0001279891-17-000008.txt : 20170515 0001279891-17-000008.hdr.sgml : 20170515 20170515113405 ACCESSION NUMBER: 0001279891-17-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WOLVERINE ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001279891 IRS NUMBER: 020611276 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10687 FILM NUMBER: 17842338 BUSINESS ADDRESS: STREET 1: 175 W. JACKSON STREET 2: SUITE 340 CITY: CHICAGO STATE: IL ZIP: 60064 BUSINESS PHONE: 3128844400 MAIL ADDRESS: STREET 1: 175 WEST JACKSON STREET 2: SUITE 340 CITY: CHICAGO STATE: IL ZIP: 60604 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001279891 XXXXXXXX 03-31-2017 03-31-2017 WOLVERINE ASSET MANAGEMENT LLC

175 WEST JACKSON SUITE 340 CHICAGO IL 60604

13F HOLDINGS REPORT 028-10687 N Niraj Patel 312-884-3745 Niraj Patel Chicago IL 05-15-2017 1 1168 6443131 false 1 0001542456 028-17506 Wolverine Holdings, L.P. 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369900 SH Put DFND 1 0 0 0 EVOLENT HEALTH INC CL A 30050B101 24 1100 SH Put DFND 1 0 0 0 EXELON CORP COM 30161N101 615 17100 SH Put DFND 1 0 0 0 EXPEDIA INC DEL COM NEW 30212P303 1135 9000 SH Put DFND 1 0 0 0 FREEPORT-MCMORAN INC CL B 35671D857 25 1900 SH Put DFND 1 0 0 0 GENERAL ELECTRIC CO COM 369604103 1192 40000 SH Put DFND 1 0 0 0 GRIFFON CORP COM 398433102 73 3000 SH Put DFND 1 0 0 0 GENERAL MLS INC COM 370334104 5340 90500 SH Put DFND 1 0 0 0 GNC HLDGS INC COM CL A 36191G107 186 25300 SH Put DFND 1 0 0 0 GOGO INC COM 38046C109 2917 265200 SH Put DFND 1 0 0 0 GREEN PLAINS INC COM 393222104 259 10500 SH Put DFND 1 0 0 0 GOPRO INC CL A 38268T103 21 2500 SH Put DFND 1 0 0 0 GAP INC DEL COM 364760108 1214 50000 SH Put DFND 1 0 0 0 GRAN TIERRA ENERGY INC COM 38500T101 71 26900 SH Put DFND 1 0 0 0 HALLIBURTON CO COM 406216101 757 15400 SH Put DFND 1 0 0 0 HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 347 20000 SH Put DFND 1 0 0 0 HOME DEPOT INC COM 437076102 1468 10000 SH Put DFND 1 0 0 0 HESS CORP COM 42809H107 1480 30700 SH Put DFND 1 0 0 0 HERBALIFE LTD COM USD SHS G4412G101 40192 691300 SH Put DFND 1 0 0 0 HORNBECK OFFSHORE SVCS INC N COM 440543106 288 65100 SH Put DFND 1 0 0 0 BLOCK H & R INC COM 093671105 1767 76000 SH Put DFND 1 0 0 0 HUNTSMAN CORP COM 447011107 2454 100000 SH Put DFND 1 0 0 0 ICONIX BRAND GROUP INC COM 451055107 204 27200 SH Put DFND 1 0 0 0 INFOSYS LTD SPONSORED ADR 456788108 4676 296000 SH Put DFND 1 0 0 0 ION GEOPHYSICAL CORP COM NEW 462044207 21 4400 SH Put DFND 1 0 0 0 INTL PAPER CO COM 460146103 9465 186400 SH Put DFND 1 0 0 0 JAKKS PAC INC COM 47012E106 118 21500 SH Put DFND 1 0 0 0 J2 GLOBAL INC COM 48123V102 50 600 SH Put DFND 1 0 0 0 PENNEY J C INC COM 708160106 2099 340800 SH Put DFND 1 0 0 0 KRAFT HEINZ CO COM 500754106 99 1100 SH Put DFND 1 0 0 0 KINDER MORGAN INC DEL COM 49456B101 5435 250000 SH Put DFND 1 0 0 0 COCA COLA CO COM 191216100 1969 46400 SH Put DFND 1 0 0 0 KROGER CO COM 501044101 1306 44300 SH Put DFND 1 0 0 0 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 1879 241600 SH Put DFND 1 0 0 0 LGI HOMES INC COM 50187T106 101 3000 SH Put DFND 1 0 0 0 CHENIERE ENERGY INC COM NEW 16411R208 127 2700 SH Put DFND 1 0 0 0 LULULEMON ATHLETICA INC COM 550021109 1514 29200 SH Put DFND 1 0 0 0 LAS VEGAS SANDS CORP COM 517834107 2568 45000 SH Put DFND 1 0 0 0 MACYS INC COM 55616P104 296 10000 SH Put DFND 1 0 0 0 MOBILEYE N V AMSTELVEEN ORD SHS N51488117 4156 67700 SH Put DFND 1 0 0 0 MDC PARTNERS INC CL A SUB VTG 552697104 23 2500 SH Put DFND 1 0 0 0 MCDERMOTT INTL INC COM 580037109 6 1000 SH Put DFND 1 0 0 0 MGM RESORTS INTERNATIONAL COM 552953101 580 21200 SH Put DFND 1 0 0 0 MARATHON PETE CORP COM 56585A102 8344 165100 SH Put DFND 1 0 0 0 MICROSOFT CORP COM 594918104 8087 122800 SH Put DFND 1 0 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 417 50000 SH Put DFND 1 0 0 0 NAVISTAR INTL CORP NEW COM 63934E108 24 1000 SH Put DFND 1 0 0 0 NETFLIX INC COM 64110L106 206 1400 SH Put DFND 1 0 0 0 NEWPARK RES INC COM PAR $.01NEW 651718504 1078 133200 SH Put DFND 1 0 0 0 OASIS PETE INC NEW COM 674215108 938 65800 SH Put DFND 1 0 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 633 10000 SH Put DFND 1 0 0 0 PANDORA MEDIA INC COM 698354107 452 38300 SH Put DFND 1 0 0 0 PALO ALTO NETWORKS INC COM 697435105 1092 9700 SH Put DFND 1 0 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1841 190000 SH Put DFND 1 0 0 0 PRICELINE GRP INC COM NEW 741503403 16375 9200 SH Put DFND 1 0 0 0 PROOFPOINT INC COM 743424103 1464 19700 SH Put DFND 1 0 0 0 POST HLDGS INC COM 737446104 4025 46000 SH Put DFND 1 0 0 0 PROS HOLDINGS INC COM 74346Y103 60 2500 SH Put DFND 1 0 0 0 RH COM 74967X103 259 5600 SH Put DFND 1 0 0 0 TRANSOCEAN LTD REG SHS H8817H100 17030 1367900 SH Put DFND 1 0 0 0 RALPH LAUREN CORP CL A 751212101 636 7800 SH Put DFND 1 0 0 0 REXNORD CORP NEW COM 76169B102 1283 55600 SH Put DFND 1 0 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 2316 172200 SH Put DFND 1 0 0 0 STARBUCKS CORP COM 855244109 5885 100800 SH Put DFND 1 0 0 0 SHOE CARNIVAL INC COM 824889109 103 4200 SH Put DFND 1 0 0 0 SEADRILL LIMITED SHS G7945E105 82 50000 SH Put DFND 1 0 0 0 FANG HLDGS LTD ADR 30711Y102 32 10000 SH Put DFND 1 0 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 1816 76800 SH Put DFND 1 0 0 0 SEARS HLDGS CORP COM 812350106 2632 229100 SH Put DFND 1 0 0 0 SIGNET JEWELERS LIMITED SHS G81276100 2050 29600 SH Put DFND 1 0 0 0 SKECHERS U S A INC CL A 830566105 535 19500 SH Put DFND 1 0 0 0 U S SILICA HLDGS INC COM 90346E103 1674 34900 SH Put DFND 1 0 0 0 SANCHEZ ENERGY CORP COM 79970Y105 54 5700 SH Put DFND 1 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 38519 163400 SH Put DFND 1 0 0 0 STERICYCLE INC COM 858912108 3680 44400 SH Put DFND 1 0 0 0 SILVER STD RES INC COM 82823L106 1453 137000 SH Put DFND 1 0 0 0 SOUTHWESTERN ENERGY CO COM 845467109 4115 503700 SH Put DFND 1 0 0 0 TAILORED BRANDS INC COM 87403A107 44 3000 SH Put DFND 1 0 0 0 TRIPADVISOR INC COM 896945201 435 10100 SH Put DFND 1 0 0 0 TESLA INC COM 88160R101 184735 663800 SH Put DFND 1 0 0 0 TYSON FOODS INC CL A 902494103 715 11600 SH Put DFND 1 0 0 0 TERRAVIA HLDGS INC COM 88105A106 1 1800 SH Put DFND 1 0 0 0 TWITTER INC COM 90184L102 372 24900 SH Put DFND 1 0 0 0 TIME WARNER INC COM NEW 887317303 1319 13500 SH Put DFND 1 0 0 0 UNDER ARMOUR INC CL A 904311107 2777 140400 SH Put DFND 1 0 0 0 ULTA BEAUTY INC COM 90384S303 285 1000 SH Put DFND 1 0 0 0 URBAN OUTFITTERS INC COM 917047102 285 12000 SH Put DFND 1 0 0 0 VISA INC COM CL A 92826C839 1261 14200 SH Put DFND 1 0 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 6013 450800 SH Put DFND 1 0 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 4135 49800 SH Put DFND 1 0 0 0 WORKDAY INC CL A 98138H101 508 6100 SH Put DFND 1 0 0 0 WHOLE FOODS MKT INC COM 966837106 2894 97400 SH Put DFND 1 0 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 8975 1349700 SH Put DFND 1 0 0 0 LYON WILLIAM HOMES CL A NEW 552074700 9237 448000 SH Put DFND 1 0 0 0 WABASH NATL CORP COM 929566107 41 2000 SH Put DFND 1 0 0 0 WPX ENERGY INC COM 98212B103 8963 669400 SH Put DFND 1 0 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 406 18300 SH Put DFND 1 0 0 0 WYNN RESORTS LTD COM 983134107 4068 35500 SH Put DFND 1 0 0 0 UNITED STATES STL CORP NEW COM 912909108 7570 223900 SH Put DFND 1 0 0 0 XERIUM TECHNOLOGIES INC COM NEW 98416J118 126 19700 SH Put DFND 1 0 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 4224 100000 SH Put DFND 1 0 0 0 ZILLOW GROUP INC CL A 98954M101 2092 61900 SH Put DFND 1 0 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 13185 99600 SH Put DFND 1 0 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 26304 200000 SH Put DFND 1 0 0 0 CARMAX INC COM 143130102 5922 100000 SH Put DFND 1 0 0 0 KELLOGG CO COM 487836108 1553 21400 SH Put DFND 1 0 0 0 KIMBERLY CLARK CORP COM 494368103 2632 20000 SH Put DFND 1 0 0 0 MONDELEZ INTL INC CL A 609207105 2154 50000 SH Put DFND 1 0 0 0 AUTOLIV INC COM 052800109 2045 20000 SH Put DFND 1 0 0 0 ANADARKO PETE CORP COM 032511107 1240 20000 SH Put DFND 1 0 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 2749 20000 SH Put DFND 1 0 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 4194 60000 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DLY EMG MK BL 3X 25490K281 2630 35700 SH Put DFND 1 0 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 5376 136500 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DLY ENRGY BULL3X 25459W888 4346 137100 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DLY FIN BULL NEW 25459Y694 621 14000 SH Put DFND 1 0 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 22543 988300 SH Put DFND 1 0 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 6235 173300 SH Put DFND 1 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 9177 77300 SH Put DFND 1 0 0 0 ISHARES TR U.S. REAL ES ETF 464287739 6781 86400 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DAILY JR GOLD MI 25490K554 571 88500 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K570 262 29200 SH Put DFND 1 0 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 1 100 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DRX S&P500BULL 25459W862 14997 118700 SH Put DFND 1 0 0 0 PROSHARES TR PSHS ULT S&P 500 74347R107 19462 229400 SH Put DFND 1 0 0 0 PROSHARES TR II SHT VIX ST TRM 74347W627 39790 281900 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 189434 1791000 SH Put DFND 1 0 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 45419 514900 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DAILY SM CAP BEA 25490K521 12 700 SH Put DFND 1 0 0 0 PROSHARES TR ULTRPRO S&P500 74347X864 8631 89900 SH Put DFND 1 0 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 484 45500 SH Put DFND 1 0 0 0 PROSHARES TR II ULTRA VIX ETF 74347W239 2150 133000 SH Put DFND 1 0 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06740Q252 420 26600 SH Put DFND 1 0 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 32530 500000 SH Put DFND 1 0 0 0 HORIZON PHARMA PLC SHS G4617B105 147 10000 SH Put DFND 1 0 0 0 SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 2421 50000 SH Put DFND 1 0 0 0 ABBOTT LABS COM 002824100 310 7000 SH Put DFND 1 0 0 0 BLACKBERRY LTD COM 09228F103 110 14200 SH Put DFND 1 0 0 0 BOSTON SCIENTIFIC CORP COM 101137107 2 100 SH Put DFND 1 0 0 0 AVIS BUDGET GROUP COM 053774105 73 2500 SH Put DFND 1 0 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 911 102800 SH Put DFND 1 0 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 2298 50000 SH Put DFND 1 0 0 0 ENDOLOGIX INC COM 29266S106 676 93500 SH Put DFND 1 0 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 815 380900 SH Put DFND 1 0 0 0 HARMONIC INC COM 413160102 192 32400 SH Put DFND 1 0 0 0 INFINERA CORPORATION COM 45667G103 798 78100 SH Put DFND 1 0 0 0 IRIDIUM COMMUNICATIONS INC COM 46269C102 301 31200 SH Put DFND 1 0 0 0 EASTMAN KODAK CO COM NEW 277461406 5 500 SH Put DFND 1 0 0 0 MEDIDATA SOLUTIONS INC COM 58471A105 5 100 SH Put DFND 1 0 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 1620 18800 SH Put DFND 1 0 0 0 INSULET CORP COM 45784P101 336 7800 SH Put DFND 1 0 0 0 SPRINT CORP COM SER 1 85207U105 348 40100 SH Put DFND 1 0 0 0 SPECTRANETICS CORP COM 84760C107 279 9600 SH Put DFND 1 0 0 0 AT&T INC COM 00206R102 831 20000 SH Put DFND 1 0 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 2397 135400 SH Put DFND 1 0 0 0 T MOBILE US INC COM 872590104 1582 24500 SH Put DFND 1 0 0 0 UNITED PARCEL SERVICE INC CL B 911312106 53 500 SH Put DFND 1 0 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 1194 20000 SH Put DFND 1 0 0 0 SNAP INC CL A 83304A106 1577 70000 SH Put DFND 1 0 0 0 UNITED CONTL HLDGS INC COM 910047109 1766 25000 SH Put DFND 1 0 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 915 52200 SH Put DFND 1 0 0 0 ISHARES S&P GSCI COMMODITY I UNIT BEN INT 46428R107 71 4858 SH DFND 1 4858 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 144 9486 SH DFND 1 9486 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 247 6289 SH DFND 1 6289 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 11750 295838 SH DFND 1 295838 0 0 ISHARES MSCI EURZONE ETF 464286608 1370 36461 SH DFND 1 36461 0 0 ISHARES TR EUROPE ETF 464287861 911 21781 SH DFND 1 21781 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 6831 132470 SH DFND 1 132470 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 3998 77638 SH DFND 1 77638 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 40 635 SH DFND 1 635 0 0 ISHARES TR U.S. REAL ES ETF 464287739 9 116 SH DFND 1 116 0 0 VANGUARD INDEX FDS REIT ETF 922908553 87 1054 SH DFND 1 1054 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 5805 44138 SH DFND 1 44138 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 9269 81454 SH DFND 1 81454 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 1090 8966 SH DFND 1 8966 0 0 ISHARES TR S&P 500 VAL ETF 464287408 4545 43691 SH DFND 1 43691 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 4059 35316 SH DFND 1 35316 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 3847 40341 SH DFND 1 40341 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 7803 66046 SH DFND 1 66046 0 0 ADAMS DIVERSIFIED EQUITY FD COM 006212104 3204 233047 SH DFND 1 233047 0 0 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 4169 345739 SH DFND 1 345739 0 0 BANCROFT FUND LTD COM 059695106 153 7301 SH DFND 1 7301 0 0 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1372 236964 SH DFND 1 236964 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 223 24021 SH DFND 1 24021 0 0 HANCOCK JOHN FINL OPPTYS FD SH BEN INT NEW 409735206 879 25867 SH DFND 1 25867 0 0 ELLSWORTH GROWTH & INCOME FD COM 289074106 351 40748 SH DFND 1 40748 0 0 EATON VANCE TAX ADVT DIV INC COM 27828G107 50 2400 SH DFND 1 2400 0 0 EATON VANCE TAX MNGD GBL DV COM 27829F108 807 94752 SH DFND 1 94752 0 0 FIRST TR ENHANCED EQTY INC F COM 337318109 157 10916 SH DFND 1 10916 0 0 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 43 5848 SH DFND 1 5848 0 0 COHEN & STEERS CLOSED END OP COM 19248P106 61 4922 SH DFND 1 4922 0 0 GENERAL AMERN INVS INC COM 368802104 395 11794 SH DFND 1 11794 0 0 GABELLI GLB SML & MD CP VAL COM 36249W104 46 4046 SH DFND 1 4046 0 0 GABELLI GLOBL UTIL & INCOME COM SH BEN INT 36242L105 328 17677 SH DFND 1 17677 0 0 GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 350 43406 SH DFND 1 43406 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 234 9769 SH DFND 1 9769 0 0 VOYA ASIA PAC DIVID EQUITY I COM 92912J102 219 21635 SH DFND 1 21635 0 0 ABERDEEN INDONESIA FD INC COM 00305P106 93 13013 SH DFND 1 13013 0 0 INDIA FD INC COM 454089103 2393 94225 SH DFND 1 94225 0 0 VOYA INTL HIGH DIVID EQTY IN COM 92912Y109 73 10561 SH DFND 1 10561 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 484 15365 SH DFND 1 15365 0 0 COHEN & STEERS GLOBAL INC BL COM 19248M103 178 19436 SH DFND 1 19436 0 0 BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 1014 76858 SH DFND 1 76858 0 0 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 357 32961 SH DFND 1 32961 0 0 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 69 4636 SH DFND 1 4636 0 0 LAZARD GLB TTL RET&INCM FD I COM 52106W103 357 23791 SH DFND 1 23791 0 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 313 13741 SH DFND 1 13741 0 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 2815 190861 SH DFND 1 190861 0 0 MEXICO EQUITY & INCOME FD COM 592834105 289 26650 SH DFND 1 26650 0 0 MEXICO FD INC COM 592835102 1205 73506 SH DFND 1 73506 0 0 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 7 600 SH DFND 1 600 0 0 NEUBERGER BERMAN RE ES SEC F COM 64190A103 1665 312983 SH DFND 1 312983 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 46 351 SH DFND 1 351 0 0 COHEN & STEERS TOTAL RETURN COM 19247R103 439 35670 SH DFND 1 35670 0 0 ROYCE GLOBAL VALUE TR INC COM 78081T104 334 38080 SH DFND 1 38080 0 0 RMR REAL ESTATE INCOME FUND COM 76970B101 562 26789 SH DFND 1 26789 0 0 RIVERNORTH OPPRTUNITIES FD I COM 76881Y109 4 207 SH DFND 1 207 0 0 COHEN & STEERS REIT & PFD IN COM 19247X100 1778 91904 SH DFND 1 91904 0 0 COHEN & STEERS QUALITY RLTY COM 19247L106 339 27587 SH DFND 1 27587 0 0 TEKLA HEALTHCARE OPPORTUNIT SHS 879105104 1174 67520 SH DFND 1 67520 0 0 TURKISH INVT FD INC COM 900145103 967 116471 SH DFND 1 116471 0 0 TAIWAN FD INC COM 874036106 634 34804 SH DFND 1 34804 0 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 364 16902 SH DFND 1 16902 0 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 782 62168 SH DFND 1 62168 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 164 8584 SH DFND 1 8584 0 0 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 1 500 SH DFND 1 500 0 0 DUFF & PHELPS UTIL CORP BD T COM 26432K108 73 7969 SH DFND 1 7969 0 0 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 430 51263 SH DFND 1 51263 0 0 MORGAN STANLEY EM MKTS DM DE COM 617477104 308 40685 SH DFND 1 40685 0 0 BLACKROCK ENHANCED GOVT FD I COM 09255K108 159 12089 SH DFND 1 12089 0 0 WELLS FARGO MULTI SECTOR INC COM 94987D101 195 14683 SH DFND 1 14683 0 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 593 65334 SH DFND 1 65334 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 287 24718 SH DFND 1 24718 0 0 GOLDMAN SACHS MLP ENERGY REN COM 38148G107 494 61107 SH DFND 1 61107 0 0 GOLDMAN SACHS MLP INC OPP FD COM SHS 38147W103 244 22893 SH DFND 1 22893 0 0 EAGLE CAP GROWTH FD INC COM 269451100 29 3961 SH DFND 1 3961 0 0 WESTERN ASSET HIGH INCM OPP COM 95766K109 600 119054 SH DFND 1 119054 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 671 61469 SH DFND 1 61469 0 0 MORGAN STANLEY TRUSTS INCOME SECS INC 61745P874 35 1979 SH DFND 1 1979 0 0 WESTERN ASSET INVT GRADE DEF COM 95790A101 238 11684 SH DFND 1 11684 0 0 PRUDENTIAL SHT DURATION HG Y COM 74442F107 432 28125 SH DFND 1 28125 0 0 HANCOCK JOHN INVS TR COM 410142103 103 6095 SH DFND 1 6095 0 0 NUVEEN MULTI MKT INCOME FD COM 67075J107 38 5250 SH DFND 1 5250 0 0 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 136 13936 SH DFND 1 13936 0 0 NUVEEN PFD & INCOME TERM FD COM 67075A106 276 11493 SH DFND 1 11493 0 0 NUVEEN PREFERRED SECURITIES COM 67072C105 7 737 SH DFND 1 737 0 0 MFS GOVT MKTS INCOME TR SH BEN INT 552939100 210 42600 SH DFND 1 42600 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 119 27709 SH DFND 1 27709 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 4 430 SH DFND 1 430 0 0 NEUBERGER BERMAN HGH YLD FD COM 64128C106 39 3321 SH DFND 1 3321 0 0 NEUBERGER BERMAN MLP INCOME COM 64129H104 284 28098 SH DFND 1 28098 0 0 WESTERN ASSET INCOME FD COM 95766T100 37 2572 SH DFND 1 2572 0 0 PACHOLDER HIGH YIELD FD INC COM 693742108 144 18683 SH DFND 1 18683 0 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 177 7776 SH DFND 1 7776 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 407 36245 SH DFND 1 36245 0 0 TORTOISE PWR & ENERGY INFRAS COM 89147X104 41 1891 SH DFND 1 1891 0 0 TORTOISE PIPELINE & ENERGY F COM 89148H108 0 8 SH DFND 1 8 0 0 WESTERN ASSET PREMIER BD FD SHS BEN INT 957664105 179 13430 SH DFND 1 13430 0 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 41 3724 SH DFND 1 3724 0 0 ALLIANCE CALIF MUN INCOME FD COM 018546101 309 23282 SH DFND 1 23282 0 0 BLACKROCK MUNICIPAL BOND TR COM 09249H104 5 356 SH DFND 1 356 0 0 BLACKROCK NY MUN INCOME TR I COM 09249R102 126 8667 SH DFND 1 8667 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 188 13220 SH DFND 1 13220 0 0 BLACKROCK INVT QUALITY MUN T COM 09247D105 72 4977 SH DFND 1 4977 0 0 BLACKROCK NJ MUNICIPAL BOND COM 09249A109 63 4389 SH DFND 1 4389 0 0 BLACKROCK NY MUNI INC QLTY T COM 09249U105 304 23203 SH DFND 1 23203 0 0 BLACKROCK MD MUNICIPAL BOND COM 09249L105 140 9881 SH DFND 1 9881 0 0 MFS CALIF MUN FD COM 59318C106 395 34192 SH DFND 1 34192 0 0 EATON VANCE CA MUNI INCOME T SH BEN INT 27826F101 914 74607 SH DFND 1 74607 0 0 EATON VANCE CALIF MUN BD FD COM 27828C106 717 62375 SH DFND 1 62375 0 0 EATON VANCE OHIO MUN BD FD COM 27828L106 223 17516 SH DFND 1 17516 0 0 EATON VANCE PA MUN BD FD COM 27828W102 317 24979 SH DFND 1 24979 0 0 EATON VANCE N J MUN BD FD COM 27828R103 292 23333 SH DFND 1 23333 0 0 EATON VANCE NEW YORK MUN BD COM 27827Y109 338 27445 SH DFND 1 27445 0 0 EATON VANCE NJ MUNI INCOME T SH BEN INT 27826V106 581 48435 SH DFND 1 48435 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 673 59320 SH DFND 1 59320 0 0 EATON VANCE OH MUNI INCOME T SH BEN INT 27826G109 78 5787 SH DFND 1 5787 0 0 EATON VANCE PA MUNI INCOME T SH BEN INT 27826T101 17 1472 SH DFND 1 1472 0 0 EATON VANCE NY MUNI INCOME T SH BEN INT 27826W104 604 47102 SH DFND 1 47102 0 0 FEDERATED PREM MUN INC FD COM 31423P108 274 19873 SH DFND 1 19873 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 803 55058 SH DFND 1 55058 0 0 PIONEER MUN HIGH INCOME ADV COM 723762100 331 30145 SH DFND 1 30145 0 0 WESTERN ASSET MUN HI INCM FD COM 95766N103 108 15072 SH DFND 1 15072 0 0 PIONEER MUN HIGH INCOME TR COM SHS 723763108 630 54233 SH DFND 1 54233 0 0 EATON VANCE MICH MUN BD FD COM 27828M104 204 15180 SH DFND 1 15180 0 0 BLACKROCK MUNIYLD MICH QLTY COM 09254V105 63 4696 SH DFND 1 4696 0 0 EATON VANCE MA MUNI INCOME T SH BEN INT 27826E104 147 11051 SH DFND 1 11051 0 0 BLACKROCK MUNI N Y INTER DUR COM 09255F109 603 43884 SH DFND 1 43884 0 0 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 335 23644 SH DFND 1 23644 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 19 1351 SH DFND 1 1351 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 121 8404 SH DFND 1 8404 0 0 NUVEEN NEW YORK QLT MUN INC COM 67066X107 20 1531 SH DFND 1 1531 0 0 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 111 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697 62312 SH DFND 1 62312 0 0 INVESCO PA VALUE MUN INCOME COM 46132K109 901 74116 SH DFND 1 74116 0 0 INVESCO TR INVT GRADE NY MUN COM 46131T101 953 70658 SH DFND 1 70658 0 0 CURRENCYSHS BRIT POUND STER BRIT POUND STE 23129S106 10381 85000 SH DFND 1 85000 0 0 AMAG PHARMACEUTICALS INC NOTE 2.500% 2/1 00163UAA4 20111 18400000 PRN DFND 1 0 0 0 ANI PHARMACEUTICALS INC NOTE 3.000%12/0 00182CAA1 9666 9109000 PRN DFND 1 0 0 0 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 25159 29123000 PRN DFND 1 0 0 0 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 143128 72423000 PRN DFND 1 0 0 0 ALBANY MOLECULAR RESH INC NOTE 2.250%11/1 012423AB5 15749 14367000 PRN DFND 1 0 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 5674 265556 SH DFND 1 265556 0 0 AMERICAN TOWER CORP NEW DEP PFD CONV SE 03027X407 825 7361 SH DFND 1 7361 0 0 ARRAY BIOPHARMA INC NOTE 3.000% 6/0 04269XAA3 26515 18715000 PRN DFND 1 0 0 0 ASSOCIATED BANC CORP *W EXP 11/21/201 045487113 324 60576 SH DFND 1 60576 0 0 BANK AMER CORP *W EXP 10/28/201 060505153 1804 1778929 SH DFND 1 1778929 0 0 BANK AMER CORP 7.25%CNV PFD L 060505682 4622 3880 SH DFND 1 3880 0 0 BOSTON PRIVATE FINL HLDGS IN *W EXP 11/21/201 101119113 8172 796232 SH DFND 1 796232 0 0 B2GOLD CORP NOTE 3.250%10/0 11777QAB6 13446 12686000 PRN DFND 1 0 0 0 CAPITAL ONE FINL CORP *W EXP 11/14/201 14040H139 1669 37262 SH DFND 1 37262 0 0 CATHAY GEN BANCORP *W EXP 12/05/201 149150112 5324 301824 SH DFND 1 301824 0 0 CLOVIS ONCOLOGY INC NOTE 2.500% 9/1 189464AB6 19918 15424000 PRN DFND 1 0 0 0 COMERICA INC *W EXP 11/14/201 200340115 456 11634 SH DFND 1 11634 0 0 EGALET CORP NOTE 5.500% 4/0 28226BAB0 4842 5850000 PRN DFND 1 0 0 0 EMERGENT BIOSOLUTIONS INC NOTE 2.875% 1/1 29089QAB1 30480 25503000 PRN DFND 1 0 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 23515 21267000 PRN DFND 1 0 0 0 ENVESTNET INC NOTE 1.750%12/1 29404KAA4 11924 12795000 PRN DFND 1 0 0 0 ENVISION HEALTHCARE CORP PFD CNV 5.25% A1 29414D209 7505 65811 SH DFND 1 65811 0 0 EQUITY COMWLTH CUM PFD S D 6.5% 294628201 138 5459 SH DFND 1 5459 0 0 FINISAR CORP NOTE 0.500%12/1 31787AAM3 10788 9587000 PRN DFND 1 0 0 0 FLUIDIGM CORP DEL NOTE 2.750% 2/0 34385PAA6 7700 11195000 PRN DFND 1 0 0 0 GAIN CAP HLDGS INC NOTE 4.125%12/0 36268WAB6 8189 8190000 PRN DFND 1 0 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 81 4661 SH DFND 1 4661 0 0 HARTFORD FINL SVCS GROUP INC *W EXP 06/26/201 416515120 188 4506 SH DFND 1 4506 0 0 HEALTHWAYS INC NOTE 1.500% 7/0 422245AB6 21656 14000000 PRN DFND 1 0 0 0 IGI LABORATORIES INC NOTE 3.750%12/1 449575AB5 15439 15351000 PRN DFND 1 0 0 0 IMMUNOMEDICS INC NOTE 4.750% 2/1 452907AK4 14034 10010000 PRN DFND 1 0 0 0 INPHI CORP NOTE 1.125%12/0 45772FAB3 66287 48172000 PRN DFND 1 0 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 39554 42307000 PRN DFND 1 0 0 0 IRONWOOD PHARMACEUTICALS INC DBCV 2.250% 6/1 46333XAD0 36495 29268000 PRN DFND 1 0 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 92708 96239000 PRN DFND 1 0 0 0 KEYW HLDG CORP NOTE 2.500% 7/1 493723AA8 15459 15900000 PRN DFND 1 0 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 1 596730 SH DFND 1 596730 0 0 LEXICON PHARMACEUTICALS INC NOTE 5.250%12/0 528872AB0 22804 12250000 PRN DFND 1 0 0 0 M & T BK CORP *W EXP 12/23/201 55261F112 774 9539 SH DFND 1 9539 0 0 M/I HOMES INC NOTE 3.250% 9/1 55292PAA3 11842 10850000 PRN DFND 1 0 0 0 MEDICINES CO NOTE 2.500% 1/1 584688AE5 114404 72400000 PRN DFND 1 0 0 0 MERRIMACK PHARMACEUTICALS IN NOTE 4.500% 7/1 590328AA8 8319 9998000 PRN DFND 1 0 0 0 MICRON TECHNOLOGY INC NOTE 2.125% 2/1 595112AV5 23053 8609000 PRN DFND 1 0 0 0 NEVRO CORP NOTE 1.750% 6/0 64157FAA1 27455 22625000 PRN DFND 1 0 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 12836 28000000 PRN DFND 1 0 0 0 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 63953 46800000 PRN DFND 1 0 0 0 PDL BIOPHARMA INC NOTE 4.000% 2/0 69329YAF1 10737 10876000 PRN DFND 1 0 0 0 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 14560 16700000 PRN DFND 1 0 0 0 PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 886 16772 SH DFND 1 16772 0 0 PANDORA MEDIA INC NOTE 1.750%12/0 698354AB3 15496 15496000 PRN DFND 1 0 0 0 PHOTRONICS INC NOTE 3.250% 4/0 719405AK8 8541 7011000 PRN DFND 1 0 0 0 PORTFOLIO RECOVERY ASSOCS IN NOTE 3.000% 8/0 73640QAB1 4966 5500000 PRN DFND 1 0 0 0 PROTALIX BIOTHERAPEUTICS INC NOTE 7.500%11/1 74365AAD3 4432 2796000 PRN DFND 1 0 0 0 QUIDEL CORP NOTE 3.250%12/1 74838JAA9 17894 17400000 PRN DFND 1 0 0 0 RAMBUS INC DEL NOTE 1.125% 8/1 750917AE6 6817 5701000 PRN DFND 1 0 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 8621 83296 SH DFND 1 83296 0 0 REPLIGEN CORP NOTE 2.125% 6/0 759916AA7 13963 11000000 PRN DFND 1 0 0 0 SIGNATURE BK NEW YORK N Y *W EXP 12/12/201 82669G112 557 4697 SH DFND 1 4697 0 0 SILVER STD RES INC NOTE 2.875% 2/0 82823LAC0 20083 20500000 PRN DFND 1 0 0 0 SOLAZYME INC NOTE 5.000%10/0 83415TAC5 3526 9241000 PRN DFND 1 0 0 0 SPECTRANETICS CORP MTNF 2.625% 6/0 84760CAA5 29798 25897000 PRN DFND 1 0 0 0 SPECTRUM PHARMACEUTICALS INC NOTE 2.750%12/1 84763AAB4 8563 8409000 PRN DFND 1 0 0 0 SUCAMPO PHARMACEUTICALS INC DBCV 3.250%12/1 864909AA4 24989 25196000 PRN DFND 1 0 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 4236 319246 SH DFND 1 319246 0 0 SUNTRUST BKS INC *W EXP 12/31/201 867914129 683 31088 SH DFND 1 31088 0 0 TCF FINL CORP *W EXP 11/14/201 872275128 111 49378 SH DFND 1 49378 0 0 T MOBILE US INC CONV PFD SER A 872590203 22709 215912 SH DFND 1 215912 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 52007 50000000 PRN DFND 1 0 0 0 TEXAS CAPITAL BANCSHARES INC *W EXP 01/16/201 88224Q115 35556 518095 SH DFND 1 518095 0 0 THERAVANCE INC NOTE 2.125% 1/1 88338TAB0 48 51000 PRN DFND 1 0 0 0 THERAVANCE BIOPHARMA INC NOTE 3.250%11/0 88339KAA0 26657 21000000 PRN DFND 1 0 0 0 VALLEY NATL BANCORP *W EXP 11/14/201 919794131 6 20370 SH DFND 1 20370 0 0 WASHINGTON FED INC *W EXP 11/14/201 938824117 7 465 SH DFND 1 465 0 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 933 756 SH DFND 1 756 0 0 WINTRUST FINL CORP *W EXP 12/19/201 97650W157 46 1029 SH DFND 1 1029 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 19323 1719898 SH DFND 1 1719898 0 0 ZIONS BANCORPORATION *W EXP 11/14/201 989701131 3482 383543 SH DFND 1 383543 0 0 AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 6 25900 SH DFND 1 25900 0 0 AMBAC FINL GROUP INC *W EXP 04/30/202 023139116 982 103505 SH DFND 1 103505 0 0 AMGEN INC COM 031162100 22 140 SH DFND 1 140 0 0 BANK AMER CORP COM 060505104 899 38114 SH DFND 1 38114 0 0 BIOGEN INC COM 09062X103 669 2450 SH DFND 1 2450 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2178 13071 SH DFND 1 13071 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 36 3049 SH DFND 1 3049 0 0 CITIGROUP INC COM NEW 172967424 2979 49812 SH DFND 1 49812 0 0 CINEDIGM CORP COM NEW 172406209 135 87613 SH DFND 1 87613 0 0 CIT GROUP INC COM NEW 125581801 30 705 SH DFND 1 705 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 61 4500 SH DFND 1 4500 0 0 FIRST FINL BANCORP OH *W EXP 12/23/201 320209117 24 1467 SH DFND 1 1467 0 0 GENERAL MTRS CO COM 37045V100 10 302 SH DFND 1 302 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1182 5146 SH DFND 1 5146 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 2255 46917 SH DFND 1 46917 0 0 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 924 119000 SH DFND 1 119000 0 0 IAC INTERACTIVECORP COM 44919P508 237 3217 SH DFND 1 3217 0 0 INCYTE CORP COM 45337C102 2782 20818 SH DFND 1 20818 0 0 INTEL CORP COM 458140100 299 8290 SH DFND 1 8290 0 0 JOHNSON & JOHNSON COM 478160104 5370 43119 SH DFND 1 43119 0 0 LILLY ELI & CO COM 532457108 214 2550 SH DFND 1 2550 0 0 LINCOLN NATL CORP IND COM 534187109 533 8148 SH DFND 1 8148 0 0 METLIFE INC COM 59156R108 2033 38492 SH DFND 1 38492 0 0 MERCK & CO INC COM 58933Y105 8950 140862 SH DFND 1 140862 0 0 MORGAN STANLEY COM NEW 617446448 265 6200 SH DFND 1 6200 0 0 MYLAN N V SHS EURO N59465109 1461 37490 SH DFND 1 37490 0 0 NVIDIA CORP COM 67066G104 245 2250 SH DFND 1 2250 0 0 NEWELL BRANDS INC COM 651229106 249 5285 SH DFND 1 5285 0 0 ON SEMICONDUCTOR CORP COM 682189105 7751 500423 SH DFND 1 500423 0 0 OREXIGEN THERAPEUTICS INC COM NEW 686164302 9 2800 SH DFND 1 2800 0 0 PFIZER INC COM 717081103 537 15700 SH DFND 1 15700 0 0 PNC FINL SVCS GROUP INC COM 693475105 2695 22420 SH DFND 1 22420 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 292 104192 SH DFND 1 104192 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 2937 266346 SH DFND 1 266346 0 0 WASHINGTON FED INC COM 938824109 9 284 SH DFND 1 284 0 0 JUST ENERGY GROUP INC COM 48213W101 20 3200 SH DFND 1 3200 0 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 142 104940 SH DFND 1 104940 0 0 BLACK HILLS CORP UNIT 99/99/9999 092113125 4353 59439 SH DFND 1 59439 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 16037 163970 SH DFND 1 163970 0 0 WPX ENERGY INC PFD SER A CV 98212B202 6394 105431 SH DFND 1 105431 0 0 FXCM INC NOTE 2.250% 6/1 302693AB2 4538 12052000 PRN DFND 1 0 0 0 RUBICON TECHNOLOGY INC COM 78112T107 295 354256 SH DFND 1 354256 0 0 TRAVELPORT WORLDWIDE LTD SHS G9019D104 1111 94449 SH DFND 1 94449 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 631 10000 SH DFND 1 10000 0 0 PRUDENTIAL FINL INC COM 744320102 533 5000 SH DFND 1 5000 0 0 OWENS CORNING NEW COM 690742101 920 15000 SH DFND 1 15000 0 0 DBX ETF TR XTRAK MSCI JAPN 233051507 10 280 SH DFND 1 280 0 0 WISDOMTREE TR JP SMALLCP DIV 97717W836 13 203 SH DFND 1 203 0 0 ISHARES TR MSCI INDONIA ETF 46429B309 1 53 SH DFND 1 53 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 28 767 SH DFND 1 767 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189F494 83 4494 SH DFND 1 4494 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 140 3652 SH DFND 1 3652 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 11 142 SH DFND 1 142 0 0 VANECK VECTORS ETF TR INDONESIA INDEX 92189F833 33 1473 SH DFND 1 1473 0 0 ISHARES TR INTL DEV RE ETF 464288489 2 91 SH DFND 1 91 0 0 ISHARES INDIA 50 ETF 464289529 31 962 SH DFND 1 962 0 0 ISHARES EM MKTS CURR ETF 464286517 61 1344 SH DFND 1 1344 0 0 VANECK VECTORS ETF TR CHINAAMC CSI 300 92189F759 11 300 SH DFND 1 300 0 0 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 39 2100 SH DFND 1 2100 0 0 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 62 4200 SH DFND 1 4200 0 0 ISHARES TR GLOBAL REIT ETF 46434V647 10 427 SH DFND 1 427 0 0 ISHARES TR INTL DEVPPTY ETF 464288422 27 774 SH DFND 1 774 0 0 IBERIABANK CORP COM 450828108 2373 30000 SH DFND 1 30000 0 0 INTERACTIVE BROKERS GROUP IN COM 45841N107 694 20000 SH DFND 1 20000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 11690 112956 SH DFND 1 112956 0 0 WADDELL & REED FINL INC CL A 930059100 1700 100000 SH DFND 1 100000 0 0 GRAN TIERRA ENERGY INC COM 38500T101 133 50000 SH DFND 1 50000 0 0 DIREXION SHS ETF TR DLY EMKT 3X NEW 25459Y470 26 1500 SH DFND 1 1500 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 5200 74398 SH DFND 1 74398 0 0 GENIUS BRANDS INTL INC COM PAR 37229T301 24 6448 SH DFND 1 6448 0 0 HYDROGENICS CORP NEW COM NEW 448883207 2298 343077 SH DFND 1 343077 0 0 PROFIRE ENERGY INC COM 74316X101 519 368485 SH DFND 1 368485 0 0 QUEST RESOURCE HLDG CORP COM NEW 74836W203 1657 705356 SH DFND 1 705356 0 0 CASCADE BANCORP COM NEW 147154207 5468 709231 SH DFND 1 709231 0 0 CARDINAL FINL CORP COM 14149F109 3081 102931 SH DFND 1 102931 0 0 EVERBANK FINL CORP COM 29977G102 267 13753 SH DFND 1 13753 0 0 FIRST CMNTY FINL PARTNERS IN COM 31985Q106 19 1568 SH DFND 1 1568 0 0 FIDELITY & GTY LIFE COM 315785105 110 3990 SH DFND 1 3990 0 0 GIGPEAK INC COM 37518Q109 502 162996 SH DFND 1 162996 0 0 GENWORTH FINL INC COM CL A 37247D106 961 233258 SH DFND 1 233258 0 0 HERITAGE OAKS BANCORP COM 42724R107 2341 175383 SH DFND 1 175383 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 1058 152939 SH DFND 1 152939 0 0 MARRIOTT INTL INC NEW CL A 571903202 88 944 SH DFND 1 944 0 0 PRIVATEBANCORP INC COM 742962103 1899 31995 SH DFND 1 31995 0 0 SUFFOLK BANCORP COM 864739107 4896 121159 SH DFND 1 121159 0 0 STONEGATE MTG CORP COM 86181Q300 22 2800 SH DFND 1 2800 0 0 ULTRATECH INC COM 904034105 29 1003 SH DFND 1 1003 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 7803 342089 SH DFND 1 342089 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3967 33419 SH DFND 1 33419 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 85061 360829 SH DFND 1 360829 0 0 AK STL CORP NOTE 5.000%11/1 001546AP5 24311 15338000 PRN DFND 1 0 0 0 ACCURAY INC DEBT 3.500% 2/0 004397AF2 12536 11500000 PRN DFND 1 0 0 0 ACETO CORP NOTE 2.000%11/0 004446AD2 4227 4585000 PRN DFND 1 0 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 30622 20578000 PRN DFND 1 0 0 0 ALON USA ENERGY INC NOTE 3.000% 9/1 020520AB8 132 120000 PRN DFND 1 0 0 0 AMYRIS INC NOTE 6.500% 5/1 03236MAC5 1073 2000000 PRN DFND 1 0 0 0 BOTTOMLINE TECH DEL INC NOTE 1.500%12/0 101388AA4 8852 8765000 PRN DFND 1 0 0 0 BROADSOFT INC NOTE 1.000% 9/0 11133BAD4 35507 29650000 PRN DFND 1 0 0 0 CARRIAGE SVCS INC NOTE 2.750% 3/1 143905AM9 20181 15495000 PRN DFND 1 0 0 0 COBALT INTL ENERGY INC NOTE 3.125% 5/1 19075FAB2 745 3301000 PRN DFND 1 0 0 0 CORNERSTONE ONDEMAND INC NOTE 1.500% 7/0 21925YAB9 14779 14484000 PRN DFND 1 0 0 0 CTRIP COM INTL LTD NOTE 1.990% 7/0 22943FAH3 47202 40761000 PRN DFND 1 0 0 0 DTE ENERGY CO UNIT 99/99/9999 233331883 179 3379 SH DFND 1 3379 0 0 DYNEGY INC NEW DEL *W EXP 10/02/201 26817R116 71 1820191 SH DFND 1 1820191 0 0 DYNEGY INC NEW DEL *W EXP 02/02/202 26817R157 283 498039 SH DFND 1 498039 0 0 DYNEGY INC NEW DEL UNIT 07/01/20191 26817R405 37264 636404 SH DFND 1 636404 0 0 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 16547 17358000 PRN DFND 1 0 0 0 51JOB INC NOTE 3.250% 4/1 316827AC8 17331 16197000 PRN DFND 1 0 0 0 GLOBAL EAGLE ENTMT INC NOTE 2.750% 2/1 37951DAB8 5225 10040000 PRN DFND 1 0 0 0 GOGO INC NOTE 3.750% 3/0 38046CAB5 4260 5132000 PRN DFND 1 0 0 0 GREEN PLAINS INC NOTE 3.250%10/0 393222AD6 41784 31351000 PRN DFND 1 0 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 63918 66745000 PRN DFND 1 0 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 1715 1268000 PRN DFND 1 0 0 0 LGI HOMES INC NOTE 4.250%11/1 50187TAB2 4703 2850000 PRN DFND 1 0 0 0 LAYNE CHRISTENSEN CO NOTE 8.000% 5/0 521050AD6 2890 2750000 PRN DFND 1 0 0 0 MERITOR INC NOTE 7.875% 3/0 59001KAC4 33342 19018000 PRN DFND 1 0 0 0 NEXTERA ENERGY INC UNIT 08/31/2018 65339F846 3369 56455 SH DFND 1 56455 0 0 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 17981 13245000 PRN DFND 1 0 0 0 PROS HOLDINGS INC NOTE 2.000%12/0 74346YAB9 12623 12365000 PRN DFND 1 0 0 0 QUANTUM CORP NOTE 4.500%11/1 747906AJ4 495 500000 PRN DFND 1 0 0 0 RENEWABLE ENERGY GROUP INC MTNF 2.750% 6/1 75972AAA1 55 55000 PRN DFND 1 0 0 0 SEACOR HOLDINGS INC NOTE 3.000%11/1 81170YAB5 11694 13148000 PRN DFND 1 0 0 0 SOLAZYME INC NOTE 6.000% 2/0 83415TAB7 3717 5645000 PRN DFND 1 0 0 0 STILLWATER MNG CO NOTE 1.750%10/1 86074QAL6 49033 36951000 PRN DFND 1 0 0 0 VIPSHOP HLDGS LTD NOTE 1.500% 3/1 92763WAA1 8548 8451000 PRN DFND 1 0 0 0 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 55349 43063000 PRN DFND 1 0 0 0 WEBMD HEALTH CORP NOTE 1.500%12/0 94770VAK8 13185 11099000 PRN DFND 1 0 0 0 WORKDAY INC NOTE 1.500% 7/1 98138HAD3 12212 9953000 PRN DFND 1 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0 0 PLAYA HOTELS & RESORTS NV *W EXP 03/10/202 N70544114 21 27481 SH DFND 1 27481 0 0 CAESARS ENTMT CORP COM 127686103 92 9650 SH DFND 1 9650 0 0 EP ENERGY CORP CL A 268785102 451 95000 SH DFND 1 95000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 15 6715 SH DFND 1 6715 0 0 PENNEY J C INC COM 708160106 370 60227 SH DFND 1 60227 0 0 EASTMAN KODAK CO COM NEW 277461406 9 783 SH DFND 1 783 0 0 RH COM 74967X103 74 1600 SH DFND 1 1600 0 0 SEADRILL LIMITED SHS G7945E105 31 19387 SH DFND 1 19387 0 0 SEARS HLDGS CORP COM 812350106 695 60530 SH DFND 1 60530 0 0 SUNPOWER CORP COM 867652406 29 4807 SH DFND 1 4807 0 0 ISHARES TR IBOXX HI YD ETF 464288513 114 1300 SH DFND 1 1300 0 0 WESTERN ASSET MTG CAP CORP COM 95790D105 2327 238213 SH DFND 1 238213 0 0 AXAR ACQUISITION CORP *W EXP 12/31/202 05455L110 4 62034 SH DFND 1 62034 0 0 BARINGTON HILCO ACQUISITION COM 06759V101 339 33175 SH DFND 1 33175 0 0 BARINGTON HILCO ACQUISITION RIGHT 02/13/2017 06759V119 12 34175 SH DFND 1 34175 0 0 BARINGTON HILCO ACQUISITION *W EXP 02/11/201 06759V127 11 67368 SH DFND 1 67368 0 0 BOULEVARD ACQUISITION CL A 10157Q102 100 10000 SH DFND 1 10000 0 0 BOULEVARD ACQUISITION UNIT 99/99/9999 10157Q201 1094 104773 SH DFND 1 104773 0 0 BOULEVARD ACQUISITION *W EXP 09/25/202 10157Q110 12 14400 SH DFND 1 14400 0 0 CF CORP UNIT 99/99/9999E G20307123 3782 353500 SH DFND 1 353500 0 0 CAPITOL ACQUISITION CORP III *W EXP 10/19/202 14055M114 2 1500 SH DFND 1 1500 0 0 EASTERLY ACQUISITION CORP COM 27616L102 24 2500 SH DFND 1 2500 0 0 EASTERLY ACQUISITION CORP *W EXP 07/29/202 27616L110 0 1250 SH DFND 1 1250 0 0 DOUBLE EAGLE ACQUISITION COR COM G28195124 1 100 SH DFND 1 100 0 0 DOUBLE EAGLE ACQUISITION COR *W EXP 09/16/202 G28195116 44 79200 SH DFND 1 79200 0 0 ANDINA ACQUISITION CORP II UNIT 99/99/9999 G0441P112 10 1000 SH DFND 1 1000 0 0 ELECTRUM SPL ACQUISITION COR UNIT 99/99/9999 G3105C120 2983 285463 SH DFND 1 285463 0 0 GP INVTS ACQUISITION COR *W EXP 05/19/202 G40357108 13 27069 SH DFND 1 27069 0 0 GLOBAL PARTNER ACQUISITION C *W EXP 07/01/202 37954X113 0 1000 SH DFND 1 1000 0 0 GP INVTS ACQUISITION COR SHS G40357124 639 64138 SH DFND 1 64138 0 0 GORES HLDGS II INC UNIT 99/99/9999 382867208 2057 200000 SH DFND 1 200000 0 0 HARMONY MERGER CORP *W EXP 01/01/202 413247123 26 53000 SH DFND 1 53000 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 3807 380000 SH DFND 1 380000 0 0 M III ACQUISITION CORP UNIT 99/99/9999T 55378T203 188 18700 SH DFND 1 18700 0 0 MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 1375 137303 SH DFND 1 137303 0 0 QUINPARIO ACQUISITION CORP 2 *W EXP 01/01/202 74874U119 46 92514 SH DFND 1 92514 0 0 SABAN CAP ACQUISITION CORP UNIT 99/99/9999 78516C205 538 51000 SH DFND 1 51000 0 0 SILVER RUN ACQUISITION UNIT 99/99/9999 82812A202 260 25000 SH DFND 1 25000 0 0 JM GLOBAL HLDG CO UNIT 99/99/9999 46590H200 36 3481 SH DFND 1 3481 0 0 ARCONIC INC PFD CONV B SER 1 03965L308 6525 160703 SH DFND 1 160703 0 0 INFINERA CORPORATION DBCV 1.750% 6/0 45667GAB9 16830 15713000 PRN DFND 1 0 0 0 INVACARE CORP NOTE 5.000% 2/1 461203AF8 8300 8200000 PRN DFND 1 0 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 2849 61337 SH DFND 1 61337 0 0 WELLS FARGO & CO NEW *W EXP 10/28/201 949746119 793 35774 SH DFND 1 35774 0 0 APPLE INC COM 037833100 163 1137 SH DFND 1 1137 0 0 ABBOTT LABS COM 002824100 15 348 SH DFND 1 348 0 0 ALERE INC COM 01449J105 1591 40067 SH DFND 1 40067 0 0 BANK AMER CORP *W EXP 01/16/201 060505146 3673 324008 SH DFND 1 324008 0 0 AVIS BUDGET GROUP COM 053774105 1108 37475 SH DFND 1 37475 0 0 CISCO SYS INC COM 17275R102 1666 49300 SH DFND 1 49300 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 1689 190508 SH DFND 1 190508 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 450 9800 SH DFND 1 9800 0 0 DASEKE INC COM 23753F107 13 1289 SH DFND 1 1289 0 0 ENVISION HEALTHCARE CORP COM 29414D100 827 13500 SH DFND 1 13500 0 0 EASTMAN KODAK CO *W EXP 09/03/201 277461141 0 824 SH DFND 1 824 0 0 AT&T INC COM 00206R102 201 4851 SH DFND 1 4851 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 366 20700 SH DFND 1 20700 0 0 NII HLDGS INC COM PAR $0.001 62913F508 87 66995 SH DFND 1 66995 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 948 40000 SH DFND 1 40000 0 0 CSX CORP COM 126408103 5821 125055 SH DFND 1 125055 0 0 SOUTHWEST AIRLS CO COM 844741108 537 10000 SH DFND 1 10000 0 0 UNION PAC CORP COM 907818108 6884 65000 SH DFND 1 65000 0 0 CANADIAN PAC RY LTD COM 13645T100 3540 24100 SH DFND 1 24100 0 0 ON TRACK INNOVATION LTD SHS M8791A109 165 100000 SH DFND 1 100000 0 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 7780 623405 SH DFND 1 623405 0 0 QUEST DIAGNOSTICS INC COM 74834L100 974 9920 SH DFND 1 9920 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 523 8177 SH DFND 1 8177 0 0 INVENSENSE INC COM 46123D205 2440 193201 SH DFND 1 193201 0 0 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 2390 41777 SH DFND 1 41777 0 0 NIMBLE STORAGE INC COM 65440R101 2 200 SH DFND 1 200 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 48 1050 SH DFND 1 1050 0 0 UNIVERSAL AMERN CORP NEW COM 91338E101 564 56588 SH DFND 1 56588 0 0 VCA INC COM 918194101 5775 63122 SH DFND 1 63122 0 0 ZELTIQ AESTHETICS INC COM 98933Q108 4941 88855 SH DFND 1 88855 0 0 CENTRAL FD CDA LTD CL A 153501101 2542 197707 SH DFND 1 197707 0 0 CTRIP COM INTL LTD NOTE 1.250%10/1 22943FAD2 4593 3500000 PRN DFND 1 0 0 0 MERCADOLIBRE INC NOTE 2.250% 7/0 58733RAB8 58346 33532000 PRN DFND 1 0 0 0 MICRON TECHNOLOGY INC NOTE 1.625% 2/1 595112AU7 92545 35000000 PRN DFND 1 0 0 0 TTM TECHNOLOGIES INC NOTE 1.750%12/1 87305RAD1 17873 10115000 PRN DFND 1 0 0 0 TAKE-TWO INTERACTIVE SOFTWAR NOTE 1.000% 7/0 874054AD1 67086 24374000 PRN DFND 1 0 0 0 TAL ED GROUP NOTE 2.500% 5/1 874080AB0 52609 13000000 PRN DFND 1 0 0 0 TESARO INC NOTE 3.000%10/0 881569AA5 136301 30719000 PRN DFND 1 0 0 0 XPO LOGISTICS INC NOTE 4.500%10/0 983793AA8 3237 1108000 PRN DFND 1 0 0 0 PEMBINA PIPELINE CORP COM 706327103 179 5655 SH DFND 1 5655 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 26353 191693 SH DFND 1 191693 0 0 AMYRIS INC COM 03236M101 679 1282051 SH DFND 1 1282051 0 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 99/99/999 G4182A128 1 1000 SH DFND 1 1000 0 0