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 | 4,945 | 262,499 | SH | SOLE | 174,050 | 0 | 88,449 | ||
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 3,565 | 189,200 | SH | DFND | 1 | 0 | 0 | 189,200 | |
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 2,602 | 287,565 | SH | SOLE | 203,385 | 0 | 84,180 | ||
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 2,037 | 225,125 | SH | DFND | 1 | 0 | 0 | 225,125 | |
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 2,696 | 164,774 | SH | SOLE | 113,100 | 0 | 51,674 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 2,013 | 123,025 | SH | DFND | 1 | 0 | 0 | 123,025 | |
APOLLO GLOBAL MGMT LLC | CL A SHS | 037612306 | 5,402 | 229,109 | SH | SOLE | 160,400 | 0 | 68,709 | ||
APOLLO GLOBAL MGMT LLC | CL A SHS | 037612306 | 4,032 | 170,990 | SH | DFND | 1 | 0 | 0 | 170,990 | |
ARES CAP CORP | COM | 04010L103 | 5,269 | 337,621 | SH | SOLE | 232,340 | 0 | 105,281 | ||
ARES CAP CORP | COM | 04010L103 | 3,931 | 251,890 | SH | DFND | 1 | 0 | 0 | 251,890 | |
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 1,463 | 96,856 | SH | SOLE | 67,240 | 0 | 29,616 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 936 | 61,935 | SH | DFND | 1 | 0 | 0 | 61,935 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 2,023 | 177,487 | SH | SOLE | 124,170 | 0 | 53,317 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,537 | 134,835 | SH | DFND | 1 | 0 | 0 | 134,835 | |
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 2,222 | 32,855 | SH | SOLE | 21,815 | 0 | 11,040 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 1,623 | 23,990 | SH | DFND | 1 | 0 | 0 | 23,990 | |
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 4,792 | 213,833 | SH | SOLE | 146,470 | 0 | 67,363 | ||
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 3,189 | 142,285 | SH | DFND | 1 | 0 | 0 | 142,285 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 2,542 | 207,032 | SH | SOLE | 140,970 | 0 | 66,062 | ||
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 1,883 | 153,300 | SH | DFND | 1 | 0 | 0 | 153,300 | |
CVR PARTNERS LP | COM | 126633106 | 1,670 | 171,433 | SH | SOLE | 114,872 | 0 | 56,561 | ||
CVR PARTNERS LP | COM | 126633106 | 1,217 | 124,910 | SH | DFND | 1 | 0 | 0 | 124,910 | |
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 3,848 | 229,032 | SH | SOLE | 157,780 | 0 | 71,252 | ||
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 2,741 | 163,180 | SH | DFND | 1 | 0 | 0 | 163,180 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 4,997 | 86,709 | SH | SOLE | 57,605 | 0 | 29,104 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 3,557 | 61,715 | SH | DFND | 1 | 0 | 0 | 61,715 | |
FIFTH STREET FINANCE CORP | COM | 31678A103 | 2,016 | 251,651 | SH | SOLE | 163,550 | 0 | 88,101 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 1,423 | 177,600 | SH | DFND | 1 | 0 | 0 | 177,600 | |
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 5,421 | 812,706 | SH | SOLE | 548,800 | 0 | 263,906 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 4,198 | 629,385 | SH | DFND | 1 | 0 | 0 | 629,385 | |
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 4,866 | 156,967 | SH | SOLE | 106,170 | 0 | 50,797 | ||
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 3,495 | 112,740 | SH | DFND | 1 | 0 | 0 | 112,740 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,303 | 109,923 | SH | SOLE | 77,785 | 0 | 32,138 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,000 | 84,390 | SH | DFND | 1 | 0 | 0 | 84,390 | |
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 2,437 | 157,616 | SH | SOLE | 110,530 | 0 | 47,086 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 1,854 | 119,910 | SH | DFND | 1 | 0 | 0 | 119,910 | |
INVESCO MUNI INCOME OPP TRST | COM | 46132X101 | 531 | 76,090 | SH | SOLE | 0 | 0 | 76,090 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 5,689 | 245,121 | SH | SOLE | 177,574 | 0 | 67,547 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 4,473 | 192,700 | SH | DFND | 1 | 0 | 0 | 192,700 | |
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 4,120 | 153,256 | SH | SOLE | 104,750 | 0 | 48,506 | ||
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 3,093 | 115,050 | SH | DFND | 1 | 0 | 0 | 115,050 | |
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 2,301 | 226,262 | SH | SOLE | 153,150 | 0 | 73,112 | ||
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 1,691 | 166,260 | SH | DFND | 1 | 0 | 0 | 166,260 | |
NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 2,830 | 221,594 | SH | SOLE | 152,535 | 0 | 69,059 | ||
NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 2,102 | 164,635 | SH | DFND | 1 | 0 | 0 | 164,635 | |
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 2,771 | 246,747 | SH | SOLE | 175,000 | 0 | 71,747 | ||
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 2,132 | 189,885 | SH | DFND | 1 | 0 | 0 | 189,885 | |
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 2,446 | 110,484 | SH | SOLE | 73,105 | 0 | 37,379 | ||
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 1,756 | 79,320 | SH | DFND | 1 | 0 | 0 | 79,320 | |
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 5,393 | 306,789 | SH | SOLE | 211,380 | 0 | 95,409 | ||
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 4,030 | 229,240 | SH | DFND | 1 | 0 | 0 | 229,240 | |
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 2,783 | 291,098 | SH | SOLE | 205,340 | 0 | 85,758 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 2,131 | 222,860 | SH | DFND | 1 | 0 | 0 | 222,860 | |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 4,466 | 540,712 | SH | SOLE | 370,690 | 0 | 170,022 | ||
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 3,326 | 402,625 | SH | DFND | 1 | 0 | 0 | 402,625 | |
PUTNAM MANAGED MUN INCOM TR | COM | 746823103 | 292 | 40,270 | SH | SOLE | 0 | 0 | 40,270 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,652 | 119,956 | SH | SOLE | 84,390 | 0 | 35,566 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,025 | 91,570 | SH | DFND | 1 | 0 | 0 | 91,570 | |
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 2,204 | 156,117 | SH | SOLE | 106,215 | 0 | 49,902 | ||
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 1,626 | 115,180 | SH | DFND | 1 | 0 | 0 | 115,180 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 5,691 | 244,873 | SH | SOLE | 169,175 | 0 | 75,698 | ||
STARWOOD PPTY TR INC | COM | 85571B105 | 4,262 | 183,400 | SH | DFND | 1 | 0 | 0 | 183,400 | |
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,180 | 76,042 | SH | SOLE | 47,050 | 0 | 28,992 | ||
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 792 | 51,000 | SH | DFND | 1 | 0 | 0 | 51,000 | |
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 3,121 | 121,093 | SH | SOLE | 80,915 | 0 | 40,178 | ||
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 2,263 | 87,800 | SH | DFND | 1 | 0 | 0 | 87,800 | |
STUDENT TRANSN INC | COM | 86388A108 | 1,307 | 209,715 | SH | SOLE | 147,930 | 0 | 61,785 | ||
STUDENT TRANSN INC | COM | 86388A108 | 1,001 | 160,600 | SH | DFND | 1 | 0 | 0 | 160,600 | |
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 1,709 | 16,637 | SH | SOLE | 11,310 | 0 | 5,327 | ||
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 1,261 | 12,275 | SH | DFND | 1 | 0 | 0 | 12,275 | |
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 2,670 | 177,184 | SH | SOLE | 121,010 | 0 | 56,174 | ||
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 1,979 | 131,320 | SH | DFND | 1 | 0 | 0 | 131,320 | |
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,221 | 111,527 | SH | SOLE | 78,345 | 0 | 33,182 | ||
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 931 | 84,980 | SH | DFND | 1 | 0 | 0 | 84,980 | |
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,242 | 201,973 | SH | SOLE | 142,690 | 0 | 59,283 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 1,720 | 154,925 | SH | DFND | 1 | 0 | 0 | 154,925 | |
WHITESTONE REIT | COM | 966084204 | 1,272 | 84,174 | SH | SOLE | 59,180 | 0 | 24,994 | ||
WHITESTONE REIT | COM | 966084204 | 970 | 64,200 | SH | DFND | 1 | 0 | 0 | 64,200 |