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 ELEC PWR CO | UNIT 08/01/2021 | 025537127 | 2,673 | 53,250 | SH | DFND | 1 | 53,250 | 0 | 0 | |
AMERICAN ELEC PWR CO | UNIT 08/15/2025 | 02557T307 | 1,770 | 34,580 | SH | DFND | 1 | 34,580 | 0 | 0 | |
ARES CAPITAL CORP | NOTE 3.750% 2/0 | 04010LAT0 | 1,555 | 1,500,000 | PRN | DFND | 1 | 1,500,000 | 0 | 0 | |
ARES CAPITAL CORP | NOTE 4.625% 3/0 | 04010LAW3 | 654 | 600,000 | PRN | DFND | 1 | 600,000 | 0 | 0 | |
BLACKROCK DEBT STRAT | COM NEW | 09255R202 | 277 | 25,207 | SH | DFND | 1 | 25,207 | 0 | 0 | |
BLACKROCK FLOATING R | COM | 09255X100 | 1,151 | 89,209 | SH | DFND | 1 | 89,209 | 0 | 0 | |
BONANZA CREEK ENERGY | COM NEW | 097793400 | 10,823 | 327,084 | SH | DFND | 1 | 327,084 | 0 | 0 | |
CLEAR CHANNEL OUTDOO | COM | 18453H106 | 635 | 252,900 | SH | DFND | 1 | 252,900 | 0 | 0 | |
CORNERSTONE BLDG BRA | COM | 21925D109 | 615 | 43,739 | SH | DFND | 1 | 43,739 | 0 | 0 | |
CSI COMPRESSCO LP | COM UNIT | 12637A103 | 444 | 263,736 | SH | DFND | 1 | 263,736 | 0 | 0 | |
DOMINION ENERGY INC | UNIT 99/99/9999 | 25746U133 | 4,332 | 42,000 | SH | DFND | 1 | 42,000 | 0 | 0 | |
DTE ENERGY CO | UNIT 11/01/2022S | 233331842 | 3,044 | 60,000 | SH | DFND | 1 | 60,000 | 0 | 0 | |
EURONET WORLDWIDE IN | NOTE 0.750% 3/1 | 298736AL3 | 1,545 | 1,350,000 | PRN | DFND | 1 | 1,350,000 | 0 | 0 | |
FORTIVE CORP | NOTE 0.875% 2/1 | 34959JAK4 | 4,099 | 4,050,000 | PRN | DFND | 1 | 4,050,000 | 0 | 0 | |
IHEARTMEDIA INC | COM CL A | 45174J509 | 339 | 17,706 | SH | DFND | 1 | 17,706 | 0 | 0 | |
ILLUMINA INC | NOTE 0.500% 6/1 | 452327AH2 | 2,160 | 1,400,000 | PRN | DFND | 1 | 1,400,000 | 0 | 0 | |
ILLUMINA INC | NOTE 8/1 | 452327AK5 | 2,197 | 1,825,000 | PRN | DFND | 1 | 1,825,000 | 0 | 0 | |
INVESCO EXCH TRADED | SR LN ETF | 46138G508 | 839 | 37,900 | SH | DFND | 1 | 37,900 | 0 | 0 | |
INVESCO SR INCOME TR | COM | 46131H107 | 1,474 | 347,578 | SH | DFND | 1 | 347,578 | 0 | 0 | |
MICRON TECHNOLOGY IN | NOTE 3.125% 5/0 | 595112AX1 | 2,930 | 340,000 | PRN | DFND | 1 | 340,000 | 0 | 0 | |
NEXTERA ENERGY INC | UNIT 99/99/9999 | 65339F770 | 4,861 | 96,500 | SH | DFND | 1 | 96,500 | 0 | 0 | |
NEXTERA ENERGY INC | UNIT 09/01/2022S | 65339F796 | 6,067 | 104,000 | SH | DFND | 1 | 104,000 | 0 | 0 | |
NOBLE CORP NEW | SHS | G6610J209 | 209 | 11,125 | SH | DFND | 1 | 11,125 | 0 | 0 | |
OASIS PETROLEUM INC | COM NEW | 674215207 | 24,959 | 321,559 | SH | DFND | 1 | 321,559 | 0 | 0 | |
OYSTER ENTERPRISES A | UNIT 01/20/2026 | 69242M203 | 382 | 38,333 | SH | DFND | 1 | 38,333 | 0 | 0 | |
PRICELINE GRP INC | NOTE 0.900% 9/1 | 741503AX4 | 3,294 | 2,700,000 | PRN | DFND | 1 | 2,700,000 | 0 | 0 | |
PROSPECT CAP CORP | NOTE 6.375% 3/0 | 74348TAT9 | 1,090 | 1,000,000 | PRN | DFND | 1 | 1,000,000 | 0 | 0 | |
SOUTHERN CO | UNIT 08/01/2022 | 842587602 | 4,768 | 91,000 | SH | DFND | 1 | 91,000 | 0 | 0 | |
SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 844741BG2 | 10,317 | 5,925,000 | PRN | DFND | 1 | 5,925,000 | 0 | 0 | |
SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 | 836 | 18,200 | SH | DFND | 1 | 18,200 | 0 | 0 | |
STANLEY BLACK & DECK | UNIT 11/15/2022 | 854502846 | 3,050 | 25,000 | SH | DFND | 1 | 25,000 | 0 | 0 | |
SUMMIT MIDSTREAM PAR | COM UNIT LTD | 866142409 | 409 | 17,313 | SH | DFND | 1 | 17,313 | 0 | 0 | |
TPG SPECIALTY LENDIN | NOTE 4.500% 8/0 | 87265KAD4 | 427 | 366,000 | PRN | DFND | 1 | 366,000 | 0 | 0 | |
VANGUARD BD INDEX FD | TOTAL BND MRKT | 921937835 | 10,032 | 117,668 | SH | DFND | 1 | 117,668 | 0 | 0 | |
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 203,269 | 936,290 | SH | DFND | 1 | 936,290 | 0 | 0 | |
WELLPOINT INC | NOTE 2.750%10/1 | 94973VBG1 | 2,122 | 400,000 | PRN | DFND | 1 | 400,000 | 0 | 0 | |
WESTERN DIGITAL CORP | NOTE 1.500% 2/0 | 958102AP0 | 3,278 | 3,150,000 | PRN | DFND | 1 | 3,150,000 | 0 | 0 |