0001519418-18-000009.txt : 20180515
0001519418-18-000009.hdr.sgml : 20180515
20180515150732
ACCESSION NUMBER: 0001519418-18-000009
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180331
FILED AS OF DATE: 20180515
DATE AS OF CHANGE: 20180515
EFFECTIVENESS DATE: 20180515
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: 18835709
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
03-31-2018
03-31-2018
Horizon Kinetics LLC
470 PARK AVENUE SOUTH
4TH FLOOR SOUTH
NEW YORK
NY
10016
13F HOLDINGS REPORT
028-14519
N
Jay Kesslen
General Counsel
914-703-6904
Jay Kesslen
New York
NY
05-15-2018
4
762
3426450
false
1
0001056823
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.
INFORMATION TABLE
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form13fhr-infoTable.xml
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COM
88579Y101
4
18
SH
DFND
2
18
0
0
3M CO
COM
88579Y101
616
2806
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DFND
1
2806
0
0
A T & T INC
COM
00206R102
66
1842
SH
DFND
2
1842
0
0
A T & T INC
COM
00206R102
401
11258
SH
DFND
1
11258
0
0
ABB LTD
SPONSORED ADR
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331
13950
SH
DFND
1
13950
0
0
ABBOTT LABS
COM
002824100
1380
23028
SH
DFND
1
23028
0
0
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COM
00287Y109
1230
13000
SH
DFND
2
13000
0
0
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COM
00287Y109
1824
19268
SH
DFND
1
19268
0
0
AFLAC INC
COM
001055102
271
6200
SH
DFND
1
6200
0
0
AIR LEASE CORP
CL A
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398
9337
SH
OTR
4
0
9337
0
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COM
01167P101
22
12387
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DFND
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DFND
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1683
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0
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COM
016230104
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31200
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COM
G01767105
1275
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3375
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DFND
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3375
0
0
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DFND
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CL C
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372
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OTR
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372
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3375
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DFND
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3375
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0
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3748
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DFND
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14360
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COM
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221
153
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COM
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372
257
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257
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534686
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397
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OTR
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3534
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20654
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OTR
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10
626
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COM
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DFND
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COM
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DFND
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COM
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393
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OTR
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COM
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DFND
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03761U106
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03842K200
33
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342
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254
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100
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100
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22109
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DFND
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27022
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DFND
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COM
05329W102
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COM
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COM
057665200
5478
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DFND
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ADR
05964H105
937
143063
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DFND
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064058100
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DFND
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COM
071813109
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DFND
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CL B
077347300
637
33718
SH
DFND
1
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0
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COM
084423102
411
5654
SH
OTR
4
0
5654
0
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CL A
084670108
3589
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SH
DFND
1
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0
0
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CL B NEW
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398
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OTR
4
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1993
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CL B NEW
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3682
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CL B NEW
084670702
28545
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CL A
05541T101
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DFND
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0
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COM
09062X103
226
825
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DFND
1
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BIOGEN INC
COM
09062X103
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09215C105
576
12231
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1
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293
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DFND
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COM
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COM
09249U105
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DFND
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COM UNIT LTD
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370
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DFND
1
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0
0
BLACKSTONE MTG TR INC COM
COM CL A
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204
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DFND
1
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UT LTD PARTNER
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147
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DFND
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COM
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COM NEW
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COM NEW
05561Q201
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COM NEW
05561Q201
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OTR
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CL A
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421
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OTR
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888
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10211F100
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COM
110122108
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110448107
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DFND
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COM
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CL A LTD VT SH
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UNIT LTD LP
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COM
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405
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OTR
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CL B
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UNIT 99/99/9999
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UNIT 99/99/9999
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COM PAR
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COM
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CL B
124857202
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16411R208
412
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NOTE 4.250% 3/1
16411RAG4
1715
2209000
PRN
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CHENIERE ENERGY INC
NOTE 4.250% 3/1
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54012
69590000
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COM
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COM
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COM
12572Q105
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COM
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DFND
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COM
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DFND
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COM
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OTR
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COM
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COM
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400
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COM
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COM
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4
0
11803
0
COMMERCEHUB INC
COM SER A
20084V108
165
7333
SH
DFND
2
7333
0
0
COMMERCEHUB INC
COM SER A
20084V108
166
7399
SH
DFND
1
7399
0
0
COMMERCEHUB INC
COM SER C
20084V306
282
12531
SH
DFND
1
12531
0
0
COMMERCEHUB INC
COM SER C
20084V306
340
15109
SH
DFND
2
15109
0
0
CONDUENT INC
COM
206787103
2
111
SH
DFND
1
111
0
0
CONDUENT INC
COM
206787103
382
20519
SH
OTR
4
0
20519
0
CONTINENTAL RESOURCES INC
COM
212015101
447
7578
SH
OTR
4
0
7578
0
CONTINENTAL RESOURCES INC
COM
212015101
759
12870
SH
DFND
1
12870
0
0
CONTINENTAL RESOURCES INC
COM
212015101
4035
68447
SH
DFND
2
68447
0
0
COPART INC
COM
217204106
3667
72000
SH
DFND
2
72000
0
0
CORELOGIC INC
COM
21871D103
971
21473
SH
DFND
1
21473
0
0
COSTAMARE INC
SHS
Y1771G102
1459
233810
SH
DFND
1
233810
0
0
COVANTA HLDG CORP
COM
22282E102
393
27133
SH
OTR
4
0
27133
0
CSW INDUSTRIALS INC
COM
126402106
11
246
SH
DFND
1
246
0
0
CSW INDUSTRIALS INC
COM
126402106
703
15600
SH
DFND
2
15600
0
0
CSX CORP
COM
126408103
45
800
SH
DFND
2
800
0
0
CSX CORP
COM
126408103
329
5912
SH
DFND
1
5912
0
0
CUBIC CORP
COM
229669106
817
12852
SH
DFND
1
12852
0
0
CVR ENERGY INC
COM
12662P108
403
13340
SH
OTR
4
0
13340
0
CVR REFNG LP
COMUNIT REP LT
12663P107
320
24521
SH
DFND
1
24521
0
0
D R HORTON INC
COM
23331A109
415
9461
SH
OTR
4
0
9461
0
DANAHER CORP
COM
235851102
398
4063
SH
OTR
4
0
4063
0
DANAHER CORP
COM
235851102
1604
16380
SH
DFND
1
16380
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
354
6450
SH
DFND
1
6450
0
0
DELUXE CORP
COM
248019101
851
11500
SH
DFND
1
11500
0
0
DIAMOND OFFSHORE DRILLNG INC
COM
25271C102
1266
86363
SH
DFND
1
86363
0
0
DICKS SPORTING GOODSINC
COM
253393102
421
11999
SH
OTR
4
0
11999
0
DILLARDS INC
CL A
254067101
406
5049
SH
OTR
4
0
5049
0
DISCOVERY INC
COM SER A
25470F104
1614
75323
SH
DFND
1
75323
0
0
DISCOVERY INC
COM SER A
25470F104
3774
176100
SH
DFND
2
176100
0
0
DISCOVERY INC
COM SER C
25470F302
92
4711
SH
DFND
1
4711
0
0
DISCOVERY INC
COM SER C
25470F302
392
20104
SH
OTR
4
0
20104
0
DISCOVERY INC
COM SER C
25470F302
1878
96185
SH
DFND
2
96185
0
0
DISH NETWORK CORP
CL A
25470M109
399
10525
SH
OTR
4
0
10525
0
DISH NETWORK CORP
CL A
25470M109
12132
320180
SH
DFND
2
320180
0
0
DISH NETWORK CORP
CL A
25470M109
17855
471229
SH
DFND
1
471229
0
0
DISNEY WALT CO DISNEY
COM DISNEY
254687106
495
4929
SH
DFND
1
4929
0
0
DORCHESTER MINERALS LP
COM UNIT
25820R105
718
44600
SH
DFND
1
44600
0
0
DORMAN PRODUCTS INC
COM
258278100
662
10000
SH
DFND
2
10000
0
0
DORMAN PRODUCTS INC
COM
258278100
1583
23906
SH
DFND
1
23906
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
1228
61158
SH
DFND
2
61158
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
16654
829374
SH
DFND
1
829374
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
1364
63179
SH
DFND
2
63179
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
6965
322626
SH
DFND
1
322626
0
0
DSW INC
CL A
23334L102
421
18730
SH
OTR
4
0
18730
0
DUFF & PHELPS SLCT ENGY MLP
COM
26433F108
854
166236
SH
DFND
1
166236
0
0
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
123
14325
SH
DFND
1
14325
0
0
EATON CORP PLC
SHS
G29183103
88
1104
SH
DFND
2
1104
0
0
EATON CORP PLC
SHS
G29183103
176
2197
SH
DFND
1
2197
0
0
EATON VANCE FLTING RATE INC
COM
278279104
152
10200
SH
DFND
1
10200
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
497
38184
SH
DFND
1
38184
0
0
EATON VANCE MUN BD FD
COM
27827X101
145
12263
SH
DFND
1
12263
0
0
EATON VANCE NY MUN BD FD
COM
27827Y109
222
19347
SH
DFND
1
19347
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
301
20379
SH
DFND
1
20379
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
177
26019
SH
DFND
1
26019
0
0
EBAY INC
COM
278642103
16
394
SH
DFND
1
394
0
0
EBAY INC
COM
278642103
392
9734
SH
OTR
4
0
9734
0
EBAY INC
COM
278642103
2141
53200
SH
DFND
2
53200
0
0
ECHOSTAR CORP
CL A
278768106
317
6000
SH
DFND
3
6000
0
0
ECHOSTAR CORP
CL A
278768106
382
7238
SH
OTR
4
0
7238
0
ECHOSTAR CORP
CL A
278768106
10807
204804
SH
DFND
1
204804
0
0
ECHOSTAR CORP
CL A
278768106
22515
426655
SH
DFND
2
426655
0
0
ELI LILLY AND COMPANY
COM
532457108
471
6082
SH
DFND
1
6082
0
0
ELI LILLY AND COMPANY
COM
532457108
1393
18000
SH
DFND
2
18000
0
0
EMERSON ELEC CO
COM
291011104
1791
26215
SH
DFND
1
26215
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
511
20867
SH
DFND
1
20867
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
420
4784
SH
OTR
4
0
4784
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
5032
57336
SH
DFND
1
57336
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
6531
74410
SH
DFND
2
74410
0
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
1
11
SH
DFND
1
11
0
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
417
6773
SH
OTR
4
0
6773
0
ERIE INDTY CO
CL A
29530P102
402
3414
SH
OTR
4
0
3414
0
EXPEDIA GROUP INC
COM NEW
30212P303
268
2424
SH
DFND
1
2424
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
409
3704
SH
OTR
4
0
3704
0
EXTERRAN CORP
COM
30227H106
2
76
SH
DFND
1
76
0
0
EXTERRAN CORP
COM
30227H106
389
14552
SH
OTR
4
0
14552
0
EXXON MOBIL CORP
COM
30231G102
8188
109745
SH
DFND
1
109745
0
0
FACEBOOK INC
CL A
30303M102
179
1121
SH
DFND
1
1121
0
0
FACEBOOK INC
CL A
30303M102
388
2429
SH
OTR
4
0
2429
0
FEDERATED INVS INC PA
CL B
314211103
720
21558
SH
DFND
1
21558
0
0
FEDERATED PREM MUN INC FD
COM
31423P108
843
63134
SH
DFND
1
63134
0
0
FEDEX CORP
COM
31428X106
101
421
SH
DFND
1
421
0
0
FEDEX CORP
COM
31428X106
389
1620
SH
OTR
4
0
1620
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
1556
38869
SH
DFND
1
38869
0
0
FIDELITY NATL INFORMATION SVC
COM
31620M106
436
4524
SH
DFND
1
4524
0
0
FIRST CTZNS BANCSHARES INC N
CL A
31946M103
13
32
SH
DFND
1
32
0
0
FIRST CTZNS BANCSHARES INC N
CL A
31946M103
380
920
SH
OTR
4
0
920
0
FLAHERTY & CRUMRINE PFD INC
COM
33848E106
132
12180
SH
DFND
1
12180
0
0
FLOWERS FOODS INC
COM
343498101
1127
51551
SH
DFND
1
51551
0
0
FOREST CITY REALTY TRUST
CL A
345605109
567
27969
SH
DFND
1
27969
0
0
FORTIVE CORP
COM
34959J108
23
300
SH
DFND
2
300
0
0
FORTIVE CORP
COM
34959J108
405
5224
SH
OTR
4
0
5224
0
FORTIVE CORP
COM
34959J108
688
8872
SH
DFND
1
8872
0
0
FORTUNE BRANDS HOME & SEC IN
COM
34964C106
1070
18169
SH
DFND
1
18169
0
0
FRANCO NEVADA CORP
COM
351858105
191
2800
SH
DFND
3
2800
0
0
FRANCO NEVADA CORP
COM
351858105
19605
286669
SH
DFND
1
286669
0
0
FRANCO NEVADA CORP
COM
351858105
27927
408353
SH
DFND
2
408353
0
0
FRANKLIN RESOURCES INC
COM
354613101
369
10652
SH
OTR
4
0
10652
0
FREEPORT MCMORAN INC
CL B
35671D857
388
22058
SH
OTR
4
0
22058
0
FREEPORT MCMORAN INC
CL B
35671D857
1673
95233
SH
DFND
1
95233
0
0
FRONTLINE LTD
SHS NEW
G3682E192
144
32400
SH
DFND
1
32400
0
0
GAMCO INVESTORS INC
COM
361438104
2
100
SH
DFND
3
100
0
0
GAMCO INVESTORS INC
COM
361438104
534
21500
SH
DFND
2
21500
0
0
GAMCO INVESTORS INC
COM
361438104
1598
64371
SH
DFND
1
64371
0
0
GAMING & LEISURE PPTYS INC
COM
36467J108
2
65
SH
DFND
1
65
0
0
GAMING & LEISURE PPTYS INC
COM
36467J108
402
12010
SH
OTR
4
0
12010
0
GAP INC
COM
364760108
394
12640
SH
OTR
4
0
12640
0
GARMIN LTD
SHS
H2906T109
401
6807
SH
OTR
4
0
6807
0
GCI LIBERTY INC
COM CL A
36164V305
411
7780
SH
OTR
4
0
7780
0
GCI LIBERTY INC
COM CL A
36164V305
1930
36513
SH
DFND
1
36513
0
0
GCI LIBERTY INC
COM CL A
36164V305
7421
140393
SH
DFND
2
140393
0
0
GDL FUND
COM SH BEN IT
361570104
1316
141213
SH
DFND
1
141213
0
0
GENERAL DYNAMICS CORP
COM
369550108
34
152
SH
DFND
2
152
0
0
GENERAL DYNAMICS CORP
COM
369550108
246
1114
SH
DFND
1
1114
0
0
GENERAL ELECTRIC CO
COM
369604103
756
56102
SH
DFND
1
56102
0
0
GENERAL MTRS CO
COM
37045V100
87
2399
SH
DFND
2
2399
0
0
GENERAL MTRS CO
COM
37045V100
989
27205
SH
DFND
1
27205
0
0
GENUINE PARTS CO
COM
372460105
378
4210
SH
DFND
1
4210
0
0
GGP INC
COM
36174X101
667
32582
SH
DFND
1
32582
0
0
GILEAD SCIENCES INC
COM
375558103
679
9000
SH
DFND
2
9000
0
0
GLADSTONE LD CORP
COM
376549101
1101
91150
SH
DFND
1
91150
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
68
1750
SH
DFND
1
1750
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
886
22673
SH
DFND
2
22673
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
595
2364
SH
DFND
1
2364
0
0
GRAHAM HLDGS CO
COM
384637104
54
90
SH
DFND
1
90
0
0
GRAHAM HLDGS
COM
384637104
903
1500
SH
DFND
2
1500
0
0
GRAINGER W W INC
COM
384802104
402
1425
SH
OTR
4
0
1425
0
GRAINGER W W INC
COM
384802104
508
1800
SH
DFND
1
1800
0
0
GREEN BRICK PARTNERS INC
COM
392709101
207
18963
SH
DFND
1
18963
0
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
418
26074
SH
OTR
4
0
26074
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
664
41397
SH
DFND
2
41397
0
0
GREENLIGHT CAPITAL RE LTD
CL A
G4095J109
1084
67566
SH
DFND
1
67566
0
0
RYDEX ETF TRUST
GUG S&P00 EQ WT
78355W106
1147
11533
SH
DFND
1
11533
0
0
HALOZYME THERAPEUTICS INC
COM
40637H109
378
19272
SH
OTR
4
0
19272
0
HALYARD HEALTH INC
COM
40650V100
3
61
SH
DFND
1
61
0
0
HALYARD HEALTH INC
COM
40650V100
488
10600
SH
DFND
2
10600
0
0
HANCOCK JOHN PFD INCOME FD I
COM
41013X106
207
10305
SH
DFND
1
10305
0
0
HARRIS CORP DEL
COM
413875105
2333
14464
SH
DFND
1
14464
0
0
HEARTLAND EXPRESS INC
COM
422347104
375
20844
SH
OTR
4
0
20844
0
HERC HLDGS INC
COM
42704L104
2
30
SH
DFND
1
30
0
0
HERC HLDGS INC
COM
42704L104
380
5851
SH
OTR
4
0
5851
0
HERTZ GLOBAL HOLDINGS INC
COM
42806J106
179
9000
SH
DFND
2
9000
0
0
HERTZ GLOBAL HOLDINGS INC
COM
42806J106
396
19934
SH
OTR
4
0
19934
0
HESS CORP
COM
42809H107
427
8438
SH
OTR
4
0
8438
0
HILLTOP HOLDINGS INC
COM
432748101
382
16280
SH
OTR
4
0
16280
0
HONEYWELL INTL INC
COM
438516106
4
28
SH
DFND
2
28
0
0
HONEYWELL INTL INC
COM
438516106
1628
11266
SH
DFND
1
11266
0
0
HORNBECK OFFSHORE SERV INC N
NOTE 1.500% 9/0
440543AN6
46
60000
PRN
DFND
1
60000
0
0
HOST MARRIOTT CORP NEW
COM
44107P104
403
21597
SH
OTR
4
0
21597
0
HOSTESS BRANDS INC
CL A
44109J106
422
28529
SH
OTR
4
0
28529
0
HOWARD HUGHES CORP
COM
44267D107
415
2983
SH
OTR
4
0
2983
0
HOWARD HUGHES CORP
COM
44267D107
4956
35624
SH
DFND
3
35624
0
0
HOWARD HUGHES CORP
COM
44267D107
111870
804067
SH
DFND
2
804067
0
0
HOWARD HUGHES CORP
COM
44267D107
190991
1372752
SH
DFND
1
1372752
0
0
HRG GROUP INC
COM
40434J100
38
2300
SH
DFND
1
2300
0
0
HRG GROUP INC
COM
40434J100
443
26840
SH
OTR
4
0
26840
0
HYATT HOTELS CORP
COM CL A
448579102
389
5105
SH
OTR
4
0
5105
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
212
1381
SH
DFND
1
1381
0
0
IAC INTERACTIVECORP
COM
44919P508
110
706
SH
DFND
2
706
0
0
IAC INTERACTIVECORP
COM
44919P508
388
2483
SH
OTR
4
0
2483
0
IAC INTERACTIVECORP
COM
44919P508
806
5151
SH
DFND
1
5151
0
0
IBERIABANK CORP
COM
450828108
265
3396
SH
DFND
1
3396
0
0
ICAHN ENTERPRISES LP
DEP UNIT
451100101
1443
25300
SH
DFND
3
25300
0
0
ICAHN ENTERPRISES LP
DEP UNIT
451100101
64351
1128172
SH
DFND
2
1128172
0
0
ICAHN ENTERPRISES LP
DEP UNIT
451100101
69385
1216426
SH
DFND
1
1216426
0
0
INTEC PHARMA LTD JERUSALEM
SHS
M53644106
211
33416
SH
DFND
1
33416
0
0
INTEL CORP
COM
458140100
455
8739
SH
DFND
1
8739
0
0
INTER PARFUMS INC
COM
458334109
3282
69600
SH
DFND
2
69600
0
0
INTER PARFUMS INC
COM
458334109
6580
139549
SH
DFND
1
139549
0
0
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
727
10025
SH
DFND
2
10025
0
0
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
2975
41025
SH
DFND
1
41025
0
0
INTERMOLECULAR INC
COM
45882D109
130
99379
SH
DFND
1
99379
0
0
INTERNATIONAL SPEEDWAY CORP
CL A
460335201
7
150
SH
DFND
1
150
0
0
INTERNATIONAL SPEEDWAY CORP
CL A
460335201
408
9242
SH
OTR
4
0
9242
0
INTERNET INITIATIVE JAPAN IN
SPONSORED ADR
46059T109
376
36999
SH
DFND
1
36999
0
0
INTL FLAVORS & FRAGRANCES
COM
459506101
637
4650
SH
DFND
1
4650
0
0
INTREXON CORP
COM
46122T102
394
25687
SH
OTR
4
0
25687
0
INTUIT INC
COM
461202103
397
2291
SH
OTR
4
0
2291
0
INVESCO INSURED MUNICIPAL INCOME TRUST
COM
46132P108
527
36315
SH
DFND
1
36315
0
0
INVESCO QUALITY MUNI INC TRSCOM
COM
46133G107
692
58191
SH
DFND
1
58191
0
0
INVESCO VAN KAMPEN DYNAMIC CREDIT OPPORTUNIT
COM
46132R104
133
11308
SH
DFND
1
11308
0
0
INVESCO VAN KAMPEN SENIOR INCOME TRUST
COM
46131H107
132
30045
SH
DFND
1
30045
0
0
INVESCO VAN KAMPEN TRUST INVESTMENT GRADE NE
COM
46131T101
163
12714
SH
DFND
1
12714
0
0
IONIS PHARMACEUTICALS INC
COM
462222100
9
200
SH
DFND
1
200
0
0
IONIS PHARMACEUTICALS INC
COM
462222100
749
17000
SH
DFND
2
17000
0
0
ISHARES TR
1 3 YR TREAS BD
464287457
30
361
SH
DFND
1
361
0
0
ISHARES TR
1 3 YR TREAS BD
464287457
276
3308
SH
DFND
2
3308
0
0
ISHARES TR
1-3 YR CR BD ETF
464288646
2803
27000
SH
DFND
2
27000
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
202
4270
SH
DFND
1
4270
0
0
ISHARES TR
MICRO-CAP ETF
464288869
560
5832
SH
DFND
1
5832
0
0
JBG SMITH PPTYS
COM
46590V100
406
12032
SH
OTR
4
0
12032
0
JOHNSON & JOHNSON
COM
478160104
1232
9612
SH
DFND
2
9612
0
0
JOHNSON & JOHNSON
COM
478160104
1902
14845
SH
DFND
1
14845
0
0
JP MORGAN CHASE & CO
COM
46625H100
99
903
SH
DFND
2
903
0
0
JP MORGAN CHASE & CO
COM
46625H100
997
9066
SH
DFND
1
9066
0
0
KAYNE ANDERSON ENERGY DEV CO
COM
48660Q102
769
49439
SH
DFND
2
49439
0
0
KAYNE ANDERSON ENERGY DEV CO
COM
48660Q102
4810
309103
SH
DFND
1
309103
0
0
KAYNE ANDERSON MDSTM ENERGY FD INC
COM
48661E108
653
55600
SH
DFND
1
55600
0
0
KIMBERLY CLARK CORP
COM
494368103
297
2696
SH
DFND
1
2696
0
0
KLA-TENCOR CORP
COM
482480100
1504
13800
SH
DFND
1
13800
0
0
KRAFT HEINZ COMPANY
COM
500754106
1908
30637
SH
DFND
1
30637
0
0
L BRANDS INC
COM
501797104
23
613
SH
DFND
1
613
0
0
L BRANDS INC
COM
501797104
64
1676
SH
DFND
2
1676
0
0
L BRANDS INC
COM
501797104
392
10263
SH
OTR
4
0
10263
0
L3 TECHNOLOGIES INC
COM
502413107
224
1076
SH
DFND
1
1076
0
0
LANCASTER COLONY CORP
COM
513847103
414
3365
SH
OTR
4
0
3365
0
LANDS END INC NEW
COM
51509F105
23
987
SH
DFND
1
987
0
0
LANDS END INC NEW
COM
51509F105
567
24289
SH
OTR
4
0
24289
0
LAS VEGAS SANDS CORP
COM
517834107
391
5438
SH
OTR
4
0
5438
0
LAS VEGAS SANDS CORP
COM
517834107
4676
65034
SH
DFND
1
65034
0
0
LAS VEGAS SANDS CORP
COM
517834107
6813
94759
SH
DFND
2
94759
0
0
LAUDER ESTEE COS INC
CL A
518439104
412
2755
SH
OTR
4
0
2755
0
LENDINGTREE INC NEW
COM
52603B107
2702
8233
SH
DFND
2
8233
0
0
LENNAR CORP
CL A
526057104
161
2725
SH
DFND
1
2725
0
0
LENNAR CORP
CL A
526057104
409
6931
SH
OTR
4
0
6931
0
LEUCADIA NATIONAL CORP
COM
527288104
400
17610
SH
OTR
4
0
17610
0
LEUCADIA NATIONAL CORP
COM
527288104
609
26785
SH
DFND
1
26785
0
0
LIBERTY MEDIA CORP DELAWARE
COM A BRAVES GRP
531229706
390
17137
SH
DFND
2
17137
0
0
LIBERTY MEDIA CORP DELAWARE
COM A BRAVES GRP
531229706
1701
74843
SH
DFND
1
74843
0
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
402
17627
SH
OTR
4
0
17627
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
1813
79457
SH
DFND
2
79457
0
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
2353
103116
SH
DFND
1
103116
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
187
2200
SH
DFND
3
2200
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
8057
95008
SH
DFND
2
95008
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
9905
116810
SH
DFND
1
116810
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
401
4685
SH
OTR
4
0
4685
0
LIBERTY BROADBAND CORP
COM SER C
530307305
33696
393227
SH
DFND
2
393227
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
36410
424898
SH
DFND
1
424898
0
0
LIBERTY EXPEDIA HOLDINGS
SER A COM
53046P109
405
10303
SH
OTR
4
0
10303
0
LIBERTY EXPEDIA HOLDINGS
SER A COM
53046P109
776
19754
SH
DFND
1
19754
0
0
LIBERTY EXPEDIA HOLDINGS
SER A COM
53046P109
1135
28898
SH
DFND
2
28898
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER A FRMLA
531229870
172
5875
SH
DFND
3
5875
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER A FRMLA
531229870
4223
144177
SH
DFND
2
144177
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER A FRMLA
531229870
4284
146263
SH
DFND
1
146263
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
410
13295
SH
OTR
4
0
13295
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
464
15050
SH
DFND
3
15050
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
5365
173910
SH
DFND
2
173910
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
7484
242600
SH
DFND
1
242600
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
18
594
SH
DFND
1
594
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
403
13251
SH
OTR
4
0
13295
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
2136
70182
SH
DFND
2
70182
0
0
LIBERTY INTERACTIVE CORP
QVC GP COM SER A
53071M104
381
15149
SH
OTR
4
0
15149
0
LIBERTY INTERACTIVE CORP
QVC GP COM SER A
53071M104
646
25657
SH
DFND
1
25657
0
0
LIBERTY INTERACTIVE CORP
QVC GP COM SER A
53071M104
6590
261800
SH
DFND
2
261800
0
0
LIBERTY LATIN AMERICA LTD
COM CL C
G9001E128
60
3137
SH
DFND
1
3137
0
0
LIBERTY LATIN AMERICA LTD
COM CL C
G9001E128
315
16518
SH
DFND
2
16518
0
0
LIBERTY LATIN AMERICA LTD
COM CL C
G9001E128
375
19628
SH
OTR
4
0
19628
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
401
9806
SH
OTR
4
0
9806
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
617
15100
SH
DFND
3
15100
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
54233
1327613
SH
DFND
2
1327613
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
67479
1651877
SH
DFND
1
1651877
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
1422
34600
SH
DFND
3
34600
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
17077
415506
SH
DFND
2
415506
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
36194
880630
SH
DFND
1
880630
0
0
LIBERTY TRIPADVISOR HLDGS IN
COM SER A
531465102
37
3413
SH
DFND
3413
0
0
LIBERTY TRIPADVISOR HLDGS IN
COM SER A
531465102
397
36963
SH
OTR
4
0
36963
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
386
16025
SH
OTR
4
0
16025
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
19259
799812
SH
DFND
2
799812
0
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
45165
1875608
SH
DFND
1
1875608
0
0
LIVE NATION ENTERTAINMENT INC.
COM
538034109
18277
433727
SH
DFND
1
433727
0
0
LIVE NATION ENTERTAINMENT INC.
COM
538034109
29654
703701
SH
DFND
2
703701
0
0
LOCKHEED MARTIN CORP
COM
539830109
265
784
SH
DFND
1
784
0
0
LOEWS CORP
COM
540424108
395
7945
SH
OTR
4
0
7945
0
LOEWS CORP
COM
540424108
3224
64832
SH
DFND
1
64832
0
0
LORAL SPACE & COMMUNICATNS L
COM
543881106
661
15882
SH
DFND
1
15882
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
59
559
SH
DFND
2
559
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
402
3800
SH
OTR
4
0
3800
0
M & T BK CORP
COM
55261F104
2143
11624
SH
DFND
1
11624
0
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
414
1686
SH
OTR
4
0
1686
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
5529
22494
SH
DFND
2
22494
0
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
11222
45653
SH
DFND
1
45653
0
0
MANAGED DURATION INVT GRD FUND
COM
56165R103
174
12779
SH
DFND
1
12779
0
0
MANITOWOC INC
COM NEW
563571405
228
8025
SH
DFND
2
8025
0
0
MANITOWOC INC
COM NEW
563571405
397
13946
SH
OTR
4
0
13946
0
MANTECH INTL CORP
CL A
564563104
1387
25000
SH
DFND
2
25000
0
0
MARATHON PETE CORP
COM
56585A102
4
56
SH
DFND
2
56
0
0
MARATHON PETE CORP
COM
56585A102
327
4474
SH
DFND
1
4474
0
0
MARCUS & MILLICHAP INC
COM
566324109
412
11412
SH
OTR
4
0
11412
0
MARKEL CORP
COM
570535104
5788
4946
SH
DFND
1
4946
0
0
MARKEL CORP
COM
570535104
18633
15922
SH
DFND
2
15922
0
0
MARKETAXESS HLDGS INC
COM
57060D108
1087
5000
SH
DFND
2
5000
0
0
MARRIOTT INTL INC NEW
CL A
571903202
15
110
SH
DFND
1
110
0
0
MARRIOTT INTL INC NEW
CL A
571903202
395
2907
SH
OTR
4
0
2907
0
MARRIOTT VACATIONS WRLDWDE C
COM
57164Y107
3
20
SH
DFND
1
20
0
0
MARRIOTT VACATIONS WRLDWDE C
COM
57164Y107
390
2929
SH
OTR
4
0
2929
0
MASCO CORP
COM
574599106
75
1850
SH
DFND
1
1850
0
0
MASCO CORP
COM
574599106
231
5700
SH
DFND
2
5700
0
0
MASTEC INC
COM
576323109
398
8452
SH
OTR
4
0
8452
0
MASTERCARD INC
CL A
57636Q104
1940
11077
SH
DFND
2
11077
0
0
MASTERCARD INC
CL A
57636Q104
12349
70503
SH
DFND
1
70503
0
0
MCDONALDS CORP
COM
580135101
697
4457
SH
DFND
1
4457
0
0
MCEWEN MNG INC
COM
58039P107
13
6254
SH
DFND
2
6254
0
0
MCEWEN MNG INC
COM
58039P107
39
18757
SH
DFND
1
18757
0
0
MERCK & COMPANY
COM
58933Y105
817
15000
SH
DFND
2
15000
0
0
MERCK & COMPANY
COM
58933Y105
1779
32659
SH
DFND
1
32659
0
0
MERCURY GENL CORP NEW
COM
589400100
9
200
SH
DFND
1
200
0
0
MERCURY GENL CORP NEW
COM
589400100
394
8580
SH
OTR
4
0
8580
0
MFS HIGH INCOME MUN TR
SH BEN INT
59318D104
2756
560188
SH
DFND
1
560188
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
72
2050
SH
DFND
1
2050
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
2231
63700
SH
DFND
2
63700
0
0
MICROSOFT
COM
594918104
183
2007
SH
DFND
2
2007
0
0
MICROSOFT
COM
594918104
1531
16772
SH
DFND
1
16772
0
0
MOHAWK INDUSTRIES INC
COM
608190104
384
1653
SH
OTR
4
0
1653
0
MONDELEZ INTL INC
CL A
609207105
1319
31616
SH
DFND
1
31616
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
398
6960
SH
OTR
4
0
6960
0
MORNINGSTAR INC
COM
617700109
399
4173
SH
OTR
4
0
4173
0
MOVADO GROUP INC
COM
624580106
1634
42562
SH
DFND
1
42562
0
0
MSC INDL DIRECT INC
CL A
553530106
400
4361
SH
OTR
4
0
4361
0
MSG NETWORK INC
CL A
553573106
387
17107
SH
OTR
4
0
17107
0
MSG NETWORK INC
CL A
553573106
1522
67366
SH
DFND
2
67366
0
0
MSG NETWORK INC
CL A
553573106
2916
129043
SH
DFND
1
129043
0
0
NANTKWEST INC
COM
63016Q102
371
95484
SH
OTR
4
0
95484
0
NASDAQ INC
COM
631103108
155
1800
SH
DFND
2
1800
0
0
NASDAQ INC
COM
631103108
778
9021
SH
DFND
1
9021
0
0
NATIONAL GEN HLDGS CORP
COM
636220303
399
16409
SH
OTR
4
0
16409
0
NATIONAL INSTRS CORP
COM
636518102
393
7774
SH
OTR
4
0
7774
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
56
4775
SH
DFND
2
4775
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
20222
1720994
SH
DFND
1
1720994
0
0
NAVISTAR INTL CORP NEW
PFD SR D CONV
638901306
423
12088
SH
OTR
4
0
12088
0
NEUBERGER BERMAN INTER MUNI
COM
64124P101
1093
79382
SH
DFND
1
79382
0
0
NEUBERGER BERMAN NY INT MUN
COM
64124K102
369
31749
SH
DFND
1
31749
0
0
NEW MEDIA INVT GROUP INC
COM
64704V106
126
7368
SH
DFND
1
7368
0
0
NEW MEDIA INVT GROUP INC
COM
64704V106
237
13800
SH
DFND
2
13800
0
0
NEWELL BRANDS INC
COM
651229106
2573
100978
SH
DFND
1
100978
0
0
NEWMARKET CORP
COM
651587107
402
1001
SH
OTR
4
0
1001
0
NEWS CORP NEW
CL A
65249B109
2
127
SH
DFND
1
127
0
0
NEWS CORP NEW
CL A
65249B109
394
24937
SH
OTR
4
0
24937
0
NOMAD FOODS LTD
USD ORD SHS
G6564A105
396
25157
SH
OTR
4
0
25157
0
NORDSTROM INC
COM
655664100
400
8271
SH
OTR
4
0
8271
0
NORFOLK SOUTHN CORP
COM
655844108
47
349
SH
DFND
2
349
0
0
NORFOLK SOUTHN CORP
COM
655844108
729
5365
SH
DFND
1
5365
0
0
NORTHROP GRUMMAN CORP
COM
666807102
9
26
SH
DFND
2
26
0
0
NORTHROP GRUMMAN CORP
COM
666807102
358
1026
SH
DFND
1
1026
0
0
NOVAGOLD RES INC
COM NEW
66987E206
17
4000
SH
DFND
2
4000
0
0
NOVAGOLD RES INC
COM NEW
66987E206
208
47936
SH
DFND
1
47936
0
0
NOVAGOLD RES INC
COM NEW
66987E206
400
92360
SH
OTR
4
0
92360
0
NOVARTIS AG
SPONSORED ADR
66987V109
1000
12366
SH
DFND
1
12366
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
1132
14000
SH
DFND
2
14000
0
0
NOVO-NORDISK A S
ADR
670100205
381
7740
SH
DFND
1
7740
0
0
NUVEEN AMT-FREE QLTY MUN INCOME
COM
670657105
7452
573217
SH
DFND
1
573217
0
0
NUVEEN BUILD AMER BD FD
COM
67074C103
1972
94856
SH
DFND
1
94856
0
0
NUVEEN BUILD AMER BD OPPTNY
COM
67074Q102
2874
130277
SH
DFND
1
130277
0
0
NUVEEN DIV QLTY MUNI FD 3
COM SH BEN INT
67070X101
961
67997
SH
DFND
1
67997
0
0
NUVEEN DIVID AMT FREE MUNI CRED INC FD
COM
67071L106
379
26128
SH
DFND
1
26128
0
0
NUVEEN ENERGY MLP TOTL RTRNF
COM
67074U103
5491
550182
SH
DFND
1
550182
0
0
NUVEEN FLOATING RATE INCOME
COM
67072T108
112
10310
SH
DFND
1
10310
0
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
654
59902
SH
DFND
1
59902
0
0
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
344
27377
SH
DFND
1
27377
0
0
NUVEEN INTER DURATION MN TMF
COM
670671106
1016
80924
SH
DFND
1
80924
0
0
NUVEEN MUN HIGH INC OPP FD
COM
670682103
218
17467
SH
DFND
1
17467
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
187
19783
SH
DFND
1
19783
0
0
NUVEEN NY AMT FREE QLTY MUN INC FD
COM
670656107
888
72999
SH
DFND
1
72999
0
0
NUVEEN NY QLTY INCOME FD
COM
67066X107
671
52891
SH
DFND
1
52891
0
0
NUVEEN PFD & INC OPPORTUNITIES FD
COM
67073B106
352
35195
SH
DFND
1
35195
0
0
NUVEEN PREFERRED & INCOME SECURITIES FD
COM
67072C105
505
51604
SH
DFND
1
51604
0
0
NUVEEN QUALITY MUNI INC FD
COM
67066V101
1475
112236
SH
DFND
1
112236
0
0
NUVEEN SELECT MAT MUN FD
SH BEN INT
67061T101
208
21500
SH
DFND
1
21500
0
0
NUVEEN SR INCOME FD
COM
67067Y104
723
110399
SH
DFND
1
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0
0
NVIDIA CORP
COM
67066G104
247
1065
SH
DFND
1
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0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
920
23224
SH
DFND
2
23224
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
11560
291922
SH
DFND
1
291922
0
0
OBSIDIAN ENERGY LTD
COM
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49
50425
SH
DFND
1
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0
OCEANEERING INTL INC
COM
675232102
915
49353
SH
DFND
1
49353
0
0
OCWEN FINL CORP
COM NEW
675746309
392
95171
SH
OTR
4
0
95171
0
OHA INVT CORP
COM
67091U102
65
46774
SH
DFND
1
46774
0
0
OPKO HEALTH INC
COM
68375N103
2
550
SH
DFND
1
550
0
0
OPKO HEALTH INC
COM
68375N103
393
123909
SH
OTR
4
0
123909
0
ORACLE CORP
COM
68389X105
21
452
SH
DFND
2
452
0
0
ORACLE CORP
COM
68389X105
202
4415
SH
DFND
1
4415
0
0
ORACLE CORP
COM
68389X105
397
8676
SH
OTR
4
0
8676
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
25
12000
SH
DFND
2
12000
0
0
PAPA JOHNS INTL INC
COM
698813102
397
6922
SH
OTR
4
0
6922
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
398
23170
SH
OTR
4
0
23170
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
1345
78319
SH
DFND
2
78319
0
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
1930
112387
SH
DFND
1
112387
0
0
PATTERSON UTI ENERGY INC
COM
703481101
8552
488405
SH
DFND
1
488405
0
0
PAYCHEX INC
COM
704326107
33
531
SH
DFND
1
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0
0
PAYCHEX INC
COM
704326107
92
1498
SH
DFND
2
1498
0
0
PAYCHEX INC
COM
704326107
384
6238
SH
OTR
4
0
6238
0
PAYPAL HLDGS INC
COM
70450Y103
383
5050
SH
OTR
4
0
5050
0
PAYPAL HLDGS INC
COM
70450Y103
1030
13581
SH
DFND
1
13581
0
0
PAYPAL HLDGS INC
COM
70450Y103
5759
75900
SH
DFND
2
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0
0
PCM FUND INC
COM
69323T101
804
70985
SH
DFND
1
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0
0
PEGASYSTEMS INC
COM
705573103
404
6662
SH
OTR
4
0
6662
0
PENN NATL GAMING INC
COM
707569109
402
15306
SH
OTR
4
0
15306
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
409
9217
SH
OTR
4
0
9217
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
430
9699
SH
DFND
1
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PEPSICO INC
COM
713448108
114
1044
SH
DFND
2
1044
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0
PEPSICO INC
COM
713448108
2000
18323
SH
DFND
1
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0
0
PERKINELMER INC
COM
714046109
426
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SH
DFND
1
5630
0
0
PERMIAN BASIN RTY TR
UNIT BEN INT
714236106
1597
165500
SH
DFND
2
165500
0
0
PERMIAN BASIN RTY TR
UNIT BEN INT
714236106
3138
325202
SH
DFND
1
325202
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PERRIGO CO PLC
SHS
G97822103
803
9638
SH
DFND
1
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PERSHING GOLD CORP
COM NEW
715302204
143
69842
SH
DFND
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0
0
PETROCHINA CO LTD
SPONSORED ADR
71646E100
251
3600
SH
DFND
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3600
0
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PFIZER INC
COM
717081103
1112
31321
SH
DFND
1
31321
0
0
PFIZER INC
COM
717081103
1492
42046
SH
DFND
2
42046
0
0
PHILIP MORRIS INTL INC
COM
718172109
3
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SH
DFND
2
31
0
0
PHILIP MORRIS INTL INC
COM
718172109
3045
30630
SH
DFND
1
30630
0
0
PIMCO CORPORATE INCOME FD
COM
72200U100
170
10241
SH
DFND
1
10241
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PIMCO DYNAMIC CREDIT AND MORTGAGE INCOME FD
COM SHS
72202D106
640
27952
SH
DFND
2
27952
0
0
PIMCO DYNAMIC CREDIT AND MORTGAGE INCOME FD
COM SHS
72202D106
2154
94140
SH
DFND
1
94140
0
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PIMCO DYNAMIC INCOME FD
SHS
72201Y101
2714
88000
SH
DFND
2
88000
0
0
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
6128
198695
SH
DFND
1
198695
0
0
PIMCO ETF TR ENHAN SHRT MAT
ENHAN SHRT MA AC
72201R833
12
116
SH
DFND
1
116
0
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PIMCO ETF TR ENHAN SHRT MAT
ENHAN SHRT MA AC
72201R833
477
4700
SH
DFND
2
4700
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
236
9000
SH
DFND
2
9000
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
3306
126341
SH
DFND
1
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0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
117
10000
SH
DFND
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10000
0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
2859
244594
SH
DFND
1
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0
0
PIMCO INCOME STRATEGY FUND II
COM
72201J104
104
10000
SH
DFND
2
10000
0
0
PIMCO INCOME STRATEGY FUND II
COM
72201J104
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553781
SH
DFND
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0
0
PIMCO MUN INCOME FD II
COM
72200W106
194
15400
SH
DFND
1
15400
0
0
PIMCO NY MUNICIPAL INCOME FD
COM
72200T103
543
46832
SH
DFND
1
46832
0
0
PIONEER FLOATING RATE TR
COM
72369J102
135
11628
SH
DFND
1
11628
0
0
PIONEER MUN HIGH INC ADV TR
COM
723762100
252
23490
SH
DFND
1
23490
0
0
PIONEER MUN HIGH INCOME TR
COM SHS
723763108
274
24371
SH
DFND
2
24371
0
0
PIONEER MUN HIGH INCOME TR
COM SHS
723763108
508
45126
SH
DFND
1
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0
0
PJT PARTNERS INC
COM CL A
69343T107
26
526
SH
DFND
526
0
0
PJT PARTNERS INC
COM CL A
69343T107
413
8235
SH
OTR
4
0
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PLATFORM SPECIALTY PRODS COR
COM
72766Q105
374
38845
SH
OTR
4
0
38845
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
2057
213553
SH
DFND
1
213553
0
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
2222
230765
SH
DFND
2
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0
0
PRAXAIR INC
COM
74005P104
222
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SH
DFND
1
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PRICE T ROWE GROUP INC
COM
74144T108
420
3891
SH
DFND
1
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PRICESMART INC
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417
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OTR
4
0
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PROCTER & GAMBLE COMPANY
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282
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DFND
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PROGENICS PHARMACEUTICALS IN
COM
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501
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DFND
2
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PUTNAM PREMIER INCOME TR
SH BEN INT
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180
34403
SH
DFND
1
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0
QUALCOMM INC
COM
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202
3646
SH
DFND
1
3646
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0
QUEST DIAGNOSTICS INC
COM
74834L100
552
5500
SH
DFND
1
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0
0
RAFAEL HLDGS INC
COM CL B
75062E106
80
16524
SH
DFND
1
16524
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0
RALPH LAUREN CORP
CL A
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413
3695
SH
OTR
4
0
3695
0
RAYMOND JAMES FINANCIAL INC
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378
4233
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OTR
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125
5800
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DFND
2
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0
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RAYONIER ADVANCED MATLS INC
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39504
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DFND
1
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1059
4906
SH
DFND
1
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0
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REALPAGE INC COM
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395
7665
SH
OTR
4
0
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RESTAURANT BRANDS INTL INC
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1
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SH
DFND
2
14
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
386
6784
SH
DFND
1
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0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
398
6986
SH
OTR
4
0
6986
0
RICEBRAN TECHNOLOGIES
COM NEW
762831204
38
24277
SH
DFND
1
24277
0
0
ROCKWELL AUTOMATION INC
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773903109
1199
6883
SH
DFND
1
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0
0
ROLLINS INC
COM
775711104
401
7855
SH
OTR
4
0
7855
0
ROYAL CARIBBEAN CRUISES LTD
COM
V7780T103
6
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SH
OTR
4
0
55
0
ROYAL CARIBBEAN CRUISES LTD
COM
V7780T103
1885
16006
SH
DFND
1
16006
0
0
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
48
728
SH
DFND
2
728
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
925
14496
SH
DFND
1
14496
0
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
9119
8674000
PRN
DFND
1
8674000
0
0
ROYAL GOLD INC
COM
780287108
25739
299749
SH
DFND
1
299749
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
24271
2593103
SH
DFND
1
2593103
0
0
ROYCE VALUE TR INC
COM
780910105
7255
466255
SH
DFND
1
466255
0
0
RPC INC
COM
749660106
369
20489
SH
OTR
4
0
20489
0
S&P GLOBAL INC
COM
78409V104
879
4601
SH
DFND
1
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0
0
S&W SEED CO
COM
785135104
158
43884
SH
DFND
1
43884
0
0
SABINE ROYALTY TR
UNIT BEN INT
785688102
1863
42395
SH
DFND
1
42395
0
0
SALESFORCE COM INC
COM
79466L302
379
3263
SH
OTR
4
0
3263
0
SANDRIDGE ENERGY INC
COM NEW
80007P869
827
57027
SH
DFND
1
57027
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
10
2000
SH
DFND
3
2000
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
7855
1650160
SH
DFND
1
1650160
0
0
SANOFI
RIGHT 12/31/2020
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0
402
SH
DFND
1
402
0
0
SANOFI
RIGHT 12/31/2020
80105N113
7
15538
SH
DFND
2
15538
0
0
SANOFI
SPONSORED ADR
80105N105
1002
25000
SH
DFND
2
25000
0
0
SCHLUMBERGER
COM
806857108
767
11834
SH
DFND
1
11834
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
42
804
SH
DFND
1
804
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
381
7289
SH
OTR
4
0
7289
0
SCHWAB STRATEGIC TR
US LCAP VA ETF
808524409
210
3974
SH
DFND
1
3974
0
0
SCOTTS MIRACLE GRO CO
CL A
810186106
398
4644
SH
OTR
4
0
4644
0
SCRIPPS E W CO OHIO
CL A
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743
62000
SH
DFND
2
62000
0
0
SEABOARD CORP DEL
COM
811543107
85
20
SH
DFND
3
20
0
0
SEABOARD CORP DEL
COM
811543107
213
50
SH
DFND
1
50
0
0
SEABOARD CORP DEL
COM
811543107
426
100
SH
DFND
2
100
0
0
SEALED AIR CORP NEW
COM
81211K100
1344
31400
SH
DFND
1
31400
0
0
SEARS HLDGS CORP
COM
812350106
2
844
SH
DFND
1
844
0
0
SEARS HLDGS CORP
COM
812350106
476
178120
SH
OTR
4
0
178120
0
SEARS HOMETOWN AND OUTLET ST
COM
812362101
613
204252
SH
OTR
4
0
204252
0
SEASPAN CORP
SHS
Y75638109
72
10797
SH
DFND
1
10797
0
0
SEASPAN CORP
SHS
Y75638109
422
63187
SH
OTR
4
0
63187
0
SECOND SIGHT MED PRODS INC
COM
81362J100
50
26156
SH
DFND
1
26156
0
0
SERITAGE GROWTH PPTYS
CL A
81752R100
415
11686
SH
OTR
4
0
11686
0
SILGAN HOLDINGS INC
COM
827048109
407
14603
SH
OTR
4
0
14603
0
SIMON PPTY GROUP INC NEW
COM
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44
282
SH
DFND
1
282
0
0
SIMON PPTY GROUP INC NEW
COM
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408
2642
SH
OTR
4
0
2642
0
SONOCO PRODUCTS
COM
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1203
24800
SH
DFND
1
24800
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SPDR SERIES TRUST
PORTFOLIO SHORT
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725
24000
SH
DFND
2
24000
0
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
66
4454
SH
DFND
1
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0
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
206
14000
SH
DFND
2
14000
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
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416
7748
SH
OTR
4
0
7748
0
SPDR S&P 500 ETF TR
TR UNIT
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488
1854
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DFND
1
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0
0
STARBUCKS CORP
COM
855244109
29
508
SH
DFND
508
0
0
STARBUCKS CORP
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855244109
403
6960
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OTR
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STEEL CONNECT INC
COM
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113
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DFND
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53281
0
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STRYKER CORP
COM
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322
2000
SH
DFND
1
2000
0
0
SUNCOR ENERGY INC NEW
COM
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2230
64570
SH
DFND
1
64570
0
0
SUNOCO LP
COM U REP LP
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548
21479
SH
DFND
1
21479
0
0
SYNTEL INC
COM
87162H103
388
15211
SH
OTR
4
0
15211
0
TAUBMAN CTRS INC
COM
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412
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SH
OTR
4
0
7233
0
TEGNA INC
COM
87901J105
4
350
SH
DFND
1
350
0
0
TEGNA INC
COM
87901J105
132
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SH
DFND
2
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0
0
TELEFLEX INC
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753
2952
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DFND
1
2952
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TERRA NITROGEN CO L P
COM UNIT
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1939
23092
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DFND
1
23092
0
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TESLA INC COM
COM
88160R101
350
1314
SH
OTR
4
0
1314
0
TEXAS PAC LD TR
SUB CTF PROP I T
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22012
43551
SH
DFND
3
43551
0
0
TEXAS PAC LD TR
SUB CTF PROP I T
882610108
379613
751085
SH
DFND
2
751085
0
0
TEXAS PAC LD TR
SUB CTF PROP I T
882610108
518853
1026578
SH
DFND
1
1026578
0
0
THIRD PT REINS LTD
COM
G8827U100
387
27754
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OTR
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27754
0
TIME WARNER INC
COM NEW
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2116
22369
SH
DFND
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TIMKEN CO
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382
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OTR
4
0
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0
TIMKENSTEEL CORP
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887399103
2
128
SH
DFND
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128
0
0
TIMKENSTEEL CORP
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378
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OTR
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TOOTSIE ROLL INDS INC
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DFND
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523
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TOOTSIE ROLL INDS INC
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401
13621
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OTR
4
0
13621
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TORONTO DOMINION BK ONT
COM NEW
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DFND
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17350
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TORTOISE ENERGY INFRSTRCTR C
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2794
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SH
DFND
1
111854
0
0
TORTOISE MLP FD INC
COM
89148B101
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447535
SH
DFND
1
447535
0
0
TRANSOCEAN LTD
REG SHS
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1290
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DFND
1
1290
0
0
TRANSOCEAN LTD T
REG SHS
H8817H100
442
44647
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OTR
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0
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0
TRI POINTE GROUP INC
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1151
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DFND
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0
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TRI POINTE GROUP INC
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87265H109
2987
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SH
DFND
1
181822
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0
TRILOGY METALS INC
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89621C105
105
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DFND
1
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0
TRINITY PLACE HOLDINGS INC
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66
10156
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DFND
1
10156
0
0
TTEC HOLDINGS INC
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89854H102
386
12586
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OTR
4
0
12586
0
TWENTY FIRST CENTY FOX INC
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90130A101
408
11127
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OTR
4
0
11127
0
UNDER ARMOUR INC
CL C
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418
29141
SH
OTR
4
0
29141
0
UNION PACIFIC CORP
COM
907818108
45
336
SH
DFND
2
336
0
0
UNION PACIFIC CORP
COM
907818108
1794
13344
SH
DFND
1
13344
0
0
UNITED PARCEL SVC INC
CL B
911312106
442
4228
SH
DFND
1
4228
0
0
UNITED TECHNOLOGIES CORP DEL
CORP
913017109
283
2250
SH
DFND
1
2250
0
0
URBAN EDGE PPTYS
COM
91704F104
3
161
SH
DFND
1
161
0
0
URBAN EDGE PPTYS
COM
91704F104
418
19585
SH
OTR
4
0
19585
0
URBAN OUTFITTERS INC
COM
917047102
415
11227
SH
OTR
4
0
11227
0
US BANCORP DEL
COM NEW
902973304
3
60
SH
DFND
2
60
0
0
US BANCORP DEL
COM NEW
902973304
443
8773
SH
DFND
1
8773
0
0
VAALCO ENERGY INC
COM NEW
91851C201
37
43141
SH
DFND
1
43141
0
0
VALEANT PHARMACEUTICALS INTL
COM
91911K102
362
22739
SH
DFND
1
22739
0
0
VALMONT INDS INC
COM
920253101
435
2975
SH
DFND
1
2975
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
3860
15946
SH
DFND
1
15946
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
387
2636
SH
DFND
1
2636
0
0
VANGUARD INDEX TR
TOTAL STK MKT
922908769
98
722
SH
DFND
2
722
0
0
VANGUARD INDEX TR
TOTAL STK MKT
922908769
5600
41265
SH
DFND
1
41265
0
0
VANGUARD SCOTTSDALE FDS
SHORT TERM TREAS
92206C102
5722
95308
SH
DFND
2
95308
0
0
VANGUARD SCOTTSDALE FDS
SHORT TERM TREAS
92206C102
131503
2190258
SH
DFND
1
2190258
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
126
1610
SH
DFND
1
1610
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1702
21700
SH
DFND
2
21700
0
0
VERISK ANALYTICS INC
CL A
92345Y106
790
7600
SH
DFND
2
7600
0
0
VERIZON COMMUNICATIONS
COM
92343V104
24
507
SH
DFND
2
507
0
0
VERIZON COMMUNICATIONS
COM
92343V104
1905
39842
SH
DFND
1
39842
0
0
VIACOM INC NEW
CL B
92553P201
383
12318
SH
DFND
1
12318
0
0
VIACOM INC NEW
CL B
92553P201
409
13178
SH
OTR
4
0
13178
0
VIACOM INC NEW
CL B
92553P201
665
21417
SH
DFND
2
21417
0
0
VIASAT INC
COM
92552V100
173
2629
SH
DFND
2
2629
0
0
VIASAT INC
COM
92552V100
233
3538
SH
DFND
1
3538
0
0
VIPER ENERGY PARTNERS LP
COM UNT RP INT
92763M105
972
38252
SH
DFND
2
38252
0
0
VIPER ENERGY PARTNERS LP
COM UNT RP INT
92763M105
1210
47600
SH
DFND
1
47600
0
0
VIRTU FINL INC
CL A
928254101
402
12178
SH
OTR
4
0
12178
0
VISA INC COM
COM CL A
92826C839
286
2389
SH
DFND
1
2389
0
0
VISA INC COM
COM CL A
92826C839
3488
29160
SH
DFND
2
29160
0
0
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
524
18836
SH
DFND
1
18836
0
0
VORNADO RLTY TR SBI
SH BEN INT
929042109
2
27
SH
DFND
1
27
0
0
VORNADO RLTY TR SBI
SH BEN INT
929042109
404
6000
SH
OTR
4
0
6000
0
W & T OFFSHORE INC
COM
92922P106
446
100614
SH
OTR
4
0
100614
0
W P CAREY INC
COM
92936U109
704
11362
SH
DFND
1
11362
0
0
WALMART INC
COM
931142103
103
1156
SH
DFND
2
1156
0
0
WALMART INC
COM
931142103
179
2008
SH
DFND
1
2008
0
0
WEIGHT WATCHERS INTL INC
COM
948626106
384
6019
SH
OTR
4
0
6019
0
WELBILT INC
COM
949090104
2
107
SH
DFND
1
107
0
0
WELBILT INC
COM
949090104
389
20002
SH
OTR
4
0
20002
0
WELBILT INC
COM
949090104
648
33300
SH
DFND
2
33300
0
0
WELLS FARGO & CO NEW
COM
949746101
10
184
SH
DFND
2
184
0
0
WELLS FARGO & CO NEW
COM
949746101
419
7993
SH
DFND
1
7993
0
0
WENDYS COMPANY
COM
95058W100
414
23578
SH
OTR
4
0
23578
0
WENDYS COMPANY
COM
95058W100
20936
1192951
SH
DFND
2
1192951
0
0
WENDYS COMPANY
COM
95058W100
78195
4455551
SH
DFND
1
4455551
0
0
WERNER ENTERPRISES INC
COM
950755108
380
10419
SH
OTR
4
0
10419
0
WESTERN ASSET CORPORATE LN FD
COM
95790J102
1195
114006
SH
DFND
1
114006
0
0
WESTERN ASSET INFLATION LINKED INCOME FD
COM SH BEN INT
95766Q106
289
25104
SH
DFND
1
25104
0
0
WESTERN ASSET INTM MUNI FD I
COM
958435109
237
27468
SH
DFND
1
27468
0
0
WESTERN ASSET MTG DEF OPPTY
COM
95790B109
99
4036
SH
DFND
1
4036
0
0
WESTERN ASSET MTG DEF OPPTY
COM
95790B109
470
19200
SH
DFND
2
19200
0
0
WESTLAKE CHEM CORP
COM
960413102
395
3557
SH
OTR
4
0
3557
0
WESTPORT FUEL SYSTEMS INC
COM NEW
960908309
26
11984
SH
DFND
1
11984
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
1342
65873
SH
DFND
2
65873
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
62038
3045560
SH
DFND
1
3045560
0
0
WHITE MOUNTAINS INSURANCE GROUP LTD
COM
G9618E107
438
532
SH
DFND
1
532
0
0
WILLIAMS COS INC
COM
969457100
4788
192600
SH
DFND
1
192600
0
0
WISDOMTREE INVTS INC
COM
97717P104
18
2000
SH
DFND
2
2000
0
0
WISDOMTREE INVTS INC
COM
97717P104
130
14154
SH
DFND
1
14154
0
0
WISDOMTREE INVTS INC
COM
97717P104
387
42157
SH
OTR
4
0
42157
0
WPP PLC NEW
ADR
92937A102
395
4967
SH
DFND
1
4967
0
0
WSTRN ASSET INFLATION LINKED OPPORT INC FD
COM
95766R104
25
2200
SH
DFND
2
2200
0
0
WSTRN ASSET INFLATION LINKED OPPORT INC FD
COM
95766R104
561
49530
SH
DFND
1
49530
0
0
WYNN RESORTS LTD
COM
983134107
465
2550
SH
DFND
2
2550
0
0
WYNN RESORTS LTD
COM
983134107
3424
18774
SH
DFND
1
18774
0
0
XEROX CORP
COM NEW
984121608
381
13241
SH
OTR
4
0
13241
0
XPO LOGISTICS INC
COM
983793100
398
3911
SH
OTR
4
0
3911
0
ISHARES SILVER TRUST
ISHARES
46428Q109
939
42700
SH
Call
DFND
1
42700
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
2036
75400
SH
Call
DFND
1
75400
0
0
NIVIDIA CORP
COM
67066GAC8
1551
14100
SH
Put
DFND
1
14100
0
0
NIVIDIA CORP
COM
67066GAC8
2502
45500
SH
Put
DFND
1
45500
0
0
NIVIDIA CORP
COM
67066GAC8
1386
12600
SH
Put
DFND
1
12600
0
0