Executive Vice President

0001420506-21-000438.txt : 20210423 0001420506-21-000438.hdr.sgml : 20210423 20210423095609 ACCESSION NUMBER: 0001420506-21-000438 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210423 DATE AS OF CHANGE: 20210423 EFFECTIVENESS DATE: 20210423 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: 21847153 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 03-31-2021 03-31-2021 false Compagnie Lombard Odier SCmA

RUE DE LA CORRATERIE 18 1204 GENEVA V8 CH1204

13F COMBINATION REPORT 028-16235 0001491719 028-13939 Lombard Odier Asset Management (USA) Corp 0001535660 028-16247 Lombard Odier Asset Management (Switzerland) SA 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 04-21-2021 2 933 4535997 false 1 0001106185 028-16234 Bank Lombard Odier & Co Ltd 2 0001615293 028-16239 Lombard Odier (Europe) S.A. INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR COMPAGNIE LOMBARD ODIER SCMA 3M CO COM 88579Y101 204 1057 SH DFND 1057 0 0 ABBOTT LABS COM 002824100 964 8034 SH DFND 8034 0 0 ABBVIE INC COM 00287Y109 2172 20081 SH DFND 20081 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 148 535 SH DFND 535 0 0 ACTIVISION BLIZZARD INC COM 00507V109 28 300 SH DFND 300 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 833 1750 SH DFND 1750 0 0 ALCON AG ORD SHS H01301128 330 4708 SH DFND 4708 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 603 2661 SH DFND 2661 0 0 ALPHABET INC CAP STK CL A 02079K305 3544 1716 SH DFND 1716 0 0 ALPHABET INC CAP STK CL C 02079K107 27 13 SH DFND 13 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 3 100 SH DFND 100 0 0 ALTRA INDL MOTION CORP COM 02208R106 0 0 SH DFND 0 0 0 ALTRIA GROUP INC COM 02209S103 0 0 SH DFND 0 0 0 AMAZON COM INC COM 023135106 2676 865 SH DFND 865 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 39 3785 SH DFND 3785 0 0 AMETEK INC COM 031100100 443 3463 SH DFND 3463 0 0 AMGEN INC COM 031162100 580 2328 SH DFND 2328 0 0 APPLE INC COM 037833100 1400 11460 SH DFND 11460 0 0 ARISTA NETWORKS INC COM 040413106 144 477 SH DFND 477 0 0 AT&T INC COM 00206R102 131 4325 SH DFND 4325 0 0 AUTODESK INC COM 052769106 1025 3700 SH DFND 3700 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 78 416 SH DFND 416 0 0 BAIDU INC SPON ADR REP A 056752108 608 2794 SH DFND 2794 0 0 BALL CORP COM 058498106 435 5135 SH DFND 5135 0 0 BANCO SANTANDER S.A. 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INC COM 24906P109 96 1500 SH DFND 1 1500 0 0 DEXCOM INC COM 252131107 97 270 SH DFND 1 270 0 0 DEXCOM INC NOTE 0.750%12/0 252131AH0 547 247000 PRN DFND 1 247000 0 0 DIAMONDBACK ENERGY INC COM 25278X109 73 1000 SH DFND 1 1000 0 0 DICERNA PHARMACEUTICALS INC COM 253031108 13451 526058 SH DFND 1 526058 0 0 DISCOVER FINL SVCS COM 254709108 142 1498 SH DFND 1 1498 0 0 DISNEY WALT CO CALL 254687906 750 19300 SH Call DFND 1 19300 0 0 DISNEY WALT CO COM 254687106 83165 450643 SH DFND 1 450643 0 0 DISNEY WALT CO PUT 254687956 0 0 SH Put DFND 1 0 0 0 DOCUSIGN INC PUT 256163956 0 0 SH Put DFND 1 0 0 0 DOLLAR GEN CORP NEW COM 256677105 5827 28755 SH DFND 1 28755 0 0 DRAFTKINGS INC COM CL A 26142R104 76 1250 SH DFND 1 1250 0 0 DROPBOX INC CL A 26210C104 131 4900 SH DFND 1 4900 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 121 1250 SH DFND 1 1250 0 0 DUPONT DE NEMOURS INC COM 26614N102 180 2334 SH DFND 1 2334 0 0 EATON CORP PLC SHS G29183103 28 200 SH DFND 1 200 0 0 EBAY INC. COM 278642103 501 8170 SH DFND 1 8170 0 0 ECOLAB INC COM 278865100 214 1000 SH DFND 1 1000 0 0 ECOPETROL S A SPONSORED ADS 279158109 112 8732 SH DFND 1 8732 0 0 EDITAS MEDICINE INC COM 28106W103 7950 189294 SH DFND 1 189294 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 592 7080 SH DFND 1 7080 0 0 EKSO BIONICS HLDGS INC COM 282644301 216 35000 SH DFND 1 35000 0 0 ELASTIC N V ORD SHS N14506104 37 340 SH DFND 1 340 0 0 ELECTRAMECCANICA VEHS CORP COM NEW 284849205 0 0 SH DFND 1 0 0 0 ELECTRONIC ARTS INC COM 285512109 7852 58000 SH DFND 1 58000 0 0 EMBRAER S.A. SPONSORED ADS 29082A107 454 45366 SH DFND 1 45366 0 0 EMERSON ELEC CO COM 291011104 78 870 SH DFND 1 870 0 0 ENBRIDGE INC COM 29250N105 438 12028 SH DFND 1 12028 0 0 ENDEAVOUR SILVER CORP COM 29258Y103 16 3400 SH DFND 1 3400 0 0 ENLIVEX THERAPEUTICS LTD COM M4130Y106 267 25000 SH DFND 1 25000 0 0 ENPHASE ENERGY INC COM 29355A107 49 300 SH DFND 1 300 0 0 EOG RES INC CALL 26875P901 0 0 SH Call DFND 1 0 0 0 EOG RES INC COM 26875P101 690 9508 SH DFND 1 9508 0 0 EQUIFAX INC COM 294429105 60 330 SH DFND 1 330 0 0 EQUINIX INC COM 29444U700 300 441 SH DFND 1 441 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 165 3000 SH DFND 1 3000 0 0 ETF SER SOLUTIONS US GLB JETS 26922A842 215 8000 SH DFND 1 8000 0 0 EVENTBRITE INC COM CL A 29975E109 414 18684 SH DFND 1 18684 0 0 EVERBRIDGE INC COM 29978A104 9 75 SH DFND 1 75 0 0 EXACT SCIENCES CORP COM 30063P105 19380 147060 SH DFND 1 147060 0 0 EXACT SCIENCES CORP NOTE 0.375% 3/0 30063PAC9 646 500000 PRN DFND 1 500000 0 0 EXACT SCIENCES CORP NOTE 0.375% 3/1 30063PAB1 1556 1139000 PRN DFND 1 1139000 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 54 850 SH DFND 1 850 0 0 EXELON CORP COM 30161N101 4503 103010 SH DFND 1 103010 0 0 EXONE CO COM 302104104 0 0 SH DFND 1 0 0 0 EXPEDIA GROUP INC COM NEW 30212P303 902 5240 SH DFND 1 5240 0 0 EXXON MOBIL CORP CALL 30231G902 0 0 SH Call DFND 1 0 0 0 EXXON MOBIL CORP COM 30231G102 10234 183372 SH DFND 1 183372 0 0 FACEBOOK INC CL A 30303M102 69855 237151 SH DFND 1 237151 0 0 FACEBOOK INC PUT 30303M952 0 0 SH Put DFND 1 0 0 0 FEDEX CORP COM 31428X106 363 1282 SH DFND 1 1282 0 0 FERRARI N V COM N3167Y103 28261 134809 SH DFND 1 134809 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 1030 7329 SH DFND 1 7329 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 66 4200 SH DFND 1 4200 0 0 FIRST REP BK SAN FRANCISCO C COM 33616C100 1130 6776 SH DFND 1 6776 0 0 FIRST SOLAR INC COM 336433107 262 3000 SH DFND 1 3000 0 0 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 232 2425 SH DFND 1 2425 0 0 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 73 1750 SH DFND 1 1750 0 0 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 13 60 SH DFND 1 60 0 0 FISERV INC COM 337738108 440 3700 SH DFND 1 3700 0 0 FIVERR INTL LTD ORD SHS M4R82T106 68 310 SH DFND 1 310 0 0 FLUOR CORP NEW COM 343412102 20 850 SH DFND 1 850 0 0 FORTUNA SILVER MINES INC COM 349915108 40 6200 SH DFND 1 6200 0 0 FRANCO NEV CORP COM 351858105 207 1650 SH DFND 1 1650 0 0 FREEPORT-MCMORAN INC CL B 35671D857 14559 442126 SH DFND 1 442126 0 0 FREEPORT-MCMORAN INC PUT 35671D957 0 0 SH Put DFND 1 0 0 0 FREQUENCY THERAPEUTICS INC COM 35803L108 2501 263249 SH DFND 1 263249 0 0 G1 THERAPEUTICS INC COM 3621LQ109 14474 601591 SH DFND 1 601591 0 0 GARMIN LTD SHS H2906T109 13225 100300 SH DFND 1 100300 0 0 GARTNER INC COM 366651107 57 310 SH DFND 1 310 0 0 GDS HLDGS LTD SPONSORED ADS 36165L108 243 3000 SH DFND 1 3000 0 0 GENERAL DYNAMICS CORP COM 369550108 314 1730 SH DFND 1 1730 0 0 GENERAL ELECTRIC CO COM 369604103 522 39785 SH DFND 1 39785 0 0 GENERAL MLS INC COM 370334104 1625 26500 SH DFND 1 26500 0 0 GENERAL MTRS CO COM 37045V100 1311 22832 SH DFND 1 22832 0 0 GENERATION BIO CO COM 37148K100 30 1050 SH DFND 1 1050 0 0 GILEAD SCIENCES INC COM 375558103 2452 37929 SH DFND 1 37929 0 0 GLOBAL X FDS FINTECH ETF 37954Y814 46 1050 SH DFND 1 1050 0 0 GLOBAL X FDS GLOBAL X SILVER 37954Y848 20 500 SH DFND 1 500 0 0 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 111 1900 SH DFND 1 1900 0 0 GLOBAL X FDS MSCI GREECE ETF 37954Y319 0 0 SH DFND 1 0 0 0 GODADDY INC CL A 380237107 226 2900 SH DFND 1 2900 0 0 GOL LINHAS AEREAS INTELIGENT SPON ADR PFD NEW 38045R206 85 11173 SH DFND 1 11173 0 0 GOLAR LNG LTD SHS G9456A100 10 1000 SH DFND 1 1000 0 0 GOLDEN MINERALS CO COM 381119106 7 10160 SH DFND 1 10160 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 3989 12200 SH DFND 1 12200 0 0 GOODRX HLDGS INC COM CL A 38246G108 12283 314779 SH DFND 1 314779 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 20 1150 SH DFND 1 1150 0 0 GREAT PANTHER MNG LTD COM 39115V101 6 7900 SH DFND 1 7900 0 0 GROWGENERATION CORP COM 39986L109 27 550 SH DFND 1 550 0 0 HALLIBURTON CO COM 406216101 2479 115503 SH DFND 1 115503 0 0 HARLEY DAVIDSON INC COM 412822108 20 500 SH DFND 1 500 0 0 HELMERICH & PAYNE INC COM 423452101 669 24803 SH DFND 1 24803 0 0 HENRY SCHEIN INC COM 806407102 83 1200 SH DFND 1 1200 0 0 HOME DEPOT INC COM 437076102 64721 212036 SH DFND 1 212036 0 0 HOME DEPOT INC PUT 437076952 0 0 SH Put DFND 1 0 0 0 HONEYWELL INTL INC COM 438516106 33522 154449 SH DFND 1 154449 0 0 HOST HOTELS & RESORTS INC COM 44107P104 51 3000 SH DFND 1 3000 0 0 HUBSPOT INC COM 443573100 45 100 SH DFND 1 100 0 0 HUNTINGTON INGALLS INDS INC COM 446413106 281 1365 SH DFND 1 1365 0 0 HYATT HOTELS CORP COM CL A 448579102 451 5450 SH DFND 1 5450 0 0 IDEXX LABS INC COM 45168D104 20 40 SH DFND 1 40 0 0 IHS MARKIT LTD SHS G47567105 15258 157669 SH DFND 1 157669 0 0 ILLINOIS TOOL WKS INC COM 452308109 3389 15300 SH DFND 1 15300 0 0 ILLUMINA INC COM 452327109 444 1155 SH DFND 1 1155 0 0 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 1210 802000 PRN DFND 1 802000 0 0 IMMUNOGEN INC COM 45253H101 14983 1849772 SH DFND 1 1849772 0 0 INARI MED INC COM 45332Y109 110 1030 SH DFND 1 1030 0 0 INCYTE CORP COM 45337C102 52 640 SH DFND 1 640 0 0 ING GROEP N.V. SPONSORED ADR 456837103 357 29152 SH DFND 1 29152 0 0 INGERSOLL RAND INC COM 45687V106 671 13637 SH DFND 1 13637 0 0 INNOVAGE HLDG CORP COM 45784A104 0 0 SH DFND 1 0 0 0 INOZYME PHARMA INC COM 45790W108 50 2525 SH DFND 1 2525 0 0 INSEEGO CORP CALL 45782B904 0 0 SH Call DFND 1 0 0 0 INSEEGO CORP COM 45782B104 25 2500 SH DFND 1 2500 0 0 INTEL CORP CALL 458140900 0 0 SH Call DFND 1 0 0 0 INTEL CORP COM 458140100 31932 498949 SH DFND 1 498949 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 22914 285520 SH DFND 1 285520 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 23 1000 SH DFND 1 1000 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 176 1570 SH DFND 1 1570 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 4064 30510 SH DFND 1 30510 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 7470 53500 SH DFND 1 53500 0 0 INTUIT COM 461202103 1146 2990 SH DFND 1 2990 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 1273 1723 SH DFND 1 1723 0 0 INVESCO EXCH TRADED FD TR II CHINA TECHNLGY 46138E800 913 11216 SH DFND 1 11216 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 5876 18406 SH DFND 1 18406 0 0 INVITAE CORP COM 46185L103 11652 304946 SH DFND 1 304946 0 0 IOVANCE BIOTHERAPEUTICS INC COM 462260100 7658 241896 SH DFND 1 241896 0 0 IQIYI INC NOTE 4.000%12/1 46267XAE8 1697 1619000 PRN DFND 1 1619000 0 0 IQIYI INC SPONSORED ADS 46267X108 831 50000 SH DFND 1 50000 0 0 IQVIA HLDGS INC COM 46266C105 54545 282376 SH DFND 1 282376 0 0 IQVIA HLDGS INC PUT 46266C955 0 0 SH Put DFND 1 0 0 0 IRHYTHM TECHNOLOGIES INC COM 450056106 6968 50181 SH DFND 1 50181 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 923 27600 SH DFND 1 27600 0 0 ISHARES INC MSCI EURZONE ETF 464286608 3116 67150 SH DFND 1 67150 0 0 ISHARES INC MSCI PAC JP ETF 464286665 483 9605 SH DFND 1 9605 0 0 ISHARES INC MSCI WORLD ETF 464286392 829 7000 SH DFND 1 7000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 5472 40397 SH DFND 1 40397 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 42 325 SH DFND 1 325 0 0 ISHARES TR GL TIMB FORE ETF 464288174 102 1200 SH DFND 1 1200 0 0 ISHARES TR GLOBAL ENERG ETF 464287341 28 1125 SH DFND 1 1125 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 463 5000 SH DFND 1 5000 0 0 ISHARES TR MSCI ACWI ETF 464288257 1879 19750 SH DFND 1 19750 0 0 ISHARES TR MSCI CHINA A 46434V514 333 8100 SH DFND 1 8100 0 0 ISHARES TR MSCI CHINA ETF 46429B671 52 631 SH DFND 1 631 0 0 ISHARES TR MSCI EAFE ETF 464287465 353 4651 SH DFND 1 4651 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3870 72560 SH DFND 1 72560 0 0 ISHARES TR NASDAQ BIOTECH 464287556 23 150 SH DFND 1 150 0 0 ISHARES TR PHLX SEMICND ETF 464287523 93 222 SH DFND 1 222 0 0 ISHARES TR ROBOTICS ARTIF 46435U556 17 400 SH DFND 1 400 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 0 SH DFND 1 0 0 0 ISHARES TR US TREAS BD ETF 46429B267 3036 116002 SH DFND 1 116002 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 60 12168 SH DFND 1 12168 0 0 IZEA WORLDWIDE INC COM 46604H105 377 100000 SH DFND 1 100000 0 0 JAZZ INVESTMENTS I LTD NOTE 1.500% 8/1 472145AD3 1332 1223000 PRN DFND 1 1223000 0 0 JD.COM INC SPON ADR CL A 47215P106 849 10070 SH DFND 1 10070 0 0 JETBLUE AWYS CORP COM 477143101 548 26952 SH DFND 1 26952 0 0 JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 10 250 SH DFND 1 250 0 0 JOHNSON & JOHNSON COM 478160104 13439 81776 SH DFND 1 81776 0 0 JPMORGAN CHASE & CO CALL 46625H900 0 0 SH Call DFND 1 0 0 0 JPMORGAN CHASE & CO COM 46625H100 85497 561583 SH DFND 1 561583 0 0 JPMORGAN CHASE & CO PUT 46625H950 10 3000 SH Put DFND 1 3000 0 0 JUMIA TECHNOLOGIES AG SPONSORED ADS 48138M105 35 1000 SH DFND 1 1000 0 0 KALA PHARMACEUTICALS INC COM 483119103 135 20000 SH DFND 1 20000 0 0 KALEYRA INC COM 483379103 21 1500 SH DFND 1 1500 0 0 KARYOPHARM THERAPEUTICS INC COM 48576U106 8728 829681 SH DFND 1 829681 0 0 KELLOGG CO COM 487836108 1779 28110 SH DFND 1 28110 0 0 KEYCORP COM 493267108 5 253 SH DFND 1 253 0 0 KIMBERLY-CLARK CORP COM 494368103 556 4000 SH DFND 1 4000 0 0 KINDER MORGAN INC DEL COM 49456B101 142 8500 SH DFND 1 8500 0 0 KINSALE CAP GROUP INC COM 49714P108 6 35 SH DFND 1 35 0 0 KONTOOR BRANDS INC COM 50050N103 11 235 SH DFND 1 235 0 0 KRAFT HEINZ CO COM 500754106 5036 125900 SH DFND 1 125900 0 0 KRANESHARES TR MSCI CHINA CLEAN 500767850 15 370 SH DFND 1 370 0 0 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 3 100 SH DFND 1 100 0 0 KROGER CO COM 501044101 360 10000 SH DFND 1 10000 0 0 KURA ONCOLOGY INC COM 50127T109 2948 104293 SH DFND 1 104293 0 0 LAM RESEARCH CORP COM 512807108 9 15 SH DFND 1 15 0 0 LAS VEGAS SANDS CORP COM 517834107 33 540 SH DFND 1 540 0 0 LAUDER ESTEE COS INC CL A 518439104 6443 22155 SH DFND 1 22155 0 0 LEMONADE INC COM 52567D107 49 525 SH DFND 1 525 0 0 LENDINGTREE INC NEW COM 52603B107 6 30 SH DFND 1 30 0 0 LEXICON PHARMACEUTICALS INC COM NEW 528872302 23 4000 SH DFND 1 4000 0 0 LILLY ELI & CO COM 532457108 28 150 SH DFND 1 150 0 0 LINDE PLC PUT G5494J953 0 0 SH Put DFND 1 0 0 0 LINDE PLC SHS G5494J103 99252 353512 SH DFND 1 353512 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 2602 30739 SH DFND 1 30739 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 762 328433 SH DFND 1 328433 0 0 LOCKHEED MARTIN CORP COM 539830109 285 770 SH DFND 1 770 0 0 LOGITECH INTL S A SHS H50430232 45829 435012 SH DFND 1 435012 0 0 LORAL SPACE & COM INC COM 543881106 4 100 SH DFND 1 100 0 0 LOWES COS INC COM 548661107 663 3487 SH DFND 1 3487 0 0 LULULEMON ATHLETICA INC COM 550021109 843 2750 SH DFND 1 2750 0 0 LUMENTUM HLDGS INC COM 55024U109 19 213 SH DFND 1 213 0 0 LUMENTUM HLDGS INC NOTE 0.500%12/1 55024UAD1 2834 2442000 PRN DFND 1 2442000 0 0 LUMINAR TECHNOLOGIES INC COM CL A 550424105 122 5000 SH DFND 1 5000 0 0 MACERICH CO COM 554382101 8 650 SH DFND 1 650 0 0 MAGNOLIA OIL & GAS CORP CL A 559663109 391 34060 SH DFND 1 34060 0 0 MARATHON OIL CORP COM 565849106 353 33043 SH DFND 1 33043 0 0 MARATHON PETE CORP COM 56585A102 304 5691 SH DFND 1 5691 0 0 MARCUS CORP DEL COM 566330106 123 6136 SH DFND 1 6136 0 0 MARRIOTT INTL INC NEW CL A 571903202 1504 10150 SH DFND 1 10150 0 0 MARRIOTT VACTINS WORLDWID CO COM 57164Y107 223 1281 SH DFND 1 1281 0 0 MARSH & MCLENNAN COS INC COM 571748102 6205 50954 SH DFND 1 50954 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 53 1082 SH DFND 1 1082 0 0 MASTERCARD INCORPORATED CL A 57636Q104 1805 5070 SH DFND 1 5070 0 0 MATCH GROUP INC NEW COM 57667L107 31 230 SH DFND 1 230 0 0 MATCH GROUP INC NEW PUT 57667L957 0 0 SH Put DFND 1 0 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 4 100 SH DFND 1 100 0 0 MCDONALDS CORP COM 580135101 11055 49313 SH DFND 1 49313 0 0 MEDALLIA INC COM 584021109 89 3200 SH DFND 1 3200 0 0 MEDTRONIC PLC SHS G5960L103 12342 104492 SH DFND 1 104492 0 0 MERCADOLIBRE INC COM 58733R102 258 175 SH DFND 1 175 0 0 MERCK & CO. INC COM 58933Y105 54854 711467 SH DFND 1 711467 0 0 MERCURY SYS INC COM 589378108 191 2700 SH DFND 1 2700 0 0 MESOBLAST LTD SPONS ADR 590717104 17 2000 SH DFND 1 2000 0 0 METLIFE INC COM 59156R108 15232 250552 SH DFND 1 250552 0 0 MGM RESORTS INTERNATIONAL COM 552953101 0 0 SH DFND 1 0 0 0 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AF1 799 351000 PRN DFND 1 351000 0 0 MICRON TECHNOLOGY INC COM 595112103 686 7780 SH DFND 1 7780 0 0 MICROSOFT CORP CALL 594918904 461 9200 SH Call DFND 1 9200 0 0 MICROSOFT CORP COM 594918104 181132 768193 SH DFND 1 768193 0 0 MICROSOFT CORP PUT 594918954 0 0 SH Put DFND 1 0 0 0 MICROSTRATEGY INC CL A NEW 594972408 34 50 SH DFND 1 50 0 0 MICROVISION INC DEL COM NEW 594960304 93 5000 SH DFND 1 5000 0 0 MIRATI THERAPEUTICS INC COM 60468T105 7439 43428 SH DFND 1 43428 0 0 MODERNA INC CALL 60770K907 8 600 SH Call DFND 1 600 0 0 MODERNA INC COM 60770K107 20931 159849 SH DFND 1 159849 0 0 MODERNA INC PUT 60770K957 0 0 SH Put DFND 1 0 0 0 MOMO INC ADR 60879B107 59 4000 SH DFND 1 4000 0 0 MONDELEZ INTL INC CL A 609207105 29751 508307 SH DFND 1 508307 0 0 MORGAN STANLEY COM NEW 617446448 62 800 SH DFND 1 800 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 940 5000 SH DFND 1 5000 0 0 MSC INDL DIRECT INC CL A 553530106 167 1855 SH DFND 1 1855 0 0 MTBC INC COM 55378G102 0 0 SH DFND 1 0 0 0 NANO DIMENSION LTD SPONSORD ADS NEW 63008G203 34 4000 SH DFND 1 4000 0 0 NANOVIRICIDES INC COM 630087302 189 40000 SH DFND 1 40000 0 0 NASDAQ INC COM 631103108 105 717 SH DFND 1 717 0 0 NATERA INC COM 632307104 16579 163278 SH DFND 1 163278 0 0 NATWEST GROUP PLC SPONS ADR 2 ORD 639057108 787 146487 SH DFND 1 146487 0 0 NCINO INC COM 63947U107 40 600 SH DFND 1 600 0 0 NEOGENOMICS INC COM NEW 64049M209 17411 361005 SH DFND 1 361005 0 0 NEOVASC INC COM 64065J304 0 85 SH DFND 1 85 0 0 NETEASE INC SPONSORED ADS 64110W102 83 800 SH DFND 1 800 0 0 NETFLIX INC COM 64110L106 12965 24853 SH DFND 1 24853 0 0 NETFLIX INC PUT 64110L956 0 0 SH Put DFND 1 0 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 14574 149864 SH DFND 1 149864 0 0 NEW RELIC INC COM 64829B100 192 3120 SH DFND 1 3120 0 0 NEWMONT CORP COM 651639106 1846 30651 SH DFND 1 30651 0 0 NEXTCURE INC COM 65343E108 2789 278616 SH DFND 1 278616 0 0 NEXTERA ENERGY INC COM 65339F101 24346 322073 SH DFND 1 322073 0 0 NIKE INC CL B 654106103 14545 109463 SH DFND 1 109463 0 0 NIKOLA CORP COM 654110105 2 110 SH DFND 1 110 0 0 NIO INC SPON ADS 62914V106 1220 31324 SH DFND 1 31324 0 0 NOKIA CORP SPONSORED ADR 654902204 0 85 SH DFND 1 85 0 0 NORTHROP GRUMMAN CORP COM 666807102 0 0 SH DFND 1 0 0 0 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 609 22072 SH DFND 1 22072 0 0 NOV INC COM 62955J103 432 31522 SH DFND 1 31522 0 0 NOVAGOLD RES INC COM NEW 66987E206 144 16500 SH DFND 1 16500 0 0 NOVARTIS AG SPONSORED ADR 66987V109 26 300 SH DFND 1 300 0 0 NOVAVAX INC COM NEW 670002401 12130 66902 SH DFND 1 66902 0 0 NOVOCURE LTD ORD SHS G6674U108 402 3040 SH DFND 1 3040 0 0 NUTANIX INC CL A 67059N108 316 11900 SH DFND 1 11900 0 0 NV5 GLOBAL INC COM 62945V109 8 85 SH DFND 1 85 0 0 NVIDIA CORPORATION COM 67066G104 10474 19615 SH DFND 1 19615 0 0 NVIDIA CORPORATION PUT 67066G954 0 0 SH Put DFND 1 0 0 0 NXP SEMICONDUCTORS N V COM N6596X109 805 4000 SH DFND 1 4000 0 0 OBSEVA SA COM H5861P103 12 3900 SH DFND 1 3900 0 0 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 15 1404 SH DFND 1 1404 0 0 OCCIDENTAL PETE CORP COM 674599105 266 9971 SH DFND 1 9971 0 0 OCEANEERING INTL INC COM 675232102 387 33921 SH DFND 1 33921 0 0 OI SA SPONSORED ADR NE 670851500 0 2 SH DFND 1 2 0 0 OMNICOM GROUP INC COM 681919106 219 2960 SH DFND 1 2960 0 0 ONEOK INC NEW COM 682680103 82 1614 SH DFND 1 1614 0 0 ONTRAK INC COM 683373104 9659 296641 SH DFND 1 296641 0 0 ORACLE CORP COM 68389X105 679 9687 SH DFND 1 9687 0 0 OREILLY AUTOMOTIVE INC COM 67103H107 86 169 SH DFND 1 169 0 0 OSISKO GOLD ROYALTIES LTD COM 68827L101 44 4000 SH DFND 1 4000 0 0 OTIS WORLDWIDE CORP COM 68902V107 44 645 SH DFND 1 645 0 0 PACIFIC BIOSCIENCES CALIF IN CALL 69404D908 0 0 SH Call DFND 1 0 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 67 2000 SH DFND 1 2000 0 0 PALANTIR TECHNOLOGIES INC CALL 69608A908 0 0 SH Call DFND 1 0 0 0 PALANTIR TECHNOLOGIES INC CL A 69608A108 1024 43900 SH DFND 1 43900 0 0 PALO ALTO NETWORKS INC CALL 697435905 0 0 SH Call DFND 1 0 0 0 PALO ALTO NETWORKS INC COM 697435105 67027 208099 SH DFND 1 208099 0 0 PALO ALTO NETWORKS INC PUT 697435955 0 0 SH Put DFND 1 0 0 0 PAN AMERN SILVER CORP COM 697900108 138 4600 SH DFND 1 4600 0 0 PAR PAC HOLDINGS INC COM NEW 69888T207 258 18302 SH DFND 1 18302 0 0 PARK HOTELS & RESORTS INC COM 700517105 43 2000 SH DFND 1 2000 0 0 PAYPAL HLDGS INC COM 70450Y103 13951 57450 SH DFND 1 57450 0 0 PAYSAFE LIMITED ORD G6964L107 3 250 SH DFND 1 250 0 0 PDC ENERGY INC COM 69327R101 137 3983 SH DFND 1 3983 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 1832 16291 SH DFND 1 16291 0 0 PEPSICO INC COM 713448108 1069 7556 SH DFND 1 7556 0 0 PERION NETWORK LTD SHS NEW M78673114 9 500 SH DFND 1 500 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1081 127478 SH DFND 1 127478 0 0 PFIZER INC COM 717081103 2994 82676 SH DFND 1 82676 0 0 PG&E CORP COM 69331C108 984 84000 SH DFND 1 84000 0 0 PHARVARIS N V COM N69605108 422 15030 SH DFND 1 15030 0 0 PHENIXFIN CORP COM 71742W103 82 2500 SH DFND 1 2500 0 0 PHILIP MORRIS INTL INC COM 718172109 2813 31690 SH DFND 1 31690 0 0 PHILLIPS 66 COM 718546104 2545 31195 SH DFND 1 31195 0 0 PINDUODUO INC NOTE 12/0 722304AC6 2865 2707000 PRN DFND 1 2707000 0 0 PINDUODUO INC SPONSORED ADS 722304102 0 0 SH DFND 1 0 0 0 PINTEREST INC CALL 72352L906 0 0 SH Call DFND 1 0 0 0 PINTEREST INC CL A 72352L106 33038 446271 SH DFND 1 446271 0 0 PINTEREST INC PUT 72352L956 0 0 SH Put DFND 1 0 0 0 PJT PARTNERS INC COM CL A 69343T107 6 85 SH DFND 1 85 0 0 PLUG POWER INC CALL 72919P902 0 0 SH Call DFND 1 0 0 0 PLUG POWER INC COM NEW 72919P202 233 6500 SH DFND 1 6500 0 0 POLARIS INC COM 731068102 12 90 SH DFND 1 90 0 0 PPG INDS INC COM 693506107 920 6127 SH DFND 1 6127 0 0 PROCTER AND GAMBLE CO COM 742718109 28870 213146 SH DFND 1 213146 0 0 PROGRESSIVE CORP COM 743315103 7983 83504 SH DFND 1 83504 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 31 1437 SH DFND 1 1437 0 0 PROSHARES TR S&P 500 DV ARIST 74348A467 105 1223 SH DFND 1 1223 0 0 PROSHARES TR SHRT 20+YR TRE 74347X849 0 0 SH DFND 1 0 0 0 PROSHARES TR SHRT HGH YIELD 74347R131 0 0 SH DFND 1 0 0 0 PROSHARES TR SHT 7-10 YR TR 74348A608 0 0 SH DFND 1 0 0 0 PROSHARES TR ULTRAPRO SHT QQQ 74347G861 31 2400 SH DFND 1 2400 0 0 PROTO LABS INC COM 743713109 37 300 SH DFND 1 300 0 0 PTC INC COM 69370C100 925 6723 SH DFND 1 6723 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 8 130 SH DFND 1 130 0 0 PULTE GROUP INC COM 745867101 103 1959 SH DFND 1 1959 0 0 PVH CORPORATION COM 693656100 323 3052 SH DFND 1 3052 0 0 QIAGEN NV DEBT 1.000%11/1 N72482AT4 988 800000 PRN DFND 1 800000 0 0 QIAGEN NV SHS NEW N72482123 2803 57777 SH DFND 1 57777 0 0 QORVO INC COM 74736K101 309 1690 SH DFND 1 1690 0 0 QUALCOMM INC COM 747525103 655 4948 SH DFND 1 4948 0 0 QUALYS INC COM 74758T303 63 600 SH DFND 1 600 0 0 QUANTERIX CORP COM 74766Q101 8119 138854 SH DFND 1 138854 0 0 R1 RCM INC COM 749397105 5878 238178 SH DFND 1 238178 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1091 14099 SH DFND 1 14099 0 0 REDFIN CORP COM 75737F108 20 300 SH DFND 1 300 0 0 REGENERON PHARMACEUTICALS COM 75886F107 556 1175 SH DFND 1 1175 0 0 REPUBLIC SVCS INC COM 760759100 20 200 SH DFND 1 200 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 5 165 SH DFND 1 165 0 0 RINGCENTRAL INC NOTE 3/0 76680RAF4 1635 1494000 PRN DFND 1 1494000 0 0 RIO TINTO PLC SPONSORED ADR 767204100 505 6500 SH DFND 1 6500 0 0 RLX TECHNOLOGY INC SPONSORED ADS 74969N103 2 240 SH DFND 1 240 0 0 ROKU INC COM CL A 77543R102 244 750 SH DFND 1 750 0 0 ROKU INC PUT 77543R952 0 0 SH Put DFND 1 0 0 0 ROSS STORES INC COM 778296103 703 5855 SH DFND 1 5855 0 0 ROYAL BK CDA COM 780087102 515 5581 SH DFND 1 5581 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 758 8850 SH DFND 1 8850 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 609 16531 SH DFND 1 16531 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 170 4320 SH DFND 1 4320 0 0 ROYAL GOLD INC COM 780287108 269 2500 SH DFND 1 2500 0 0 RUBIUS THERAPEUTICS INC COM 78116T103 4393 163172 SH DFND 1 163172 0 0 S&P GLOBAL INC COM 78409V104 101351 287216 SH DFND 1 287216 0 0 SALESFORCE COM INC COM 79466L302 3388 15992 SH DFND 1 15992 0 0 SALESFORCE COM INC PUT 79466L952 0 0 SH Put DFND 1 0 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 7 1000 SH DFND 1 1000 0 0 SANGAMO THERAPEUTICS INC COM 800677106 10756 858429 SH DFND 1 858429 0 0 SC HEALTH CORP UNIT 99/99/9999 G78516302 22 2000 SH DFND 1 2000 0 0 SEA LTD SPONSORD ADS 81141R100 33 150 SH DFND 1 150 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 23 300 SH DFND 1 300 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 108 2200 SH DFND 1 2200 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 34 1000 SH DFND 1 1000 0 0 SEMPRA ENERGY COM 816851109 742 5590 SH DFND 1 5590 0 0 SERVICE CORP INTL COM 817565104 38 750 SH DFND 1 750 0 0 SERVICENOW INC COM 81762P102 233 465 SH DFND 1 465 0 0 SHERWIN WILLIAMS CO COM 824348106 1476 2000 SH DFND 1 2000 0 0 SHOPIFY INC CL A 82509L107 1257 1135 SH DFND 1 1135 0 0 SHOPIFY INC NOTE 0.125%11/0 82509LAA5 2291 2014000 PRN DFND 1 2014000 0 0 SIFY TECHNOLOGIES LTD SPONSORED ADS 82655M107 0 35 SH DFND 1 35 0 0 SIGNIFY HEALTH INC CL A COM 82671G100 5288 180734 SH DFND 1 180734 0 0 SILVERCORP METALS INC COM 82835P103 14 2790 SH DFND 1 2790 0 0 SIMON PPTY GROUP INC NEW COM 828806109 405 3563 SH DFND 1 3563 0 0 SIMPSON MFG INC COM 829073105 539 5200 SH DFND 1 5200 0 0 SKYWEST INC COM 830879102 73 1331 SH DFND 1 1331 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 156 850 SH DFND 1 850 0 0 SL GREEN RLTY CORP COM 78440X804 84 1197 SH DFND 1 1197 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 142 3500 SH DFND 1 3500 0 0 SNAP INC CL A 83304A106 500 9565 SH DFND 1 9565 0 0 SNOWFLAKE INC CL A 833445109 966 4210 SH DFND 1 4210 0 0 SONOS INC COM 83570H108 4871 130000 SH DFND 1 130000 0 0 SOUTHERN CO COM 842587107 559 9000 SH DFND 1 9000 0 0 SOUTHERN COPPER CORP COM 84265V105 7 100 SH DFND 1 100 0 0 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 980 564000 PRN DFND 1 564000 0 0 SPDR GOLD TR GOLD SHS 78463V107 344 2150 SH DFND 1 2150 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 353 7930 SH DFND 1 7930 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 10680 26948 SH DFND 1 26948 0 0 SPDR SER TR S&P DIVID ETF 78464A763 21 175 SH DFND 1 175 0 0 SPDR SER TR SSGA GNDER ETF 78468R747 29 310 SH DFND 1 310 0 0 SPI ENERGY CO LTD SHS NEW G8651P110 18 2365 SH DFND 1 2365 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 452 9299 SH DFND 1 9299 0 0 SPIRIT AIRLS INC COM 848577102 159 4318 SH DFND 1 4318 0 0 SPLUNK INC COM 848637104 27 200 SH DFND 1 200 0 0 SPLUNK INC NOTE 1.125% 9/1 848637AD6 1065 900000 PRN DFND 1 900000 0 0 SPOTIFY TECHNOLOGY S A PUT L8681T952 0 0 SH Put DFND 1 0 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 65353 243880 SH DFND 1 243880 0 0 SPROUTS FMRS MKT INC COM 85208M102 5066 190381 SH DFND 1 190381 0 0 SPROUTS FMRS MKT INC PUT 85208M952 0 0 SH Put DFND 1 0 0 0 SQUARE INC CL A 852234103 790 3480 SH DFND 1 3480 0 0 STARBUCKS CORP COM 855244109 1421 13000 SH DFND 1 13000 0 0 STEEL CONNECT INC COM 858098106 2 800 SH DFND 1 800 0 0 STELLANTIS N.V SHS N82405106 532 30010 SH DFND 1 30010 0 0 STERICYCLE INC COM 858912108 41 600 SH DFND 1 600 0 0 STERIS PLC SHS USD G8473T100 143 750 SH DFND 1 750 0 0 STERLING BANCORP DEL COM 85917A100 75 3263 SH DFND 1 3263 0 0 STRYKER CORPORATION COM 863667101 90 370 SH DFND 1 370 0 0 SUNCOR ENERGY INC NEW COM 867224107 305 14607 SH DFND 1 14607 0 0 SUTRO BIOPHARMA INC COM 869367102 6610 290418 SH DFND 1 290418 0 0 SYNCHRONY FINANCIAL COM 87165B103 5400 132723 SH DFND 1 132723 0 0 SYNOPSYS INC COM 871607107 496 2000 SH DFND 1 2000 0 0 TABULA RASA HEALTHCARE INC COM 873379101 15857 344334 SH DFND 1 344334 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 7489 63327 SH DFND 1 63327 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 88 500 SH DFND 1 500 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 21952 407650 SH DFND 1 407650 0 0 TALEND S A ADS 874224207 88 1375 SH DFND 1 1375 0 0 TANDEM DIABETES CARE INC COM NEW 875372203 20209 229001 SH DFND 1 229001 0 0 TARGET CORP COM 87612E106 139 700 SH DFND 1 700 0 0 TC ENERGY CORP COM 87807B107 519 11326 SH DFND 1 11326 0 0 TE CONNECTIVITY LTD REG SHS H84989104 3116 24144 SH DFND 1 24144 0 0 TECHNIPFMC PLC COM G87110105 406 52954 SH DFND 1 52954 0 0 TEEKAY CORPORATION COM Y8564W103 51 15900 SH DFND 1 15900 0 0 TELADOC HEALTH INC COM 87918A105 7157 39378 SH DFND 1 39378 0 0 TELEFONICA BRASIL SA NEW ADR 87936R205 2 212 SH DFND 1 212 0 0 TENCENT MUSIC ENTMT GROUP SPON ADS 88034P109 161 7835 SH DFND 1 7835 0 0 TERADYNE INC COM 880770102 24 200 SH DFND 1 200 0 0 TESLA INC COM 88160R101 3831 5738 SH DFND 1 5738 0 0 TESLA INC PUT 88160R951 62 500 SH Put DFND 1 500 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 9 800 SH DFND 1 800 0 0 TEXAS INSTRS INC COM 882508104 112 595 SH DFND 1 595 0 0 THE TRADE DESK INC COM CL A 88339J105 33 50 SH DFND 1 50 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 106854 234146 SH DFND 1 234146 0 0 THERMO FISHER SCIENTIFIC INC PUT 883556952 0 0 SH Put DFND 1 0 0 0 TIM S A SPONSORED ADR 88706T108 1 45 SH DFND 1 45 0 0 TJX COS INC NEW COM 872540109 94 1423 SH DFND 1 1423 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 416 6390 SH DFND 1 6390 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 47 300 SH DFND 1 300 0 0 TRACTOR SUPPLY CO COM 892356106 131 740 SH DFND 1 740 0 0 TRANE TECHNOLOGIES PLC PUT G8994E953 0 0 SH Put DFND 1 0 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 30140 182056 SH DFND 1 182056 0 0 TRANSOCEAN LTD REG SHS H8817H100 602 169493 SH DFND 1 169493 0 0 TRIP COM GROUP LTD ADS 89677Q107 26149 659830 SH DFND 1 659830 0 0 TRIPADVISOR INC COM 896945201 0 0 SH DFND 1 0 0 0 TRIVAGO N V SPON ADS A SHS 89686D105 11 2500 SH DFND 1 2500 0 0 TRUIST FINL CORP COM 89832Q109 467 8000 SH DFND 1 8000 0 0 TURQUOISE HILL RES LTD COM 900435207 79 4844 SH DFND 1 4844 0 0 TWILIO INC CL A 90138F102 429 1260 SH DFND 1 1260 0 0 TWIST BIOSCIENCE CORP COM 90184D100 13236 106859 SH DFND 1 106859 0 0 TWITTER INC COM 90184L102 64 1000 SH DFND 1 1000 0 0 TWITTER INC NOTE 0.250% 6/1 90184LAF9 1155 865000 PRN DFND 1 865000 0 0 TYSON FOODS INC CL A 902494103 269 3620 SH DFND 1 3620 0 0 UBER TECHNOLOGIES INC COM 90353T100 1142 20950 SH DFND 1 20950 0 0 UBS GROUP AG SHS H42097107 47842 3076423 SH DFND 1 3076423 0 0 UGI CORP NEW COM 902681105 352 8576 SH DFND 1 8576 0 0 ULTA BEAUTY INC COM 90384S303 54 175 SH DFND 1 175 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 406 7000 SH DFND 1 7000 0 0 UNDER ARMOUR INC CL A 904311107 66 3000 SH DFND 1 3000 0 0 UNION PAC CORP COM 907818108 441 2000 SH DFND 1 2000 0 0 UNITED AIRLS HLDGS INC COM 910047109 527 9173 SH DFND 1 9173 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2398 6444 SH DFND 1 6444 0 0 V F CORP COM 918204108 168 2100 SH DFND 1 2100 0 0 VALE S A SPONSORED ADS 91912E105 556 32000 SH DFND 1 32000 0 0 VALERO ENERGY CORP COM 91913Y100 25 350 SH DFND 1 350 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 13 400 SH DFND 1 400 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 270 6000 SH DFND 1 6000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 44 700 SH DFND 1 700 0 0 VEEVA SYS INC CL A COM 922475108 590 2258 SH DFND 1 2258 0 0 VERISK ANALYTICS INC COM 92345Y106 1076 6091 SH DFND 1 6091 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 14150 243368 SH DFND 1 243368 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 54 250 SH DFND 1 250 0 0 VIATRIS INC COM 92556V106 122 8665 SH DFND 1 8665 0 0 VIPER ENERGY PARTNERS LP COM UNT RP INT 92763M105 284 19516 SH DFND 1 19516 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 0 0 SH DFND 1 0 0 0 VISA INC COM CL A 92826C839 171869 811699 SH DFND 1 811699 0 0 VISA INC PUT 92826C959 0 0 SH Put DFND 1 0 0 0 VOYAGER THERAPEUTICS INC COM 92915B106 0 0 SH DFND 1 0 0 0 VULCAN MATLS CO COM 929160109 337 2000 SH DFND 1 2000 0 0 WABTEC COM 929740108 250 3156 SH DFND 1 3156 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 159 2900 SH DFND 1 2900 0 0 WALMART INC COM 931142103 1082 7962 SH DFND 1 7962 0 0 WARNER MUSIC GROUP CORP COM CL A 934550203 242 7060 SH DFND 1 7060 0 0 WASTE MGMT INC DEL COM 94106L109 30820 238882 SH DFND 1 238882 0 0 WEIBO CORP NOTE 1.250%11/1 948596AC5 1517 1540000 PRN DFND 1 1540000 0 0 WELLS FARGO CO NEW CALL 949746901 12 1000 SH Call DFND 1 1000 0 0 WELLS FARGO CO NEW COM 949746101 6322 161872 SH DFND 1 161872 0 0 WESTERN UN CO COM 959802109 984 39900 SH DFND 1 39900 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 259 6800 SH DFND 1 6800 0 0 WILLIAMS COS INC COM 969457100 172 7245 SH DFND 1 7245 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 705 11500 SH DFND 1 11500 0 0 WIX COM LTD SHS M98068105 42 150 SH DFND 1 150 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 1312 24200 SH DFND 1 24200 0 0 XPENG INC ADS 98422D105 481 13185 SH DFND 1 13185 0 0 YATSEN HLDG LTD ADS 985194109 220 17800 SH DFND 1 17800 0 0 Y-MABS THERAPEUTICS INC COM 984241109 5488 181492 SH DFND 1 181492 0 0 YOUDAO INC SPONSORED ADS 98741T104 48 2000 SH DFND 1 2000 0 0 YUM CHINA HLDGS INC COM 98850P109 20604 347976 SH DFND 1 347976 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 606 1250 SH DFND 1 1250 0 0 ZIM INTEGRATED SHIPPING SERV SHS M9T951109 5 200 SH DFND 1 200 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 69 430 SH DFND 1 430 0 0 ZOETIS INC CL A 98978V103 568 3602 SH DFND 1 3602 0 0 ZOOM VIDEO COMMUNICATIONS IN CALL 98980L901 7 300 SH Call DFND 1 300 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 193 600 SH DFND 1 600 0 0 ZOOM VIDEO COMMUNICATIONS IN PUT 98980L951 0 0 SH Put DFND 1 0 0 0 ZUORA INC COM CL A 98983V106 104 7000 SH DFND 1 7000 0 0 ZYNGA INC NOTE 0.250% 6/0 98986TAB4 991 723000 PRN DFND 1 723000 0 0 3M CO COM 88579Y101 2426 12595 SH DFND 2 12595 0 0 ABBOTT LABS COM 002824100 4510 37589 SH DFND 2 37589 0 0 ABBVIE INC COM 00287Y109 13339 123281 SH DFND 2 123281 0 0 ABBVIE INC PUT 00287Y959 0 0 SH Put DFND 2 0 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 17 61 SH DFND 2 61 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 9195 19349 SH DFND 2 19349 0 0 AGNICO EAGLE MINES LTD COM 008474108 230 3990 SH DFND 2 3990 0 0 AIR PRODS & CHEMS INC COM 009158106 0 0 SH DFND 2 0 0 0 ALCON AG ORD SHS H01301128 986 14017 SH DFND 2 14017 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2363 10410 SH DFND 2 10410 0 0 ALPHABET INC CAP STK CL A 02079K305 22731 11017 SH DFND 2 11017 0 0 ALPHABET INC CAP STK CL C 02079K107 1560 754 SH DFND 2 754 0 0 AMAZON COM INC COM 023135106 16559 5352 SH DFND 2 5352 0 0 AMETEK INC COM 031100100 1284 10061 SH DFND 2 10061 0 0 AMGEN INC COM 031162100 644 2584 SH DFND 2 2584 0 0 AMGEN INC PUT 031162950 0 0 SH Put DFND 2 0 0 0 AON PLC SHS CL A G0403H108 271 1180 SH DFND 2 1180 0 0 APPLE INC COM 037833100 9046 74043 SH DFND 2 74043 0 0 ARISTA NETWORKS INC COM 040413106 2414 7998 SH DFND 2 7998 0 0 AT&T INC COM 00206R102 61 2000 SH DFND 2 2000 0 0 AXIS CAP HLDGS LTD SHS G0692U109 99 2000 SH DFND 2 2000 0 0 BALL CORP COM 058498106 7299 86182 SH DFND 2 86182 0 0 BANK NEW YORK MELLON CORP COM 064058100 477 10093 SH DFND 2 10093 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 8 112 SH DFND 2 112 0 0 BK OF AMERICA CORP COM 060505104 80 2074 SH DFND 2 2074 0 0 BLACKSTONE GROUP INC COM 09260D107 1446 19391 SH DFND 2 19391 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 76 1195 SH DFND 2 1195 0 0 BROADCOM INC COM 11135F101 14 30 SH DFND 2 30 0 0 CATERPILLAR INC COM 149123101 116 500 SH DFND 2 500 0 0 CHUBB LIMITED COM H1467J104 3408 21578 SH DFND 2 21578 0 0 CISCO SYS INC COM 17275R102 5 100 SH DFND 2 100 0 0 COCA COLA CO COM 191216100 9128 173235 SH DFND 2 173235 0 0 COLGATE PALMOLIVE CO COM 194162103 69 876 SH DFND 2 876 0 0 COMCAST CORP NEW CL A 20030N101 14 266 SH DFND 2 266 0 0 CSX CORP COM 126408103 3816 39577 SH DFND 2 39577 0 0 CVS HEALTH CORP COM 126650100 409 5432 SH DFND 2 5432 0 0 DISNEY WALT CO COM 254687106 16121 87365 SH DFND 2 87365 0 0 DOLLAR GEN CORP NEW COM 256677105 910 4488 SH DFND 2 4488 0 0 EMERSON ELEC CO COM 291011104 20 225 SH DFND 2 225 0 0 EOG RES INC COM 26875P101 15 200 SH DFND 2 200 0 0 EXELON CORP COM 30161N101 526 12030 SH DFND 2 12030 0 0 EXPEDIA GROUP INC COM 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