The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
|
COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ROYAL GOLD INC | NOTE 2.875% 6/1 | 780287AA6 | 364 | 339,000 | PRN | DFND | 0 | 339,000 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 49 | 12,250 | SH | DFND | 0 | 12,250 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 3,224 | 4,659 | SH | DFND | 0 | 4,659 | 0 | ||
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 1,992 | 362,794 | SH | DFND | 0 | 362,794 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 9,079 | 574,620 | SH | DFND | 0 | 574,620 | 0 | ||
B2GOLD CORP | COM | 11777Q209 | 1,069 | 426,055 | SH | DFND | 0 | 426,055 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,059 | 7,312 | SH | DFND | 0 | 7,312 | 0 | ||
BIRNER DENTAL MGMT SERVICES | COM NEW | 091283200 | 864 | 59,609 | SH | DFND | 0 | 59,609 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 6,251 | 475,374 | SH | DFND | 0 | 475,374 | 0 | ||
BLACKROCK GLOBAL OPP EQTY TR | COM | 092501105 | 306 | 25,783 | SH | DFND | 0 | 25,783 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 1,550 | 119,070 | SH | DFND | 0 | 119,070 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 419 | 51,501 | SH | DFND | 0 | 51,501 | 0 | ||
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 7,092 | 331,101 | SH | DFND | 0 | 331,101 | 0 | ||
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 1,290 | 183,760 | SH | DFND | 0 | 183,760 | 0 | ||
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 164 | 16,562 | SH | DFND | 0 | 16,562 | 0 | ||
COFFEE HLDGS INC | COM | 192176105 | 74 | 13,175 | SH | DFND | 0 | 13,175 | 0 | ||
COHEN & STEERS CLOSED END OP | COM | 19248P106 | 14,316 | 1,239,512 | SH | DFND | 0 | 1,239,512 | 0 | ||
COHEN & STEERS REIT & PFD IN | COM | 19247X100 | 1,066 | 51,914 | SH | DFND | 0 | 51,914 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 893 | 12,200 | SH | DFND | 0 | 12,200 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 671 | 8,343 | SH | DFND | 0 | 8,343 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 2,619 | 187,635 | SH | DFND | 0 | 187,635 | 0 | ||
COVANTA HLDG CORP | COM | 22282E102 | 3,736 | 227,110 | SH | DFND | 0 | 227,110 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 714 | 7,201 | SH | DFND | 0 | 7,201 | 0 | ||
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 7,257 | 422,889 | SH | DFND | 0 | 422,889 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 6,421 | 428,649 | SH | DFND | 0 | 428,649 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 1,520 | 105,310 | SH | DFND | 0 | 105,310 | 0 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 450 | 33,365 | SH | DFND | 0 | 33,365 | 0 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 1,789 | 29,860 | SH | DFND | 0 | 29,860 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,134 | 25,544 | SH | DFND | 0 | 25,544 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 11,024 | 1,601,225 | SH | DFND | 0 | 1,601,225 | 0 | ||
GABELLI GLB SML & MD CP VAL | COM | 36249W104 | 678 | 65,297 | SH | DFND | 0 | 65,297 | 0 | ||
GABELLI GLOBL UTIL & INCOME | COM SH BEN INT | 36242L105 | 487 | 26,178 | SH | DFND | 0 | 26,178 | 0 | ||
GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 397 | 61,091 | SH | DFND | 0 | 61,091 | 0 | ||
GLOBAL SELF STORAGE INC | COM | 37955N106 | 5,461 | 1,013,148 | SH | DFND | 0 | 1,013,148 | 0 | ||
GOVERNMENT PPTYS INCOME TR | COM SHS BEN INT | 38376A103 | 637 | 27,605 | SH | DFND | 0 | 27,605 | 0 | ||
GRAMERCY PPTY TR | COM | 385002100 | 4,724 | 512,364 | SH | DFND | 0 | 512,364 | 0 | ||
HARRIS & HARRIS GROUP INC | COM | 413833104 | 2,314 | 1,437,368 | SH | DFND | 0 | 1,437,368 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 327 | 39,787 | SH | DFND | 0 | 39,787 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 292 | 1,921 | SH | DFND | 0 | 1,921 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 7,500 | 680,576 | SH | DFND | 0 | 680,576 | 0 | ||
ISHARES TR | 1-3 YR TR BD ETF | 464287457 | 452 | 5,300 | SH | DFND | 0 | 5,300 | 0 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 1,697 | 187,941 | SH | DFND | 0 | 187,941 | 0 | ||
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 3,742 | 288,766 | SH | DFND | 0 | 288,766 | 0 | ||
LEXINGTON REALTY TRUST | COM | 529043101 | 3,969 | 392,625 | SH | DFND | 0 | 392,625 | 0 | ||
MADISON CVRED CALL & EQ STR | COM | 557437100 | 386 | 50,327 | SH | DFND | 0 | 50,327 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 7,388 | 485,738 | SH | DFND | 0 | 485,738 | 0 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 110 | 12,950 | SH | DFND | 0 | 12,950 | 0 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 8,021 | 1,325,849 | SH | DFND | 0 | 1,325,849 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 223 | 16,157 | SH | DFND | 0 | 16,157 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 225 | 16,946 | SH | DFND | 0 | 16,946 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 5,071 | 1,157,688 | SH | DFND | 0 | 1,157,688 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 4,539 | 425,042 | SH | DFND | 0 | 425,042 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 12,735 | 1,576,172 | SH | DFND | 0 | 1,576,172 | 0 | ||
NUVEEN MICH QUALITY INCOME M | COM | 670979103 | 940 | 61,253 | SH | DFND | 0 | 61,253 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 608 | 100,629 | SH | DFND | 0 | 100,629 | 0 | ||
PFIZER INC | COM | 717081103 | 292 | 8,280 | SH | DFND | 0 | 8,280 | 0 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 5,404 | 479,466 | SH | DFND | 0 | 479,466 | 0 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 778 | 9,190 | SH | DFND | 0 | 9,190 | 0 | ||
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 45 | 10,355 | SH | DFND | 0 | 10,355 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 9,040 | 125,516 | SH | DFND | 0 | 125,516 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 1,390 | 182,855 | SH | DFND | 0 | 182,855 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 5,251 | 715,435 | SH | DFND | 0 | 715,435 | 0 | ||
ROYCE VALUE TR INC | COM | 780910105 | 749 | 63,628 | SH | DFND | 0 | 63,628 | 0 | ||
SANDSTORM GOLD LTD | COM NEW | 80013R206 | 7,414 | 1,662,290 | SH | DFND | 0 | 1,662,290 | 0 | ||
SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 445 | 7,954 | SH | DFND | 0 | 7,954 | 0 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 6,928 | 332,607 | SH | DFND | 0 | 332,607 | 0 | ||
SILVER WHEATON CORP | COM | 828336107 | 10,860 | 461,538 | SH | DFND | 0 | 461,538 | 0 | ||
SPARK NETWORKS INC | COM | 84651P100 | 725 | 459,077 | SH | DFND | 0 | 459,077 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 1,951 | 141,894 | SH | DFND | 0 | 141,894 | 0 | ||
SUNOPTA INC | COM | 8676EP108 | 2,837 | 677,072 | SH | DFND | 0 | 677,072 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 241 | 13,919 | SH | DFND | 0 | 13,919 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 6,702 | 1,053,804 | SH | DFND | 0 | 1,053,804 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 1,802 | 181,513 | SH | DFND | 0 | 181,513 | 0 | ||
TIVO INC | COM | 888706108 | 1,685 | 170,235 | SH | DFND | 0 | 170,235 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 4,331 | 2,547,672 | SH | DFND | 0 | 2,547,672 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 243 | 1,721 | SH | DFND | 0 | 1,721 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 7,304 | 1,747,277 | SH | DFND | 0 | 1,747,277 | 0 | ||
VEREIT INC | COM | 92339V100 | 4,647 | 458,332 | SH | DFND | 0 | 458,332 | 0 | ||
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 379 | 33,940 | SH | DFND | 0 | 33,940 | 0 | ||
VIRTUS TOTAL RETURN FD | COM | 92829A103 | 397 | 85,650 | SH | DFND | 0 | 85,650 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 4,631 | 904,471 | SH | DFND | 0 | 904,471 | 0 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 511 | 29,980 | SH | DFND | 0 | 29,980 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 43,466 | 3,912,295 | SH | DFND | 0 | 3,912,295 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 10,290 | 896,350 | SH | DFND | 0 | 896,350 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 417 | 5,011 | SH | DFND | 0 | 5,011 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | WF GLOBAL OPPTY | 94987C103 | 3,839 | 643,108 | SH | DFND | 0 | 643,108 | 0 | ||
WELLS FARGO MULTI SECTOR INC | WF MLT SECTR INC | 94987D101 | 1,490 | 117,822 | SH | DFND | 0 | 117,822 | 0 | ||
LMP CORPORATE LN FD INC | COM | 50208B100 | 3,739 | 361,217 | SH | DFND | 0 | 361,217 | 0 | ||
WESTERN ASSET WORLDWIDE INCO | COM | 957668106 | 729 | 66,358 | SH | DFND | 0 | 66,358 | 0 | ||
APPLE INC | COM | 037833100 | 682 | 7,130 | SH | DFND | 0 | 7,130 | 0 | ||
CALAMOS GLOBAL TOTAL RETURN | COM SH BEN INT | 128118106 | 628 | 57,681 | SH | DFND | 0 | 57,681 | 0 | ||
DOMINION DIAMOND CORP | COM | 257287102 | 89 | 10,102 | SH | DFND | 0 | 10,102 | 0 | ||
ROYCE VALUE TR INC | COM | 780910105 | 157 | 15,275 | SH | DFND | 0 | 15,275 | 0 | ||
CLOUGH GLOBAL ALLOCATION FD | COM | 18913Y103 | 577 | 49,325 | SH | DFND | 0 | 49,325 | 0 | ||
DIVERSIFIED REAL ASSET INC F | COM SHS | 25533B108 | 273 | 16,509 | SH | DFND | 0 | 16,509 | 0 | ||
GAIAM INC | CL A | 36268Q103 | 12,699 | 1,640,651 | SH | DFND | 0 | 1,640,651 | 0 | ||
RMR REAL ESTATE INCOME FUND | COM | 76970B101 | 0 | 183,174 | SH | DFND | 0 | 183,174 | 0 | ||
FINANCIAL ENGINES INC | COM | 317485100 | 575 | 22,245 | SH | DFND | 0 | 22,245 | 0 |