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 |
FIRST TR EXCHANGE TRADED FD | SENIOR LN FD | 33738D309 | 1,832 | 38,890 | SH | DFND | 1 | 0 | 0 | 38,890 | |
FIRST TR EXCHANGE TRADED FD | SENIOR LN FD | 33738D309 | 154 | 3,266 | SH | SOLE | 0 | 0 | 3,266 | ||
FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 33739E108 | 902 | 47,316 | SH | SOLE | 0 | 0 | 47,316 | ||
FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 33739E108 | 2,048 | 107,441 | SH | DFND | 1 | 0 | 0 | 107,441 | |
FIRST TR EXCH TRADED FD III | INSTL PFD SECS | 33739P855 | 1,865 | 98,101 | SH | DFND | 1 | 0 | 0 | 98,101 | |
FIRST TR EXCH TRADED FD III | INSTL PFD SECS | 33739P855 | 996 | 52,383 | SH | SOLE | 0 | 0 | 52,383 | ||
INVESCO EXCH TRD SLF IDX FD | BULSHS 2020 HY | 46138J601 | 9,306 | 386,457 | SH | SOLE | 0 | 0 | 386,457 | ||
INVESCO EXCH TRD SLF IDX FD | BULSHS 2020 HY | 46138J601 | 24,461 | 1,015,811 | SH | DFND | 1 | 0 | 0 | 1,015,811 | |
ISHARES TR | FLTG RATE NT ETF | 46429B655 | 375 | 7,373 | SH | DFND | 1 | 0 | 0 | 7,373 | |
ISHARES TR | IBONDS SEP2020 | 46434V571 | 213 | 8,355 | SH | DFND | 1 | 0 | 0 | 8,355 | |
ISHARES TR | IBONDS SEP2020 | 46434V571 | 48 | 1,869 | SH | SOLE | 0 | 0 | 1,869 | ||
ISHARES TR | IBONDS DEC2023 | 46435G318 | 1,043 | 40,949 | SH | SOLE | 0 | 0 | 40,949 | ||
ISHARES TR | IBONDS DEC2023 | 46435G318 | 4,446 | 174,585 | SH | DFND | 1 | 0 | 0 | 174,585 | |
ISHARES TR | IBONDS DEC | 46435U697 | 1,042 | 40,140 | SH | DFND | 1 | 0 | 0 | 40,140 | |
ISHARES TR | IBONDS DEC | 46435U697 | 241 | 9,279 | SH | SOLE | 0 | 0 | 9,279 | ||
PIMCO ETF TR | ENHNCD LW DUR AC | 72201R718 | 1,378 | 13,812 | SH | DFND | 1 | 0 | 0 | 13,812 | |
PIMCO ETF TR | ENHNCD LW DUR AC | 72201R718 | 107 | 1,075 | SH | SOLE | 0 | 0 | 1,075 | ||
PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 421 | 4,142 | SH | SOLE | 0 | 0 | 4,142 | ||
PIMCO ETF TR | INTER MUN BD ACT | 72201R866 | 232 | 4,305 | SH | DFND | 1 | 0 | 0 | 4,305 | |
SPDR SERIES TRUST | PORTFOLIO AGRGTE | 78464A649 | 1,576 | 55,208 | SH | DFND | 1 | 0 | 0 | 55,208 | |
SPDR SERIES TRUST | PORTFOLIO AGRGTE | 78464A649 | 127 | 4,450 | SH | SOLE | 0 | 0 | 4,450 | ||
SSGA ACTIVE ETF TR | SPDR TR TACTIC | 78467V848 | 4,026 | 83,270 | SH | DFND | 1 | 0 | 0 | 83,270 | |
SSGA ACTIVE ETF TR | SPDR TR TACTIC | 78467V848 | 478 | 9,888 | SH | SOLE | 0 | 0 | 9,888 | ||
SPDR SER TR | BLOMBERG BRC INV | 78468R200 | 505 | 16,463 | SH | SOLE | 0 | 0 | 16,463 | ||
SPDR SER TR | BLOMBERG BRC INV | 78468R200 | 102 | 3,311 | SH | DFND | 1 | 0 | 0 | 3,311 | |
VANGUARD BD INDEX FD INC | SHORT TRM BOND | 921937827 | 113 | 1,416 | SH | DFND | 1 | 0 | 0 | 1,416 | |
VANGUARD BD INDEX FD INC | SHORT TRM BOND | 921937827 | 197 | 2,470 | SH | SOLE | 0 | 0 | 2,470 | ||
VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 92206C813 | 328 | 3,579 | SH | SOLE | 0 | 0 | 3,579 | ||
VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 92206C813 | 1,035 | 11,307 | SH | DFND | 1 | 0 | 0 | 11,307 | |
WISDOMTREE TR | FLOATNG RAT TREA | 97717X628 | 30,057 | 1,198,444 | SH | SOLE | 0 | 0 | 1,198,444 | ||
WISDOMTREE TR | FLOATNG RAT TREA | 97717X628 | 68,376 | 2,726,296 | SH | DFND | 1 | 0 | 0 | 2,726,296 |