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 | 300 | 284,000 | PRN | DFND | 0 | 284,000 | 0 | ||
HANNON ARMSTRONG SUST INFR C | NOTE 4.125% 9/0 | 41068XAB6 | 1,187 | 1,244,000 | PRN | DFND | 0 | 1,244,000 | 0 | ||
FRANKLIN STREET PPTYS CORP | COM | 35471R106 | 5,051 | 600,591 | SH | DFND | 0 | 600,591 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 90 | 13,315 | SH | DFND | 0 | 13,315 | 0 | ||
ALAMOS GOLD INC NEW | COM CL A | 011532108 | 4,283 | 822,012 | SH | DFND | 0 | 822,012 | 0 | ||
ANALOG DEVICES INC | COM | 032654105 | 240 | 2,632 | SH | DFND | 0 | 2,632 | 0 | ||
ASSOCIATED CAP GROUP INC | CL A | 045528106 | 5,852 | 156,270 | SH | DFND | 0 | 156,270 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,441 | 7,226 | SH | DFND | 0 | 7,226 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 476 | 44,128 | SH | DFND | 0 | 44,128 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 874 | 12,200 | SH | DFND | 0 | 12,200 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 609 | 7,820 | SH | DFND | 0 | 7,820 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 695 | 6,658 | SH | DFND | 0 | 6,658 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 4,393 | 43,741 | SH | DFND | 0 | 43,741 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,426 | 26,137 | SH | DFND | 0 | 26,137 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 10,102 | 1,494,406 | SH | DFND | 0 | 1,494,406 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 3,372 | 361,802 | SH | DFND | 0 | 361,802 | 0 | ||
GENERAL MLS INC | COM | 370334104 | 320 | 7,104 | SH | DFND | 0 | 7,104 | 0 | ||
GLOBAL WTR RES INC | COM | 379463102 | 3,480 | 387,984 | SH | DFND | 0 | 387,984 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 207 | 1,161 | SH | DFND | 0 | 1,161 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 320 | 2,083 | SH | DFND | 0 | 2,083 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 458 | 3,755 | SH | DFND | 0 | 3,755 | 0 | ||
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 3,547 | 34,371 | SH | DFND | 0 | 34,371 | 0 | ||
ISHARES TR | 1 3 YR TREAS BD | 464287457 | 3,901 | 46,687 | SH | DFND | 0 | 46,687 | 0 | ||
KENNEDY-WILSON HLDGS INC | COM | 489398107 | 12,022 | 690,947 | SH | DFND | 0 | 690,947 | 0 | ||
LIFEWAY FOODS INC | COM | 531914109 | 1,736 | 289,773 | SH | DFND | 0 | 289,773 | 0 | ||
MFS GOVT MKTS INCOME TR | SH BEN INT | 552939100 | 207 | 44,768 | SH | DFND | 0 | 44,768 | 0 | ||
MCDONALDS CORP | COM | 580135101 | 709 | 4,536 | SH | DFND | 0 | 4,536 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 5,670 | 693,183 | SH | DFND | 0 | 693,183 | 0 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 9,034 | 1,651,491 | SH | DFND | 0 | 1,651,491 | 0 | ||
NUVEEN MICHIGAN QLT MUN INC | COM | 670979103 | 1,594 | 125,782 | SH | DFND | 0 | 125,782 | 0 | ||
PEPSICO INC | COM | 713448108 | 628 | 5,754 | SH | DFND | 0 | 5,754 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 704 | 8,882 | SH | DFND | 0 | 8,882 | 0 | ||
SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 14,915 | 283,605 | SH | DFND | 0 | 283,605 | 0 | ||
SCHWAB STRATEGIC TR | SHT TM US TRES | 808524862 | 14,860 | 298,152 | SH | DFND | 0 | 298,152 | 0 | ||
SCHWAB STRATEGIC TR | US TIPS ETF | 808524870 | 17,681 | 322,177 | SH | DFND | 0 | 322,177 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 7,556 | 1,182,398 | SH | DFND | 0 | 1,182,398 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 1,854 | 732,758 | SH | DFND | 0 | 732,758 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 328 | 5,011 | SH | DFND | 0 | 5,011 | 0 | ||
WHEATON PRECIOUS METALS CORP | COM | 962879102 | 4,819 | 236,584 | SH | DFND | 0 | 236,584 | 0 | ||
COVANTA HLDG CORP | COM | 22282E102 | 1,821 | 125,590 | SH | DFND | 0 | 125,590 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 381 | 35,581 | SH | DFND | 0 | 35,581 | 0 | ||
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 92 | 14,750 | SH | DFND | 0 | 14,750 | 0 | ||
ARRAY BIOPHARMA INC | COM | 04269X105 | 2,199 | 134,751 | SH | DFND | 0 | 134,751 | 0 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 5,018 | 389,261 | SH | DFND | 0 | 389,261 | 0 | ||
BRIXMOR PPTY GROUP INC | COM | 11120U105 | 6,818 | 447,096 | SH | DFND | 0 | 447,096 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 898 | 122,903 | SH | DFND | 0 | 122,903 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 3,161 | 214,728 | SH | DFND | 0 | 214,728 | 0 | ||
ETF SER SOLUTIONS | US GBL GLD PRE | 26922A719 | 945 | 74,316 | SH | DFND | 0 | 74,316 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 1,088 | 88,860 | SH | DFND | 0 | 88,860 | 0 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 1,638 | 27,794 | SH | DFND | 0 | 27,794 | 0 | ||
GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | 218 | 22,988 | SH | DFND | 0 | 22,988 | 0 | ||
GLOBAL SELF STORAGE INC | COM | 37955N106 | 2,495 | 564,541 | SH | DFND | 0 | 564,541 | 0 | ||
GREAT PANTHER SILVER LTD | COM | 39115V101 | 4,962 | 4,240,996 | SH | DFND | 0 | 4,240,996 | 0 | ||
HANNON ARMSTRONG SUST INFR C | COM | 41068X100 | 4,177 | 214,209 | SH | DFND | 0 | 214,209 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 4,515 | 1,026,183 | SH | DFND | 0 | 1,026,183 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 5,245 | 447,172 | SH | DFND | 0 | 447,172 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 1,363 | 346,783 | SH | DFND | 0 | 346,783 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 8,855 | 681,185 | SH | DFND | 0 | 681,185 | 0 | ||
MERCK & CO INC | COM | 58933Y105 | 5,936 | 108,986 | SH | DFND | 0 | 108,986 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 293 | 15,880 | SH | DFND | 0 | 15,880 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 247 | 13,584 | SH | DFND | 0 | 13,584 | 0 | ||
180 DEGREE CAP CORP | COM | 68235B109 | 1,414 | 760,314 | SH | DFND | 0 | 760,314 | 0 | ||
PIMCO ETF TR | 25YR+ ZERO U S | 72201R882 | 4,225 | 36,753 | SH | DFND | 0 | 36,753 | 0 | ||
SPDR SERIES TRUST | PORTFOLIO LN TSR | 78464A664 | 4,289 | 122,202 | SH | DFND | 0 | 122,202 | 0 | ||
SANDSTORM GOLD LTD | COM NEW | 80013R206 | 7,227 | 1,518,277 | SH | DFND | 0 | 1,518,277 | 0 | ||
SEQUENTIAL BRNDS GROUP INC N | COM | 81734P107 | 2,249 | 1,078,840 | SH | DFND | 0 | 1,078,840 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 705 | 47,813 | SH | DFND | 0 | 47,813 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 498 | 19,471 | SH | DFND | 0 | 19,471 | 0 | ||
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 6,275 | 808,645 | SH | DFND | 0 | 808,645 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 228 | 10,235 | SH | DFND | 0 | 10,235 | 0 | ||
TRAVELZOO | COM NEW | 89421Q205 | 238 | 32,716 | SH | DFND | 0 | 32,716 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 325 | 1,518 | SH | DFND | 0 | 1,518 | 0 | ||
UNITI GROUP INC | COM | 91325V108 | 5,259 | 323,651 | SH | DFND | 0 | 323,651 | 0 | ||
VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | 92206C706 | 739 | 11,740 | SH | DFND | 0 | 11,740 | 0 | ||
VEREIT INC | COM | 92339V100 | 7,511 | 1,079,120 | SH | DFND | 0 | 1,079,120 | 0 | ||
VIRTUS TOTAL RETURN FUND INC | COM | 92837G100 | 340 | 30,316 | SH | DFND | 0 | 30,316 | 0 | ||
VODAFONE GROUP PLC NEW | SPONSORED ADR | 92857W308 | 4,003 | 143,898 | SH | DFND | 0 | 143,898 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 6,938 | 1,331,585 | SH | DFND | 0 | 1,331,585 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | COM | 94987C103 | 140 | 24,667 | SH | DFND | 0 | 24,667 | 0 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1,008 | 100,298 | SH | DFND | 0 | 100,298 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 900 | 53,459 | SH | DFND | 0 | 53,459 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 8,093 | 638,714 | SH | DFND | 0 | 638,714 | 0 | ||
HANESBRANDS INC | COM | 410345102 | 3,122 | 169,470 | SH | DFND | 0 | 169,470 | 0 | ||
ISHARES TR | TIPS BD ETF | 464287176 | 556 | 4,916 | SH | DFND | 0 | 4,916 | 0 | ||
KONINKLIJKE PHILIPS N V | NY REG SH NEW | 500472303 | 3,225 | 84,169 | SH | DFND | 0 | 84,169 | 0 | ||
LEXINGTON REALTY TRUST | COM | 529043101 | 4,666 | 592,917 | SH | DFND | 0 | 592,917 | 0 | ||
OMNICOM GROUP INC | COM | 681919106 | 3,184 | 43,815 | SH | DFND | 0 | 43,815 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 201 | 2,343 | SH | DFND | 0 | 2,343 | 0 | ||
SIBANYE STILLWATER | SPONSORED ADR | 825724206 | 2,682 | 672,056 | SH | DFND | 0 | 672,056 | 0 | ||
FIRST TRUST MORTGAGE INCM FD | COM SHS | 33734E103 | 156 | 11,206 | SH | DFND | 0 | 11,206 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 316 | 46,376 | SH | DFND | 0 | 46,376 | 0 | ||
KIMCO RLTY CORP | COM | 49446R109 | 5,228 | 363,085 | SH | DFND | 0 | 363,085 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 10,914 | 1,374,586 | SH | DFND | 0 | 1,374,586 | 0 | ||
OSISKO GOLD ROYALTIES LTD | COM | 68827L101 | 3,257 | 336,818 | SH | DFND | 0 | 336,818 | 0 | ||
INGERSOLL-RAND PLC | SHS | G47791101 | 220 | 2,567 | SH | DFND | 0 | 2,567 | 0 | ||
ISHARES TR | 0-5 YR TIPS ETF | 46429B747 | 326 | 3,253 | SH | DFND | 0 | 3,253 | 0 | ||
REGENERON PHARMACEUTICALS | COM | 75886F107 | 1,200 | 3,486 | SH | DFND | 0 | 3,486 | 0 |