAL ELECTRIC CO
COM
369604103
459
49954
SH
SOLE
45002
0
4952
GENERAL MTRS CO
COM
37045V100
790
21067
SH
DFND
0
0
21067
GENPACT LIMITED
SHS
G3922B107
118
3114
SH
DFND
0
0
3114
GERDAU S A
SPON ADR REP PFD
373737105
19575
6214200
SH
SOLE
2544996
0
3669204
GLOBAL BLOOD THERAPEUTICS IN
COM
37890U108
2650
50373
SH
DFND
0
0
50373
GLOBAL PMTS INC
COM
37940X102
382
2398
SH
DFND
0
0
2398
GLYCOMIMETICS INC
COM
38000Q102
11
937
SH
DFND
0
0
937
GODADDY INC
CL A
380237107
220
3147
SH
DFND
0
0
3147
GRANITE CONSTR INC
COM
387328107
42
880
SH
DFND
0
0
880
GREENBRIER COS INC
COM
393657101
29
957
SH
DFND
0
0
957
GRUPO AVAL ACCIONES Y VALORE
SPONSORED ADS
40053W101
4247
569305
SH
SOLE
207847
0
361458
GRUPO FINANCIERO GALICIA S A
SP ADR 10 SH B
399909100
10612
816300
SH
SOLE
273500
0
542800
GUIDEWIRE SOFTWARE INC
COM
40171V100
65
646
SH
DFND
0
0
646
HAMILTON LANE INC
CL A
407497106
142
2508
SH
DFND
0
0
2508
HARRIS CORP DEL
COM
413875105
271
1439
SH
DFND
0
0
1439
HARTFORD FINL SVCS GROUP INC
COM
416515104
281
5066
SH
DFND
0
0
5066
HCA HEALTHCARE INC
COM
40412C101
203
1505
SH
DFND
0
0
1505
HERON THERAPEUTICS INC
COM
427746102
8
423
SH
DFND
0
0
423
HOUGHTON MIFFLIN HARCOURT CO
COM
44157R109
40
6920
SH
DFND
0
0
6920
HYATT HOTELS CORP
COM CL A
448579102
379
4995
SH
DFND
0
0
4995
IHS MARKIT LTD
SHS
G47567105
427
6739
SH
DFND
0
0
6739
ILLINOIS TOOL WKS INC
COM
452308109
182
1214
SH
DFND
0
0
1214
INCYTE CORP
COM
45337C102
27
319
SH
DFND
0
0
319
INGERSOLL-RAND PLC
SHS
G47791101
234
1859
SH
DFND
0
0
1859
INTEL CORP
COM
458140100
270
5656
SH
DFND
0
0
5656
INTERCORP FINL SVCS INC
SHS
P5626F128
11957
290000
SH
SOLE
86736
0
203264
INTL PAPER CO
COM
460146103
118
2734
SH
DFND
0
0
2734
ISHARES INC
MSCI BRAZIL ETF
464286400
393
9327
SH
DFND
0
0
9327
ISHARES INC
MSCI JPN ETF NEW
46434G822
101033
1780620
SH
SOLE
1664815
0
115805
ISHARES INC
MSCI TAIWAN ETF
46434G772
5088
139940
SH
DFND
0
0
139940
ISHARES INC
MSCI PAC JP ETF
464286665
353
7900
SH
DFND
0
0
7900
ISHARES INC
MSCI CDA ETF
464286509
3399
117600
SH
DFND
0
0
117600
ISHARES INC
MSCI MEXICO ETF
464286822
754
17650
SH
DFND
0
0
17650
ISHARES INC
MSCI STH KOR ETF
464286772
1432
25420
SH
DFND
0
0
25420
ISHARES INC
CORE MSCI EMKT
46434G103
2343
47800
SH
DFND
0
0
47800
ISHARES INC
MSCI EM ASIA ETF
464286426
1303
20450
SH
DFND
0
0
20450
ISHARES INC
MSCI STH AFR ETF
464286780
128
2700
SH
DFND
0
0
2700
ISHARES INC
MSCI GERMANY ETF
464286806
507
18852
SH
DFND
0
0
18852
ISHARES INC
MSCI EURZONE ETF
464286608
1632
41955
SH
DFND
0
0
41955
ISHARES INC
MSCI SPAIN ETF
464286764
181
6500
SH
DFND
0
0
6500
ISHARES TR
CHINA LG-CAP ETF
464287184
8907
223784
SH
DFND
0
0
223784
ISHARES TR
LATN AMER 40 ETF
464287390
360
11400
SH
DFND
0
0
11400
ISHARES TR
MSCI EAFE ETF
464287465
37044
568070
SH
DFND
0
0
568070
ISHARES TR
RUSSELL 2000 ETF
464287655
8779
58009
SH
DFND
0
0
58009
ISHARES TR
MSCI ACWI ETF
464288257
1809
24530
SH
DFND
0
0
24530
ISHARES TR
MSCI EURO FL ETF
464289180
77
4400
SH
DFND
0
0
4400
ISHARES TR
MSCI CHINA ETF
46429B671
292
5200
SH
DFND
0
0
5200
ISHARES TR
JPMORGAN USD EMG
464288281
1700
15000
SH
DFND
0
0
15000
ISHARES TR
IBOXX HI YD ETF
464288513
3923
45000
SH
DFND
0
0
45000
ISHARES TR
IBOXX INV CP ETF
464287242
32420
254313
SH
SOLE
254313
0
0
ISHARES TR
S&P 500 VAL ETF
464287408
3515
29500
SH
DFND
0
0
29500
ISHARES TR
SHORT TREAS BD
464288679
131
1185
SH
SOLE
1185
0
0
ISHARES TR
10-20 YR TRS ETF
464288653
48251
322793
SH
SOLE
322793
0
0
ISHARES TR
US TREAS BD ETF
46429B267
39386
1496149
SH
SOLE
1496149
0
0
ITAU UNIBANCO HLDG SA
SPON ADR REP PFD
465562106
61537
7317109
SH
SOLE
3237895
0
4079214
JETBLUE AIRWAYS CORP
COM
477143901
112
6078
SH
Call
DFND
0
0
6078
JOHNSON & JOHNSON
COM
478160104
13
100
SH
DFND
0
0
100
JOUNCE THERAPEUTICS INC
COM
481116101
2
380
SH
DFND
0
0
380
KALA PHARMACEUTICALS INC
COM
483119103
6
869
SH
DFND
0
0
869
KARYOPHARM THERAPEUTICS INC
COM
48576U106
9
1438
SH
DFND
0
0
1438
KIRBY CORP
COM
497266106
32
409
SH
DFND
0
0
409
KLA-TENCOR CORP
COM
482480100
92
781
SH
DFND
0
0
781
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
106
2837
SH
DFND
0
0
2837
LINDE PLC
COM
G5494J103
250
1251
SH
DFND
0
0
1251
LINX S A
SPONSORED ADS
53619W101
10944
1200000
SH
DFND
0
0
1200000
LIVENT CORP
COM
53814L108
17
2432
SH
DFND
0
0
2432
LOCKHEED MARTIN CORP
COM
539830109
503
1390
SH
DFND
0
0
1390
LOMA NEGRA CORP
SPONSORED ADS
54150E104
4757
827293
SH
SOLE
277479
0
549814
LOWES COS INC
COM
548661107
1154
10776
SH
DFND
0
0
10776
MARATHON PETE CORP
COM
56585A102
223
4001
SH
DFND
0
0
4001
MARSH & MCLENNAN COS INC
COM
571748102
288
2904
SH
DFND
0
0
2904
MARTIN MARIETTA MATLS INC
COM
573284106
10
44
SH
DFND
0
0
44
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
303
12757
SH
DFND
0
0
12757
MASTERCARD INCORPORATED
CL A
57636Q104
1101
4053
SH
DFND
0
0
4053
MCDONALDS CORP
COM
580135101
1985
9388
SH
DFND
0
0
9388
MEDICINES CO
COM
584688105
44
1221
SH
DFND
0
0
1221
MERCADOLIBRE INC
COM
58733R102
3605
5893
SH
DFND
0
0
5893
METLIFE INC
COM
59156R108
76
1534
SH
DFND
0
0
1534
MGIC INVT CORP WIS
COM
552848103
74
5678
SH
DFND
0
0
5678
MGM RESORTS INTERNATIONAL
COM
552953101
84
2941
SH
DFND
0
0
2941
MICRON TECHNOLOGY INC
COM
595112103
178
4642
SH
DFND
0
0
4642
MICROSOFT CORP
COM
594918104
38181
275170
SH
DFND
0
0
275170
MOMENTA PHARMACEUTICALS INC
COM
60877T100
11
921
SH
DFND
0
0
921
MONDELEZ INTL INC
CL A
609207105
295
5506
SH
DFND
0
0
5506
MONSTER BEVERAGE CORP NEW
COM
61174X109
161
2534
SH
DFND
0
0
2534
MYLAN N V
SHS EURO
N59465109
39
2060
SH
DFND
0
0
2060
MYOKARDIA INC
COM
62857M105
29
585
SH
DFND
0
0
585
MYOVANT SCIENCES LTD
COM
G637AM102
11
1220
SH
DFND
0
0
1220
NATIONAL GRID PLC
SPONSORED ADR NE
636274409
55
1034
SH
DFND
0
0
1034
NEKTAR THERAPEUTICS
COM
640268108
62
1750
SH
DFND
0
0
1750
NEON THERAPEUTICS INC
COM
64050Y900
2
335
SH
Call
DFND
0
0
335
NETFLIX INC
COM
64110L106
705
11927
SH
DFND
0
0
11927
NEW YORK TIMES CO
CL A
650111107
38
1171
SH
DFND
0
0
1171
NEXTERA ENERGY INC
COM
65339F101
148
727
SH
DFND
0
0
727
NIKE INC
CL B
654106103
1856
20124
SH
DFND
0
0
20124
NOBLE ENERGY INC
COM
655044105
98
4397
SH
DFND
0
0
4397
NORFOLK SOUTHERN CORP
COM
655844108
260
1310
SH
DFND
0
0
1310
NRG ENERGY INC
COM NEW
629377508
236
6757
SH
DFND
0
0
6757
NUVASIVE INC
COM
670704105
202
3467
SH
DFND
0
0
3467
NVENT ELECTRIC PLC
SHS
G6700G107
63
2572
SH
DFND
0
0
2572
NVIDIA CORP
COM
67066G104
17895
102987
SH
DFND
0
0
102987
ODONATE THERAPEUTICS INC
COM
676079106
25
671
SH
DFND
0
0
671
OGE ENERGY CORP
COM
670837103
5
100
SH
DFND
0
0
100
ONEMAIN HLDGS INC
COM
68268W103
121
3585
SH
DFND
0
0
3585
PAGSEGURO DIGITAL LTD
COM CL A
G68707101
21889
472667
SH
DFND
0
0
472667
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
9115
525083
SH
SOLE
175395
0
349688
PARSONS CORPORATION
COM
70202L102
5156
139890
SH
DFND
0
0
139890
PAYPAL HLDGS INC
COM
70450Y103
277
2430
SH
DFND
0
0
2430
PETROLEO BRASILEIRO SA PETRO
SP ADR NON VTG
71654V101
103974
7912799
SH
SOLE
1605157
0
6307642
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
55847
3859481
SH
SOLE
1370570
0
2488911
PFIZER INC
COM
717081103
443
10264
SH
DFND
0
0
10264
PG&E CORP
COM
69331C108
41
1791
SH
DFND
0
0
1791
PHASEBIO PHARMACEUTICALS INC
COM
717224109
6
432
SH
DFND
0
0
432
PHILIP MORRIS INTL INC
COM
718172109
415
5303
SH
DFND
0
0
5303
PPG INDS INC
COM
693506107
217
1869
SH
DFND
0
0
1869
PROCTER AND GAMBLE CO
COM
742718109
778
7126
SH
DFND
0
0
7126
PROGRESSIVE CORP OHIO
COM
743315103
154
1938
SH
DFND
0
0
1938
PRUDENTIAL FINL INC
COM
744320102
123
1228
SH
DFND
0
0
1228
RA PHARMACEUTICALS INC
COM
74933V108
32
1073
SH
DFND
0
0
1073
RADIUS HEALTH INC
COM NEW
750469207
15
612
SH
DFND
0
0
612
RAYMOND JAMES FINANCIAL INC
COM
754730109
127
1514
SH
DFND
0
0
1514
RAYTHEON CO
COM NEW
755111507
281
1622
SH
DFND
0
0
1622
RESTAURANT BRANDS INTL INC
COM
76131D103
799
11226
SH
DFND
0
0
11226
REVANCE THERAPEUTICS INC
COM
761330109
20
1563
SH
DFND
0
0
1563
REXNORD CORP NEW
COM
76169B102
14
468
SH
DFND
0
0
468
RIGEL PHARMACEUTICALS INC
COM NEW
766559603
5
1894
SH
DFND
0
0
1894
ROSS STORES INC
COM
778296103
688
6261
SH
DFND
0
0
6261
SALESFORCE COM INC
COM
79466L302
270
1786
SH
DFND
0
0
1786
SCHLUMBERGER LTD
COM
806857108
246
6214
SH
DFND
0
0
6214
SCIPLAY CORP
CL A
809087109
51
3729
SH
DFND
0
0
3729
SEATTLE GENETICS INC
COM
812578102
61
890
SH
DFND
0
0
890
SELECT SECTOR SPDR TR
ENERGY
81369Y506
77
1300
SH
DFND
0
0
1300
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
5081
181466
SH
DFND
0
0
181466
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
660
8200
SH
DFND
0
0
8200
SEMPRA ENERGY
COM
816851109
470
3436
SH
DFND
0
0
3436
SERVICENOW INC
COM
81762P102
87
318
SH
DFND
0
0
318
SOUTHERN COPPER CORP
COM
84265V105
13177
386050
SH
SOLE
125844
0
260206
SPDR GOLD TRUST
GOLD SHS
78463V107
3277
23600
SH
DFND
0
0
23600
SPDR INDEX SHS FDS
EURO STOXX 50
78463X202
5788
153370
SH
DFND
0
0
153370
SPDR INDEX SHS FDS
ASIA PACIF ETF
78463X301
2131
22800
SH
DFND
0
0
22800
SPDR INDEX SHS FDS
PORTFOLIO EMG MK
78463X509
1268
37000
SH
DFND
0
0
37000
SPDR S&P 500 ETF TR
TR UNIT
78462F103
175026
589972
SH
SOLE
558902
0
31070
SPDR SERIES TRUST
S&P OILGAS EXP
78464A730
3354
150000
SH
DFND
0
0
150000
SPDR SERIES TRUST
S&P REGL BKG
78464A698
384
7226
SH
SOLE
7226
0
0
SPLUNK INC
COM
848637104
49
388
SH
DFND
0
0
388
SPOTIFY TECHNOLOGY S A
SHS
L8681T102
42
290
SH
DFND
0
0
290
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
446
7775
SH
DFND
0
0
7775
STEEL DYNAMICS INC
COM
858119100
21
687
SH
DFND
0
0
687
STONECO LTD
COM CL A
G85158106
16326
469405
SH
DFND
0
0
469405
SVB FINL GROUP
COM
78486Q101
162
724
SH
DFND
0
0
724
SVMK INC
COM
78489X903
87
5266
SH
Call
DFND
0
0
5266
SYMANTEC CORP
COM
871503108
28
1200
SH
DFND
0
0
1200
SYNDAX PHARMACEUTICALS INC
COM
87164F905
13
1423
SH
Put
DFND
0
0
1423
TC ENERGY CORP
COM
87807B107
313
6347
SH
DFND
0
0
6347
TD AMERITRADE HLDG CORP
COM
87236Y108
476
9571
SH
DFND
0
0
9571
TERADYNE INC
COM
880770102
56
1176
SH
DFND
0
0
1176
TESLA INC
COM
88160R101
457
2056
SH
DFND
0
0
2056
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADR
881624209
105
11405
SH
DFND
0
0
11405
TEXAS INSTRS INC
COM
882508104
233
2036
SH
DFND
0
0
2036
THE REALREAL INC
COM
88339P101
491
21971
SH
DFND
0
0
21971
THERMO FISHER SCIENTIFIC INC
COM
883556102
522
1784
SH
DFND
0
0
1784
TIM PARTICIPACOES S A
SPONSORED ADR
88706P205
13622
948623
SH
Put
SOLE
358058
0
590565
TJX COS INC NEW
COM
872540109
985
18003
SH
DFND
0
0
18003
TOTAL SYS SVCS INC
COM
891906109
86
676
SH
DFND
0
0
676
TRANSUNION
COM
89400J107
66
905
SH
DFND
0
0
905
TRICIDA INC
COM
89610F101
29
740
SH
DFND
0
0
740
TRINET GROUP INC
COM
896288107
99
1468
SH
DFND
0
0
1468
TRITON INTL LTD
CL A
G9078F107
52
1595
SH
DFND
0
0
1595
TRUPANION INC
COM
898202106
87
2406
SH
DFND
0
0
2406
TWITTER INC
COM
90184L102
447
12857
SH
DFND
0
0
12857
UGI CORP NEW
COM
902681105
115
2162
SH
DFND
0
0
2162
UNDER ARMOUR INC
CL A
904311107
346
13704
SH
DFND
0
0
13704
UNDER ARMOUR INC
CL C
904311206
194
8761
SH
DFND
0
0
8761
UNITEDHEALTH GROUP INC
COM
91324P102
394
1624
SH
DFND
0
0
1624
VALE S A
ADR
91912E105
47301
4112938
SH
SOLE
1635605
0
2477333
VANECK VECTORS ETF TR
RUSSIA ETF
92189F403
2507
109900
SH
DFND
0
0
109900
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
70847
263862
SH
DFND
0
0
263862
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
2172
40526
SH
SOLE
2378
0
38148
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
3165
42300
SH
DFND
0
0
42300
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1069
26550
SH
DFND
0
0
26550
VERIZON COMMUNICATIONS INC
COM
92343V104
774
13603
SH
DFND
0
0
13603
VERTEX PHARMACEUTICALS INC
COM
92532F100
60
327
SH
DFND
0
0
327
VISA INC
COM CL A
92826C839
633
3662
SH
DFND
0
0
3662
VOYA FINL INC
COM
929089100
149
2715
SH
DFND
0
0
2715
VULCAN MATLS CO
COM
929160109
36
262
SH
DFND
0
0
262
WABTEC CORP
COM
929740908
96
1345
SH
Put
DFND
0
0
1345
WALMART INC
COM
931142103
1401
11806
SH
DFND
0
0
11806
WASTE MGMT INC DEL
COM
94106L109
247
2150
SH
DFND
0
0
2150
WAVE LIFE SCIENCES LTD
SHS
Y95308105
13
487
SH
DFND
0
0
487
WESTERN DIGITAL CORP
COM
958102105
176
3721
SH
DFND
0
0
3721
WEX INC
COM
96208T104
137
660
SH
DFND
0
0
660
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
10228
202703
SH
DFND
0
0
202703
WISDOMTREE TR
INDIA ERNGS FD
97717W422
940
39400
SH
DFND
0
0
39400
WORKDAY INC
CL A
98138H101
156
761
SH
DFND
0
0
761
XILINX INC
COM
983919101
100
854
SH
DFND
0
0
854