0001475597-20-000009.txt : 20200515 0001475597-20-000009.hdr.sgml : 20200515 20200515141631 ACCESSION NUMBER: 0001475597-20-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HRT FINANCIAL LLC CENTRAL INDEX KEY: 0001475597 IRS NUMBER: 800491142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16455 FILM NUMBER: 20883826 BUSINESS ADDRESS: STREET 1: 4 WORLD TRADE CENTER, 150 GREENWICH STRE STREET 2: 57TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: 212 293-1444 MAIL ADDRESS: STREET 1: 4 WORLD TRADE CENTER, 150 GREENWICH STRE STREET 2: 57TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001475597 XXXXXXXX 03-31-2020 03-31-2020 HRT FINANCIAL LLC

4 WORLD TRADE CENTER, 150 GREENWICH STRE 57TH FLOOR NEW YORK NY 10007

13F HOLDINGS REPORT 028-16455 N Adam Nunes 212-293-1927 Adam Nunes New York X1 05-15-2020 0 718 1551377 false INFORMATION TABLE 2 form13fInfoTable.20200331.xml ABB LTD SPONSORED ADR 000375204 190 11011 SH DFND 11011 0 0 AFLAC INC COM 001055102 2755 80474 SH DFND 80474 0 0 BRISTOL MYERS SQUIBB COM 110122157 38 10200 SH DFND 10200 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 386 112378 SH DFND 112378 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 74 23613 SH DFND 23613 0 0 ARC DOCUMENT SOLUTIONS INC COM 00191G103 26 33110 SH DFND 33110 0 0 AT&T INC COM 00206R102 6976 239331 SH DFND 239331 0 0 ABERDEEN STD PALLADIUM ETF T PHYSCL PALLADM 003262102 683 3075 SH DFND 3075 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 370 3971 SH DFND 3971 0 0 ADVANCED DISP SVCS INC DEL COM 00790X101 310 9453 SH DFND 9453 0 0 AGREE REALTY CORP COM 008492100 769 12431 SH DFND 12431 0 0 AIKIDO PHARMA INC COM 008875106 5 11324 SH DFND 11324 0 0 AIM IMMUNOTECH INC COM 00901B105 25 10018 SH DFND 10018 0 0 AIR PRODS & CHEMS INC COM 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NEW 46434G822 1597 32354 SH DFND 32354 0 0 ISHARES TR CORE MSCI EURO 46434V738 661 17845 SH DFND 17845 0 0 ISHARES TR MSCI UK ETF NEW 46435G334 699 29281 SH DFND 29281 0 0 ISHARES TR MORTGE REL ETF 46435G342 257 13769 SH DFND 13769 0 0 JUNIPER NETWORKS INC COM 48203R104 258 13500 SH DFND 13500 0 0 JUST ENERGY GROUP INC COM 48213W101 39 75357 SH DFND 75357 0 0 KLA CORPORATION COM NEW 482480100 6749 46958 SH DFND 46958 0 0 KKR INCOME OPPORTUNITIES FD COM 48249T106 210 19700 SH DFND 19700 0 0 KANDI TECHNOLOGIES GROUP INC COM 483709101 26 10300 SH DFND 10300 0 0 KEMET CORP COM NEW 488360207 428 17721 SH DFND 17721 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 1949 23292 SH DFND 23292 0 0 KIMBERLY CLARK CORP COM 494368103 1399 10941 SH DFND 10941 0 0 KIRKLANDS INC COM 497498105 9 12027 SH DFND 12027 0 0 KRANESHARES TR CSI CHI INTERNE 500767306 1352 29885 SH DFND 29885 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 2226 12363 SH DFND 12363 0 0 LAM RESEARCH CORP COM 512807108 417 1740 SH DFND 1740 0 0 LANCASTER COLONY CORP COM 513847103 2244 15520 SH DFND 15520 0 0 LAREDO PETROLEUM INC COM 516806106 22 60232 SH DFND 60232 0 0 LAUDER ESTEE COS INC CL A 518439104 826 5189 SH DFND 5189 0 0 LEAR CORP COM NEW 521865204 457 5629 SH DFND 5629 0 0 LIBERTY MEDIA CORP DEL COM A SIRIUSXM 531229409 1110 35050 SH DFND 35050 0 0 LIBERTY TRIPADVISOR HLDGS IN COM SER A 531465102 32 17960 SH DFND 17960 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 280 6173 SH DFND 6173 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 113 75237 SH DFND 75237 0 0 LOCKHEED MARTIN CORP COM 539830109 8371 24698 SH DFND 24698 0 0 LOGMEIN INC COM 54142L109 270 3252 SH DFND 3252 0 0 LYFT INC CL A COM 55087P104 544 20270 SH DFND 20270 0 0 MDC PARTNERS INC CL A SUB VTG 552697104 24 16631 SH DFND 16631 0 0 MGE ENERGY INC COM 55277P104 3288 50232 SH DFND 50232 0 0 MGIC INVT CORP WIS COM 552848103 300 47379 SH DFND 47379 0 0 MACYS INC COM 55616P104 210 42963 SH DFND 42963 0 0 MAGNOLIA OIL & GAS CORP CL A 559663109 46 11541 SH DFND 11541 0 0 MANPOWERGROUP INC COM 56418H100 1051 19846 SH DFND 19846 0 0 MARATHON OIL CORP COM 565849106 215 65464 SH DFND 65464 0 0 MARKETAXESS HLDGS INC COM 57060D108 3748 11270 SH DFND 11270 0 0 MARRIOTT INTL INC NEW CL A 571903202 1064 14228 SH DFND 14228 0 0 MARTIN MARIETTA MATLS INC COM 573284106 1120 5920 SH DFND 5920 0 0 MASCO CORP COM 574599106 1039 30077 SH DFND 30077 0 0 MASTERCARD INC CL A 57636Q104 25197 104311 SH DFND 104311 0 0 MATADOR RES CO COM 576485205 36 14651 SH DFND 14651 0 0 MATCH GROUP INC COM 57665R106 738 11190 SH DFND 11190 0 0 MATINAS BIOPHARMA HLDGS INC COM 576810105 43 73161 SH DFND 73161 0 0 MATTEL INC COM 577081102 118 13450 SH DFND 13450 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 701 14423 SH DFND 14423 0 0 MAXLINEAR INC COM 57776J100 231 19841 SH DFND 19841 0 0 MCKESSON CORP COM 58155Q103 2886 21341 SH DFND 21341 0 0 MEDNAX INC COM 58502B106 130 11178 SH DFND 11178 0 0 MEDLEY CAP CORP COM 58503F106 34 59238 SH DFND 59238 0 0 MICROSOFT CORP COM 594918104 15542 98548 SH DFND 98548 0 0 MICRON TECHNOLOGY INC COM 595112103 666 15854 SH DFND 15854 0 0 MID AMER APT CMNTYS INC COM 59522J103 552 5359 SH DFND 5359 0 0 MIRATI THERAPEUTICS INC COM 60468T105 884 11508 SH DFND 11508 0 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 97 12843 SH DFND 12843 0 0 MOLSON COORS BEVERAGE CO CL B 60871R209 322 8274 SH DFND 8274 0 0 MONDELEZ INTL INC CL A 609207105 1991 39773 SH DFND 39773 0 0 MONGODB INC CL A 60937P106 317 2327 SH DFND 2327 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 723 12858 SH DFND 12858 0 0 MOODYS CORP COM 615369105 1675 7923 SH DFND 7923 0 0 MORGAN STANLEY COM NEW 617446448 14492 426251 SH DFND 426251 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 750 5650 SH DFND 5650 0 0 NVR INC COM 62944T105 2409 938 SH DFND 938 0 0 NASDAQ INC COM 631103108 1180 12430 SH DFND 12430 0 0 NEUBERGER BERMAN HIGH YIELD COM 64128C106 205 23700 SH DFND 23700 0 0 NEW AGE BEVERAGES CORP COM 64157V108 23 16928 SH DFND 16928 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 448 4145 SH DFND 4145 0 0 NEWMARKET CORP COM 651587107 2941 7682 SH DFND 7682 0 0 NEWPARK RES INC COM PAR $.01NEW 651718504 11 13205 SH DFND 13205 0 0 NEWS CORP NEW CL B 65249B208 3539 393706 SH DFND 393706 0 0 NEXTERA ENERGY INC COM 65339F101 1708 7102 SH DFND 7102 0 0 NORDSON CORP COM 655663102 1261 9337 SH DFND 9337 0 0 NORFOLK SOUTHERN CORP COM 655844108 947 6488 SH DFND 6488 0 0 NORTHROP GRUMMAN CORP COM 666807102 3634 12014 SH DFND 12014 0 0 NUVEEN MUN CR OPPORTUNITIES COM 670663103 129 10000 SH DFND 10000 0 0 NUVEEN INT DUR QUAL MUN TRM COM 670677103 139 10475 SH DFND 10475 0 0 NUVEEN SR INCOME FD COM 67067Y104 277 62894 SH DFND 62894 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 455 61300 SH DFND 61300 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 647 85700 SH DFND 85700 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 1315 4369 SH DFND 4369 0 0 OASIS PETROLEUM INC COM 674215108 7 21550 SH DFND 21550 0 0 OCWEN FINL CORP COM NEW 675746309 5 11597 SH DFND 11597 0 0 OFFICE DEPOT INC COM 676220106 61 37359 SH DFND 37359 0 0 OKTA INC CL A 679295105 294 2412 SH DFND 2412 0 0 OMEGA HEALTHCARE INVS INC COM 681936100 256 9670 SH DFND 9670 0 0 ORACLE CORP COM 68389X105 301 6233 SH DFND 6233 0 0 PBF ENERGY INC CL A 69318G106 136 19316 SH DFND 19316 0 0 PDC ENERGY INC COM 69327R101 145 23437 SH DFND 23437 0 0 PG&E CORP COM 69331C108 1154 128474 SH DFND 128474 0 0 PACCAR INC COM 693718108 386 6325 SH DFND 6325 0 0 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 4 10554 SH DFND 10554 0 0 PALO ALTO NETWORKS INC COM 697435105 421 2569 SH DFND 2569 0 0 PAYCHEX INC COM 704326107 472 7506 SH DFND 7506 0 0 PAYCOM SOFTWARE INC COM 70432V102 491 2431 SH DFND 2431 0 0 PEARSON PLC SPONSORED ADR 705015105 82 11969 SH DFND 11969 0 0 PEOPLES UTD FINL INC COM 712704105 359 32544 SH DFND 32544 0 0 PEPSICO INC COM 713448108 6603 54987 SH DFND 54987 0 0 PFENEX INC COM 717071104 110 12491 SH DFND 12491 0 0 PHATHOM PHARMACEUTICALS INC COM 71722W107 283 10980 SH DFND 10980 0 0 PINNACLE FINL PARTNERS INC COM 72346Q104 235 6286 SH DFND 6286 0 0 PINNACLE WEST CAP CORP COM 723484101 1237 16330 SH DFND 16330 0 0 PLURALSIGHT INC COM CL A 72941B106 391 35666 SH DFND 35666 0 0 PRIMO WATER CORPORATION COM 74167P108 439 48529 SH DFND 48529 0 0 PROCTER & GAMBLE CO COM 742718109 9533 86664 SH DFND 86664 0 0 PROGRESSIVE CORP OHIO COM 743315103 1217 16489 SH DFND 16489 0 0 PROLOGIS INC. COM 74340W103 1840 22900 SH DFND 22900 0 0 PROSHARES TR ULTSHT FT CH 50 74347B227 2596 41663 SH DFND 41663 0 0 PROSHARES TR PSHS SHORT DOW30 74347B235 559 9558 SH DFND 9558 0 0 PROSHARES TR ULTSHRT QQQ 74347B243 403 17403 SH DFND 17403 0 0 PROSHARES TR PSHS ULDOW30 NEW 74347B276 417 14449 SH DFND 14449 0 0 PROSHARES TR SHT MSCI NEW 74347B284 1274 26023 SH DFND 26023 0 0 PROSHARES TR ULT MSCIBZL CAPP 74347B292 1078 30500 SH DFND 30500 0 0 PROSHARES TR SHORT QQQ NEW 74347B714 434 17093 SH DFND 17093 0 0 PROSHARES TR ULTSH NASD BIOT 74347B789 787 55645 SH DFND 55645 0 0 PROSHARES TR ULTRAPRO DOW 30 74347G309 534 11079 SH DFND 11079 0 0 PROSHARES TR ULTRAPRO SHT QQQ 74347G408 6378 327758 SH DFND 327758 0 0 PROSHARES TR PSHS ULT NASB 74347R214 1791 38720 SH DFND 38720 0 0 PROSHARES TR PSHS ULTRA DOW30 74347R305 1099 36909 SH DFND 36909 0 0 PROSHARES TR PSHS ULTRA TECH 74347R693 1758 15814 SH DFND 15814 0 0 PROSHARES TR II SHT VIX ST TRM 74347W130 523 16887 SH DFND 16887 0 0 PROSHARES TR II VIX SH TRM FUTRS 74347W171 967 25496 SH DFND 25496 0 0 PROSHARES TR II ULSHT BLOOMB OIL 74347W668 909 18194 SH DFND 18194 0 0 PROSHARES TR ULTRPRO DOW30 74347X823 3021 72310 SH DFND 72310 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 11469 240749 SH DFND 240749 0 0 PROSHARES TR S&P 500 DV ARIST 74348A467 5490 95210 SH DFND 95210 0 0 PROSHARES TR HGH YLD INT RATE 74348A541 227 4133 SH DFND 4133 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 512 11417 SH DFND 11417 0 0 QEP RESOURCES INC COM 74733V100 12 36959 SH DFND 36959 0 0 PYXUS INTL INC COM 74737V106 109 35170 SH DFND 35170 0 0 QUORUM HEALTH CORP COM 74909E106 5 11437 SH DFND 11437 0 0 RA PHARMACEUTICALS INC COM 74933V108 527 10981 SH DFND 10981 0 0 RANGE RES CORP COM 75281A109 129 56704 SH DFND 56704 0 0 RAYTHEON CO COM NEW 755111507 1737 13248 SH DFND 13248 0 0 REALTY INCOME CORP COM 756109104 479 9607 SH DFND 9607 0 0 REATA PHARMACEUTICALS INC CL A 75615P103 258 1791 SH DFND 1791 0 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 208 2381 SH DFND 2381 0 0 REPUBLIC SVCS INC COM 760759100 1623 21633 SH DFND 21633 0 0 RESMED INC COM 761152107 1039 7058 SH DFND 7058 0 0 RESOLUTE FST PRODS INC COM 76117W109 50 39876 SH DFND 39876 0 0 ROBERT HALF INTL INC COM 770323103 979 25958 SH DFND 25958 0 0 ROKU INC COM CL A 77543R102 3081 35230 SH DFND 35230 0 0 ROYAL BK SCOTLAND GROUP PLC SPONS ADR 2 ORD 780097689 111 41021 SH DFND 41021 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 3406 104310 SH DFND 104310 0 0 S&P GLOBAL INC COM 78409V104 4462 18211 SH DFND 18211 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 4534 16795 SH DFND 16795 0 0 SM ENERGY CO COM 78454L100 17 14173 SH DFND 14173 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 88471 343248 SH DFND 343248 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 2579 72183 SH DFND 72183 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 644 21317 SH DFND 21317 0 0 SPDR SER TR DJ REIT ETF 78464A607 1990 27565 SH DFND 27565 0 0 SPDR SER TR AEROSPACE DEF 78464A631 2350 30886 SH DFND 30886 0 0 SPDR SER TR PORTFOLIO LN TSR 78464A664 864 18300 SH DFND 18300 0 0 SPDR SER TR S&P REGL BKG 78464A698 2089 64117 SH DFND 64117 0 0 SPDR SER TR S&P METALS MNG 78464A755 289 17968 SH DFND 17968 0 0 SPDR SER TR S&P DIVID ETF 78464A763 4041 50609 SH DFND 50609 0 0 SPDR SER TR S&P INS ETF 78464A789 1063 42670 SH DFND 42670 0 0 SPDR SER TR S&P 400 MDCP VAL 78464A839 2989 84795 SH DFND 84795 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 9769 44563 SH DFND 44563 0 0 SPDR SER TR OILGAS EQUIP 78468R549 463 20452 SH DFND 20452 0 0 SPDR SER TR S&P OILGAS EXP 78468R556 10686 324817 SH DFND 324817 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 519 5487 SH DFND 5487 0 0 SPDR SER TR PRTFLO S&P500 HI 78468R788 452 18403 SH DFND 18403 0 0 SSGA ACTIVE TR SPDR DBLELN EMRG 78470P309 296 6522 SH DFND 6522 0 0 SALESFORCE COM INC COM 79466L302 2581 17929 SH DFND 17929 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 41 46551 SH DFND 46551 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 1210 22303 SH DFND 22303 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 496 9600 SH DFND 9600 0 0 SEALED AIR CORP NEW COM 81211K100 226 9178 SH DFND 9178 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1364 30302 SH DFND 30302 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 21412 241726 SH DFND 241726 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 10428 191461 SH DFND 191461 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 4941 50384 SH DFND 50384 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 5745 197699 SH DFND 197699 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 19866 954221 SH DFND 954221 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1617 27418 SH DFND 27418 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2071 25775 SH DFND 25775 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 5731 129545 SH DFND 129545 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 1056 34068 SH DFND 34068 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 7432 134141 SH DFND 134141 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 288 3123 SH DFND 3123 0 0 SERVICE CORP INTL COM 817565104 341 8744 SH DFND 8744 0 0 SERVICESOURCE INTL INC COM 81763U100 12 13924 SH DFND 13924 0 0 SESEN BIO INC COM 817763105 11 20647 SH DFND 20647 0 0 SHERWIN WILLIAMS CO COM 824348106 5033 10954 SH DFND 10954 0 0 SHOPIFY INC CL A 82509L107 1439 3452 SH DFND 3452 0 0 SNAP INC CL A 83304A106 1033 86963 SH DFND 86963 0 0 SOUTHERN CO COM 842587107 2077 38379 SH DFND 38379 0 0 SOUTHERN CO UNIT 08/01/2022 842587602 204 4600 SH DFND 4600 0 0 SOUTHWESTERN ENERGY CO COM 845467109 198 117274 SH DFND 117274 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 318 13298 SH DFND 13298 0 0 STARBUCKS CORP COM 855244109 13441 204472 SH DFND 204472 0 0 STEIN MART INC COM 858375108 4 10648 SH DFND 10648 0 0 STRYKER CORP COM 863667101 2489 14952 SH DFND 14952 0 0 SUN CMNTYS INC COM 866674104 540 4333 SH DFND 4333 0 0 SUNCOKE ENERGY INC COM 86722A103 52 13748 SH DFND 13748 0 0 SUNDIAL GROWERS INC COM 86730L109 49 77216 SH DFND 77216 0 0 SUPERIOR INDS INTL INC COM 868168105 35 29603 SH DFND 29603 0 0 SYNOPSYS INC COM 871607107 692 5379 SH DFND 5379 0 0 SYNTHESIS ENERGY SYS INC COM 871628301 31 15112 SH DFND 15112 0 0 SYSCO CORP COM 871829107 848 18594 SH DFND 18594 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 875 25272 SH DFND 25272 0 0 TAIWAN FD INC COM 874036106 242 14720 SH DFND 14720 0 0 TALLGRASS ENERGY LP CLASS A SHS 874696107 16713 1015372 SH DFND 1015372 0 0 TARGET CORP COM 87612E106 2376 25557 SH DFND 25557 0 0 TARONIS TECHNOLOGIES INC COM NEW 876214206 1 12440 SH DFND 12440 0 0 TECH DATA CORP COM 878237106 524 4008 SH DFND 4008 0 0 TELEFLEX INCORPORATED COM 879369106 375 1282 SH DFND 1282 0 0 TELEFONICA S A SPONSORED ADR 879382208 154 33882 SH DFND 33882 0 0 TELLURIAN INC NEW COM 87968A104 28 31888 SH DFND 31888 0 0 TENCENT MUSIC ENTMT GROUP SPON ADS 88034P109 307 30589 SH DFND 30589 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 144 16105 SH DFND 16105 0 0 TEXAS INSTRS INC COM 882508104 689 6897 SH DFND 6897 0 0 TEXAS PAC LD TR SUB CTF PROP I T 882610108 383 1008 SH DFND 1008 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 4017 14167 SH DFND 14167 0 0 3M CO COM 88579Y101 433 3178 SH DFND 3178 0 0 TOCAGEN INC COM 888846102 15 12488 SH DFND 12488 0 0 TRACTOR SUPPLY CO COM 892356106 1006 11909 SH DFND 11909 0 0 TRANSDIGM GROUP INC COM 893641100 984 3074 SH DFND 3074 0 0 TRAVELERS COMPANIES INC COM 89417E109 272 2739 SH DFND 2739 0 0 TURQUOISE HILL RES LTD COM 900435108 11 29506 SH DFND 29506 0 0 TWILIO INC CL A 90138F102 863 9648 SH DFND 9648 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 135 16612 SH DFND 16612 0 0 UBIQUITI INC COM 90353W103 211 1494 SH DFND 1494 0 0 ULTA BEAUTY INC COM 90384S303 712 4056 SH DFND 4056 0 0 UNIT CORPORATION COM 909218109 10 40410 SH DFND 40410 0 0 US FOODS HLDG CORP COM 912008109 259 14651 SH DFND 14651 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 889 211261 SH DFND 211261 0 0 UNITED STATES STL CORP NEW COM 912909108 1646 260921 SH DFND 260921 0 0 UNITED TECHNOLOGIES CORP COM 913017109 928 9843 SH DFND 9843 0 0 UXIN LTD ADS 91818X108 17 11289 SH DFND 11289 0 0 VAIL RESORTS INC COM 91879Q109 658 4459 SH DFND 4459 0 0 VALE S A SPONSORED ADS 91912E105 554 66846 SH DFND 66846 0 0 VALLEY NATL BANCORP COM 919794107 141 19299 SH DFND 19299 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 57914 2513652 SH DFND 2513652 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 1746 104694 SH DFND 104694 0 0 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 869 19874 SH DFND 19874 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 6747 57600 SH DFND 57600 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 36192 1287982 SH DFND 1287982 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 322 11332 SH DFND 11332 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 2596 49690 SH DFND 49690 0 0 VANGUARD WORLD FD MEGA GRWTH IND 921910816 879 6919 SH DFND 6919 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 2134 14340 SH DFND 14340 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 202 3602 SH DFND 3602 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2309 68844 SH DFND 68844 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 8165 59247 SH DFND 59247 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 8741 228725 SH DFND 228725 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 450 4082 SH DFND 4082 0 0 VANGUARD WORLD FDS UTILITIES ETF 92204A876 4251 34867 SH DFND 34867 0 0 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 409 5378 SH DFND 5378 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2076 16389 SH DFND 16389 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 7095 101589 SH DFND 101589 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 1923 12273 SH DFND 12273 0 0 VEREIT INC COM 92339V100 235 48153 SH DFND 48153 0 0 VERISIGN INC COM 92343E102 473 2627 SH DFND 2627 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 864 16081 SH DFND 16081 0 0 VERISK ANALYTICS INC COM 92345Y106 1844 13233 SH DFND 13233 0 0 VERTICAL CAP INCOME FD SHS BEN INT 92535C104 142 17000 SH DFND 17000 0 0 VIACOMCBS INC CL B 92556H206 688 49178 SH DFND 49178 0 0 VISA INC COM CL A 92826C839 48586 301555 SH DFND 301555 0 0 VONAGE HLDGS CORP COM 92886T201 385 53329 SH DFND 53329 0 0 W & T OFFSHORE INC COM 92922P106 38 22790 SH DFND 22790 0 0 WABCO HLDGS INC COM 92927K102 490 3634 SH DFND 3634 0 0 WP CAREY INC COM 92936U109 896 15436 SH DFND 15436 0 0 WEC ENERGY GROUP INC COM 92939U106 2384 27062 SH DFND 27062 0 0 WABTEC COM 929740108 513 10673 SH DFND 10673 0 0 WALMART INC COM 931142103 1504 13244 SH DFND 13244 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 3204 70038 SH DFND 70038 0 0 WASHINGTON FED INC COM 938824109 2446 94241 SH DFND 94241 0 0 WASTE MGMT INC DEL COM 94106L109 2865 30963 SH DFND 30963 0 0 WATERS CORP COM 941848103 531 2921 SH DFND 2921 0 0 WELLS FARGO UTILITIES AND HI WF UTILITIES IN 94987E109 164 15103 SH DFND 15103 0 0 WELLTOWER INC COM 95040Q104 620 13554 SH DFND 13554 0 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 477 3137 SH DFND 3137 0 0 WESTERN UN CO COM 959802109 677 37347 SH DFND 37347 0 0 WHITING PETE CORP NEW COM NEW 966387409 16 24476 SH DFND 24476 0 0 WISDOMTREE TR US SHRT TRM HIGH 97717X149 232 5285 SH DFND 5285 0 0 WORKHORSE GROUP INC COM NEW 98138J206 175 97164 SH DFND 97164 0 0 WPX ENERGY INC COM 98212B103 141 46557 SH DFND 46557 0 0 XCEL ENERGY INC COM 98389B100 875 14513 SH DFND 14513 0 0 XILINX INC COM 983919101 310 3987 SH DFND 3987 0 0 XEROX HOLDINGS CORP COM NEW 98421M106 470 24823 SH DFND 24823 0 0 YUM BRANDS INC COM 988498101 428 6258 SH DFND 6258 0 0 YUM CHINA HLDGS INC COM 98850P109 534 12534 SH DFND 12534 0 0 ZEBRA TECHNOLOGIES CORP CL A 989207105 306 1672 SH DFND 1672 0 0 ZILLOW GROUP INC CL A 98954M101 3833 112841 SH DFND 112841 0 0 ZOETIS INC CL A 98978V103 1229 10446 SH DFND 10446 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 562 3851 SH DFND 3851 0 0 ARCH CAP GROUP LTD ORD G0450A105 971 34134 SH DFND 34134 0 0 AXALTA COATING SYS LTD COM G0750C108 411 23840 SH DFND 23840 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2431 14895 SH DFND 14895 0 0 HELEN OF TROY CORP LTD COM G4388N106 226 1575 SH DFND 1575 0 0 IHS MARKIT LTD SHS G47567105 371 6197 SH DFND 6197 0 0 LIANLUO SMART LTD COM CL A G5478K100 11 24877 SH DFND 24877 0 0 MAIDEN HOLDINGS LTD SHS G5753U112 13 15251 SH DFND 15251 0 0 MEDTRONIC PLC SHS G5960L103 3115 34548 SH DFND 34548 0 0 NABORS INDUSTRIES LTD SHS G6359F103 16 42030 SH DFND 42030 0 0 NABRIVA THERAPEUTICS PLC SHS G63637105 10 17959 SH DFND 17959 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 578 46101 SH DFND 46101 0 0 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 117 10742 SH DFND 10742 0 0 NOVOCURE LTD ORD SHS G6674U108 443 6579 SH DFND 6579 0 0 RENAISSANCERE HOLDINGS LTD COM G7496G103 540 3619 SH DFND 3619 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 1069 21915 SH DFND 21915 0 0 SEADRILL LTD COM G7998G106 10 23595 SH DFND 23595 0 0 STERIS PLC SHS USD G8473T100 751 5372 SH DFND 5372 0 0 THIRD PT REINS LTD COM G8827U100 88 11983 SH DFND 11983 0 0 WHITE MTNS INS GROUP LTD COM G9618E107 218 240 SH DFND 240 0 0 GARMIN LTD SHS H2906T109 264 3528 SH DFND 3528 0 0 GLOBANT S A COM L44385109 254 2900 SH DFND 2900 0 0 NEXA RES S A COM L67359106 46 13380 SH DFND 13380 0 0 FERRARI N V COM N3167Y103 797 5225 SH DFND 5225 0 0 MYLAN NV SHS EURO N59465109 334 22421 SH DFND 22421 0 0 WRIGHT MED GROUP N V ORD SHS N96617118 428 14966 SH DFND 14966 0 0 YANDEX N V SHS CLASS A N97284108 659 19367 SH DFND 19367 0 0 NAKED BRAND GROUP LIMITED SHS NEW Q6519T117 16 29646 SH DFND 29646 0 0 PERFORMANCE SHIPPING INC COM Y67305105 8 14538 SH DFND 14538 0 0 SCORPIO BULKERS INC COM Y7546A122 33 13322 SH DFND 13322 0 0 AT&T INC PUT 00206R952 658 22600 SH DFND 22600 0 0 ABBOTT LABS PUT 002824950 2114 26800 SH DFND 26800 0 0 ADOBE INC PUT 00724F951 1368 4300 SH DFND 4300 0 0 ADVANCED MICRO DEVICES INC CALL 007903907 609 13400 SH DFND 13400 0 0 ADVANCED MICRO DEVICES INC PUT 007903957 2296 50500 SH DFND 50500 0 0 ALIBABA GROUP HLDG LTD CALL 01609W902 894 4600 SH DFND 4600 0 0 ALIBABA GROUP 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21800 SH DFND 21800 0 0 BLACKSTONE GROUP INC PUT 09260D957 277 6100 SH DFND 6100 0 0 BOEING CO PUT 097023955 1804 12100 SH DFND 12100 0 0 BOOKING HLDGS INC CALL 09857L908 672 500 SH DFND 500 0 0 BRISTOL-MYERS SQUIBB CO PUT 110122958 1231 22100 SH DFND 22100 0 0 BROADCOM INC CALL 11135F901 213 900 SH DFND 900 0 0 BROADCOM INC PUT 11135F951 331 1400 SH DFND 1400 0 0 CATERPILLAR INC DEL PUT 149123951 719 6200 SH DFND 6200 0 0 CHIPOTLE MEXICAN GRILL INC PUT 169656955 850 1300 SH DFND 1300 0 0 CISCO SYS INC PUT 17275R952 212 5400 SH DFND 5400 0 0 CITIGROUP INC PUT 172967954 497 11800 SH DFND 11800 0 0 COSTCO WHSL CORP NEW PUT 22160K955 570 2000 SH DFND 2000 0 0 DBX ETF TR CALL 233051909 256 9900 SH DFND 9900 0 0 DEERE & CO PUT 244199955 1091 7900 SH DFND 7900 0 0 DIREXION SHS ETF TR PUT 25459W957 211 12800 SH DFND 12800 0 0 DISNEY WALT CO PUT 254687956 3226 33400 SH DFND 33400 0 0 DIREXION SHS ETF TR PUT 25490K953 286 12700 SH DFND 12700 0 0 EXXON MOBIL CORP PUT 30231G952 1458 38400 SH DFND 38400 0 0 FACEBOOK INC PUT 30303M952 467 2800 SH DFND 2800 0 0 FEDEX CORP CALL 31428X906 460 3800 SH DFND 3800 0 0 FEDEX CORP PUT 31428X956 848 7000 SH DFND 7000 0 0 FORD MTR CO DEL PUT 345370950 512 106100 SH DFND 106100 0 0 FREEPORT-MCMORAN INC PUT 35671D957 126 18800 SH DFND 18800 0 0 GENERAL ELECTRIC CO PUT 369604953 157 19800 SH DFND 19800 0 0 GENERAL MTRS CO PUT 37045V950 1776 85500 SH DFND 85500 0 0 GILEAD SCIENCES INC CALL 375558903 919 12300 SH DFND 12300 0 0 GILEAD SCIENCES INC PUT 375558953 560 7500 SH DFND 7500 0 0 GOLDMAN SACHS GROUP INC PUT 38141G954 448 2900 SH DFND 2900 0 0 GRUBHUB INC PUT 400110952 309 7600 SH DFND 7600 0 0 HOME DEPOT INC PUT 437076952 317 1700 SH DFND 1700 0 0 HONEYWELL INTL INC PUT 438516956 1217 9100 SH DFND 9100 0 0 HUMANA INC PUT 444859952 1161 3700 SH DFND 3700 0 0 INTERNATIONAL BUSINESS MACHS PUT 459200951 610 5500 SH DFND 5500 0 0 INVESCO QQQ TR CALL 46090E903 685 3600 SH DFND 3600 0 0 INTUITIVE SURGICAL INC PUT 46120E952 1782 3600 SH DFND 3600 0 0 ISHARES TR CALL 464287902 1550 9400 SH DFND 9400 0 0 ISHARES TR PUT 464287952 1237 7500 SH DFND 7500 0 0 ISHARES TR PUT 464287955 208 3900 SH DFND 3900 0 0 ISHARES TR CALL 464287906 204 1900 SH DFND 1900 0 0 ISHARES TR PUT 464287956 646 6000 SH DFND 6000 0 0 ISHARES TR PUT 464287955 274 2400 SH DFND 2400 0 0 JPMORGAN CHASE & CO PUT 46625H950 1980 22000 SH DFND 22000 0 0 JOHNSON & JOHNSON PUT 478160954 2412 18400 SH DFND 18400 0 0 LAM RESEARCH CORP PUT 512807958 384 1600 SH DFND 1600 0 0 LOCKHEED MARTIN CORP PUT 539830959 1288 3800 SH DFND 3800 0 0 LULULEMON ATHLETICA INC PUT 550021959 208 1100 SH DFND 1100 0 0 LYFT INC PUT 55087P954 598 22300 SH DFND 22300 0 0 MARATHON PETE CORP PUT 56585A952 236 10000 SH DFND 10000 0 0 MERCADOLIBRE INC CALL 58733R902 781 1600 SH DFND 1600 0 0 MERCADOLIBRE INC PUT 58733R952 439 900 SH DFND 900 0 0 MERCK & CO. 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PUT 958102955 1560 37500 SH DFND 37500 0 0 WYNN RESORTS LTD PUT 983134957 445 7400 SH DFND 7400 0 0 ATLASSIAN CORP PLC CALL G06242904 672 4900 SH DFND 4900 0 0 ATLASSIAN CORP PLC PUT G06242954 562 4100 SH DFND 4100 0 0 SPOTIFY TECHNOLOGY S A PUT L8681T952 230 1900 SH DFND 1900 0 0