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 |
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 4,385 | 219,052 | SH | DFND | 1 | 0 | 0 | 219,052 | |
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 3,729 | 186,244 | SH | SOLE | 101,119 | 0 | 85,125 | ||
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 4,684 | 373,860 | SH | DFND | 1 | 0 | 0 | 373,860 | |
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 3,744 | 298,835 | SH | SOLE | 176,770 | 0 | 122,065 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 2,299 | 139,399 | SH | DFND | 1 | 0 | 0 | 139,399 | |
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 1,885 | 114,340 | SH | SOLE | 64,361 | 0 | 49,979 | ||
ARES CAP CORP | COM | 04010L103 | 4,552 | 254,899 | SH | DFND | 1 | 0 | 0 | 254,899 | |
ARES CAP CORP | COM | 04010L103 | 3,748 | 209,829 | SH | SOLE | 117,640 | 0 | 92,189 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 2,841 | 158,019 | SH | DFND | 1 | 0 | 0 | 158,019 | |
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 2,436 | 135,461 | SH | SOLE | 72,966 | 0 | 62,495 | ||
BANCO SANTANDER SA | ADR | 05964H105 | 2,649 | 254,226 | SH | DFND | 1 | 0 | 0 | 254,226 | |
BANCO SANTANDER SA | ADR | 05964H105 | 2,074 | 199,042 | SH | SOLE | 117,365 | 0 | 81,677 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,883 | 153,243 | SH | DFND | 1 | 0 | 0 | 153,243 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,503 | 122,289 | SH | SOLE | 70,763 | 0 | 51,526 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 5,123 | 51,776 | SH | DFND | 1 | 0 | 0 | 51,776 | |
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 4,181 | 42,256 | SH | SOLE | 23,886 | 0 | 18,370 | ||
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 2,331 | 177,236 | SH | DFND | 1 | 0 | 0 | 177,236 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 1,920 | 146,009 | SH | SOLE | 81,845 | 0 | 64,164 | ||
CVR PARTNERS LP | COM | 126633106 | 2,717 | 145,368 | SH | DFND | 1 | 0 | 0 | 145,368 | |
CVR PARTNERS LP | COM | 126633106 | 2,275 | 121,698 | SH | SOLE | 67,115 | 0 | 54,583 | ||
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 2,465 | 98,577 | SH | DFND | 1 | 0 | 0 | 98,577 | |
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 2,102 | 84,028 | SH | SOLE | 45,500 | 0 | 38,528 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 5,173 | 92,597 | SH | DFND | 1 | 0 | 0 | 92,597 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 4,045 | 72,407 | SH | SOLE | 42,747 | 0 | 29,660 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 1,987 | 202,129 | SH | DFND | 1 | 0 | 0 | 202,129 | |
FIFTH STREET FINANCE CORP | COM | 31678A103 | 1,739 | 176,865 | SH | SOLE | 93,341 | 0 | 83,524 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 5,821 | 996,704 | SH | DFND | 1 | 0 | 0 | 996,704 | |
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 4,861 | 832,404 | SH | SOLE | 460,097 | 0 | 372,307 | ||
HOLLYFRONTIER CORP | COM | 436106108 | 2,175 | 49,786 | SH | DFND | 1 | 0 | 0 | 49,786 | |
HOLLYFRONTIER CORP | COM | 436106108 | 1,789 | 40,948 | SH | SOLE | 22,991 | 0 | 17,957 | ||
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 4,782 | 157,317 | SH | DFND | 1 | 0 | 0 | 157,317 | |
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 3,763 | 123,798 | SH | SOLE | 72,621 | 0 | 51,177 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 2,420 | 139,399 | SH | DFND | 1 | 0 | 0 | 139,399 | |
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 1,909 | 109,976 | SH | SOLE | 64,361 | 0 | 45,615 | ||
INVESCO MUNI INCOME OPP TRST | COM | 46132X101 | 556 | 79,890 | SH | SOLE | 0 | 0 | 79,890 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 5,330 | 219,054 | SH | DFND | 1 | 0 | 0 | 219,054 | |
KKR & CO L P DEL | COM UNITS | 48248M102 | 4,100 | 168,523 | SH | SOLE | 101,119 | 0 | 67,404 | ||
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 4,642 | 348,500 | SH | DFND | 1 | 0 | 0 | 348,500 | |
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 3,795 | 284,877 | SH | SOLE | 160,869 | 0 | 124,008 | ||
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 3,678 | 189,185 | SH | DFND | 1 | 0 | 0 | 189,185 | |
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 3,103 | 159,639 | SH | SOLE | 87,352 | 0 | 72,287 | ||
NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | 2,559 | 166,281 | SH | DFND | 1 | 0 | 0 | 166,281 | |
NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | 2,195 | 142,652 | SH | SOLE | 76,752 | 0 | 65,900 | ||
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 2,449 | 91,603 | SH | DFND | 1 | 0 | 0 | 91,603 | |
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 2,109 | 78,855 | SH | SOLE | 42,265 | 0 | 36,590 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 2,511 | 258,882 | SH | DFND | 1 | 0 | 0 | 258,882 | |
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 1,967 | 202,827 | SH | SOLE | 119,498 | 0 | 83,329 | ||
OCH ZIFF CAP MGMT GROUP | CL A | 67551U105 | 2,754 | 199,144 | SH | DFND | 1 | 0 | 0 | 199,144 | |
OCH ZIFF CAP MGMT GROUP | CL A | 67551U105 | 2,265 | 163,743 | SH | SOLE | 91,964 | 0 | 71,779 | ||
PETROLOGISTICS LP | UNIT LTD PTH INT | 71672U101 | 2,808 | 195,570 | SH | DFND | 1 | 0 | 0 | 195,570 | |
PETROLOGISTICS LP | UNIT LTD PTH INT | 71672U101 | 2,396 | 166,846 | SH | SOLE | 89,624 | 0 | 77,222 | ||
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 4,022 | 378,369 | SH | DFND | 1 | 0 | 0 | 378,369 | |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 3,412 | 320,956 | SH | SOLE | 174,705 | 0 | 146,251 | ||
PUTNAM MANAGED MUN INCOM TR | COM | 746823103 | 289 | 40,270 | SH | SOLE | 0 | 0 | 40,270 | ||
REGENCY ENERGY PARTNERS L P | COM UNITS L P | 75885Y107 | 3,154 | 97,909 | SH | DFND | 1 | 0 | 0 | 97,909 | |
REGENCY ENERGY PARTNERS L P | COM UNITS L P | 75885Y107 | 2,480 | 77,010 | SH | SOLE | 45,156 | 0 | 31,854 | ||
SEADRILL LIMITED | SHS | G7945E105 | 4,256 | 106,536 | SH | DFND | 1 | 0 | 0 | 106,536 | |
SEADRILL LIMITED | SHS | G7945E105 | 3,332 | 83,399 | SH | SOLE | 49,217 | 0 | 34,182 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,562 | 105,457 | SH | DFND | 1 | 0 | 0 | 105,457 | |
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,020 | 83,163 | SH | SOLE | 48,736 | 0 | 34,427 | ||
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 2,480 | 133,429 | SH | DFND | 1 | 0 | 0 | 133,429 | |
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 2,047 | 110,105 | SH | SOLE | 61,608 | 0 | 48,497 | ||
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,259 | 59,740 | SH | DFND | 1 | 0 | 0 | 59,740 | |
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,187 | 56,295 | SH | SOLE | 27,603 | 0 | 28,692 | ||
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 2,413 | 99,572 | SH | DFND | 1 | 0 | 0 | 99,572 | |
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 2,073 | 85,550 | SH | SOLE | 45,982 | 0 | 39,568 | ||
STUDENT TRANSN INC | COM | 86388A108 | 1,231 | 185,931 | SH | DFND | 1 | 0 | 0 | 185,931 | |
STUDENT TRANSN INC | COM | 86388A108 | 964 | 145,660 | SH | SOLE | 85,976 | 0 | 59,684 | ||
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 2,012 | 13,940 | SH | DFND | 1 | 0 | 0 | 13,940 | |
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 1,652 | 11,448 | SH | SOLE | 6,402 | 0 | 5,046 | ||
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 4,809 | 149,358 | SH | DFND | 1 | 0 | 0 | 149,358 | |
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 3,986 | 123,797 | SH | SOLE | 68,973 | 0 | 54,824 | ||
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,287 | 99,570 | SH | DFND | 1 | 0 | 0 | 99,570 | |
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,010 | 78,136 | SH | SOLE | 45,982 | 0 | 32,154 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,303 | 179,227 | SH | DFND | 1 | 0 | 0 | 179,227 | |
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 1,803 | 140,311 | SH | SOLE | 82,740 | 0 | 57,571 | ||
WHITESTONE REIT | COM | 966084204 | 1,113 | 74,679 | SH | DFND | 1 | 0 | 0 | 74,679 | |
WHITESTONE REIT | COM | 966084204 | 874 | 58,630 | SH | SOLE | 34,487 | 0 | 24,143 |