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 |
ABERDEEN CHILE FD INC | COM | 00301W105 | 71 | 10,000 | SH | DFND | 0 | 10,000 | 0 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 4 | 286,400 | SH | Put | DFND | 0 | 286,400 | 0 | |
AMTRUST FINL SVCS INC | COM | 032359309 | 0 | 10,000 | SH | Call | DFND | 0 | 10,000 | 0 | |
ANTERO RES CORP | COM | 03674X106 | 1,802 | 83,400 | SH | DFND | 0 | 83,400 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 169 | 10,000 | SH | DFND | 0 | 10,000 | 0 | ||
ASSURED GUARANTY LTD | COM | G0585R106 | 9 | 10,000 | SH | Put | DFND | 0 | 10,000 | 0 | |
BARCLAYS BK PLC | IPATH S&P500 VIX | 06740Q252 | 605 | 562,500 | SH | Put | DFND | 0 | 562,500 | 0 | |
BLACKROCK MUNI N Y INTER DUR | COM | 09255F109 | 288 | 20,577 | SH | DFND | 0 | 20,577 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 296 | 30,436 | SH | DFND | 0 | 30,436 | 0 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 2 | 20,000 | SH | Put | DFND | 0 | 20,000 | 0 | |
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 7,921 | 123,900 | SH | DFND | 0 | 123,900 | 0 | ||
CLEAR CHANNEL OUTDOOR HLDGS | CL A | 18451C109 | 650 | 133,962 | SH | DFND | 0 | 133,962 | 0 | ||
DAVITA INC | COM | 23918K108 | 3 | 10,000 | SH | Put | DFND | 0 | 10,000 | 0 | |
DOMINION MIDSTREAM PARTNERS | COM UT REP LTD | 257454108 | 3,087 | 107,000 | SH | DFND | 0 | 107,000 | 0 | ||
EATON VANCE CA MUNI INCOME T | SH BEN INT | 27826F101 | 360 | 28,735 | SH | DFND | 0 | 28,735 | 0 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828C106 | 487 | 40,923 | SH | DFND | 0 | 40,923 | 0 | ||
EATON VANCE NY MUNI INCOME T | SH BEN INT | 27826W104 | 261 | 20,000 | SH | DFND | 0 | 20,000 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 266 | 40,000 | SH | DFND | 0 | 40,000 | 0 | ||
ENBRIDGE ENERGY PARTNERS L P | COM | 29250R106 | 4,426 | 276,600 | SH | DFND | 0 | 276,600 | 0 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 13,916 | 513,900 | SH | DFND | 0 | 513,900 | 0 | ||
EQT MIDSTREAM PARTNERS LP | UNIT LTD PARTN | 26885B100 | 13,597 | 182,190 | SH | DFND | 0 | 182,190 | 0 | ||
EVERI HLDGS INC | COM | 30034T103 | 1,876 | 257,728 | SH | DFND | 0 | 257,728 | 0 | ||
GNC HLDGS INC | COM CL A | 36191G107 | 169 | 20,000 | SH | DFND | 0 | 20,000 | 0 | ||
HALCON RES CORP | *W EXP 09/09/202 | 40537Q118 | 9 | 13,305 | SH | DFND | 0 | 13,305 | 0 | ||
HOLLY ENERGY PARTNERS L P | COM UT LTD PTN | 435763107 | 2,368 | 72,900 | SH | DFND | 0 | 72,900 | 0 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 353 | 27,925 | SH | DFND | 0 | 27,925 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 604 | 50,300 | SH | DFND | 0 | 50,300 | 0 | ||
INVESCO PA VALUE MUN INCOME | COM | 46132K109 | 837 | 67,746 | SH | DFND | 0 | 67,746 | 0 | ||
INVESCO TR INVT GRADE NY MUN | COM | 46131T101 | 334 | 24,416 | SH | DFND | 0 | 24,416 | 0 | ||
ISHARES | MSCI FRANCE ETF | 464286707 | 2,876 | 100,000 | SH | DFND | 0 | 100,000 | 0 | ||
ISHARES TR | 7-10YR TR BD ETF | 464287440 | 3,785 | 35,500 | SH | DFND | 0 | 35,500 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 29 | 15,000 | SH | Call | DFND | 0 | 15,000 | 0 | |
ISHARES TR | JP MOR EM MK ETF | 464288281 | 17,154 | 150,000 | SH | DFND | 0 | 150,000 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 96 | 280,000 | SH | Put | DFND | 0 | 280,000 | 0 | |
JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 11,583 | 390,000 | SH | DFND | 0 | 390,000 | 0 | ||
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 5,695 | 8,500,000 | PRN | DFND | 0 | 8,500,000 | 0 | ||
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 13,808 | 193,740 | SH | DFND | 0 | 193,740 | 0 | ||
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 1 | 10,000 | SH | Call | DFND | 0 | 10,000 | 0 | |
MPLX LP | COM UNIT REP LTD | 55336V100 | 10,895 | 326,200 | SH | DFND | 0 | 326,200 | 0 | ||
NEUBERGER BERMAN NY INT MUN | COM | 64124K102 | 719 | 56,427 | SH | DFND | 0 | 56,427 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 443 | 51,482 | SH | DFND | 0 | 51,482 | 0 | ||
NUVEEN ENHANCED MUN VALUE FD | COM | 67074M101 | 168 | 11,738 | SH | DFND | 0 | 11,738 | 0 | ||
NUVEEN OHIO QLTY MUN INCOME | COM | 670980101 | 523 | 34,898 | SH | DFND | 0 | 34,898 | 0 | ||
OMEROS CORP | COM | 682143102 | 11 | 20,000 | SH | Put | DFND | 0 | 20,000 | 0 | |
ONEOK INC NEW | COM | 682680103 | 5,574 | 106,872 | SH | DFND | 0 | 106,872 | 0 | ||
PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 718549207 | 6,059 | 122,600 | SH | DFND | 0 | 122,600 | 0 | ||
PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 7,668 | 291,900 | SH | DFND | 0 | 291,900 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 4,629 | 71,300 | SH | DFND | 0 | 71,300 | 0 | ||
SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 822634101 | 5,987 | 197,600 | SH | DFND | 0 | 197,600 | 0 | ||
SIGNET JEWELERS LIMITED | SHS | G81276100 | 1 | 10,000 | SH | Put | DFND | 0 | 10,000 | 0 | |
SONOMA PHARMACEUTICALS INC | *W EXP 01/21/202 | 83558L113 | 10 | 22,127 | SH | DFND | 0 | 22,127 | 0 | ||
SOURCE CAP INC | COM | 836144105 | 921 | 23,832 | SH | DFND | 0 | 23,832 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 2 | 20,000 | SH | Put | DFND | 0 | 20,000 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 23 | 20,000 | SH | Call | DFND | 0 | 20,000 | 0 | |
SPECTRA ENERGY PARTNERS LP | COM | 84756N109 | 13,153 | 306,600 | SH | DFND | 0 | 306,600 | 0 | ||
SWISS HELVETIA FD INC | COM | 870875101 | 314 | 24,687 | SH | DFND | 0 | 24,687 | 0 | ||
TC PIPELINES LP | UT COM LTD PRT | 87233Q108 | 8,514 | 154,800 | SH | DFND | 0 | 154,800 | 0 | ||
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 46 | 150,000 | SH | Put | DFND | 0 | 150,000 | 0 | |
VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 357 | 33,002 | SH | DFND | 0 | 33,002 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 388 | 35,187 | SH | DFND | 0 | 35,187 | 0 | ||
WILLIAMS PARTNERS L P NEW | COM UNIT LTD PAR | 96949L105 | 6,614 | 164,900 | SH | DFND | 0 | 164,900 | 0 | ||
WPX ENERGY INC | COM | 98212B103 | 4 | 10,000 | SH | Put | DFND | 0 | 10,000 | 0 |