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 | 3,030 | 189,493 | SH | SOLE | 144,530 | 0 | 44,963 | ||
AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 1,244 | 77,800 | SH | DFND | 1 | 0 | 0 | 77,800 | |
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 3,068 | 377,438 | SH | SOLE | 291,035 | 0 | 86,403 | ||
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 1,302 | 160,125 | SH | DFND | 1 | 0 | 0 | 160,125 | |
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 6,425 | 391,061 | SH | SOLE | 292,290 | 0 | 98,771 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 2,632 | 160,225 | SH | DFND | 1 | 0 | 0 | 160,225 | |
APOLLO GLOBAL MGMT LLC | CL A SHS | 037612306 | 3,369 | 152,044 | SH | SOLE | 113,915 | 0 | 38,129 | ||
APOLLO GLOBAL MGMT LLC | CL A SHS | 037612306 | 1,346 | 60,775 | SH | DFND | 1 | 0 | 0 | 60,775 | |
ARES CAP CORP | COM | 04010L103 | 6,973 | 423,661 | SH | SOLE | 319,945 | 0 | 103,716 | ||
ARES CAP CORP | COM | 04010L103 | 2,939 | 178,575 | SH | DFND | 1 | 0 | 0 | 178,575 | |
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 1,720 | 121,056 | SH | SOLE | 91,835 | 0 | 29,221 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 624 | 43,925 | SH | DFND | 1 | 0 | 0 | 43,925 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 2,387 | 221,211 | SH | SOLE | 168,580 | 0 | 52,631 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,033 | 95,725 | SH | DFND | 1 | 0 | 0 | 95,725 | |
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 2,470 | 40,022 | SH | SOLE | 30,550 | 0 | 9,472 | ||
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 1,052 | 17,050 | SH | DFND | 1 | 0 | 0 | 17,050 | |
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 6,878 | 270,137 | SH | SOLE | 203,215 | 0 | 66,922 | ||
CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | 2,518 | 98,900 | SH | DFND | 1 | 0 | 0 | 98,900 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 2,890 | 260,392 | SH | SOLE | 194,150 | 0 | 66,242 | ||
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 1,207 | 108,775 | SH | DFND | 1 | 0 | 0 | 108,775 | |
CVR PARTNERS LP | COM | 126633106 | 2,669 | 211,297 | SH | SOLE | 155,010 | 0 | 56,287 | ||
CVR PARTNERS LP | COM | 126633106 | 1,119 | 88,600 | SH | DFND | 1 | 0 | 0 | 88,600 | |
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 3,049 | 166,600 | SH | SOLE | 121,640 | 0 | 44,960 | ||
CVR REFNG LP | COMUNIT REP LT | 12663P107 | 1,212 | 66,250 | SH | DFND | 1 | 0 | 0 | 66,250 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 3,042 | 55,533 | SH | SOLE | 42,770 | 0 | 12,763 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 1,189 | 21,700 | SH | DFND | 1 | 0 | 0 | 21,700 | |
FIFTH STREET FINANCE CORP | COM | 31678A103 | 2,050 | 313,053 | SH | SOLE | 225,570 | 0 | 87,483 | ||
FIFTH STREET FINANCE CORP | COM | 31678A103 | 825 | 126,025 | SH | DFND | 1 | 0 | 0 | 126,025 | |
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 1,597 | 74,142 | SH | SOLE | 57,295 | 0 | 16,847 | ||
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 633 | 29,390 | SH | DFND | 1 | 0 | 0 | 29,390 | |
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 2,019 | 408,023 | SH | SOLE | 306,110 | 0 | 101,913 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 793 | 160,225 | SH | DFND | 1 | 0 | 0 | 160,225 | |
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 6,041 | 209,626 | SH | SOLE | 160,100 | 0 | 49,526 | ||
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 2,310 | 80,150 | SH | DFND | 1 | 0 | 0 | 80,150 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,614 | 139,098 | SH | SOLE | 107,105 | 0 | 31,993 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 695 | 59,900 | SH | DFND | 1 | 0 | 0 | 59,900 | |
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 2,843 | 198,476 | SH | SOLE | 152,200 | 0 | 46,276 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 1,221 | 85,250 | SH | DFND | 1 | 0 | 0 | 85,250 | |
KKR & CO L P DEL | COM UNITS | 48248M102 | 7,138 | 312,404 | SH | SOLE | 244,650 | 0 | 67,754 | ||
KKR & CO L P DEL | COM UNITS | 48248M102 | 3,125 | 136,750 | SH | DFND | 1 | 0 | 0 | 136,750 | |
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 6,010 | 194,136 | SH | SOLE | 145,915 | 0 | 48,221 | ||
MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | 2,336 | 75,450 | SH | DFND | 1 | 0 | 0 | 75,450 | |
MEDLEY CAP CORP | COM | 58503F106 | 1,560 | 174,986 | SH | SOLE | 135,285 | 0 | 39,701 | ||
MEDLEY CAP CORP | COM | 58503F106 | 626 | 70,300 | SH | DFND | 1 | 0 | 0 | 70,300 | |
MEMORIAL PRODTN PARTNERS LP | COM U REP LTD | 586048100 | 2,904 | 195,544 | SH | SOLE | 146,395 | 0 | 49,149 | ||
MEMORIAL PRODTN PARTNERS LP | COM U REP LTD | 586048100 | 1,197 | 80,600 | SH | DFND | 1 | 0 | 0 | 80,600 | |
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 3,036 | 283,811 | SH | SOLE | 210,915 | 0 | 72,896 | ||
NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 1,262 | 117,975 | SH | DFND | 1 | 0 | 0 | 117,975 | |
NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 4,250 | 278,916 | SH | SOLE | 210,095 | 0 | 68,821 | ||
NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 1,781 | 116,850 | SH | DFND | 1 | 0 | 0 | 116,850 | |
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 2,290 | 312,415 | SH | SOLE | 240,955 | 0 | 71,460 | ||
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 987 | 134,700 | SH | DFND | 1 | 0 | 0 | 134,700 | |
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 3,182 | 133,869 | SH | SOLE | 97,340 | 0 | 36,529 | ||
NORTHERN TIER ENERGY LP | COM UN REPR PART | 665826103 | 1,335 | 56,150 | SH | DFND | 1 | 0 | 0 | 56,150 | |
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 6,095 | 383,277 | SH | SOLE | 290,830 | 0 | 92,447 | ||
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 2,596 | 163,300 | SH | DFND | 1 | 0 | 0 | 163,300 | |
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 3,372 | 368,197 | SH | SOLE | 282,790 | 0 | 85,407 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 1,448 | 158,100 | SH | DFND | 1 | 0 | 0 | 158,100 | |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 2,929 | 397,385 | SH | SOLE | 297,705 | 0 | 99,680 | ||
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 1,188 | 161,225 | SH | DFND | 1 | 0 | 0 | 161,225 | |
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 2,653 | 151,130 | SH | SOLE | 116,275 | 0 | 34,855 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 1,141 | 65,000 | SH | DFND | 1 | 0 | 0 | 65,000 | |
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 7,071 | 433,247 | SH | SOLE | 331,055 | 0 | 102,192 | ||
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 2,794 | 171,200 | SH | DFND | 1 | 0 | 0 | 171,200 | |
STAG INDL INC | COM | 85254J102 | 2,960 | 147,945 | SH | SOLE | 113,415 | 0 | 34,530 | ||
STAG INDL INC | COM | 85254J102 | 1,224 | 61,175 | SH | DFND | 1 | 0 | 0 | 61,175 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 6,640 | 307,825 | SH | SOLE | 232,740 | 0 | 75,085 | ||
STARWOOD PPTY TR INC | COM | 85571B105 | 2,813 | 130,400 | SH | DFND | 1 | 0 | 0 | 130,400 | |
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 1,402 | 93,225 | SH | SOLE | 64,715 | 0 | 28,510 | ||
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 544 | 36,175 | SH | DFND | 1 | 0 | 0 | 36,175 | |
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 4,486 | 148,765 | SH | SOLE | 109,245 | 0 | 39,520 | ||
STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | 1,878 | 62,275 | SH | DFND | 1 | 0 | 0 | 62,275 | |
STUDENT TRANSN INC | COM | 86388A108 | 1,225 | 265,130 | SH | SOLE | 203,740 | 0 | 61,390 | ||
STUDENT TRANSN INC | COM | 86388A108 | 527 | 114,025 | SH | DFND | 1 | 0 | 0 | 114,025 | |
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 5,636 | 46,541 | SH | SOLE | 35,375 | 0 | 11,166 | ||
TERRA NITROGEN CO L P | COM UNIT | 881005201 | 1,383 | 11,425 | SH | DFND | 1 | 0 | 0 | 11,425 | |
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 3,266 | 218,728 | SH | SOLE | 163,260 | 0 | 55,468 | ||
VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 1,405 | 94,075 | SH | DFND | 1 | 0 | 0 | 94,075 | |
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 1,510 | 140,753 | SH | SOLE | 107,865 | 0 | 32,888 | ||
WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | 647 | 60,300 | SH | DFND | 1 | 0 | 0 | 60,300 | |
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,643 | 255,591 | SH | SOLE | 196,510 | 0 | 59,081 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 1,137 | 109,950 | SH | DFND | 1 | 0 | 0 | 109,950 | |
WHITESTONE REIT | COM | 966084204 | 1,384 | 106,304 | SH | SOLE | 81,485 | 0 | 24,819 | ||
WHITESTONE REIT | COM | 966084204 | 593 | 45,550 | SH | DFND | 1 | 0 | 0 | 45,550 |