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 |
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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 | 374 | 334,000 | PRN | DFND | 0 | 334,000 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 49 | 12,651 | SH | DFND | 0 | 12,651 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 3,481 | 4,479 | SH | DFND | 0 | 4,479 | 0 | ||
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 552 | 99,510 | SH | DFND | 0 | 99,510 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 9,638 | 569,264 | SH | DFND | 0 | 569,264 | 0 | ||
APPLE INC | COM | 037833100 | 770 | 6,807 | SH | DFND | 0 | 6,807 | 0 | ||
B2GOLD CORP | COM | 11777Q209 | 1,087 | 413,315 | SH | DFND | 0 | 413,315 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,062 | 7,352 | SH | DFND | 0 | 7,352 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 1,583 | 118,594 | SH | DFND | 0 | 118,594 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 6,522 | 470,567 | SH | DFND | 0 | 470,567 | 0 | ||
BLACKROCK GLOBAL OPP EQTY TR | COM | 092501105 | 334 | 27,297 | SH | DFND | 0 | 27,297 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 418 | 49,934 | SH | DFND | 0 | 49,934 | 0 | ||
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 4,947 | 229,661 | SH | DFND | 0 | 229,661 | 0 | ||
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 1,278 | 170,124 | SH | DFND | 0 | 170,124 | 0 | ||
CALAMOS GLOBAL TOTAL RETURN | COM SH BEN INT | 128118106 | 894 | 78,143 | SH | DFND | 0 | 78,143 | 0 | ||
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 165 | 16,022 | SH | DFND | 0 | 16,022 | 0 | ||
CLOUGH GLOBAL DIVND AND INC | COM | 18913Y103 | 646 | 53,268 | SH | DFND | 0 | 53,268 | 0 | ||
COFFEE HLDGS INC | COM | 192176105 | 65 | 11,675 | SH | DFND | 0 | 11,675 | 0 | ||
COHEN & STEERS CLOSED END OP | COM | 19248P106 | 2,681 | 218,171 | SH | DFND | 0 | 218,171 | 0 | ||
COHEN & STEERS REIT & PFD IN | COM | 19247X100 | 786 | 39,014 | SH | DFND | 0 | 39,014 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 905 | 12,200 | SH | DFND | 0 | 12,200 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 628 | 8,343 | SH | DFND | 0 | 8,343 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 1,619 | 113,619 | SH | DFND | 0 | 113,619 | 0 | ||
COVANTA HLDG CORP | COM | 22282E102 | 3,454 | 224,430 | SH | DFND | 0 | 224,430 | 0 | ||
DIVERSIFIED REAL ASSET INC F | COM SHS | 25533B108 | 240 | 13,935 | SH | DFND | 0 | 13,935 | 0 | ||
DOMINION DIAMOND CORP | COM | 257287102 | 98 | 10,100 | SH | DFND | 0 | 10,100 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 675 | 7,201 | SH | DFND | 0 | 7,201 | 0 | ||
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 4,881 | 285,769 | SH | DFND | 0 | 285,769 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 6,665 | 426,174 | SH | DFND | 0 | 426,174 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 1,313 | 92,810 | SH | DFND | 0 | 92,810 | 0 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 452 | 32,973 | SH | DFND | 0 | 32,973 | 0 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 1,618 | 29,860 | SH | DFND | 0 | 29,860 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,005 | 24,062 | SH | DFND | 0 | 24,062 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 7,703 | 1,132,740 | SH | DFND | 0 | 1,132,740 | 0 | ||
GABELLI GLB SML & MD CP VAL | COM | 36249W104 | 710 | 65,672 | SH | DFND | 0 | 65,672 | 0 | ||
GABELLI GLOBL UTIL & INCOME | COM SH BEN INT | 36242L105 | 476 | 25,998 | SH | DFND | 0 | 25,998 | 0 | ||
GAIAM INC | CL A | 36268Q103 | 4,536 | 629,984 | SH | DFND | 0 | 629,984 | 0 | ||
GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 345 | 54,001 | SH | DFND | 0 | 54,001 | 0 | ||
GLOBAL SELF STORAGE INC | COM | 37955N106 | 5,212 | 990,888 | SH | DFND | 0 | 990,888 | 0 | ||
GRAMERCY PPTY TR | COM | 385002100 | 372 | 38,560 | SH | DFND | 0 | 38,560 | 0 | ||
HARRIS & HARRIS GROUP INC | COM | 413833104 | 1,925 | 1,385,168 | SH | DFND | 0 | 1,385,168 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 307 | 1,934 | SH | DFND | 0 | 1,934 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 286 | 34,087 | SH | DFND | 0 | 34,087 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 7,974 | 678,092 | SH | DFND | 0 | 678,092 | 0 | ||
ISHARES TR | 1-3 YR TR BD ETF | 464287457 | 2,473 | 29,075 | SH | DFND | 0 | 29,075 | 0 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 1,886 | 186,709 | SH | DFND | 0 | 186,709 | 0 | ||
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 3,848 | 283,371 | SH | DFND | 0 | 283,371 | 0 | ||
LEXINGTON REALTY TRUST | COM | 529043101 | 3,993 | 387,660 | SH | DFND | 0 | 387,660 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 6,200 | 419,768 | SH | DFND | 0 | 419,768 | 0 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 4,152 | 681,787 | SH | DFND | 0 | 681,787 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 238 | 15,767 | SH | DFND | 0 | 15,767 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 241 | 16,568 | SH | DFND | 0 | 16,568 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 64 | 14,725 | SH | DFND | 0 | 14,725 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 6,444 | 558,389 | SH | DFND | 0 | 558,389 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 13,219 | 1,558,875 | SH | DFND | 0 | 1,558,875 | 0 | ||
NUVEEN MICH QUALITY INCOME M | COM | 670979103 | 894 | 60,653 | SH | DFND | 0 | 60,653 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 658 | 100,629 | SH | DFND | 0 | 100,629 | 0 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 5,603 | 474,791 | SH | DFND | 0 | 474,791 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 811 | 9,039 | SH | DFND | 0 | 9,039 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 9,878 | 127,573 | SH | DFND | 0 | 127,573 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 1,141 | 140,418 | SH | DFND | 0 | 140,418 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 3,569 | 457,036 | SH | DFND | 0 | 457,036 | 0 | ||
ROYCE VALUE TR INC | COM | 780910105 | 795 | 62,834 | SH | DFND | 0 | 62,834 | 0 | ||
SANDSTORM GOLD LTD | COM NEW | 80013R206 | 8,044 | 1,599,234 | SH | DFND | 0 | 1,599,234 | 0 | ||
SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 4,670 | 84,044 | SH | DFND | 0 | 84,044 | 0 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,420 | 106,543 | SH | DFND | 0 | 106,543 | 0 | ||
SILVER WHEATON CORP | COM | 828336107 | 12,308 | 455,346 | SH | DFND | 0 | 455,346 | 0 | ||
SPARK NETWORKS INC | COM | 84651P100 | 698 | 441,477 | SH | DFND | 0 | 441,477 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 1,648 | 110,541 | SH | DFND | 0 | 110,541 | 0 | ||
SUNOPTA INC | COM | 8676EP108 | 4,298 | 608,752 | SH | DFND | 0 | 608,752 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 236 | 13,374 | SH | DFND | 0 | 13,374 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 5,598 | 897,075 | SH | DFND | 0 | 897,075 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 2,433 | 244,558 | SH | DFND | 0 | 244,558 | 0 | ||
TIVO INC | COM | 888706108 | 1,726 | 88,586 | SH | DFND | 0 | 88,586 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 4,609 | 2,505,162 | SH | DFND | 0 | 2,505,162 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 241 | 1,721 | SH | DFND | 0 | 1,721 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 7,514 | 1,735,277 | SH | DFND | 0 | 1,735,277 | 0 | ||
VEREIT INC | COM | 92339V100 | 1,219 | 117,516 | SH | DFND | 0 | 117,516 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 4,739 | 897,625 | SH | DFND | 0 | 897,625 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 43,808 | 3,914,948 | SH | DFND | 0 | 3,914,948 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 8,782 | 766,988 | SH | DFND | 0 | 766,988 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 404 | 5,011 | SH | DFND | 0 | 5,011 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | WF GLOBAL OPPTY | 94987C103 | 1,240 | 213,412 | SH | DFND | 0 | 213,412 | 0 | ||
WELLS FARGO MULTI SECTOR INC | WF MLT SECTR INC | 94987D101 | 1,509 | 116,326 | SH | DFND | 0 | 116,326 | 0 | ||
WESTERN ASSET WORLDWIDE INCO | COM | 957668106 | 767 | 66,075 | SH | DFND | 0 | 66,075 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 1,782 | 184,307 | SH | DFND | 0 | 184,307 | 0 | ||
FINANCIAL ENGINES INC | COM | 317485100 | 610 | 20,520 | SH | DFND | 0 | 20,520 | 0 | ||
CLAYMORE EXCHANGE TRD FD TR | GUGG CRP BD 2016 | 18383M555 | 3,552 | 161,022 | SH | DFND | 0 | 161,022 | 0 | ||
CLAYMORE EXCHANGE TRD FD TR | GUGG CRP BD 2017 | 18383M548 | 6,956 | 306,717 | SH | DFND | 0 | 306,717 | 0 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 4,788 | 826,969 | SH | DFND | 0 | 826,969 | 0 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 169 | 15,275 | SH | DFND | 0 | 15,275 | 0 | ||
ST JUDE MED INC | COM | 790849103 | 5,242 | 65,720 | SH | DFND | 0 | 65,720 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 2,095 | 22,564 | SH | DFND | 0 | 22,564 | 0 | ||
ASSOCIATED CAP GROUP INC | CL A | 045528106 | 1,081 | 30,485 | SH | DFND | 0 | 30,485 | 0 | ||
GLOBAL WTR RES INC | COM | 379463102 | 2,995 | 373,929 | SH | DFND | 0 | 373,929 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 571 | 22,142 | SH | DFND | 0 | 22,142 | 0 |