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 |
ABRDN TOTAL DYNAMIC DIVIDEND | COM SH BEN INT | 00326L100 | 715 | 100,200 | SH | DFND | 1 | 100,200 | 0 | 0 | |
ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 1,646 | 21,060 | SH | DFND | 1 | 21,060 | 0 | 0 | |
ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | 2,980 | 204,500 | SH | DFND | 1 | 204,500 | 0 | 0 | |
ADVENT CONV & INCOME FD | COM | 00764C109 | 396 | 37,300 | SH | DFND | 1 | 37,300 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 25,514 | 265,360 | SH | DFND | 1 | 265,360 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 25,091 | 222,040 | SH | DFND | 1 | 222,040 | 0 | 0 | |
AMERICAN TOWER CORP NEW | COM | 03027X100 | 18,473 | 86,040 | SH | DFND | 1 | 86,040 | 0 | 0 | |
APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 2,910 | 42,609 | SH | DFND | 1 | 42,609 | 0 | 0 | |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 602 | 48,100 | SH | DFND | 1 | 48,100 | 0 | 0 | |
APPLE INC | COM | 037833100 | 40,072 | 289,960 | SH | DFND | 1 | 289,960 | 0 | 0 | |
ARCELLX INC | COMMON STOCK | 03940C100 | 14,149 | 753,833 | SH | DFND | 1 | 753,833 | 0 | 0 | |
BLACKROCK CORPOR HI YLD FD I | RIGHT 10/13/2022 | 09255L114 | 0 | 11,000 | SH | DFND | 1 | 11,000 | 0 | 0 | |
BLACKROCK INNOVATION AND GRW | SHS BEN INT | 09260Q108 | 1,973 | 271,386 | SH | DFND | 1 | 271,386 | 0 | 0 | |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 19,139 | 820,024 | SH | DFND | 1 | 820,024 | 0 | 0 | |
BLACKSTONE SECD LENDING FD | COMMON STOCK | 09261X102 | 11,886 | 522,680 | SH | DFND | 1 | 522,680 | 0 | 0 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 94 | 11,000 | SH | DFND | 1 | 11,000 | 0 | 0 | |
BOEING CO | COM | 097023105 | 20,275 | 167,450 | SH | DFND | 1 | 167,450 | 0 | 0 | |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 4,043 | 104,400 | SH | DFND | 1 | 104,400 | 0 | 0 | |
CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461209 | 2,012 | 121,480 | SH | DFND | 1 | 121,480 | 0 | 0 | |
CHENIERE ENERGY INC | COM NEW | 16411R208 | 5,355 | 32,275 | SH | DFND | 1 | 32,275 | 0 | 0 | |
CLEARBRIDGE ENERGY MIDSTRM O | COM | 18469P209 | 400 | 16,000 | SH | DFND | 1 | 16,000 | 0 | 0 | |
CLEARBRIDGE MLP AND MIDSTRM | COM | 18469Q207 | 400 | 15,200 | SH | DFND | 1 | 15,200 | 0 | 0 | |
COHEN & STEERS REIT & PFD & | COM | 19247X100 | 339 | 17,500 | SH | DFND | 1 | 17,500 | 0 | 0 | |
CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 27,105 | 414,767 | SH | DFND | 1 | 414,767 | 0 | 0 | |
CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 13,950 | 84,640 | SH | DFND | 1 | 84,640 | 0 | 0 | |
CUSHING MLP & INFRASTRUCT | COM NEW | 231631300 | 1,238 | 38,000 | SH | DFND | 1 | 38,000 | 0 | 0 | |
DELAWARE INVTS NATL MUN INCO | SH BEN INT | 24610T108 | 2,494 | 229,021 | SH | DFND | 1 | 229,021 | 0 | 0 | |
DELAWARE IVY HIGH INCOME OPP | COM | 246107106 | 716 | 71,000 | SH | DFND | 1 | 71,000 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 15,410 | 176,500 | SH | DFND | 1 | 176,500 | 0 | 0 | |
FIRST REP BK SAN FRANCISCO C | COM | 33616C100 | 13,858 | 106,150 | SH | DFND | 1 | 106,150 | 0 | 0 | |
FIRST TR ABRDN EMERGING OPP | COM | 33731K102 | 1,660 | 185,834 | SH | DFND | 1 | 185,834 | 0 | 0 | |
GENERAL AMERN INVS CO INC | COM | 368802104 | 3,341 | 98,713 | SH | DFND | 1 | 98,713 | 0 | 0 | |
GOLUB CAP BDC INC | COM | 38173M102 | 4,997 | 403,300 | SH | DFND | 1 | 403,300 | 0 | 0 | |
GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 3,617 | 3,500,000 | PRN | DFND | 1 | 3,500,000 | 0 | 0 | |
HANCOCK JOHN INVT TR | TAX ADV GLB SH | 41013P749 | 45 | 10,200 | SH | DFND | 1 | 10,200 | 0 | 0 | |
HDFC BANK LTD | SPONSORED ADS | 40415F101 | 11,190 | 191,545 | SH | DFND | 1 | 191,545 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | COM NEW | 42806J700 | 1,654 | 101,580 | SH | DFND | 1 | 101,580 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | W EXP 06/30/205 | 42806J148 | 5,507 | 618,765 | SH | DFND | 1 | 618,765 | 0 | 0 | |
HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 | 678 | 77,791 | SH | DFND | 1 | 77,791 | 0 | 0 | |
HOLOGIC INC | COM | 436440101 | 3,045 | 47,190 | SH | DFND | 1 | 47,190 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 265,924 | 995,000 | SH | Put | DFND | 1 | 995,000 | 0 | 0 |
INVESCO SR INCOME TR | COM | 46131H107 | 1,195 | 321,306 | SH | DFND | 1 | 321,306 | 0 | 0 | |
IRHYTHM TECHNOLOGIES INC | COM | 450056106 | 1,180 | 9,420 | SH | DFND | 1 | 9,420 | 0 | 0 | |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 9,605 | 72,060 | SH | DFND | 1 | 72,060 | 0 | 0 | |
KINDER MORGAN INC DEL | COM | 49456B101 | 28,486 | 1,711,892 | SH | DFND | 1 | 1,711,892 | 0 | 0 | |
LEGEND BIOTECH CORP | SPONSORED ADS | 52490G102 | 6,456 | 158,225 | SH | DFND | 1 | 158,225 | 0 | 0 | |
MEXICO EQUITY & INCOME FD | COM | 592834105 | 205 | 27,100 | SH | DFND | 1 | 27,100 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 46,437 | 199,387 | SH | DFND | 1 | 199,387 | 0 | 0 | |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 4,277 | 471,600 | SH | DFND | 1 | 471,600 | 0 | 0 | |
NEUBERGER BERMAN HIGH YIELD | COM | 64128C106 | 3,426 | 433,704 | SH | DFND | 1 | 433,704 | 0 | 0 | |
NEUBERGER BERMAN NEXT GENERA | COMMON STOCK | 64133Q108 | 1,222 | 129,500 | SH | DFND | 1 | 129,500 | 0 | 0 | |
NORTHROP GRUMMAN CORP | COM | 666807102 | 34,072 | 72,445 | SH | DFND | 1 | 72,445 | 0 | 0 | |
PALO ALTO NETWORKS INC | COM | 697435105 | 22,399 | 136,755 | SH | DFND | 1 | 136,755 | 0 | 0 | |
PIONEER FLOATING RATE FUND I | COM | 72369J102 | 292 | 33,914 | SH | DFND | 1 | 33,914 | 0 | 0 | |
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 45,322 | 553,650 | SH | DFND | 1 | 553,650 | 0 | 0 | |
REDWOOD TRUST INC | NOTE 4.750% 8/1 | 758075AC9 | 1,914 | 1,978,000 | PRN | DFND | 1 | 1,978,000 | 0 | 0 | |
RIVERNORTH DOUBLELINE STRATE | COM | 76882G107 | 1,449 | 157,498 | SH | DFND | 1 | 157,498 | 0 | 0 | |
ROYCE MICRO-CAP TR INC | COM | 780915104 | 208 | 26,267 | SH | DFND | 1 | 26,267 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 1,694 | 4,485 | SH | DFND | 1 | 4,485 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 3,572 | 10,000 | SH | Call | DFND | 1 | 10,000 | 0 | 0 |
ROYAL CARIBBEAN GROUP | COM | V7780T103 | 12,468 | 328,977 | SH | DFND | 1 | 328,977 | 0 | 0 | |
SABA CAPITAL INCOME & OPRNT | SHS NEW | 78518H202 | 478 | 60,399 | SH | DFND | 1 | 60,399 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 29,285 | 1,607,273 | SH | DFND | 1 | 1,607,273 | 0 | 0 | |
STARWOOD PPTY TR INC | NOTE 4.375% 4/0 | 85571BAH8 | 5,744 | 5,815,000 | PRN | DFND | 1 | 5,815,000 | 0 | 0 | |
SURGERY PARTNERS INC | COM | 86881A100 | 8,575 | 366,448 | SH | DFND | 1 | 366,448 | 0 | 0 | |
TELADOC HEALTH INC | NOTE 1.250% 6/0 | 87918AAF2 | 1,104 | 1,500,000 | PRN | DFND | 1 | 1,500,000 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 6,050 | 117,290 | SH | DFND | 1 | 117,290 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 24,362 | 91,844 | SH | DFND | 1 | 91,844 | 0 | 0 | |
TORTOISE ENERGY INDEPENDENC | COM | 89148K200 | 317 | 11,189 | SH | DFND | 1 | 11,189 | 0 | 0 | |
TORTOISE MIDSTRM ENERGY FD I | COM | 89148B200 | 1,866 | 57,768 | SH | DFND | 1 | 57,768 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 19,439 | 37,039 | SH | DFND | 1 | 37,039 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 11,278 | 22,331 | SH | DFND | 1 | 22,331 | 0 | 0 | |
VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 92206C102 | 1,745 | 30,200 | SH | DFND | 1 | 30,200 | 0 | 0 | |
VERACYTE INC | COM | 92337F107 | 6,457 | 388,995 | SH | DFND | 1 | 388,995 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 4,251 | 14,681 | SH | DFND | 1 | 14,681 | 0 | 0 | |
VIRTUS CONVERTIBLE & INC FD | COM | 92838U108 | 213 | 75,500 | SH | DFND | 1 | 75,500 | 0 | 0 | |
VIRTUS TOTAL RETURN FD INC | COM | 92835W107 | 6,323 | 1,015,000 | SH | DFND | 1 | 1,015,000 | 0 | 0 | |
VISA INC | COM CL A | 92826C839 | 7,289 | 41,030 | SH | DFND | 1 | 41,030 | 0 | 0 | |
VOYA ASIA PAC HIGH DIV EQT I | COM | 92912J102 | 385 | 64,286 | SH | DFND | 1 | 64,286 | 0 | 0 | |
VOYA EMERGING MKTS HIGH DIVI | COM | 92912P108 | 364 | 74,000 | SH | DFND | 1 | 74,000 | 0 | 0 | |
WESTERN ASSET HIGH INCOM FD | COM | 95766J102 | 980 | 224,885 | SH | DFND | 1 | 224,885 | 0 | 0 | |
ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 | 1,930 | 18,460 | SH | DFND | 1 | 18,460 | 0 | 0 |