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 | 4,713 | 250,404 | SH | SOLE | 161,088 | 0 | 89,316 | ||
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 4,123 | 219,052 | SH | DFND | 1 | 0 | 0 | 219,052 | |
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 4,941 | 409,693 | SH | SOLE | 282,356 | 0 | 127,337 | ||
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 4,509 | 373,860 | SH | DFND | 1 | 0 | 0 | 373,860 | |
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 2,462 | 156,701 | SH | SOLE | 104,553 | 0 | 52,148 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 2,190 | 139,399 | SH | DFND | 1 | 0 | 0 | 139,399 | |
ARES CAP CORP | COM | 04010L103 | 5,188 | 321,011 | SH | SOLE | 214,795 | 0 | 106,216 | ||
ARES CAP CORP | COM | 04010L103 | 4,501 | 278,499 | SH | DFND | 1 | 0 | 0 | 278,499 | |
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 1,652 | 98,350 | SH | SOLE | 68,074 | 0 | 30,276 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 1,733 | 103,174 | SH | DFND | 1 | 0 | 0 | 103,174 | |
BANCO SANTANDER SA | ADR | 05964H105 | 5,266 | 554,362 | SH | SOLE | 370,748 | 0 | 183,614 | ||
BANCO SANTANDER SA | ADR | 05964H105 | 4,566 | 480,614 | SH | DFND | 1 | 0 | 0 | 480,614 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,995 | 168,633 | SH | SOLE | 114,933 | 0 | 53,700 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,813 | 153,243 | SH | DFND | 1 | 0 | 0 | 153,243 | |
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 5,438 | 57,715 | SH | SOLE | 38,535 | 0 | 19,180 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 4,879 | 51,776 | SH | DFND | 1 | 0 | 0 | 51,776 | |
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 2,573 | 93,719 | SH | SOLE | 64,577 | 0 | 29,142 | ||
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 2,284 | 83,200 | SH | DFND | 1 | 0 | 0 | 83,200 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 2,410 | 196,867 | SH | SOLE | 130,268 | 0 | 66,599 | ||
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 2,169 | 177,236 | SH | DFND | 1 | 0 | 0 | 177,236 | |
CVR PARTNERS LP | COM | 126633106 | 2,238 | 163,016 | SH | SOLE | 106,096 | 0 | 56,920 | ||
CVR PARTNERS LP | COM | 126633106 | 1,996 | 145,368 | SH | DFND | 1 | 0 | 0 | 145,368 | |
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 2,616 | 112,366 | SH | SOLE | 72,391 | 0 | 39,975 | ||
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 2,295 | 98,577 | SH | DFND | 1 | 0 | 0 | 98,577 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 4,971 | 98,091 | SH | SOLE | 67,561 | 0 | 30,530 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 4,693 | 92,597 | SH | DFND | 1 | 0 | 0 | 92,597 | |
FIFTH STREET FINANCE CORP | COM | 31678A103 | 2,202 | 239,826 | SH | SOLE | 151,254 | 0 | 88,572 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 1,856 | 202,129 | SH | DFND | 1 | 0 | 0 | 202,129 | |
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 6,772 | 1,040,257 | SH | SOLE | 685,610 | 0 | 354,647 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 6,489 | 996,704 | SH | DFND | 1 | 0 | 0 | 996,704 | |
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 4,582 | 170,658 | SH | SOLE | 117,423 | 0 | 53,235 | ||
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 4,224 | 157,317 | SH | DFND | 1 | 0 | 0 | 157,317 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,289 | 104,343 | SH | SOLE | 71,975 | 0 | 32,368 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,164 | 94,250 | SH | DFND | 1 | 0 | 0 | 94,250 | |
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 2,353 | 149,698 | SH | SOLE | 102,176 | 0 | 47,522 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 2,191 | 139,399 | SH | DFND | 1 | 0 | 0 | 139,399 | |
INVESCO MUNI INCOME OPP TRST | COM | 46132X101 | 529 | 77,890 | SH | SOLE | 0 | 0 | 77,890 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 5,212 | 233,729 | SH | SOLE | 163,824 | 0 | 69,905 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 4,885 | 219,054 | SH | DFND | 1 | 0 | 0 | 219,054 | |
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 2,389 | 64,069 | SH | SOLE | 43,921 | 0 | 20,148 | ||
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 2,227 | 59,730 | SH | DFND | 1 | 0 | 0 | 59,730 | |
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 3,586 | 303,659 | SH | SOLE | 174,332 | 0 | 129,327 | ||
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 2,935 | 248,500 | SH | DFND | 1 | 0 | 0 | 248,500 | |
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 3,836 | 215,149 | SH | SOLE | 141,595 | 0 | 73,554 | ||
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 3,373 | 189,185 | SH | DFND | 1 | 0 | 0 | 189,185 | |
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 2,395 | 225,474 | SH | SOLE | 154,025 | 0 | 71,449 | ||
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 2,230 | 210,000 | SH | DFND | 1 | 0 | 0 | 210,000 | |
NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | 2,408 | 192,954 | SH | SOLE | 124,705 | 0 | 68,249 | ||
NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | 2,075 | 166,281 | SH | DFND | 1 | 0 | 0 | 166,281 | |
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 2,462 | 105,420 | SH | SOLE | 67,561 | 0 | 37,859 | ||
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 2,139 | 91,603 | SH | DFND | 1 | 0 | 0 | 91,603 | |
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 2,547 | 276,823 | SH | SOLE | 189,964 | 0 | 86,859 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 2,382 | 258,882 | SH | DFND | 1 | 0 | 0 | 258,882 | |
OCH ZIFF CAP MGMT GROUP | CL A | 67551U105 | 1,854 | 173,152 | SH | SOLE | 106,427 | 0 | 66,725 | ||
OCH ZIFF CAP MGMT GROUP | CL A | 67551U105 | 1,460 | 136,363 | SH | DFND | 1 | 0 | 0 | 136,363 | |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 5,141 | 519,293 | SH | SOLE | 342,761 | 0 | 176,532 | ||
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 4,398 | 444,239 | SH | DFND | 1 | 0 | 0 | 444,239 | |
PUTNAM MANAGED MUN INCOM TR | COM | 746823103 | 285 | 40,270 | SH | SOLE | 0 | 0 | 40,270 | ||
SEADRILL LIMITED | SHS | G7945E105 | 2,551 | 95,318 | SH | SOLE | 61,735 | 0 | 33,583 | ||
SEADRILL LIMITED | SHS | G7945E105 | 2,203 | 82,321 | SH | DFND | 1 | 0 | 0 | 82,321 | |
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,385 | 113,991 | SH | SOLE | 78,104 | 0 | 35,887 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,206 | 105,457 | SH | DFND | 1 | 0 | 0 | 105,457 | |
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 2,511 | 148,386 | SH | SOLE | 98,156 | 0 | 50,230 | ||
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 2,258 | 133,429 | SH | DFND | 1 | 0 | 0 | 133,429 | |
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,402 | 72,631 | SH | SOLE | 43,489 | 0 | 29,142 | ||
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,154 | 59,740 | SH | DFND | 1 | 0 | 0 | 59,740 | |
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 2,988 | 115,851 | SH | SOLE | 74,868 | 0 | 40,983 | ||
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 2,568 | 99,572 | SH | DFND | 1 | 0 | 0 | 99,572 | |
STUDENT TRANSN INC | COM | 86388A108 | 1,245 | 199,122 | SH | SOLE | 136,891 | 0 | 62,231 | ||
STUDENT TRANSN INC | COM | 86388A108 | 1,162 | 185,931 | SH | DFND | 1 | 0 | 0 | 185,931 | |
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 2,285 | 15,827 | SH | SOLE | 10,468 | 0 | 5,359 | ||
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 2,013 | 13,940 | SH | DFND | 1 | 0 | 0 | 13,940 | |
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 4,622 | 168,303 | SH | SOLE | 111,760 | 0 | 56,543 | ||
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 4,101 | 149,358 | SH | DFND | 1 | 0 | 0 | 149,358 | |
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 1,344 | 244,292 | SH | SOLE | 168,840 | 0 | 75,452 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 1,196 | 217,500 | SH | DFND | 1 | 0 | 0 | 217,500 | |
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,273 | 105,856 | SH | SOLE | 72,416 | 0 | 33,440 | ||
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,198 | 99,570 | SH | DFND | 1 | 0 | 0 | 99,570 | |
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,341 | 192,055 | SH | SOLE | 132,011 | 0 | 60,044 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,185 | 179,227 | SH | DFND | 1 | 0 | 0 | 179,227 | |
WHITESTONE REIT | COM | 966084204 | 1,114 | 79,914 | SH | SOLE | 54,741 | 0 | 25,173 | ||
WHITESTONE REIT | COM | 966084204 | 1,041 | 74,679 | SH | DFND | 1 | 0 | 0 | 74,679 |