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 |
HANNON ARMSTRONG SUST INFR C | NOTE 4.125% 9/0 | 41068XAB6 | 1,155 | 1,203,000 | PRN | DFND | 0 | 1,203,000 | 0 | ||
ROYAL GOLD INC | NOTE 2.875% 6/1 | 780287AA6 | 300 | 284,000 | PRN | DFND | 0 | 284,000 | 0 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1,493 | 99,584 | SH | DFND | 0 | 99,584 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 81 | 13,630 | SH | DFND | 0 | 13,630 | 0 | ||
ALAMOS GOLD INC NEW | COM CL A | 011532108 | 4,560 | 801,436 | SH | DFND | 0 | 801,436 | 0 | ||
ANALOG DEVICES INC | COM | 032654105 | 252 | 2,632 | SH | DFND | 0 | 2,632 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 865 | 52,964 | SH | DFND | 0 | 52,964 | 0 | ||
ASSOCIATED CAP GROUP INC | CL A | 045528106 | 1,883 | 49,606 | SH | DFND | 0 | 49,606 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,340 | 7,181 | SH | DFND | 0 | 7,181 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 10,466 | 866,387 | SH | DFND | 0 | 866,387 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 472 | 45,962 | SH | DFND | 0 | 45,962 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 791 | 12,200 | SH | DFND | 0 | 12,200 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 614 | 7,871 | SH | DFND | 0 | 7,871 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 694 | 6,695 | SH | DFND | 0 | 6,695 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 4,495 | 42,888 | SH | DFND | 0 | 42,888 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,063 | 22,088 | SH | DFND | 0 | 22,088 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 11,254 | 1,684,657 | SH | DFND | 0 | 1,684,657 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 3,232 | 352,095 | SH | DFND | 0 | 352,095 | 0 | ||
GENERAL MLS INC | COM | 370334104 | 314 | 7,104 | SH | DFND | 0 | 7,104 | 0 | ||
GLOBAL WTR RES INC | COM | 379463102 | 3,579 | 380,797 | SH | DFND | 0 | 380,797 | 0 | ||
HANESBRANDS INC | COM | 410345102 | 5,333 | 242,201 | SH | DFND | 0 | 242,201 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 227 | 1,161 | SH | DFND | 0 | 1,161 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 292 | 2,089 | SH | DFND | 0 | 2,089 | 0 | ||
ISHARES TR | TIPS BD ETF | 464287176 | 549 | 4,866 | SH | DFND | 0 | 4,866 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 457 | 3,755 | SH | DFND | 0 | 3,755 | 0 | ||
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 3,442 | 33,581 | SH | DFND | 0 | 33,581 | 0 | ||
ISHARES TR | 1 3 YR TREAS BD | 464287457 | 3,525 | 42,283 | SH | DFND | 0 | 42,283 | 0 | ||
KENNEDY-WILSON HLDGS INC | COM | 489398107 | 14,601 | 690,357 | SH | DFND | 0 | 690,357 | 0 | ||
KONINKLIJKE PHILIPS N V | NY REG SH NEW | 500472303 | 3,504 | 82,902 | SH | DFND | 0 | 82,902 | 0 | ||
LEXINGTON REALTY TRUST | COM | 529043101 | 5,048 | 578,188 | SH | DFND | 0 | 578,188 | 0 | ||
LIFEWAY FOODS INC | COM | 531914109 | 1,452 | 288,731 | SH | DFND | 0 | 288,731 | 0 | ||
MFS GOVT MKTS INCOME TR | SH BEN INT | 552939100 | 196 | 43,645 | SH | DFND | 0 | 43,645 | 0 | ||
MCDONALDS CORP | COM | 580135101 | 711 | 4,536 | SH | DFND | 0 | 4,536 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 5,094 | 672,894 | SH | DFND | 0 | 672,894 | 0 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 6,172 | 1,073,402 | SH | DFND | 0 | 1,073,402 | 0 | ||
NUVEEN MICHIGAN QLT MUN INC | COM | 670979103 | 1,567 | 123,807 | SH | DFND | 0 | 123,807 | 0 | ||
OMNICOM GROUP INC | COM | 681919106 | 6,227 | 81,648 | SH | DFND | 0 | 81,648 | 0 | ||
PEPSICO INC | COM | 713448108 | 626 | 5,754 | SH | DFND | 0 | 5,754 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 693 | 8,882 | SH | DFND | 0 | 8,882 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 214 | 2,310 | SH | DFND | 0 | 2,310 | 0 | ||
SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 7,686 | 146,876 | SH | DFND | 0 | 146,876 | 0 | ||
SCHWAB STRATEGIC TR | SHT TM US TRES | 808524862 | 14,240 | 286,292 | SH | DFND | 0 | 286,292 | 0 | ||
SCHWAB STRATEGIC TR | US TIPS ETF | 808524870 | 17,380 | 316,526 | SH | DFND | 0 | 316,526 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 8,588 | 1,398,678 | SH | DFND | 0 | 1,398,678 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 1,082 | 672,285 | SH | DFND | 0 | 672,285 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 301 | 5,011 | SH | DFND | 0 | 5,011 | 0 | ||
WHEATON PRECIOUS METALS CORP | COM | 962879102 | 5,033 | 228,136 | SH | DFND | 0 | 228,136 | 0 | ||
FIRST TRUST MORTGAGE INCM FD | COM SHS | 33734E103 | 172 | 12,796 | SH | DFND | 0 | 12,796 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 378 | 34,407 | SH | DFND | 0 | 34,407 | 0 | ||
ARRAY BIOPHARMA INC | COM | 04269X105 | 3,726 | 222,053 | SH | DFND | 0 | 222,053 | 0 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 4,867 | 426,576 | SH | DFND | 0 | 426,576 | 0 | ||
BRIXMOR PPTY GROUP INC | COM | 11120U105 | 8,817 | 505,828 | SH | DFND | 0 | 505,828 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 1,662 | 220,423 | SH | DFND | 0 | 220,423 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 3,481 | 210,311 | SH | DFND | 0 | 210,311 | 0 | ||
ETF SER SOLUTIONS | US GBL GLD PRE | 26922A719 | 930 | 73,072 | SH | DFND | 0 | 73,072 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 1,281 | 99,352 | SH | DFND | 0 | 99,352 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 296 | 46,376 | SH | DFND | 0 | 46,376 | 0 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 1,638 | 27,954 | SH | DFND | 0 | 27,954 | 0 | ||
FRANKLIN STREET PPTYS CORP | COM | 35471R106 | 5,057 | 590,802 | SH | DFND | 0 | 590,802 | 0 | ||
GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | 375 | 37,469 | SH | DFND | 0 | 37,469 | 0 | ||
GLOBAL SELF STORAGE INC | COM | 37955N106 | 1,902 | 458,364 | SH | DFND | 0 | 458,364 | 0 | ||
GREAT PANTHER SILVER LTD | COM | 39115V101 | 4,871 | 4,163,174 | SH | DFND | 0 | 4,163,174 | 0 | ||
HANNON ARMSTRONG SUST INFR C | COM | 41068X100 | 4,131 | 209,162 | SH | DFND | 0 | 209,162 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 5,253 | 452,096 | SH | DFND | 0 | 452,096 | 0 | ||
ISHARES TR | 0-5 YR TIPS ETF | 46429B747 | 326 | 3,268 | SH | DFND | 0 | 3,268 | 0 | ||
KIMCO RLTY CORP | COM | 49446R109 | 6,054 | 356,355 | SH | DFND | 0 | 356,355 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 1,276 | 330,671 | SH | DFND | 0 | 330,671 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 9,391 | 668,886 | SH | DFND | 0 | 668,886 | 0 | ||
MERCK & CO INC | COM | 58933Y105 | 6,494 | 106,991 | SH | DFND | 0 | 106,991 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 352 | 21,676 | SH | DFND | 0 | 21,676 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 556 | 32,542 | SH | DFND | 0 | 32,542 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 10,789 | 1,357,051 | SH | DFND | 0 | 1,357,051 | 0 | ||
OSISKO GOLD ROYALTIES LTD | COM | 68827L101 | 3,131 | 330,650 | SH | DFND | 0 | 330,650 | 0 | ||
PIMCO ETF TR | 25YR+ ZERO U S | 72201R882 | 4,169 | 36,141 | SH | DFND | 0 | 36,141 | 0 | ||
REGENERON PHARMACEUTICALS | COM | 75886F107 | 3,743 | 10,850 | SH | DFND | 0 | 10,850 | 0 | ||
SPDR SERIES TRUST | PORTFOLIO LN TSR | 78464A664 | 4,253 | 121,413 | SH | DFND | 0 | 121,413 | 0 | ||
SANDSTORM GOLD LTD | COM NEW | 80013R206 | 6,626 | 1,472,492 | SH | DFND | 0 | 1,472,492 | 0 | ||
SEQUENTIAL BRNDS GROUP INC N | COM | 81734P107 | 2,111 | 1,071,575 | SH | DFND | 0 | 1,071,575 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 750 | 49,935 | SH | DFND | 0 | 49,935 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 492 | 19,261 | SH | DFND | 0 | 19,261 | 0 | ||
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 7,005 | 872,345 | SH | DFND | 0 | 872,345 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 207 | 9,698 | SH | DFND | 0 | 9,698 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 372 | 1,518 | SH | DFND | 0 | 1,518 | 0 | ||
UNITI GROUP INC | COM | 91325V108 | 6,359 | 317,485 | SH | DFND | 0 | 317,485 | 0 | ||
VEREIT INC | COM | 92339V100 | 7,039 | 946,096 | SH | DFND | 0 | 946,096 | 0 | ||
VODAFONE GROUP PLC NEW | SPONSORED ADR | 92857W308 | 3,570 | 146,847 | SH | DFND | 0 | 146,847 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 6,535 | 1,299,252 | SH | DFND | 0 | 1,299,252 | 0 | ||
INGERSOLL-RAND PLC | SHS | G47791101 | 230 | 2,567 | SH | DFND | 0 | 2,567 | 0 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 689 | 159,548 | SH | DFND | 0 | 159,548 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 1,128 | 4 | SH | DFND | 0 | 4 | 0 | ||
CITRIX SYS INC | COM | 177376100 | 210 | 2,000 | SH | DFND | 0 | 2,000 | 0 | ||
LIBERTY MEDIA CORP DELAWARE | COM SER C FRMLA | 531229854 | 1,145 | 44,264 | SH | DFND | 0 | 44,264 | 0 | ||
NUVEEN MUN VALUE FD INC | COM | 670928100 | 287 | 30,000 | SH | DFND | 0 | 30,000 | 0 | ||
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 2,464 | 29,258 | SH | DFND | 0 | 29,258 | 0 | ||
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 94 | 14,750 | SH | DFND | 0 | 14,750 | 0 | ||
BLACKROCK INCOME TR INC | COM | 09247F100 | 127 | 21,853 | SH | DFND | 0 | 21,853 | 0 | ||
BLACKROCK MUN INCOME TR | SH BEN INT | 09248F109 | 238 | 18,500 | SH | DFND | 0 | 18,500 | 0 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 253 | 19,000 | SH | DFND | 0 | 19,000 | 0 | ||
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 207 | 16,000 | SH | DFND | 0 | 16,000 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 4,368 | 1,020,552 | SH | DFND | 0 | 1,020,552 | 0 | ||
VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | 92206C706 | 410 | 6,545 | SH | DFND | 0 | 6,545 | 0 | ||
WESTERN ASST MNGD MUN FD INC | COM | 95766M105 | 266 | 21,000 | SH | DFND | 0 | 21,000 | 0 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 762 | 45,499 | SH | DFND | 0 | 45,499 | 0 |