0001056823-20-000035.txt : 20200214
0001056823-20-000035.hdr.sgml : 20200214
20200214124132
ACCESSION NUMBER: 0001056823-20-000035
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200214
DATE AS OF CHANGE: 20200214
EFFECTIVENESS DATE: 20200214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HORIZON KINETICS ASSET MANAGEMENT LLC
CENTRAL INDEX KEY: 0001056823
IRS NUMBER: 133776334
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06986
FILM NUMBER: 20616947
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
FORMER COMPANY:
FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT LLC
DATE OF NAME CHANGE: 20130813
FORMER COMPANY:
FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT INC/NY
DATE OF NAME CHANGE: 19990319
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001056823
XXXXXXXX
12-31-2019
12-31-2019
HORIZON KINETICS ASSET MANAGEMENT LLC
470 PARK AVENUE SOUTH
4TH FLOOR SOUTH
NEW YORK
NY
10016
13F HOLDINGS REPORT
028-06986
N
Jay Kesslen
General Counsel
646-867-1176
Jay Kesslen
New York
NY
02-14-2020
1
549
3524903
false
1
0000019481
028-00085
Virtus Investment Advisers, Inc.
INFORMATION TABLE
2
form13fhr-infoTable.xml
3M CO
COM
88579Y101
335
1900
SH
DFND
1900
0
0
A T & T INC
COM
00206R102
839
21462
SH
DFND
21462
0
0
ABB LTD
SPONSORED ADR
000375204
1025
42553
SH
DFND
42553
0
0
ABBOTT LABS
COM
002824100
1738
20008
SH
DFND
20008
0
0
ABBVIE INC
COM
00287Y109
2770
31284
SH
DFND
31284
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
238
1128
SH
DFND
1128
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
346
7544
SH
DFND
7544
0
0
AFLAC INC
COM
001055102
288
5450
SH
DFND
5450
0
0
AIR LEASE CORP
CL A
00912X302
283
5965
SH
OTR
1
0
5965
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
389
1836
SH
DFND
1836
0
0
ALICO INC
COM
016230104
803
22400
SH
DFND
22400
0
0
ALKERMES PLC
COM
G01767105
428
21000
SH
DFND
21000
0
0
ALLEGHANY CORP DEL
COM
017175100
5702
7131
SH
DFND
7131
0
0
ALPHABET INC
CL A
02079K305
8941
6676
SH
DFND
6676
0
0
ALPHABET INC
CL C
02079K107
281
210
SH
OTR
1
0
210
0
ALPHABET INC
CL C
02079K107
8443
6315
SH
DFND
6315
0
0
ALTRIA GROUP INC
COM
02209S103
1969
39451
SH
DFND
39451
0
0
AMAZON COM INC
COM
023135106
296
160
SH
OTR
1
0
160
0
AMAZON COM INC
COM
023135106
878
475
SH
DFND
475
0
0
AMC NETWORKS INC
CL A
00164V103
295
7462
SH
OTR
1
0
7462
0
AMC NETWORKS INC
CL A
00164V103
9559
241999
SH
DFND
241999
0
0
AMERICAN EAGLE OUTFITTERS IN
COM
02553E106
283
19243
SH
OTR
1
0
19243
0
AMERICAN EXPRESS COMPANY
COM
025816109
1431
11493
SH
DFND
11493
0
0
AMERICAN FINL GROUP INC
COM
025932104
282
2571
SH
OTR
1
0
2571
0
AMERICAN HOMES 4 RENT
CL A
02665T306
292
11149
SH
OTR
1
0
11149
0
AMERICAN TOWER REIT
COM
03027X100
327
1425
SH
DFND
1425
0
0
AMERIPRISE FINL INC
COM
03076C106
280
1680
SH
DFND
1680
0
0
AMGEN INC
COM
031162100
1141
4731
SH
DFND
4731
0
0
AMKOR TECHNOLOGY INC
COM
031652100
285
21903
SH
OTR
1
0
21903
0
ANALOG DEVICES INC
COM
032654105
767
6455
SH
DFND
6455
0
0
ANIXTER INTL INC
COM
035290105
296
3215
SH
OTR
1
0
3215
0
ANTHEM INC
COM
036752103
265
878
SH
DFND
878
0
0
APPLE INC
COM
037833100
3618
12321
SH
DFND
12321
0
0
APYX MED CORP
COM
03837C106
5203
615000
SH
DFND
615000
0
0
AQUABOUNTY TECHNOLOGIES INC
COM NEW
03842K200
2
1109
SH
DFND
1109
0
0
AQUABOUNTY TECHNOLOGIES INC
COM NEW
03842K200
307
141405
SH
OTR
1
0
141405
0
ARENA PHARMACEUTICALS INC
COM NEW
040047607
204
4500
SH
DFND
4500
0
0
ASSOCIATED CAP GROUP INC
CL A
045528106
57207
1459367
SH
DFND
1459367
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
1260
25263
SH
DFND
25263
0
0
AUTONATION INC
COM
05329W102
99
2045
SH
DFND
2045
0
0
AUTONATION INC
COM
05329W102
269
5533
SH
OTR
1
0
5533
0
AVANOS MEDICAL INC
COM
05350V106
203
6016
SH
DFND
6016
0
0
BALCHEM CORP
COM
057665200
5559
54694
SH
DFND
54694
0
0
BANCO SANTANDER
ADR
05964H105
474
114524
SH
DFND
114524
0
0
BANK AMER CORP
COM
060505104
1959
55625
SH
DFND
55625
0
0
BANK OF NEW YORK MELLON CORP
COM
064058100
266
5286
SH
DFND
5286
0
0
BAXTER INTL INC
COM
071813109
812
9708
SH
DFND
9708
0
0
BEL FUSE INC
CL B
077347300
691
33718
SH
DFND
33718
0
0
BERKLEY W R CORP
COM
084423102
285
4121
SH
OTR
1
0
4121
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
3735
11
SH
DFND
11
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
286
1264
SH
OTR
1
0
1264
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
23389
103264
SH
DFND
103264
0
0
BGC PARTNERS INC
CL A
05541T101
16945
2852693
SH
DFND
2852693
0
0
BIOGEN INC
COM
09062X103
1262
4254
SH
DFND
4254
0
0
BLACK KNIGHT INC
COM
09215C105
844
13088
SH
DFND
13088
0
0
BLACK STONE MINERALS L P
COM UNIT
09225M101
1949
153205
SH
DFND
153205
0
0
BLACKROCK CREDIT ALL INC TR
COM
092508100
1239
88654
SH
DFND
88654
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
916
68118
SH
DFND
68118
0
0
BLACKROCK FLOATING RATE INCOME
COM
091941104
163
12678
SH
DFND
12678
0
0
BLACKROCK MUN 2030 TAR TERM
COM SHS BEN IN
09257P105
985
40730
SH
DFND
40730
0
0
BLACKROCK MUN INC INVESTMENT QUALITY TRUST
COM
09250G102
1081
76014
SH
DFND
76014
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
1240
87102
SH
DFND
87102
0
0
BLACKROCK MUNICIPAL INCOME INVEST TRUST
COM
09248H105
147
10948
SH
DFND
10948
0
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
254
18053
SH
DFND
18053
0
0
BLACKROCK MUNIHLDGS INVESTMENT QUALITY FUND
COM
09254P108
537
40379
SH
DFND
40379
0
0
BLACKROCK MUNIHLDGS QUALITY FUND II INC
COM
09254C107
1317
104477
SH
DFND
104477
0
0
BLACKROCK MUNIHLDGS QUALITY FUND INC
COM
09254A101
1058
84140
SH
DFND
84140
0
0
BLACKROCK MUNIHOLDINGS N Y QUALITY FUND
COM
09255C106
239
17545
SH
DFND
17545
0
0
BLACKROCK MUNIYIELD N Y QUALITY FUND INC
COM
09255E102
242
18524
SH
DFND
18524
0
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
861
63777
SH
DFND
63777
0
0
BLACKROCK MUNIYIELD QUALITY
COM
09254G108
420
32280
SH
DFND
32280
0
0
BLACKROCK NY MUN INC QUALITY TRUST
COM
09249U105
256
18654
SH
DFND
18654
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
494
8822
SH
DFND
8822
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
677
18185
SH
DFND
18185
0
0
BOEING CO
COM
097023105
2475
7597
SH
DFND
7597
0
0
BOK FINL CORP
COM NEW
05561Q201
134
1533
SH
DFND
1533
0
0
BOK FINL CORP
COM NEW
05561Q201
284
3250
SH
OTR
1
0
3250
0
BOSTON BEER INC
CL A
100557107
294
778
SH
OTR
1
0
778
0
BOSTON OMAHA CORP
COM
101044105
606
28821
SH
DFND
28821
0
0
BP PLC
SPONSORED ADR
055622104
1723
45658
SH
DFND
45658
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
3551
55318
SH
DFND
55318
0
0
BROADRIDGE FINL SOLUTIONS INC
COM
11133T103
564
4564
SH
DFND
4564
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
83773
1449355
SH
DFND
1449355
0
0
BROOKFIELD BUSINESS PARTNERS
UNIT LTD LP
G16234109
207
5003
SH
DFND
5003
0
0
BROOKFIELD INFRASTRUCTURE PARTNERS LP
LP INT UNIT
G16252101
2684
53686
SH
DFND
53686
0
0
BROOKFIELD PPTY PARTNERS L P
UNIT LTD PARTN
G16249107
428
23437
SH
DFND
23437
0
0
BROOKFIELD PROPERTY REIT INC
CL A
11282X103
315
17068
SH
DFND
17068
0
0
BROOKFIELD REAL ASSETS INCOME FUND
SHS BEN INT
112830104
556
26059
SH
DFND
26059
0
0
BROWN & BROWN INC
COM
115236101
285
7222
SH
OTR
1
0
7222
0
BROWN FORMAN CORP
CL B
115637209
19
284
SH
DFND
284
0
0
BROWN FORMAN CORP
CL B
115637209
297
4387
SH
OTR
1
0
4387
0
BRUKER CORP
COM
116794108
293
5753
SH
OTR
1
0
5753
0
BUCKLE INC
COM
118440106
284
10506
SH
OTR
1
0
10506
0
BWX TECHNOLOGIES INC
COM
05605H100
231
3721
SH
DFND
3721
0
0
CABLE ONE INC
COM
12685J105
1222
821
SH
DFND
821
0
0
CACI INTL INC
CL A
127190304
98021
392100
SH
DFND
392100
0
0
CAPITAL SOUTHWEST CORP
COM
140501107
389
18700
SH
DFND
18700
0
0
CARNIVAL CORP
UNIT 99/99/9999
143658300
310
6104
SH
OTR
1
0
6104
0
CARNIVAL CORP
UNIT 99/99/9999
143658300
1472
28959
SH
DFND
28959
0
0
CATERPILLAR INC
COM
149123101
1401
9488
SH
DFND
9488
0
0
CBOE GLOBAL MARKETS INC
COM
12503M108
63187
526560
SH
DFND
526560
0
0
CENTERPOINT ENERGY INC
COM
15189T107
1031
37805
SH
DFND
37805
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
282
4620
SH
OTR
1
0
4620
0
CHENIERE ENERGY INC
COM NEW
16411R208
36859
603555
SH
DFND
603555
0
0
CHENIERE ENERGY INC
NOTE 4.250% 3/1
16411RAG4
43772
55580000
PRN
DFND
55580000
0
0
CHEVRON CORP
COM
166764100
1837
15242
SH
DFND
15242
0
0
CHOICE HOTELS INTL INC
COM
169905106
289
2792
SH
OTR
1
0
2792
0
CINTAS CORP
COM
172908105
288
1071
SH
OTR
1
0
1071
0
CISCO SYSTEMS INC
COM
17275R102
2542
53006
SH
DFND
53006
0
0
CITIGROUP INC
COM NEW
172967424
221
2767
SH
DFND
2767
0
0
CIVEO CORP CDA
COM
17878Y108
47077
36493596
SH
DFND
36493596
0
0
CLEARBRIDGE MLP AND MIDSTREAM FUND INC
COM
184692101
1129
100247
SH
DFND
100247
0
0
CLEARBRIDGE MLP AND MIDSTREAM TR FD INC
COM
18469Q108
2313
269290
SH
DFND
269290
0
0
CLOUDERA INC
COM
18914U100
5
400
SH
DFND
400
0
0
CLOUDERA INC
COM
18914U100
294
25291
SH
OTR
1
0
25291
0
CME GROUP INC
COM
12572Q105
39424
196415
SH
DFND
196415
0
0
CMS ENERGY CORP
COM
125896100
1429
22736
SH
DFND
22736
0
0
COHEN & STEERS INC
COM
19247A100
275
4380
SH
OTR
1
0
4380
0
COHEN & STEERS QUALITY RLTY
COM
19247L106
2095
140765
SH
DFND
140765
0
0
COLFAX CORP
COM
194014106
290
7969
SH
OTR
1
0
7969
0
COLFAX CORP
COM
194014106
3976
109299
SH
DFND
109299
0
0
COLGATE PALMOLIVE CO
COM
194162103
212
3074
SH
DFND
3074
0
0
COLONY CAPITAL INC
CL A COM
19626G108
289
60901
SH
OTR
1
0
60901
0
COLUMBIA SPORTSWEAR CO
COM
198516106
282
2814
SH
OTR
1
0
2814
0
COMCAST CORP NEW
CL A
20030N101
296
6589
SH
OTR
1
0
6589
0
COMCAST CORP NEW
CL A
20030N101
383
8519
SH
DFND
8519
0
0
CONDUENT INC COM
COM
206787103
3
479
SH
DFND
479
0
0
CONDUENT INC COM
COM
206787103
270
43594
SH
OTR
1
0
43594
0
CONSTELLATION BRANDS INC
CL A
21036P108
294
1550
SH
OTR
1
0
1550
0
CONTINENTAL RESOURCES INC
COM
212015101
41
1200
SH
DFND
1200
0
0
CONTINENTAL RESOURCES INC
COM
212015101
285
8318
SH
OTR
1
0
8318
0
CORELOGIC INC
COM
21871D103
893
20421
SH
DFND
20421
0
0
COSTAMARE INC
SHS
Y1771G102
2652
278279
SH
DFND
278279
0
0
COSTCO WHSL CORP NEW
COM
22160K105
288
979
SH
DFND
979
0
0
COVANTA HLDG CORP
COM
22282E102
4
250
SH
DFND
250
0
0
COVANTA HLDG CORP
COM
22282E102
283
19067
SH
OTR
1
0
19067
0
CSW INDUSTRIALS INC
COM
126402106
1174
15241
SH
DFND
15241
0
0
CSX CORP
COM
126408103
317
4375
SH
DFND
4375
0
0
CUBIC CORP
COM
229669106
704
11077
SH
DFND
11077
0
0
CVR ENERGY INC
COM
12662P108
79
1945
SH
DFND
1945
0
0
CVR ENERGY INC
COM
12662P108
277
6844
SH
OTR
1
0
6844
0
CVS HEALTH CORP
COM
126650100
985
13261
SH
DFND
13261
0
0
CYCLERION THERAPEUTICS INC
COM
23255M105
352
129311
SH
DFND
129311
0
0
D R HORTON INC
COM
23331A109
284
5390
SH
OTR
1
0
5390
0
DANAHER CORP
COM
235851102
291
1896
SH
OTR
1
0
1896
0
DANAHER CORP
COM
235851102
1841
11997
SH
DFND
11997
0
0
DELTA AIR LINES INC DEL NEW
COM
247361702
380
6500
SH
DFND
6500
0
0
DELUXE CORP
COM
248019101
210
4200
SH
DFND
4200
0
0
DESIGNER BRANDS INC
CL A
250565108
283
17990
SH
OTR
1
0
17990
0
DIAMOND OFFSHORE DRILLNG INC
COM
25271C102
152
21086
SH
DFND
21086
0
0
DICKS SPORTING GOODSINC
COM
253393102
297
5997
SH
OTR
1
0
5997
0
DILLARDS INC
CL A
254067101
298
4049
SH
OTR
1
0
4049
0
DISCOVERY INC
COM SER A
25470F104
6126
187109
SH
DFND
187109
0
0
DISCOVERY INC
COM SER C
25470F302
288
9456
SH
OTR
1
0
9456
0
DISCOVERY INC
COM SER C
25470F302
2718
89141
SH
DFND
89141
0
0
DISH NETWORK CORP
CL A
25470M109
283
7983
SH
OTR
1
0
7983
0
DISH NETWORK CORP
CL A
25470M109
2581
72775
SH
DFND
72775
0
0
DISNEY WALT CO
COM DISNEY
254687106
2443
16890
SH
DFND
16890
0
0
DORCHESTER MINERALS LP
COM UNIT
25820R105
13406
687111
SH
DFND
687111
0
0
DORMAN PRODUCTS INC
COM
258278100
1626
21471
SH
DFND
21471
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
10934
553352
SH
DFND
553352
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
9938
481469
SH
DFND
481469
0
0
DUFF & PHELPS SLCT MLP & MIDSTREAM ENGY FD
COM
26433F108
359
93620
SH
DFND
93620
0
0
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
114
12425
SH
DFND
12425
0
0
EATON VANCE FLTING RATE INC
COM
278279104
140
10200
SH
DFND
10200
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
207
15594
SH
DFND
15594
0
0
EATON VANCE MUN BD FD
COM
27827X101
292
22641
SH
DFND
22641
0
0
EATON VANCE NY MUN BD FD
COM
27827Y109
296
24492
SH
DFND
24492
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
273
20129
SH
DFND
20129
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
166
25848
SH
DFND
25848
0
0
EBAY INC
COM
278642103
13
348
SH
DFND
348
0
0
EBAY INC
COM
278642103
288
7979
SH
OTR
1
0
7979
0
ECHOSTAR CORP
CL A
278768106
277
6395
SH
OTR
1
0
6395
0
ECHOSTAR CORP
CL A
278768106
10163
234654
SH
DFND
234654
0
0
ELEMENT SOLUTIONS INC
COM
28618M106
152
12980
SH
DFND
12980
0
0
ELEMENT SOLUTIONS INC
COM
28618M106
293
25119
SH
OTR
1
0
25119
0
ELI LILLY AND COMPANY
COM
532457108
1729
13154
SH
DFND
13154
0
0
EMERSON ELEC CO
COM
291011104
1639
21492
SH
DFND
21492
0
0
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
350
27286
SH
DFND
27286
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
465
16496
SH
DFND
16496
0
0
EOG RES INC
COM
26875P101
258
3082
SH
DFND
3082
0
0
EQUITY COMMONWEALTH
COM SH BEN INT
294628102
1301
39616
SH
DFND
39616
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
291
4138
SH
OTR
1
0
4138
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
17328
246173
SH
DFND
246173
0
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
1
11
SH
DFND
11
0
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
287
3542
SH
OTR
1
0
3542
0
ERIE INDTY CO
CL A
29530P102
280
1685
SH
OTR
1
0
1685
0
EXPEDIA GROUP INC
COM NEW
30212P303
278
2575
SH
OTR
1
0
2575
0
EXPEDIA GROUP INC
COM NEW
30212P303
1647
15229
SH
DFND
15229
0
0
EXTERRAN CORP
COM
30227H106
298
38015
SH
OTR
1
0
38015
0
EXXON MOBIL CORP
COM
30231G102
6874
98505
SH
DFND
98505
0
0
FACEBOOK INC
CL A
30303M102
45
218
SH
DFND
218
0
0
FACEBOOK INC
CL A
30303M102
288
1405
SH
OTR
1
0
1405
0
FEDERATED PREM MUN INC FD
COM
31423P108
603
42795
SH
DFND
42795
0
0
FEDEX CORP
COM
31428X106
142
938
SH
DFND
938
0
0
FEDEX CORP
COM
31428X106
293
1936
SH
OTR
1
0
1936
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
1662
36649
SH
DFND
36649
0
0
FIDELITY NATL INFORMATION SVC
COM
31620M106
625
4494
SH
DFND
4494
0
0
FIRST CTZNS BANCSHARES INC N
CL A
31946M103
17
32
SH
DFND
32
0
0
FIRST CTZNS BANCSHARES INC N
CL A
31946M103
286
537
SH
OTR
1
0
537
0
FLOWERS FOODS INC
COM
343498101
792
36437
SH
DFND
36437
0
0
FORTIVE CORP
COM
34959J108
283
3710
SH
OTR
1
0
3710
0
FORTIVE CORP
COM
34959J108
387
5065
SH
DFND
5065
0
0
FOX CORP
CL A COM
35137L105
286
7709
SH
OTR
1
0
7709
0
FRANCO NEVADA CORP
COM
351858105
117018
1132793
SH
DFND
1132793
0
0
FRANKLIN RESOURCES INC
COM
354613101
9
343
SH
DFND
343
0
0
FRANKLIN RESOURCES INC
COM
354613101
283
10903
SH
OTR
1
0
10903
0
FREEPORT MCMORAN INC
CL B
35671D857
1219
92921
SH
DFND
92921
0
0
GAMCO INVESTORS INC
CL A COM
361438104
2962
151973
SH
DFND
151973
0
0
GAMING & LEISURE PPTYS INC
COM
36467J108
291
6762
SH
OTR
1
0
6762
0
GANNETT CO INC NEW
COM
36472T109
108
16883
SH
DFND
16883
0
0
GAP INC
COM
364760108
284
16044
SH
OTR
1
0
16044
0
GARMIN LTD
SHS
H2906T109
285
2918
SH
OTR
1
0
2918
0
GCI LIBERTY INC
COM CL A
36164V305
296
4182
SH
OTR
1
0
4182
0
GCI LIBERTY INC
COM CL A
36164V305
7848
110764
SH
DFND
110764
0
0
GDL FUND
COM SH BEN INT
361570104
241
25902
SH
DFND
25902
0
0
GENERAL ELECTRIC CO
COM
369604103
1080
96777
SH
DFND
96777
0
0
GENERAL MLS INC
COM
370334104
252
4700
SH
DFND
4700
0
0
GENERAL MTRS CO
COM
37045V100
1059
28925
SH
DFND
28925
0
0
GENUINE PARTS CO
COM
372460105
433
4075
SH
DFND
4075
0
0
GILEAD SCIENCES INC
COM
375558103
715
11000
SH
DFND
11000
0
0
GLADSTONE LD CORP
COM
376549101
737
56854
SH
DFND
56854
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
1109
23596
SH
DFND
23596
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
266
1157
SH
DFND
1157
0
0
GRAHAM HLDGS CO
COM
384637104
852
1333
SH
DFND
1333
0
0
GRAINGER W W INC
COM
384802104
290
857
SH
OTR
1
0
857
0
GRAINGER W W INC
COM
384802104
609
1800
SH
DFND
1800
0
0
GRAN TIERRA ENERGY INC
COM
38500T101
337
261575
SH
DFND
261575
0
0
GREEN BRICK PARTNERS INC C
COM
392709101
135
11800
SH
DFND
11800
0
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
1
70
SH
DFND
70
0
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
277
27444
SH
OTR
1
0
27444
0
HEARTLAND EXPRESS INC
COM
422347104
287
13640
SH
OTR
1
0
13640
0
HERC HLDGS INC
COM
42704L104
3
63
SH
DFND
63
0
0
HERC HLDGS INC
COM
42704L104
276
5649
SH
OTR
1
0
5649
0
HERTZ GLOBAL HOLDINGS INC
COM
42806J106
280
17774
SH
OTR
1
0
17774
0
HESS CORP
COM
42809H107
292
4370
SH
OTR
1
0
4370
0
HILLTOP HOLDINGS INC
COM
432748101
277
11131
SH
OTR
1
0
11131
0
HOME DEPOT INC
COM
437076102
390
1784
SH
DFND
1784
0
0
HONEYWELL INTL INC
COM
438516106
1987
11224
SH
DFND
11224
0
0
HOST MARRIOTT CORP NEW
COM
44107P104
285
15357
SH
OTR
1
0
15357
0
HOSTESS BRANDS INC
CL A
44109J106
284
19499
SH
OTR
1
0
19499
0
HOWARD HUGHES CORP
COM
44267D107
295
2324
SH
OTR
1
0
2324
0
HOWARD HUGHES CORP
COM
44267D107
190385
1501460
SH
DFND
1501460
0
0
HYATT HOTELS CORP
COM CL A
448579102
298
3317
SH
OTR
1
0
3317
0
IAC INTERACTIVECORP
COM
44919P508
320
1286
SH
OTR
1
0
1286
0
IAC INTERACTIVECORP
COM
44919P508
1156
4639
SH
DFND
4639
0
0
IBERIABANK CORP
COM
450828108
254
3396
SH
DFND
3396
0
0
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
84421
1372697
SH
DFND
1372697
0
0
IHS MARKIT LTD
SHS
G47567105
3796
50377
SH
DFND
50377
0
0
INGREDION INC
COM
457187102
223
2400
SH
DFND
2400
0
0
INTEC PHARMA LTD
SHS
M53644106
5
10326
SH
DFND
10326
0
0
INTEL CORP
COM
458140100
564
9418
SH
DFND
9418
0
0
INTER PARFUMS INC
COM
458334109
14529
199822
SH
DFND
199822
0
0
INTERACTIVE BROKERS GROUP INC
COM CL A
45841N107
282
6054
SH
OTR
1
0
6054
0
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
7620
82337
SH
DFND
82337
0
0
INTL FLAVORS & FRAGRANCES
COM
459506101
600
4650
SH
DFND
4650
0
0
INTREXON CORP
COM
46122T102
264
48085
SH
OTR
1
0
48085
0
INTUIT INC
COM
461202103
283
1080
SH
OTR
1
0
1080
0
INTUITIVE SURGICAL INC
COM
46120E602
461
779
SH
DFND
779
0
0
INVESCO INSURED MUNICIPAL INCOME TRUST
COM
46132P108
558
36403
SH
DFND
36403
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
732
58191
SH
DFND
58191
0
0
INVESCO EXCHANGE TRADED FUND T
S&P500 EQL WGT
46137V357
943
8147
SH
DFND
8147
0
0
INVESCO SR INCOME TR
COM
46131H107
104
24228
SH
DFND
24228
0
0
INVESCO VAN KAMPEN TRUST INVESTMENT GRADE NE
COM
46131T101
169
12414
SH
DFND
12414
0
0
IONIS PHARMACEUTICALS INC
COM
462222100
737
12200
SH
DFND
12200
0
0
IRON MTN INC NEW
COM
46284V101
289
9058
SH
DFND
9058
0
0
ISHARES
SH TR CRPORT ETF
464288646
2896
54000
SH
DFND
54000
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
640
38371
SH
DFND
38371
0
0
ISHARES
MICRO-CAP ETF
464288869
393
3948
SH
DFND
3948
0
0
ISHARES
PFD AND INCM SEC
464288687
609
16188
SH
DFND
16188
0
0
JBG SMITH PPTYS
COM
46590V100
289
7233
SH
OTR
1
0
7233
0
JEFFRIES FINL GROUP INC
COM
47233W109
283
13238
SH
OTR
1
0
13238
0
JEFFRIES FINL GROUP INC
COM
47233W109
582
27212
SH
DFND
27212
0
0
JOHNSON & JOHNSON
COM
478160104
3543
24289
SH
DFND
24289
0
0
JP MORGAN CHASE & CO
COM
46625H100
1353
9705
SH
DFND
9705
0
0
JP MORGAN EXCHANGE TRADED FD
ULTRA SHRT INC
46641Q837
2005
39758
SH
DFND
39758
0
0
KADMON HLDGS INC
COM
48283N106
383
84607
SH
DFND
84607
0
0
KAYNE ANDERSON MDSTM ENERGY FD INC
COM
48661E108
635
60379
SH
DFND
60379
0
0
KAYNE ANDERSON MLP INVSMNT C
COM
486606106
1618
116133
SH
DFND
116133
0
0
KIMBELL RTY PARTNERS LP
UNIT
49435R102
4192
246577
SH
DFND
246577
0
0
KIMBERLY CLARK CORP
COM
494368103
384
2794
SH
DFND
2794
0
0
KLA-TENCOR CORP
COM NEW
482480100
1713
9615
SH
DFND
9615
0
0
KONINKLIJKE PHILIPS NV
NY REG SH NEW
500472303
225
4607
SH
DFND
4607
0
0
KRAFT HEINZ COMPANY
COM
500754106
805
25047
SH
DFND
25047
0
0
L BRANDS INC
COM
501797104
279
15372
SH
OTR
1
0
15372
0
L3 HARRIS TECHNOLOGIES INC
COM
502431109
2331
11780
SH
DFND
11780
0
0
LANCASTER COLONY CORP
COM
513847103
290
1812
SH
OTR
1
0
1812
0
LANDS END INC NEW
COM
51509F105
13
764
SH
DFND
764
0
0
LANDS END INC NEW
COM
51509F105
276
16456
SH
OTR
1
0
16456
0
LAS VEGAS SANDS CORP
COM
517834107
285
4122
SH
OTR
1
0
4122
0
LAS VEGAS SANDS CORP
COM
517834107
6739
97613
SH
DFND
97613
0
0
LAUDER ESTEE COS INC
CL A
518439104
288
1394
SH
OTR
1
0
1394
0
LENDINGTREE INC NEW
COM
52603B107
2498
8233
SH
DFND
8233
0
0
LENNAR CORP
CL A
526057104
152
2725
SH
DFND
2725
0
0
LENNAR CORP
CL A
526057104
282
5056
SH
OTR
1
0
5056
0
LIBERTY MEDIA CORP DELAWARE
COM A BRAVES GRP
531229706
2103
70929
SH
DFND
70929
0
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
283
9565
SH
OTR
1
0
9565
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
4848
164111
SH
DFND
164111
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
12057
96795
SH
DFND
96795
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
298
2368
SH
OTR
1
0
2368
0
LIBERTY BROADBAND CORP
COM SER C
530307305
59221
470943
SH
DFND
470943
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER A FRMLA
531229870
10091
230503
SH
DFND
230503
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
297
6467
SH
OTR
1
0
6467
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
15365
334271
SH
DFND
334271
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
10
437
SH
DFND
437
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
293
13423
SH
OTR
1
0
13423
0
LIBERTY LATIN AMERICA LTD
COM CL C
G9001E128
299
15373
SH
OTR
1
0
15373
0
LIBERTY LATIN AMERICA LTD
COM CL C
G9001E128
323
16601
SH
DFND
16601
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
291
6043
SH
OTR
1
0
6043
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
99685
2070733
SH
DFND
2070733
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
35059
725249
SH
DFND
725249
0
0
LIBERTY TRIPADVISOR HLDGS IN
COM SER A
531465102
10
1302
SH
DFND
1302
0
0
LIBERTY TRIPADVISOR HLDGS IN
COM SER A
531465102
286
38849
SH
OTR
1
0
38849
0
LINDE PLC
COM
G5494J103
354
1665
SH
DFND
1665
0
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
318
32048
SH
OTR
1
0
32048
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
4245
427505
SH
DFND
427505
0
0
LIVE NATION ENTERTAINMENT INC.
COM
538034109
68790
962495
SH
DFND
962495
0
0
LOCKHEED MARTIN CORP
COM
539830109
337
866
SH
DFND
866
0
0
LOEWS CORP
COM
540424108
291
5540
SH
OTR
1
0
5540
0
LOEWS CORP
COM
540424108
2061
39270
SH
DFND
39270
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
21
220
SH
DFND
220
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
283
2991
SH
OTR
1
0
2991
0
M & T BK CORP
COM
55261F104
327
1925
SH
DFND
1925
0
0
MADISON SQUARE GARDEN CO NEWC
CL A
55825T103
293
997
SH
OTR
1
0
997
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
15960
54252
SH
DFND
54252
0
0
MANTECH INTL CORP
CL A
564563104
1997
25000
SH
DFND
25000
0
0
MARCUS & MILLICHAP INC
COM
566324109
287
7711
SH
OTR
1
0
7711
0
MARKEL CORP
COM
570535104
16738
14642
SH
DFND
14642
0
0
MARKETAXESS HLDGS INC
COM
57060D108
1896
5000
SH
DFND
5000
0
0
MARRIOTT INTL INC NEW
CL A
571903202
288
1902
SH
OTR
1
0
1902
0
MARRIOTT VACATIONS WRLDWDE C
COM
57164Y107
3
26
SH
DFND
26
0
0
MARRIOTT VACATIONS WRLDWDE C
COM
57164Y107
286
2222
SH
OTR
1
0
2222
0
MASCO CORP
COM
574599106
319
6650
SH
DFND
6650
0
0
MASTEC INC
COM
576323109
290
4519
SH
OTR
1
0
4519
0
MASTERCARD INC
CL A
57636Q104
20552
68831
SH
DFND
68831
0
0
MCDONALDS CORP
COM
580135101
902
4562
SH
DFND
4562
0
0
MERCK & COMPANY
COM
58933Y105
4017
44170
SH
DFND
44170
0
0
MERCURY GENL CORP NEW
COM
589400100
284
5838
SH
OTR
1
0
5838
0
MESABI TR
CTF BEN INT
590672101
7210
306290
SH
DFND
306290
0
0
MFS HIGH INCOME MUN TR
SH BEN INT
59318D104
2993
556284
SH
DFND
556284
0
0
MICROSOFT
COM
594918104
2855
18101
SH
DFND
18101
0
0
MOHAWK INDUSTRIES INC
COM
608190104
285
2091
SH
OTR
1
0
2091
0
MONDELEZ INTL INC
CL A
609207105
1496
27164
SH
DFND
27164
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
288
4526
SH
OTR
1
0
4526
0
MORGAN STANLEY NEW
COM NEW
617446448
487
9529
SH
DFND
9529
0
0
MORNINGSTAR INC
COM
617700109
286
1891
SH
OTR
1
0
1891
0
MOVADO GROUP INC
COM
624580106
966
44441
SH
DFND
44441
0
0
MSC INDL DIRECT INC
CL A
553530106
294
3753
SH
OTR
1
0
3753
0
MSG NETWORK INC
CL A
553573106
296
16993
SH
OTR
1
0
16993
0
MSG NETWORK INC
CL A
553573106
1324
76065
SH
DFND
76065
0
0
NANTKWEST INC
COM
63016Q102
314
82880
SH
OTR
1
0
82880
0
NASDAQ INC
COM
631103108
1159
10821
SH
DFND
10821
0
0
NATIONAL GEN HLDGS CORP
COM
636220303
281
12710
SH
OTR
1
0
12710
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
17430
1293996
SH
DFND
1293996
0
0
NAVISTAR INTL CORP NEW
COM
63934E108
1
50
SH
DFND
50
0
0
NAVISTAR INTL CORP NEW
COM
63934E108
282
9748
SH
OTR
1
0
9748
0
NEUBERGER BERMAN MUNI FD INC
COM
64124P101
851
55243
SH
DFND
55243
0
0
NEUBERGER BERMAN NY MUN FD INC
COM
64124K102
368
29549
SH
DFND
29549
0
0
NEWELL BRANDS INC
COM
651229106
295
15323
SH
OTR
1
0
15323
0
NEWELL BRANDS INC
COM
651229106
414
21563
SH
DFND
21563
0
0
NEWMARK GROUP INC
CL A
65158N102
612
45484
SH
DFND
45484
0
0
NEWMARKET CORP
COM
651587107
288
591
SH
OTR
1
0
591
0
NEWS CORP NEW
CL A
65249B109
286
20221
SH
OTR
1
0
20221
0
NOMAD FOODS LTD
USD ORD SHS
G6564A105
296
13231
SH
OTR
1
0
13231
0
NORDSTROM INC
COM
655664100
287
7020
SH
OTR
1
0
7020
0
NORFOLK SOUTHN CORP
COM
655844108
924
4757
SH
DFND
4757
0
0
NORTHROP GRUMMAN CORP
COM
666807102
292
850
SH
DFND
850
0
0
NOVAGOLD RES INC
COM NEW
66987E206
64
7116
SH
DFND
7116
0
0
NOVAGOLD RES INC
COM NEW
66987E206
337
37559
SH
OTR
1
0
37559
0
NOVARTIS AG
SPONSORED ADR
66987V109
2377
25101
SH
DFND
25101
0
0
NOVO-NORDISK A S
ADR
670100205
448
7740
SH
DFND
7740
0
0
NUVEEN AMT-FREE QLTY MUN INCOME
COM
670657105
8196
569993
SH
DFND
569993
0
0
NUVEEN DIV QLTY MUNI FD 3 SH BEN INT
COM SH BEN INT
67070X101
1070
65391
SH
DFND
65391
0
0
NUVEEN DIVID AMT FREE MUNI CRED INC FD
COM
67071L106
416
24971
SH
DFND
24971
0
0
NUVEEN ENERGY MLP TOTL RTRNF
COM
67074U103
1386
178658
SH
DFND
178658
0
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
594
59424
SH
DFND
59424
0
0
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
298
21456
SH
DFND
21456
0
0
NUVEEN INTER DURATION MN TMF
COM
670671106
1018
73210
SH
DFND
73210
0
0
NUVEEN MUN HIGH INC OPP FD
COM
670682103
218
15391
SH
DFND
15391
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
164
15296
SH
DFND
15296
0
0
NUVEEN NY AMT FREE QLTY MUN INC FD
COM
670656107
1341
98849
SH
DFND
98849
0
0
NUVEEN NY QLTY INCOME FD
COM
67066X107
709
49962
SH
DFND
49962
0
0
NUVEEN PREFERRED & INCOME SECURITIES FD
COM
67072C105
494
49203
SH
DFND
49203
0
0
NUVEEN QUALITY MUNI INC FD
COM
67066V101
2494
170806
SH
DFND
170806
0
0
NUVEEN SELECT MAT MUN FD
SH BEN INT
67061T101
226
21500
SH
DFND
21500
0
0
NUVEEN SR INCOME FD
COM
67067Y104
652
109454
SH
DFND
109454
0
0
NUVEEN TAXABLE MUNICIPAL INC FUND
COM
67074C103
3748
171610
SH
DFND
171610
0
0
NVIDIA CORP
COM
67066G104
386
1642
SH
DFND
1642
0
0
ORACLE CORP
COM
68389X105
238
4491
SH
DFND
4491
0
0
ORACLE CORP
COM
68389X105
282
5325
SH
OTR
1
0
5325
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
62
12000
SH
DFND
12000
0
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
277
11925
SH
OTR
1
0
11925
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
477
20509
SH
DFND
20509
0
0
PATTERSON UTI ENERGY INC
COM
703481101
4634
441363
SH
DFND
441363
0
0
PAYCHEX INC
COM
704326107
141
1659
SH
DFND
1659
0
0
PAYCHEX INC
COM
704326107
285
3356
SH
OTR
1
0
3356
0
PAYPAL HLDGS INC
COM
70450Y103
9671
89410
SH
DFND
89410
0
0
PCM FUND INC
COM
69323T101
460
40118
SH
DFND
40118
0
0
PEGASYSTEMS INC
COM
705573103
296
3713
SH
OTR
1
0
3713
0
PENN NATL GAMING INC
COM
707569109
123
4820
SH
DFND
4820
0
0
PENN NATL GAMING INC
COM
707569109
279
10916
SH
OTR
1
0
10916
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
274
5465
SH
OTR
1
0
5465
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
382
7613
SH
DFND
7613
0
0
PEPSICO INC
COM
713448108
2223
16266
SH
DFND
16266
0
0
PERKINELMER INC
COM
714046109
530
5460
SH
DFND
5460
0
0
PERMIAN BASIN RTY TR
UNIT BEN INT
714236106
1670
432641
SH
DFND
432641
0
0
PFIZER INC
COM
717081103
2509
64032
SH
DFND
64032
0
0
PHILIP MORRIS INTL INC
COM
718172109
2693
31654
SH
DFND
31654
0
0
PIMCO DYNAMIC CREDIT AND MORTGAGE INCOME FD
COM SHS
72202D106
2213
87802
SH
DFND
87802
0
0
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
7590
233960
SH
DFND
233960
0
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
489
4816
SH
DFND
4816
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
2848
102494
SH
DFND
102494
0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
2443
206172
SH
DFND
206172
0
0
PIMCO INCOME STRATEGY FUND II
COM
72201J104
5010
473095
SH
DFND
473095
0
0
PIMCO MUN INCOME FD II
COM
72200W106
244
15400
SH
DFND
15400
0
0
PIMCO NY MUNICIPAL INCOME FD
COM
72200T103
646
46832
SH
DFND
46832
0
0
PIONEER MUN HIGH INC ADV TR
COM
723762100
279
25806
SH
DFND
25806
0
0
PIONEER MUN HIGH INCOME TR
COM SHS
723763108
683
56558
SH
DFND
56558
0
0
PJT PARTNERS INC
COM CL A
69343T107
20
435
SH
DFND
435
0
0
PJT PARTNERS INC
COM CL A
69343T107
289
6396
SH
OTR
1
0
6396
0
PRICE T ROWE GROUP INC
COM
74144T108
474
3891
SH
DFND
3891
0
0
PRICESMART INC
COM
741511109
280
3949
SH
OTR
1
0
3949
0
QUALCOMM INC
COM
747525103
272
3080
SH
DFND
3080
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
566
5300
SH
DFND
5300
0
0
QURATE RETAIL INC
COM SER A
74915M100
112
13261
SH
DFND
13261
0
0
QURATE RETAIL INC
COM SER A
74915M100
304
36062
SH
OTR
1
0
36062
0
RAFAEL HLDGS INC
COM CL B
75062E106
330
18494
SH
DFND
18494
0
0
RALPH LAUREN CORP
CL A
751212101
280
2391
SH
OTR
1
0
2391
0
RAYMOND JAMES FINANCIAL INC
COM
754730109
280
3126
SH
OTR
1
0
3126
0
RAYONIER ADVANCED MATLS INC
COM
75508B104
481
125352
SH
DFND
125352
0
0
RAYTHEON CO NEW
COM NEW
755111507
1067
4856
SH
DFND
4856
0
0
REALPAGE INC
COM
75606N109
288
5363
SH
OTR
1
0
5363
0
RED ROCK RESORTS INC
Cl A
75700L108
280
11677
SH
OTR
1
0
11677
0
RESIDEO TECHNOLOGIES INC
COM
76118Y104
616
51599
SH
DFND
51599
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
280
4384
SH
OTR
1
0
4384
0
RESTAURANT BRANDS INTL INC
COM
76131D103
384
6025
SH
DFND
6025
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
240
4050
SH
DFND
4050
0
0
ROCKWELL AUTOMATION INC
COM
773903109
1318
6503
SH
DFND
6503
0
0
ROLLINS INC
COM
775711104
286
8630
SH
OTR
1
0
8630
0
ROYAL CARIBBEAN CRUISES LTD
COM
V7780T103
2120
15876
SH
DFND
15876
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
694
11763
SH
DFND
11763
0
0
ROYAL GOLD INC
COM
780287108
26987
220751
SH
DFND
220751
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
10931
1279959
SH
DFND
1279959
0
0
ROYCE VALUE TR INC
COM
780910105
590
39922
SH
DFND
39922
0
0
RPC INC
COM
749660106
303
57829
SH
OTR
1
0
57829
0
S&P GLOBAL INC
COM
78409V104
853
3124
SH
DFND
3124
0
0
SABINE ROYALTY TR
UNIT BEN INT
785688102
1308
32451
SH
DFND
32451
0
0
SALESFORCE COM INC
COM
79466L302
3
20
SH
DFND
20
0
0
SALESFORCE COM INC
COM
79466L302
286
1761
SH
OTR
1
0
1761
0
SANDSTORM GOLD LTD
COM NEW
80013R206
17240
2314073
SH
DFND
2314073
0
0
SANOFI
RIGHT 12/31/2020
80105N113
14
15940
SH
DFND
15940
0
0
SANOFI
SPONSORED ADR
80105N105
1054
21000
SH
DFND
21000
0
0
SCHLUMBERGER
COM
806857108
725
18024
SH
DFND
18024
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
278
5845
SH
OTR
1
0
5845
0
SCIENCE APPLICATNS INTL CP N
COM
808625107
47791
549192
SH
DFND
549192
0
0
SCOTTS MIRACLE GRO CO
CL A
810186106
292
2751
SH
OTR
1
0
2751
0
SCRIPPS E W CO OHIO CL A
CL A NEW
811054402
943
60000
SH
DFND
60000
0
0
SEALED AIR CORP NEW
COM
81211K100
1373
34475
SH
DFND
34475
0
0
SEASPAN CORP
SHS
Y75638109
289
20360
SH
OTR
1
0
20360
0
SERITAGE GROWTH PPTYS
CL A
81752R100
289
7220
SH
OTR
1
0
7220
0
SILGAN HOLDINGS INC
COM
827048109
290
9338
SH
OTR
1
0
9338
0
SIMON PPTY GROUP INC NEW
COM
828806109
42
282
SH
DFND
282
0
0
SIMON PPTY GROUP INC NEW
COM
828806109
293
1970
SH
OTR
1
0
1970
0
SONOCO PRODUCTS
COM
835495102
1287
20850
SH
DFND
20850
0
0
SPDR GOLD TRUST GOLD
GOLD SHS
78463V107
520
3642
SH
DFND
3642
0
0
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
786
2093
SH
DFND
2093
0
0
SPDR SERIES TRUST
PORTFOLIO SHORT
78464A474
740
24000
SH
DFND
24000
0
0
SPECTRUM BRNDS HOLDINGS INC
COM
84790A105
43
674
SH
DFND
674
0
0
SPECTRUM BRNDS HOLDINGS INC
COM
84790A105
294
4572
SH
OTR
1
0
4572
0
SQUARE INC
CL A
852234103
230
3680
SH
DFND
3680
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
287
4669
SH
OTR
1
0
4669
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2937
9124
SH
DFND
9124
0
0
STARBUCKS CORP
COM
855244109
204
2316
SH
DFND
2316
0
0
STONECO LTD
COM CL A
G85158106
791
19826
SH
DFND
19826
0
0
STRYKER CORP
COM
863667101
420
2000
SH
DFND
2000
0
0
SUNCOR ENERGY INC NEW
COM
867224107
2078
63358
SH
DFND
63358
0
0
TAUBMAN CTRS INC
COM
876664103
297
9547
SH
OTR
1
0
9547
0
TEGNA INC
COM
87901J105
199
11950
SH
DFND
11950
0
0
TELEFLEX INC
COM
879369106
832
2211
SH
DFND
2211
0
0
TENNECO INC
CL A VTG COM STK
880349105
266
20330
SH
OTR
1
0
20330
0
TESLA INC
COM
88160R101
303
724
SH
OTR
1
0
724
0
TEXAS PACIFIC LAND TRUST
SUB CTF PROP IT
882610108
1386571
1774880
SH
DFND
1774880
0
0
THIRD PT REINS LTD
COM
G8827U100
294
27952
SH
OTR
1
0
27952
0
TIMKEN CO
COM
887389104
286
5074
SH
OTR
1
0
5074
0
TIMKENSTEEL CORP
COM
887399103
299
38024
SH
OTR
1
0
38024
0
TOOTSIE ROLL INDS INC
COM
890516107
18
536
SH
DFND
536
0
0
TOOTSIE ROLL INDS INC
COM
890516107
282
8260
SH
OTR
1
0
8260
0
TORONTO DOMINION BK ONT
COM NEW
891160509
1013
18050
SH
DFND
18050
0
0
TORTOISE ENERGY INFRSTRCTR C
COM
89147L100
436
24340
SH
DFND
24340
0
0
TORTOISE MIDSTREAM ENERGY FD INC
COM
89148B101
1679
153180
SH
DFND
153180
0
0
TRI POINTE GROUP INC
COM
87265H109
2547
163449
SH
DFND
163449
0
0
TRILOGY METALS INC
COM
89621C105
51
19765
SH
DFND
19765
0
0
TRINITY PLACE HOLDINGS INC
COM
89656D101
31
10156
SH
DFND
10156
0
0
TTEC HOLDINGS INC
COM
89854H102
311
7851
SH
OTR
1
0
7851
0
UNDER ARMOUR INC
CL C
904311206
287
14953
SH
OTR
1
0
14953
0
UNION PACIFIC CORP
COM
907818108
2186
12090
SH
DFND
12090
0
0
UNITED PARCEL SVC INC
CL B
911312106
539
4606
SH
DFND
4606
0
0
UNITED TECHNOLOGIES CORP DEL
COM
913017109
231
1541
SH
DFND
1541
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
282
960
SH
DFND
960
0
0
URBAN EDGE PPTYS
COM
91704F104
4
225
SH
DFND
225
0
0
URBAN EDGE PPTYS
COM
91704F104
285
14861
SH
OTR
1
0
14861
0
URBAN OUTFITTERS INC
COM
917047102
282
10161
SH
OTR
1
0
10161
0
US BANCORP DEL
COM NEW
902973304
246
4155
SH
DFND
4155
0
0
VAIL RESORTS INC
COM
91879Q109
521
2173
SH
DFND
2173
0
0
VALMONT INDS INC
COM
920253101
363
2425
SH
DFND
2425
0
0
VANECK VECTORS ETF TRUST
GOLD MINERS ETF
92189F106
1314
44887
SH
DFND
44887
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
547
5836
SH
DFND
5836
0
0
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
2393
18993
SH
DFND
18993
0
0
VANGUARD INDEX FDS
S&P500 ETF SHS
922908363
4823
16305
SH
DFND
16305
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
832
5024
SH
DFND
5024
0
0
VANGUARD INDEX TR
TOTAL STK MKT
922908769
4963
30333
SH
DFND
30333
0
0
VANGUARD INDEX FUNDS
REAL ESTATE ETF
922908553
827
8911
SH
DFND
8911
0
0
VANGUARD SCOTTSDALE FDS
SHORT TERM TREAS
92206C102
22974
377670
SH
DFND
377670
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1789
22081
SH
DFND
22081
0
0
VENTAS INC
COM
92276F100
217
3766
SH
DFND
3766
0
0
VERISK ANALYTICS INC
CL A
92345Y106
1045
7000
SH
DFND
7000
0
0
VERIZON COMMUNICATIONS
COM
92343V104
2238
36447
SH
DFND
36447
0
0
VIACOMCBS INC
CL B
92556H206
290
6915
SH
OTR
1
0
6915
0
VIACOMCBS INC
CL B
92556H206
1281
30518
SH
DFND
30518
0
0
VIASAT INC
COM
92552V100
1242
16968
SH
DFND
16968
0
0
VIPER ENERGY PARTNERS LP
COM UNT RP INT
92763M105
3356
136093
SH
DFND
136093
0
0
VIRTU FINL INC
CL A
928254101
284
17777
SH
OTR
1
0
17777
0
VISA INC
COM CL A
92826C839
6473
34448
SH
DFND
34448
0
0
VORNADO RLTY TR
SH BEN INT
929042109
14
207
SH
DFND
207
0
0
VORNADO RLTY TR
SH BEN INT
929042109
286
4295
SH
OTR
1
0
4295
0
W & T OFFSHORE INC
COM
92922P106
302
54245
SH
OTR
1
0
54245
0
W P CAREY INC
COM
92936U109
900
11250
SH
DFND
11250
0
0
WABTEC
COM
929740108
323
4150
SH
DFND
4150
0
0
WALMART INC
COM
931142103
355
2985
SH
DFND
2985
0
0
WELBILT INC
COM
949090104
280
17935
SH
OTR
1
0
17935
0
WELBILT INC
COM
949090104
471
30198
SH
DFND
30198
0
0
WELLS FARGO & CO NEW
COM
949746101
212
3936
SH
DFND
3936
0
0
WENDYS COMPANY
COM
95058W100
287
12926
SH
OTR
1
0
12926
0
WENDYS COMPANY
COM
95058W100
54137
2437508
SH
DFND
2437508
0
0
WERNER ENTERPRISES INC
COM
950755108
283
7767
SH
OTR
1
0
7767
0
WESTERN ASSET CORPORATE LN FD
COM
95790J102
884
89224
SH
DFND
89224
0
0
WESTERN ASSET INTM MUNI FD I
COM UNIT LP INT
958435109
239
26338
SH
DFND
26338
0
0
WESTLAKE CHEM CORP
COM
960413102
285
4060
SH
OTR
1
0
4060
0
WHEATON PRECIOUS METALS CORP
COM
962879102
106349
3574763
SH
DFND
3574763
0
0
WHITE MOUNTAINS INSURANCE GROUP LTD
COM
G9618E107
712
638
SH
DFND
638
0
0
WILLIAMS COS INC
COM
969457100
3440
145026
SH
DFND
145026
0
0
WSTRN ASSET INFLATION LINKED OPPORT INC FD
COM
95766R104
333
28842
SH
DFND
28842
0
0
WW INTL INC
COM
98262P101
268
7021
SH
OTR
1
0
7021
0
WYNN RESORTS LTD
COM
983134107
692
4984
SH
DFND
4984
0
0
XEROX HOLDINGS CORP
COM NEW
98421M106
281
7627
SH
OTR
1
0
7627
0
XPO LOGISTICS INC
COM
983793100
284
3568
SH
OTR
1
0
3568
0
ISHARES SILVER TRUST
COM
46428Q109
3276
135800
SH
Call
DFND
135800
0
0
BRIGHTHOUSE FINL INC
ISHARES
10922N103
9794
127900
SH
Call
DFND
127900
0
0
NEW GOLD INC CDA
COM
644535106
620
248400
SH
Call
DFND
248400
0
0