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 |
ABBOTT LABS | COM | 002824100 | 36 | 948 | SH | SOLE | 0 | 0 | 948 | ||
ABBVIE INC | COM | 00287Y109 | 48 | 913 | SH | SOLE | 0 | 0 | 913 | ||
ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 | 53 | 647 | SH | SOLE | 0 | 0 | 647 | ||
AERCAP HOLDINGS NV | SHS | N00985106 | 98 | 2,547 | SH | SOLE | 0 | 0 | 2,547 | ||
ALTISOURCE PORTFOLIO SOLNS S | REG SHS | L0175J104 | 54 | 342 | SH | SOLE | 0 | 0 | 342 | ||
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 1,514 | 86,694 | SH | SOLE | 0 | 0 | 86,694 | ||
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 3,703 | 212,062 | SH | DFND | 1 | 0 | 0 | 212,062 | |
AMERICAN CAP LTD | COM | 02503Y103 | 32 | 2,018 | SH | SOLE | 0 | 0 | 2,018 | ||
ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 03524A108 | 53 | 498 | SH | SOLE | 0 | 0 | 498 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 848 | 52,185 | SH | SOLE | 0 | 0 | 52,185 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 2,193 | 134,949 | SH | DFND | 1 | 0 | 0 | 134,949 | |
ARES CAP CORP | COM | 04010L103 | 1,686 | 94,904 | SH | SOLE | 0 | 0 | 94,904 | ||
ARES CAP CORP | COM | 04010L103 | 4,385 | 246,759 | SH | DFND | 1 | 0 | 0 | 246,759 | |
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 49 | 817 | SH | SOLE | 0 | 0 | 817 | ||
AT&T INC | COM | 00206R102 | 4 | 121 | SH | SOLE | 0 | 0 | 121 | ||
ATHENAHEALTH INC | COM | 04685W103 | 109 | 811 | SH | SOLE | 0 | 0 | 811 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 1,139 | 64,767 | SH | SOLE | 0 | 0 | 64,767 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 2,689 | 152,979 | SH | DFND | 1 | 0 | 0 | 152,979 | |
AVG TECHNOLOGIES N V | SHS | N07831105 | 37 | 2,144 | SH | SOLE | 0 | 0 | 2,144 | ||
BANK MONTREAL QUE | COM | 063671101 | 51 | 760 | SH | SOLE | 0 | 0 | 760 | ||
BECTON DICKINSON & CO | COM | 075887109 | 36 | 326 | SH | SOLE | 0 | 0 | 326 | ||
BLACKROCK CORPOR HI YLD FD V | COM | 09255P107 | 643 | 52,843 | SH | SOLE | 0 | 0 | 52,843 | ||
BLACKROCK CORPOR HI YLD FD V | COM | 09255P107 | 1,805 | 148,343 | SH | DFND | 1 | 0 | 0 | 148,343 | |
BLACKROCK DEBT STRAT FD INC | COM | 09255R103 | 28 | 7,107 | SH | SOLE | 0 | 0 | 7,107 | ||
BLACKROCK KELSO CAPITAL CORP | COM | 092533108 | 5 | 520 | SH | SOLE | 0 | 0 | 520 | ||
BP PLC | SPONSORED ADR | 055622104 | 33 | 676 | SH | SOLE | 0 | 0 | 676 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 1,495 | 18,777 | SH | SOLE | 0 | 0 | 18,777 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 3,991 | 50,116 | SH | DFND | 1 | 0 | 0 | 50,116 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 71 | 1,341 | SH | SOLE | 0 | 0 | 1,341 | ||
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 793 | 65,657 | SH | SOLE | 0 | 0 | 65,657 | ||
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 2,073 | 171,576 | SH | DFND | 1 | 0 | 0 | 171,576 | |
GROUPE CGI INC | CL A SUB VTG | 39945C109 | 46 | 1,366 | SH | SOLE | 0 | 0 | 1,366 | ||
CITIGROUP INC | COM NEW | 172967424 | 39 | 750 | SH | SOLE | 0 | 0 | 750 | ||
CONOCOPHILLIPS | COM | 20825C104 | 38 | 544 | SH | SOLE | 0 | 0 | 544 | ||
CONSTELLIUM HOLDCO B V | CL A | N22035104 | 53 | 2,295 | SH | SOLE | 0 | 0 | 2,295 | ||
COVIDIEN PLC | SHS | G2554F113 | 49 | 721 | SH | SOLE | 0 | 0 | 721 | ||
CVR PARTNERS LP | COM | 126633106 | 918 | 55,771 | SH | SOLE | 0 | 0 | 55,771 | ||
CVR PARTNERS LP | COM | 126633106 | 2,317 | 140,738 | SH | DFND | 1 | 0 | 0 | 140,738 | |
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 890 | 39,348 | SH | SOLE | 0 | 0 | 39,348 | ||
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 2,159 | 95,427 | SH | DFND | 1 | 0 | 0 | 95,427 | |
DANAHER CORP DEL | COM | 235851102 | 37 | 485 | SH | SOLE | 0 | 0 | 485 | ||
DIAGEO P L C | SPON ADR NEW | 25243Q205 | 46 | 349 | SH | SOLE | 0 | 0 | 349 | ||
EATON CORP PLC | SHS | G29183103 | 64 | 846 | SH | SOLE | 0 | 0 | 846 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 51 | 3,350 | SH | SOLE | 0 | 0 | 3,350 | ||
EMERSON ELEC CO | COM | 291011104 | 52 | 738 | SH | SOLE | 0 | 0 | 738 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 1,509 | 30,691 | SH | SOLE | 0 | 0 | 30,691 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 4,407 | 89,637 | SH | DFND | 1 | 0 | 0 | 89,637 | |
EXXON MOBIL CORP | COM | 30231G102 | 30 | 299 | SH | SOLE | 0 | 0 | 299 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 785 | 84,856 | SH | SOLE | 0 | 0 | 84,856 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 1,810 | 195,679 | SH | DFND | 1 | 0 | 0 | 195,679 | |
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 874 | 62,199 | SH | SOLE | 0 | 0 | 62,199 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 1,598 | 113,740 | SH | DFND | 1 | 0 | 0 | 113,740 | |
FLY LEASING LTD | SPONSORED ADR | 34407D109 | 48 | 3,016 | SH | SOLE | 0 | 0 | 3,016 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 1,792 | 385,415 | SH | SOLE | 0 | 0 | 385,415 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 4,487 | 964,864 | SH | DFND | 1 | 0 | 0 | 964,864 | |
GARMIN LTD | SHS | H2906T109 | 40 | 871 | SH | SOLE | 0 | 0 | 871 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 48 | 1,711 | SH | SOLE | 0 | 0 | 1,711 | ||
HARRIS CORP DEL | COM | 413875105 | 75 | 1,068 | SH | SOLE | 0 | 0 | 1,068 | ||
HEWLETT PACKARD CO | COM | 428236103 | 57 | 2,027 | SH | SOLE | 0 | 0 | 2,027 | ||
HOLLYFRONTIER CORP | COM | 436106108 | 914 | 18,400 | SH | SOLE | 0 | 0 | 18,400 | ||
HOLLYFRONTIER CORP | COM | 436106108 | 2,394 | 48,186 | SH | DFND | 1 | 0 | 0 | 48,186 | |
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 1,421 | 52,581 | SH | SOLE | 0 | 0 | 52,581 | ||
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 4,117 | 152,297 | SH | DFND | 1 | 0 | 0 | 152,297 | |
INDUSTRIAS BACHOCO S A B DE | SPON ADR B | 456463108 | 48 | 1,181 | SH | SOLE | 0 | 0 | 1,181 | ||
INTEL CORP | COM | 458140100 | 44 | 1,686 | SH | SOLE | 0 | 0 | 1,686 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 36 | 193 | SH | SOLE | 0 | 0 | 193 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 687 | 46,831 | SH | SOLE | 0 | 0 | 46,831 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 1,981 | 134,949 | SH | DFND | 1 | 0 | 0 | 134,949 | |
INVESCO MUNI INCOME OPP TRST | COM | 46132X101 | 486 | 78,390 | SH | SOLE | 0 | 0 | 78,390 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 35 | 602 | SH | SOLE | 0 | 0 | 602 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 1,719 | 70,622 | SH | SOLE | 0 | 0 | 70,622 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 5,162 | 212,064 | SH | DFND | 1 | 0 | 0 | 212,064 | |
MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 | 47 | 2,398 | SH | SOLE | 0 | 0 | 2,398 | ||
MASCO CORP | COM | 574599106 | 44 | 1,946 | SH | SOLE | 0 | 0 | 1,946 | ||
MCDONALDS CORP | COM | 580135101 | 31 | 324 | SH | SOLE | 0 | 0 | 324 | ||
MERCK & CO INC NEW | COM | 58933Y105 | 48 | 960 | SH | SOLE | 0 | 0 | 960 | ||
MICROSOFT CORP | COM | 594918104 | 46 | 1,226 | SH | SOLE | 0 | 0 | 1,226 | ||
MOODYS CORP | COM | 615369105 | 19 | 240 | SH | SOLE | 0 | 0 | 240 | ||
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 1,577 | 121,110 | SH | SOLE | 0 | 0 | 121,110 | ||
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 4,393 | 337,370 | SH | DFND | 1 | 0 | 0 | 337,370 | |
MYLAN INC | COM | 628530107 | 50 | 1,141 | SH | SOLE | 0 | 0 | 1,141 | ||
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 1,415 | 74,000 | SH | SOLE | 0 | 0 | 74,000 | ||
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 3,502 | 183,135 | SH | DFND | 1 | 0 | 0 | 183,135 | |
NIPPON TELEG & TEL CORP | SPONSORED ADR | 654624105 | 48 | 1,777 | SH | SOLE | 0 | 0 | 1,777 | ||
NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | 995 | 67,436 | SH | SOLE | 0 | 0 | 67,436 | ||
NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | 2,376 | 160,981 | SH | DFND | 1 | 0 | 0 | 160,981 | |
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 840 | 34,150 | SH | SOLE | 0 | 0 | 34,150 | ||
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 2,181 | 88,673 | SH | DFND | 1 | 0 | 0 | 88,673 | |
NOVARTIS A G | SPONSORED ADR | 66987V109 | 53 | 658 | SH | SOLE | 0 | 0 | 658 | ||
NU SKIN ENTERPRISES INC | CL A | 67018T105 | 110 | 797 | SH | SOLE | 0 | 0 | 797 | ||
NUSTAR ENERGY LP | UNIT COM | 67058H102 | 1,194 | 23,415 | SH | SOLE | 0 | 0 | 23,415 | ||
NUSTAR ENERGY LP | UNIT COM | 67058H102 | 2,900 | 56,870 | SH | DFND | 1 | 0 | 0 | 56,870 | |
NUVEEN DIVER CURRENCY OPPOR | COM | 67090N109 | 863 | 85,605 | SH | SOLE | 0 | 0 | 85,605 | ||
NUVEEN DIVER CURRENCY OPPOR | COM | 67090N109 | 2,138 | 212,065 | SH | DFND | 1 | 0 | 0 | 212,065 | |
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 758 | 85,510 | SH | SOLE | 0 | 0 | 85,510 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 2,223 | 250,622 | SH | DFND | 1 | 0 | 0 | 250,622 | |
NUVEEN PREM INCOME MUN FD 2 | COM | 67063W102 | 11 | 900 | SH | SOLE | 0 | 0 | 900 | ||
OCH ZIFF CAP MGMT GROUP | CL A | 67551U105 | 1,085 | 73,317 | SH | SOLE | 0 | 0 | 73,317 | ||
OCH ZIFF CAP MGMT GROUP | CL A | 67551U105 | 2,853 | 192,784 | SH | DFND | 1 | 0 | 0 | 192,784 | |
OPEN TEXT CORP | COM | 683715106 | 59 | 643 | SH | SOLE | 0 | 0 | 643 | ||
PFIZER INC | COM | 717081103 | 36 | 1,180 | SH | SOLE | 0 | 0 | 1,180 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 47 | 576 | SH | SOLE | 0 | 0 | 576 | ||
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 1,642 | 146,324 | SH | SOLE | 0 | 0 | 146,324 | ||
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 4,110 | 366,289 | SH | DFND | 1 | 0 | 0 | 366,289 | |
PRUDENTIAL PLC | ADR | 74435K204 | 59 | 1,320 | SH | SOLE | 0 | 0 | 1,320 | ||
PUTNAM MANAGED MUN INCOM TR | COM | 746823103 | 240 | 36,180 | SH | SOLE | 0 | 0 | 36,180 | ||
PVR PARTNERS L P | COM UNIT REPTG L | 693665101 | 864 | 32,199 | SH | SOLE | 0 | 0 | 32,199 | ||
PVR PARTNERS L P | COM UNIT REPTG L | 693665101 | 2,493 | 92,910 | SH | DFND | 1 | 0 | 0 | 92,910 | |
REED ELSEVIER N V | SPONS ADR NEW | 758204200 | 57 | 1,329 | SH | SOLE | 0 | 0 | 1,329 | ||
ROYAL DUTCH SHELL PLC | SPONS ADR A | 780259206 | 39 | 547 | SH | SOLE | 0 | 0 | 547 | ||
SANOFI | RIGHT 12/31/2020 | 80105N113 | 0 | 100 | SH | SOLE | 0 | 0 | 100 | ||
SANOFI | SPONSORED ADR | 80105N105 | 55 | 1,028 | SH | SOLE | 0 | 0 | 1,028 | ||
SAP AG | SPON ADR | 803054204 | 51 | 591 | SH | SOLE | 0 | 0 | 591 | ||
SEADRILL LIMITED | SHS | G7945E105 | 1,436 | 34,951 | SH | SOLE | 0 | 0 | 34,951 | ||
SEADRILL LIMITED | SHS | G7945E105 | 4,237 | 103,146 | SH | DFND | 1 | 0 | 0 | 103,146 | |
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 1,244 | 55,968 | SH | SOLE | 0 | 0 | 55,968 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 3,557 | 160,017 | SH | DFND | 1 | 0 | 0 | 160,017 | |
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 813 | 49,633 | SH | SOLE | 0 | 0 | 49,633 | ||
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 2,116 | 129,159 | SH | DFND | 1 | 0 | 0 | 129,159 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 20 | 170 | SH | SOLE | 0 | 0 | 170 | ||
SPECTRA ENERGY CORP | COM | 847560109 | 32 | 895 | SH | SOLE | 0 | 0 | 895 | ||
SPX CORP | COM | 784635104 | 47 | 471 | SH | SOLE | 0 | 0 | 471 | ||
STANTEC INC | COM | 85472N109 | 47 | 761 | SH | SOLE | 0 | 0 | 761 | ||
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 362 | 19,780 | SH | SOLE | 0 | 0 | 19,780 | ||
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,060 | 57,840 | SH | DFND | 1 | 0 | 0 | 57,840 | |
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 1,032 | 40,457 | SH | SOLE | 0 | 0 | 40,457 | ||
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 2,460 | 96,392 | SH | DFND | 1 | 0 | 0 | 96,392 | |
SUMITOMO MITSUI FINL GROUP I | SPONSORED ADR | 86562M209 | 50 | 4,728 | SH | SOLE | 0 | 0 | 4,728 | ||
TARO PHARMACEUTICAL INDS LTD | SHS | M8737E108 | 52 | 523 | SH | SOLE | 0 | 0 | 523 | ||
TE CONNECTIVITY LTD | REG SHS | H84989104 | 58 | 1,045 | SH | SOLE | 0 | 0 | 1,045 | ||
TEEKAY LNG PARTNERS L P | PRTNRSP UNITS | Y8564M105 | 859 | 20,111 | SH | SOLE | 0 | 0 | 20,111 | ||
TEEKAY LNG PARTNERS L P | PRTNRSP UNITS | Y8564M105 | 2,182 | 51,081 | SH | DFND | 1 | 0 | 0 | 51,081 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 56 | 507 | SH | SOLE | 0 | 0 | 507 | ||
TOTAL S A | SPONSORED ADR | 89151E109 | 50 | 808 | SH | SOLE | 0 | 0 | 808 | ||
TOYOTA MOTOR CORP | SP ADR REP2COM | 892331307 | 55 | 455 | SH | SOLE | 0 | 0 | 455 | ||
TUPPERWARE BRANDS CORP | COM | 899896104 | 25 | 261 | SH | SOLE | 0 | 0 | 261 | ||
TYCO INTERNATIONAL LTD | SHS | H89128104 | 55 | 1,344 | SH | SOLE | 0 | 0 | 1,344 | ||
UNITED PARCEL SERVICE INC | CL B | 911312106 | 35 | 334 | SH | SOLE | 0 | 0 | 334 | ||
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 1,668 | 56,505 | SH | SOLE | 0 | 0 | 56,505 | ||
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 4,268 | 144,578 | SH | DFND | 1 | 0 | 0 | 144,578 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 37 | 760 | SH | SOLE | 0 | 0 | 760 | ||
WELLS FARGO ADVANTAGE MULTI | COM SHS | 94987D101 | 20 | 1,400 | SH | SOLE | 0 | 0 | 1,400 | ||
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 391 | 33,060 | SH | SOLE | 0 | 0 | 33,060 | ||
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,141 | 96,380 | SH | DFND | 1 | 0 | 0 | 96,380 | |
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 723 | 59,040 | SH | SOLE | 0 | 0 | 59,040 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,124 | 173,507 | SH | DFND | 1 | 0 | 0 | 173,507 | |
WHITESTONE REIT | COM | 966084204 | 332 | 24,820 | SH | SOLE | 0 | 0 | 24,820 | ||
WHITESTONE REIT | COM | 966084204 | 967 | 72,289 | SH | DFND | 1 | 0 | 0 | 72,289 | |
WINDSTREAM HLDGS INC | COM | 97382A101 | 29 | 3,614 | SH | SOLE | 0 | 0 | 3,614 | ||
WPP PLC NEW | ADR | 92937A102 | 55 | 476 | SH | SOLE | 0 | 0 | 476 | ||
XINYUAN REAL ESTATE CO LTD | SPONS ADR | 98417P105 | 46 | 8,506 | SH | SOLE | 0 | 0 | 8,506 |