0001527271-16-000008.txt : 20160815
0001527271-16-000008.hdr.sgml : 20160815
20160815163453
ACCESSION NUMBER: 0001527271-16-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160815
DATE AS OF CHANGE: 20160815
EFFECTIVENESS DATE: 20160815
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Horizon Kinetics LLC
CENTRAL INDEX KEY: 0001519418
IRS NUMBER: 450642972
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14519
FILM NUMBER: 161833274
BUSINESS ADDRESS:
STREET 1: 470 PARK AVENUE SOUTH
STREET 2: 4TH FLOOR SOUTH
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 646-495-7347
MAIL ADDRESS:
STREET 1: 470 PARK AVENUE SOUTH
STREET 2: 4TH FLOOR SOUTH
CITY: NEW YORK
STATE: NY
ZIP: 10016
13F-HR
1
primary_doc.xml
13F-HR
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false
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0001519418
XXXXXXXX
06-30-2016
06-30-2016
Horizon Kinetics LLC
470 PARK AVENUE SOUTH
4TH FLOOR SOUTH
NEW YORK
NY
10016
13F HOLDINGS REPORT
028-14519
N
Jay Kesslen
General Counsel & Chief Compliance Officer
914-703-6904
Jay Kesslen
New York
NY
08-15-2016
4
786
3976140
false
1
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028-06986
HORIZON ASSET MANAGEMENT LLC
2
0001011814
028-05163
KINETICS ASSET MANAGEMENT LLC
3
0001527271
028-14521
Kinetics Advisers, LLC
4
0000019481
028-00085
Virtus Investment Advisers, Inc.
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form13fhr-infoTable.xml
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COM
00287Y109
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COM
001055102
252
3496
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DFND
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AIR LEASE CORP
CL A
00912X302
415
15508
SH
OTR
4
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15508
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AKORN INC
COM
009728106
428
15028
SH
OTR
4
0
15028
0
ALBANY MOLECULAR RESH INC
COM
012423109
753
56000
SH
DFND
2
56000
0
0
ALEXANDRIA REAL ESTATE EQ IN
PFD CONV SER D
015271505
374
10976
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DFND
1
10976
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0
ALKERMES PLC
COM
G01767105
1080
25000
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DFND
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25000
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0
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02079K305
2720
3866
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DFND
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CL A
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DFND
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10899
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430
621
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OTR
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COM
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COM
023135106
432
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444
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OTR
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662
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DFND
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662
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026874156
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COM
02916P103
434
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OTR
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02916P103
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03076C106
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032359309
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COM
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03761U106
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COM
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040047102
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11272P102
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140501107
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140781105
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CL B
124857202
7480
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151020104
99
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151020104
690
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15117B103
0
41
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41
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15117B103
115
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2
26294
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15189T107
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156782104
94
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156782104
462
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OTR
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16411R208
458
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OTR
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12189
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16411R208
21
570
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DFND
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570
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NOTE 4.250% 3/1
16411RAG4
13186
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1
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CHESAPEAKE ENERGY CORP
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165167107
1
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165167107
400
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OTR
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165167BZ9
44
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DFND
1
48000
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COM
166764100
1452
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DFND
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COM
169905106
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OTR
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COM
172062101
618
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DFND
1
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CINTAS CORP
COM
172908105
448
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OTR
4
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COM
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438
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DFND
1
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CME GROUP INC
COM
12572Q105
390
4001
SH
DFND
2
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COM
12572Q105
547
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DFND
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CMS ENERGY CORP
COM
125896100
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DFND
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COM
19247A100
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200
SH
DFND
1
200
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0
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COM
19247A100
436
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OTR
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967
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DFND
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COM
194014106
389
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OTR
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COM
194014106
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194014106
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6904
0
CONTINENTAL RESOURCES INC
COM
212015101
433
9568
SH
OTR
4
0
9568
0
CONTINENTAL RESOURCES INC
COM
212015101
10834
239312
SH
DFND
1
239312
0
0
CONTINENTAL RESOURCES INC
COM
212015101
13964
308465
SH
DFND
2
308465
0
0
COPART INC
COM
217204106
1764
36000
SH
DFND
2
36000
0
0
CORELOGIC INC
COM
21871D103
1139
29602
SH
DFND
1
29602
0
0
COSTAMARE INC
SHS
Y1771G102
905
117936
SH
DFND
1
117936
0
0
COSTAR GROUP INC
COM
22160N109
437
2000
SH
DFND
2
2000
0
0
COVANTA HLDG CORP
COM
22282E102
428
26016
SH
OTR
4
0
26016
0
CREDIT ACCEP CORP MICH
COM
225310101
461
2489
SH
OTR
4
0
2489
0
CRESUD S A C I F Y A
SPONSORED ADR
226406106
185
13095
SH
DFND
1
13095
0
0
CRESUD S A C I F Y A
SPONSORED ADR
226406106
25
1785
SH
DFND
2
1785
0
0
CSW INDUSTRIALS INC
COM
126402106
515
15800
SH
DFND
1
15800
0
0
CTRIP COM INTL LTD
ADR
22943F100
478
11600
SH
DFND
2
11600
0
0
CUBIC CORP
COM
229669106
619
15419
SH
DFND
1
15419
0
0
CVR ENERGY INC
COM
12662P108
386
24912
SH
OTR
4
0
24912
0
CVR REFNG LP
COMUNIT REP LT
12663P107
79
10204
SH
DFND
1
10204
0
0
CVS HEALTH CORP
COM
126650100
325
3397
SH
DFND
1
3397
0
0
D R HORTON INC
COM
23331A109
438
13929
SH
OTR
4
0
13929
0
DANAHER CORP
COM
235851102
81
800
SH
DFND
2
800
0
0
DANAHER CORP
COM
235851102
440
4360
SH
OTR
4
0
4360
0
DANAHER CORP
COM
235851102
3135
31039
SH
DFND
1
31039
0
0
DEL TACO RESTAURANTS INC
COM
245496104
898
98653
SH
DFND
1
98653
0
0
DELTA AIR LINES INC DEL NEW
COM NEW
247361702
239
6550
SH
DFND
1
6550
0
0
DELUXE CORP
COM
248019101
813
12250
SH
DFND
1
12250
0
0
DICKS SPORTING GOODSINC
COM
253393102
1
25
SH
DFND
1
25
0
0
DICKS SPORTING GOODSINC
COM
253393102
476
10569
SH
OTR
4
0
10569
0
DILLARDS INC
CL A
254067101
440
7264
SH
OTR
4
0
7264
0
DIREXION SHARES ETF TRUST 20YR TRES BEAR
20YR TRES BEAR
25459Y678
2961
176650
SH
DFND
1
176650
0
0
DISCOVERY COMMUNICATNS NEW
COM SER A
25470F104
5625
222930
SH
DFND
1
222930
0
0
DISCOVERY COMMUNICATNS NEW
COM SER A
25470F104
11430
453040
SH
DFND
2
453040
0
0
DISCOVERY COMMUNICATNS NEW
COM SER C
25470F302
164
6880
SH
DFND
1
6880
0
0
DISCOVERY COMMUNICATNS NEW
COM SER C
25470F302
418
17526
SH
OTR
4
0
17526
0
DISCOVERY COMMUNICATNS NEW
COM SER C
25470F302
2524
105829
SH
DFND
2
105829
0
0
DISH NETWORK CORP
CL A
25470M109
426
8131
SH
OTR
4
0
8131
0
DISH NETWORK CORP
CL A
25470M109
45122
861111
SH
DFND
1
861111
0
0
DISH NETWORK CORP
CL A
25470M109
33114
631943
SH
DFND
2
631943
0
0
DISNEY WALT CO
COM DISNEY
254687106
536
5480
SH
DFND
1
5480
0
0
DOMINION DIAMOND CORP
COM
257287102
690
78096
SH
DFND
1
78096
0
0
DORMAN PRODUCTS INC
COM
258278100
904
15800
SH
DFND
2
15800
0
0
DORMAN PRODUCTS INC
COM
258278100
972
16989
SH
DFND
1
16989
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
11020
600556
SH
DFND
1
600556
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
1339
50000
SH
DFND
2
50000
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
9871
368588
SH
DFND
1
368588
0
0
DREAMWORKS ANIMATION SKG INC
CL A
26153C103
75608
1849959
SH
DFND
2
1849959
0
0
DREAMWORKS ANIMATION SKG INC
CL A
26153C103
122534
2998153
SH
DFND
1
2998153
0
0
DSW INC
CL A
23334L102
435
20551
SH
OTR
4
0
20551
0
DUFF & PHELPS SLCT ENGY MLP
COM
26433F108
3
400
SH
DFND
2
400
0
0
DUFF & PHELPS SLCT ENGY MLP
COM
26433F108
386
48973
SH
DFND
1
48973
0
0
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
203
20850
SH
DFND
1
20850
0
0
EATON VANCE FLTING RATE INC
COM
278279104
272
20261
SH
DFND
1
20261
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
4086
304043
SH
DFND
1
304043
0
0
EATON VANCE MUN BD FD
COM
27827X101
176
12408
SH
DFND
1
12408
0
0
EATON VANCE NY MUN BD FD
COM
27827Y109
315
21747
SH
DFND
1
21747
0
0
EATON VANCE NY MUNI INCOME T
SH BEN INT
27826W104
227
15321
SH
DFND
1
15321
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
939
71790
SH
DFND
1
71790
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
804
133828
SH
DFND
1
133828
0
0
EBAY INC
COM
278642103
40
1697
SH
DFND
1
1697
0
0
EBAY INC
COM
278642103
409
17468
SH
OTR
4
0
17468
0
EBAY INC
COM
278642103
1245
53200
SH
DFND
2
53200
0
0
ECHOSTAR CORP
CL A
278768106
438
11044
SH
OTR
4
0
11044
0
ECHOSTAR CORP
CL A
278768106
663
16692
SH
DFND
3
16692
0
0
ECHOSTAR CORP
CL A
278768106
9938
250330
SH
DFND
1
250330
0
0
ECHOSTAR CORP
CL A
278768106
28159
709285
SH
DFND
2
709285
0
0
EMERGENT CAP INC
COM
29102N105
42
12600
SH
DFND
3
12600
0
0
EMERGENT CAP INC
COM
29102N105
3065
912193
SH
DFND
1
912193
0
0
EMERGENT CAP INC
COM
29102N105
3236
962950
SH
DFND
2
962950
0
0
EMERSON ELEC CO
COM
291011104
1438
27562
SH
DFND
1
27562
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
602
20567
SH
DFND
1
20567
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
468
5849
SH
OTR
4
0
5849
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
4429
55331
SH
DFND
1
55331
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
8861
110690
SH
DFND
2
110690
0
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
451
6547
SH
OTR
4
0
6547
0
ERIE INDTY CO
CL A
29530P102
441
4444
SH
OTR
4
0
4444
0
EROS INTL PLC
SHS NEW
G3788M114
214
13154
SH
DFND
1
13154
0
0
EXPEDIA INC DEL
COM NEW
30212P303
332
3120
SH
DFND
1
3120
0
0
EXPEDIA INC DEL
COM NEW
30212P303
428
4026
SH
OTR
4
0
4026
0
EXTERRAN CORP
COM
30227H106
473
36793
SH
OTR
4
0
36793
0
EXXON MOBIL CORP
COM
30231G102
6477
69094
SH
DFND
1
69094
0
0
FACEBOOK INC
CL A
30303M102
107
938
SH
DFND
1
938
0
0
FACEBOOK INC
CL A
30303M102
431
3774
SH
OTR
4
0
3774
0
FEDERAL MOGUL HLDGS CORP
COM
313549404
120
14381
SH
DFND
1
14381
0
0
FEDERAL MOGUL HLDGS CORP
COM
313549404
424
51064
SH
OTR
4
0
51064
0
FEDERATED INVS INC PA
CL B
314211103
104
3600
SH
DFND
2
3600
0
0
FEDERATED INVS INC PA
CL B
314211103
7621
264812
SH
DFND
1
264812
0
0
FEDERATED PREM INTR MUN INC
COM
31423M105
1551
105841
SH
DFND
1
105841
0
0
FEDEX CORP
COM
31428X106
24
159
SH
DFND
1
159
0
0
FEDEX CORP
COM
31428X106
399
2632
SH
OTR
4
0
2632
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
1560
41603
SH
DFND
1
41603
0
0
FIDELITY NATL INFORMATION SVC
COM
31620M106
447
6061
SH
DFND
1
6061
0
0
FIRST CTZNS BANCSHARES INC N
CL A
31946M103
443
1710
SH
OTR
4
0
1710
0
FIRST TR ABERDEEN GLBL OPP F
COM
337319107
167
14600
SH
DFND
1
14600
0
0
FIRST TRUST STRATEGIC HIGH INCOME FD II
COM SHS NEW
337353304
158
13181
SH
DFND
1
13181
0
0
FLAHERTY & CRUMRINE PFD INC
COM
338480106
421
26934
SH
DFND
1
26934
0
0
FLOWERS FOODS INC
COM
343498101
930
49576
SH
DFND
1
49576
0
0
FOREST CITY ENT
NOTE 4.250% 8/1
345550AP2
515
446000
PRN
DFND
2
446000
0
0
FOREST CITY REALTY TRUST
COM CL A
345605109
2697
120876
SH
DFND
1
120876
0
0
FOREST CITY REALTY TRUST
COM CL A
345605109
19345
867100
SH
DFND
2
867100
0
0
FORTUNE BRANDS HOME & SEC IN
COM
34964C106
1692
29183
SH
DFND
1
29183
0
0
FOSSIL GROUP INC
COM
34988V106
393
13790
SH
OTR
4
0
13790
0
FRANCO NEVADA CORP
COM
351858105
213
2800
SH
DFND
3
2800
0
0
FRANCO NEVADA CORP
COM
351858105
21692
285194
SH
DFND
1
285194
0
0
FRANCO NEVADA CORP
COM
351858105
45289
595436
SH
DFND
2
595436
0
0
FRANKLIN RESOURCES INC
COM
354613101
426
12765
SH
OTR
4
0
12765
0
FREEPORT MCMORAN INC
CL B
35671D857
414
37187
SH
OTR
4
0
37187
0
FREEPORT MCMORAN INC
CL B
35671D857
1121
100660
SH
DFND
1
100660
0
0
FRONTLINE LTD
SHS NEW
G3682E192
139
17700
SH
DFND
1
17700
0
0
GAMCO INVESTORS INC
COM
361438104
3
100
SH
DFND
3
100
0
0
GAMCO INVESTORS INC
COM
361438104
701
21400
SH
DFND
2
21400
0
0
GAMCO INVESTORS INC
COM
361438104
735
22429
SH
DFND
1
22429
0
0
GAMING & LEISURE PPTYS INC
COM
36467J108
3
97
SH
DFND
1
97
0
0
GAMING & LEISURE PPTYS INC
COM
36467J108
428
12405
SH
OTR
4
0
12405
0
GANNETT SPINCO INC
COM
36473H104
205
14809
SH
DFND
1
14809
0
0
GAP INC
COM
364760108
446
21034
SH
OTR
4
0
21034
0
GARMIN LTD
SHS
H2906T109
431
10157
SH
OTR
4
0
10157
0
GDL FUND
COM SH BEN IT
361570104
1041
104811
SH
DFND
1
104811
0
0
GENERAL ELECTRIC CO
COM
369604103
2678
85058
SH
DFND
1
85058
0
0
GENERAL GROWTH PPTYS INC NEW
COM
370023103
3883
130200
SH
DFND
1
130200
0
0
GENERAL MLS INC
COM
370334104
317
4448
SH
DFND
1
4448
0
0
GENERAL MTRS CO
COM
37045V100
684
24175
SH
DFND
1
24175
0
0
GENTEX CORP
COM
371901109
466
30140
SH
DFND
1
30140
0
0
GENUINE PARTS CO
COM
372460105
459
4530
SH
DFND
1
4530
0
0
GILEAD SCIENCES INC
COM
375558103
88
1050
SH
DFND
1
1050
0
0
GILEAD SCIENCES INC
COM
375558103
751
9000
SH
DFND
2
9000
0
0
GLADSTONE LD CORP
COM
376549101
892
80647
SH
DFND
1
80647
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
56
1300
SH
DFND
1
1300
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
1069
24673
SH
DFND
2
24673
0
0
GORMAN RUPP CO
COM
383082104
238
8672
SH
DFND
1
8672
0
0
GRAHAM HLDGS CO
COM
384637104
1334
2725
SH
DFND
1
2725
0
0
GRAINGER W W INC
COM
384802104
2
9
SH
DFND
1
9
0
0
GRAINGER W W INC
COM
384802104
440
1935
SH
OTR
4
0
1935
0
GREEN BRICK PARTNERS INC
COM
392709101
12
1600
SH
DFND
3
1600
0
0
GREEN BRICK PARTNERS INC
COM
392709101
593
81571
SH
DFND
1
81571
0
0
GREEN BRICK PARTNERS INC
COM
392709101
876
120491
SH
DFND
2
120491
0
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
440
21848
SH
OTR
4
0
21848
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
844
41887
SH
DFND
2
41887
0
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
1599
79315
SH
DFND
1
79315
0
0
RYDEX ETF TRUST
GUG S&P00 EQ WT
78355W106
1021
12701
SH
DFND
1
12701
0
0
HALOZYME THERAPEUTICS INC
COM
40637H109
434
50240
SH
OTR
4
0
50240
0
HALYARD HEALTH INC
COM
40650V100
640
19691
SH
DFND
1
19691
0
0
HANCOCK JOHN PFD INCOME FD I
COM
41021P103
565
28259
SH
DFND
1
28259
0
0
HANCOCK JOHN PFD INCOME FD I
COM
41013X106
848
37376
SH
DFND
1
37376
0
0
HARRIS CORP DEL
COM
413875105
1459
17488
SH
DFND
1
17488
0
0
HEARTLAND EXPRESS INC
COM
422347104
429
24665
SH
OTR
4
0
24665
0
HEICO CORP NEW
CL A
422806208
215
4016
SH
DFND
4016
0
0
HERTZ GLOBAL HOLDINGS INC
COM
42805T105
431
38950
SH
OTR
4
0
38950
0
HERTZ GLOBAL HOLDINGS INC
COM
42805T105
624
56400
SH
DFND
1
56400
0
0
HESS CORP
COM
42809H107
442
7355
SH
OTR
4
0
7355
0
HILLTOP HOLDINGS INC
COM
432748101
425
20264
SH
OTR
4
0
20264
0
HONEYWELL INTL INC
COM
438516106
1197
10294
SH
DFND
1
10294
0
0
HOST MARRIOTT CORP NEW
COM
44107P104
9
543
SH
DFND
1
543
0
0
HOST MARRIOTT CORP NEW
COM
44107P104
420
25940
SH
OTR
4
0
25940
0
HOWARD HUGHES CORP
COM
44267D107
430
3763
SH
OTR
4
0
3763
0
HOWARD HUGHES CORP
COM
44267D107
4421
38672
SH
DFND
3
38672
0
0
HOWARD HUGHES CORP
COM
44267D107
189824
1660458
SH
DFND
2
1660458
0
0
HOWARD HUGHES CORP
COM
44267D107
210662
1842741
SH
DFND
1
1842741
0
0
HRG GROUP INC
COM
40434J100
130
9500
SH
DFND
9500
0
0
HRG GROUP INC
COM
40434J100
430
31333
SH
OTR
4
0
31333
0
HUNTSMAN CORP
COM
447011107
372
27653
SH
OTR
4
0
27653
0
HYATT HOTELS CORP
COM CL A
448579102
422
8587
SH
OTR
4
0
8587
0
IAC INTERACTIVECORP
COM
44919P508
40
706
SH
DFND
2
706
0
0
IAC INTERACTIVECORP
COM
44919P508
433
7683
SH
OTR
4
0
7683
0
IAC INTERACTIVECORP
COM
44919P508
458
8140
SH
DFND
1
8140
0
0
ICAHN ENTERPRISES LP
DEP UNIT
451100101
4264
78961
SH
DFND
3
78961
0
0
ICAHN ENTERPRISES LP
DEP UNIT
451100101
77996
1444377
SH
DFND
1
1444377
0
0
ICAHN ENTERPRISES LP
DEP UNIT
451100101
100442
1860043
SH
DFND
2
1860043
0
0
INTER PARFUMS INC
COM
458334109
2931
102600
SH
DFND
2
102600
0
0
INTER PARFUMS INC
COM
458334109
3391
118684
SH
DFND
1
118684
0
0
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
512
2000
SH
DFND
2
2000
0
0
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
2153
8413
SH
DFND
1
8413
0
0
INTERNATIONAL SPEEDWAY CORP
CL A
460335201
426
12738
SH
OTR
4
0
12738
0
INTERNET INITIATIVE JAPAN IN
SPONSORED ADR
46059T109
1
100
SH
DFND
2
100
0
0
INTERNET INITIATIVE JAPAN IN
SPONSORED ADR
46059T109
903
93638
SH
DFND
1
93638
0
0
INTL FLAVORS & FRAGRANCES
COM
459506101
586
4650
SH
DFND
1
4650
0
0
INTREXON CORP
COM
46122T102
429
17439
SH
OTR
4
0
17439
0
INTUIT INC
COM
461202103
447
4003
SH
OTR
4
0
4003
0
INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST
COM
46132X101
227
27874
SH
DFND
1
27874
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
235
16970
SH
DFND
1
16970
0
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
1080
98015
SH
DFND
1
98015
0
0
INVESCO SR INCOME TR
COM
46131H107
613
146671
SH
DFND
1
146671
0
0
INVESCO TR INVT GRADE NY MUN
COM
46131T101
661
40273
SH
DFND
1
40273
0
0
IONIS PHARMACEUTICALS INC
COM
462222100
5
200
SH
DFND
1
200
0
0
IONIS PHARMACEUTICALS INC
COM
462222100
396
17000
SH
DFND
2
17000
0
0
ISHARES
MSCI JAPAN ETF
464286848
938
81602
SH
DFND
1
81602
0
0
ISHARES
1-3 YR TR BD ETF
464287457
399
4680
SH
DFND
1
4680
0
0
ISHARES TR
1-3 YR CR BD ETF
464288646
2864
27000
SH
DFND
2
27000
0
0
ISHARES TR
SHRT TRS BD ETF
464288679
879
7959
SH
DFND
1
7959
0
0
ISHARES TR
MICRO-CAP ETF
464288869
492
6955
SH
DFND
1
6955
0
0
JOHNSON & JOHNSON
COM
478160104
1820
15000
SH
DFND
2
15000
0
0
JOHNSON & JOHNSON
COM
478160104
1895
15622
SH
DFND
1
15622
0
0
JP MORGAN CHASE & CO
COM
46625H100
343
5517
SH
DFND
1
5517
0
0
KAYNE ANDERSON ENERGY DEV CO
COM
48660Q102
1464
75407
SH
DFND
1
75407
0
0
KIMBERLY CLARK CORP
COM
494368103
501
3646
SH
DFND
1
3646
0
0
KLA-TENCOR CORP
COM
482480100
1113
15200
SH
DFND
1
15200
0
0
KRAFT HEINZ COMPANY
COM
500754106
446
5040
SH
OTR
4
0
5040
0
KRAFT HEINZ COMPANY
COM
500754106
513
5800
SH
DFND
2
5800
0
0
KRAFT HEINZ COMPANY
COM
500754106
4316
48782
SH
DFND
1
48782
0
0
L BRANDS INC
COM
501797104
425
6332
SH
OTR
4
0
6332
0
L BRANDS INC
COM
501797104
13670
203642
SH
DFND
2
203642
0
0
L BRANDS INC
COM
501797104
37608
560227
SH
DFND
1
560227
0
0
LADENBURG THALMAN FIN SVCS I
COM
50575Q102
6
2700
SH
DFND
1
2700
0
0
LADENBURG THALMAN FIN SVCS I
COM
50575Q102
28
12000
SH
DFND
2
12000
0
0
LANCASTER COLONY CORP
COM
513847103
443
3468
SH
OTR
4
0
3468
0
LANDS END INC NEW
COM
51509F105
26
1579
SH
DFND
1
1579
0
0
LANDS END INC NEW
COM
51509F105
428
26057
SH
OTR
4
0
26057
0
LANDS END INC NEW
COM
51509F105
1104
67245
SH
DFND
2
67245
0
0
LAS VEGAS SANDS CORP
COM
517834107
416
9556
SH
OTR
4
0
9556
0
LAS VEGAS SANDS CORP
COM
517834107
3070
70600
SH
DFND
1
70600
0
0
LAS VEGAS SANDS CORP
COM
517834107
21893
503393
SH
DFND
2
503393
0
0
LAUDER ESTEE COS INC
CL A
518439104
422
4640
SH
OTR
4
0
4640
0
LEGGETT & PLATT INC
COM
524660107
1160
22700
SH
DFND
1
22700
0
0
LENDINGTREE INC NEW
COM
52603B107
727
8233
SH
DFND
2
8233
0
0
LENNAR CORP
CL A
526057104
137
2981
SH
DFND
1
2981
0
0
LENNAR CORP
CL A
526057104
430
9337
SH
OTR
4
0
9337
0
LENNAR CORP
CL A
526057104
4022
87250
SH
DFND
2
87250
0
0
LEUCADIA NATIONAL CORP
COM
527288104
440
25386
SH
OTR
4
0
25386
0
LEUCADIA NATIONAL CORP
COM
527288104
2189
126336
SH
DFND
1
126336
0
0
LEUCADIA NATIONAL CORP
COM
527288104
14350
828066
SH
DFND
2
828066
0
0
LIBERTY MEDIA CORP DELAWARE
COM A BRAVES GRP
531229706
64
4270
SH
DFND
3
4270
0
0
LIBERTY MEDIA CORP DELAWARE
COM A BRAVES GRP
531229706
1030
68486
SH
DFND
1
68486
0
0
LIBERTY MEDIA CORP DELAWARE
COM A BRAVES GRP
531229706
1865
123987
SH
DFND
2
123987
0
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
97
6620
SH
DFND
3
6620
0
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
418
28488
SH
OTR
4
0
28488
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
1730
117985
SH
DFND
1
117985
0
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
4110
280376
SH
DFND
2
280376
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
166
2800
SH
DFND
3
2800
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
14497
244051
SH
DFND
1
244051
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
16134
271609
SH
DFND
2
271609
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
438
7299
SH
OTR
4
0
7299
0
LIBERTY BROADBAND CORP
COM SER C
530307305
37634
627229
SH
DFND
1
627229
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
52701
878357
SH
DFND
2
878357
0
0
LIBERTY GLOBAL PLC
LILAC SHS CL C
G5480U153
5
150
SH
DFND
1
150
0
0
LIBERTY GLOBAL PLC
LILAC SHS CL C
G5480U153
397
12210
SH
OTR
4
0
12210
0
LIBERTY GLOBAL PLC
LILAC SHS CL C
G5480U153
537
16520
SH
DFND
2
16520
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
25
878
SH
DFND
1
878
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
396
13823
SH
OTR
4
0
13823
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
2120
73982
SH
DFND
2
73982
0
0
LIBERTY INTERACTIVE CORP
QVC GP COM SER A
53071M104
440
17343
SH
OTR
4
0
17343
0
LIBERTY INTERACTIVE CORP
QVC GP COM SER A
53071M104
2032
80080
SH
DFND
1
80080
0
0
LIBERTY INTERACTIVE CORP QVC
QVC GP COM SER A
53071M104
49191
1938928
SH
DFND
2
1938928
0
0
LIBERTY MEDIA CORP DELAWARE
COM A MEDIA GRP
531229870
112
5875
SH
DFND
3
5875
0
0
LIBERTY MEDIA CORP DELAWARE
COM A MEDIA GRP
531229870
5709
298266
SH
DFND
1
298266
0
0
LIBERTY MEDIA CORP DELAWARE
COM A MEDIA GRP
531229870
5858
306041
SH
DFND
2
306041
0
0
LIBERTY MEDIA CORP DELAWARE
COM C MEDIA GRP
531229854
285
15050
SH
DFND
3
15050
0
0
LIBERTY MEDIA CORP DELAWARE
COM C MEDIA GRP
531229854
447
23585
SH
OTR
4
0
23585
0
LIBERTY MEDIA CORP DELAWARE
COM C MEDIA GRP
531229854
10230
539288
SH
DFND
1
539288
0
0
LIBERTY MEDIA CORP DELAWARE
COM C MEDIA GRP
531229854
12039
634648
SH
DFND
2
634648
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
451
14614
SH
OTR
4
0
14614
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
1636
53000
SH
DFND
3
53000
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
67324
2180887
SH
DFND
1
2180887
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
85806
2779583
SH
DFND
2
2779583
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
1286
41000
SH
DFND
3
41000
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
37409
1192874
SH
DFND
1
1192874
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
38086
1214479
SH
DFND
2
1214479
0
0
LIBERTY TRIPADVISOR HLDGS IN
COM SER A
531465102
47
2152
SH
DFND
2
2152
0
0
LIBERTY TRIPADVISOR HLDGS IN
COM SER A
531465102
429
19622
SH
OTR
4
0
19622
0
LIBERTY TRIPADVISOR HLDGS IN
COM SER A
531465102
655
29940
SH
DFND
1
29940
0
0
LIBERTY INTERACTIVE CORP
LBT VENT COM A
53071M880
429
11572
SH
OTR
4
0
11572
0
LIBERTY INTERACTIVE CORP
LBT VENT COM A
53071M880
3215
86737
SH
DFND
1
86737
0
0
LIBERTY INTERACTIVE CORP
LBT VENT COM A
53071M880
12250
330469
SH
DFND
2
330469
0
0
LILLY, ELI AND COMPANY
COM
532457108
557
7069
SH
DFND
1
7069
0
0
LILLY, ELI AND COMPANY
COM
532457108
1811
23000
SH
DFND
2
23000
0
0
LIONS GATE ENTMT CORP
COM NEW
535919203
421
20799
SH
OTR
4
0
20799
0
LIVE NATION ENTERTAINMENT INC.
COM
538034109
13047
555210
SH
DFND
1
555210
0
0
LIVE NATION ENTERTAINMENT INC.
COM
538034109
26728
1137372
SH
DFND
2
1137372
0
0
LOEWS CORP
COM
540424108
439
10683
SH
OTR
4
0
10683
0
LOEWS CORP
COM
540424108
1368
33281
SH
DFND
1
33281
0
0
LORAL SPACE & COMMUNICATNS L
COM
543881106
466
13200
SH
DFND
2
13200
0
0
LORAL SPACE & COMMUNICATNS L
COM
543881106
573
16247
SH
DFND
1
16247
0
0
LSB INDS INC
COM
502160104
9258
766431
SH
DFND
1
766431
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
407
5472
SH
OTR
4
0
5472
0
M & T BK CORP
COM
55261F104
1667
14098
SH
DFND
1
14098
0
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
435
2524
SH
OTR
4
0
2524
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
3878
22480
SH
DFND
2
22480
0
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
10003
57985
SH
DFND
1
57985
0
0
MANAGED DURATION INVT GRD FUND
COM
56165R103
794
53940
SH
DFND
1
53940
0
0
MANITOWOC FOODSERVICE INC
COM
563568104
442
25082
SH
OTR
4
0
25082
0
MANITOWOC FOODSERVICE INC
COM
563568104
588
33393
SH
DFND
1
33393
0
0
MANITOWOC INC
COM
563571108
175
32100
SH
DFND
1
32100
0
0
MANITOWOC INC
COM
563571108
404
74127
SH
OTR
4
0
74127
0
MANTECH INTL CORP
CL A
564563104
946
25000
SH
DFND
2
25000
0
0
MARCUS & MILLICHAP INC
COM
566324109
425
16736
SH
OTR
4
0
16736
0
MARKEL CORP
COM
570535104
5167
5423
SH
DFND
1
5423
0
0
MARKEL CORP
COM
570535104
16398
17211
SH
DFND
2
17211
0
0
MARKETAXESS HLDGS INC
COM
57060D108
829
5700
SH
DFND
2
5700
0
0
MARRIOTT INTL INC NEW
CL A
571903202
3
46
SH
DFND
1
46
0
0
MARRIOTT INTL INC NEW
CL A
571903202
424
6381
SH
OTR
4
0
6381
0
MARRIOTT VACATIONS WRLDWDE C
COM
57164Y107
66
964
SH
DFND
1
964
0
0
MARRIOTT VACATIONS WRLDWDE C
COM
57164Y107
470
6865
SH
OTR
4
0
6865
0
MARVELL TECHNOLOGY GROUP ORD
COM
G5876H105
408
42828
SH
OTR
4
0
42828
0
MASTEC INC COM
COM
576323109
407
18228
SH
OTR
4
0
18228
0
MASTERCARD INC CL A
CL A
57636Q104
1955
22200
SH
DFND
2
22200
0
0
MASTERCARD INC CL A
CL A
57636Q104
5595
63533
SH
DFND
1
63533
0
0
MCDONALDS CORP
COM
580135101
472
3922
SH
DFND
1
3922
0
0
MCEWEN MNG INC
COM
58039P107
612
158958
SH
DFND
1
158958
0
0
MCEWEN MNG INC
COM
58039P107
649
168489
SH
DFND
2
168489
0
0
MEDALLION FINL CORP
COM
583928106
705
95558
SH
DFND
1
95558
0
0
MERCK & COMPANY
COM
58933Y105
922
16000
SH
DFND
2
16000
0
0
MERCK & COMPANY
COM
58933Y105
1699
29497
SH
DFND
1
29497
0
0
MERCURY GENL CORP NEW
COM
589400100
11
200
SH
DFND
1
200
0
0
MERCURY GENL CORP NEW
COM
589400100
447
8405
SH
OTR
4
0
8405
0
MERRIMACK PHARMACEUTICALS IN
COM
590328100
135
25000
SH
DFND
2
25000
0
0
MFS CALIF MUN FD
COM
59318C106
171
12315
SH
DFND
1
12315
0
0
MFS HIGH INCOME MUN TR
SH BEN INT
59318D104
92
16762
SH
DFND
1
16762
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
58
2550
SH
DFND
1
2550
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
13293
587410
SH
DFND
2
587410
0
0
MICROSOFT
COM
594918104
943
18430
SH
DFND
1
18430
0
0
MOHAWK INDUSTRIES INC
COM
608190104
418
2201
SH
OTR
4
0
2201
0
MONDELEZ INTL INC
CL A
609207105
1675
36799
SH
DFND
1
36799
0
0
MONSANTO CO NEW
COM
61166W101
20
189
SH
DFND
1
189
0
0
MONSANTO CO NEW
COM
61166W101
1255
12135
SH
DFND
2
12135
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
440
2739
SH
OTR
4
0
2739
0
MORNINGSTAR INC
COM
617700109
437
5343
SH
OTR
4
0
5343
0
MOVADO GROUP INC
COM
624580106
1038
47900
SH
DFND
2
47900
0
0
MOVADO GROUP INC
COM
624580106
1293
59625
SH
DFND
1
59625
0
0
MSC INDL DIRECT INC
CL A
553530106
424
6013
SH
OTR
4
0
6013
0
MSG NETWORK INC
CL A
553573106
412
26854
SH
OTR
4
0
26854
0
MSG NETWORK INC
CL A
553573106
1036
67565
SH
DFND
2
67565
0
0
MSG NETWORK INC
CL A
553573106
2724
177556
SH
DFND
1
177556
0
0
NASDAQ INC
COM
631103108
155
2400
SH
DFND
2
2400
0
0
NASDAQ INC
COM
631103108
606
9371
SH
DFND
1
9371
0
0
NATIONAL GEN HLDGS CORP
COM
636220303
431
20133
SH
OTR
4
0
20133
0
NATIONAL INSTRS CORP
COM
636518102
423
15426
SH
OTR
4
0
15426
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
11290
981775
SH
DFND
1
981775
0
0
NAVISTAR INTL CORP NEW
COM
63934E108
408
34928
SH
OTR
4
0
34928
0
NEUBERGER BERMAN INTER MUNI
COM
64124P101
714
42565
SH
DFND
1
42565
0
0
NEW MEDIA INVT GROUP INC
COM
64704V106
782
43292
SH
DFND
1
43292
0
0
NEWELL BRANDS INC
COM
651229106
26194
539309
SH
DFND
2
539309
0
0
NEWELL BRANDS INC
COM
651229106
56925
1172011
SH
DFND
1
1172011
0
0
NEWMARKET CORP
COM
651587107
439
1060
SH
OTR
4
0
1060
0
NEWS CORP NEW
CL A
65249B109
2
189
SH
DFND
1
189
0
0
NEWS CORP NEW
CL A
65249B109
424
37347
SH
OTR
4
0
37347
0
NIKE INC
CL B
654106103
436
7890
SH
OTR
4
0
7890
0
NORDSTROM INC
COM
655664100
435
11422
SH
OTR
4
0
11422
0
NORFOLK SOUTHN CORP
COM
655844108
534
6276
SH
DFND
1
6276
0
0
NORTHROP GRUMMAN CORP
COM
666807102
247
1112
SH
DFND
1
1112
0
0
NOVACOPPER INC
COM
66988K102
0
666
SH
DFND
2
666
0
0
NOVACOPPER INC
COM
66988K102
16
31292
SH
DFND
1
31292
0
0
NOVAGOLD RES INC
COM NEW
66987E206
24
4000
SH
DFND
2
4000
0
0
NOVAGOLD RES INC
COM NEW
66987E206
420
68555
SH
OTR
4
0
68555
0
NOVAGOLD RES INC
COM NEW
66987E206
471
76910
SH
DFND
1
76910
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
928
11250
SH
DFND
1
11250
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
1485
18000
SH
DFND
2
18000
0
0
NOVO-NORDISK A S
ADR
670100205
416
7740
SH
DFND
1
7740
0
0
NUVEEN AMT-FREE MUN FD
COM
670657105
202
13483
SH
DFND
1
13483
0
0
NUVEEN CONN PREM INCOME MUN
COM
67060D107
343
24544
SH
DFND
1
24544
0
0
NUVEEN CREDIT STRATEGIES INCOME FUND
COM SHS
67073D102
160
19861
SH
DFND
1
19861
0
0
NUVEEN DIV ADV MUNI FD 3
COM SH BEN INT
67070X101
1465
91999
SH
DFND
1
91999
0
0
NUVEEN ENHANCED AMT FREE MUN
COM
67071L106
829
50957
SH
DFND
1
50957
0
0
NUVEEN DIVID ADVANTAGE MUN F
COM
67066V101
1295
82815
SH
DFND
1
82815
0
0
NUVEEN ENERGY MLP TOTL RTRNF
COM
67074U103
5
400
SH
DFND
2
400
0
0
NUVEEN ENERGY MLP TOTL RTRNF
COM
67074U103
8307
634155
SH
DFND
1
634155
0
0
NUVEEN FLOATING RATE INCOME
COM
67072T108
438
42388
SH
DFND
1
42388
0
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
714
69576
SH
DFND
1
69576
0
0
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
1709
123994
SH
DFND
1
123994
0
0
NUVEEN INTER DURATION MN TMF
COM
670671106
1562
110169
SH
DFND
1
110169
0
0
NUVEEN INVT QUALITY MUN FD I
COM
67062E103
404
24174
SH
DFND
1
24174
0
0
NUVEEN MUN HIGH INC OPP FD
COM
670682103
164
11052
SH
DFND
1
11052
0
0
NUVEEN MUN MKT OPPORTUNITY F
COM
67062W103
2819
186953
SH
DFND
1
186953
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
744
68802
SH
DFND
1
68802
0
0
NUVEEN NY DIVID ADVNTG MUN F
COM
67066X107
1124
71733
SH
DFND
1
71733
0
0
NUVEEN PERFORM PLUS MUN FD
COM
67062P108
5836
353491
SH
DFND
1
353491
0
0
NUVEEN PFD & CONV INC FD
COM
67073B106
517
51572
SH
DFND
1
51572
0
0
NUVEEN PREFERRED SECURITIES
COM
67072C105
1453
157034
SH
DFND
1
157034
0
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
340
22038
SH
DFND
1
22038
0
0
NUVEEN PREM INCOME MUN FD 2
COM
67063W102
361
23317
SH
DFND
1
23317
0
0
NUVEEN PREMIER MUN INCOME FD
COM
670988104
174
11543
SH
DFND
1
11543
0
0
NUVEEN SELECT MAT MUN FD
SH BEN INT
67061T101
233
21500
SH
DFND
1
21500
0
0
NUVEEN SR INCOME FD
COM
67067Y104
1479
244945
SH
DFND
1
244945
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
107
2400
SH
DFND
3
2400
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
4964
110900
SH
DFND
2
110900
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
15002
335168
SH
DFND
1
335168
0
0
OCEANEERING INTL INC
COM
675232102
24
800
SH
DFND
2
800
0
0
OCEANEERING INTL INC
COM
675232102
256
8571
SH
DFND
1
8571
0
0
OCWEN FINL CORP
COM NEW
675746309
3
1603
SH
DFND
1603
0
0
OCWEN FINL CORP
COM NEW
675746309
448
261990
SH
OTR
4
0
261990
0
OPKO HEALTH INC
COM
68375N103
79
8450
SH
DFND
8450
0
0
OPKO HEALTH INC
COM
68375N103
125
13400
SH
DFND
1
13400
0
0
OPKO HEALTH INC
COM
68375N103
415
44483
SH
OTR
4
0
44483
0
ORACLE CORP
COM
68389X105
5
115
SH
DFND
1
115
0
0
ORACLE CORP
COM
68389X105
442
10801
SH
OTR
4
0
10801
0
OSIRIS THERAPEUTICS INC NEW
COM
68827R108
107
21000
SH
DFND
2
21000
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
84
12000
SH
DFND
2
12000
0
0
PAPA JOHNS INTL INC
COM
698813102
441
6487
SH
OTR
4
0
6487
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
14
900
SH
DFND
3
900
0
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
408
26624
SH
OTR
4
0
26624
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
1922
125319
SH
DFND
2
125319
0
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
3888
253462
SH
DFND
1
253462
0
0
PAYCHEX INC
COM
704326107
32
531
SH
DFND
1
531
0
0
PAYCHEX INC
COM
704326107
463
7778
SH
OTR
4
0
7778
0
PAYPAL HLDGS INC
COM
70450Y103
436
11945
SH
OTR
4
0
11945
0
PAYPAL HLDGS INC
COM
70450Y103
1131
30967
SH
DFND
1
30967
0
0
PAYPAL HLDGS INC
COM
70450Y103
2315
63400
SH
DFND
2
63400
0
0
PCM FUND INC
COM
69323T101
2977
306250
SH
DFND
1
306250
0
0
PEGASYSTEMS INC
COM
705573103
410
15202
SH
OTR
4
0
15202
0
PENN NATL GAMING INC
COM
707569109
407
29164
SH
OTR
4
0
29164
0
PENN WEST PETROLEUM LTD
COM
707887105
87
62562
SH
DFND
1
62562
0
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
381
12095
SH
OTR
4
0
12095
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
997
31700
SH
DFND
2
31700
0
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
1590
50536
SH
DFND
1
50536
0
0
PEPSICO INC
COM
713448108
1951
18414
SH
DFND
1
18414
0
0
PERMIAN BASIN RTY TR
UNIT BEN INT
714236106
1137
155078
SH
DFND
1
155078
0
0
PERMIAN BASIN RTY TR
UNIT BEN INT
714236106
1213
165500
SH
DFND
2
165500
0
0
PERRIGO CO PLC
SHS
G97822103
964
10629
SH
DFND
1
10629
0
0
PETROCHINA CO LTD
SPONSORED ADR
71646E100
700
10306
SH
DFND
1
10306
0
0
PFIZER INC
COM
717081103
784
22255
SH
DFND
1
22255
0
0
PFIZER INC
COM
717081103
1620
46000
SH
DFND
2
46000
0
0
PHILIP MORRIS INTL INC
COM
718172109
3185
31308
SH
DFND
1
31308
0
0
PIMCO CORPORATE INCOME FD
COM
72200U100
339
22059
SH
DFND
1
22059
0
0
PIMCO CORPORATE OPP FD
COM
72201B101
336
23847
SH
DFND
1
23847
0
0
PIMCO DYNAMIC CR INCOME FD
COM SHS
72202D106
2951
154284
SH
DFND
1
154284
0
0
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
2426
88000
SH
DFND
2
88000
0
0
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
9301
337343
SH
DFND
1
337343
0
0
PIMCO ETF TR ENHAN SHRT MAT
COM
72201R833
12
116
SH
DFND
1
116
0
0
PIMCO ETF TR ENHAN SHRT MAT
COM
72201R833
475
4700
SH
DFND
2
4700
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
207
9000
SH
DFND
2
9000
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
7158
311208
SH
DFND
1
311208
0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
103
10000
SH
DFND
2
10000
0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
5821
566772
SH
DFND
1
566772
0
0
PIMCO INCOME STRATEGY FUND II
COM
72201J104
92
10000
SH
DFND
2
10000
0
0
PIMCO INCOME STRATEGY FUND II
COM
72201J104
10516
1142998
SH
DFND
1
1142998
0
0
PIMCO MUN INCOME FD II
COM
72200W106
230
16500
SH
DFND
1
16500
0
0
PIMCO NY MUNICIPAL INCOME FD
COM
72200T103
812
57419
SH
DFND
1
57419
0
0
PIONEER FLOATING RATE TR
COM
72369J102
546
48448
SH
DFND
1
48448
0
0
PJT PARTNERS INC
COM CL A
69343T107
14
594
SH
DFND
594
0
0
PJT PARTNERS INC
COM CL A
69343T107
397
17279
SH
OTR
4
0
17279
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
133
15000
SH
DFND
3
15000
0
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
428
48243
SH
OTR
4
0
48243
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
8570
965137
SH
DFND
2
965137
0
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
23788
2678805
SH
DFND
1
2678805
0
0
POTASH CORP SASK INC
COM
73755L107
553
34025
SH
DFND
1
34025
0
0
PRESTIGE BRANDS HLDGS INC
COM
74112D101
1123
20265
SH
DFND
1
20265
0
0
PRICE T ROWE GROUP INC
COM
74144T108
303
4155
SH
DFND
1
4155
0
0
PRICESMART INC
COM
741511109
443
4737
SH
OTR
4
0
4737
0
PROCTER & GAMBLE COMPANY
COM
742718109
607
7168
SH
DFND
1
7168
0
0
PROGENICS PHARMACEUTICALS IN
COM
743187106
284
67200
SH
DFND
2
67200
0
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
217
16234
SH
DFND
1
16234
0
0
QUALCOMM INC
COM
747525103
305
5688
SH
DFND
1
5688
0
0
QUANTUM CORP
NOTE 4.500%11/1
747906AJ4
367
500000
PRN
DFND
2
500000
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
594
7300
SH
DFND
1
7300
0
0
RACKSPACE HOSTING INC
COM
750086100
399
19144
SH
OTR
4
0
19144
0
RALPH LAUREN CORP
CL A
751212101
398
4444
SH
OTR
4
0
4444
0
RAYMOND JAMES FINANCIAL INC
COM
754730109
406
8241
SH
OTR
4
0
8241
0
RAYONIER ADVANCED MATLS INC
COM
75508B104
642
47230
SH
DFND
1
47230
0
0
RAYTHEON CO NEW
COM NEW
755111507
897
6600
SH
DFND
1
6600
0
0
REAL IND INC
COM
75601W104
63
8100
SH
DFND
8100
0
0
REAL IND INC
COM
75601W104
118
15200
SH
DFND
2
15200
0
0
REALPAGE INC
COM
75606N109
428
19148
SH
OTR
4
0
19148
0
RESTAURANT BRANDS INTL INC
COM
76131D103
4
95
SH
DFND
3
95
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
209
5015
SH
DFND
2
5015
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
417
10020
SH
OTR
4
0
10020
0
RESTAURANT BRANDS INTL INC
COM
76131D103
530
12748
SH
DFND
1
12748
0
0
REYNOLDS AMERN INC
COM
761713106
847
15700
SH
DFND
1
15700
0
0
ROCKWELL AUTOMATION INC
COM
773903109
943
8213
SH
DFND
1
8213
0
0
ROLLINS INC COM
COM
775711104
450
15380
SH
OTR
4
0
15380
0
ROUSE PPTYS INC
COM
779287101
7197
394377
SH
DFND
1
394377
0
0
ROUSE PPTYS INC
COM
779287101
17482
957900
SH
DFND
2
957900
0
0
ROYAL CARIBBEAN CRUISES LTD
COM
V7780T103
5
70
SH
OTR
4
0
70
0
ROYAL CARIBBEAN CRUISES LTD
COM
V7780T103
1226
18255
SH
DFND
1
18255
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
809
14645
SH
DFND
1
14645
0
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
3920
3664000
PRN
DFND
2
3664000
0
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
10503
9816000
PRN
DFND
1
9816000
0
0
ROYAL GOLD INC COM
COM
780287108
33029
458611
SH
DFND
1
458611
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
19023
2591714
SH
DFND
1
2591714
0
0
ROYCE VALUE TR INC
COM
780910105
1323
112398
SH
DFND
1
112398
0
0
RPC INC
COM
749660106
430
27708
SH
OTR
4
0
27708
0
S&P GLOBAL INC
COM
78409V104
607
5658
SH
DFND
1
5658
0
0
SABINE ROYALTY TR
UNIT BEN INT
785688102
1671
50022
SH
DFND
1
50022
0
0
SALESFORCE COM INC
COM
79466L302
420
5288
SH
OTR
4
0
5288
0
SANDSTORM GOLD LTD
COM NEW
80013R206
25
5600
SH
DFND
5600
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
4262
955504
SH
DFND
1
955504
0
0
SANOFI
RIGHT 12/31/2020
80105N113
0
402
SH
DFND
1
402
0
0
SANOFI
RIGHT 12/31/2020
80105N113
4
15538
SH
DFND
2
15538
0
0
SANOFI
SPONSORED ADR
80105N105
29
697
SH
DFND
1
697
0
0
SANOFI
SPONSORED ADR
80105N105
1130
27000
SH
DFND
2
27000
0
0
SCHLUMBERGER
COM
806857108
930
11764
SH
DFND
1
11764
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
20
804
SH
DFND
1
804
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
385
15212
SH
OTR
4
0
15212
0
SCOTTS MIRACLE GRO CO
CL A
810186106
443
6341
SH
OTR
4
0
6341
0
SCRIPPS E W CO OHIO
CL A
811054402
950
60000
SH
DFND
2
60000
0
0
SCRIPPS E W CO OHIO
CL A
811054402
1301
82106
SH
DFND
1
82106
0
0
SCRIPPS NETWORKS INTERACT IN
CL A
811065101
9
150
SH
DFND
1
150
0
0
SCRIPPS NETWORKS INTERACT IN
CL A
811065101
1681
27000
SH
DFND
2
27000
0
0
SEABOARD CORP DEL
COM
811543107
201
70
SH
DFND
70
0
0
SEABOARD CORP DEL
COM
811543107
287
100
SH
DFND
2
100
0
0
SEALED AIR CORP NEW
COM
81211K100
1439
31305
SH
DFND
1
31305
0
0
SEARS CANADA INC
COM
81234D109
18
6200
SH
DFND
3
6200
0
0
SEARS CANADA INC
COM
81234D109
2430
818341
SH
DFND
1
818341
0
0
SEARS CANADA INC
COM
81234D109
2963
997654
SH
DFND
2
997654
0
0
SEARS HLDGS CORP
COM
812350106
8
600
SH
DFND
3
600
0
0
SEARS HLDGS CORP
COM
812350106
418
30697
SH
OTR
4
0
30697
0
SEARS HLDGS CORP
COM
812350106
3141
230768
SH
DFND
2
230768
0
0
SEARS HLDGS CORP
COM
812350106
27268
2003512
SH
DFND
1
2003512
0
0
SEARS HLDGS CORP
*W EXP 12/15/201
812350155
83
20713
SH
DFND
3
20713
0
0
SEARS HLDGS CORP
*W EXP 12/15/201
812350155
798
199410
SH
DFND
2
199410
0
0
SEARS HLDGS CORP
*W EXP 12/15/201
812350155
2258
564577
SH
DFND
1
564577
0
0
SEARS HOMETOWN AND OUTLET ST
COM
812362101
23
3400
SH
DFND
3
3400
0
0
SEARS HOMETOWN AND OUTLET ST
COM
812362101
483
71666
SH
OTR
4
0
71666
0
SEARS HOMETOWN AND OUTLET ST
COM
812362101
1850
274529
SH
DFND
1
274529
0
0
SEARS HOMETOWN AND OUTLET ST
COM
812362101
3024
448632
SH
DFND
2
448632
0
0
SEASPAN CORP
SHS
Y75638109
413
29562
SH
OTR
4
0
29562
0
SERITAGE GROWTH PPTYS
CL A
81752R100
422
8466
SH
OTR
4
0
8466
0
SHIRE PHARMACEUTICALS GR PLC
SPONSORED ADR
82481R106
381
2068
SH
DFND
1
2068
0
0
SHIRE PHARMACEUTICALS GR PLC
SPONSORED ADR
82481R106
1104
6000
SH
DFND
2
6000
0
0
SILGAN HOLDINGS INC
COM
827048109
437
8489
SH
OTR
4
0
8489
0
SILVER WHEATON CORP
COM
828336107
24939
1059898
SH
DFND
2
1059898
0
0
SILVER WHEATON CORP
COM
828336107
95629
4064150
SH
DFND
1
4064150
0
0
SIMON PPTY GROUP INC NEW
COM
828806109
61
282
SH
DFND
1
282
0
0
SIMON PPTY GROUP INC NEW
COM
828806109
449
2071
SH
OTR
4
0
2071
0
SOLARCITY CORP
COM
83416T100
488
20399
SH
OTR
4
0
20399
0
SONOCO PRODUCTS
COM
835495102
1249
25150
SH
DFND
1
25150
0
0
SPDR SERIES TRUST
BARC SHT TR CP
78464A474
739
24000
SH
DFND
2
24000
0
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
110
8000
SH
DFND
3
8000
0
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
236
17200
SH
DFND
2
17200
0
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
1041
75740
SH
DFND
1
75740
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
416
14804
SH
OTR
4
0
14804
0
STARBUCKS CORP
COM
855244109
1
20
SH
DFND
1
20
0
0
STARBUCKS CORP
COM
855244109
442
7743
SH
OTR
4
0
7743
0
STARZ
COM
85571Q102
90
3000
SH
DFND
3
3000
0
0
STARZ
COM
85571Q102
469
15685
SH
OTR
4
0
15685
0
STARZ
COM
85571Q102
59552
1990360
SH
DFND
2
1990360
0
0
STARZ
COM
85571Q102
84557
2826119
SH
DFND
1
2826119
0
0
STRYKER CORP
COM
863667101
240
2000
SH
DFND
1
2000
0
0
SUNCOR ENERGY INC NEW
COM
867224107
1895
68342
SH
DFND
1
68342
0
0
SUNOCO LP COM U REP LP
COM U REP LP
86765K109
770
25703
SH
DFND
1
25703
0
0
SYMANTEC CORP
COM
871503108
549
26750
SH
DFND
1
26750
0
0
SYNTA PHARMACEUTICALS CORP
COM
87162T206
5
18000
SH
DFND
2
18000
0
0
SYNTEL INC
COM
87162H103
430
9500
SH
OTR
4
0
9500
0
TAUBMAN CTRS INC
COM
876664103
453
6111
SH
OTR
4
0
6111
0
TEGNA INC
COM
87901J105
650
28040
SH
DFND
1
28040
0
0
TELEFLEX INC
COM
879369106
832
4692
SH
DFND
1
4692
0
0
TELETECH HOLDINGS INC
COM
879939106
427
15730
SH
OTR
4
0
15730
0
TESLA MTRS INC COM
COM
88160R101
418
1967
SH
OTR
4
0
1967
0
TEXAS PACIFIC LAND TRUST
SUB SHARES CERT
882610108
8374
49656
SH
DFND
3
49656
0
0
TEXAS PACIFIC LAND TRUST
SUB SHARES CERT
882610108
112438
666692
SH
DFND
1
666692
0
0
TEXAS PACIFIC LAND TRUST
SUB SHARES CERT
882610108
158310
938688
SH
DFND
2
938688
0
0
THIRD PT REINS LTD
COM
G8827U100
451
38479
SH
OTR
4
0
38479
0
TIME INC NEW
COM
887228104
310
18848
SH
DFND
1
18848
0
0
TIME WARNER INC
COM NEW
887317303
5235
71181
SH
DFND
1
71181
0
0
TIMKEN CO
COM
887389104
405
13221
SH
OTR
4
0
13221
0
TIMKENSTEEL CORP
COM
887399103
396
41197
SH
OTR
4
0
41197
0
TOOTSIE ROLL INDS INC
COM
890516107
19
494
SH
DFND
1
494
0
0
TOOTSIE ROLL INDS INC
COM
890516107
452
11744
SH
OTR
4
0
11744
0
TORTOISE ENERGY INFRA CORP
COM
89147L100
18
600
SH
DFND
2
600
0
0
TORTOISE ENERGY INFRA CORP
COM
89147L100
4886
158730
SH
DFND
1
158730
0
0
TORTOISE MLP FD INC
COM
89148B101
26
1400
SH
DFND
2
1400
0
0
TORTOISE MLP FD INC
COM
89148B101
9252
501452
SH
DFND
1
501452
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
29
2400
SH
DFND
1
2400
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
475
39948
SH
OTR
4
0
39948
0
TRI POINTE GROUP INC
COM
87265H109
13678
1157168
SH
DFND
1
1157168
0
0
TRI POINTE GROUP INC
COM
87265H109
23835
2016485
SH
DFND
2
2016485
0
0
TRIBUNE MEDIA CO
CL A
896047503
269
6857
SH
DFND
1
6857
0
0
TRIBUNE MEDIA CO
CL A
896047503
2797
71400
SH
DFND
2
71400
0
0
TRONC INC
COM
89703P107
10
725
SH
DFND
725
0
0
TRONC INC
COM
89703P107
429
31060
SH
OTR
4
0
31060
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
5
200
SH
DFND
1
200
0
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
406
15009
SH
OTR
4
0
15009
0
UNDER ARMOUR INC
CL C
904311206
450
12373
SH
OTR
4
0
12373
0
UNION PACIFIC CORP COM
COM
907818108
1097
12575
SH
DFND
1
12575
0
0
UNITED PARCEL SVC INC
CL B
911312106
457
4238
SH
DFND
1
4238
0
0
URBAN EDGE PPTYS
COM
91704F104
23
763
SH
DFND
1
763
0
0
URBAN EDGE PPTYS
COM
91704F104
463
15501
SH
OTR
4
0
15501
0
URBAN OUTFITTERS INC
COM
917047102
452
16452
SH
OTR
4
0
16452
0
VALMONT INDS INC
COM
920253101
416
3075
SH
DFND
1
3075
0
0
VANECK VECTORS ETF TR
GAMING ETF
92189F882
216
6874
SH
DFND
1
6874
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
471
6597
SH
DFND
1
6597
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
3764
19584
SH
DFND
1
19584
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
447
3862
SH
DFND
1
3862
0
0
VANGUARD INDEX TR
TOTAL STK MKT
922908769
5103
47620
SH
DFND
1
47620
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
259
3204
SH
DFND
1
3204
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1754
21700
SH
DFND
2
21700
0
0
VENTAS INC
COM
92276F100
249
3415
SH
DFND
1
3415
0
0
VERISK ANALYTICS INC
CL A
92345Y106
616
7600
SH
DFND
2
7600
0
0
VERIZON COMMUNICATIONS
COM
92343V104
1689
30244
SH
DFND
1
30244
0
0
VIACOM INC NEW
CL B
92553P201
412
9929
SH
OTR
4
0
9929
0
VIACOM INC NEW
CL B
92553P201
7386
178107
SH
DFND
2
178107
0
0
VIACOM INC NEW
CL B
92553P201
27678
667424
SH
DFND
1
667424
0
0
VIASAT INC
COM
92552V100
3097
43372
SH
DFND
1
43372
0
0
VIASAT INC
COM
92552V100
4955
69394
SH
DFND
2
69394
0
0
VISA INC COM
COM CL A
92826C839
153
2064
SH
DFND
1
2064
0
0
VISA INC COM
COM CL A
92826C839
12505
168600
SH
DFND
2
168600
0
0
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
831
26915
SH
DFND
1
26915
0
0
VORNADO RLTY TR
SH BEN INT
929042109
197
1965
SH
DFND
1
1965
0
0
VORNADO RLTY TR
SH BEN INT
929042109
443
4428
SH
OTR
4
0
4428
0
VOYA PRIME RATE TR
SH BEN INT
92913A100
105
20427
SH
DFND
1
20427
0
0
W & T OFFSHORE INC
COM
92922P106
452
194719
SH
OTR
4
0
194719
0
W P CAREY INC
COM
92936U109
754
10858
SH
DFND
1
10858
0
0
WEBMD HEALTH CORP
NOTE 2.500% 1/3
94770VAF9
79
72000
PRN
DFND
1
72000
0
0
WELLS FARGO & CO NEW
COM
949746101
330
6971
SH
DFND
1
6971
0
0
WENDYS COMPANY
COM
95058W100
416
43211
SH
OTR
4
0
43211
0
WENDYS COMPANY
COM
95058W100
54011
5614418
SH
DFND
2
5614418
0
0
WENDYS COMPANY
COM
95058W100
70179
7295104
SH
DFND
1
7295104
0
0
WERNER ENTERPRISES INC
COM
950755108
445
19379
SH
OTR
4
0
19379
0
WESTERN ASSET CLYM INFL SEC
COM SH BEN INT
95766Q106
18
1600
SH
DFND
2
1600
0
0
WESTERN ASSET CLYM INFL SEC
COM SH BEN INT
95766Q106
308
26838
SH
DFND
1
26838
0
0
WESTERN ASSET CORPORATE LN F
COM
95790J102
3929
379618
SH
DFND
1
379618
0
0
WESTERN ASSET HIGH INCM OPP
COM
95766K109
389
79368
SH
DFND
1
79368
0
0
WESTERN ASSET INTM MUNI FD I
COM
958435109
830
78464
SH
DFND
1
78464
0
0
WESTERN ASSET MTG DEF OPPTY
COM
95790B109
444
19200
SH
DFND
2
19200
0
0
WESTERN ASSET MTG DEF OPPTY
COM
95790B109
2380
102934
SH
DFND
1
102934
0
0
WESTERN ASSETT MGD HI INCM F
COM
95766L107
68
14400
SH
DFND
1
14400
0
0
WESTERN REFNG INC
COM
959319104
465
22518
SH
OTR
4
0
22518
0
WESTLAKE CHEM CORP
COM
960413102
426
9926
SH
OTR
4
0
9926
0
WHITE MOUNTAINS INSURANCE GROUP LTD ISIN
COM
G9618E107
580
689
SH
DFND
1
689
0
0
WILLIAMS COS INC
COM
969457100
5022
232178
SH
DFND
1
232178
0
0
WISDOMTREE INVTS INC
COM
97717P104
47
4835
SH
DFND
2
4835
0
0
WISDOMTREE INVTS INC
COM
97717P104
406
41424
SH
OTR
4
0
41424
0
WISDOMTREE INVTS INC
COM
97717P104
2071
211500
SH
DFND
1
211500
0
0
WP GLIMCHER INC
COM
92939N102
3
290
SH
DFND
1
290
0
0
WP GLIMCHER INC
COM
92939N102
434
38829
SH
OTR
4
0
38829
0
WPX ENERGY INC
COM
98212B103
711
76423
SH
DFND
1
76423
0
0
WSTRN ASSET/CLYMRE US TR INF
COM
95766R104
24
2200
SH
DFND
2
2200
0
0
WSTRN ASSET/CLYMRE US TR INF
COM
95766R104
1876
168869
SH
DFND
1
168869
0
0
WYNN RESORTS LTD
COM
983134107
385
4243
SH
OTR
4
0
4243
0
WYNN RESORTS LTD
COM
983134107
3889
42905
SH
DFND
2
42905
0
0
WYNN RESORTS LTD
COM
983134107
8930
98521
SH
DFND
1
98521
0
0
XPO LOGISTICS INC
COM
983793100
425
16193
SH
OTR
4
0
16193
0
YAHOO INC
COM
984332106
433
11536
SH
OTR
4
0
11536
0
YAHOO INC
COM
984332106
1735
46200
SH
DFND
2
46200
0
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06742E711
1066
132700
SH
Put
DFND
1
132700
0
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06742E711
249412
5154300
SH
Call
DFND
1
5154300
0
0
CBOE HOLDINGS INC
COM
12503M108
8000
160000
SH
Put
DFND
1
160000
0
0
PROSHARES TR II
ULT VIX SHRT
74347W312
761
20716
SH
Put
DFND
1
20716
0
0
PROSHARES TR II
ULT VIX SHRT
74347W312
140
5600
SH
Call
DFND
1
5600
0
0
PROSHARES TR II
ULT VIX SHRT
74347W312
24
1080
SH
Put
DFND
2
1080
0
0
PROSHARES TR II
ULT VIX SHRT
74347W312
2
80
SH
Put
DFND
3
80
0
0