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 | 332 | 314,000 | PRN | DFND | 0 | 314,000 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 2,207 | 2,661 | SH | DFND | 0 | 2,661 | 0 | ||
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 690 | 120,664 | SH | DFND | 0 | 120,664 | 0 | ||
B2GOLD CORP | COM | 11777Q209 | 105 | 37,100 | SH | DFND | 0 | 37,100 | 0 | ||
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 457 | 58,601 | SH | DFND | 0 | 58,601 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 2,700 | 262,368 | SH | DFND | 0 | 262,368 | 0 | ||
COHEN & STEERS REIT & PFD IN | COM | 19247X100 | 719 | 37,164 | SH | DFND | 0 | 37,164 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 893 | 12,200 | SH | DFND | 0 | 12,200 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 4,511 | 364,951 | SH | DFND | 0 | 364,951 | 0 | ||
COVANTA HLDG CORP | COM | 22282E102 | 3,264 | 207,907 | SH | DFND | 0 | 207,907 | 0 | ||
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 4,124 | 253,609 | SH | DFND | 0 | 253,609 | 0 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 1,755 | 29,860 | SH | DFND | 0 | 29,860 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,368 | 26,557 | SH | DFND | 0 | 26,557 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 7,742 | 1,107,610 | SH | DFND | 0 | 1,107,610 | 0 | ||
GLOBAL SELF STORAGE INC | COM | 37955N106 | 4,380 | 918,189 | SH | DFND | 0 | 918,189 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 247 | 33,093 | SH | DFND | 0 | 33,093 | 0 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 316 | 29,634 | SH | DFND | 0 | 29,634 | 0 | ||
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 6,843 | 535,440 | SH | DFND | 0 | 535,440 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 8,402 | 651,852 | SH | DFND | 0 | 651,852 | 0 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 4,263 | 696,547 | SH | DFND | 0 | 696,547 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 6,954 | 681,752 | SH | DFND | 0 | 681,752 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 810 | 9,016 | SH | DFND | 0 | 9,016 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 8,394 | 119,822 | SH | DFND | 0 | 119,822 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 1,153 | 131,198 | SH | DFND | 0 | 131,198 | 0 | ||
SANDSTORM GOLD LTD | COM NEW | 80013R206 | 6,439 | 1,507,948 | SH | DFND | 0 | 1,507,948 | 0 | ||
SILVER WHEATON CORP | COM | 828336107 | 8,921 | 428,075 | SH | DFND | 0 | 428,075 | 0 | ||
SPARK NETWORKS INC | COM | 84651P100 | 572 | 555,012 | SH | DFND | 0 | 555,012 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 201 | 13,768 | SH | DFND | 0 | 13,768 | 0 | ||
SUNOPTA INC | COM | 8676EP108 | 1,887 | 271,552 | SH | DFND | 0 | 271,552 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 4,333 | 651,620 | SH | DFND | 0 | 651,620 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 3,481 | 353,776 | SH | DFND | 0 | 353,776 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 3,746 | 2,401,526 | SH | DFND | 0 | 2,401,526 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 120 | 25,998 | SH | DFND | 0 | 25,998 | 0 | ||
VEREIT INC | COM | 92339V100 | 2,647 | 311,800 | SH | DFND | 0 | 311,800 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 68 | 12,550 | SH | DFND | 0 | 12,550 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 29,005 | 2,596,718 | SH | DFND | 0 | 2,596,718 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 6,071 | 527,433 | SH | DFND | 0 | 527,433 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | COM | 94987C103 | 129 | 22,159 | SH | DFND | 0 | 22,159 | 0 | ||
WELLS FARGO MULTI SECTOR INC | COM | 94987D101 | 179 | 13,420 | SH | DFND | 0 | 13,420 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 65 | 12,651 | SH | DFND | 0 | 12,651 | 0 | ||
APPLE INC | COM | 037833100 | 364 | 2,537 | SH | DFND | 0 | 2,537 | 0 | ||
ASSOCIATED CAP GROUP INC | CL A | 045528106 | 963 | 26,641 | SH | DFND | 0 | 26,641 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,217 | 7,301 | SH | DFND | 0 | 7,301 | 0 | ||
BLACKROCK GLOBAL OPP EQTY TR | COM | 092501105 | 557 | 44,952 | SH | DFND | 0 | 44,952 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 996 | 75,677 | SH | DFND | 0 | 75,677 | 0 | ||
BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 09257R101 | 1,136 | 71,733 | SH | DFND | 0 | 71,733 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 456 | 49,004 | SH | DFND | 0 | 49,004 | 0 | ||
CALAMOS GLOBAL TOTAL RETURN | COM SH BEN INT | 128118106 | 1,414 | 117,697 | SH | DFND | 0 | 117,697 | 0 | ||
CLAYMORE EXCHANGE TRD FD TR | GUGG CRP BD 2017 | 18383M548 | 8,478 | 374,781 | SH | DFND | 0 | 374,781 | 0 | ||
CLOUGH GLOBAL DIVND AND INC | COM | 18913Y103 | 410 | 30,870 | SH | DFND | 0 | 30,870 | 0 | ||
COFFEE HLDGS INC | COM | 192176105 | 53 | 11,475 | SH | DFND | 0 | 11,475 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 648 | 8,343 | SH | DFND | 0 | 8,343 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 730 | 7,146 | SH | DFND | 0 | 7,146 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 2,432 | 21,450 | SH | DFND | 0 | 21,450 | 0 | ||
DIVERSIFIED REAL ASSET INC F | COM SHS | 25533B108 | 231 | 13,307 | SH | DFND | 0 | 13,307 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 1,090 | 83,810 | SH | DFND | 0 | 83,810 | 0 | ||
ERICSSON | ADR B SEK 10 | 294821608 | 2,041 | 307,382 | SH | DFND | 0 | 307,382 | 0 | ||
GABELLI GLOBL UTIL & INCOME | COM SH BEN INT | 36242L105 | 462 | 24,853 | SH | DFND | 0 | 24,853 | 0 | ||
GABELLI GLB SML & MD CP VAL | COM | 36249W104 | 763 | 66,986 | SH | DFND | 0 | 66,986 | 0 | ||
GLOBAL WTR RES INC | COM | 379463102 | 3,612 | 415,191 | SH | DFND | 0 | 415,191 | 0 | ||
HANNON ARMSTRONG SUST INFR C | COM | 41068X100 | 5,046 | 249,799 | SH | DFND | 0 | 249,799 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 341 | 1,958 | SH | DFND | 0 | 1,958 | 0 | ||
ISHARES TR | 7-10YR TR BD ETF | 464287440 | 3,722 | 35,245 | SH | DFND | 0 | 35,245 | 0 | ||
ISHARES TR | 1-3 YR TR BD ETF | 464287457 | 2,430 | 28,750 | SH | DFND | 0 | 28,750 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 717 | 166,293 | SH | DFND | 0 | 166,293 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 267 | 18,093 | SH | DFND | 0 | 18,093 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 237 | 15,420 | SH | DFND | 0 | 15,420 | 0 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 6,259 | 1,154,881 | SH | DFND | 0 | 1,154,881 | 0 | ||
NUVEEN MICHIGAN QLT MUN INC | COM | 670979103 | 1,016 | 76,282 | SH | DFND | 0 | 76,282 | 0 | ||
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 119 | 25,420 | SH | DFND | 0 | 25,420 | 0 | ||
SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 37,007 | 690,296 | SH | DFND | 0 | 690,296 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 543 | 21,454 | SH | DFND | 0 | 21,454 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 238 | 12,670 | SH | DFND | 0 | 12,670 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 249 | 1,518 | SH | DFND | 0 | 1,518 | 0 | ||
VODAFONE GROUP PLC NEW | SPONSORED ADR | 92857W308 | 6,370 | 241,010 | SH | DFND | 0 | 241,010 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 416 | 5,011 | SH | DFND | 0 | 5,011 | 0 | ||
WESTERN ASSET EMRG MKT DEBT | COM | 95766A101 | 715 | 46,137 | SH | DFND | 0 | 46,137 | 0 | ||
180 DEGREE CAP CORP | COM | 68235B109 | 2,494 | 1,720,303 | SH | DFND | 0 | 1,720,303 | 0 | ||
ABBOTT LABS | COM | 002824100 | 1,477 | 33,269 | SH | DFND | 0 | 33,269 | 0 | ||
ANALOG DEVICES INC | COM | 032654105 | 216 | 2,632 | SH | DFND | 0 | 2,632 | 0 | ||
IRIDIUM COMMUNICATIONS INC | COM | 46269C102 | 1,069 | 110,816 | SH | DFND | 0 | 110,816 | 0 | ||
L BRANDS INC | COM | 501797104 | 2,678 | 56,865 | SH | DFND | 0 | 56,865 | 0 | ||
NUVEEN SELECT MAT MUN FD | SH BEN INT | 67061T101 | 268 | 27,000 | SH | DFND | 0 | 27,000 | 0 | ||
NUVEEN SELECT TAX FREE INCM | SH BEN INT | 67062F100 | 547 | 39,000 | SH | DFND | 0 | 39,000 | 0 | ||
NUVEEN SELECT TAX FREE INCM | SH BEN INT | 67063C106 | 644 | 48,000 | SH | DFND | 0 | 48,000 | 0 | ||
NUVEEN SELECT TAX FREE INCM | SH BEN INT | 67063X100 | 767 | 54,000 | SH | DFND | 0 | 54,000 | 0 | ||
PIMCO ETF TR | 25YR+ ZERO U S | 72201R882 | 4,319 | 38,898 | SH | DFND | 0 | 38,898 | 0 | ||
SPDR SERIES TRUST | BLOOMBERG LNG TR | 78464A664 | 3,834 | 54,973 | SH | DFND | 0 | 54,973 | 0 | ||
SCHWAB STRATEGIC TR | SHT TM US TRES | 808524862 | 32,292 | 639,957 | SH | DFND | 0 | 639,957 | 0 | ||
SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 3,750 | 425,600 | SH | DFND | 0 | 425,600 | 0 | ||
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 4,797 | 473,497 | SH | DFND | 0 | 473,497 | 0 | ||
VITAMIN SHOPPE INC | COM | 92849E101 | 1,683 | 83,499 | SH | DFND | 0 | 83,499 | 0 | ||
TURKISH INVT FD INC | COM | 900145103 | 283 | 34,104 | SH | DFND | 0 | 34,104 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 404 | 3,345 | SH | DFND | 0 | 3,345 | 0 |