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 | 5,056 | 281,530 | SH | SOLE | 191,325 | 0 | 90,205 | ||
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 3,000 | 167,015 | SH | DFND | 1 | 0 | 0 | 167,015 | |
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 3,086 | 313,364 | SH | SOLE | 223,575 | 0 | 89,789 | ||
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 1,957 | 198,730 | SH | DFND | 1 | 0 | 0 | 198,730 | |
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 3,052 | 177,648 | SH | SOLE | 124,430 | 0 | 53,218 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 1,866 | 108,595 | SH | DFND | 1 | 0 | 0 | 108,595 | |
APOLLO GLOBAL MGMT LLC | CL A SHS | 037612306 | 5,342 | 247,335 | SH | SOLE | 176,365 | 0 | 70,970 | ||
APOLLO GLOBAL MGMT LLC | CL A SHS | 037612306 | 3,260 | 150,915 | SH | DFND | 1 | 0 | 0 | 150,915 | |
ARES CAP CORP | COM | 04010L103 | 6,226 | 362,627 | SH | SOLE | 255,225 | 0 | 107,402 | ||
ARES CAP CORP | COM | 04010L103 | 3,817 | 222,325 | SH | DFND | 1 | 0 | 0 | 222,325 | |
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 1,578 | 104,204 | SH | SOLE | 73,760 | 0 | 30,444 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 827 | 54,650 | SH | DFND | 1 | 0 | 0 | 54,650 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 2,135 | 191,259 | SH | SOLE | 136,250 | 0 | 55,009 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,328 | 119,020 | SH | DFND | 1 | 0 | 0 | 119,020 | |
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 2,047 | 35,161 | SH | SOLE | 23,945 | 0 | 11,216 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 1,232 | 21,175 | SH | DFND | 1 | 0 | 0 | 21,175 | |
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 5,532 | 230,022 | SH | SOLE | 160,780 | 0 | 69,242 | ||
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 3,243 | 134,840 | SH | DFND | 1 | 0 | 0 | 134,840 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 2,622 | 222,779 | SH | SOLE | 154,750 | 0 | 68,029 | ||
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 1,593 | 135,310 | SH | DFND | 1 | 0 | 0 | 135,310 | |
CVR PARTNERS LP | COM | 126633106 | 2,418 | 183,900 | SH | SOLE | 126,175 | 0 | 57,725 | ||
CVR PARTNERS LP | COM | 126633106 | 1,450 | 110,265 | SH | DFND | 1 | 0 | 0 | 110,265 | |
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 5,111 | 246,431 | SH | SOLE | 173,185 | 0 | 73,246 | ||
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 2,987 | 144,025 | SH | DFND | 1 | 0 | 0 | 144,025 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 2,734 | 45,538 | SH | SOLE | 32,280 | 0 | 13,258 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 1,621 | 27,000 | SH | DFND | 1 | 0 | 0 | 27,000 | |
FIFTH STREET FINANCE CORP | COM | 31678A103 | 1,970 | 269,885 | SH | SOLE | 179,600 | 0 | 90,285 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 1,144 | 156,740 | SH | DFND | 1 | 0 | 0 | 156,740 | |
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 1,372 | 61,083 | SH | SOLE | 43,575 | 0 | 17,508 | ||
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 821 | 36,565 | SH | DFND | 1 | 0 | 0 | 36,565 | |
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 2,432 | 344,985 | SH | SOLE | 228,580 | 0 | 116,405 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 1,405 | 199,225 | SH | DFND | 1 | 0 | 0 | 199,225 | |
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 5,549 | 168,177 | SH | SOLE | 116,600 | 0 | 51,577 | ||
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 3,282 | 99,485 | SH | DFND | 1 | 0 | 0 | 99,485 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,421 | 118,690 | SH | SOLE | 85,430 | 0 | 33,260 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 892 | 74,485 | SH | DFND | 1 | 0 | 0 | 74,485 | |
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 2,634 | 169,602 | SH | SOLE | 121,400 | 0 | 48,202 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 1,644 | 105,830 | SH | DFND | 1 | 0 | 0 | 105,830 | |
INVESCO MUNI INCOME OPP TRST | COM | 46132X101 | 535 | 75,415 | SH | DFND | 1 | 0 | 0 | 75,415 | |
KKR & CO L P DEL | COM UNITS | 48248M102 | 6,041 | 264,804 | SH | SOLE | 194,675 | 0 | 70,129 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 3,879 | 170,050 | SH | DFND | 1 | 0 | 0 | 170,050 | |
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 5,852 | 165,134 | SH | SOLE | 115,235 | 0 | 49,899 | ||
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 3,686 | 104,015 | SH | DFND | 1 | 0 | 0 | 104,015 | |
MEDLEY CAP CORP | COM | 58503F106 | 1,319 | 144,070 | SH | SOLE | 102,810 | 0 | 41,260 | ||
MEDLEY CAP CORP | COM | 58503F106 | 800 | 87,460 | SH | DFND | 1 | 0 | 0 | 87,460 | |
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 2,714 | 243,631 | SH | SOLE | 168,205 | 0 | 75,426 | ||
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 1,635 | 146,725 | SH | DFND | 1 | 0 | 0 | 146,725 | |
NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 3,587 | 238,698 | SH | SOLE | 167,425 | 0 | 71,273 | ||
NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 2,184 | 145,285 | SH | DFND | 1 | 0 | 0 | 145,285 | |
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 3,240 | 266,261 | SH | SOLE | 191,975 | 0 | 74,286 | ||
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 2,039 | 167,575 | SH | DFND | 1 | 0 | 0 | 167,575 | |
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 3,004 | 118,541 | SH | SOLE | 80,250 | 0 | 38,291 | ||
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 1,774 | 70,010 | SH | DFND | 1 | 0 | 0 | 70,010 | |
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 5,973 | 329,619 | SH | SOLE | 231,885 | 0 | 97,734 | ||
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 3,666 | 202,330 | SH | DFND | 1 | 0 | 0 | 202,330 | |
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 2,994 | 314,121 | SH | SOLE | 225,500 | 0 | 88,621 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 1,875 | 196,750 | SH | DFND | 1 | 0 | 0 | 196,750 | |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 4,921 | 582,311 | SH | SOLE | 406,840 | 0 | 175,471 | ||
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 3,003 | 355,440 | SH | DFND | 1 | 0 | 0 | 355,440 | |
PUTNAM MANAGED MUN INCOM TR | COM | 746823103 | 298 | 40,270 | SH | DFND | 1 | 0 | 0 | 40,270 | |
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,861 | 128,920 | SH | SOLE | 92,655 | 0 | 36,265 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 1,793 | 80,815 | SH | DFND | 1 | 0 | 0 | 80,815 | |
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 5,251 | 354,814 | SH | SOLE | 248,860 | 0 | 105,954 | ||
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 3,153 | 213,020 | SH | DFND | 1 | 0 | 0 | 213,020 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 6,397 | 263,267 | SH | SOLE | 185,560 | 0 | 77,707 | ||
STARWOOD PPTY TR INC | COM | 85571B105 | 3,934 | 161,875 | SH | DFND | 1 | 0 | 0 | 161,875 | |
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,261 | 81,297 | SH | SOLE | 51,655 | 0 | 29,642 | ||
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 698 | 44,990 | SH | DFND | 1 | 0 | 0 | 44,990 | |
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 3,733 | 129,553 | SH | SOLE | 88,715 | 0 | 40,838 | ||
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 2,233 | 77,495 | SH | DFND | 1 | 0 | 0 | 77,495 | |
STUDENT TRANSN INC | COM | 86388A108 | 1,223 | 226,525 | SH | SOLE | 162,650 | 0 | 63,875 | ||
STUDENT TRANSN INC | COM | 86388A108 | 765 | 141,745 | SH | DFND | 1 | 0 | 0 | 141,745 | |
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 5,800 | 39,803 | SH | SOLE | 28,225 | 0 | 11,578 | ||
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 2,571 | 17,645 | SH | DFND | 1 | 0 | 0 | 17,645 | |
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 2,667 | 190,793 | SH | SOLE | 132,715 | 0 | 58,078 | ||
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 1,639 | 117,245 | SH | DFND | 1 | 0 | 0 | 117,245 | |
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,334 | 120,152 | SH | SOLE | 85,910 | 0 | 34,242 | ||
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 833 | 75,010 | SH | DFND | 1 | 0 | 0 | 75,010 | |
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,423 | 218,112 | SH | SOLE | 156,840 | 0 | 61,272 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 1,519 | 136,730 | SH | DFND | 1 | 0 | 0 | 136,730 | |
WHITESTONE REIT | COM | 966084204 | 1,442 | 90,832 | SH | SOLE | 65,000 | 0 | 25,832 | ||
WHITESTONE REIT | COM | 966084204 | 900 | 56,660 | SH | DFND | 1 | 0 | 0 | 56,660 |