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 |
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 117 | 19,386 | SH | DFND | 1 | 19,386 | 0 | 0 | |
AGRIUM INC | COM | 008916108 | 13,025 | 155,000 | SH | DFND | 1 | 155,000 | 0 | 0 | |
AMERICAN INTL GROUP INC | COM NEW | 026874784 | 32,778 | 674,025 | SH | DFND | 1 | 674,025 | 0 | 0 | |
ANADARKO PETE CORP | COM | 032511107 | 19,993 | 215,000 | SH | DFND | 1 | 215,000 | 0 | 0 | |
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 375 | 22,179 | SH | DFND | 1 | 22,179 | 0 | 0 | |
BELO CORP | COM SER A | 080555105 | 18,050 | 1,317,500 | SH | DFND | 1 | 1,317,500 | 0 | 0 | |
BOEING CO | COM | 097023105 | 2,179 | 18,542 | SH | DFND | 1 | 18,542 | 0 | 0 | |
BP PLC | SPONSORED ADR | 055622104 | 34,064 | 810,461 | SH | DFND | 1 | 810,461 | 0 | 0 | |
CAMPBELL SOUP CO | COM | 134429109 | 236 | 5,794 | SH | DFND | 1 | 5,794 | 0 | 0 | |
CAPITAL ONE FINL CORP | COM | 14040H105 | 844 | 12,273 | SH | DFND | 1 | 12,273 | 0 | 0 | |
CENTRAL GOLDTRUST | TR UNIT | 153546106 | 1,170 | 25,342 | SH | DFND | 1 | 25,342 | 0 | 0 | |
CHENIERE ENERGY INC | COM NEW | 16411R208 | 7,682 | 225,000 | SH | DFND | 1 | 225,000 | 0 | 0 | |
CLEAR CHANNEL OUTDOOR HLDGS | CL A | 18451C109 | 2,050 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
COVIDIEN PLC | SHS | G2554F113 | 13,712 | 225,000 | SH | DFND | 1 | 225,000 | 0 | 0 | |
CVS CAREMARK CORPORATION | COM | 126650100 | 1,804 | 31,780 | SH | DFND | 1 | 31,780 | 0 | 0 | |
DANAHER CORP DEL | COM | 235851102 | 688 | 9,922 | SH | DFND | 1 | 9,922 | 0 | 0 | |
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 1,478 | 62,665 | SH | DFND | 1 | 62,665 | 0 | 0 | |
DU PONT E I DE NEMOURS & CO | COM | 263534109 | 1,650 | 28,178 | SH | DFND | 1 | 28,178 | 0 | 0 | |
EATON VANCE TAX MNGD GBL DV | COM | 27829F108 | 114 | 12,155 | SH | DFND | 1 | 12,155 | 0 | 0 | |
EATON VANCE TXMGD GL BUYWR O | COM | 27829C105 | 115 | 10,109 | SH | DFND | 1 | 10,109 | 0 | 0 | |
EMERSON ELEC CO | COM | 291011104 | 2,082 | 32,183 | SH | DFND | 1 | 32,183 | 0 | 0 | |
FLEXTRONICS INTL LTD | ORD | Y2573F102 | 169 | 18,599 | SH | DFND | 1 | 18,599 | 0 | 0 | |
GENERAL DYNAMICS CORP | COM | 369550108 | 1,815 | 20,742 | SH | DFND | 1 | 20,742 | 0 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 1,251 | 52,370 | SH | DFND | 1 | 52,370 | 0 | 0 | |
GENERAL MLS INC | COM | 370334104 | 1,025 | 21,386 | SH | DFND | 1 | 21,386 | 0 | 0 | |
GLADSTONE CAPITAL CORP | COM | 376535100 | 581 | 66,606 | SH | DFND | 1 | 66,606 | 0 | 0 | |
HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 162 | 12,192 | SH | DFND | 1 | 12,192 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 1,138 | 6,143 | SH | DFND | 1 | 6,143 | 0 | 0 | |
ISHARES | TIPS BD ETF | 464287176 | 225 | 2,000 | SH | DFND | 1 | 2,000 | 0 | 0 | |
ISHARES | MSCI ACWI ETF | 464288257 | 7,878 | 146,098 | SH | DFND | 1 | 146,098 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 1,983 | 22,869 | SH | DFND | 1 | 22,869 | 0 | 0 | |
KIRBY CORP | COM | 497266106 | 972 | 11,225 | SH | DFND | 1 | 11,225 | 0 | 0 | |
LAMAR ADVERTISING CO | CL A | 512815101 | 14,579 | 310,000 | SH | DFND | 1 | 310,000 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 11,023 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
MCG CAPITAL CORP | COM | 58047P107 | 311 | 61,704 | SH | DFND | 1 | 61,704 | 0 | 0 | |
MCGRAW HILL FINL INC | COM | 580645109 | 2,074 | 31,619 | SH | DFND | 1 | 31,619 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 23,317 | 700,000 | SH | DFND | 1 | 700,000 | 0 | 0 | |
MOLSON COORS BREWING CO | CL B | 60871R209 | 1,616 | 32,243 | SH | DFND | 1 | 32,243 | 0 | 0 | |
NOVAGOLD RES INC | COM NEW | 66987E206 | 31 | 13,185 | SH | DFND | 1 | 13,185 | 0 | 0 | |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 10,274 | 550,000 | SH | DFND | 1 | 550,000 | 0 | 0 | |
ONYX PHARMACEUTICALS INC | COM | 683399109 | 37,650 | 302,000 | SH | DFND | 1 | 302,000 | 0 | 0 | |
PIMCO ETF TR | 1-5 US TIP IDX | 72201R205 | 8,432 | 158,981 | SH | DFND | 1 | 158,981 | 0 | 0 | |
PIMCO ETF TR | BROAD US TIPS | 72201R403 | 928 | 16,423 | SH | DFND | 1 | 16,423 | 0 | 0 | |
PIMCO ETF TR | TOTL RETN ETF | 72201R775 | 2,735 | 25,829 | SH | DFND | 1 | 25,829 | 0 | 0 | |
PIMCO ETF TR | GB ADV INF BD | 72201R791 | 633 | 12,884 | SH | DFND | 1 | 12,884 | 0 | 0 | |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 424 | 37,949 | SH | DFND | 1 | 37,949 | 0 | 0 | |
RADIO ONE INC | CL D NON VTG | 75040P405 | 2,689 | 999,735 | SH | DFND | 1 | 999,735 | 0 | 0 | |
SCHWAB CHARLES CORP NEW | COM | 808513105 | 1,903 | 90,035 | SH | DFND | 1 | 90,035 | 0 | 0 | |
SIEMENS A G | SPONSORED ADR | 826197501 | 1,764 | 14,637 | SH | DFND | 1 | 14,637 | 0 | 0 | |
SOLAR SR CAP LTD | COM | 83416M105 | 1,581 | 87,447 | SH | DFND | 1 | 87,447 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 461 | 3,600 | SH | DFND | 1 | 3,600 | 0 | 0 | |
SPDR SERIES TRUST | DB INT GVT ETF | 78464A490 | 2,887 | 48,455 | SH | DFND | 1 | 48,455 | 0 | 0 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 1,293 | 14,027 | SH | DFND | 1 | 14,027 | 0 | 0 | |
TIBCO SOFTWARE INC | COM | 88632Q103 | 3,839 | 150,000 | SH | DFND | 1 | 150,000 | 0 | 0 | |
TICC CAPITAL CORP | COM | 87244T109 | 254 | 26,049 | SH | DFND | 1 | 26,049 | 0 | 0 | |
TJX COS INC NEW | COM | 872540109 | 1,784 | 31,634 | SH | DFND | 1 | 31,634 | 0 | 0 | |
TYCO INTERNATIONAL LTD | SHS | H89128104 | 14,653 | 418,900 | SH | DFND | 1 | 418,900 | 0 | 0 | |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 1,624 | 17,775 | SH | DFND | 1 | 17,775 | 0 | 0 | |
VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 921946406 | 3,336 | 58,028 | SH | DFND | 1 | 58,028 | 0 | 0 | |
VODAFONE GROUP PLC NEW | SPONS ADR NEW | 92857W209 | 37,643 | 1,070,000 | SH | DFND | 1 | 1,070,000 | 0 | 0 | |
WALGREEN CO | COM | 931422109 | 1,887 | 35,081 | SH | DFND | 1 | 35,081 | 0 | 0 | |
WAL-MART STORES INC | COM | 931142103 | 279 | 3,771 | SH | DFND | 1 | 3,771 | 0 | 0 | |
WEBMD HEALTH CORP | COM | 94770V102 | 1,718 | 60,159 | SH | DFND | 1 | 60,159 | 0 | 0 |