Chief Operating Officer and General Counsel

0001172661-15-000774.txt : 20150312 0001172661-15-000774.hdr.sgml : 20150312 20150312165119 ACCESSION NUMBER: 0001172661-15-000774 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20150312 DATE AS OF CHANGE: 20150312 EFFECTIVENESS DATE: 20150312 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RHJ International SA CENTRAL INDEX KEY: 0001513271 IRS NUMBER: 000000000 STATE OF INCORPORATION: C9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14449 FILM NUMBER: 15696513 BUSINESS ADDRESS: STREET 1: AVENUE LOUISE 326 CITY: BRUSSELS STATE: C9 ZIP: 2 BUSINESS PHONE: 003226436010 MAIL ADDRESS: STREET 1: AVENUE LOUISE 326 CITY: BRUSSELS STATE: C9 ZIP: 2 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001513271 XXXXXXXX 03-31-2014 03-31-2014 true 1 RESTATEMENT false RHJ International SA

Avenue Louise 326 Brussels C9 2

13F HOLDINGS REPORT 028-14449 N Dr. Ruediger Schmid-Kuehnhoefer Chief Operating Officer and General Counsel 44-203-207-7284 /s/ Ruediger Schmid-Kuehnhoefer London X0 03-12-2015 8 551 3461677 1 0001513269 028-14452 Kleinwort Benson Group Ltd 2 0001517434 028-14450 Kleinwort Benson Channel Island Holdings Ltd 3 0001517435 028-14451 Kleinwort Benson (Channel Islands) Investment Management Ltd 4 0001410251 028-13048 Kleinwort Benson Investors Dublin Ltd 5 0001463879 028-13513 Kleinwort Benson Investors International Ltd. 6 0000894041 BHF BANK AKTIENGESELLSCHAFT /ADR/ 7 0001491951 Frankfurt-Trust Investment Gesellschaft mit beschrankter Haftung 8 0001491950 Frankfurt-Trust Invest Luxembourg AG INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 2846 20981 SH DFND 8,7,6,3,2,1 0 20730 251 ABB LTD SPONSORED ADR 000375204 258 10000 SH DFND 3,2,1 0 0 10000 ABBOTT LABS COM 002824100 1380 35825 SH DFND 8,7,6,3,2,1 0 24450 11375 ABBVIE INC COM 00287Y109 12515 267239 SH DFND 8,7,6,4,1 6339 260000 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RENEWABLE ENERG COM 393222104 105 5000 SH DFND 8,7,6,1 0 5000 0 GT ADVANCED TECHNOLOGIES INC COM 36191U106 2016 161500 SH DFND 7,6,1 0 161500 0 HALLIBURTON CO COM 406216101 3365 60900 SH DFND 8,7,6,1 0 60000 900 HANESBRANDS INC COM 410345102 1265 18863 SH DFND 1 4250 0 14613 HARLEY DAVIDSON INC COM 412822108 2641 39650 SH DFND 7,6,3,2,1 0 37000 2650 HARMAN INTL INDS INC COM 413086109 420 10000 SH DFND 3,2,1 0 0 10000 HARRIS CORP DEL COM 413875105 15730 219021 SH DFND 5,4,1 219021 0 0 HASBRO INC COM 418056107 16716 304473 SH DFND 5,4,1 304473 0 0 HCA HOLDINGS INC COM 40412C101 857 23000 SH DFND 8,7,6,1 0 23000 0 HCP INC COM 40414L109 11693 239227 SH DFND 5,4,1 239227 0 0 HD SUPPLY HLDGS INC COM 40416M105 59477 2016849 SH DFND 5,4,1 1177800 839049 0 HECLA MNG CO COM 422704106 12 4000 SH DFND 3,2,1 0 0 4000 HELMERICH & PAYNE INC COM 423452101 1722 22000 SH DFND 7,6,1 0 22000 0 HERBALIFE LTD COM USD SHS G4412G101 198 4900 SH DFND 7,6,1 0 4900 0 HERSHEY CO COM 427866108 2522 33600 SH DFND 7,6,1 0 33600 0 HESS CORP COM 42809H107 138 1670 SH DFND 3,2,1 0 0 1670 HEWLETT PACKARD CO COM 428236103 1079 33329 SH DFND 8,7,6,4,3,2,1 12819 12030 8480 HILLSHIRE BRANDS CO COM 432589109 56 1500 SH DFND 3,2,1 0 0 1500 HOLLYFRONTIER CORP COM 436106108 523 11002 SH DFND 3,2,1 0 0 11002 HOME DEPOT INC COM 437076102 10304 130220 SH DFND 8,7,6,5,4,3,2,1 102642 21550 6028 HONEYWELL INTL INC COM 438516106 3247 35000 SH DFND 7,6,3,2,1 0 25000 10000 HSBC HLDGS PLC SPON ADR NEW 404280406 330 6500 SH DFND 3,2,1 0 0 6500 HUMANA INC COM 444859102 220 1950 SH DFND 4,3,2,1 1650 0 300 ICICI BK LTD ADR 45104G104 101 2300 SH DFND 3,2,1 0 0 2300 IDERA PHARMACEUTICALS INC COM NEW 45168K306 70 21000 SH DFND 8,7,6,1 0 21000 0 ILLINOIS TOOL WKS INC COM 452308109 146 1790 SH DFND 4,1 1790 0 0 ILLUMINA INC COM 452327109 14542 97820 SH DFND 7,6,3,2,1 0 2300 95520 IMMUNOMEDICS INC COM 452907108 84 27000 SH DFND 8,7,6,1 0 27000 0 INCYTE CORP COM 45337C102 98 2700 SH DFND 8,7,6,1 0 2700 0 INFOSYS LTD SPONSORED ADR 456788108 22 400 SH DFND 3,2,1 0 0 400 ING GROEP N V SPONSORED ADR 456837103 143 10000 SH DFND 3,2,1 0 0 10000 INGREDION INC COM 457187102 2587 30489 SH DFND 5,4,1 30489 0 0 INTEL CORP COM 458140100 41530 1608816 SH DFND 8,7,6,5,4,3,2,1 1415151 171090 22575 INTERNATIONAL BUSINESS MACHS COM 459200101 29669 154132 SH DFND 8,7,6,5,4,3,2,1 72496 78591 3045 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 1711 25000 SH DFND 7,6,1 0 25000 0 INTL FCSTONE INC COM 46116V105 62 3300 SH DFND 3,2,1 0 0 3300 INTL PAPER CO COM 460146103 5016 152431 SH DFND 8,7,6,5,4,1 141751 10680 0 INVENSENSE INC COM 46123D205 14 600 SH DFND 3,2,1 0 0 600 INVESCO LTD SHS G491BT108 2649 100000 SH DFND 7,6,1 0 100000 0 IROBOT CORP COM 462726100 492 16500 SH DFND 8,7,6,1 0 15500 1000 ISHARES CORE S&P500 ETF 464287200 245 1300 SH DFND 3,2,1 0 0 1300 ISHARES EMU ETF 464286608 54 1280 SH DFND 3,2,1 0 0 1280 ISHARES GLB CNS DISC ETF 464288745 331 4036 SH DFND 3,2,1 4036 0 0 ISHARES GLB CNSM STP ETF 464288737 252 2918 SH DFND 3,2,1 2606 0 312 ISHARES GLOB INDSTRL ETF 464288729 528 7424 SH DFND 3,2,1 7424 0 0 ISHARES GLOB TELECOM ETF 464287275 465 6952 SH DFND 3,2,1 6952 0 0 ISHARES GLOB UTILITS ETF 464288711 65 1351 SH DFND 3,2,1 1351 0 0 ISHARES GLOBAL FINLS ETF 464287333 422 7461 SH DFND 3,2,1 6906 0 555 ISHARES IBOXX HI YD ETF 464288513 1087 12000 SH DFND 1 0 0 12000 ISHARES JP MOR EM MK ETF 464288281 28 250 SH DFND 3,2,1 250 0 0 ISHARES MSCI AC ASIA ETF 464288182 768 13000 SH DFND 1 0 0 13000 ISHARES MSCI AUST ETF 464286103 199 7705 SH DFND 3,2,1 0 0 7705 ISHARES MSCI BRZ CAP ETF 464286400 10 220 SH DFND 1 0 0 220 ISHARES MSCI FRANCE ETF 464286707 597 20450 SH DFND 1 0 0 20450 ISHARES MSCI GERMANY ETF 464286806 28 1475 SH DFND 1 0 0 1475 ISHARES MSCI ITALCPD ETF 464286855 629 35500 SH DFND 1 0 0 35500 ISHARES MSCI JAPAN ETF 464286848 73 6400 SH DFND 3,2,1 3800 0 2600 ISHARES MSCI PAC JP ETF 464286665 19 400 SH DFND 3,2,1 0 0 400 ISHARES MSCI SPAN CP ETF 464286764 1260 54320 SH DFND 3,2,1 0 0 54320 ISHARES MSCI SWEDEN ETF 464286756 796 21750 SH DFND 3,2,1 0 0 21750 ISHARES RUS 1000 ETF 464287622 831 7933 SH DFND 3,2,1 7933 0 0 ISHARES RUS 1000 VAL ETF 464287598 1235 12800 SH DFND 3,2,1 0 0 12800 ISHARES S&P 500 GRWT ETF 464287309 48 482 SH DFND 3,2,1 0 0 482 ISHARES U.S. TECH ETF 464287721 58 632 SH DFND 3,2,1 0 0 632 ISHARES GOLD TRUST ISHARES 464285105 68 5800 SH DFND 1 0 0 5800 ISHARES TR MSCI RUSSIA CAP 46429B705 1054 57100 SH DFND 1 0 0 57100 ITRON INC COM 465741106 40917 967533 SH DFND 5,4,1 967533 0 0 JDS UNIPHASE CORP COM PAR $0.001 46612J507 4 275 SH DFND 3,2,1 0 0 275 JOHNSON & JOHNSON COM 478160104 25021 254722 SH DFND 8,7,6,3,2,1 96269 89820 68633 JOHNSON CTLS INC COM 478366107 11098 276336 SH DFND 5,4,1 276336 0 0 JPMORGAN CHASE & CO COM 46625H100 46907 772640 SH DFND 8,7,6,5,4,3,2,1 448811 227760 96069 JUNIPER NETWORKS INC COM 48203R104 205 11000 SH DFND 7,6,1 0 11000 0 KB HOME COM 48666K109 7 400 SH DFND 1 400 0 0 KELLOGG CO COM 487836108 1582 35027 SH DFND 7,6,5,4,1 25827 9200 0 KEYCORP NEW COM 493267108 10979 770975 SH DFND 8,7,6,3,2,1 697575 15000 58400 KIMBERLY CLARK CORP COM 494368103 31887 287635 SH DFND 8,7,6,5,4,1 234580 53055 0 KINDER MORGAN INC DEL COM 49456B101 335 7909 SH DFND 4,1 7909 0 0 KINROSS GOLD CORP COM NO PAR 496902404 2379 775000 SH DFND 7,6,1 0 775000 0 KKR & CO L P DEL COM UNITS 48248M102 120 6750 SH DFND 1 0 0 6750 KLA-TENCOR CORP COM 482480100 1983 39676 SH DFND 7,6,4,1 6466 33000 210 KNOWLES CORP COM 49926D109 498 15790 SH DFND 1 0 0 15790 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 42 1644 SH DFND 8,7,6,1 0 1644 0 KRAFT FOODS GROUP INC COM 50076Q106 6959 124044 SH DFND 7,6,3,2,1 2502 77100 44442 KROGER CO COM 501044101 10995 251899 SH DFND 3,2,1 222719 0 29180 LAM RESEARCH CORP COM 512807108 990 18000 SH DFND 1 3000 0 15000 LAUDER ESTEE COS INC CL A 518439104 49 1000 SH DFND 8,7,6,1 0 1000 0 LEGGETT & PLATT INC COM 524660107 720 36326 SH DFND 7,6,4,1 6326 30000 0 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 62 2200 SH DFND 7,6,1 0 2200 0 LIBERTY PPTY TR SH BEN INT 531172104 126 3520 SH DFND 4,1 3520 0 0 LILLY ELI & CO COM 532457108 65905 1119685 SH DFND 8,7,6,5,4,3,2,1 1105785 11500 2400 LKQ CORP COM 501889208 891 34280 SH DFND 4,1 34280 0 0 LOCKHEED MARTIN CORP COM 539830109 454 2780 SH DFND 3,2,1 0 0 2780 LORILLARD INC COM 544147101 42020 554795 SH DFND 8,7,6,5,4,1 486729 68066 0 LOWES COS INC COM 548661107 1707 48000 SH DFND 7,6,1 0 48000 0 LSI CORPORATION COM 502161102 0 28 SH DFND 1 0 0 28 LUXOTTICA GROUP S P A SPONSORED ADR 55068R202 213 3700 SH DFND 3,2,1 0 0 3700 LYON WILLIAM HOMES CL A NEW 552074700 66 3300 SH DFND 8,7,6,1 0 3300 0 M & T BK CORP COM 55261F104 629 5183 SH DFND 4,3,2,1 1683 0 3500 MACERICH CO COM 554382101 231 3705 SH DFND 3,2,1 0 0 3705 MACYS INC COM 55616P104 7746 130647 SH DFND 7,6,3,2,1 113312 5800 11535 MAGNA INTL INC COM 559222401 243 3500 SH DFND 7,6,1 0 3500 0 MARATHON PETE CORP COM 56585A102 236 3700 SH DFND 7,6,1 0 3700 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 4 175 SH DFND 3,2,1 0 0 175 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 1005 34000 SH DFND 3,2,1 0 0 34000 MARKET VECTORS ETF TR VIETNAM ETF 57060U761 969 44670 SH DFND 3,2,1 0 0 44670 MARRIOTT INTL INC NEW CL A 571903202 1693 42000 SH DFND 7,6,1 0 42000 0 MARSH & MCLENNAN COS INC COM 571748102 558 16290 SH DFND 1 0 0 16290 MASTERCARD INC CL A 57636Q104 3836 51350 SH DFND 8,7,6,3,2,1 0 36500 14850 MATTEL INC COM 577081102 13644 469821 SH DFND 7,6,5,4,1 444551 25000 270 MAXIM INTEGRATED PRODS INC COM 57772K101 9159 287380 SH DFND 5,4,1 287380 0 0 MCDONALDS CORP COM 580135101 22107 226764 SH DFND 8,7,6,5,4,1 96674 126850 3240 MCKESSON CORP COM 58155Q103 770 4359 SH DFND 4,3,2,1 1354 0 3005 MEAD JOHNSON NUTRITION CO COM 582839106 157 1887 SH DFND 1 0 0 1887 MEDIVATION INC COM 58501N101 314 4880 SH DFND 3,2,1 0 0 4880 MEDTRONIC INC COM 585055106 13142 213550 SH DFND 8,7,6,5,4,3,2,1 126550 84700 2300 MERCK & CO INC NEW COM 58933Y105 15141 266713 SH DFND 8,7,6,5,4,3,2,1 194298 37325 35090 METHANEX CORP COM 59151K108 65 1400 SH DFND 7,6,1 0 1400 0 METLIFE INC COM 59156R108 976 26842 SH DFND 1 3500 0 23342 MGM RESORTS INTERNATIONAL COM 552953101 459 25400 SH DFND 7,6,1 0 25400 0 MICROCHIP TECHNOLOGY INC COM 595017104 261 7086 SH DFND 4,1 7086 0 0 MICRON TECHNOLOGY INC COM 595112103 1249 52800 SH DFND 8,7,6,3,2,1 0 35600 17200 MICRONET ENERTEC TECH INC COM 595117102 48 10000 SH DFND 3,2,1 0 0 10000 MICROSOFT CORP COM 594918104 101642 2479689 SH DFND 8,7,6,5,4,3,2,1 1771750 605840 102099 MONDELEZ INTL INC CL A 609207105 7533 218019 SH DFND 8,7,6,3,2,1 42557 38140 137322 MONSANTO CO NEW COM 61166W101 9894 86965 SH DFND 8,7,6,5,4,3,2,1 74405 12400 160 MORGAN STANLEY COM NEW 617446448 77 2806 SH DFND 8,7,6,1 0 2530 276 MORGAN STANLEY INDIA INVS FD COM 61745C105 20 1000 SH DFND 3,2,1 0 0 1000 MOSAIC CO NEW COM 61945C103 2175 43500 SH DFND 5,4,3,2,1 35670 0 7830 MOTOROLA SOLUTIONS INC COM NEW 620076307 822 12780 SH DFND 7,6,4,3,2,1 5038 5600 2142 MYLAN INC COM 628530107 10895 306350 SH DFND 8,7,6,1 0 306350 0 MYR GROUP INC DEL COM 55405W104 1773 64708 SH DFND 5,4,1 0 64708 0 NATIONAL GRID PLC SPON ADR NEW 636274300 412 6000 SH DFND 3,2,1 0 0 6000 NATIONAL OILWELL VARCO INC COM 637071101 591 13335 SH DFND 8,7,6,3,2,1 0 6760 6575 NETFLIX INC COM 64110L106 4696 1800 SH DFND 7,6,1 0 1800 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 766 35744 SH DFND 7,6,1 0 35744 0 NEW YORK CMNTY BANCORP INC COM 649445103 1481 92178 SH DFND 4,3,2,1 76897 0 15281 NEWMONT MINING CORP COM 651639106 674 28740 SH DFND 8,7,6,3,2,1 0 26065 2675 NEWS CORP NEW CL A 65249B109 12 960 SH DFND 8,7,6,1 0 960 0 NEXTERA ENERGY INC COM 65339F101 4758 68972 SH DFND 8,7,6,5,4,1 62872 6100 0 NIKE INC CL B 654106103 42 780 SH DFND 8,7,6,1 0 780 0 NIMBLE STORAGE INC COM 65440R101 124 4760 SH DFND 8,7,6,1 0 4760 0 NOBLE ENERGY INC COM 655044105 377 5300 SH DFND 3,2,1 0 0 5300 NOKIA CORP SPONSORED ADR 654902204 68 12650 SH DFND 8,7,6,1 0 12650 0 NORFOLK SOUTHERN CORP COM 655844108 9818 101043 SH DFND 7,6,5,4,3,2,1 89343 11000 700 NORTHROP GRUMMAN CORP COM 666807102 1293 20740 SH DFND 7,6,1 0 20000 740 NTT DOCOMO INC SPONS ADR 62942M201 434 38520 SH DFND 8,7,6,1 0 38520 0 NU SKIN ENTERPRISES INC CL A 67018T105 91 1100 SH DFND 3,2,1 0 0 1100 NUCOR CORP COM 670346105 365 10000 SH DFND 8,7,6,1 0 10000 0 NUVEEN FLOATING RATE INCOME COM 67072T108 179 15000 SH DFND 3,2,1 0 0 15000 NUVEEN REAL ESTATE INCOME FD COM 67071B108 656 61241 SH DFND 3,2,1 0 0 61241 NUVERRA ENVIRONMENTAL SOLUTI COM NEW 67091K203 3429 617867 SH DFND 5,4,1 353913 263954 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 387 3600 SH DFND 7,6,1 0 3600 0 OCCIDENTAL PETE CORP DEL COM 674599105 1701 17359 SH DFND 8,7,6,4,1 6654 1100 9605 OCEANEERING INTL INC COM 675232102 165 2300 SH DFND 3,2,1 0 0 2300 OCH ZIFF CAP MGMT GROUP CL A 67551U105 399 29000 SH DFND 3,2,1 0 0 29000 OMNICOM GROUP INC COM 681919106 1696 23354 SH DFND 3,2,1 13740 0 9614 ONE GAS INC COM 68235P108 128 5000 SH DFND 7,6,1 0 5000 0 ONEOK INC NEW COM 682680103 850 20000 SH DFND 7,6,1 0 20000 0 OPEN TEXT CORP COM 683715106 61 1800 SH DFND 7,6,1 0 1800 0 ORACLE CORP COM 68389X105 22090 539976 SH DFND 8,7,6,4,3,2,1 4941 498600 36435 OWENS CORNING NEW COM 690742101 4149 168315 SH DFND 5,4,1 105582 62733 0 OWENS ILL INC COM NEW 690768403 376 11100 SH DFND 3,2,1 0 0 11100 PACCAR INC COM 693718108 451 9300 SH DFND 8,7,6,1 0 9300 0 PALO ALTO NETWORKS INC COM 697435105 1746 25446 SH DFND 3,2,1 0 0 25446 PAYCHEX INC COM 704326107 6415 138941 SH DFND 5,4,1 138941 0 0 PEBBLEBROOK HOTEL TR COM 70509V100 1378 45689 SH DFND 3,2,1 0 0 45689 PENGROWTH ENERGY CORP COM 70706P104 215 58793 SH DFND 4,1 58793 0 0 PENNEY J C INC COM 708160106 9 1042 SH DFND 1 0 0 1042 PEOPLES UNITED FINANCIAL INC COM 712704105 17328 1141477 SH DFND 5,4,1 1054550 86927 0 PEPCO HOLDINGS INC COM 713291102 699 25971 SH DFND 4,1 25971 0 0 PEPSICO INC COM 713448108 2328 27875 SH DFND 8,7,6,3,2,1 0 26560 1315 PERKINELMER INC COM 714046109 152 4700 SH DFND 7,6,1 0 4700 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 338 135200 SH DFND 8,7,6,1 0 135200 0 PFIZER INC COM 717081103 41668 1297273 SH DFND 8,7,6,5,4,3,2,1 680178 613750 3345 PHH CORP COM NEW 693320202 43 1645 SH DFND 3,2,1 0 0 1645 PHILIP MORRIS INTL INC COM 718172109 25615 312874 SH DFND 8,7,6,5,4,3,2,1 60790 131961 120123 PHILLIPS 66 COM 718546104 996 12925 SH DFND 7,6,3,2,1 0 4400 8525 PICO HLDGS INC COM NEW 693366205 21197 1124528 SH DFND 5,4,1 1124528 0 0 PIMCO DYNAMIC INCOME FD SHS 72201Y101 273 9000 SH DFND 3,2,1 0 0 9000 PIMCO ETF TR TOTL RETN ETF 72201R775 161 1510 SH DFND 1 0 0 1510 PINNACLE WEST CAP CORP COM 723484101 5965 110568 SH DFND 5,4,1 110568 0 0 PIONEER NAT RES CO COM 723787107 9291 49645 SH DFND 3,2,1 44740 0 4905 PLUM CREEK TIMBER CO INC COM 729251108 602 14328 SH DFND 7,6,3,2,1 0 12500 1828 POST HLDGS INC COM 737446104 0 1 SH DFND 3,2,1 0 0 1 POTASH CORP SASK INC COM 73755L107 3668 141100 SH DFND 8,7,6,1 0 141100 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 5 195 SH DFND 1 0 0 195 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 484 5520 SH DFND 3,2,1 0 0 5520 PPG INDS INC COM 693506107 8793 45453 SH DFND 7,6,3,2,1 42603 1200 1650 PPL CORP COM 69351T106 14135 492350 SH DFND 8,7,6,5,4,1 429750 62600 0 PRAXAIR INC COM 74005P104 7504 57299 SH DFND 3,2,1 49049 0 8250 PRECISION CASTPARTS CORP COM 740189105 8037 31795 SH DFND 3,2,1 28945 0 2850 PRICE T ROWE GROUP INC COM 74144T108 174 2032 SH DFND 4,1 2032 0 0 PRICELINE COM INC COM NEW 741503403 3892 3265 SH DFND 7,6,3,2,1 0 2905 360 PROCTER & GAMBLE CO COM 742718109 31139 386342 SH DFND 8,7,6,5,4,3,2,1 294125 42720 49497 PROSHARES TR ULTRAPRO SHORT S 74348A442 79 1403 SH DFND 3,2,1 0 0 1403 PROSHARES TR II ULTRASHRT EURO 74347W882 423 25000 SH DFND 3,2,1 0 0 25000 PUBLIC SVC ENTERPRISE GROUP COM 744573106 1766 65000 SH DFND 7,6,1 0 65000 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 408 4100 SH DFND 3,2,1 0 0 4100 QUALCOMM INC COM 747525103 21151 268204 SH DFND 8,7,6,3,2,1 14974 228880 24350 RANDGOLD RES LTD ADR 752344309 27 365 SH DFND 3,2,1 0 0 365 RAPTOR PHARMACEUTICAL CORP COM 75382F106 393 39334 SH DFND 3,2,1 0 0 39334 RAYONIER INC COM 754907103 690 21000 SH DFND 7,6,1 0 21000 0 RAYTHEON CO COM NEW 755111507 47 475 SH DFND 3,2,1 0 0 475 REED ELSEVIER P L C SPONS ADR NEW 758205207 368 5991 SH DFND 3,2,1 0 0 5991 REGAL BELOIT CORP COM 758750103 7042 93641 SH DFND 5,4,1 93641 0 0 RENTECH INC COM 760112102 1716 1362004 SH DFND 5,4,1 1362004 0 0 REPUBLIC SVCS INC COM 760759100 135 3955 SH DFND 3,2,1 0 0 3955 REXNORD CORP NEW COM 76169B102 28363 1005410 SH DFND 5,4,1 586027 419383 0 REYNOLDS AMERICAN INC COM 761713106 26992 505277 SH DFND 8,7,6,5,4,3,2,1 435052 67190 3035 RITE AID CORP COM 767754104 140 30000 SH DFND 8,7,6,1 0 30000 0 RMR REAL ESTATE INCOME FUND COM 76970B101 435 23437 SH DFND 3,2,1 0 0 23437 ROCKWELL AUTOMATION INC COM 773903109 9224 102125 SH DFND 7,6,5,4,1 74125 28000 0 ROCKWOOD HLDGS INC COM 774415103 1927 24449 SH DFND 5,4,1 11605 12844 0 ROPER INDS INC NEW COM 776696106 1282 9600 SH DFND 1 0 0 9600 ROYAL BK CDA MONTREAL QUE COM 780087102 22068 302759 SH DFND 7,6,5,4,1 266759 36000 0 ROYAL BK SCOTLAND GROUP PLC ADR PREF SER N 780097770 136 6000 SH DFND 3,2,1 0 0 6000 ROYAL BK SCOTLAND GROUP PLC SPON ADR SER H 780097879 163 6500 SH DFND 3,2,1 0 0 6500 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 52 666 SH DFND 3,2,1 0 0 666 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 596 8161 SH DFND 3,2,1 0 0 8161 RUCKUS WIRELESS INC COM 781220108 221 18202 SH DFND 3,2,1 0 0 18202 RYANAIR HLDGS PLC SPONSORED ADR 783513104 6926 97177 SH DFND 5,4,1 97177 0 0 SAFEWAY INC COM NEW 786514208 11653 315463 SH DFND 5,4,1 315213 0 250 SALESFORCE COM INC COM 79466L302 2557 44785 SH DFND 3,2,1 42960 0 1825 SANDISK CORP COM 80004C101 10557 130029 SH DFND 3,2,1 122559 0 7470 SAP AG SPON ADR 803054204 325 4000 SH DFND 3,2,1 0 0 4000 SCHLUMBERGER LTD COM 806857108 959 13500 SH DFND 8,7,6,1 0 13500 0 SEADRILL LIMITED SHS G7945E105 7626 216882 SH DFND 7,6,5,4,1 201383 15499 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 381 5891 SH DFND 3,2,1 5891 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 456 20398 SH DFND 3,2,1 19594 0 804 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 409 8652 SH DFND 3,2,1 8652 0 0 SERVICE CORP INTL COM 817565104 29 1434 SH DFND 1 0 0 1434 SERVICENOW INC COM 81762P102 1176 54400 SH DFND 7,6,1 0 54400 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 39758 1506002 SH DFND 5,4,1 1506002 0 0 SIEMENS A G SPONSORED ADR 826197501 238390 1763893 SH DFND 3,2,1 0 0 1763893 SIGMA ALDRICH CORP COM 826552101 248 3700 SH DFND 7,6,1 0 3700 0 SIGNET JEWELERS LIMITED SHS G81276100 3320 43000 SH DFND 7,6,1 0 43000 0 SILGAN HOLDINGS INC COM 827048109 30 600 SH DFND 1 600 0 0 SIMON PPTY GROUP INC NEW COM 828806109 8123 49528 SH DFND 3,2,1 46835 0 2693 SJW CORP COM 784305104 7884 245464 SH DFND 5,4,1 245464 0 0 SL GREEN RLTY CORP COM 78440X101 1228 12200 SH DFND 3,2,1 0 0 12200 SLM CORP COM 78442P106 412 16815 SH DFND 3,2,1 0 0 16815 SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 352 4600 SH DFND 3,2,1 0 0 4600 SMITH A O COM 831865209 18779 332906 SH DFND 5,4,1 332906 0 0 SMUCKER J M CO COM NEW 832696405 311 3200 SH DFND 3,2,1 0 0 3200 SOHU COM INC COM 83408W103 558 8568 SH DFND 8,7,6,3,2,1 0 6168 2400 SOLARCITY CORP COM 83416T100 402 9000 SH DFND 8,7,6,1 0 9000 0 SOLAZYME INC COM 83415T101 569 220685 SH DFND 5,4,1 120086 100599 0 SOUTHERN CO COM 842587107 1753 55500 SH DFND 8,7,6,1 0 55500 0 SOUTHWEST AIRLS CO COM 844741108 852 50600 SH DFND 7,6,1 0 50600 0 SPARK NETWORKS INC COM 84651P100 47 9000 SH DFND 1 0 0 9000 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 32 194 SH DFND 3,2,1 0 0 194 SPDR GOLD TRUST GOLD SHS 78463V107 2347 13840 SH DFND 1 0 0 13840 SPDR S&P 500 ETF TR TR UNIT 78462F103 26284 140550 SH DFND 3,2,1 0 0 140550 SPDR SERIES TRUST BARC SHT TR CP 78464A474 29 928 SH DFND 3,2,1 0 0 928 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 6000 145200 SH DFND 1 0 0 145200 SPDR SERIES TRUST DB INT GVT ETF 78464A490 68 1135 SH DFND 1 0 0 1135 SPDR SERIES TRUST DJ REIT ETF 78464A607 92 1180 SH DFND 1 0 0 1180 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 52 3100 SH DFND 1 0 0 3100 SPDR SERIES TRUST S&P REGL BKG 78464A698 35 1400 SH DFND 1 0 0 1400 SPLUNK INC COM 848637104 4573 63960 SH DFND 3,2,1 59275 0 4685 STAG INDL INC COM 85254J102 312 12943 SH DFND 3,2,1 0 0 12943 STAPLES INC COM 855030102 11179 985786 SH DFND 5,4,1 985786 0 0 STARBUCKS CORP COM 855244109 10669 145398 SH DFND 8,7,6,3,2,1 114550 19200 11648 STRYKER CORP COM 863667101 6657 113700 SH DFND 7,6,1 0 113700 0 SUN LIFE FINL INC COM 866796105 15554 479021 SH DFND 5,4,1 479021 0 0 SUNCOR ENERGY INC NEW COM 867224107 1255 50000 SH DFND 7,6,1 0 50000 0 SUNEDISON INC COM 86732Y109 5898 313038 SH DFND 5,4,1 158810 154228 0 SUNOPTA INC COM 8676EP108 3530 256525 SH DFND 5,4,1 256525 0 0 SUNPOWER CORP COM 867652406 89 3850 SH DFND 8,7,6,1 0 3850 0 SUNTRUST BKS INC COM 867914103 233 8200 SH DFND 7,6,1 0 8200 0 SYSCO CORP COM 871829107 4446 161421 SH DFND 5,4,1 161421 0 0 TABLEAU SOFTWARE INC CL A 87336U105 196 2200 SH DFND 1 0 0 2200 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 7852 550000 SH DFND 7,6,1 0 550000 0 TARGET CORP COM 87612E106 403 6660 SH DFND 3,2,1 0 0 6660 TECK RESOURCES LTD CL B 878742204 315 7308 SH DFND 4,1 7308 0 0 TELEFONICA S A SPONSORED ADR 879382208 12 999 SH DFND 1 0 0 999 TELUS CORP COM 87971M103 796 30000 SH DFND 7,6,1 0 30000 0 TERADATA CORP DEL COM 88076W103 8199 234500 SH DFND 7,6,1 0 234500 0 TESORO CORP COM 881609101 20 400 SH DFND 3,2,1 0 0 400 TETRA TECH INC NEW COM 88162G103 28257 1058317 SH DFND 5,4,1 1058317 0 0 TEXAS INSTRS INC COM 882508104 43 1280 SH DFND 8,7,6,1 0 1280 0 THE ADT CORPORATION COM 00101J106 21 519 SH DFND 1 58 0 461 THERMO FISHER SCIENTIFIC INC COM 883556102 846 9800 SH DFND 8,7,6,1 0 9800 0 THOMSON REUTERS CORP COM 884903105 585 15469 SH DFND 4,1 15469 0 0 TIFFANY & CO NEW COM 886547108 1669 27000 SH DFND 7,6,1 0 27000 0 TIM HORTONS INC COM 88706M103 135 3400 SH DFND 7,6,1 0 3400 0 TIME WARNER CABLE INC COM 88732J207 327 2384 SH DFND 3,2,1 0 0 2384 TIME WARNER INC COM NEW 887317303 621 9500 SH DFND 3,2,1 0 0 9500 TITAN INTL INC ILL COM 88830M102 1931 181644 SH DFND 5,4,1 181644 0 0 TJX COS INC NEW COM 872540109 1704 39000 SH DFND 7,6,1 0 39000 0 TORONTO DOMINION BK ONT COM NEW 891160509 3315 98000 SH DFND 7,6,1 0 98000 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 406 3600 SH DFND 3,2,1 0 0 3600 TRANSALTA CORP COM 89346D107 102 9659 SH DFND 4,1 9659 0 0 TRAVELCENTERS OF AMERICA LLC COM 894174101 59 10000 SH DFND 8,7,6,1 0 10000 0 TRAVELERS COMPANIES INC COM 89417E109 128 1500 SH DFND 3,2,1 0 0 1500 TRIMBLE NAVIGATION LTD COM 896239100 1703 64162 SH DFND 5,4,1 64162 0 0 TUPPERWARE BRANDS CORP COM 899896104 2516 42000 SH DFND 8,7,6,1 0 42000 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 902 28200 SH DFND 8,7,6,3,2,1 0 7840 20360 UNDER ARMOUR INC CL A 904311107 1905 22750 SH DFND 7,6,1 0 22500 250 UNILEVER N V N Y SHS NEW 904784709 68 2270 SH DFND 8,7,6,1 0 2270 0 UNION PAC CORP COM 907818108 17555 93546 SH DFND 7,6,4,3,2,1 75271 12000 6275 UNIT CORP COM 909218109 271 4140 SH DFND 3,2,1 0 0 4140 UNITED PARCEL SERVICE INC CL B 911312106 4556 70665 SH DFND 5,4,1 70665 0 0 UNITED STS COMMODITY INDEX F COMM IDX FND 911717106 79 1350 SH DFND 1 0 0 1350 UNITED TECHNOLOGIES CORP COM 913017109 22905 196035 SH DFND 8,7,6,3,2,1 89825 93740 12470 UNITEDHEALTH GROUP INC COM 91324P102 3857 47040 SH DFND 8,7,6,3,2,1 0 39020 8020 US BANCORP DEL COM NEW 902973304 18 425 SH DFND 3,2,1 0 0 425 V F CORP COM 918204108 2625 42420 SH DFND 7,6,3,2,1 0 39000 3420 VALERO ENERGY CORP NEW COM 91913Y100 1652 43000 SH DFND 7,6,1 0 43000 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 16 400 SH DFND 3,2,1 0 0 400 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 2189 19755 SH DFND 3,2,1 19755 0 0 VEECO INSTRS INC DEL COM 922417100 1659 47565 SH DFND 5,4,1 47565 0 0 VENTAS INC COM 92276F100 0 1 SH DFND 3,2,1 0 0 1 VERIZON COMMUNICATIONS INC COM 92343V104 21047 442435 SH DFND 8,7,6,5,4,3,2,1 262172 67886 112377 VIACOM INC NEW CL B 92553P201 1601 26000 SH DFND 7,6,1 0 26000 0 VIRNETX HLDG CORP COM 92823T108 83 5860 SH DFND 1 0 0 5860 VISA INC COM CL A 92826C839 2549 16500 SH DFND 8,7,6,1 0 16500 0 VISTEON CORP COM NEW 92839U206 0 2 SH DFND 1 0 0 2 VMWARE INC CL A COM 928563402 1700 22000 SH DFND 7,6,1 0 22000 0 W P CAREY INC COM 92936U109 102 1700 SH DFND 1 0 0 1700 WALGREEN CO COM 931422109 4330 63232 SH DFND 7,6,4,1 3232 60000 0 WAL-MART STORES INC COM 931142103 3958 51783 SH DFND 8,7,6,3,2,1 0 44950 6833 WALTER ENERGY INC COM 93317Q105 239 42820 SH DFND 8,7,6,1 0 42820 0 WASTE MGMT INC DEL COM 94106L109 69 1630 SH DFND 3,2,1 0 0 1630 WELLPOINT INC COM 94973V107 2578 25900 SH DFND 7,6,3,2,1 0 25000 900 WELLS FARGO & CO NEW COM 949746101 30138 605918 SH DFND 8,7,6,4,3,2,1 233983 326600 45335 WESCO INTL INC COM 95082P105 355 6030 SH DFND 8,7,6,1 0 6030 0 WESTERN UN CO COM 959802109 26703 1428750 SH DFND 8,7,6,5,4,1 1281445 147305 0 WEYERHAEUSER CO COM 962166104 348 11859 SH DFND 3,2,1 0 0 11859 WILLIAMS COS INC DEL COM 969457100 4870 120000 SH DFND 7,6,3,2,1 0 30000 90000 WILLIAMS SONOMA INC COM 969904101 119 1780 SH DFND 3,2,1 0 0 1780 WINDSTREAM HLDGS INC COM 97382A101 455 55164 SH DFND 4,1 55164 0 0 WORKDAY INC CL A 98138H101 3060 33470 SH DFND 3,2,1 29200 0 4270 WPX ENERGY INC COM 98212B103 483 26770 SH DFND 3,2,1 0 0 26770 WYNDHAM WORLDWIDE CORP COM 98310W108 482 6580 SH DFND 3,2,1 0 0 6580 WYNN RESORTS LTD COM 983134107 316 2000 SH DFND 7,6,1 0 2000 0 XYLEM INC COM 98419M100 10875 285670 SH DFND 5,4,1 163124 122546 0 YAHOO INC COM 984332106 13276 369795 SH DFND 8,7,6,3,2,1 0 361000 8795 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 2 499 SH DFND 3,2,1 0 0 499 YOUKU TUDOU INC SPONSORED ADR 98742U100 336 16900 SH DFND 8,7,6,1 0 16900 0 YUM BRANDS INC COM 988498101 81 1500 SH DFND 8,7,6,1 0 1500 0 ZIMMER HLDGS INC COM 98956P102 54 554 SH DFND 1 0 0 554