# EDGAR Filing Document

**Accession Number:** 0001276144
**File Stem:** 0000950123-23-002349
**Filing Date:** 2023-2
**Character Count:** 19762
**Document Hash:** 3cd7e4997840e7a8fd6ecfaf6edfe2c0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950123-23-002349.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0000950123-23-002349

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CLOUGH CAPITAL PARTNERS L P
- **CENTRAL INDEX KEY:** 0001276144
- **IRS NUMBER:** 043486480
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-10679
- **FILM NUMBER:** 23624196

**BUSINESS ADDRESS:**
- **STREET 1:** 53 STATE STREET
- **STREET 2:** 27TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02109
- **BUSINESS PHONE:** 6172043400

**MAIL ADDRESS:**
- **STREET 1:** 53 STATE STREET
- **STREET 2:** 27TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02109

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Clough Capital Partners L P<br>**Address:** 53 State Street<br>27th Floor<br>Boston, MA 02109

**Form 13F File Number:** 028-10679

**CRD Number (if applicable):** 000131257

**SEC File Number (if applicable):** 801-63142

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Daniel Gillis<br>**Title:** Chief Compliance Officer<br>**Phone:** 617-204-3409

**Signature, Place, and Date of Signing:**

/s/ Daniel Gillis  Boston, MA  02-14-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 1

**Form 13F Information Table Entry Total:** 158

**Form 13F Information Table Value Total:** $986487993

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

| No.   | Name                  | Form 13F File Number   |
|:---|:---|:---|
|  | Charles I. Clough Jr. | 028-12502              |

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 3M CO | COM | 88579Y101 |  | 1798800 | 15000 | SH |  | DFND | 1 | 15000 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 |  | 565635 | 3500 | SH |  | DFND | 1 | 3500 | 0 | 0 |
| ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 |  | 13546579 | 164560 | SH |  | DFND | 1 | 164560 | 0 | 0 |
| ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 |  | 9125928 | 34200 | SH |  | DFND | 1 | 34200 | 0 | 0 |
| ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 |  | 429046 | 29508 | SH |  | DFND | 1 | 29508 | 0 | 0 |
| ADVANCE AUTO PARTS INC | COM | 00751Y106 |  | 1823172 | 12400 | SH |  | DFND | 1 | 12400 | 0 | 0 |
| AES CORP | COM | 00130H105 |  | 6076988 | 211300 | SH |  | DFND | 1 | 211300 | 0 | 0 |
| AIR PRODS  CHEMS INC | COM | 009158106 |  | 2527732 | 8200 | SH |  | DFND | 1 | 8200 | 0 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 13796628 | 155490 | SH |  | DFND | 1 | 155490 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 12374880 | 147320 | SH |  | DFND | 1 | 147320 | 0 | 0 |
| AMERICAN INTL GROUP INC | COM NEW | 026874784 |  | 7708956 | 121900 | SH |  | DFND | 1 | 121900 | 0 | 0 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 |  | 22878973 | 107991 | SH |  | DFND | 1 | 107991 | 0 | 0 |
| AMGEN INC | COM | 031162100 |  | 892976 | 3400 | SH |  | DFND | 1 | 3400 | 0 | 0 |
| AMPHENOL CORP NEW | CL A | 032095101 |  | 1439046 | 18900 | SH |  | DFND | 1 | 18900 | 0 | 0 |
| ANALOG DEVICES INC | COM | 032654105 |  | 7036887 | 42900 | SH |  | DFND | 1 | 42900 | 0 | 0 |
| APELLIS PHARMACEUTICALS INC | COM | 03753U106 |  | 1479371 | 28609 | SH |  | DFND | 1 | 28609 | 0 | 0 |
| APOLLO SR FLOATING RATE FD I | COM | 037636107 |  | 593554 | 48100 | SH |  | DFND | 1 | 48100 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 9206840 | 70860 | SH |  | DFND | 1 | 70860 | 0 | 0 |
| ARCELLX INC | COMMON STOCK | 03940C100 |  | 7341578 | 236978 | SH |  | DFND | 1 | 236978 | 0 | 0 |
| AT INC | COM | 00206R102 |  | 2365685 | 128500 | SH |  | DFND | 1 | 128500 | 0 | 0 |
| AUTOLIV INC | COM | 052800109 |  | 1784314 | 23300 | SH |  | DFND | 1 | 23300 | 0 | 0 |
| BANK AMERICA CORP | COM | 060505104 |  | 13148640 | 397000 | SH |  | DFND | 1 | 397000 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 |  | 11249064 | 24 | SH |  | DFND | 1 | 24 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 172984 | 560 | SH |  | DFND | 1 | 560 | 0 | 0 |
| BLACKROCK CAP ALLOCATION TR | COM | 09260U109 |  | 5668669 | 408700 | SH |  | DFND | 1 | 408700 | 0 | 0 |
| BLACKROCK HEALTH SCIENCS TR | COM SHS | 09260E105 |  | 3128216 | 202736 | SH |  | DFND | 1 | 202736 | 0 | 0 |
| BLACKROCK INNOVATION AND GRW | SHS BEN INT | 09260Q108 |  | 15188663 | 2230347 | SH |  | DFND | 1 | 2230347 | 0 | 0 |
| BLACKROCK SCIENCE  TECHNOLO | SHS BEN INT | 09260K101 |  | 3193688 | 204200 | SH |  | DFND | 1 | 204200 | 0 | 0 |
| BLACKSTONE MTG TR INC | COM CL A | 09257W100 |  | 7912774 | 373773 | SH |  | DFND | 1 | 373773 | 0 | 0 |
| BLACKSTONE SECD LENDING FD | COMMON STOCK | 09261X102 |  | 5055123 | 226180 | SH |  | DFND | 1 | 226180 | 0 | 0 |
| BOEING CO | COM | 097023105 |  | 29287838 | 153750 | SH |  | DFND | 1 | 153750 | 0 | 0 |
| BOOKING HOLDINGS INC | COM | 09857L108 |  | 2216808 | 1100 | SH |  | DFND | 1 | 1100 | 0 | 0 |
| BOSTON SCIENTIFIC CORP | COM | 101137107 |  | 16528893 | 357227 | SH |  | DFND | 1 | 357227 | 0 | 0 |
| BROADCOM INC | COM | 11135F101 |  | 7771907 | 13900 | SH |  | DFND | 1 | 13900 | 0 | 0 |
| CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461209 |  | 1531190 | 88253 | SH |  | DFND | 1 | 88253 | 0 | 0 |
| CHENIERE ENERGY INC | COM NEW | 16411R208 |  | 11339225 | 75615 | SH |  | DFND | 1 | 75615 | 0 | 0 |
| CHEVRON CORP NEW | COM | 166764100 |  | 1830798 | 10200 | SH |  | DFND | 1 | 10200 | 0 | 0 |
| CIGNA CORP NEW | COM | 125523100 |  | 1822370 | 5500 | SH |  | DFND | 1 | 5500 | 0 | 0 |
| CISCO SYS INC | COM | 17275R102 |  | 2010408 | 42200 | SH |  | DFND | 1 | 42200 | 0 | 0 |
| CLEARBRIDGE ENERGY MIDSTRM O | COM | 18469P209 |  | 261061 | 9128 | SH |  | DFND | 1 | 9128 | 0 | 0 |
| CLEARBRIDGE MLP AND MIDSTRM | COM | 18469Q207 |  | 729366 | 25800 | SH |  | DFND | 1 | 25800 | 0 | 0 |
| COCA COLA CO | COM | 191216100 |  | 4586281 | 72100 | SH |  | DFND | 1 | 72100 | 0 | 0 |
| COMCAST CORP NEW | CL A | 20030N101 |  | 1811446 | 51800 | SH |  | DFND | 1 | 51800 | 0 | 0 |
| CORNERSTONE STRATEGIC VALUE | COM | 21924B302 |  | 2108557 | 286100 | SH |  | DFND | 1 | 286100 | 0 | 0 |
| CORNERSTONE TOTAL RETURN FD | COM | 21924U300 |  | 2092370 | 294700 | SH |  | DFND | 1 | 294700 | 0 | 0 |
| CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 |  | 10638105 | 261700 | SH |  | DFND | 1 | 261700 | 0 | 0 |
| CROWDSTRIKE HLDGS INC | CL A | 22788C105 |  | 6996521 | 66450 | SH |  | DFND | 1 | 66450 | 0 | 0 |
| CROWN CASTLE INC | COM | 22822V101 |  | 11283892 | 83190 | SH |  | DFND | 1 | 83190 | 0 | 0 |
| CUSHING MLP  INFRASTRUCT | COM NEW | 231631300 |  | 760461 | 22653 | SH |  | DFND | 1 | 22653 | 0 | 0 |
| DEERE  CO | COM | 244199105 |  | 1500660 | 3500 | SH |  | DFND | 1 | 3500 | 0 | 0 |
| DELAWARE ENHANCED GLOBAL DIV | COM | 246060107 |  | 1413805 | 181257 | SH |  | DFND | 1 | 181257 | 0 | 0 |
| DELAWARE IVY HIGH INCOME OPP | COM | 246107106 |  | 4695549 | 428426 | SH |  | DFND | 1 | 428426 | 0 | 0 |
| DOLLAR GEN CORP NEW | COM | 256677105 |  | 6377875 | 25900 | SH |  | DFND | 1 | 25900 | 0 | 0 |
| DOW INC | COM | 260557103 |  | 1929937 | 38300 | SH |  | DFND | 1 | 38300 | 0 | 0 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 |  | 6179400 | 60000 | SH |  | DFND | 1 | 60000 | 0 | 0 |
| EATON VANCE LTD DURATION INC | COM | 27828H105 |  | 851673 | 90700 | SH |  | DFND | 1 | 90700 | 0 | 0 |
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 |  | 24273 | 2694 | SH |  | DFND | 1 | 2694 | 0 | 0 |
| EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 |  | 748108 | 141956 | SH |  | DFND | 1 | 141956 | 0 | 0 |
| ELEVANCE HEALTH INC | COM | 036752103 |  | 2564850 | 5000 | SH |  | DFND | 1 | 5000 | 0 | 0 |
| EXELON CORP | COM | 30161N101 |  | 6259704 | 144800 | SH |  | DFND | 1 | 144800 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 24556641 | 222635 | SH |  | DFND | 1 | 222635 | 0 | 0 |
| GENERAL MLS INC | COM | 370334104 |  | 8150220 | 97200 | SH |  | DFND | 1 | 97200 | 0 | 0 |
| GILEAD SCIENCES INC | COM | 375558103 |  | 661045 | 7700 | SH |  | DFND | 1 | 7700 | 0 | 0 |
| GOLUB CAP BDC INC | COM | 38173M102 |  | 2651740 | 201500 | SH |  | DFND | 1 | 201500 | 0 | 0 |
| HANCOCK JOHN INVT TR | TAX ADV GLB SH | 41013P749 |  | 513410 | 103510 | SH |  | DFND | 1 | 103510 | 0 | 0 |
| HDFC BANK LTD | SPONSORED ADS | 40415F101 |  | 31115946 | 454845 | SH |  | DFND | 1 | 454845 | 0 | 0 |
| HERTZ GLOBAL HLDGS INC | COM NEW | 42806J700 |  | 1563316 | 101580 | SH |  | DFND | 1 | 101580 | 0 | 0 |
| HERTZ GLOBAL HLDGS INC | W EXP 06/30/205 | 42806J148 |  | 2933095 | 393440 | SH |  | DFND | 1 | 393440 | 0 | 0 |
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 |  | 144952 | 39389 | SH |  | DFND | 1 | 39389 | 0 | 0 |
| HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 |  | 710748 | 75451 | SH |  | DFND | 1 | 75451 | 0 | 0 |
| HOLOGIC INC | COM | 436440101 |  | 12215725 | 163290 | SH |  | DFND | 1 | 163290 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 18433590 | 58360 | SH |  | DFND | 1 | 58360 | 0 | 0 |
| HUNTINGTON BANCSHARES INC | COM | 446150104 |  | 5064720 | 359200 | SH |  | DFND | 1 | 359200 | 0 | 0 |
| ICICI BANK LIMITED | ADR | 45104G104 |  | 27085876 | 1237363 | SH |  | DFND | 1 | 1237363 | 0 | 0 |
| ILLINOIS TOOL WKS INC | COM | 452308109 |  | 484660 | 2200 | SH |  | DFND | 1 | 2200 | 0 | 0 |
| INTERNATIONAL PAPER CO | COM | 460146103 |  | 789564 | 22800 | SH |  | DFND | 1 | 22800 | 0 | 0 |
| JABIL INC | COM | 466313103 |  | 10195900 | 149500 | SH |  | DFND | 1 | 149500 | 0 | 0 |
| JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 |  | 13514267 | 84830 | SH |  | DFND | 1 | 84830 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 15186601 | 85970 | SH |  | DFND | 1 | 85970 | 0 | 0 |
| JOHNSON CTLS INTL PLC | SHS | G51502105 |  | 524800 | 8200 | SH |  | DFND | 1 | 8200 | 0 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 8381250 | 62500 | SH |  | DFND | 1 | 62500 | 0 | 0 |
| KINDER MORGAN INC DEL | COM | 49456B101 |  | 25138287 | 1390392 | SH |  | DFND | 1 | 1390392 | 0 | 0 |
| KLA CORP | COM NEW | 482480100 |  | 5881668 | 15600 | SH |  | DFND | 1 | 15600 | 0 | 0 |
| KRAFT HEINZ CO | COM | 500754106 |  | 3366717 | 82700 | SH |  | DFND | 1 | 82700 | 0 | 0 |
| KROGER CO | COM | 501044101 |  | 2162130 | 48500 | SH |  | DFND | 1 | 48500 | 0 | 0 |
| LAM RESEARCH CORP | COM | 512807108 |  | 9608058 | 22860 | SH |  | DFND | 1 | 22860 | 0 | 0 |
| LEGEND BIOTECH CORP | SPONSORED ADS | 52490G102 |  | 1920722 | 38476 | SH |  | DFND | 1 | 38476 | 0 | 0 |
| LILLY ELI  CO | COM | 532457108 |  | 3548648 | 9700 | SH |  | DFND | 1 | 9700 | 0 | 0 |
| LINDE PLC | SHS | G5494J103 |  | 4533902 | 13900 | SH |  | DFND | 1 | 13900 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 1897311 | 3900 | SH |  | DFND | 1 | 3900 | 0 | 0 |
| LULULEMON ATHLETICA INC | COM | 550021109 |  | 5395199 | 16840 | SH |  | DFND | 1 | 16840 | 0 | 0 |
| M  T BK CORP | COM | 55261F104 |  | 1885780 | 13000 | SH |  | DFND | 1 | 13000 | 0 | 0 |
| MAINSTAY CBRE GBL INFRSTR ME | COM | 56064Q107 |  | 5658717 | 414558 | SH |  | DFND | 1 | 414558 | 0 | 0 |
| MARRIOTT INTL INC NEW | CL A | 571903202 |  | 1295343 | 8700 | SH |  | DFND | 1 | 8700 | 0 | 0 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 |  | 3129570 | 9000 | SH |  | DFND | 1 | 9000 | 0 | 0 |
| MCDONALDS CORP | COM | 580135101 |  | 1554827 | 5900 | SH |  | DFND | 1 | 5900 | 0 | 0 |
| MCKESSON CORP | COM | 58155Q103 |  | 1650528 | 4400 | SH |  | DFND | 1 | 4400 | 0 | 0 |
| MEDTRONIC PLC | SHS | G5960L103 |  | 2479268 | 31900 | SH |  | DFND | 1 | 31900 | 0 | 0 |
| MELCO RESORTS AND ENTMNT LTD | ADR | 585464100 |  | 4008900 | 348600 | SH |  | DFND | 1 | 348600 | 0 | 0 |
| MERCK  CO INC | COM | 58933Y105 |  | 5479821 | 49390 | SH |  | DFND | 1 | 49390 | 0 | 0 |
| MEXICO EQUITY  INCOME FD | COM | 592834105 |  | 266254 | 30325 | SH |  | DFND | 1 | 30325 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 23657524 | 98647 | SH |  | DFND | 1 | 98647 | 0 | 0 |
| MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 |  | 3639610 | 348288 | SH |  | DFND | 1 | 348288 | 0 | 0 |
| MORGAN STANLEY | COM NEW | 617446448 |  | 3188250 | 37500 | SH |  | DFND | 1 | 37500 | 0 | 0 |
| NEUBERGER BERMAN HIGH YIELD | COM | 64128C106 |  | 2147679 | 252075 | SH |  | DFND | 1 | 252075 | 0 | 0 |
| NEUBERGER BERMAN MLP  ENERG | COM | 64129H104 |  | 1599066 | 240100 | SH |  | DFND | 1 | 240100 | 0 | 0 |
| NEUBERGER BERMAN NEXT GENERA | COMMON STOCK | 64133Q108 |  | 1279667 | 140700 | SH |  | DFND | 1 | 140700 | 0 | 0 |
| NEW IRELAND FD INC | COM | 645673104 |  | 1058476 | 113206 | SH |  | DFND | 1 | 113206 | 0 | 0 |
| NEWELL BRANDS INC | COM | 651229106 |  | 1931916 | 147700 | SH |  | DFND | 1 | 147700 | 0 | 0 |
| NORTHROP GRUMMAN CORP | COM | 666807102 |  | 33388604 | 61195 | SH |  | DFND | 1 | 61195 | 0 | 0 |
| NORWEGIAN CRUISE LINE HLDG L | SHS | G66721104 |  | 4203216 | 343400 | SH |  | DFND | 1 | 343400 | 0 | 0 |
| NOVO-NORDISK A S | ADR | 670100205 |  | 1502274 | 11100 | SH |  | DFND | 1 | 11100 | 0 | 0 |
| NUVEEN CORE PLUS IMPACT FUND | COM BEN INT | 67080D103 |  | 1317792 | 127200 | SH |  | DFND | 1 | 127200 | 0 | 0 |
| NUVEEN MULTI ASSET INCOME FU | COM | 670750108 |  | 1948704 | 169600 | SH |  | DFND | 1 | 169600 | 0 | 0 |
| NUVEEN SR INCOME FD | COM | 67067Y104 |  | 167044 | 36393 | SH |  | DFND | 1 | 36393 | 0 | 0 |
| PALO ALTO NETWORKS INC | COM | 697435105 |  | 12606741 | 90345 | SH |  | DFND | 1 | 90345 | 0 | 0 |
| PARAMOUNT GLOBAL | CLASS B COM | 92556H206 |  | 286960 | 17000 | SH |  | DFND | 1 | 17000 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 1228488 | 6800 | SH |  | DFND | 1 | 6800 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 1004304 | 19600 | SH |  | DFND | 1 | 19600 | 0 | 0 |
| PIONEER FLOATING RATE FUND I | COM | 72369J102 |  | 1330883 | 151754 | SH |  | DFND | 1 | 151754 | 0 | 0 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 9927180 | 65500 | SH |  | DFND | 1 | 65500 | 0 | 0 |
| PROLOGIS INC. | COM | 74340W103 |  | 1183665 | 10500 | SH |  | DFND | 1 | 10500 | 0 | 0 |
| PRUDENTIAL FINL INC | COM | 744320102 |  | 397840 | 4000 | SH |  | DFND | 1 | 4000 | 0 | 0 |
| QUALCOMM INC | COM | 747525103 |  | 4078774 | 37100 | SH |  | DFND | 1 | 37100 | 0 | 0 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 |  | 33838476 | 335300 | SH |  | DFND | 1 | 335300 | 0 | 0 |
| REDWOOD TRUST INC | NOTE   4.750% 8/1 | 758075AC9 |  | 1945363 | 1978000 | PRN |  | DFND | 1 | 1978000 | 0 | 0 |
| RIVERNORTH CAP AND INCM FD I | COM | 76882B108 |  | 10158 | 600 | SH |  | DFND | 1 | 600 | 0 | 0 |
| ROYAL CARIBBEAN GROUP | COM | V7780T103 |  | 10898178 | 220477 | SH |  | DFND | 1 | 220477 | 0 | 0 |
| SABA CAPITAL INCOME  OPRNT | SHS NEW | 78518H202 |  | 346620 | 45548 | SH |  | DFND | 1 | 45548 | 0 | 0 |
| SCHLUMBERGER LTD | COM STK | 806857108 |  | 8141958 | 152300 | SH |  | DFND | 1 | 152300 | 0 | 0 |
| SERVICENOW INC | COM | 81762P102 |  | 1263819 | 3255 | SH |  | DFND | 1 | 3255 | 0 | 0 |
| SHERWIN WILLIAMS CO | COM | 824348106 |  | 2207169 | 9300 | SH |  | DFND | 1 | 9300 | 0 | 0 |
| SIMON PPTY GROUP INC NEW | COM | 828806109 |  | 1926672 | 16400 | SH |  | DFND | 1 | 16400 | 0 | 0 |
| SPDR SER TR | S BIOTECH | 78464A870 |  | 17911400 | 215800 | SH |  | DFND | 1 | 215800 | 0 | 0 |
| STARBUCKS CORP | COM | 855244109 |  | 1200320 | 12100 | SH |  | DFND | 1 | 12100 | 0 | 0 |
| STARWOOD PPTY TR INC | COM | 85571B105 |  | 15365966 | 838296 | SH |  | DFND | 1 | 838296 | 0 | 0 |
| STARWOOD PPTY TR INC | NOTE   4.375% 4/0 | 85571BAH8 |  | 5727659 | 5815000 | PRN |  | DFND | 1 | 5815000 | 0 | 0 |
| SURGERY PARTNERS INC | COM | 86881A100 |  | 8021256 | 287913 | SH |  | DFND | 1 | 287913 | 0 | 0 |
| TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 |  | 113400 | 6300 | SH |  | DFND | 1 | 6300 | 0 | 0 |
| TENET HEALTHCARE CORP | COM NEW | 88033G407 |  | 7269222 | 148990 | SH |  | DFND | 1 | 148990 | 0 | 0 |
| TESLA INC | COM | 88160R101 |  | 7322312 | 59444 | SH |  | DFND | 1 | 59444 | 0 | 0 |
| TEXAS INSTRS INC | COM | 882508104 |  | 11780186 | 71300 | SH |  | DFND | 1 | 71300 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 |  | 936173 | 1700 | SH |  | DFND | 1 | 1700 | 0 | 0 |
| T-MOBILE US INC | COM | 872590104 |  | 14113400 | 100810 | SH |  | DFND | 1 | 100810 | 0 | 0 |
| TRANSDIGM GROUP INC | COM | 893641100 |  | 22904778 | 36377 | SH |  | DFND | 1 | 36377 | 0 | 0 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 |  | 469368 | 2700 | SH |  | DFND | 1 | 2700 | 0 | 0 |
| UNITED STS NAT GAS FD LP | UNIT PAR | 912318300 |  | 2363160 | 167600 | SH |  | DFND | 1 | 167600 | 0 | 0 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 23816216 | 44921 | SH |  | DFND | 1 | 44921 | 0 | 0 |
| VANECK ETF TRUST | PHARMACEUTCL ETF | 92189F692 |  | 3280662 | 42200 | SH |  | DFND | 1 | 42200 | 0 | 0 |
| VERACYTE INC | COM | 92337F107 |  | 7521840 | 316976 | SH |  | DFND | 1 | 316976 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 1059860 | 26900 | SH |  | DFND | 1 | 26900 | 0 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F100 |  | 13633593 | 47211 | SH |  | DFND | 1 | 47211 | 0 | 0 |
| VICI PPTYS INC | COM | 925652109 |  | 654480 | 20200 | SH |  | DFND | 1 | 20200 | 0 | 0 |
| VIRTUS TOTAL RETURN FD INC | COM | 92835W107 |  | 6001352 | 916237 | SH |  | DFND | 1 | 916237 | 0 | 0 |
| VISA INC | COM CL A | 92826C839 |  | 6467569 | 31130 | SH |  | DFND | 1 | 31130 | 0 | 0 |
| WALGREENS BOOTS ALLIANCE INC | COM | 931427108 |  | 8058552 | 215700 | SH |  | DFND | 1 | 215700 | 0 | 0 |
| WESTERN AST INFL LKD OPP  I | COM | 95766R104 |  | 585763 | 64158 | SH |  | DFND | 1 | 64158 | 0 | 0 |
| ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 |  | 12852000 | 100800 | SH |  | DFND | 1 | 100800 | 0 | 0 |

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