0001420506-18-000414.txt : 20180511
0001420506-18-000414.hdr.sgml : 20180511
20180511110030
ACCESSION NUMBER: 0001420506-18-000414
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180331
FILED AS OF DATE: 20180511
DATE AS OF CHANGE: 20180511
EFFECTIVENESS DATE: 20180511
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Compagnie Lombard Odier SCmA
CENTRAL INDEX KEY: 0001615423
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16235
FILM NUMBER: 18825504
BUSINESS ADDRESS:
STREET 1: RUE DE LA CORRATERIE 18
CITY: 1204 GENEVA
STATE: V8
ZIP: CH1204
BUSINESS PHONE: 44 22 709 2111
MAIL ADDRESS:
STREET 1: RUE DE LA CORRATERIE 18
CITY: 1204 GENEVA
STATE: V8
ZIP: CH1204
FORMER COMPANY:
FORMER CONFORMED NAME: Compagnie Odier SCA
DATE OF NAME CHANGE: 20160205
FORMER COMPANY:
FORMER CONFORMED NAME: Compagnie Lombard, Odier SCA
DATE OF NAME CHANGE: 20140731
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001615423
XXXXXXXX
03-31-2018
03-31-2018
false
Compagnie Lombard Odier SCmA
RUE DE LA CORRATERIE 18
1204 GENEVA
V8
CH1204
13F COMBINATION REPORT
028-16235
0001535660
028-16247
Lombard Odier Asset Management (Switzerland) SA
0001491719
028-13939
Lombard Odier Asset Management (USA) Corp
0001535784
028-16246
Lombard Odier Asset Management (Europe) Ltd
N
Dominic Stearns
Executive Vice President
44 22 709 2111
Dominic Stearns, Executive Vice President
1204 GENEVA
V8
05-11-2018
2
845
2744473
false
1
0001106185
028-16234
Bank Lombard Odier & Co Ltd
2
0001528147
028-16548
Lombard Odier Transatlantic Ltd
INFORMATION TABLE
2
Form13F_InfoTable.xml
INFORMATION TABLE FOR COMPAGNIE LOMBARD ODIER SCMA
ABBVIE INC
COM
00287Y109
9622
101647
SH
DFND
101647
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
38
249
SH
DFND
249
0
0
ADOBE SYS INC
COM
00724F101
59
271
SH
DFND
271
0
0
AFLAC INC
COM
001055102
42
962
SH
DFND
962
0
0
AGILENT TECHNOLOGIES INC
COM
00846U101
30
442
SH
DFND
442
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
23234
126588
SH
DFND
126588
0
0
ALLERGAN PLC
SHS
G0177J108
5828
34624
SH
DFND
34624
0
0
ALPHABET INC
CAP STK CL A
02079K305
16283
15703
SH
DFND
15703
0
0
ALPHABET INC
CAP STK CL C
02079K107
1684
1632
SH
DFND
1632
0
0
ALPS ETF TR
ALERIAN MLP
00162Q866
5
500
SH
DFND
500
0
0
ALTRIA GROUP INC
COM
02209S103
156
2500
SH
DFND
2500
0
0
AMAZON COM INC
COM
023135106
1273
880
SH
DFND
880
0
0
AMETEK INC NEW
COM
031100100
921
12128
SH
DFND
12128
0
0
AMGEN INC
COM
031162100
1011
5928
SH
DFND
5928
0
0
ANDEAVOR
COM
03349M105
434
4315
SH
DFND
4315
0
0
APPLE INC
COM
037833100
3492
20805
SH
DFND
20805
0
0
APTIV PLC
SHS
G6095L109
177
2075
SH
DFND
2075
0
0
AT&T INC
COM
00206R102
71
2000
SH
DFND
2000
0
0
AXIS CAPITAL HOLDINGS LTD
SHS
G0692U109
115
2000
SH
DFND
2000
0
0
BAIDU INC
SPON ADR REP A
056752108
1160
5200
SH
DFND
5200
0
0
BALL CORP
COM
058498106
837
21070
SH
DFND
21070
0
0
BANK AMER CORP
COM
060505104
62
2074
SH
DFND
2074
0
0
BANK NEW YORK MELLON CORP
COM
064058100
938
18168
SH
DFND
18168
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
52
262
SH
DFND
262
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
9
112
SH
DFND
112
0
0
BLACKROCK INC
COM
09247X101
37
68
SH
DFND
68
0
0
BOEING CO
COM
097023105
197
600
SH
DFND
600
0
0
BOOKING HLDGS INC
COM
09857L108
315
151
SH
DFND
151
0
0
BRIGHTHOUSE FINL INC
COM
10922N103
4
87
SH
DFND
87
0
0
CELGENE CORP
COM
151020104
94
1060
SH
DFND
1060
0
0
CHEVRON CORP NEW
COM
166764100
50
442
SH
DFND
442
0
0
CHUBB LIMITED
COM
H1467J104
1822
13319
SH
DFND
13319
0
0
CIGNA CORPORATION
COM
125509109
32
190
SH
DFND
190
0
0
CISCO SYS INC
COM
17275R102
122
2847
SH
DFND
2847
0
0
COCA COLA CO
COM
191216100
1229
28282
SH
DFND
28282
0
0
COLGATE PALMOLIVE CO
COM
194162103
100
1400
SH
DFND
1400
0
0
COMCAST CORP NEW
CL A
20030N101
88
2584
SH
DFND
2584
0
0
CONOCOPHILLIPS
COM
20825C104
30
500
SH
DFND
500
0
0
CRESCENT PT ENERGY CORP
COM
22576C101
7
1016
SH
DFND
1016
0
0
CSX CORP
COM
126408103
1526
27354
SH
DFND
27354
0
0
CVS HEALTH CORP
COM
126650100
474
7617
SH
DFND
7617
0
0
DANAHER CORP DEL
COM
235851102
33
338
SH
DFND
338
0
0
DEXCOM INC
COM
252131107
3878
52287
SH
DFND
52287
0
0
DISNEY WALT CO
COM DISNEY
254687106
4919
49018
SH
DFND
49018
0
0
DR PEPPER SNAPPLE GROUP INC
COM
26138E109
53
451
SH
DFND
451
0
0
EBAY INC
COM
278642103
27
681
SH
DFND
681
0
0
ECOLAB INC
COM
278865100
35
257
SH
DFND
257
0
0
EMERSON ELEC CO
COM
291011104
84
1233
SH
DFND
1233
0
0
EOG RES INC
COM
26875P101
115
1085
SH
DFND
1085
0
0
EXELON CORP
COM
30161N101
468
12000
SH
DFND
12000
0
0
EXXON MOBIL CORP
COM
30231G102
22
301
SH
DFND
301
0
0
FACEBOOK INC
CL A
30303M102
8698
54409
SH
DFND
54409
0
0
FLUOR CORP NEW
COM
343412102
54
949
SH
DFND
949
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
4
235
SH
DFND
235
0
0
GENERAL ELECTRIC CO
COM
369604103
133
9850
SH
DFND
9850
0
0
GENERAL MTRS CO
COM
37045V100
145
4000
SH
DFND
4000
0
0
GILEAD SCIENCES INC
COM
375558103
138
1825
SH
DFND
1825
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
36
143
SH
DFND
143
0
0
HALLIBURTON CO
COM
406216101
453
9651
SH
DFND
9651
0
0
HILTON WORLDWIDE HLDGS INC
COM
43300A203
26
334
SH
DFND
334
0
0
HOME DEPOT INC
COM
437076102
235
1315
SH
DFND
1315
0
0
IDERA PHARMACEUTICALS INC
COM NEW
45168K306
202
110000
SH
DFND
110000
0
0
IHS MARKIT LTD
SHS
G47567105
92
1899
SH
DFND
1899
0
0
INGERSOLL-RAND PLC
SHS
G47791101
2757
32232
SH
DFND
32232
0
0
INTEL CORP
COM
458140100
29
564
SH
DFND
564
0
0
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
18
131
SH
DFND
131
0
0
ISHARES INC
MSCI CDA ETF
464286509
431
15650
SH
DFND
15650
0
0
ISHARES INC
MSCI THAILND ETF
464286624
50
500
SH
DFND
500
0
0
JD COM INC
SPON ADR CL A
47215P106
890
22000
SH
DFND
22000
0
0
JOHNSON & JOHNSON
COM
478160104
86
670
SH
DFND
670
0
0
JPMORGAN CHASE & CO
COM
46625H100
5542
50431
SH
DFND
50431
0
0
KROGER CO
COM
501044101
40
1650
SH
DFND
1650
0
0
LAM RESEARCH CORP
COM
512807108
55
273
SH
DFND
273
0
0
LAUDER ESTEE COS INC
CL A
518439104
34
225
SH
DFND
225
0
0
LIVE NATION ENTERTAINMENT IN
COM
538034109
126
3000
SH
DFND
3000
0
0
LOGITECH INTL S A
SHS
H50430232
682
18652
SH
DFND
18652
0
0
MACYS INC
COM
55616P104
40
1350
SH
DFND
1350
0
0
MAGNA INTL INC
COM
559222401
281
5000
SH
DFND
5000
0
0
MARATHON PETE CORP
COM
56585A102
29
400
SH
DFND
400
0
0
MARSH & MCLENNAN COS INC
COM
571748102
48
576
SH
DFND
576
0
0
MCDERMOTT INTL INC
COM
580037109
24
4000
SH
DFND
4000
0
0
MCDONALDS CORP
COM
580135101
642
4110
SH
DFND
4110
0
0
MEDTRONIC PLC
SHS
G5960L103
108
1346
SH
DFND
1346
0
0
MERCK & CO INC
COM
58933Y105
1069
19613
SH
DFND
19613
0
0
METLIFE INC
COM
59156R108
113
2473
SH
DFND
2473
0
0
MICROCHIP TECHNOLOGY INC
COM
595017104
40
443
SH
DFND
443
0
0
MICRON TECHNOLOGY INC
COM
595112103
28
531
SH
DFND
531
0
0
MICROSOFT CORP
COM
594918104
1062
11629
SH
DFND
11629
0
0
MOBILE TELESYSTEMS PJSC
SPONSORED ADR
607409109
572
50250
SH
DFND
50250
0
0
MONDELEZ INTL INC
CL A
609207105
8062
193221
SH
DFND
193221
0
0
MONSANTO CO NEW
COM
61166W101
18
153
SH
DFND
153
0
0
MORGAN STANLEY
COM NEW
617446448
37
691
SH
DFND
691
0
0
NETFLIX INC
COM
64110L106
517
1750
SH
DFND
1750
0
0
NIKE INC
CL B
654106103
722
10859
SH
DFND
10859
0
0
NOBLE ENERGY INC
COM
655044105
1618
53461
SH
DFND
53461
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
127
1955
SH
DFND
1955
0
0
ORACLE CORP
COM
68389X105
891
19500
SH
DFND
19500
0
0
PALO ALTO NETWORKS INC
COM
697435105
1622
8940
SH
DFND
8940
0
0
PEPSICO INC
COM
713448108
211
1939
SH
DFND
1939
0
0
PFIZER INC
COM
717081103
256
7220
SH
DFND
7220
0
0
PHILIP MORRIS INTL INC
COM
718172109
181
1823
SH
DFND
1823
0
0
PHILLIPS 66
COM
718546104
82
850
SH
DFND
850
0
0
PPG INDS INC
COM
693506107
559
5000
SH
DFND
5000
0
0
PROCTER AND GAMBLE CO
COM
742718109
409
5159
SH
DFND
5159
0
0
REGIONS FINL CORP NEW
COM
7591EP100
93
5000
SH
DFND
5000
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
167
2940
SH
DFND
2940
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
87
1690
SH
DFND
1690
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
101
1569
SH
DFND
1569
0
0
S&P GLOBAL INC
COM
78409V104
556
2908
SH
DFND
2908
0
0
SCHLUMBERGER LTD
COM
806857108
4507
69476
SH
DFND
69476
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
496
18000
SH
DFND
18000
0
0
SOUTHERN CO
COM
842587107
39
880
SH
DFND
880
0
0
SPROUTS FMRS MKT INC
COM
85208M102
1089
46394
SH
DFND
46394
0
0
STARBUCKS CORP
COM
855244109
123
2133
SH
DFND
2133
0
0
STERICYCLE INC
COM
858912108
50
850
SH
DFND
850
0
0
SYNCHRONY FINL
COM
87165B103
1364
40677
SH
DFND
40677
0
0
TE CONNECTIVITY LTD
REG SHS
H84989104
118
1184
SH
DFND
1184
0
0
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADR
881624209
5
280
SH
DFND
280
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
30
143
SH
DFND
143
0
0
TIFFANY & CO NEW
COM
886547108
549
5628
SH
DFND
5628
0
0
UBS GROUP AG
SHS
H42097107
132
7500
SH
DFND
7500
0
0
UNION PAC CORP
COM
907818108
81
600
SH
DFND
600
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
252
2000
SH
DFND
2000
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
28
131
SH
DFND
131
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
79
850
SH
DFND
850
0
0
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
22
1000
SH
DFND
1000
0
0
VANGUARD SCOTTSDALE FDS
LONG TERM TREAS
92206C847
749
9968
SH
DFND
9968
0
0
VEON LTD
SPONSORED ADR
91822M106
199
75500
SH
DFND
75500
0
0
VERISIGN INC
COM
92343E102
237
2000
SH
DFND
2000
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
2568
53745
SH
DFND
53745
0
0
VISA INC
COM CL A
92826C839
4355
36410
SH
DFND
36410
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
124
1892
SH
DFND
1892
0
0
WEIBO CORP
SPONSORED ADR
948596101
5021
42000
SH
DFND
42000
0
0
WELLS FARGO CO NEW
COM
949746101
555
10584
SH
DFND
10584
0
0
YUM CHINA HLDGS INC
COM
98850P109
31
759
SH
DFND
759
0
0
3-D SYS CORP DEL
COM NEW
88554D205
4
320
SH
DFND
1
320
0
0
3M CO
COM
88579Y101
17721
80724
SH
DFND
1
80724
0
0
ABBOTT LABS
COM
002824100
7789
129980
SH
DFND
1
129980
0
0
ABBVIE INC
CALL
00287Y909
4
10000
SH
Call
DFND
1
10000
0
0
ABBVIE INC
COM
00287Y109
106896
1129254
SH
DFND
1
1129254
0
0
ABERDEEN JAPAN EQUITY FD INC
COM
00306J109
16
1772
SH
DFND
1
1772
0
0
ABIOMED INC
COM
003654100
23
80
SH
DFND
1
80
0
0
AC IMMUNE SA
SHS
H00263105
37
3500
SH
DFND
1
3500
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
5988
39020
SH
DFND
1
39020
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
54
800
SH
DFND
1
800
0
0
ACUITY BRANDS INC
COM
00508Y102
19
135
SH
DFND
1
135
0
0
ADOBE SYS INC
COM
00724F101
16629
76962
SH
DFND
1
76962
0
0
ADVANSIX INC
COM
00773T101
0
39
SH
DFND
1
39
0
0
AETNA INC NEW
COM
00817Y108
51
301
SH
DFND
1
301
0
0
AFLAC INC
COM
001055102
168
3846
SH
DFND
1
3846
0
0
AGILENT TECHNOLOGIES INC
COM
00846U101
83
1238
SH
DFND
1
1238
0
0
AGNICO EAGLE MINES LTD
CALL
008474908
2
500
SH
Call
DFND
1
500
0
0
AIR PRODS & CHEMS INC
COM
009158106
430
2700
SH
DFND
1
2700
0
0
AKAMAI TECHNOLOGIES INC
DBCV 2/1
00971TAG6
1346
1310000
PRN
DFND
1
1310000
0
0
ALAMOS GOLD INC NEW
COM CL A
011532108
20
3809
SH
DFND
1
3809
0
0
ALBEMARLE CORP
COM
012653101
960
10350
SH
DFND
1
10350
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
516
4630
SH
DFND
1
4630
0
0
ALIBABA GROUP HLDG LTD
PUT
01609W952
22
20000
SH
Put
DFND
1
20000
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
38848
211666
SH
DFND
1
211666
0
0
ALIGN TECHNOLOGY INC
COM
016255101
63
250
SH
DFND
1
250
0
0
ALLERGAN PLC
SHS
G0177J108
50366
299355
SH
DFND
1
299355
0
0
ALLIANCE DATA SYSTEMS CORP
COM
018581108
24
110
SH
DFND
1
110
0
0
ALPHABET INC
CAP STK CL A
02079K305
152854
147391
SH
DFND
1
147391
0
0
ALPHABET INC
CAP STK CL C
02079K107
19006
18422
SH
DFND
1
18422
0
0
ALTABA INC
COM
021346101
10
140
SH
DFND
1
140
0
0
ALTRIA GROUP INC
COM
02209S103
543
8739
SH
DFND
1
8739
0
0
AMAZON COM INC
CALL
023135906
694
1800
SH
Call
DFND
1
1800
0
0
AMAZON COM INC
COM
023135106
51101
35311
SH
DFND
1
35311
0
0
AMBEV SA
SPONSORED ADR
02319V103
58
8000
SH
DFND
1
8000
0
0
AMERICAN AXLE & MFG HLDGS IN
COM
024061103
38
2500
SH
DFND
1
2500
0
0
AMERICAN ELEC PWR INC
COM
025537101
233
3400
SH
DFND
1
3400
0
0
AMERICAN INTL GROUP INC
*W EXP 01/19/202
026874156
0
26
SH
DFND
1
26
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
5
97
SH
DFND
1
97
0
0
AMERICAN RLTY CAP PPTYS INC
NOTE 3.000% 8/0
02917TAA2
3828
3800000
PRN
DFND
1
3800000
0
0
AMERIPRISE FINL INC
COM
03076C106
4
30
SH
DFND
1
30
0
0
AMETEK INC NEW
COM
031100100
23267
306206
SH
DFND
1
306206
0
0
AMGEN INC
COM
031162100
33834
198481
SH
DFND
1
198481
0
0
ANADARKO PETE CORP
COM
032511107
635
10510
SH
DFND
1
10510
0
0
ANDEAVOR
COM
03349M105
442
4402
SH
DFND
1
4402
0
0
ANNALY CAP MGMT INC
COM
035710409
3
300
SH
DFND
1
300
0
0
ANTHEM INC
COM
036752103
352
1600
SH
DFND
1
1600
0
0
APOLLO INVT CORP
COM
03761U106
9
1663
SH
DFND
1
1663
0
0
APPIAN CORP
CL A
03782L101
13
500
SH
DFND
1
500
0
0
APPLE INC
COM
037833100
82547
491987
SH
DFND
1
491987
0
0
APPLIED MATLS INC
COM
038222105
4195
75430
SH
DFND
1
75430
0
0
APTIV PLC
PUT
G6095L959
51
25000
SH
Put
DFND
1
25000
0
0
APTIV PLC
SHS
G6095L109
15288
179935
SH
DFND
1
179935
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
99
2284
SH
DFND
1
2284
0
0
ARISTA NETWORKS INC
COM
040413106
77
300
SH
DFND
1
300
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
5
140
SH
DFND
1
140
0
0
AT&T INC
COM
00206R102
680
19065
SH
DFND
1
19065
0
0
ATARA BIOTHERAPEUTICS INC
COM
046513107
175
4500
SH
DFND
1
4500
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
65
572
SH
DFND
1
572
0
0
AVADEL PHARMACEUTICALS PLC
SPONSORED ADR
05337M104
139
19000
SH
DFND
1
19000
0
0
AVALONBAY CMNTYS INC
COM
053484101
159
965
SH
DFND
1
965
0
0
BAIDU INC
SPON ADR REP A
056752108
385
1725
SH
DFND
1
1725
0
0
BAKER HUGHES A GE CO
CL A
05722G100
232
8358
SH
DFND
1
8358
0
0
BALL CORP
COM
058498106
7942
200000
SH
DFND
1
200000
0
0
BALLARD PWR SYS INC NEW
COM
058586108
205
57500
SH
DFND
1
57500
0
0
BANCO BRADESCO S A
SP ADR PFD NEW
059460303
72
6058
SH
DFND
1
6058
0
0
BANCO SANTANDER SA
ADR
05964H105
2
284
SH
DFND
1
284
0
0
BANK AMER CORP
CALL
060505904
99
22000
SH
Call
DFND
1
22000
0
0
BANK AMER CORP
COM
060505104
803
26800
SH
DFND
1
26800
0
0
BANK MONTREAL QUE
COM
063671101
26
340
SH
DFND
1
340
0
0
BANK N S HALIFAX
COM
064149107
332
5390
SH
DFND
1
5390
0
0
BANK NEW YORK MELLON CORP
CALL
064058900
64
13000
SH
Call
DFND
1
13000
0
0
BANK NEW YORK MELLON CORP
COM
064058100
13020
252663
SH
DFND
1
252663
0
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06746L422
0
9
SH
DFND
1
9
0
0
BARRICK GOLD CORP
COM
067901108
671
53925
SH
DFND
1
53925
0
0
BAXTER INTL INC
COM
071813109
66
1019
SH
DFND
1
1019
0
0
BB&T CORP
COM
054937107
373
7183
SH
DFND
1
7183
0
0
BCE INC
COM NEW
05534B760
55
1280
SH
DFND
1
1280
0
0
BECTON DICKINSON & CO
COM
075887109
1517
7000
SH
DFND
1
7000
0
0
BED BATH & BEYOND INC
COM
075896100
497
23700
SH
DFND
1
23700
0
0
BELLICUM PHARMACEUTICALS INC
COM
079481107
10
1500
SH
DFND
1
1500
0
0
BERKSHIRE HATHAWAY INC DEL
CALL
084670902
68
3000
SH
Call
DFND
1
3000
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
598
2
SH
DFND
1
2
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
2707
13565
SH
DFND
1
13565
0
0
BERRY GLOBAL GROUP INC
COM
08579W103
44
800
SH
DFND
1
800
0
0
BEST BUY INC
COM
086516101
83
1187
SH
DFND
1
1187
0
0
BEST INC
SPONSORED ADS
08653C106
52
5000
SH
DFND
1
5000
0
0
BHP BILLITON LTD
SPONSORED ADR
088606108
29
650
SH
DFND
1
650
0
0
BIOGEN INC
COM
09062X103
329
1203
SH
DFND
1
1203
0
0
BLACKHAWK NETWORK HLDGS INC
NOTE 1.500% 1/1
09238EAB0
1154
1040000
PRN
DFND
1
1040000
0
0
BLACKROCK INC
CALL
09247X901
83
1500
SH
Call
DFND
1
1500
0
0
BLACKROCK INC
COM
09247X101
766
1415
SH
DFND
1
1415
0
0
BOEING CO
COM
097023105
148
452
SH
DFND
1
452
0
0
BOOKING HLDGS INC
COM
09857L108
13013
6255
SH
DFND
1
6255
0
0
BP PLC
SPONSORED ADR
055622104
4414
108867
SH
DFND
1
108867
0
0
BRIGHTHOUSE FINL INC
COM
10922N103
1
25
SH
DFND
1
25
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
15085
238500
SH
DFND
1
238500
0
0
BROADCOM LTD
SHS
Y09827109
56
237
SH
DFND
1
237
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
15153
389000
SH
DFND
1
389000
0
0
BUNGE LIMITED
COM
G16962105
1134
15345
SH
DFND
1
15345
0
0
BURCON NUTRASCIENCE CORP
COM
120831102
5
11176
SH
DFND
1
11176
0
0
CABOT OIL & GAS CORP
COM
127097103
36
1500
SH
DFND
1
1500
0
0
CADIZ INC
COM NEW
127537207
96
7100
SH
DFND
1
7100
0
0
CALIFORNIA RES CORP
COM NEW
13057Q206
1
85
SH
DFND
1
85
0
0
CALLAWAY GOLF CO
COM
131193104
25
1500
SH
DFND
1
1500
0
0
CAMECO CORP
COM
13321L108
65
7100
SH
DFND
1
7100
0
0
CAMPBELL SOUP CO
COM
134429109
4764
110000
SH
DFND
1
110000
0
0
CAPITAL ONE FINL CORP
COM
14040H105
7
69
SH
DFND
1
69
0
0
CARNIVAL CORP
UNIT 99/99/9999
143658300
20
300
SH
DFND
1
300
0
0
CATERPILLAR INC DEL
CALL
149123901
353
20000
SH
Call
DFND
1
20000
0
0
CATERPILLAR INC DEL
COM
149123101
3339
22655
SH
DFND
1
22655
0
0
CELANESE CORP DEL
COM SER A
150870103
108
1075
SH
DFND
1
1075
0
0
CELGENE CORP
COM
151020104
45
500
SH
DFND
1
500
0
0
CENOVUS ENERGY INC
COM
15135U109
43
5000
SH
DFND
1
5000
0
0
CENTURYLINK INC
COM
156700106
50
3053
SH
DFND
1
3053
0
0
CERAGON NETWORKS LTD
ORD
M22013102
175
65000
SH
DFND
1
65000
0
0
CERNER CORP
COM
156782104
632
10885
SH
DFND
1
10885
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
297
2987
SH
DFND
1
2987
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
107
2000
SH
DFND
1
2000
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
148
49000
SH
DFND
1
49000
0
0
CHEVRON CORP NEW
COM
166764100
2037
17867
SH
DFND
1
17867
0
0
CHICAGO BRIDGE & IRON CO N V
COM
167250109
91
6300
SH
DFND
1
6300
0
0
CHINA MOBILE LIMITED
SPONSORED ADR
16941M109
46
1000
SH
DFND
1
1000
0
0
CHUBB LIMITED
COM
H1467J104
25441
185986
SH
DFND
1
185986
0
0
CIGNA CORPORATION
COM
125509109
65
388
SH
DFND
1
388
0
0
CISCO SYS INC
COM
17275R102
26715
622858
SH
DFND
1
622858
0
0
CIT GROUP INC
COM NEW
125581801
51
1000
SH
DFND
1
1000
0
0
CITIGROUP INC
CALL
172967904
65
10000
SH
Call
DFND
1
10000
0
0
CITIGROUP INC
COM NEW
172967424
310
4590
SH
DFND
1
4590
0
0
CITRIX SYS INC
COM
177376100
477
5150
SH
DFND
1
5150
0
0
CITRIX SYS INC
NOTE 0.500% 4/1
177376AD2
8670
6560000
PRN
DFND
1
6560000
0
0
CLAYMORE EXCHANGE TRD FD TR
GUGG CHN TECH
18383Q135
132
2200
SH
DFND
1
2200
0
0
CLOROX CO DEL
COM
189054109
34
257
SH
DFND
1
257
0
0
CNH INDL N V
SHS
N20944109
37
3000
SH
DFND
1
3000
0
0
COCA COLA CO
COM
191216100
28539
657064
SH
DFND
1
657064
0
0
COEUR MNG INC
COM NEW
192108504
5
620
SH
DFND
1
620
0
0
COGNEX CORP
COM
192422103
8
150
SH
DFND
1
150
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
9
115
SH
DFND
1
115
0
0
COLGATE PALMOLIVE CO
COM
194162103
22470
313472
SH
DFND
1
313472
0
0
COMCAST CORP NEW
CL A
20030N101
103
3009
SH
DFND
1
3009
0
0
CONOCOPHILLIPS
COM
20825C104
495
8350
SH
DFND
1
8350
0
0
CONSOLIDATED EDISON INC
COM
209115104
523
6713
SH
DFND
1
6713
0
0
CORNING INC
COM
219350105
38
1360
SH
DFND
1
1360
0
0
COSAN LTD
SHS A
G25343107
21
2000
SH
DFND
1
2000
0
0
COSTCO WHSL CORP NEW
COM
22160K105
25
135
SH
DFND
1
135
0
0
COTY INC
COM CL A
222070203
13
700
SH
DFND
1
700
0
0
CSX CORP
COM
126408103
17631
316485
SH
DFND
1
316485
0
0
CTI BIOPHARMA CORP
COM NEW
12648L601
3
800
SH
DFND
1
800
0
0
CTRIP COM INTL LTD
AMERICAN DEP SHS
22943F100
13325
285788
SH
DFND
1
285788
0
0
CTRIP COM INTL LTD
NOTE 1.250% 9/1
22943FAM2
2166
2080000
PRN
DFND
1
2080000
0
0
CUMMINS INC
COM
231021106
154
947
SH
DFND
1
947
0
0
CVS HEALTH CORP
COM
126650100
185
2985
SH
DFND
1
2985
0
0
DANAHER CORP DEL
COM
235851102
235
2400
SH
DFND
1
2400
0
0
DARDEN RESTAURANTS INC
COM
237194105
79
937
SH
DFND
1
937
0
0
DEERE & CO
COM
244199105
342
2200
SH
DFND
1
2200
0
0
DELL TECHNOLOGIES INC
COM CL V
24703L103
6
88
SH
DFND
1
88
0
0
DELPHI TECHNOLOGIES PLC
SHS
G2709G107
10
211
SH
DFND
1
211
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
78
1424
SH
DFND
1
1424
0
0
DENTSPLY SIRONA INC
COM
24906P109
4025
80000
SH
DFND
1
80000
0
0
DESTINATION XL GROUP INC
COM
25065K104
6
3500
SH
DFND
1
3500
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
21
1500
SH
DFND
1
1500
0
0
DEXCOM INC
COM
252131107
52026
701753
SH
DFND
1
701753
0
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
2227
151900
SH
DFND
1
151900
0
0
DISNEY WALT CO
COM DISNEY
254687106
66918
666520
SH
DFND
1
666520
0
0
DOWDUPONT INC
COM
26078J100
5664
88918
SH
DFND
1
88918
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
54
698
SH
DFND
1
698
0
0
DXC TECHNOLOGY CO
COM
23355L106
3
34
SH
DFND
1
34
0
0
DYCOM INDS INC
NOTE 0.750% 9/1
267475AB7
964
760000
PRN
DFND
1
760000
0
0
E L F BEAUTY INC
COM
26856L103
156
8000
SH
DFND
1
8000
0
0
EATON CORP PLC
SHS
G29183103
284
3544
SH
DFND
1
3544
0
0
EBAY INC
COM
278642103
515
12828
SH
DFND
1
12828
0
0
ECOLAB INC
COM
278865100
1080
7877
SH
DFND
1
7877
0
0
EDISON INTL
COM
281020107
126
1986
SH
DFND
1
1986
0
0
EDWARDS LIFESCIENCES CORP
COM
28176E108
35
250
SH
DFND
1
250
0
0
ELDORADO GOLD CORP NEW
COM
284902103
3274
3908200
SH
DFND
1
3908200
0
0
EMCORE CORP
COM NEW
290846203
57
10000
SH
DFND
1
10000
0
0
EMERSON ELEC CO
COM
291011104
231
3398
SH
DFND
1
3398
0
0
ENCANA CORP
COM
292505104
55
5000
SH
DFND
1
5000
0
0
ENDEAVOUR SILVER CORP
COM
29258Y103
8
3400
SH
DFND
1
3400
0
0
ENERGOUS CORP
COM
29272C103
48
3000
SH
DFND
1
3000
0
0
EOG RES INC
COM
26875P101
12603
119725
SH
DFND
1
119725
0
0
EQT CORP
COM
26884L109
13
270
SH
DFND
1
270
0
0
EQUINIX INC
COM PAR $0.001
29444U700
184
441
SH
DFND
1
441
0
0
ETF MANAGERS TR
PRIME CYBR SCRTY
26924G201
156
4550
SH
DFND
1
4550
0
0
EURONET WORLDWIDE INC
NOTE 1.500%10/0
298736AH2
1056
890000
PRN
DFND
1
890000
0
0
EVER GLORY INTL GRP INC
COM NEW
299766204
8
2000
SH
DFND
1
2000
0
0
EXCHANGE TRADED CONCEPTS TR
ROBO GLB ETF
301505707
141
3350
SH
DFND
1
3350
0
0
EXELON CORP
COM
30161N101
1677
43000
SH
DFND
1
43000
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
198
1800
SH
DFND
1
1800
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
59
847
SH
DFND
1
847
0
0
EXXON MOBIL CORP
COM
30231G102
8781
117675
SH
DFND
1
117675
0
0
FACEBOOK INC
CL A
30303M102
66153
413908
SH
DFND
1
413908
0
0
FEDEX CORP
COM
31428X106
3673
15294
SH
DFND
1
15294
0
0
FERRARI N V
COM
N3167Y103
865
7210
SH
DFND
1
7210
0
0
FERROGLOBE PLC
SHS
G33856108
11
1000
SH
DFND
1
1000
0
0
FIAT CHRYSLER AUTOMOBILES N
SHS
N31738102
513
25331
SH
DFND
1
25331
0
0
FIRST MAJESTIC SILVER CORP
COM
32076V103
20
3200
SH
DFND
1
3200
0
0
FIRST SOLAR INC
COM
336433107
78
1100
SH
DFND
1
1100
0
0
FIRST TR EXCHANGE TRADED FD
NASDAQ CYB ETF
33734X846
55
2200
SH
DFND
1
2200
0
0
FLUOR CORP NEW
COM
343412102
200
3500
SH
DFND
1
3500
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
158
14223
SH
DFND
1
14223
0
0
FORTINET INC
COM
34959E109
6
115
SH
DFND
1
115
0
0
FORTUNA SILVER MINES INC
COM
349915108
32
6200
SH
DFND
1
6200
0
0
FRANCO NEVADA CORP
COM
351858105
150
2200
SH
DFND
1
2200
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
2693
153200
SH
DFND
1
153200
0
0
GALLAGHER ARTHUR J & CO
COM
363576109
108
1570
SH
DFND
1
1570
0
0
GAMESTOP CORP NEW
CL A
36467W109
622
49300
SH
DFND
1
49300
0
0
GARMIN LTD
SHS
H2906T109
5345
90700
SH
DFND
1
90700
0
0
GENERAL ELECTRIC CO
COM
369604103
3644
270350
SH
DFND
1
270350
0
0
GENERAL MLS INC
COM
370334104
68491
1520000
SH
DFND
1
1520000
0
0
GENERAL MTRS CO
COM
37045V100
125
3468
SH
DFND
1
3468
0
0
GERDAU S A
SPON ADR REP PFD
373737105
188
40080
SH
DFND
1
40080
0
0
GILEAD SCIENCES INC
COM
375558103
7981
105864
SH
DFND
1
105864
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
625
16000
SH
DFND
1
16000
0
0
GLOBAL X FDS
GB MSCI AR ETF
37950E259
265
7415
SH
DFND
1
7415
0
0
GLOBAL X FDS
GBL X MSCI NIGER
37954Y665
330
13810
SH
DFND
1
13810
0
0
GLOBAL X FDS
LITHIUM BTRY ETF
37954Y855
285
8650
SH
DFND
1
8650
0
0
GLOBAL X FDS
MSCI GREECE ETF
37950E366
247
25485
SH
DFND
1
25485
0
0
GLOBAL X FDS
MSCI PAKISTAN
37950E689
277
21125
SH
DFND
1
21125
0
0
GLOBAL X FDS
RBTCS ARTFL INTE
37954Y715
588
24300
SH
DFND
1
24300
0
0
GOLD FIELDS LTD NEW
SPONSORED ADR
38059T106
2850
709000
SH
DFND
1
709000
0
0
GOLDCORP INC NEW
COM
380956409
1960
142100
SH
DFND
1
142100
0
0
GOLDEN MINERALS CO
COM
381119106
4
10160
SH
DFND
1
10160
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
2631
10446
SH
DFND
1
10446
0
0
GOODYEAR TIRE & RUBR CO
COM
382550101
173
6500
SH
DFND
1
6500
0
0
GOPRO INC
CL A
38268T103
12
2500
SH
DFND
1
2500
0
0
GREAT PANTHER SILVER LTD
COM
39115V101
9
7900
SH
DFND
1
7900
0
0
GUIDEWIRE SOFTWARE INC
NOTE 1.250% 3/1
40171VAA8
538
550000
PRN
DFND
1
550000
0
0
HABIT RESTAURANTS INC
COM CL A
40449J103
9
1000
SH
DFND
1
1000
0
0
HAIN CELESTIAL GROUP INC
COM
405217100
160
5000
SH
DFND
1
5000
0
0
HALLIBURTON CO
COM
406216101
129
2750
SH
DFND
1
2750
0
0
HARLEY DAVIDSON INC
COM
412822108
43
1000
SH
DFND
1
1000
0
0
HECLA MNG CO
COM
422704106
2470
673000
SH
DFND
1
673000
0
0
HESS CORP
COM
42809H107
480
9500
SH
DFND
1
9500
0
0
HEWLETT PACKARD ENTERPRISE C
COM
42824C109
32
1837
SH
DFND
1
1837
0
0
HOLLYSYS AUTOMATION TECHNOLO
SHS
G45667105
49
2000
SH
DFND
1
2000
0
0
HOME DEPOT INC
COM
437076102
37709
211577
SH
DFND
1
211577
0
0
HONEYWELL INTL INC
COM
438516106
216
1497
SH
DFND
1
1497
0
0
HORMEL FOODS CORP
COM
440452100
242
7049
SH
DFND
1
7049
0
0
HP INC
COM
40434L105
9
400
SH
DFND
1
400
0
0
HYDROGENICS CORP NEW
COM NEW
448883207
107
13000
SH
DFND
1
13000
0
0
IAMGOLD CORP
COM
450913108
4781
922800
SH
DFND
1
922800
0
0
ICICI BK LTD
ADR
45104G104
60
6750
SH
DFND
1
6750
0
0
II VI INC
COM
902104108
8
200
SH
DFND
1
200
0
0
ILLINOIS TOOL WKS INC
COM
452308109
7566
48300
SH
DFND
1
48300
0
0
ILLUMINA INC
NOTE 0.500% 6/1
452327AH2
3500
2840000
PRN
DFND
1
2840000
0
0
ILLUMINA INC
NOTE 6/1
452327AF6
3388
3060000
PRN
DFND
1
3060000
0
0
IMPERVA INC
COM
45321L100
65
1500
SH
DFND
1
1500
0
0
INCYTE CORP
COM
45337C102
188
2250
SH
DFND
1
2250
0
0
INGERSOLL-RAND PLC
SHS
G47791101
12319
144060
SH
DFND
1
144060
0
0
INSYS THERAPEUTICS INC NEW
COM NEW
45824V209
18
3000
SH
DFND
1
3000
0
0
INTEL CORP
CALL
458140900
350
33800
SH
Call
DFND
1
33800
0
0
INTEL CORP
COM
458140100
38360
736585
SH
DFND
1
736585
0
0
INTELLIA THERAPEUTICS INC
COM
45826J105
148
7000
SH
DFND
1
7000
0
0
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
36
500
SH
DFND
1
500
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
1127
7350
SH
DFND
1
7350
0
0
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
11226
81993
SH
DFND
1
81993
0
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
474
1145
SH
DFND
1
1145
0
0
INVESCO LTD
SHS
G491BT108
92
2879
SH
DFND
1
2879
0
0
ISHARES INC
MSCI BRAZIL ETF
464286400
725
16155
SH
DFND
1
16155
0
0
ISHARES INC
MSCI BRIC INDX
464286657
162
3500
SH
DFND
1
3500
0
0
ISHARES INC
MSCI CHILE ETF
464286640
263
4960
SH
DFND
1
4960
0
0
ISHARES INC
MSCI COLMBIA ETF
46434G202
272
18150
SH
DFND
1
18150
0
0
ISHARES INC
MSCI EURZONE ETF
464286608
1567
36150
SH
DFND
1
36150
0
0
ISHARES INC
MSCI JPN ETF NEW
46434G822
83
1356
SH
DFND
1
1356
0
0
ISHARES INC
MSCI MEXICO ETF
464286822
479
9290
SH
DFND
1
9290
0
0
ISHARES INC
MSCI MLY ETF NEW
46434G814
286
7915
SH
DFND
1
7915
0
0
ISHARES INC
MSCI PAC JP ETF
464286665
474
10190
SH
DFND
1
10190
0
0
ISHARES INC
MSCI RUSSIA ETF
46434G798
286
7835
SH
DFND
1
7835
0
0
ISHARES INC
MSCI TAIWAN ETF
46434G772
278
7245
SH
DFND
1
7245
0
0
ISHARES INC
MSCI THAILND ETF
464286624
286
2865
SH
DFND
1
2865
0
0
ISHARES INC
MSCI WORLD ETF
464286392
1298
14900
SH
DFND
1
14900
0
0
ISHARES TR
10-20 YR TRS ETF
464288653
58990
445949
SH
DFND
1
445949
0
0
ISHARES TR
3 7 YR TREAS BD
464288661
671
5566
SH
DFND
1
5566
0
0
ISHARES TR
GLOBAL TECH ETF
464287291
329
2080
SH
DFND
1
2080
0
0
ISHARES TR
INTL TREA BD ETF
464288117
32696
633510
SH
DFND
1
633510
0
0
ISHARES TR
MSCI ACWI ETF
464288257
1416
19750
SH
DFND
1
19750
0
0
ISHARES TR
MSCI CHINA ETF
46429B671
110
1600
SH
DFND
1
1600
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
2643
54750
SH
DFND
1
54750
0
0
ISHARES TR
MSCI INDIA ETF
46429B598
645
18885
SH
DFND
1
18885
0
0
ISHARES TR
MSCI INDONIA ETF
46429B309
252
9340
SH
DFND
1
9340
0
0
ISHARES TR
MSCI PERU ETF
464289842
271
6375
SH
DFND
1
6375
0
0
ISHARES TR
MSCI PHILIPS ETF
46429B408
241
6890
SH
DFND
1
6890
0
0
ISHARES TR
MSCI POLAND ETF
46429B606
243
9670
SH
DFND
1
9670
0
0
ISHARES TR
MSCI QATAR ETF
46434V779
268
16320
SH
DFND
1
16320
0
0
ISHARES TR
MSCI SAUDI ARBIA
46434V423
300
10255
SH
DFND
1
10255
0
0
ISHARES TR
MSCI UAE ETF
46434V761
263
15735
SH
DFND
1
15735
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
342
2257
SH
DFND
1
2257
0
0
ISHARES TR
S&P US PFD STK
464288687
539
14350
SH
DFND
1
14350
0
0
ISHARES TR
U.S. ENERGY ETF
464287796
18
500
SH
DFND
1
500
0
0
ITAU UNIBANCO HLDG SA
SPON ADR REP PFD
465562106
200
12805
SH
DFND
1
12805
0
0
JD COM INC
SPON ADR CL A
47215P106
2114
52230
SH
DFND
1
52230
0
0
JOHNSON & JOHNSON
COM
478160104
21154
165058
SH
DFND
1
165058
0
0
JOHNSON CTLS INTL PLC
SHS
G51502105
34
955
SH
DFND
1
955
0
0
JPMORGAN CHASE & CO
CALL
46625H900
79
7000
SH
Call
DFND
1
7000
0
0
JPMORGAN CHASE & CO
COM
46625H100
59956
545227
SH
DFND
1
545227
0
0
JUNIPER NETWORKS INC
COM
48203R104
6
244
SH
DFND
1
244
0
0
KANSAS CITY SOUTHERN
COM NEW
485170302
33
300
SH
DFND
1
300
0
0
KELLOGG CO
COM
487836108
5851
90000
SH
DFND
1
90000
0
0
KIMBERLY CLARK CORP
COM
494368103
9912
90000
SH
DFND
1
90000
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
1939
491200
SH
DFND
1
491200
0
0
KIRBY CORP
COM
497266106
269
3500
SH
DFND
1
3500
0
0
KLA-TENCOR CORP
COM
482480100
38
347
SH
DFND
1
347
0
0
KOHLS CORP
COM
500255104
60
921
SH
DFND
1
921
0
0
KRAFT HEINZ CO
COM
500754106
10338
165959
SH
DFND
1
165959
0
0
KRANESHARES TR
CSI CHI INTERNET
500767306
61
1000
SH
DFND
1
1000
0
0
KROGER CO
COM
501044101
76
3165
SH
DFND
1
3165
0
0
KULICKE & SOFFA INDS INC
COM
501242101
150
6000
SH
DFND
1
6000
0
0
LAM RESEARCH CORP
COM
512807108
298
1468
SH
DFND
1
1468
0
0
LAS VEGAS SANDS CORP
COM
517834107
86
1200
SH
DFND
1
1200
0
0
LAUDER ESTEE COS INC
CL A
518439104
299
2000
SH
DFND
1
2000
0
0
LEXICON PHARMACEUTICALS INC
COM NEW
528872302
47
5500
SH
DFND
1
5500
0
0
LIVE NATION ENTERTAINMENT IN
COM
538034109
15276
362631
SH
DFND
1
362631
0
0
LOCKHEED MARTIN CORP
COM
539830109
51
150
SH
DFND
1
150
0
0
LOGITECH INTL S A
SHS
H50430232
19274
527801
SH
DFND
1
527801
0
0
LOWES COS INC
COM
548661107
13
148
SH
DFND
1
148
0
0
LUMENTUM HLDGS INC
NOTE 0.250% 3/1
55024UAB5
1586
1250000
PRN
DFND
1
1250000
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
193
1826
SH
DFND
1
1826
0
0
MAGNA INTL INC
COM
559222401
12
211
SH
DFND
1
211
0
0
MAGNEGAS CORP
COM PAR
55939L400
2
2000
SH
DFND
1
2000
0
0
MANULIFE FINL CORP
COM
56501R106
63
3400
SH
DFND
1
3400
0
0
MARATHON OIL CORP
COM
565849106
242
15000
SH
DFND
1
15000
0
0
MARATHON PETE CORP
COM
56585A102
285
3906
SH
DFND
1
3906
0
0
MARSH & MCLENNAN COS INC
COM
571748102
1373
16605
SH
DFND
1
16605
0
0
MASTEC INC
COM
576323109
7
150
SH
DFND
1
150
0
0
MASTERCARD INCORPORATED
CL A
57636Q104
45
258
SH
DFND
1
258
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
138
2295
SH
DFND
1
2295
0
0
MCDONALDS CORP
COM
580135101
9801
62684
SH
DFND
1
62684
0
0
MCKESSON CORP
COM
58155Q103
332
2356
SH
DFND
1
2356
0
0
MEDTRONIC PLC
SHS
G5960L103
8940
111446
SH
DFND
1
111446
0
0
MELCO RESORT ENTERTAINMENT L
ADR
585464100
23
800
SH
DFND
1
800
0
0
MERCADOLIBRE INC
COM
58733R102
36
100
SH
DFND
1
100
0
0
MERCK & CO INC
COM
58933Y105
20811
382169
SH
DFND
1
382169
0
0
METHODE ELECTRS INC
COM
591520200
6
150
SH
DFND
1
150
0
0
METLIFE INC
CALL
59156R908
39
15000
SH
Call
DFND
1
15000
0
0
METLIFE INC
COM
59156R108
21266
463435
SH
DFND
1
463435
0
0
MICHAEL KORS HLDGS LTD
SHS
G60754101
25
400
SH
DFND
1
400
0
0
MICROCHIP TECHNOLOGY INC
COM
595017104
15
162
SH
DFND
1
162
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1.625% 2/1
595017AF1
5858
4930000
PRN
DFND
1
4930000
0
0
MICRON TECHNOLOGY INC
COM
595112103
656
12558
SH
DFND
1
12558
0
0
MICROSOFT CORP
COM
594918104
35786
392089
SH
DFND
1
392089
0
0
MOLECULAR TEMPLATES INC
COM
608550109
10
1227
SH
DFND
1
1227
0
0
MONDELEZ INTL INC
CL A
609207105
83239
1994962
SH
DFND
1
1994962
0
0
MONSANTO CO NEW
COM
61166W101
4215
36110
SH
DFND
1
36110
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
309
5400
SH
DFND
1
5400
0
0
MORGAN STANLEY
CALL
617446908
94
13000
SH
Call
DFND
1
13000
0
0
MORGAN STANLEY
COM NEW
617446448
121
2237
SH
DFND
1
2237
0
0
MORGAN STANLEY INDIA INVS FD
COM
61745C105
30
1000
SH
DFND
1
1000
0
0
MULESOFT INC
CL A
625207105
48
1100
SH
DFND
1
1100
0
0
MYLAN N V
SHS EURO
N59465109
206
5000
SH
DFND
1
5000
0
0
NAVISTAR INTL CORP NEW
COM
63934E108
7
200
SH
DFND
1
200
0
0
NEKTAR THERAPEUTICS
COM
640268108
568
5350
SH
DFND
1
5350
0
0
NEOVASC INC
COM
64065J106
5
85000
SH
DFND
1
85000
0
0
NETFLIX INC
COM
64110L106
862
2911
SH
DFND
1
2911
0
0
NEW GOLD INC CDA
COM
644535106
1091
421000
SH
DFND
1
421000
0
0
NEWMONT MINING CORP
COM
651639106
3937
100755
SH
DFND
1
100755
0
0
NIKE INC
CL B
654106103
4578
68880
SH
DFND
1
68880
0
0
NOBLE CORP PLC
SHS USD
G65431101
7
2000
SH
DFND
1
2000
0
0
NOBLE ENERGY INC
COM
655044105
16970
560107
SH
DFND
1
560107
0
0
NOKIA CORP
SPONSORED ADR
654902204
0
85
SH
DFND
1
85
0
0
NORTHROP GRUMMAN CORP
COM
666807102
489
1400
SH
DFND
1
1400
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
32
400
SH
DFND
1
400
0
0
NUANCE COMMUNICATIONS INC
DBCV 1.000%12/1
67020YAK6
1112
1160000
PRN
DFND
1
1160000
0
0
NUCOR CORP
COM
670346105
109
1788
SH
DFND
1
1788
0
0
NUTRIEN LTD
COM
67077M108
23
480
SH
DFND
1
480
0
0
NUVASIVE INC
NOTE 2.250% 3/1
670704AG0
1454
1320000
PRN
DFND
1
1320000
0
0
NVIDIA CORP
COM
67066G104
1838
7935
SH
DFND
1
7935
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
468
4000
SH
DFND
1
4000
0
0
NXP SEMICONDUCTORS N V
DBCV 1.000%12/0
62952QAB6
5998
4824000
PRN
DFND
1
4824000
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
7565
116492
SH
DFND
1
116492
0
0
OCULAR THERAPEUTIX INC
COM
67576A100
5
700
SH
DFND
1
700
0
0
OHR PHARMACEUTICAL INC
COM NEW
67778H200
1
4000
SH
DFND
1
4000
0
0
OI S A
SPONSORED ADR NE
670851500
0
2
SH
DFND
1
2
0
0
OMNICOM GROUP INC
COM
681919106
75
1032
SH
DFND
1
1032
0
0
ON SEMICONDUCTOR CORP
NOTE 1.000%12/0
682189AK1
658
460000
PRN
DFND
1
460000
0
0
ORACLE CORP
COM
68389X105
1346
29450
SH
DFND
1
29450
0
0
OVERSTOCK COM INC DEL
COM
690370101
36
1000
SH
DFND
1
1000
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
366
180000
SH
DFND
1
180000
0
0
PALO ALTO NETWORKS INC
COM
697435105
23487
129383
SH
DFND
1
129383
0
0
PAN AMERICAN SILVER CORP
COM
697900108
28
1760
SH
DFND
1
1760
0
0
PARKER HANNIFIN CORP
COM
701094104
9
51
SH
DFND
1
51
0
0
PAYCHEX INC
COM
704326107
107
1723
SH
DFND
1
1723
0
0
PAYPAL HLDGS INC
COM
70450Y103
3199
42168
SH
DFND
1
42168
0
0
PEPSICO INC
COM
713448108
699
6422
SH
DFND
1
6422
0
0
PETROLEO BRASILEIRO SA PETRO
SP ADR NON VTG
71654V101
239
18440
SH
DFND
1
18440
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
67
4785
SH
DFND
1
4785
0
0
PFIZER INC
COM
717081103
6087
171535
SH
DFND
1
171535
0
0
PG&E CORP
COM
69331C108
98
2224
SH
DFND
1
2224
0
0
PGT INNOVATIONS INC
COM
69336V101
37
2000
SH
DFND
1
2000
0
0
PHILIP MORRIS INTL INC
COM
718172109
1877
18913
SH
DFND
1
18913
0
0
PHILLIPS 66
COM
718546104
40
418
SH
DFND
1
418
0
0
PLUG POWER INC
COM NEW
72919P202
6
3000
SH
DFND
1
3000
0
0
POLARIS INDS INC
COM
731068102
10
90
SH
DFND
1
90
0
0
POWERSHARES ETF TRUST
GOLDEN DRG CHINA
73935X401
106
2300
SH
DFND
1
2300
0
0
POWERSHARES ETF TRUST
HLTHCR SEC POR
73935X351
50
650
SH
DFND
1
650
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
4968
31030
SH
DFND
1
31030
0
0
PPG INDS INC
COM
693506107
4830
43292
SH
DFND
1
43292
0
0
PRAXAIR INC
COM
74005P104
6327
43839
SH
DFND
1
43839
0
0
PRICE T ROWE GROUP INC
COM
74144T108
106
977
SH
DFND
1
977
0
0
PRICELINE GRP INC
NOTE 0.900% 9/1
741503AX4
7296
5820000
PRN
DFND
1
5820000
0
0
PRINCIPAL FINL GROUP INC
COM
74251V102
88
1452
SH
DFND
1
1452
0
0
PROCTER AND GAMBLE CO
COM
742718109
13607
171653
SH
DFND
1
171653
0
0
PROLOGIS INC
COM
74340W103
145
2306
SH
DFND
1
2306
0
0
PROSHARES TR
ULTRAPRO QQQ
74347X831
174
1212
SH
DFND
1
1212
0
0
PROSPECT CAPITAL CORPORATION
NOTE 4.750% 4/1
74348TAQ5
1632
1590000
PRN
DFND
1
1590000
0
0
PROSPECT CAPITAL CORPORATION
NOTE 5.875% 1/1
74348TAM4
994
960000
PRN
DFND
1
960000
0
0
PRUDENTIAL FINL INC
CALL
744320902
41
7000
SH
Call
DFND
1
7000
0
0
PUBLIC STORAGE
COM
74460D109
133
665
SH
DFND
1
665
0
0
PUBLIC SVC ENTERPRISE GROUP
COM
744573106
236
4688
SH
DFND
1
4688
0
0
QUALCOMM INC
COM
747525103
690
12457
SH
DFND
1
12457
0
0
RANDGOLD RES LTD
ADR
752344309
516
6200
SH
DFND
1
6200
0
0
RANGE RES CORP
COM
75281A109
7939
545978
SH
DFND
1
545978
0
0
RAYTHEON CO
COM NEW
755111507
432
2000
SH
DFND
1
2000
0
0
RED HAT INC
COM
756577102
17119
114500
SH
DFND
1
114500
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
503
1460
SH
DFND
1
1460
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
65
1150
SH
DFND
1
1150
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
3470
67300
SH
DFND
1
67300
0
0
ROSS STORES INC
COM
778296103
68
867
SH
DFND
1
867
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
270
3500
SH
DFND
1
3500
0
0
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
868
13240
SH
DFND
1
13240
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
93
1464
SH
DFND
1
1464
0
0
RPM INTL INC
NOTE 2.250%12/1
749685AT0
2074
1830000
PRN
DFND
1
1830000
0
0
S&P GLOBAL INC
COM
78409V104
30554
159925
SH
DFND
1
159925
0
0
SALESFORCE COM INC
COM
79466L302
337
2900
SH
DFND
1
2900
0
0
SCHLUMBERGER LTD
COM
806857108
65746
1015043
SH
DFND
1
1015043
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
188
3600
SH
DFND
1
3600
0
0
SCORPIO BULKERS INC
COM
Y7546A122
14
2000
SH
DFND
1
2000
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
14
203
SH
DFND
1
203
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
81
1000
SH
DFND
1
1000
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
28
1000
SH
DFND
1
1000
0
0
SELECTA BIOSCIENCES INC
COM
816212104
97
9500
SH
DFND
1
9500
0
0
SEMPRA ENERGY
COM
816851109
28
245
SH
DFND
1
245
0
0
SERVICE CORP INTL
COM
817565104
151
4000
SH
DFND
1
4000
0
0
SHOPIFY INC
CL A
82509L107
50
400
SH
DFND
1
400
0
0
SIFY TECHNOLOGIES LIMITED
SPONSORED ADR
82655M107
0
35
SH
DFND
1
35
0
0
SILVERCORP METALS INC
COM
82835P103
8
2790
SH
DFND
1
2790
0
0
SKYWORKS SOLUTIONS INC
COM
83088M102
32
317
SH
DFND
1
317
0
0
SMART GLOBAL HLDGS INC
SHS
G8232Y101
150
3000
SH
DFND
1
3000
0
0
SNAP INC
CL A
83304A106
20
1200
SH
DFND
1
1200
0
0
SOUTHWEST AIRLS CO
COM
844741108
33
583
SH
DFND
1
583
0
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
338
1400
SH
DFND
1
1400
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
439
3490
SH
DFND
1
3490
0
0
SPDR INDEX SHS FDS
EURO STOXX 50
78463X202
101
2500
SH
DFND
1
2500
0
0
SPDR INDEX SHS FDS
MSCI ACWI EXUS
78463X848
56
1432
SH
DFND
1
1432
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
7664
29125
SH
DFND
1
29125
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
136
1550
SH
DFND
1
1550
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
104
1150
SH
DFND
1
1150
0
0
SPIRIT RLTY CAP INC NEW
NOTE 2.875% 5/1
84860WAA0
1208
1200000
PRN
DFND
1
1200000
0
0
SPROUTS FMRS MKT INC
COM
85208M102
3255
138731
SH
DFND
1
138731
0
0
SQUARE INC
CL A
852234103
49
1000
SH
DFND
1
1000
0
0
SSR MNG INC
COM
784730103
166
17200
SH
DFND
1
17200
0
0
STARBUCKS CORP
COM
855244109
4780
82594
SH
DFND
1
82594
0
0
STARWOOD PPTY TR INC
NOTE 4.000% 1/1
85571BAB1
1410
1300000
PRN
DFND
1
1300000
0
0
STEEL CONNECT INC
COM
858098106
2
800
SH
DFND
1
800
0
0
SUNCOR ENERGY INC NEW
COM
867224107
318
9231
SH
DFND
1
9231
0
0
SYNCHRONY FINL
COM
87165B103
17445
520197
SH
DFND
1
520197
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
6177
141150
SH
DFND
1
141150
0
0
TALEND S A
ADS
874224207
12
250
SH
DFND
1
250
0
0
TAPESTRY INC
COM
876030107
332
6327
SH
DFND
1
6327
0
0
TARGET CORP
COM
87612E106
54
782
SH
DFND
1
782
0
0
TATA MTRS LTD
SPONSORED ADR
876568502
89
3450
SH
DFND
1
3450
0
0
TE CONNECTIVITY LTD
REG SHS
H84989104
4559
45619
SH
DFND
1
45619
0
0
TECHNIPFMC PLC
COM
G87110105
343
11881
SH
DFND
1
11881
0
0
TELEFONICA BRASIL SA
SPONSORED ADR
87936R106
3
212
SH
DFND
1
212
0
0
TELEFONICA S A
SPONSORED ADR
879382208
5
534
SH
DFND
1
534
0
0
TESLA INC
COM
88160R101
490
1838
SH
DFND
1
1838
0
0
TESLA INC
NOTE 2.375% 3/1
88160RAD3
802
800000
PRN
DFND
1
800000
0
0
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADR
881624209
4303
251800
SH
DFND
1
251800
0
0
TEXAS INSTRS INC
COM
882508104
15192
146239
SH
DFND
1
146239
0
0
THE TRADE DESK INC
COM CL A
88339J105
10
200
SH
DFND
1
200
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
872
4222
SH
DFND
1
4222
0
0
TIFFANY & CO NEW
COM
886547108
5809
59464
SH
DFND
1
59464
0
0
TIM PARTICIPACOES S A
SPONSORED ADR
88706P205
1
45
SH
DFND
1
45
0
0
TJX COS INC NEW
COM
872540109
76
933
SH
DFND
1
933
0
0
TORONTO DOMINION BK ONT
COM NEW
891160509
142
2500
SH
DFND
1
2500
0
0
TRANSCANADA CORP
COM
89353D107
106
2554
SH
DFND
1
2554
0
0
TRANSENTERIX INC
COM NEW
89366M201
17
10000
SH
DFND
1
10000
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
13
1384
SH
DFND
1
1384
0
0
TURQUOISE HILL RES LTD
COM
900435108
148
48445
SH
DFND
1
48445
0
0
TUTOR PERINI CORP
COM
901109108
11
500
SH
DFND
1
500
0
0
TWITTER INC
COM
90184L102
230
7900
SH
DFND
1
7900
0
0
UBS GROUP AG
SHS
H42097107
48379
2758409
SH
DFND
1
2758409
0
0
UNDER ARMOUR INC
CL A
904311107
21
1268
SH
DFND
1
1268
0
0
UNILEVER N V
N Y SHS NEW
904784709
21992
390000
SH
DFND
1
390000
0
0
UNILEVER PLC
SPON ADR NEW
904767704
305
5500
SH
DFND
1
5500
0
0
UNION PAC CORP
COM
907818108
269
2000
SH
DFND
1
2000
0
0
UNITED CONTL HLDGS INC
COM
910047109
35
500
SH
DFND
1
500
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
17886
142158
SH
DFND
1
142158
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
119
556
SH
DFND
1
556
0
0
V F CORP
COM
918204108
751
10150
SH
DFND
1
10150
0
0
VALE S A
ADR
91912E105
1286
101073
SH
DFND
1
101073
0
0
VALEANT PHARMACEUTICALS INTL
COM
91911K102
23
1446
SH
DFND
1
1446
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
104
1117
SH
DFND
1
1117
0
0
VANECK VECTORS ETF TR
AFRICA INDEX ETF
92189F866
105
4100
SH
DFND
1
4100
0
0
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
6
280
SH
DFND
1
280
0
0
VANECK VECTORS ETF TR
JR GOLD MINERS E
92189F791
257
8000
SH
DFND
1
8000
0
0
VANECK VECTORS ETF TR
SEMICONDUCTOR ET
92189F676
94
900
SH
DFND
1
900
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
41
700
SH
DFND
1
700
0
0
VANGUARD INTL EQUITY INDEX F
FTSE PACIFIC ETF
922042866
4575
62712
SH
DFND
1
62712
0
0
VANGUARD SCOTTSDALE FDS
LONG TERM TREAS
92206C847
49055
653895
SH
DFND
1
653895
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1051
13400
SH
DFND
1
13400
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
4123
86230
SH
DFND
1
86230
0
0
VERSUM MATLS INC
COM
92532W103
90
2400
SH
DFND
1
2400
0
0
VISA INC
CALL
92826C909
96
6500
SH
Call
DFND
1
6500
0
0
VISA INC
COM CL A
92826C839
106535
890411
SH
DFND
1
890411
0
0
VMWARE INC
CL A COM
928563402
61
500
SH
DFND
1
500
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
1213
18506
SH
DFND
1
18506
0
0
WALMART INC
COM
931142103
286
3222
SH
DFND
1
3222
0
0
WATERS CORP
COM
941848103
63
317
SH
DFND
1
317
0
0
WEATHERFORD INTL PLC
ORD SHS
G48833100
2
900
SH
DFND
1
900
0
0
WEIBO CORP
SPONSORED ADR
948596101
102
850
SH
DFND
1
850
0
0
WELLS FARGO CO NEW
COM
949746101
8374
159782
SH
DFND
1
159782
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
63
3100
SH
DFND
1
3100
0
0
WILLIAMS COS INC DEL
COM
969457100
22
900
SH
DFND
1
900
0
0
WINDSTREAM HLDGS INC
COM NEW
97382A200
4
2629
SH
DFND
1
2629
0
0
WISDOMTREE TR
EM LCL DEBT FD
97717X867
705
17943
SH
DFND
1
17943
0
0
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
644
11500
SH
DFND
1
11500
0
0
YAHOO INC
NOTE 12/0
984332AF3
2274
1630000
PRN
DFND
1
1630000
0
0
YAMANA GOLD INC
COM
98462Y100
1428
517000
SH
DFND
1
517000
0
0
YUM BRANDS INC
COM
988498101
294
3450
SH
DFND
1
3450
0
0
YUM CHINA HLDGS INC
COM
98850P109
7024
169260
SH
DFND
1
169260
0
0
FOMENTO ECONOMICO MEXICANO S
SPON ADR UNITS
344419106
64
700
SH
DFND
2
700
0
0
FRANCO NEVADA CORP
COM
351858105
48
700
SH
DFND
2
700
0
0
FRESENIUS MED CARE AG&CO KGA
SPONSORED ADR
358029106
13
250
SH
DFND
2
250
0
0
GILDAN ACTIVEWEAR INC
COM
375916103
72
2500
SH
DFND
2
2500
0
0
GILEAD SCIENCES INC
COM
375558103
75
1000
SH
DFND
2
1000
0
0
GLOBAL X FDS
RBTCS ARTFL INTE
37954Y715
345
14235
SH
DFND
2
14235
0
0
GOLDCORP INC NEW
COM
380956409
110
8000
SH
DFND
2
8000
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
19
75
SH
DFND
2
75
0
0
GROUPE CGI INC
CL A SUB VTG
39945C109
58
1000
SH
DFND
2
1000
0
0
GULFMARK OFFSHORE INC
*W EXP 11/14/202
402629117
0
184
SH
DFND
2
184
0
0
GULFMARK OFFSHORE INC
COM
402629505
0
17
SH
DFND
2
17
0
0
HALLIBURTON CO
COM
406216101
3
60
SH
DFND
2
60
0
0
HASBRO INC
COM
418056107
30
350
SH
DFND
2
350
0
0
HOME DEPOT INC
COM
437076102
5136
28828
SH
DFND
2
28828
0
0
HONDA MOTOR LTD
AMERN SHS
438128308
21
600
SH
DFND
2
600
0
0
HONEYWELL INTL INC
COM
438516106
43
300
SH
DFND
2
300
0
0
HUDSON GLOBAL INC
COM
443787106
68
35000
SH
DFND
2
35000
0
0
IMPERIAL OIL LTD
COM NEW
453038408
20
750
SH
DFND
2
750
0
0
INGERSOLL-RAND PLC
SHS
G47791101
86
1000
SH
DFND
2
1000
0
0
INTEL CORP
COM
458140100
49
950
SH
DFND
2
950
0
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
57
135
SH
DFND
2
135
0
0
ISHARES GOLD TRUST
ISHARES
464285105
192
15030
SH
DFND
2
15030
0
0
ISHARES INC
MSCI GERMANY ETF
464286806
82
2547
SH
DFND
2
2547
0
0
ISHARES INC
MSCI JPN ETF NEW
46434G822
531
8750
SH
DFND
2
8750
0
0
ISHARES INC
MSCI PAC JP ETF
464286665
1501
32300
SH
DFND
2
32300
0
0
ISHARES INC
MSCI TAIWAN ETF
46434G772
196
5100
SH
DFND
2
5100
0
0
ISHARES TR
0-5YR INVT GR CP
46434V100
99
2000
SH
DFND
2
2000
0
0
ISHARES TR
20 YR TR BD ETF
464287432
5299
43520
SH
DFND
2
43520
0
0
3M CO
COM
88579Y101
505
2300
SH
DFND
2
2300
0
0
ABBVIE INC
COM
00287Y109
7381
77985
SH
DFND
2
77985
0
0
ABERDEEN JAPAN EQUITY FD INC
COM
00306J109
19
2100
SH
DFND
2
2100
0
0
AETNA INC NEW
COM
00817Y108
7
40
SH
DFND
2
40
0
0
AGNICO EAGLE MINES LTD
COM
008474108
42
1000
SH
DFND
2
1000
0
0
ALAMOS GOLD INC NEW
COM CL A
011532108
18
3462
SH
DFND
2
3462
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
1271
6925
SH
DFND
2
6925
0
0
ALLERGAN PLC
SHS
G0177J108
639
3800
SH
DFND
2
3800
0
0
ALPHABET INC
CAP STK CL A
02079K305
9801
9449
SH
DFND
2
9449
0
0
ALPHABET INC
CAP STK CL C
02079K107
3740
3625
SH
DFND
2
3625
0
0
ALTRIA GROUP INC
COM
02209S103
62
1000
SH
DFND
2
1000
0
0
AMAZON COM INC
COM
023135106
1585
1095
SH
DFND
2
1095
0
0
AMBEV SA
SPONSORED ADR
02319V103
65
9000
SH
DFND
2
9000
0
0
AMERICA MOVIL SAB DE CV
SPON ADR L SHS
02364W105
29
1500
SH
DFND
2
1500
0
0
AMYRIS INC
COM NEW
03236M200
665
104000
SH
DFND
2
104000
0
0
ANDEAVOR
COM
03349M105
4186
41620
SH
DFND
2
41620
0
0
APPLE INC
COM
037833100
4894
29172
SH
DFND
2
29172
0
0
AT&T INC
COM
00206R102
25
700
SH
DFND
2
700
0
0
BAIDU INC
SPON ADR REP A
056752108
89
400
SH
DFND
2
400
0
0
BANCO SANTANDER SA
ADR
05964H105
56
8600
SH
DFND
2
8600
0
0
BANK AMER CORP
COM
060505104
336
11200
SH
DFND
2
11200
0
0
BANK MONTREAL QUE
COM
063671101
83
1100
SH
DFND
2
1100
0
0
BANK N S HALIFAX
COM
064149107
126
2050
SH
DFND
2
2050
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
252
1260
SH
DFND
2
1260
0
0
BOOKING HLDGS INC
COM
09857L108
17
8
SH
DFND
2
8
0
0
BRIGHTHOUSE FINL INC
COM
10922N103
37
727
SH
DFND
2
727
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
32
500
SH
DFND
2
500
0
0
BUNGE LIMITED
COM
G16962105
532
7200
SH
DFND
2
7200
0
0
CAE INC
COM
124765108
47
2500
SH
DFND
2
2500
0
0
CALIFORNIA RES CORP
COM NEW
13057Q206
0
8
SH
DFND
2
8
0
0
CAMDEN PPTY TR
SH BEN INT
133131102
25
300
SH
DFND
2
300
0
0
CANADIAN NAT RES LTD
COM
136385101
85
2700
SH
DFND
2
2700
0
0
CANADIAN NATL RY CO
COM
136375102
161
2200
SH
DFND
2
2200
0
0
CEMEX SAB DE CV
SPON ADR NEW
151290889
60
9000
SH
DFND
2
9000
0
0
CHINA LIFE INS CO LTD
SPON ADR REP H
16939P106
34
2400
SH
DFND
2
2400
0
0
CHINA MOBILE LIMITED
SPONSORED ADR
16941M109
195
4275
SH
DFND
2
4275
0
0
CHUBB LIMITED
COM
H1467J104
1367
10000
SH
DFND
2
10000
0
0
CISCO SYS INC
COM
17275R102
102
2380
SH
DFND
2
2380
0
0
CITIGROUP INC
COM NEW
172967424
44
645
SH
DFND
2
645
0
0
COCA COLA CO
COM
191216100
252
5800
SH
DFND
2
5800
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
1449
18000
SH
DFND
2
18000
0
0
COLGATE PALMOLIVE CO
COM
194162103
111
1540
SH
DFND
2
1540
0
0
COMCAST CORP NEW
CL A
20030N101
2323
67900
SH
DFND
2
67900
0
0
CORNING INC
COM
219350105
84
3000
SH
DFND
2
3000
0
0
COSTCO WHSL CORP NEW
COM
22160K105
38
200
SH
DFND
2
200
0
0
DENTSPLY SIRONA INC
COM
24906P109
25
500
SH
DFND
2
500
0
0
DEXCOM INC
COM
252131107
816
11000
SH
DFND
2
11000
0
0
DIAGEO P L C
SPON ADR NEW
25243Q205
482
3570
SH
DFND
2
3570
0
0
DISNEY WALT CO
COM DISNEY
254687106
572
5700
SH
DFND
2
5700
0
0
DR REDDYS LABS LTD
ADR
256135203
27
830
SH
DFND
2
830
0
0
EMBRAER S A
SP ADR REP 4 COM
29082A107
26
1000
SH
DFND
2
1000
0
0
ENBRIDGE INC
COM
29250N105
57
1800
SH
DFND
2
1800
0
0
EOG RES INC
COM
26875P101
5359
50875
SH
DFND
2
50875
0
0
EXCHANGE TRADED CONCEPTS TR
ROBO GLB ETF
301505707
1201
28725
SH
DFND
2
28725
0
0
EXELON CORP
COM
30161N101
20
500
SH
DFND
2
500
0
0
FACEBOOK INC
CL A
30303M102
1751
10955
SH
DFND
2
10955
0
0
FERRARI N V
COM
N3167Y103
28
235
SH
DFND
2
235
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
468
9900
SH
DFND
2
9900
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
108
1400
SH
DFND
2
1400
0
0
ISHARES TR
CORE S&P500 ETF
464287200
623
2350
SH
DFND
2
2350
0
0
ISHARES TR
CORE US AGGBD ET
464287226
3683
34350
SH
DFND
2
34350
0
0
ISHARES TR
EAFE VALUE ETF
464288877
58
1061
SH
DFND
2
1061
0
0
ISHARES TR
FLTG RATE NT ETF
46429B655
500
9800
SH
DFND
2
9800
0
0
ISHARES TR
GLOB HLTHCRE ETF
464287325
89
800
SH
DFND
2
800
0
0
ISHARES TR
IBOXX HI YD ETF
464288513
265
3100
SH
DFND
2
3100
0
0
ISHARES TR
IBOXX INV CP ETF
464287242
3241
27600
SH
DFND
2
27600
0
0
ISHARES TR
MSCI ACWI ETF
464288257
2424
33800
SH
DFND
2
33800
0
0
ISHARES TR
MSCI CHINA ETF
46429B671
1715
25000
SH
DFND
2
25000
0
0
ISHARES TR
MSCI EAFE ETF
464287465
1272
18250
SH
DFND
2
18250
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
7600
157427
SH
DFND
2
157427
0
0
ISHARES TR
MSCI EURO FL ETF
464289180
808
35000
SH
DFND
2
35000
0
0
ISHARES TR
NORTH AMERN NAT
464287374
380
11485
SH
DFND
2
11485
0
0
ISHARES TR
RUS MDCP VAL ETF
464287473
70
812
SH
DFND
2
812
0
0
ISHARES TR
RUS MID CAP ETF
464287499
95
458
SH
DFND
2
458
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
881
5800
SH
DFND
2
5800
0
0
ISHARES TR
US HOME CONS ETF
464288752
62
1570
SH
DFND
2
1570
0
0
JD COM INC
SPON ADR CL A
47215P106
24
600
SH
DFND
2
600
0
0
JOHNSON & JOHNSON
COM
478160104
4635
36160
SH
DFND
2
36160
0
0
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
24
1000
SH
DFND
2
1000
0
0
JPMORGAN CHASE & CO
COM
46625H100
1428
12985
SH
DFND
2
12985
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
24
6000
SH
DFND
2
6000
0
0
LILLY ELI & CO
COM
532457108
32
410
SH
DFND
2
410
0
0
LOGITECH INTL S A
SHS
H50430232
56
1525
SH
DFND
2
1525
0
0
LOGMEIN INC
COM
54142L109
23
200
SH
DFND
2
200
0
0
MARATHON PETE CORP
COM
56585A102
359
4900
SH
DFND
2
4900
0
0
MASTERCARD INCORPORATED
CL A
57636Q104
35
200
SH
DFND
2
200
0
0
MCDONALDS CORP
COM
580135101
2953
18850
SH
DFND
2
18850
0
0
MEDTRONIC PLC
SHS
G5960L103
44
550
SH
DFND
2
550
0
0
MERCK & CO INC
COM
58933Y105
856
15690
SH
DFND
2
15690
0
0
METLIFE INC
COM
59156R108
367
8000
SH
DFND
2
8000
0
0
MICRON TECHNOLOGY INC
COM
595112103
26
500
SH
DFND
2
500
0
0
MICROSOFT CORP
COM
594918104
336
3690
SH
DFND
2
3690
0
0
MONDELEZ INTL INC
CL A
609207105
3924
94020
SH
DFND
2
94020
0
0
NABORS INDUSTRIES LTD
SHS
G6359F103
70
10000
SH
DFND
2
10000
0
0
NATIONAL RETAIL PPTYS INC
COM
637417106
98
2500
SH
DFND
2
2500
0
0
NETFLIX INC
COM
64110L106
89
300
SH
DFND
2
300
0
0
NEWMONT MINING CORP
COM
651639106
39
1000
SH
DFND
2
1000
0
0
NIKE INC
CL B
654106103
30
446
SH
DFND
2
446
0
0
NOBLE ENERGY INC
COM
655044105
394
13000
SH
DFND
2
13000
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
12
150
SH
DFND
2
150
0
0
NUCOR CORP
COM
670346105
61
1000
SH
DFND
2
1000
0
0
NVIDIA CORP
COM
67066G104
278
1200
SH
DFND
2
1200
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
279
4300
SH
DFND
2
4300
0
0
ORACLE CORP
COM
68389X105
4473
97831
SH
DFND
2
97831
0
0
PALO ALTO NETWORKS INC
COM
697435105
599
3300
SH
DFND
2
3300
0
0
PAN AMERICAN SILVER CORP
COM
697900108
29
1800
SH
DFND
2
1800
0
0
PEPSICO INC
COM
713448108
3912
35825
SH
DFND
2
35825
0
0
PFIZER INC
COM
717081103
18
500
SH
DFND
2
500
0
0
PIMCO ETF TR
ACTIVE BD ETF
72201R775
31
300
SH
DFND
2
300
0
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
6588
64875
SH
DFND
2
64875
0
0
POWERSHARES ETF TRUST
WATER RES PORT
73935X575
38
1250
SH
DFND
2
1250
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
2178
13600
SH
DFND
2
13600
0
0
PRAXAIR INC
COM
74005P104
729
5050
SH
DFND
2
5050
0
0
PRECISION DRILLING CORP
COM 2010
74022D308
42
15000
SH
DFND
2
15000
0
0
PROCTER AND GAMBLE CO
COM
742718109
278
3506
SH
DFND
2
3506
0
0
PROSHARES TR
ULT FTSE EUROPE
74347X526
28
500
SH
DFND
2
500
0
0
QUALCOMM INC
COM
747525103
4
73
SH
DFND
2
73
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
85
1500
SH
DFND
2
1500
0
0
ROGERS COMMUNICATIONS INC
CL B
775109200
160
3600
SH
DFND
2
3600
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
1707
22100
SH
DFND
2
22100
0
0
SALESFORCE COM INC
COM
79466L302
157
1350
SH
DFND
2
1350
0
0
SAP SE
SPON ADR
803054204
442
4200
SH
DFND
2
4200
0
0
SCHLUMBERGER LTD
COM
806857108
2637
40690
SH
DFND
2
40690
0
0
SELECT BANCORP INC NEW
COM
81617L108
23
1724
SH
DFND
2
1724
0
0
SKECHERS U S A INC
CL A
830566105
20
510
SH
DFND
2
510
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
3178
25275
SH
DFND
2
25275
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
81
310
SH
DFND
2
310
0
0
SPDR SER TR
BLOOMBERG SRT TR
78468R408
492
18000
SH
DFND
2
18000
0
0
SPDR SER TR
NUVEEN BLMBRG SR
78468R739
478
10000
SH
DFND
2
10000
0
0
SPROUTS FMRS MKT INC
COM
85208M102
540
23000
SH
DFND
2
23000
0
0
STARBUCKS CORP
COM
855244109
4775
82450
SH
DFND
2
82450
0
0
SUNCOR ENERGY INC NEW
COM
867224107
4537
131475
SH
DFND
2
131475
0
0
SYNCHRONY FINL
COM
87165B103
4347
129700
SH
DFND
2
129700
0
0
TAHOE RES INC
COM
873868103
24
5100
SH
DFND
2
5100
0
0
TE CONNECTIVITY LTD
REG SHS
H84989104
4830
48325
SH
DFND
2
48325
0
0
TELUS CORP
COM
87971M103
67
1900
SH
DFND
2
1900
0
0
TESLA INC
COM
88160R101
240
900
SH
DFND
2
900
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
57
275
SH
DFND
2
275
0
0
TJX COS INC NEW
COM
872540109
4017
49290
SH
DFND
2
49290
0
0
TOTAL S A
SPONSORED ADR
89151E109
25
430
SH
DFND
2
430
0
0
TRANSCANADA CORP
COM
89353D107
35
850
SH
DFND
2
850
0
0
UBS GROUP AG
SHS
H42097107
1231
70206
SH
DFND
2
70206
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
440
3500
SH
DFND
2
3500
0
0
US BANCORP DEL
COM NEW
902973304
5471
108450
SH
DFND
2
108450
0
0
VALEANT PHARMACEUTICALS INTL
COM
91911K102
1592
100000
SH
DFND
2
100000
0
0
VANECK VECTORS ETF TR
AGRIBUSINESS ETF
92189F700
476
7700
SH
DFND
2
7700
0
0
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
150
6850
SH
DFND
2
6850
0
0
VANECK VECTORS ETF TR
JR GOLD MINERS E
92189F791
74
2300
SH
DFND
2
2300
0
0
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
1199
15000
SH
DFND
2
15000
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
605
2500
SH
DFND
2
2500
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1879
40000
SH
DFND
2
40000
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
3808
65495
SH
DFND
2
65495
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1373
17500
SH
DFND
2
17500
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
319
6670
SH
DFND
2
6670
0
0
VISA INC
COM CL A
92826C839
447
3735
SH
DFND
2
3735
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
13
200
SH
DFND
2
200
0
0
WEATHERFORD INTL PLC
ORD SHS
G48833100
46
20000
SH
DFND
2
20000
0
0
WELLS FARGO CO NEW
COM
949746101
5239
99975
SH
DFND
2
99975
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
51
2500
SH
DFND
2
2500
0
0
WISDOMTREE TR
EM LCL DEBT FD
97717X867
3105
79000
SH
DFND
2
79000
0
0
WISDOMTREE TR
EUROPE SMCP DV
97717W869
3374
48200
SH
DFND
2
48200
0
0
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
213
3800
SH
DFND
2
3800
0
0