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 |
MFS MUN INCOME TR | SH BEN INT | 552738106 | 68 | 10,900 | SH | DFND | 1 2 | 10,900 | 0 | 0 | |
INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 332 | 28,003 | SH | DFND | 1 2 | 28,003 | 0 | 0 | |
BLACKROCK MUNIYIELD QUALITY | COM | 09254E103 | 461 | 35,414 | SH | DFND | 1 2 | 35,414 | 0 | 0 | |
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 759 | 96,692 | SH | DFND | 1 2 | 96,692 | 0 | 0 | |
NUVEEN MUN VALUE FD INC | COM | 670928100 | 1,173 | 115,000 | SH | DFND | 1 2 | 115,000 | 0 | 0 | |
BLACKROCK MUNIVEST FD INC | COM | 09253R105 | 1,614 | 191,992 | SH | DFND | 1 2 | 191,992 | 0 | 0 | |
NUVEEN SR INCOME FD | COM | 67067Y104 | 482 | 102,467 | SH | DFND | 1 2 | 102,467 | 0 | 0 | |
NUVEEN SHT DUR CR OPP FD | COM | 67074X107 | 353 | 30,000 | SH | DFND | 1 2 | 30,000 | 0 | 0 | |
INVESCO CALIF MUN INCOME TR | COM | 46132P108 | 947 | 65,544 | SH | DFND | 1 2 | 65,544 | 0 | 0 | |
WESTERN ASSET MANAGED MUNS F | COM | 95766M105 | 1,721 | 143,303 | SH | DFND | 1 2 | 143,303 | 0 | 0 | |
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 632 | 118,681 | SH | DFND | 1 2 | 118,681 | 0 | 0 | |
INVESCO DYNAMIC CR OPPORTUNI | COM | 46132R104 | 594 | 66,711 | SH | DFND | 1 2 | 66,711 | 0 | 0 | |
EATON VANCE MUN BD FD | COM | 27827X101 | 318 | 25,000 | SH | DFND | 1 2 | 25,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 26 | 333,700 | SH | Call | DFND | 1 2 | 333,700 | 0 | 0 |
SPIRIT AEROSYSTEMS HLDGS INC | COM CL A | 848574109 | 26 | 2,600 | SH | Put | DFND | 1 2 | 2,600 | 0 | 0 |
SOUTHWEST AIRLS CO | COM | 844741108 | 10 | 40,000 | SH | Put | DFND | 1 2 | 40,000 | 0 | 0 |
GDL FUND | COM SH BEN IT | 361570104 | 1,835 | 223,003 | SH | DFND | 1 2 | 223,003 | 0 | 0 | |
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 542 | 49,360 | SH | DFND | 1 2 | 49,360 | 0 | 0 | |
BLACKROCK MUNIHOLDINGS QUALI | COM | 09254C107 | 232 | 18,704 | SH | DFND | 1 2 | 18,704 | 0 | 0 | |
PIONEER MUN HIGH INCOME ADVA | COM | 723762100 | 736 | 70,000 | SH | DFND | 1 2 | 70,000 | 0 | 0 | |
DWS MUN INCOME TR | COM | 233368109 | 2,527 | 234,004 | SH | DFND | 1 2 | 234,004 | 0 | 0 | |
SPIRIT AEROSYSTEMS HLDGS INC | COM CL A | 848574109 | 17 | 13,500 | SH | Call | DFND | 1 2 | 13,500 | 0 | 0 |
NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 | 443 | 30,000 | SH | DFND | 1 2 | 30,000 | 0 | 0 | |
EATON VANCE FLTING RATE INC | COM | 278279104 | 639 | 56,096 | SH | DFND | 1 2 | 56,096 | 0 | 0 | |
INVESCO QUALITY MUN INCOME T | COM | 46133G107 | 378 | 31,725 | SH | DFND | 1 2 | 31,725 | 0 | 0 | |
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 658 | 48,421 | SH | DFND | 1 2 | 48,421 | 0 | 0 | |
INVESCO CALIF VALUE MUN INCO | COM | 46132H106 | 1,147 | 98,173 | SH | DFND | 1 2 | 98,173 | 0 | 0 | |
NUVEEN ARIZONA QLTY MUN INC | COM | 67061W104 | 200 | 14,699 | SH | DFND | 1 2 | 14,699 | 0 | 0 | |
WESTERN ASSET CORPORATE LN F | COM | 95790J102 | 290 | 33,836 | SH | DFND | 1 2 | 33,836 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 7 | 42,200 | SH | Put | DFND | 1 2 | 42,200 | 0 | 0 |
INVESCO MUN TR | COM | 46131J103 | 537 | 45,678 | SH | DFND | 1 2 | 45,678 | 0 | 0 | |
BNY MELLON STRATEGIC MUN BD | COM | 09662E109 | 1,548 | 213,868 | SH | DFND | 1 2 | 213,868 | 0 | 0 | |
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 200 | 15,478 | SH | DFND | 1 2 | 15,478 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 268 | 422,200 | SH | Put | DFND | 1 2 | 422,200 | 0 | 0 |
GARRISON CAP INC | COM | 366554103 | 49 | 15,035 | SH | DFND | 1 2 | 15,035 | 0 | 0 | |
DELAWARE INVTS MINN MUN INCO | COM | 24610V103 | 172 | 13,630 | SH | DFND | 1 2 | 13,630 | 0 | 0 | |
INVESCO EXCHANGE-TRADED FD T | SR LN ETF | 46138G508 | 1 | 30,000 | SH | Put | DFND | 1 2 | 30,000 | 0 | 0 |
BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | 272 | 20,080 | SH | DFND | 1 2 | 20,080 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 44 | 173,000 | SH | Put | DFND | 1 2 | 173,000 | 0 | 0 |
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 1,757 | 115,000 | SH | DFND | 1 2 | 115,000 | 0 | 0 | |
WESTERN AST INFL LKD OPP & I | COM | 95766R104 | 1,192 | 108,731 | SH | DFND | 1 2 | 108,731 | 0 | 0 | |
AVAYA HLDGS CORP | NOTE 2.250% 6/1 | 05351XAB7 | 851 | 1,040,000 | PRN | DFND | 1 2 | 1,040,000 | 0 | 0 | |
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 731 | 92,495 | SH | DFND | 1 2 | 92,495 | 0 | 0 | |
BLACKROCK FLOATING RATE INCO | COM | 09255X100 | 905 | 80,951 | SH | DFND | 1 2 | 80,951 | 0 | 0 |