Executive Vice President

0001420506-19-000848.txt : 20190814 0001420506-19-000848.hdr.sgml : 20190814 20190814091853 ACCESSION NUMBER: 0001420506-19-000848 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190814 DATE AS OF CHANGE: 20190814 EFFECTIVENESS DATE: 20190814 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: 191023234 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 06-30-2019 06-30-2019 false Compagnie Lombard Odier SCmA

RUE DE LA CORRATERIE 18 1204 GENEVA V8 CH1204

13F COMBINATION REPORT 028-16235 0001535784 028-16246 Lombard Odier Asset Management (Europe) Ltd 0001535660 028-16247 Lombard Odier Asset Management (Switzerland) SA 0001491719 028-13939 Lombard Odier Asset Management (USA) Corp N Dominic Stearns Executive Vice President 44 22 709 2111 Dominic Stearns, Executive Vice President 1204 GENEVA V8 08-13-2019 1 711 2465643 false 1 0001106185 028-16234 Bank Lombard Odier & Co Ltd INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR COMPAGNIE LOMBARD ODIER SCMA QUALCOMM INC COM 747525103 5 63 SH DFND 63 0 0 RAYTHEON CO COM NEW 755111507 87 500 SH DFND 500 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 205 2940 SH DFND 2940 0 0 RINGCENTRAL INC CL A 76680R206 3 22 SH DFND 22 0 0 RIO TINTO PLC SPONSORED ADR 767204100 70 1120 SH DFND 1120 0 0 ROKU INC COM CL A 77543R102 0 0 SH DFND 0 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 20 250 SH DFND 250 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 66 1006 SH DFND 1006 0 0 S&P GLOBAL INC COM 78409V104 588 2583 SH DFND 2583 0 0 SALESFORCE COM INC COM 79466L302 4 28 SH DFND 28 0 0 SEMPRA ENERGY COM 816851109 290 2111 SH DFND 2111 0 0 SERVICENOW INC COM 81762P102 2 7 SH DFND 7 0 0 SHOPIFY INC CL A 82509L107 2 7 SH DFND 7 0 0 SOUTHERN CO COM 842587107 97 1760 SH DFND 1760 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 5927 40553 SH DFND 40553 0 0 SQUARE INC CL A 852234103 1 11 SH DFND 11 0 0 STARWOOD PPTY TR INC COM 85571B105 90 4000 SH DFND 4000 0 0 STERICYCLE INC COM 858912108 41 850 SH DFND 850 0 0 SYNCHRONY FINL COM 87165B103 313 9011 SH DFND 9011 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 678 17340 SH DFND 17340 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 2 17 SH DFND 17 0 0 TE CONNECTIVITY LTD REG SHS H84989104 95 991 SH DFND 991 0 0 TELEFONICA S A SPONSORED ADR 879382208 36 4346 SH DFND 4346 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 3351 11423 SH DFND 11423 0 0 TIFFANY & CO NEW COM 886547108 60 640 SH DFND 640 0 0 TORONTO DOMINION BK ONT COM NEW 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NOVARTIS A G SPONSORED ADR 66987V109 46 500 SH DFND 500 0 0 NUCOR CORP COM 670346105 56 1000 SH DFND 1000 0 0 NUTANIX INC CL A 67059N108 1 56 SH DFND 56 0 0 NVIDIA CORP COM 67066G104 12 73 SH DFND 73 0 0 OCCIDENTAL PETE CORP COM 674599105 60 1200 SH DFND 1200 0 0 ORACLE CORP COM 68389X105 0 0 SH DFND 0 0 0 ORGENESIS INC COM NEW 68619K204 0 0 SH DFND 0 0 0 OVERSTOCK COM INC DEL COM 690370101 0 0 SH DFND 0 0 0 PACKAGING CORP AMER COM 695156109 86 900 SH DFND 900 0 0 PALO ALTO NETWORKS INC COM 697435105 192 948 SH DFND 948 0 0 PAYPAL HLDGS INC COM 70450Y103 3 27 SH DFND 27 0 0 PEPSICO INC COM 713448108 123 939 SH DFND 939 0 0 PFIZER INC COM 717081103 201 4633 SH DFND 4633 0 0 PHILLIPS 66 COM 718546104 621 6650 SH DFND 6650 0 0 PPG INDS INC COM 693506107 110 941 SH DFND 941 0 0 PQ GROUP HLDGS INC COM 73943T103 0 0 SH DFND 0 0 0 PROCTER AND GAMBLE CO COM 742718109 566 5159 SH DFND 5159 0 0 UNITED TECHNOLOGIES CORP COM 913017109 66 500 SH DFND 500 0 0 UNUM THERAPEUTICS INC COM 903214104 0 0 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0 CNH INDL N V SHS N20944109 61 5962 SH DFND 1 5962 0 0 COCA COLA CO COM 191216100 66198 1300121 SH DFND 1 1300121 0 0 COCA COLA CO PUT 191216950 0 0 SH Put DFND 1 0 0 0 COEUR MNG INC COM NEW 192108504 3 620 SH DFND 1 620 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 34 540 SH DFND 1 540 0 0 COLGATE PALMOLIVE CO COM 194162103 5890 82172 SH DFND 1 82172 0 0 COMCAST CORP NEW CL A 20030N101 836 19764 SH DFND 1 19764 0 0 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 28 6600 SH DFND 1 6600 0 0 CONOCOPHILLIPS COM 20825C104 473 7760 SH DFND 1 7760 0 0 CONSOLIDATED EDISON INC COM 209115104 149 1700 SH DFND 1 1700 0 0 CONSTELLATION BRANDS INC CL A 21036P108 10 53 SH DFND 1 53 0 0 CONTURA ENERGY INC COM 21241B100 1 27 SH DFND 1 27 0 0 CORTEVA INC COM 22052L104 29 990 SH DFND 1 990 0 0 COSAN LTD SHS A G25343107 27 2000 SH DFND 1 2000 0 0 COSTCO WHSL CORP NEW COM 22160K105 14 54 SH DFND 1 54 0 0 COTY INC COM CL A 222070203 139 10389 SH DFND 1 10389 0 0 CREDIT ACCEP CORP MICH COM 225310101 218 450 SH DFND 1 450 0 0 CSX CORP COM 126408103 24372 315058 SH DFND 1 315058 0 0 CTI BIOPHARMA CORP COM 12648L601 1 800 SH DFND 1 800 0 0 CTRIP COM INTL LTD SPONSORED ADS 22943F100 16664 451502 SH DFND 1 451502 0 0 CUMMINS INC COM 231021106 113 659 SH DFND 1 659 0 0 DANAHER CORPORATION COM 235851102 392 2745 SH DFND 1 2745 0 0 DARDEN RESTAURANTS INC COM 237194105 84 686 SH DFND 1 686 0 0 DEAN FOODS CO NEW COM NEW 242370203 6 7000 SH DFND 1 7000 0 0 DEERE & CO COM 244199105 94 569 SH DFND 1 569 0 0 DELL TECHNOLOGIES INC CL C 24703L202 8 158 SH DFND 1 158 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 61 1095 SH DFND 1 1095 0 0 DENTSPLY SIRONA INC COM 24906P109 543 9300 SH DFND 1 9300 0 0 DESTINATION XL GROUP INC COM 25065K104 6 3500 SH DFND 1 3500 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 12 1500 SH DFND 1 1500 0 0 DEXCOM INC COM 252131107 105 700 SH DFND 1 700 0 0 DIAMONDBACK ENERGY INC COM 25278X109 2656 24369 SH DFND 1 24369 0 0 DISCOVER FINL SVCS COM 254709108 565 7280 SH DFND 1 7280 0 0 DISNEY WALT CO COM DISNEY 254687106 38277 274067 SH DFND 1 274067 0 0 DISNEY WALT CO PUT 254687956 0 0 SH Put DFND 1 0 0 0 DOVA PHARMACEUTICALS INC COM 25985T102 199 14000 SH DFND 1 14000 0 0 DOW INC COM 260557103 13 269 SH DFND 1 269 0 0 DTE ENERGY CO COM 233331107 304 2377 SH DFND 1 2377 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 44 499 SH DFND 1 499 0 0 DUPONT DE NEMOURS INC COM 26614N102 262 3510 SH DFND 1 3510 0 0 DXC TECHNOLOGY CO COM 23355L106 14 245 SH DFND 1 245 0 0 EATON CORP PLC SHS G29183103 155 1858 SH DFND 1 1858 0 0 EBAY INC COM 278642103 316 8000 SH DFND 1 8000 0 0 ECOLAB INC COM 278865100 197 1000 SH DFND 1 1000 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 554 3000 SH DFND 1 3000 0 0 ELECTRONIC ARTS INC COM 285512109 658 6494 SH DFND 1 6494 0 0 EMCORE CORP COM NEW 290846203 33 10000 SH DFND 1 10000 0 0 EMERSON ELEC CO COM 291011104 356 5331 SH DFND 1 5331 0 0 ENCANA CORP COM 292505104 26 5000 SH DFND 1 5000 0 0 ENDEAVOUR SILVER CORP COM 29258Y103 7 3400 SH DFND 1 3400 0 0 EOG RES INC COM 26875P101 11833 127018 SH DFND 1 127018 0 0 EQT CORP COM 26884L109 4 270 SH DFND 1 270 0 0 EQUINIX INC COM 29444U700 232 461 SH DFND 1 461 0 0 EQUITRANS MIDSTREAM CORPORAT COM 294600101 4 216 SH DFND 1 216 0 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 95 3000 SH DFND 1 3000 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 119 3000 SH DFND 1 3000 0 0 ETSY INC COM 29786A106 31 500 SH DFND 1 500 0 0 EVER GLORY INTL GRP INC COM NEW 299766204 6 2000 SH DFND 1 2000 0 0 EXACT SCIENCES CORP NOTE 0.375% 3/1 30063PAB1 1724 1365000 PRN DFND 1 1365000 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 34 850 SH DFND 1 850 0 0 EXELON CORP COM 30161N101 1962 40936 SH DFND 1 40936 0 0 EXPEDIA GROUP INC COM NEW 30212P303 9498 71358 SH DFND 1 71358 0 0 EXPEDIA GROUP INC PUT 30212P953 0 0 SH Put DFND 1 0 0 0 EXXON MOBIL CORP COM 30231G102 8528 111270 SH DFND 1 111270 0 0 EXXON MOBIL CORP PUT 30231G952 0 0 SH Put DFND 1 0 0 0 FACEBOOK INC CALL 30303M902 0 0 SH Call DFND 1 0 0 0 FACEBOOK INC CL A 30303M102 42912 222281 SH DFND 1 222281 0 0 FACEBOOK INC PUT 30303M952 0 0 SH Put DFND 1 0 0 0 FERRARI N V COM N3167Y103 6751 41509 SH DFND 1 41509 0 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 217 15530 SH DFND 1 15530 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 25 3200 SH DFND 1 3200 0 0 FLEXION THERAPEUTICS INC COM 33938J106 10 800 SH DFND 1 800 0 0 FORD MTR CO DEL COM 345370860 166 16252 SH DFND 1 16252 0 0 FORTINET INC COM 34959E109 75 966 SH DFND 1 966 0 0 FORTIVE CORP COM 34959J108 41 500 SH DFND 1 500 0 0 FORTUNA SILVER MINES INC COM 349915108 18 6200 SH DFND 1 6200 0 0 FRANCO NEVADA CORP COM 351858105 187 2200 SH DFND 1 2200 0 0 FREEPORT-MCMORAN INC CL B 35671D857 1978 170400 SH DFND 1 170400 0 0 FRESENIUS MED CARE AG&CO KGA SPONSORED ADR 358029106 376 9562 SH DFND 1 9562 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 0 59 SH DFND 1 59 0 0 GALLAGHER ARTHUR J & CO COM 363576109 101 1157 SH DFND 1 1157 0 0 GAMESTOP CORP NEW CL A 36467W109 1 100 SH DFND 1 100 0 0 GARMIN LTD SHS H2906T109 7214 90400 SH DFND 1 90400 0 0 GARRETT MOTION INC COM 366505105 2 99 SH DFND 1 99 0 0 GARTNER INC COM 366651107 1659 10310 SH DFND 1 10310 0 0 GENERAL ELECTRIC CO COM 369604103 1721 163810 SH DFND 1 163810 0 0 GENERAL MLS INC COM 370334104 800 15236 SH DFND 1 15236 0 0 GENERAL MTRS CO COM 37045V100 126 3248 SH DFND 1 3248 0 0 GERDAU S A SPON ADR REP PFD 373737105 155 40080 SH DFND 1 40080 0 0 GILEAD SCIENCES INC CALL 375558903 87 12500 SH Call DFND 1 12500 0 0 GILEAD SCIENCES INC COM 375558103 1658 24579 SH DFND 1 24579 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 360 9000 SH DFND 1 9000 0 0 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 166 6400 SH DFND 1 6400 0 0 GLOBAL X FDS MSCI GREECE ETF 37950E366 48 5000 SH DFND 1 5000 0 0 GOLDEN MINERALS CO COM 381119106 3 10160 SH DFND 1 10160 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2093 10234 SH DFND 1 10234 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 99 6500 SH DFND 1 6500 0 0 GOPRO INC CL A 38268T103 14 2500 SH DFND 1 2500 0 0 GREAT PANTHER MINING LIMITED COM 39115V101 7 7900 SH DFND 1 7900 0 0 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 736 655000 PRN DFND 1 655000 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 95 550 SH DFND 1 550 0 0 GW PHARMACEUTICALS PLC PUT 36197T953 0 0 SH Put DFND 1 0 0 0 HAIN CELESTIAL GROUP INC COM 405217100 137 6250 SH DFND 1 6250 0 0 HALLIBURTON CO COM 406216101 169 7450 SH DFND 1 7450 0 0 HARLEY DAVIDSON INC COM 412822108 36 1000 SH DFND 1 1000 0 0 HESS CORP COM 42809H107 254 4000 SH DFND 1 4000 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 13 870 SH DFND 1 870 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 75 768 SH DFND 1 768 0 0 HOME DEPOT INC COM 437076102 40874 196506 SH DFND 1 196506 0 0 HONEYWELL INTL INC COM 438516106 1073 6146 SH DFND 1 6146 0 0 HYDROGENICS CORP NEW COM NEW 448883207 194 13000 SH DFND 1 13000 0 0 ILLINOIS TOOL WKS INC COM 452308109 7298 48394 SH DFND 1 48394 0 0 ILLUMINA INC COM 452327109 2356 6400 SH DFND 1 6400 0 0 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 1467 950000 PRN DFND 1 950000 0 0 INCYTE CORP COM 45337C102 21 250 SH DFND 1 250 0 0 INGERSOLL-RAND PLC SHS G47791101 17561 138613 SH DFND 1 138613 0 0 INTEL CORP CALL 458140900 0 0 SH Call DFND 1 0 0 0 INTEL CORP COM 458140100 19431 405865 SH DFND 1 405865 0 0 INTEL CORP PUT 458140950 0 0 SH Put DFND 1 0 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 131 8000 SH DFND 1 8000 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 80 1000 SH DFND 1 1000 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 94 1100 SH DFND 1 1100 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1057 7660 SH DFND 1 7660 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 13630 93950 SH DFND 1 93950 0 0 INTUIT COM 461202103 798 3055 SH DFND 1 3055 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 362 690 SH DFND 1 690 0 0 INVESCO EXCHNG TRADED FD TR CHINA TECHNLGY 46138E800 27 600 SH DFND 1 600 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 3759 20124 SH DFND 1 20124 0 0 IRHYTHM TECHNOLOGIES INC COM 450056106 8 100 SH DFND 1 100 0 0 IRIDIUM COMMUNICATIONS INC COM 46269C102 2 100 SH DFND 1 100 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 203 4625 SH DFND 1 4625 0 0 ISHARES INC MSCI BRIC INDX 464286657 149 3500 SH DFND 1 3500 0 0 ISHARES INC MSCI EURZONE ETF 464286608 1430 36150 SH DFND 1 36150 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 41 750 SH DFND 1 750 0 0 ISHARES INC MSCI MEXICO ETF 464286822 174 4000 SH DFND 1 4000 0 0 ISHARES INC MSCI PAC JP ETF 464286665 454 9605 SH DFND 1 9605 0 0 ISHARES INC MSCI WORLD ETF 464286392 1174 12900 SH DFND 1 12900 0 0 ISHARES INC PUT 464286953 0 2000 SH Put DFND 1 2000 0 0 ISHARES TR 10-20 YR TRS ETF 464288653 52568 367301 SH DFND 1 367301 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 41 325 SH DFND 1 325 0 0 ISHARES TR CORE S&P MCP ETF 464287507 144 739 SH DFND 1 739 0 0 ISHARES TR CORE S&P SCP ETF 464287804 180 2297 SH DFND 1 2297 0 0 ISHARES TR CORE S&P500 ETF 464287200 2122 7200 SH DFND 1 7200 0 0 ISHARES TR INTL TREA BD ETF 464288117 31923 627791 SH DFND 1 627791 0 0 ISHARES TR JPX NIKKEI 400 464287382 269 4600 SH DFND 1 4600 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 196 2800 SH DFND 1 2800 0 0 ISHARES TR MSCI ACWI ETF 464288257 1456 19750 SH DFND 1 19750 0 0 ISHARES TR MSCI CHINA ETF 46429B671 0 0 SH DFND 1 0 0 0 ISHARES TR MSCI EAFE ETF 464287465 310 4716 SH DFND 1 4716 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3873 90260 SH DFND 1 90260 0 0 ISHARES TR MSCI INDIA ETF 46429B598 134 3800 SH DFND 1 3800 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 242 1557 SH DFND 1 1557 0 0 ISHARES TR U.S. ENERGY ETF 464287796 17 500 SH DFND 1 500 0 0 ISHARES TR US AER DEF ETF 464288760 9252 43200 SH DFND 1 43200 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 416 350000 PRN DFND 1 350000 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 180 19207 SH DFND 1 19207 0 0 IZEA WORLDWIDE INC COM 46604H105 21 40000 SH DFND 1 40000 0 0 JAZZ INVESTMENTS I LTD NOTE 1.500% 8/1 472145AD3 1038 1045000 PRN DFND 1 1045000 0 0 JD COM INC SPON ADR CL A 47215P106 7692 253970 SH DFND 1 253970 0 0 JOHNSON & JOHNSON COM 478160104 5143 36943 SH DFND 1 36943 0 0 JPMORGAN CHASE & CO COM 46625H100 55877 499736 SH DFND 1 499736 0 0 JPMORGAN CHASE & CO PUT 46625H950 0 0 SH Put DFND 1 0 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 27 220 SH DFND 1 220 0 0 KIMBERLY CLARK CORP COM 494368103 786 5900 SH DFND 1 5900 0 0 KINROSS GOLD CORP CALL 496902904 1 1000 SH Call DFND 1 1000 0 0 KINROSS GOLD CORP COM 496902404 6 1500 SH DFND 1 1500 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 2591 60000 SH DFND 1 60000 0 0 KLA-TENCOR CORP COM 482480100 17 148 SH DFND 1 148 0 0 KOHLS CORP COM 500255104 29 615 SH DFND 1 615 0 0 KONTOOR BRANDS INC COM 50050N103 7 235 SH DFND 1 235 0 0 KRAFT HEINZ CO COM 500754106 2235 72066 SH DFND 1 72066 0 0 KROGER CO COM 501044101 47 2159 SH DFND 1 2159 0 0 L BRANDS INC COM 501797104 16 600 SH DFND 1 600 0 0 LAM RESEARCH CORP COM 512807108 29 157 SH DFND 1 157 0 0 LAS VEGAS SANDS CORP COM 517834107 52 875 SH DFND 1 875 0 0 LAUDER ESTEE COS INC CL A 518439104 4217 23028 SH DFND 1 23028 0 0 LEXICON PHARMACEUTICALS INC COM NEW 528872302 34 5500 SH DFND 1 5500 0 0 LINDE PLC SHS G5494J103 43982 218634 SH DFND 1 218634 0 0 LINE CORP SPONSORED ADR 53567X101 8 300 SH DFND 1 300 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 15792 238339 SH DFND 1 238339 0 0 LOCKHEED MARTIN CORP COM 539830109 55 150 SH DFND 1 150 0 0 LOGITECH INTL S A SHS H50430232 21796 544794 SH DFND 1 544794 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 140 1626 SH DFND 1 1626 0 0 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 629 621000 PRN DFND 1 621000 0 0 MAGNA INTL INC COM 559222401 524 10500 SH DFND 1 10500 0 0 MARATHON OIL CORP COM 565849106 107 7500 SH DFND 1 7500 0 0 MARATHON PETE CORP COM 56585A102 1410 25227 SH DFND 1 25227 0 0 MARSH & MCLENNAN COS INC COM 571748102 5468 54795 SH DFND 1 54795 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 10 430 SH DFND 1 430 0 0 MASTERCARD INC CALL 57636Q904 167 3900 SH Call DFND 1 3900 0 0 MASTERCARD INC CL A 57636Q104 35 132 SH DFND 1 132 0 0 MATCH GROUP INC COM 57665R106 187 2775 SH DFND 1 2775 0 0 MATTEL INC PUT 577081952 2 1000 SH Put DFND 1 1000 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 99 1649 SH DFND 1 1649 0 0 MCDONALDS CORP COM 580135101 17168 82674 SH DFND 1 82674 0 0 MEDLEY CAP CORP COM 58503F106 117 50000 SH DFND 1 50000 0 0 MEDTRONIC PLC SHS G5960L103 10819 111090 SH DFND 1 111090 0 0 MERCK & CO INC COM 58933Y105 32910 392368 SH DFND 1 392368 0 0 METHODE ELECTRS INC COM 591520200 4 150 SH DFND 1 150 0 0 METLIFE INC COM 59156R108 20490 412503 SH DFND 1 412503 0 0 MGM RESORTS INTERNATIONAL COM 552953101 5 180 SH DFND 1 180 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 2211 1861000 PRN DFND 1 1861000 0 0 MICRON TECHNOLOGY INC COM 595112103 306 7929 SH DFND 1 7929 0 0 MICROSOFT CORP CALL 594918904 482 20500 SH Call DFND 1 20500 0 0 MICROSOFT CORP COM 594918104 74551 556495 SH DFND 1 556495 0 0 MICROSOFT CORP PUT 594918954 0 0 SH Put DFND 1 0 0 0 MOLECULAR TEMPLATES INC COM 608550109 10 1227 SH DFND 1 1227 0 0 MOLSON COORS BREWING CO CL B 60871R209 8 150 SH DFND 1 150 0 0 MONDELEZ INTL INC CALL 609207905 0 0 SH Call DFND 1 0 0 0 MONDELEZ INTL INC CL A 609207105 47693 884686 SH DFND 1 884686 0 0 MONDELEZ INTL INC PUT 609207955 0 0 SH Put DFND 1 0 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 320 5010 SH DFND 1 5010 0 0 MORGAN STANLEY COM NEW 617446448 66 1500 SH DFND 1 1500 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 21 1000 SH DFND 1 1000 0 0 MYLAN N V SHS EURO N59465109 95 5000 SH DFND 1 5000 0 0 MYRIAD GENETICS INC COM 62855J104 14 500 SH DFND 1 500 0 0 NASDAQ INC COM 631103108 43 450 SH DFND 1 450 0 0 NEOVASC INC COM NEW 64065J205 0 850 SH DFND 1 850 0 0 NETAPP INC COM 64110D104 12 190 SH DFND 1 190 0 0 NETFLIX INC COM 64110L106 4080 11105 SH DFND 1 11105 0 0 NEUROCRINE BIOSCIENCES INC NOTE 2.250% 5/1 64125CAD1 431 325000 PRN DFND 1 325000 0 0 NEW RELIC INC NOTE 0.500% 5/0 64829BAB6 572 537000 PRN DFND 1 537000 0 0 NEWELL BRANDS INC COM 651229106 31 2000 SH DFND 1 2000 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 4076 105940 SH DFND 1 105940 0 0 NEXTERA ENERGY INC COM 65339F101 1669 8150 SH DFND 1 8150 0 0 NIKE INC CL B 654106103 7286 86791 SH DFND 1 86791 0 0 NIO INC SPON ADS 62914V106 90 35000 SH DFND 1 35000 0 0 NOBLE CORP PLC SHS USD G65431101 4 2000 SH DFND 1 2000 0 0 NOBLE ENERGY INC COM 655044105 1563 69700 SH DFND 1 69700 0 0 NOKIA CORP SPONSORED ADR 654902204 0 85 SH DFND 1 85 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 1 500 SH DFND 1 500 0 0 NORTHROP GRUMMAN CORP COM 666807102 452 1400 SH DFND 1 1400 0 0 NOVARTIS A G SPONSORED ADR 66987V109 1433 15700 SH DFND 1 15700 0 0 NUANCE COMMUNICATIONS INC DBCV 1.000%12/1 67020YAK6 470 498000 PRN DFND 1 498000 0 0 NUCOR CORP COM 670346105 77 1403 SH DFND 1 1403 0 0 NUTANIX INC CL A 67059N108 93 3600 SH DFND 1 3600 0 0 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 365 320000 PRN DFND 1 320000 0 0 NVIDIA CORP CALL 67066G904 0 0 SH Call DFND 1 0 0 0 NVIDIA CORP COM 67066G104 16253 98975 SH DFND 1 98975 0 0 NXP SEMICONDUCTORS N V COM N6596X109 478 4905 SH DFND 1 4905 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 1334 1262000 PRN DFND 1 1262000 0 0 OASMIA PHARMACEUTICAL AB ADR 67421W109 33 33300 SH DFND 1 33300 0 0 OBSEVA SA COM H5861P103 26 2300 SH DFND 1 2300 0 0 OCCIDENTAL PETE CORP COM 674599105 3109 61819 SH DFND 1 61819 0 0 OCULAR THERAPEUTIX INC COM 67576A100 3 700 SH DFND 1 700 0 0 OHR PHARMACEUTICAL INC COM 67778H309 1 200 SH DFND 1 200 0 0 OI S A SPONSORED ADR NE 670851500 0 2 SH DFND 1 2 0 0 OMNICOM GROUP INC COM 681919106 144 1758 SH DFND 1 1758 0 0 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 885 722000 PRN DFND 1 722000 0 0 ORACLE CORP COM 68389X105 429 7540 SH DFND 1 7540 0 0 OVERSTOCK COM INC DEL COM 690370101 14 1000 SH DFND 1 1000 0 0 PACCAR INC COM 693718108 43 606 SH DFND 1 606 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 61 10000 SH DFND 1 10000 0 0 PALO ALTO NETWORKS INC COM 697435105 24371 119594 SH DFND 1 119594 0 0 PAYCHEX INC COM 704326107 106 1292 SH DFND 1 1292 0 0 PAYPAL HLDGS INC COM 70450Y103 4152 36268 SH DFND 1 36268 0 0 PEPSICO INC COM 713448108 690 5270 SH DFND 1 5270 0 0 PERSPECTA INC COM 715347100 0 17 SH DFND 1 17 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 370 26140 SH DFND 1 26140 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 66 4275 SH DFND 1 4275 0 0 PFIZER INC CALL 717081903 0 0 SH Call DFND 1 0 0 0 PFIZER INC COM 717081103 1291 29784 SH DFND 1 29784 0 0 PHILIP MORRIS INTL INC COM 718172109 759 9657 SH DFND 1 9657 0 0 PHILLIPS 66 COM 718546104 2822 30168 SH DFND 1 30168 0 0 PIONEER NAT RES CO COM 723787107 7 45 SH DFND 1 45 0 0 PLANET FITNESS INC CL A 72703H101 188 2590 SH DFND 1 2590 0 0 PLUG POWER INC COM NEW 72919P202 7 3000 SH DFND 1 3000 0 0 POLARIS INDS INC COM 731068102 8 90 SH DFND 1 90 0 0 PPG INDS INC COM 693506107 1978 16962 SH DFND 1 16962 0 0 PPL CORP COM 69351T106 237 7645 SH DFND 1 7645 0 0 PREMIER INC CL A 74051N102 203 5200 SH DFND 1 5200 0 0 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 756 526000 PRN DFND 1 526000 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 1147 1000000 PRN DFND 1 1000000 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 63 1090 SH DFND 1 1090 0 0 PROCTER AND GAMBLE CO COM 742718109 4286 39077 SH DFND 1 39077 0 0 PROGRESSIVE CORP OHIO COM 743315103 1987 24850 SH DFND 1 24850 0 0 PROLOGIS INC COM 74340W103 105 1310 SH DFND 1 1310 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 42 1437 SH DFND 1 1437 0 0 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 813 795000 PRN DFND 1 795000 0 0 PRUDENTIAL FINL INC CALL 744320902 2 7000 SH Call DFND 1 7000 0 0 PTC INC COM 69370C100 3590 40000 SH DFND 1 40000 0 0 PUBLIC STORAGE COM 74460D109 109 458 SH DFND 1 458 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 222 3765 SH DFND 1 3765 0 0 QIAGEN NV DEBT 1.000%11/1 N72482AT4 670 600000 PRN DFND 1 600000 0 0 QIAGEN NV SHS NEW N72482123 2348 57777 SH DFND 1 57777 0 0 QUALCOMM INC CALL 747525903 0 0 SH Call DFND 1 0 0 0 QUALCOMM INC COM 747525103 241 3169 SH DFND 1 3169 0 0 RALPH LAUREN CORP CL A 751212101 1590 14000 SH DFND 1 14000 0 0 RANGE RES CORP COM 75281A109 85 12308 SH DFND 1 12308 0 0 RAYTHEON CO COM NEW 755111507 413 2371 SH DFND 1 2371 0 0 RED HAT INC COM 756577102 19245 102500 SH DFND 1 102500 0 0 REGENERON PHARMACEUTICALS COM 75886F107 282 901 SH DFND 1 901 0 0 REPUBLIC SVCS INC COM 760759100 17 200 SH DFND 1 200 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 3 165 SH DFND 1 165 0 0 RIO TINTO PLC SPONSORED ADR 767204100 561 9000 SH DFND 1 9000 0 0 ROKU INC COM CL A 77543R102 63 700 SH DFND 1 700 0 0 ROSS STORES INC COM 778296103 62 629 SH DFND 1 629 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 279 3500 SH DFND 1 3500 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 705 10740 SH DFND 1 10740 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 281 4320 SH DFND 1 4320 0 0 S&P GLOBAL INC COM 78409V104 40370 177240 SH DFND 1 177240 0 0 SALESFORCE COM INC COM 79466L302 2208 14563 SH DFND 1 14563 0 0 SANGAMO THERAPEUTICS INC COM 800677106 108 10000 SH DFND 1 10000 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 9 100 SH DFND 1 100 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 14 500 SH DFND 1 500 0 0 SELECTA BIOSCIENCES INC COM 816212104 17 9500 SH DFND 1 9500 0 0 SEMPRA ENERGY COM 816851109 93 674 SH DFND 1 674 0 0 SENSEONICS HLDGS INC COM 81727U105 2 1000 SH DFND 1 1000 0 0 SERVICE CORP INTL COM 817565104 35 750 SH DFND 1 750 0 0 SHOPIFY INC CL A 82509L107 81 270 SH DFND 1 270 0 0 SIFY TECHNOLOGIES LIMITED SPONSORED ADS 82655M107 0 35 SH DFND 1 35 0 0 SILVERCORP METALS INC COM 82835P103 7 2790 SH DFND 1 2790 0 0 SIMULATIONS PLUS INC COM 829214105 29 1000 SH DFND 1 1000 0 0 SNAP INC CL A 83304A106 129 9035 SH DFND 1 9035 0 0 SNAP ON INC COM 833034101 91 551 SH DFND 1 551 0 0 SOUTHWEST AIRLS CO COM 844741108 22 434 SH DFND 1 434 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 405 1522 SH DFND 1 1522 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 365 2744 SH DFND 1 2744 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 96 2500 SH DFND 1 2500 0 0 SPDR S&P 500 ETF TR CALL 78462F903 7 700 SH Call DFND 1 700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7926 27048 SH DFND 1 27048 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 58 575 SH DFND 1 575 0 0 SPLUNK INC COM 848637104 18 140 SH DFND 1 140 0 0 SPOTIFY TECHNOLOGY S A CALL L8681T902 0 0 SH Call DFND 1 0 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 63163 432025 SH DFND 1 432025 0 0 SPROUTS FMRS MKT INC COM 85208M102 839 44400 SH DFND 1 44400 0 0 SPROUTS FMRS MKT INC PUT 85208M952 0 0 SH Put DFND 1 0 0 0 SQUARE INC CALL 852234903 0 0 SH Call DFND 1 0 0 0 SQUARE INC CL A 852234103 191 2640 SH DFND 1 2640 0 0 SQUARE INC NOTE 0.500% 5/1 852234AD5 1675 1400000 PRN DFND 1 1400000 0 0 STARBUCKS CORP COM 855244109 1594 19008 SH DFND 1 19008 0 0 STEEL CONNECT INC COM 858098106 2 800 SH DFND 1 800 0 0 STERICYCLE INC COM 858912108 29 600 SH DFND 1 600 0 0 STRYKER CORP COM 863667101 360 1750 SH DFND 1 1750 0 0 SUNCOR ENERGY INC NEW COM 867224107 134 4300 SH DFND 1 4300 0 0 SVB FINL GROUP COM 78486Q101 7 32 SH DFND 1 32 0 0 SYNCHRONY FINL CALL 87165B903 0 0 SH Call DFND 1 0 0 0 SYNCHRONY FINL COM 87165B103 3880 111849 SH DFND 1 111849 0 0 T MOBILE US INC COM 872590104 11 150 SH DFND 1 150 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 8856 226096 SH DFND 1 226096 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 1 30 SH DFND 1 30 0 0 TARONIS TECHNOLOGIES INC COM 876214107 0 100 SH DFND 1 100 0 0 TATA MTRS LTD SPONSORED ADR 876568502 20 1700 SH DFND 1 1700 0 0 TC ENERGY CORP COM 87807B107 32 653 SH DFND 1 653 0 0 TE CONNECTIVITY LTD REG SHS H84989104 6900 72057 SH DFND 1 72057 0 0 TECHNIPFMC PLC COM G87110105 0 0 SH DFND 1 0 0 0 TECK RESOURCES LTD CL B 878742204 2544 110000 SH DFND 1 110000 0 0 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 3 212 SH DFND 1 212 0 0 TESLA INC COM 88160R101 454 2038 SH DFND 1 2038 0 0 TESLA INC PUT 88160R951 0 0 SH Put DFND 1 0 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 34 3800 SH DFND 1 3800 0 0 TEXAS INSTRS INC COM 882508104 332 2893 SH DFND 1 2893 0 0 THE CHARLES SCHWAB CORPORATI COM 808513105 8 210 SH DFND 1 210 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 52691 179419 SH DFND 1 179419 0 0 THERMO FISHER SCIENTIFIC INC PUT 883556952 0 0 SH Put DFND 1 0 0 0 TIFFANY & CO NEW COM 886547108 1972 21050 SH DFND 1 21050 0 0 TIM PARTICIPACOES S A SPONSORED ADR 88706P205 1 45 SH DFND 1 45 0 0 TJX COS INC NEW COM 872540109 64 1215 SH DFND 1 1215 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 146 2500 SH DFND 1 2500 0 0 TRANSENTERIX INC COM NEW 89366M201 14 10000 SH DFND 1 10000 0 0 TRANSOCEAN LTD REG SHS H8817H100 9 1384 SH DFND 1 1384 0 0 TURQUOISE HILL RES LTD COM 900435108 60 48445 SH DFND 1 48445 0 0 TUTOR PERINI CORP COM 901109108 7 500 SH DFND 1 500 0 0 TWILIO INC CL A 90138F102 272 2000 SH DFND 1 2000 0 0 TWITTER INC COM 90184L102 224 6400 SH DFND 1 6400 0 0 TYSON FOODS INC CL A 902494103 121 1500 SH DFND 1 1500 0 0 UBER TECHNOLOGIES INC PUT 90353T950 0 0 SH Put DFND 1 0 0 0 UBS GROUP AG PUT H42097957 0 0 SH Put DFND 1 0 0 0 UBS GROUP AG SHS H42097107 32367 2720092 SH DFND 1 2720092 0 0 UNILEVER PLC SPON ADR NEW 904767704 304 4900 SH DFND 1 4900 0 0 UNION PACIFIC CORP COM 907818108 338 2000 SH DFND 1 2000 0 0 UNITED CONTL HLDGS INC COM 910047109 24 273 SH DFND 1 273 0 0 UNITED RENTALS INC COM 911363109 2785 21000 SH DFND 1 21000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 15320 117665 SH DFND 1 117665 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2453 10056 SH DFND 1 10056 0 0 UNUM GROUP COM 91529Y106 3678 109600 SH DFND 1 109600 0 0 URBAN OUTFITTERS INC COM 917047102 46 2000 SH DFND 1 2000 0 0 V F CORP COM 918204108 183 2100 SH DFND 1 2100 0 0 VALE S A SPONSORED ADS 91912E105 1307 97100 SH DFND 1 97100 0 0 VALERO ENERGY CORP NEW COM 91913Y100 75 885 SH DFND 1 885 0 0 VANDA PHARMACEUTICALS INC COM 921659108 1 100 SH DFND 1 100 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 280 8000 SH DFND 1 8000 0 0 VANECK VECTORS ETF TR OIL REFINERS ETF 92189F585 163 5900 SH DFND 1 5900 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 24 1000 SH DFND 1 1000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 38 700 SH DFND 1 700 0 0 VANGUARD SCOTTSDALE FDS LONG TERM TREAS 92206C847 45039 551604 SH DFND 1 551604 0 0 VARIAN MED SYS INC COM 92220P105 419 3075 SH DFND 1 3075 0 0 VEEVA SYS INC CL A COM 922475108 220 1358 SH DFND 1 1358 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 13506 236352 SH DFND 1 236352 0 0 VERSUM MATLS INC COM 92532W103 124 2400 SH DFND 1 2400 0 0 VISA INC CALL 92826C909 175 5800 SH Call DFND 1 5800 0 0 VISA INC COM CL A 92826C839 123071 709106 SH DFND 1 709106 0 0 VMWARE INC CL A COM 928563402 887 5300 SH DFND 1 5300 0 0 VOYA FINL INC COM 929089100 10 180 SH DFND 1 180 0 0 VULCAN MATLS CO COM 929160109 715 5200 SH DFND 1 5200 0 0 WABTEC CORP COM 929740108 27 362 SH DFND 1 362 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 958 17503 SH DFND 1 17503 0 0 WALMART INC COM 931142103 1362 12331 SH DFND 1 12331 0 0 WASTE MGMT INC DEL COM 94106L109 4944 42867 SH DFND 1 42867 0 0 WATERS CORP COM 941848103 37 174 SH DFND 1 174 0 0 WELLS FARGO CO NEW COM 949746101 7439 157178 SH DFND 1 157178 0 0 WESTERN DIGITAL CORP COM 958102105 5980 125830 SH DFND 1 125830 0 0 WESTERN UN CO COM 959802109 99 5000 SH DFND 1 5000 0 0 WEYERHAEUSER CO COM 962166104 75 2849 SH DFND 1 2849 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 75 3100 SH DFND 1 3100 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 634 17943 SH DFND 1 17943 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 560 11500 SH DFND 1 11500 0 0 WISDOMTREE TR US QTLY DIV GRT 97717X669 160 3670 SH DFND 1 3670 0 0 WORLDPAY INC CL A 981558109 454 3705 SH DFND 1 3705 0 0 XILINX INC COM 983919101 212 1800 SH DFND 1 1800 0 0 XYLEM INC COM 98419M100 448 5360 SH DFND 1 5360 0 0 YUM BRANDS INC COM 988498101 118 1070 SH DFND 1 1070 0 0 YUM CHINA HLDGS INC COM 98850P109 10468 226574 SH DFND 1 226574 0 0 ZEBRA TECHNOLOGIES CORP CL A 989207105 310 1480 SH DFND 1 1480 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 27 230 SH DFND 1 230 0 0