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 | 5,875 | 5,640,000 | PRN | DFND | 5,640,000 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 09255X100 | 980 | 80,951 | SH | DFND | 80,951 | 0 | 0 | ||
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 218 | 15,478 | SH | DFND | 15,478 | 0 | 0 | ||
BLACKROCK MUNIVEST FD INC | COM | 09253R105 | 2,013 | 219,093 | SH | DFND | 219,093 | 0 | 0 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 695 | 48,421 | SH | DFND | 48,421 | 0 | 0 | ||
BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | 299 | 20,071 | SH | DFND | 20,071 | 0 | 0 | ||
BLACKSTONE SENIOR FLOATNG RA | COM | 09256U105 | 559 | 39,292 | SH | DFND | 39,292 | 0 | 0 | ||
BNY MELLON STRATEGIC MUN BD | COM | 09662E109 | 2,352 | 298,876 | SH | DFND | 298,876 | 0 | 0 | ||
DELAWARE INVTS MINN MUN INCO | COM | 24610V103 | 179 | 13,630 | SH | DFND | 13,630 | 0 | 0 | ||
DOUBLELINE YIELD OPPORTUNITI | COM | 25862D105 | 1,222 | 66,000 | SH | DFND | 66,000 | 0 | 0 | ||
DWS MUN INCOME TR | COM | 233368109 | 1,580 | 135,851 | SH | DFND | 135,851 | 0 | 0 | ||
EATON VANCE CALIF MUN INCOM | SH BEN INT | 27826F101 | 282 | 20,600 | SH | DFND | 20,600 | 0 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 522 | 33,565 | SH | DFND | 33,565 | 0 | 0 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 1,974 | 150,000 | SH | DFND | 150,000 | 0 | 0 | ||
EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 505 | 41,138 | SH | DFND | 41,138 | 0 | 0 | ||
EATON VANCE NEW YORK MUN INC | SH BEN INT | 27826W104 | 204 | 14,619 | SH | DFND | 14,619 | 0 | 0 | ||
EATON VANCE SHORT DURATION D | COM | 27828V104 | 182 | 14,700 | SH | DFND | 14,700 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 467 | 36,652 | SH | DFND | 36,652 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 142 | 22,276 | SH | DFND | 22,276 | 0 | 0 | ||
EATON VANCE TAX-ADVANTAGED G | COM | 27828U106 | 202 | 8,000 | SH | DFND | 8,000 | 0 | 0 | ||
FIRST TRUST SPECIALTY FINANC | COM BEN INTR | 33733G109 | 380 | 121,651 | SH | DFND | 121,651 | 0 | 0 | ||
FS KKR CAP CORP II | COM | 35952V303 | 1,152 | 70,254 | SH | DFND | 70,254 | 0 | 0 | ||
GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 491 | 140,000 | SH | DFND | 140,000 | 0 | 0 | ||
GAMCO NAT RES GOLD & INCOME | SH BEN INT | 36465E101 | 996 | 195,000 | SH | DFND | 195,000 | 0 | 0 | ||
GDL FD | COM SH BEN IT | 361570104 | 2,026 | 232,302 | SH | DFND | 232,302 | 0 | 0 | ||
HANCOCK JOHN PFD INCOME FD I | COM | 41013X106 | 1,226 | 64,511 | SH | DFND | 64,511 | 0 | 0 | ||
INVESCO CALIF MUN INCOME TR | COM | 46132P108 | 1,179 | 75,352 | SH | DFND | 75,352 | 0 | 0 | ||
INVESCO CALIF VALUE MUN INCO | COM | 46132H106 | 1,299 | 98,173 | SH | DFND | 98,173 | 0 | 0 | ||
INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 350 | 27,314 | SH | DFND | 27,314 | 0 | 0 | ||
INVESCO MUN TR | COM | 46131J103 | 586 | 45,678 | SH | DFND | 45,678 | 0 | 0 | ||
INVESCO QUALITY MUN INCOME T | COM | 46133G107 | 414 | 31,725 | SH | DFND | 31,725 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 20 | 150,000 | SH | Put | DFND | 150,000 | 0 | 0 | |
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 113 | 29,600 | SH | DFND | 29,600 | 0 | 0 | ||
MFS MUN INCOME TR | SH BEN INT | 552738106 | 73 | 10,900 | SH | DFND | 10,900 | 0 | 0 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 1,846 | 110,000 | SH | DFND | 110,000 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 1,988 | 227,495 | SH | DFND | 227,495 | 0 | 0 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 2,310 | 266,692 | SH | DFND | 266,692 | 0 | 0 | ||
NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 | 484 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 349 | 24,252 | SH | DFND | 24,252 | 0 | 0 | ||
NUVEEN SHT DUR CR OPP FD | COM | 67074X107 | 658 | 49,273 | SH | DFND | 49,273 | 0 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 608 | 117,067 | SH | DFND | 117,067 | 0 | 0 | ||
OWL ROCK CAPITAL CORPORATION | COM | 69121K104 | 633 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
PIMCO CALIF MUN INCOME FD II | COM | 72200M108 | 1,038 | 115,000 | SH | DFND | 115,000 | 0 | 0 | ||
PIMCO ENRGY TACTICAL CR OPP | COM SHS BEN INT | 69346N107 | 671 | 83,100 | SH | DFND | 83,100 | 0 | 0 | ||
PIMCO NEW YORK MUN FD II | COM | 72200Y102 | 685 | 63,000 | SH | DFND | 63,000 | 0 | 0 | ||
PIMCO NEW YORK MUN INCOME FD | COM | 72201E105 | 104 | 11,691 | SH | DFND | 11,691 | 0 | 0 | ||
RIVERNORTH MANAGED DUR MUN I | COM | 76882H105 | 534 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
RMR MORTGAGE TR | COM | 76970B101 | 541 | 51,445 | SH | DFND | 51,445 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 48 | 225,700 | SH | Put | DFND | 225,700 | 0 | 0 | |
SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 871 | 45,000 | SH | DFND | 45,000 | 0 | 0 | ||
WESTERN ASSET MANAGED MUNS F | COM | 95766M105 | 2,390 | 186,125 | SH | DFND | 186,125 | 0 | 0 | ||
WESTERN AST INFL LKD OPP & I | COM | 95766R104 | 2,745 | 221,200 | SH | DFND | 221,200 | 0 | 0 |