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 |
ACELRX PHARMACEUTICALS INC | COM | 00444T100 | 288 | 24,000 | SH | DFND | 24,000 | 0 | 0 | ||
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 422 | 2,772 | SH | DFND | 2,772 | 0 | 0 | ||
ALLIANCEBERNSTEIN INCOME FUN | COM | 01881E101 | 4,573 | 623,000 | SH | DFND | 623,000 | 0 | 0 | ||
AMERICAN CAP SR FLOATING LTD | COM | 02504D108 | 1,713 | 122,012 | SH | DFND | 122,012 | 0 | 0 | ||
AMERICAN EAGLE OUTFITTERS NE | COM | 02553E106 | 612 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
AMERICAN INCOME FD INC | COM | 02672T109 | 92 | 12,157 | SH | DFND | 12,157 | 0 | 0 | ||
AMERICAN SELECT PORTFOLIO IN | COM | 029570108 | 2,568 | 258,465 | SH | DFND | 258,465 | 0 | 0 | ||
AMERICAN STRATEGIC INCM PTFL | COM | 030098107 | 350 | 35,418 | SH | DFND | 35,418 | 0 | 0 | ||
ANTARES PHARMA INC | COM | 036642106 | 1,038 | 296,477 | SH | DFND | 296,477 | 0 | 0 | ||
APACHE CORP | COM | 037411105 | 1,120 | 13,500 | SH | DFND | 13,500 | 0 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 1,906 | 104,462 | SH | DFND | 104,462 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 1,910 | 107,044 | SH | DFND | 107,044 | 0 | 0 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 5,624 | 310,394 | SH | DFND | 310,394 | 0 | 0 | ||
ARES MULTI STRATEGY CR FD IN | COM | 04014Q108 | 4,877 | 221,696 | SH | DFND | 221,696 | 0 | 0 | ||
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 682 | 84,600 | SH | DFND | 84,600 | 0 | 0 | ||
ASCENA RETAIL GROUP INC | COM | 04351G101 | 432 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 841 | 47,757 | SH | DFND | 47,757 | 0 | 0 | ||
B/E AEROSPACE INC | COM | 073302101 | 77 | 17,500 | SH | Call | DFND | 17,500 | 0 | 0 | |
BED BATH & BEYOND INC | COM | 075896100 | 20 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 556 | 8,150 | SH | DFND | 8,150 | 0 | 0 | ||
BLACKROCK BUILD AMER BD TR | SHS | 09248X100 | 1,070 | 52,875 | SH | DFND | 52,875 | 0 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 1,783 | 122,351 | SH | DFND | 122,351 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 1,104 | 77,543 | SH | DFND | 77,543 | 0 | 0 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 5,283 | 297,658 | SH | DFND | 297,658 | 0 | 0 | ||
BLACKROCK MUN INCOME TR | BRIC ETF | 09248F109 | 500 | 37,506 | SH | DFND | 37,506 | 0 | 0 | ||
BLACKROCK MUNI INCOME TR II | COM | 09249N101 | 1,769 | 126,210 | SH | DFND | 126,210 | 0 | 0 | ||
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 385 | 27,140 | SH | DFND | 27,140 | 0 | 0 | ||
BLACKROCK MUNICIPL INC QLTY | COM | 092479104 | 1,761 | 130,000 | SH | DFND | 130,000 | 0 | 0 | ||
BLACKROCK MUNIENHANCED FD IN | COM | 09253Y100 | 2,555 | 233,990 | SH | DFND | 233,990 | 0 | 0 | ||
BLACKROCK MUNIHLDGS NJ QLTY | COM | 09254X101 | 152 | 11,020 | SH | DFND | 11,020 | 0 | 0 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 764 | 54,892 | SH | DFND | 54,892 | 0 | 0 | ||
BLACKROCK MUNIHLDNGS QLTY II | COM | 09254C107 | 4,050 | 317,890 | SH | DFND | 317,890 | 0 | 0 | ||
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 2,104 | 157,015 | SH | DFND | 157,015 | 0 | 0 | ||
BLACKROCK MUNIHOLDINGS FD IN | COM | 09253N104 | 3,091 | 198,130 | SH | DFND | 198,130 | 0 | 0 | ||
BLACKROCK MUNIVEST FD II INC | COM | 09253T101 | 446 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
BLACKROCK MUNIVEST FD INC | COM | 09253R105 | 189 | 19,854 | SH | DFND | 19,854 | 0 | 0 | ||
BLACKROCK MUNIY QUALITY FD I | COM | 09254G108 | 252 | 20,172 | SH | DFND | 20,172 | 0 | 0 | ||
BLACKROCK MUNIYIELD CALIF FD | COM | 09254M105 | 560 | 38,084 | SH | DFND | 38,084 | 0 | 0 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 2,419 | 175,941 | SH | DFND | 175,941 | 0 | 0 | ||
BLACKROCK MUNIYIELD INVST FD | COM | 09254R104 | 407 | 28,783 | SH | DFND | 28,783 | 0 | 0 | ||
BLACKROCK MUNIYIELD QLTY FD | COM | 09254E103 | 182 | 13,418 | SH | DFND | 13,418 | 0 | 0 | ||
BLACKROCK MUNIYIELD QUALITY | COM | 09254F100 | 483 | 33,406 | SH | DFND | 33,406 | 0 | 0 | ||
BLACKROCK UTIL & INFRASTRCTU | COM | 09248D104 | 345 | 18,172 | SH | DFND | 18,172 | 0 | 0 | ||
BLACKSTONE GSO LNG SHRT CR I | COM SHS BN INT | 09257D102 | 5,709 | 324,163 | SH | DFND | 324,163 | 0 | 0 | ||
BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 09257R101 | 11,877 | 670,284 | SH | DFND | 670,284 | 0 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 4,823 | 593,243 | SH | DFND | 593,243 | 0 | 0 | ||
BOULDER TOTAL RETURN FD INC | COM | 101541100 | 372 | 15,286 | SH | DFND | 15,286 | 0 | 0 | ||
BROOKFIELD MTG OPP INC FD IN | COM | 112792106 | 9,252 | 550,066 | SH | DFND | 550,066 | 0 | 0 | ||
CAMPBELL SOUP CO | COM | 134429109 | 21 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
CATAMARAN CORP | COM | 148887102 | 1,121 | 25,047 | SH | DFND | 25,047 | 0 | 0 | ||
CELGENE CORP | COM | 151020104 | 36 | 22,000 | SH | Call | DFND | 22,000 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 2,652 | 19,000 | SH | DFND | 19,000 | 0 | 0 | ||
CENTER COAST MLP & INFRSTR F | COM SHS | 151461100 | 367 | 21,321 | SH | DFND | 21,321 | 0 | 0 | ||
CENTRAL FD CDA LTD | CL A | 153501101 | 2,465 | 179,152 | SH | DFND | 179,152 | 0 | 0 | ||
CLEARBRIDGE AMERN ENERG MLP | COM | 184691103 | 334 | 20,600 | SH | DFND | 20,600 | 0 | 0 | ||
COACH INC | COM | 189754104 | 243 | 60,000 | SH | Call | DFND | 60,000 | 0 | 0 | |
COBALT INTL ENERGY INC | COM | 19075F106 | 31 | 12,500 | SH | Call | DFND | 12,500 | 0 | 0 | |
COHEN & STEERS DIV MJRS FDIN | COM | 19248G106 | 1,312 | 84,983 | SH | DFND | 84,983 | 0 | 0 | ||
COHEN & STEERS MLP INC & ENR | COM SHS | 19249B106 | 263 | 14,700 | SH | DFND | 14,700 | 0 | 0 | ||
COHEN & STEERS SLT PFD INCM | COM | 19248Y107 | 514 | 20,645 | SH | DFND | 20,645 | 0 | 0 | ||
COMCAST CORP NEW | CL A SPL | 20030N200 | 1,219 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
DICKS SPORTING GOODS INC | COM | 253393102 | 4 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
DISNEY WALT CO | COM DISNEY | 254687106 | 16 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 10,433 | 491,667 | SH | DFND | 491,667 | 0 | 0 | ||
DREYFUS MUN BD INFRSTRCTR FD | SHS | 26203D101 | 2,222 | 197,672 | SH | DFND | 197,672 | 0 | 0 | ||
DREYFUS STRATEGIC MUN BD FD | COM | 26202F107 | 233 | 29,875 | SH | DFND | 29,875 | 0 | 0 | ||
DWS MUN INCOME TR | COM | 23338M106 | 2,040 | 156,210 | SH | DFND | 156,210 | 0 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 3,655 | 200,157 | SH | DFND | 200,157 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 2,193 | 144,626 | SH | DFND | 144,626 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 3,051 | 442,169 | SH | DFND | 442,169 | 0 | 0 | ||
EATON VANCE TAX-ADV BD & OPT | COM SH BEN INT | 27829M103 | 2,177 | 157,077 | SH | DFND | 157,077 | 0 | 0 | ||
EL PASO ENERGY CAP TR I | PFD CV TR SECS | 283678209 | 36,908 | 720,867 | SH | DFND | 720,867 | 0 | 0 | ||
ENCANA CORP | COM | 292505104 | 93 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
ENDOLOGIX INC | COM | 29266S106 | 450 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
EPR PPTYS | PFD C CNV 5.75% | 26884U208 | 10,086 | 470,634 | SH | DFND | 470,634 | 0 | 0 | ||
EV ENERGY PARTNERS LP | COM UNITS | 26926V107 | 673 | 20,100 | SH | DFND | 20,100 | 0 | 0 | ||
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 676 | 9,000 | SH | DFND | 9,000 | 0 | 0 | ||
FIFTH STR SR FLOATNG RATE CO | COM | 31679F101 | 571 | 39,720 | SH | DFND | 39,720 | 0 | 0 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 947 | 100,100 | SH | DFND | 100,100 | 0 | 0 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 1,438 | 81,100 | SH | DFND | 81,100 | 0 | 0 | ||
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 8,380 | 378,507 | SH | DFND | 378,507 | 0 | 0 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 638 | 44,129 | SH | DFND | 44,129 | 0 | 0 | ||
FIRST TRUST SPECIALTY FINANC | COM BEN INTR | 33733G109 | 250 | 32,500 | SH | DFND | 32,500 | 0 | 0 | ||
FLAHERTY & CRUMRINE DYN PFD | SHS | 33848W106 | 5,956 | 274,237 | SH | DFND | 274,237 | 0 | 0 | ||
FREEPORT-MCMORAN COPPER & GO | COM | 35671D857 | 516 | 15,600 | SH | DFND | 15,600 | 0 | 0 | ||
FREEPORT-MCMORAN COPPER & GO | COM | 35671D857 | 20 | 17,500 | SH | Call | DFND | 17,500 | 0 | 0 | |
GASTAR EXPL INC NEW | COM | 36729W202 | 80 | 14,593 | SH | DFND | 14,593 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 1,191 | 46,000 | SH | DFND | 46,000 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 25 | 30,000 | SH | Call | DFND | 30,000 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 30 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 1,984 | 28,000 | SH | DFND | 28,000 | 0 | 0 | ||
HANCOCK JOHN PFD INCOME FD | SH BEN INT | 41013W108 | 2,111 | 106,046 | SH | DFND | 106,046 | 0 | 0 | ||
HANCOCK JOHN PFD INCOME FD I | COM | 41013X106 | 1,339 | 67,062 | SH | DFND | 67,062 | 0 | 0 | ||
HANCOCK JOHN PFD INCOME FD I | COM | 41021P103 | 4,525 | 261,265 | SH | DFND | 261,265 | 0 | 0 | ||
HANCOCK JOHN PREMUIM DIV FD | COM SH BEN INT | 41013T105 | 805 | 62,161 | SH | DFND | 62,161 | 0 | 0 | ||
HCA HOLDINGS INC | COM | 40412C101 | 263 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
HERBALIFE LTD | COM USD SHS | G4412G101 | 1,100 | 200,000 | SH | Call | DFND | 200,000 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 12 | 27,500 | SH | Call | DFND | 27,500 | 0 | 0 | |
IMMUNOGEN INC | COM | 45253H101 | 549 | 36,800 | SH | DFND | 36,800 | 0 | 0 | ||
INCYTE CORP | COM | 45337C102 | 589 | 11,000 | SH | DFND | 11,000 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 963 | 81,000 | SH | DFND | 81,000 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 17 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 13,552 | 525,000 | SH | DFND | 525,000 | 0 | 0 | ||
INVESCO ADVANTAGE MUNICIPAL | SH BEN INT | 46132E103 | 3,142 | 285,918 | SH | DFND | 285,918 | 0 | 0 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 780 | 66,100 | SH | DFND | 66,100 | 0 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 11,903 | 919,895 | SH | DFND | 919,895 | 0 | 0 | ||
INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 1,945 | 159,441 | SH | DFND | 159,441 | 0 | 0 | ||
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 179 | 15,184 | SH | DFND | 15,184 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 5,719 | 1,139,291 | SH | DFND | 1,139,291 | 0 | 0 | ||
INVESCO TR INVT GRADE MUNS | COM | 46131M106 | 2,528 | 197,500 | SH | DFND | 197,500 | 0 | 0 | ||
IRONWOOD PHARMACEUTICALS INC | COM CL A | 46333X108 | 274 | 22,200 | SH | DFND | 22,200 | 0 | 0 | ||
ISHARES | U.S. REAL ES ETF | 464287739 | 9 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 368 | 20,133 | SH | DFND | 20,133 | 0 | 0 | ||
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 2,469 | 17,800 | SH | DFND | 17,800 | 0 | 0 | ||
JONES GROUP INC | COM | 48020T101 | 1 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 2,558 | 143,231 | SH | DFND | 143,231 | 0 | 0 | ||
L BRANDS INC | COM | 501797104 | 29 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
LAUDER ESTEE COS INC | CL A | 518439104 | 11 | 12,500 | SH | Call | DFND | 12,500 | 0 | 0 | |
LENNAR CORP | CL B | 526057302 | 884 | 27,082 | SH | DFND | 27,082 | 0 | 0 | ||
LMP CORPORATE LN FD INC | COM | 50208B100 | 1,476 | 121,643 | SH | DFND | 121,643 | 0 | 0 | ||
LMP REAL ESTATE INCOME FD IN | COM | 50208C108 | 1,297 | 120,100 | SH | DFND | 120,100 | 0 | 0 | ||
LOCKHEED MARTIN CORP | COM | 539830109 | 11,590 | 71,000 | SH | DFND | 71,000 | 0 | 0 | ||
LORILLARD INC | COM | 544147101 | 10 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
MACYS INC | COM | 55616P104 | 18 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
MARKET VECTORS ETF TR | OIL SVCS ETF | 57060U191 | 1 | 25,000 | SH | Put | DFND | 25,000 | 0 | 0 | |
MEDIVATION INC | COM | 58501N101 | 1,287 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
MEDTRONIC INC | COM | 585055106 | 615 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 1,284 | 247,914 | SH | DFND | 247,914 | 0 | 0 | ||
MOBILE TELESYSTEMS OJSC | SPONSORED ADR | 607409109 | 775 | 44,314 | SH | DFND | 44,314 | 0 | 0 | ||
MVC CAPITAL INC | COM | 553829102 | 693 | 51,131 | SH | DFND | 51,131 | 0 | 0 | ||
MYLAN INC | COM | 628530107 | 293 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
NEW RESIDENTIAL INVT CORP | COM | 64828T102 | 129 | 19,900 | SH | DFND | 19,900 | 0 | 0 | ||
NIKE INC | CL B | 654106103 | 24 | 32,500 | SH | Call | DFND | 32,500 | 0 | 0 | |
NPS PHARMACEUTICALS INC | COM | 62936P103 | 245 | 8,200 | SH | DFND | 8,200 | 0 | 0 | ||
NUVEEN CA DIV ADV MUNI FD 3 | COM SH BEN INT | 67070Y109 | 128 | 10,495 | SH | DFND | 10,495 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 8,948 | 940,927 | SH | DFND | 940,927 | 0 | 0 | ||
NUVEEN DIV ADV MUNI FD 3 | COM SH BEN INT | 67070X101 | 5,133 | 391,854 | SH | DFND | 391,854 | 0 | 0 | ||
NUVEEN DIV ADVANTAGE MUN FD | COM | 67070F100 | 283 | 20,954 | SH | DFND | 20,954 | 0 | 0 | ||
NUVEEN DIVERSIFIED COMMODTY | COM UT BEN INT | 67074P104 | 559 | 35,201 | SH | DFND | 35,201 | 0 | 0 | ||
NUVEEN ENHANCED MUN VALUE FD | COM | 67074M101 | 297 | 21,400 | SH | DFND | 21,400 | 0 | 0 | ||
NUVEEN FLEXIBLE INVT INCOME | COM | 67075B104 | 1,900 | 110,748 | SH | DFND | 110,748 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 2,823 | 236,005 | SH | DFND | 236,005 | 0 | 0 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 6,270 | 513,937 | SH | DFND | 513,937 | 0 | 0 | ||
NUVEEN INTER DURATION MN TMF | COM | 670671106 | 142 | 11,914 | SH | DFND | 11,914 | 0 | 0 | ||
NUVEEN INVT QUALITY MUN FD I | COM | 67062E103 | 439 | 31,121 | SH | DFND | 31,121 | 0 | 0 | ||
NUVEEN LG/SHT COMMODITY TOTR | COM UT BEN INT | 670731108 | 353 | 21,337 | SH | DFND | 21,337 | 0 | 0 | ||
NUVEEN MD PREM INCOME MUN FD | COM | 67061Q107 | 520 | 42,000 | SH | DFND | 42,000 | 0 | 0 | ||
NUVEEN MUN ADVANTAGE FD INC | COM | 67062H106 | 173 | 13,304 | SH | DFND | 13,304 | 0 | 0 | ||
NUVEEN MUN MKT OPPORTUNITY F | COM | 67062W103 | 1,487 | 116,559 | SH | DFND | 116,559 | 0 | 0 | ||
NUVEEN MUN OPPORTUNITY FD IN | COM | 670984103 | 2,790 | 202,789 | SH | DFND | 202,789 | 0 | 0 | ||
NUVEEN PA INVT QUALITY MUN F | COM | 670972108 | 588 | 44,106 | SH | DFND | 44,106 | 0 | 0 | ||
NUVEEN PERFORMANCE PLUS MUN | COM | 67062P108 | 1,167 | 80,618 | SH | DFND | 80,618 | 0 | 0 | ||
NUVEEN PREM INCOME MUN FD 2 | COM | 67063W102 | 3,036 | 226,713 | SH | DFND | 226,713 | 0 | 0 | ||
NUVEEN PREM INCOME MUN FD 4 | COM | 6706K4105 | 270 | 21,750 | SH | DFND | 21,750 | 0 | 0 | ||
NUVEEN PREMIER MUN INCOME FD | COM | 670988104 | 2,285 | 173,862 | SH | DFND | 173,862 | 0 | 0 | ||
NUVEEN QUALITY INCOME MUN FD | COM | 670977107 | 1,667 | 125,418 | SH | DFND | 125,418 | 0 | 0 | ||
NUVEEN QUALITY MUN FD INC | COM | 67062N103 | 266 | 20,838 | SH | DFND | 20,838 | 0 | 0 | ||
NUVEEN SHT DUR CR OPP FD | COM | 67074X107 | 4,067 | 220,079 | SH | DFND | 220,079 | 0 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 1,247 | 174,132 | SH | DFND | 174,132 | 0 | 0 | ||
OMNICARE INC | COM | 681904108 | 298 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
OPKO HEALTH INC | COM | 68375N103 | 140 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
PENNEY J C INC | COM | 708160106 | 1,138 | 132,000 | SH | DFND | 132,000 | 0 | 0 | ||
PERRIGO CO PLC | SHS | G97822103 | 928 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
PETROQUEST ENERGY INC | COM | 716748108 | 399 | 70,000 | SH | DFND | 70,000 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 418 | 13,000 | SH | DFND | 13,000 | 0 | 0 | ||
PHARMACYCLICS INC | COM | 716933106 | 1,102 | 11,000 | SH | DFND | 11,000 | 0 | 0 | ||
PIMCO DYNAMIC CR INCOME FD | COM SHS | 72202D106 | 11,409 | 504,826 | SH | DFND | 504,826 | 0 | 0 | ||
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 1,315 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 74255X104 | 1,892 | 103,629 | SH | DFND | 103,629 | 0 | 0 | ||
PROSHARES TR II | ULT VIX SHRT TRM | 74347W346 | 468 | 42,000 | SH | Put | DFND | 42,000 | 0 | 0 | |
QR ENERGY LP | UNIT LTD PRTNS | 74734R108 | 358 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
QUEST DIAGNOSTICS INC | COM | 74834L100 | 36 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
QUESTCOR PHARMACEUTICALS INC | COM | 74835Y101 | 1,558 | 24,000 | SH | DFND | 24,000 | 0 | 0 | ||
RAMCO-GERSHENSON PPTYS TR | PERP PFD-D CV | 751452608 | 23,673 | 389,867 | SH | DFND | 389,867 | 0 | 0 | ||
REGENERON PHARMACEUTICALS | COM | 75886F107 | 795 | 2,648 | SH | DFND | 2,648 | 0 | 0 | ||
REMY INTL INC | COM | 759663107 | 2,258 | 95,605 | SH | DFND | 95,605 | 0 | 0 | ||
RMR REAL ESTATE INCOME FUND | COM | 76970B101 | 817 | 44,003 | SH | DFND | 44,003 | 0 | 0 | ||
ROSS STORES INC | COM | 778296103 | 8 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
ROYAL DUTCH SHELL PLC | SPONS ADR A | 780259206 | 1,461 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 76 | 75,000 | SH | Call | DFND | 75,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 56 | 45,000 | SH | Call | DFND | 45,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 1,791 | 20,111 | SH | DFND | 20,111 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 228 | 216,500 | SH | Call | DFND | 216,500 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 99 | 70,000 | SH | Call | DFND | 70,000 | 0 | 0 | |
SHIRE PLC | SPONSORED ADR | 82481R106 | 223 | 1,500 | SH | DFND | 1,500 | 0 | 0 | ||
SL GREEN RLTY CORP | COM | 78440X101 | 81 | 12,400 | SH | Call | DFND | 12,400 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 47,708 | 255,110 | SH | DFND | 255,110 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 257 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 167 | 260,000 | SH | Put | DFND | 260,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | 31 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
STAPLES INC | COM | 855030102 | 284 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
SYMANTEC CORP | COM | 871503108 | 300 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
TARGET CORP | COM | 87612E106 | 363 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
THE ADT CORPORATION | COM | 00101J106 | 8 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
THL CR SR LN FD | COM | 87244R103 | 3,416 | 187,586 | SH | DFND | 187,586 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 60 | 30,000 | SH | Call | DFND | 30,000 | 0 | 0 | |
TJX COS INC NEW | COM | 872540109 | 36 | 35,000 | SH | Call | DFND | 35,000 | 0 | 0 | |
TRANSOCEAN LTD | REG SHS | H8817H100 | 620 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
TRANSOCEAN LTD | REG SHS | H8817H100 | 10 | 15,000 | SH | Put | DFND | 15,000 | 0 | 0 | |
UNITED MICROELECTRONICS CORP | SPON ADR NEW | 910873405 | 5,022 | 2,414,366 | SH | DFND | 2,414,366 | 0 | 0 | ||
UNITED STATES NATL GAS FUND | UNIT PAR $0.001 | 912318201 | 8 | 28,500 | SH | Put | DFND | 28,500 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 476 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
VIACOM INC NEW | CL A | 92553P102 | 1,680 | 19,700 | SH | DFND | 19,700 | 0 | 0 | ||
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 3,026 | 179,070 | SH | DFND | 179,070 | 0 | 0 | ||
VIVUS INC | COM | 928551100 | 535 | 90,000 | SH | DFND | 90,000 | 0 | 0 | ||
WELLS FARGO & CO NEW | COM | 949746101 | 4,477 | 90,000 | SH | DFND | 90,000 | 0 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 1,804 | 155,129 | SH | DFND | 155,129 | 0 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 1,001 | 85,898 | SH | DFND | 85,898 | 0 | 0 | ||
WHITEWAVE FOODS CO | COM CL A | 966244105 | 4,450 | 155,923 | SH | DFND | 155,923 | 0 | 0 | ||
WHOLE FOODS MKT INC | COM | 966837106 | 1 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
WIPRO LTD | SPON ADR 1 SH | 97651M109 | 283 | 21,110 | SH | DFND | 21,110 | 0 | 0 |