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 |
AVAYA HLDGS CORP | NOTE 2.250% 6/1 | 05351XAB7 | 5,296 | 5,640,000 | PRN | DFND | 5,640,000 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 554 | 49,360 | SH | DFND | 49,360 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 09255X100 | 931 | 80,951 | SH | DFND | 80,951 | 0 | 0 | ||
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 208 | 15,478 | SH | DFND | 15,478 | 0 | 0 | ||
BLACKROCK MUNIVEST FD INC | COM | 09253R105 | 2,011 | 231,672 | SH | DFND | 231,672 | 0 | 0 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 650 | 48,421 | SH | DFND | 48,421 | 0 | 0 | ||
BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | 279 | 20,071 | SH | DFND | 20,071 | 0 | 0 | ||
BNY MELLON STRATEGIC MUN BD | COM | 09662E109 | 2,179 | 298,876 | SH | DFND | 298,876 | 0 | 0 | ||
DELAWARE INVTS MINN MUN INCO | COM | 24610V103 | 177 | 13,630 | SH | DFND | 13,630 | 0 | 0 | ||
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 22 | 17,000 | SH | Put | DFND | 17,000 | 0 | 0 | |
DWS MUN INCOME TR | COM | 233368109 | 2,470 | 222,995 | SH | DFND | 222,995 | 0 | 0 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 666 | 56,096 | SH | DFND | 56,096 | 0 | 0 | ||
EATON VANCE MUN BD FD | COM | 27827X101 | 278 | 21,075 | SH | DFND | 21,075 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 550 | 93,681 | SH | DFND | 93,681 | 0 | 0 | ||
FIRST TRUST SPECIALTY FINANC | COM BEN INTR | 33733G109 | 158 | 68,935 | SH | DFND | 68,935 | 0 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 1,870 | 223,202 | SH | DFND | 223,202 | 0 | 0 | ||
INVESCO CALIF MUN INCOME TR | COM | 46132P108 | 1,108 | 75,352 | SH | DFND | 75,352 | 0 | 0 | ||
INVESCO CALIF VALUE MUN INCO | COM | 46132H106 | 1,226 | 98,173 | SH | DFND | 98,173 | 0 | 0 | ||
INVESCO DYNAMIC CR OPPORTUNI | COM | 46132R104 | 614 | 66,711 | SH | DFND | 66,711 | 0 | 0 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 46137V357 | 3,384 | 31,300 | SH | DFND | 31,300 | 0 | 0 | ||
INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 342 | 28,003 | SH | DFND | 28,003 | 0 | 0 | ||
INVESCO MUN TR | COM | 46131J103 | 549 | 45,678 | SH | DFND | 45,678 | 0 | 0 | ||
INVESCO QUALITY MUN INCOME T | COM | 46133G107 | 392 | 31,725 | SH | DFND | 31,725 | 0 | 0 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 27 | 64,000 | SH | Put | DFND | 64,000 | 0 | 0 | |
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 110 | 29,600 | SH | DFND | 29,600 | 0 | 0 | ||
MFS MUN INCOME TR | SH BEN INT | 552738106 | 70 | 10,900 | SH | DFND | 10,900 | 0 | 0 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 1,900 | 121,353 | SH | DFND | 121,353 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 768 | 92,495 | SH | DFND | 92,495 | 0 | 0 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 793 | 96,692 | SH | DFND | 96,692 | 0 | 0 | ||
NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 | 441 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 328 | 24,252 | SH | DFND | 24,252 | 0 | 0 | ||
NUVEEN SHT DUR CR OPP FD | COM | 67074X107 | 371 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 495 | 102,467 | SH | DFND | 102,467 | 0 | 0 | ||
PIONEER MUN HIGH INCOME ADVA | COM | 723762100 | 273 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 151 | 303,300 | SH | Put | DFND | 303,300 | 0 | 0 | |
SPIRIT AEROSYSTEMS HLDGS INC | COM CL A | 848574109 | 2 | 13,500 | SH | Call | DFND | 13,500 | 0 | 0 | |
WESTERN ASSET MANAGED MUNS F | COM | 95766M105 | 2,269 | 186,125 | SH | DFND | 186,125 | 0 | 0 | ||
WESTERN AST INFL LKD OPP & I | COM | 95766R104 | 2,192 | 195,000 | SH | DFND | 195,000 | 0 | 0 |