The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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 |
3M COMPANY | COM | 88579Y101 | 137 | 770 | SH | SOLE | 0 | 770 | 0 | ||
3M COMPANY | COM | 88579Y101 | 230 | 1,288 | SH | DFND | 0 | 1,200 | 88 | ||
ALLERGAN | COM | G0177J108 | 473 | 2,252 | SH | SOLE | 0 | 2,252 | 0 | ||
ALPHABET, INC CL C | COM | 02079K107 | 653 | 846 | SH | SOLE | 0 | 846 | 0 | ||
AMERICAN INTL GROUP, INC | COM | 026874784 | 8,125 | 124,400 | SH | DFND | 1 | 124,400 | 0 | 0 | |
AMERISOURCEBERGEN CORP | COM | 03073E105 | 12,367 | 158,162 | SH | SOLE | 157,877 | 285 | 0 | ||
ANTARES PHARMA, INC | COM | 036642106 | 93 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | ||
APTARGROUP, INC | COM | 038336103 | 927 | 12,622 | SH | SOLE | 0 | 12,622 | 0 | ||
AT&T, INC | COM | 00206R102 | 210 | 4,931 | SH | SOLE | 0 | 4,931 | 0 | ||
AT&T, INC | COM | 00206R102 | 85 | 2,000 | SH | DFND | 0 | 2,000 | 0 | ||
AVID TECH, INC | COM | 05367P100 | 101 | 22,915 | SH | SOLE | 0 | 22,915 | 0 | ||
AVID TECH, INC | COM | 05367P100 | 38 | 8,560 | SH | DFND | 0 | 8,560 | 0 | ||
BARNES & NOBLE ED, INC | COM | 06777U101 | 4,887 | 426,084 | SH | SOLE | 426,084 | 0 | 0 | ||
BEACON ROOFING SUPPLY, INC | COM | 073685109 | 8,712 | 189,095 | SH | SOLE | 189,095 | 0 | 0 | ||
BED BATH & BEYOND, INC | COM | 075896100 | 10,579 | 260,310 | SH | SOLE | 260,310 | 0 | 0 | ||
BERSHIRE HATHAWAY, INC CL A | COM | 084670108 | 12,206 | 50 | SH | DFND | 1 | 50 | 0 | 0 | |
BGC PARTNERS CL A ORD | COM | 05541T101 | 7,150 | 698,973 | SH | DFND | 1 | 698,973 | 0 | 0 | |
BIOTECH PRDCT SVC RSRCH, INC | COM | 09074L105 | 2 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | ||
BLACKHAWK NTWK HLDGS, INC | COM | 09238E104 | 8,876 | 235,583 | SH | SOLE | 235,583 | 0 | 0 | ||
BLACKHAWK NTWK HLDGS, INC | COM | 09238E104 | 377 | 10,000 | SH | DFND | 0 | 0 | 10,000 | ||
CALAMOS CONV OPP & INC FD | COM | 128117108 | 156 | 15,500 | SH | SOLE | 0 | 15,500 | 0 | ||
CALAMOS CONV OPP & INC FD | COM | 128117108 | 40 | 4,000 | SH | DFND | 0 | 0 | 4,000 | ||
CARDAX, INC | COM | 14141D102 | 54 | 674,377 | SH | SOLE | 674,377 | 0 | 0 | ||
CHEMICAL & MINING CO CHILE | COM | 833635105 | 294 | 10,270 | SH | SOLE | 0 | 10,270 | 0 | ||
CHURCH & DWIGHT, INC | COM | 171340102 | 564 | 12,766 | SH | SOLE | 0 | 12,766 | 0 | ||
COMMERCEHUB, INC CL C | COM | 20084V306 | 639 | 42,489 | SH | SOLE | 0 | 42,489 | 0 | ||
COMMERCEHUB, INC CL C | COM | 20084V306 | 9 | 568 | SH | DFND | 0 | 0 | 568 | ||
CVS CORP | COM | 126650100 | 475 | 6,020 | SH | SOLE | 0 | 6,020 | 0 | ||
DARLING INGREDIENTS | COM | 237266101 | 7,708 | 597,051 | SH | DFND | 1 | 597,051 | 0 | 0 | |
DAVIDs TEA, INC | COM | 238661102 | 4,974 | 726,074 | SH | SOLE | 726,074 | 0 | 0 | ||
DAVITA INC | COM | 23918K108 | 7,773 | 121,076 | SH | DFND | 1 | 121,076 | 0 | 0 | |
DEL TACO RESTAURANTS, INC | COM | 245496104 | 434 | 30,748 | SH | SOLE | 0 | 30,748 | 0 | ||
DHX MEDIA LTD COM VTG SHS | COM | 252406707 | 734 | 140,327 | SH | SOLE | 129,533 | 10,794 | 0 | ||
DICKS SPORTING GOODS, INC | COM | 253393102 | 8,752 | 164,820 | SH | SOLE | 164,820 | 0 | 0 | ||
ENDOLOGIX, INC | COM | 29266S106 | 528 | 92,391 | SH | DFND | 0 | 0 | 92,391 | ||
EXELIXIS, INC | COM | 30161Q104 | 149 | 10,000 | SH | DFND | 0 | 0 | 10,000 | ||
EXXON MOBIL CORP | COM | 30231G102 | 294 | 3,262 | SH | SOLE | 0 | 3,262 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 8 | 89 | SH | DFND | 0 | 0 | 89 | ||
FANNIE MAE | COM | 313586109 | 2,548 | 653,403 | SH | SOLE | 333,521 | 319,882 | 0 | ||
FOREST CITY RLTY TR, INC CL A | COM | 345605109 | 241 | 11,550 | SH | DFND | 0 | 0 | 11,550 | ||
FORTRESS INV GRP LLC CL A | COM | 34958B106 | 506 | 104,145 | SH | SOLE | 0 | 104,145 | 0 | ||
FORTRESS INV GRP LLC CL A | COM | 34958B106 | 39 | 8,000 | SH | DFND | 0 | 0 | 8,000 | ||
FREDDIE MAC | COM | 313400301 | 112 | 30,000 | SH | SOLE | 0 | 30,000 | 0 | ||
GAIN CAPITAL HOLDINGS ORD | COM | 36268W100 | 2,019 | 306,847 | SH | DFND | 1 | 306,847 | 0 | 0 | |
GENERAC HOLDINGS, INC | COM | 368736104 | 6,522 | 160,099 | SH | SOLE | 160,099 | 0 | 0 | ||
GMS, INC | COM | 36251C103 | 3,510 | 119,868 | SH | SOLE | 119,868 | 0 | 0 | ||
GRAND CANYON ED, INC | COM | 38526M106 | 2,143 | 36,664 | SH | SOLE | 36,664 | 0 | 0 | ||
GREAT ELM CAP GRP, INC | COM | 39036P209 | 26 | 7,000 | SH | SOLE | 0 | 7,000 | 0 | ||
GREAT ELM CAP GRP, INC | COM | 39036P209 | 11 | 3,000 | SH | DFND | 0 | 0 | 3,000 | ||
HARMAN INT'L IND, INC | COM | 413086109 | 253 | 2,280 | SH | SOLE | 0 | 2,280 | 0 | ||
HEMISPHERE MEDIA GRP, INC A | COM | 42365Q103 | 1,713 | 152,963 | SH | SOLE | 152,963 | 0 | 0 | ||
INT'L SPEEDWAY CORP | COM | 460335201 | 9,748 | 264,891 | SH | SOLE | 264,891 | 0 | 0 | ||
IONIS PHARM, INC | COM | 462222100 | 1,837 | 38,400 | SH | SOLE | 0 | 38,400 | 0 | ||
IONIS PHARM, INC | COM | 462222100 | 1,980 | 41,400 | SH | DFND | 0 | 0 | 41,400 | ||
ISHARES CORE US GROWTH | COM | 464287671 | 309 | 7,200 | SH | SOLE | 0 | 7,200 | 0 | ||
ISHARES DJ SELECT DIV FD | COM | 464287168 | 1,363 | 15,385 | SH | SOLE | 14,725 | 660 | 0 | ||
ISHARES DJ US REGIONAL BANKS | COM | 464288778 | 703 | 15,499 | SH | SOLE | 0 | 15,499 | 0 | ||
ISHARES DJ US REGIONAL BANKS | COM | 464288778 | 38 | 840 | SH | DFND | 0 | 0 | 840 | ||
ISHARES RUSSELL 2000 | COM | 464287655 | 6,473 | 48,000 | SH | DFND | 1 | 48,000 | 0 | 0 | |
ISHARES RUSSELL 2000 GROWTH | COM | 464287648 | 432 | 2,805 | SH | SOLE | 0 | 2,805 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 448 | 3,885 | SH | SOLE | 0 | 3,885 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 4 | 37 | SH | DFND | 0 | 0 | 37 | ||
KAPSTONE PAPER & PACK CORP | COM | 48562P103 | 5,887 | 266,970 | SH | SOLE | 202,470 | 64,500 | 0 | ||
KAPSTONE PAPER & PACK CORP | COM | 48562P103 | 2,293 | 104,000 | SH | DFND | 0 | 0 | 104,000 | ||
KAYNE ANDERSON MDSTRM/ENGY | COM | 48661E108 | 415 | 26,125 | SH | SOLE | 1,000 | 25,125 | 0 | ||
KAYNE ANDERSON MDSTRM/ENGY | COM | 48661E108 | 159 | 10,000 | SH | DFND | 0 | 7,000 | 3,000 | ||
KEMPHARM, INC | COM | 488445107 | 27 | 9,200 | SH | SOLE | 0 | 9,200 | 0 | ||
KEMPHARM, INC | COM | 488445107 | 8 | 2,700 | SH | DFND | 0 | 2,700 | 0 | ||
KINGSWAY FINL SRVCS | COM | 496904202 | 311 | 49,736 | SH | DFND | 1 | 49,736 | 0 | 0 | |
LIBERTY GLOBAL LILAC CL A | COM | G5480U138 | 8,703 | 396,296 | SH | DFND | 1 | 396,296 | 0 | 0 | |
LORAL SPACE & COMM | COM | 543881106 | 7,494 | 182,550 | SH | DFND | 1 | 182,550 | 0 | 0 | |
MACQUARIE INFRASTRUCT LLC | COM | 55608B105 | 1,405 | 17,201 | SH | SOLE | 0 | 17,201 | 0 | ||
MACQUARIE INFRASTRUCT LLC | COM | 55608B105 | 143 | 1,756 | SH | DFND | 0 | 1,756 | 0 | ||
MEDLEY CAPITAL ORD | COM | 58503F106 | 4,363 | 580,949 | SH | DFND | 1 | 580,949 | 0 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 569 | 19,741 | SH | SOLE | 0 | 19,741 | 0 | ||
MGM RESORTS INTERNATIONAL | COM | 552953101 | 63 | 2,200 | SH | DFND | 0 | 2,200 | 0 | ||
MYLAN, INC | COM | N59465109 | 9,779 | 256,333 | SH | SOLE | 256,333 | 0 | 0 | ||
NEXSTAR MEDIA GRP, INC CL A | COM | 65336K103 | 6,995 | 110,508 | SH | DFND | 1 | 110,508 | 0 | 0 | |
OUTFRONT MEDIA ORD | COM | 69007J106 | 7,753 | 311,739 | SH | DFND | 1 | 311,739 | 0 | 0 | |
PANACOS PHARM, INC | COM | 69811Q106 | 0 | 25,000 | SH | DFND | 0 | 0 | 25,000 | ||
PANERA BREAD CO CL A | COM | 69840W108 | 5,981 | 29,163 | SH | SOLE | 29,163 | 0 | 0 | ||
PAREXEL INT'L CORP | COM | 699462107 | 7,488 | 113,937 | SH | SOLE | 113,937 | 0 | 0 | ||
PHILLY SHIPYARD ASA | COM | R6980X109 | 570 | 79,733 | SH | SOLE | 79,733 | 0 | 0 | ||
POTBELLY CORP | COM | 73754Y100 | 3,975 | 308,122 | SH | SOLE | 308,122 | 0 | 0 | ||
POTBELLY CORP | COM | 73754Y100 | 193 | 15,000 | SH | DFND | 0 | 0 | 15,000 | ||
PROCTER & GAMBLE | COM | 742718109 | 118 | 1,400 | SH | SOLE | 0 | 1,400 | 0 | ||
PROCTER & GAMBLE | COM | 742718109 | 84 | 1,000 | SH | DFND | 0 | 1,000 | 0 | ||
REALOGY HOLDINGS ORD | COM | 75605Y106 | 6,281 | 244,119 | SH | DFND | 1 | 244,119 | 0 | 0 | |
RESOURCE CAPITAL REIT | COM | 76120W708 | 940 | 112,894 | SH | DFND | 1 | 112,894 | 0 | 0 | |
S&P DEPOSITORY RECEIPTS | COM | 78462F103 | 7,913 | 35,400 | SH | DFND | 1 | 35,400 | 0 | 0 | |
SANOFI-AVENTIS RT EXP 12/31/20 | COM | 80105N113 | 2 | 5,867 | SH | SOLE | 0 | 5,867 | 0 | ||
SANOFI-AVENTIS RT EXP 12/31/20 | COM | 80105N113 | 10 | 25,754 | SH | DFND | 0 | 0 | 25,754 | ||
SENOMYX, INC | COM | 81724Q107 | 58 | 60,450 | SH | SOLE | 0 | 60,450 | 0 | ||
SENOMYX, INC | COM | 81724Q107 | 14 | 15,000 | SH | DFND | 0 | 0 | 15,000 | ||
SMUCKER J M CO | COM | 832696405 | 464 | 3,621 | SH | SOLE | 0 | 3,621 | 0 | ||
SOLAR CAP LTD | COM | 83413U100 | 447 | 21,450 | SH | SOLE | 0 | 21,450 | 0 | ||
SOLAR CAP LTD | COM | 83413U100 | 229 | 11,000 | SH | DFND | 0 | 5,000 | 6,000 | ||
SOLAR SENIOR CAPITAL LTD | COM | 83416M105 | 2,045 | 124,401 | SH | SOLE | 38,104 | 86,297 | 0 | ||
SOLAR SENIOR CAPITAL LTD | COM | 83416M105 | 123 | 7,490 | SH | DFND | 0 | 4,990 | 2,500 | ||
SPDR HEALTHCARE SELECT | COM | 81369Y209 | 486 | 7,048 | SH | SOLE | 0 | 7,048 | 0 | ||
SPDR HEALTHCARE SELECT | COM | 81369Y209 | 103 | 1,500 | SH | DFND | 0 | 1,500 | 0 | ||
SPEEDWAY MOTORSPORTS, INC | COM | 847788106 | 3,876 | 178,887 | SH | SOLE | 178,887 | 0 | 0 | ||
STERICYCLE, INC | COM | 858912108 | 7,851 | 101,903 | SH | SOLE | 101,903 | 0 | 0 | ||
SYNERGY RESOURCES CORP | COM | 87164P103 | 5,089 | 571,187 | SH | SOLE | 571,187 | 0 | 0 | ||
TEMPUR-SEALY INTL,INC | COM | 88023U101 | 1,661 | 24,321 | SH | SOLE | 24,321 | 0 | 0 | ||
TERRAFORM POWER, INC CL A | COM | 88104R100 | 210 | 16,360 | SH | SOLE | 0 | 16,360 | 0 | ||
TERRAFORM POWER, INC CL A | COM | 88104R100 | 13 | 1,000 | SH | DFND | 0 | 0 | 1,000 | ||
TEVA PHARM INDS LTD ADR | COM | 881624209 | 5,427 | 149,704 | SH | SOLE | 149,704 | 0 | 0 | ||
TREEHOUSE FOODS, INC | COM | 89469A104 | 8,429 | 116,762 | SH | SOLE | 116,762 | 0 | 0 | ||
TWENTY-1ST CENT FOX, INC CL A | COM | 90130A101 | 62 | 2,226 | SH | SOLE | 0 | 2,226 | 0 | ||
TWENTY-1ST CENT FOX, INC CL A | COM | 90130A101 | 7,069 | 252,100 | SH | DFND | 1 | 252,100 | 0 | 0 | |
TWO HARBORS INV CORP | COM | 90187B101 | 414 | 47,500 | SH | SOLE | 0 | 47,500 | 0 | ||
TWO HARBORS INV CORP | COM | 90187B101 | 13 | 1,500 | SH | DFND | 0 | 0 | 1,500 | ||
VANECK VECTORS GOLD MINERS | COM | 92189F106 | 410 | 19,580 | SH | SOLE | 0 | 19,580 | 0 | ||
VANGUARD FTSE EUROPE | COM | 922042874 | 407 | 8,500 | SH | SOLE | 0 | 8,500 | 0 | ||
VENTAS, INC | COM | 92276F100 | 139 | 2,227 | SH | SOLE | 0 | 2,227 | 0 | ||
VENTAS, INC | COM | 92276F100 | 156 | 2,500 | SH | DFND | 0 | 0 | 2,500 | ||
VISA, INC | COM | 92826C839 | 485 | 6,218 | SH | SOLE | 0 | 6,218 | 0 | ||
VISA, INC | COM | 92826C839 | 312 | 4,000 | SH | DFND | 0 | 4,000 | 0 | ||
VISHAY PRECISION GROUP ORD | COM | 92835K103 | 926 | 49,011 | SH | DFND | 1 | 49,011 | 0 | 0 | |
WELLS FARGO & CO | COM | 949746101 | 725 | 13,150 | SH | SOLE | 0 | 13,150 | 0 | ||
WELLS FARGO & CO | COM | 949746101 | 55 | 1,000 | SH | DFND | 0 | 0 | 1,000 | ||
WHOLE FOODS MKT, INC | COM | 966837106 | 10,946 | 355,838 | SH | SOLE | 354,538 | 1,300 | 0 | ||
WISDOMTREE INDIA ETF | COM | 97717W422 | 371 | 18,360 | SH | SOLE | 0 | 18,360 | 0 | ||
IRONWOOD PHARM | COM | 46333X108 | 301 | 19,662 | SH | SOLE | 0 | 19,662 | 0 | ||
SHAKE SHACK, INC CL A | COM | 819047101 | 34,724 | 970,218 | SH | SOLE | 0 | 970,218 | 0 | ||
SHAKE SHACK, INC CL A | COM | 819047101 | 9,305 | 260,000 | SH | SOLE | 0 | 260,000 | 0 | ||
SHAKE SHACK, INC CL A | COM | 819047101 | 1,077 | 30,099 | SH | SOLE | 0 | 30,099 | 0 | ||
SOTHEBY'S | COM | 835898107 | 344 | 8,642 | SH | SOLE | 0 | 8,642 | 0 |