The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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| COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
| VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 6,296 | 53,000 | SH | DFND | 1 | 53,000 | 0 | 0 | |
| ALPHABET INC | CAP STK CL A | 02079K305 | 175 | 60 | SH | SOLE | 60 | 0 | 0 | ||
| AURORA MOBILE LTD | ADS | 051857100 | 21 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
| BAIDU INC | SPON ADR REP A | 056752108 | 60 | 400 | SH | SOLE | 400 | 0 | 0 | ||
| BAOZUN INC | SPONSORED ADR | 06684L103 | 42 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
| BILIBILI INC | SPONS ADS REP Z | 090040106 | 3,712 | 80,000 | SH | DFND | 1 | 80,000 | 0 | 0 | |
| GLOBAL X FDS | MSCI CHINA FINCL | 37950E606 | 70 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 91 | 1,850 | SH | SOLE | 1,850 | 0 | 0 | ||
| ISHARES TR | GL CLEAN ENE ETF | 464288224 | 68 | 3,185 | SH | SOLE | 3,185 | 0 | 0 | ||
| LI AUTO INC | SPONSORED ADS | 50202M102 | 4,013 | 125,000 | SH | DFND | 1 | 125,000 | 0 | 0 | |
| MINISO GROUP HLDG LTD | SPONSORED ADS | 66981J102 | 5,893 | 569,952 | SH | DFND | 1 | 569,952 | 0 | 0 | |
| ONECONNECT FINL TECHNOLOGY C | SPONSORED ADS | 68248T105 | 869 | 347,603 | SH | SOLE | 347,603 | 0 | 0 | ||
| PINDUODUO INC | SPONSORED ADS | 722304102 | 7,866 | 134,921 | SH | DFND | 1 | 134,921 | 0 | 0 | |
| PINDUODUO INC | SPONSORED ADS | 722304102 | 380 | 6,512 | SH | SOLE | 6,512 | 0 | 0 | ||
| PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 74255X104 | 65 | 4,148 | SH | SOLE | 4,148 | 0 | 0 | ||
| SEA LTD | SPONSORD ADS | 81141R100 | 5,816 | 26,000 | SH | DFND | 1 | 26,000 | 0 | 0 | |
| SEA LTD | NOTE 0.250% 9/1 | 81141RAG5 | 7,368 | 8,000,000 | PRN | DFND | 1 | 0 | 0 | 8,000,000 | |
| SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 61 | 1,100 | SH | SOLE | 1,100 | 0 | 0 | ||
| TENCENT MUSIC ENTMT GROUP | SPON ADS | 88034P109 | 372 | 54,247 | SH | SOLE | 54,247 | 0 | 0 | ||
| VANGUARD WORLD FDS | HEALTH CAR ETF | 92204A504 | 114 | 426 | SH | SOLE | 426 | 0 | 0 | ||
| XPENG INC | ADS | 98422D105 | 3,722 | 73,958 | SH | DFND | 1 | 73,958 | 0 | 0 | |
| ZTO EXPRESS CAYMAN INC | SPONSORED ADS A | 98980A105 | 4,374 | 155,000 | SH | DFND | 1 | 155,000 | 0 | 0 | |
| ZTO EXPRESS CAYMAN INC | SPONSORED ADS A | 98980A105 | 282 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||