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 | 84 | 10,000 | SH | DFND | 0 | 10,000 | 0 | ||
ABERDEEN SINGAPORE FD INC | COM | 003244100 | 395 | 33,900 | SH | DFND | 0 | 33,900 | 0 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1 | 286,400 | SH | Put | DFND | 0 | 286,400 | 0 | |
ANTERO RES CORP | COM | 03674X106 | 1,660 | 83,400 | SH | DFND | 0 | 83,400 | 0 | ||
ASSURED GUARANTY LTD | COM | G0585R106 | 72 | 20,000 | SH | Put | DFND | 0 | 20,000 | 0 | |
BARCLAYS BK PLC | IPATH S&P500 VIX | 06746L422 | 1,265 | 300,000 | SH | Put | DFND | 0 | 300,000 | 0 | |
BLACKROCK MUNI N Y INTER DUR | COM | 09255F109 | 182 | 12,977 | SH | DFND | 0 | 12,977 | 0 | ||
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 7,062 | 123,900 | SH | DFND | 0 | 123,900 | 0 | ||
CALIFORNIA RES CORP | COM NEW | 13057Q206 | 227 | 21,700 | SH | DFND | 0 | 21,700 | 0 | ||
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 844 | 57,000 | SH | DFND | 0 | 57,000 | 0 | ||
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 834 | 57,000 | SH | DFND | 0 | 57,000 | 0 | ||
DOMINION ENERGY MIDSTRM PRTN | COM UT REP LTD | 257454108 | 643 | 20,093 | SH | DFND | 0 | 20,093 | 0 | ||
DOUBLE EAGLE ACQUISITION COR | COM | G28195124 | 481 | 47,667 | SH | DFND | 0 | 47,667 | 0 | ||
EATON VANCE CA MUNI INCOME T | SH BEN INT | 27826F101 | 415 | 33,235 | SH | DFND | 0 | 33,235 | 0 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828C106 | 175 | 14,485 | SH | DFND | 0 | 14,485 | 0 | ||
EATON VANCE NY MUNI INCOME T | SH BEN INT | 27826W104 | 179 | 13,600 | SH | DFND | 0 | 13,600 | 0 | ||
ENBRIDGE ENERGY PARTNERS L P | COM | 29250R106 | 2,181 | 136,500 | SH | DFND | 0 | 136,500 | 0 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 13,397 | 513,900 | SH | DFND | 0 | 513,900 | 0 | ||
EQT MIDSTREAM PARTNERS LP | UNIT LTD PARTN | 26885B100 | 13,659 | 182,190 | SH | DFND | 0 | 182,190 | 0 | ||
EVERI HLDGS INC | COM | 30034T103 | 1,927 | 253,928 | SH | DFND | 0 | 253,928 | 0 | ||
FIFTH STR SR FLOATNG RATE CO | COM | 31679F101 | 459 | 52,200 | SH | DFND | 0 | 52,200 | 0 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 469 | 85,821 | SH | DFND | 0 | 85,821 | 0 | ||
GENERAL CABLE CORP DEL NEW | FRNT 4.500%11/1 | 369300AL2 | 1,775 | 2,000,000 | PRN | DFND | 0 | 2,000,000 | 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 | 2,435 | 72,900 | SH | DFND | 0 | 72,900 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 242 | 20,300 | SH | DFND | 0 | 20,300 | 0 | ||
INVESCO PA VALUE MUN INCOME | COM | 46132K109 | 834 | 67,746 | SH | DFND | 0 | 67,746 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 76 | 17,000 | SH | DFND | 0 | 17,000 | 0 | ||
INVESCO TR INVT GRADE NY MUN | COM | 46131T101 | 315 | 23,000 | SH | DFND | 0 | 23,000 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 5,377 | 120,000 | SH | DFND | 0 | 120,000 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 24,853 | 280,000 | SH | DFND | 0 | 280,000 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 16 | 150,000 | SH | Put | DFND | 0 | 150,000 | 0 | |
JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 11,006 | 390,000 | SH | DFND | 0 | 390,000 | 0 | ||
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 6,035 | 8,500,000 | PRN | DFND | 0 | 8,500,000 | 0 | ||
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 13,767 | 193,740 | SH | DFND | 0 | 193,740 | 0 | ||
MBIA INC | COM | 55262C100 | 31 | 100,000 | SH | Put | DFND | 0 | 100,000 | 0 | |
MPLX LP | COM UNIT REP LTD | 55336V100 | 1,058 | 30,227 | SH | DFND | 0 | 30,227 | 0 | ||
NEUBERGER BERMAN NY INT MUN | COM | 64124K102 | 670 | 52,927 | SH | DFND | 0 | 52,927 | 0 | ||
NUVEEN OHIO QLTY MUN INCOME | COM | 670980101 | 526 | 34,898 | SH | DFND | 0 | 34,898 | 0 | ||
ONEOK INC NEW | COM | 682680103 | 331 | 5,972 | SH | DFND | 0 | 5,972 | 0 | ||
PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 718549207 | 4,129 | 78,549 | SH | DFND | 0 | 78,549 | 0 | ||
PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 6,185 | 291,900 | SH | DFND | 0 | 291,900 | 0 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 4,883 | 71,300 | SH | DFND | 0 | 71,300 | 0 | ||
SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 822634101 | 5,501 | 197,600 | SH | DFND | 0 | 197,600 | 0 | ||
SOURCE CAP INC | COM | 836144105 | 785 | 19,511 | SH | DFND | 0 | 19,511 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 10 | 60,000 | SH | Put | DFND | 0 | 60,000 | 0 | |
SPECTRA ENERGY PARTNERS LP | COM | 84756N109 | 9,803 | 220,893 | SH | DFND | 0 | 220,893 | 0 | ||
STELLAR ACQUISITION III INC | COM | Y8172W107 | 179 | 17,600 | SH | DFND | 0 | 17,600 | 0 | ||
SWISS HELVETIA FD INC | COM | 870875101 | 315 | 24,687 | SH | DFND | 0 | 24,687 | 0 | ||
TC PIPELINES LP | UT COM LTD PRT | 87233Q108 | 5,225 | 99,860 | SH | DFND | 0 | 99,860 | 0 | ||
UBIQUITI NETWORKS INC | COM | 90347A100 | 13 | 10,000 | SH | Put | DFND | 0 | 10,000 | 0 | |
URBAN ONE INC | CL A | 91705J105 | 23 | 13,930 | SH | DFND | 0 | 13,930 | 0 | ||
URBAN ONE INC | CL D NON VTG | 91705J204 | 497 | 301,310 | SH | DFND | 0 | 301,310 | 0 | ||
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 2 | 150,000 | SH | Put | DFND | 0 | 150,000 | 0 | |
VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 322 | 27,949 | SH | DFND | 0 | 27,949 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 78 | 15,000 | SH | DFND | 0 | 15,000 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 397 | 35,187 | SH | DFND | 0 | 35,187 | 0 | ||
WILLIAMS PARTNERS L P NEW | COM UNIT LTD PAR | 96949L105 | 6,415 | 164,900 | SH | DFND | 0 | 164,900 | 0 | ||
WPX ENERGY INC | COM | 98212B103 | 0 | 10,000 | SH | Put | DFND | 0 | 10,000 | 0 |