0001042046-15-000053.txt : 20151110
0001042046-15-000053.hdr.sgml : 20151110
20151106145419
ACCESSION NUMBER: 0001042046-15-000053
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151106
DATE AS OF CHANGE: 20151106
EFFECTIVENESS DATE: 20151106
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: AMERICAN FINANCIAL GROUP INC
CENTRAL INDEX KEY: 0001042046
STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331]
IRS NUMBER: 311544320
STATE OF INCORPORATION: OH
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04389
FILM NUMBER: 151204511
BUSINESS ADDRESS:
STREET 1: GREAT AMERICAN INSURANCE GROUP TOWER
STREET 2: 301 E. 4TH STREET
CITY: CINCINNATI
STATE: OH
ZIP: 45202
BUSINESS PHONE: 5135792121
MAIL ADDRESS:
STREET 1: GREAT AMERICAN INSURANCE GROUP TOWER
STREET 2: 301 E. 4TH STREET
CITY: CINCINNATI
STATE: OH
ZIP: 45202
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN FINANCIAL GROUP HOLDINGS INC
DATE OF NAME CHANGE: 19970709
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001042046
XXXXXXXX
09-30-2015
09-30-2015
AMERICAN FINANCIAL GROUP INC
GREAT AMERICAN INSURANCE GROUP TOWER
301 E. 4TH STREET
CINCINNATI
OH
45202
13F HOLDINGS REPORT
028-04389
N
Brian S. Hertzman
Vice President and Controller
513-579-2153
/s/ Brian S. Hertzman
Cincinnati
OH
11-06-2015
2
291
1382268
false
1
28-498
Great American Insurance Company
2
28-1258
Great American Life Insurance Company
INFORMATION TABLE
2
afg-201593013fxhr.xml
INFORMATION TABLE
DEUTSCHE BANK AG
NAMEN AKT
D18190898
10927
405300
SH
DFND
1
405300
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
12419
460650
SH
DFND
2
460650
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
4153
154050
SH
DFND
154050
0
0
ARGO GROUP INTL HLDGS LTD
COM
G0464B107
377
6664
SH
DFND
1
6664
0
0
EATON CORP PLC
SHS
G29183103
590
11500
SH
DFND
1
11500
0
0
ENSCO PLC
SHS CLASS A
G3157S106
148
10500
SH
DFND
1
10500
0
0
MALLINCKRODT PUB LTD CO
SHS
G5785G107
6138
96000
SH
DFND
1
96000
0
0
MALLINCKRODT PUB LTD CO
SHS
G5785G107
14323
224000
SH
DFND
2
224000
0
0
MEDTRONIC PLC
SHS
G5960L103
5690
85000
SH
DFND
1
85000
0
0
ACE LTD
SHS
H0023R105
6514
63000
SH
SOLE
63000
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
13755
165000
SH
DFND
1
165000
0
0
AT&T INC
COM
00206R102
668
20500
SH
DFND
1
20500
0
0
ABBVIE INC
COM
00287Y109
3101
57000
SH
DFND
1
57000
0
0
ABBVIE INC
COM
00287Y109
7237
133000
SH
DFND
2
133000
0
0
AFFILIATED MANAGERS GROUP
COM
008252108
1539
9000
SH
DFND
1
9000
0
0
AFFILIATED MANAGERS GROUP
COM
008252108
3591
21000
SH
DFND
2
21000
0
0
ALLIANCE RES PARTNER L P
UT LTD PART
01877R108
627
28180
SH
DFND
1
28180
0
0
ALLIANCE RES PARTNER L P
UT LTD PART
01877R108
2276
102238
SH
DFND
2
102238
0
0
ALLIANCE RES PARTNER L P
UT LTD PART
01877R108
1110
49854
SH
DFND
49854
0
0
ALLY FINL INC
COM
02005N100
7541
370000
SH
DFND
1
370000
0
0
ALLY FINL INC
COM
02005N100
7541
370000
SH
DFND
2
370000
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
3575
191167
SH
DFND
1
191167
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
6183
330666
SH
DFND
2
330666
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
5606
299767
SH
DFND
299767
0
0
AMERICAN CAP MTG INVT CORP
COM
02504A104
6052
410585
SH
DFND
1
410585
0
0
AMERICAN CAP MTG INVT CORP
COM
02504A104
7988
541920
SH
DFND
2
541920
0
0
AMERICAN CAP MTG INVT CORP
COM
02504A104
4507
305795
SH
DFND
305795
0
0
AMERICAN HOMES 4 RENT
CL A
02665T306
5065
315000
SH
DFND
1
315000
0
0
AMERICAN HOMES 4 RENT
CL A
02665T306
9648
600000
SH
DFND
2
600000
0
0
AMERICAN HOMES 4 RENT
CL A
02665T306
1367
85000
SH
DFND
85000
0
0
AMERICAN RESIDENTIAL PPTYS I
COM
02927E303
8635
500000
SH
DFND
2
500000
0
0
ANNALY CAP MGMT INC
COM
035710409
1463
148260
SH
DFND
2
148260
0
0
ANWORTH MORTGAGE ASSET CP
COM
037347101
3350
678200
SH
DFND
1
678200
0
0
ANWORTH MORTGAGE ASSET CP
COM
037347101
3549
718450
SH
DFND
2
718450
0
0
ANWORTH MORTGAGE ASSET CP
COM
037347101
3758
760802
SH
DFND
760802
0
0
APOLLO RESIDENTIAL MTG INC
COM
03763V102
5462
431437
SH
DFND
1
431437
0
0
APOLLO RESIDENTIAL MTG INC
COM
03763V102
3458
273157
SH
DFND
2
273157
0
0
APOLLO RESIDENTIAL MTG INC
COM
03763V102
2456
194000
SH
DFND
194000
0
0
APPLE INC
COM
037833100
17758
161000
SH
DFND
1
161000
0
0
APPLE INC
COM
037833100
15983
144900
SH
DFND
2
144900
0
0
APPLE INC
COM
037833100
1776
16100
SH
DFND
16100
0
0
ARCELORMITTAL SA LUXEMBOURG
NY REGISTRY SH
03938L104
2060
400000
SH
DFND
1
400000
0
0
ARCELORMITTAL SA LUXEMBOURG
NY REGISTRY SH
03938L104
2060
400000
SH
DFND
2
400000
0
0
ARCH COAL INC
COM NEW
039380308
246
74500
SH
DFND
1
74500
0
0
ARCH COAL INC
COM NEW
039380308
36
11000
SH
DFND
11000
0
0
ARLINGTON ASSET INVT CORP
CL A NEW
041356205
12761
908250
SH
DFND
1
908250
0
0
ARLINGTON ASSET INVT CORP
CL A NEW
041356205
7350
523106
SH
DFND
523106
0
0
BP PLC
SPONSORED ADR
055622104
1375
45000
SH
DFND
45000
0
0
BP PLC
SPONSORED ADR
055622104
2521
82500
SH
DFND
2
82500
0
0
BAKER HUGHES INC
COM
057224107
10928
210000
SH
DFND
1
210000
0
0
BAKER HUGHES INC
COM
057224107
10928
210000
SH
DFND
2
210000
0
0
BANK AMER CORP
COM
060505104
9241
593120
SH
DFND
1
593120
0
0
BANK AMER CORP
COM
060505104
1223
78480
SH
DFND
78480
0
0
BARCLAYS PLC
ADR
06738E204
3037
205500
SH
DFND
1
205500
0
0
BARCLAYS PLC
ADR
06738E204
4937
334000
SH
DFND
2
334000
0
0
BARCLAYS PLC
ADR
06738E204
3850
260500
SH
DFND
260500
0
0
BERKLEY W R CORP
COM
084423102
6361
117000
SH
SOLE
117000
0
0
BIOGEN INC
COM
09062X103
1021
3500
SH
DFND
1
3500
0
0
BIOGEN INC
COM
09062X103
1021
3500
SH
DFND
2
3500
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
1406
44400
SH
DFND
1
44400
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
11009
347600
SH
DFND
2
347600
0
0
CYS INVTS INC
COM
12673A108
8033
1106500
SH
DFND
1
1106500
0
0
CYS INVTS INC
COM
12673A108
8480
1168000
SH
DFND
2
1168000
0
0
CYS INVTS INC
COM
12673A108
8389
1155500
SH
DFND
1155500
0
0
CAPITOL FED FINL INC
COM
14057J101
436
36000
SH
DFND
1
36000
0
0
CARLYLE GROUP L P
COM UTS LTD PTN
14309L102
1999
119000
SH
DFND
119000
0
0
CARLYLE GROUP L P
COM UTS LTD PTN
14309L102
1424
84750
SH
DFND
1
84750
0
0
CARLYLE GROUP L P
COM UTS LTD PTN
14309L102
18978
1129664
SH
DFND
2
1129664
0
0
CARRIAGE SVCS INC
COM
143905107
350
16217
SH
DFND
1
16217
0
0
CEDAR REALTY TRUST INC
COM NEW
150602209
290
46654
SH
DFND
1
46654
0
0
CELGENE CORP
COM
151020104
1082
10000
SH
DFND
2
10000
0
0
CELGENE CORP
COM
151020104
1623
15000
SH
DFND
15000
0
0
CENTURY CMNTYS INC
COM
156504300
8446
425500
SH
DFND
1
425500
0
0
CENTURY CMNTYS INC
COM
156504300
8446
425500
SH
DFND
2
425500
0
0
CHEVRON CORP NEW
COM
166764100
3061
38800
SH
DFND
1
38800
0
0
CHUBB CORP
COM
171232101
8708
71000
SH
SOLE
71000
0
0
CISCO SYS INC
COM
17275R102
2888
110000
SH
DFND
1
110000
0
0
CISCO SYS INC
COM
17275R102
6563
250000
SH
DFND
2
250000
0
0
CITIGROUP INC
COM NEW
172967424
20191
407000
SH
DFND
1
407000
0
0
CITIGROUP INC
COM NEW
172967424
11311
228000
SH
DFND
2
228000
0
0
COACH INC
COM
189754104
5254
181600
SH
DFND
1
181600
0
0
COACH INC
COM
189754104
5884
203400
SH
DFND
203400
0
0
COLONY CAP INC
CL A
19624R106
548
28000
SH
DFND
1
28000
0
0
COLONY CAP INC
CL A
19624R106
822
42000
SH
DFND
42000
0
0
COMCAST CORP NEW
CL A
20030N101
5887
103500
SH
DFND
1
103500
0
0
CONOCOPHILLIPS
COM
20825C104
336
7000
SH
DFND
1
7000
0
0
CORPORATE OFFICE PPTYS TR
SH BEN INT
22002T108
235
11159
SH
DFND
1
11159
0
0
CYRUSONE INC
COM
23283R100
348
10643
SH
DFND
1
10643
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
1921
42804
SH
DFND
1
42804
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
1414
31512
SH
DFND
2
31512
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
302
6732
SH
DFND
6732
0
0
DU PONT E I DE NEMOURS & CO
COM
263534109
265
5500
SH
DFND
1
5500
0
0
E M C CORP MASS
COM
268648102
4711
195000
SH
DFND
1
195000
0
0
E M C CORP MASS
COM
268648102
4832
200000
SH
DFND
2
200000
0
0
E M C CORP MASS
COM
268648102
1329
55000
SH
DFND
55000
0
0
EBAY INC
COM
278642103
1418
58000
SH
DFND
1
58000
0
0
EBAY INC
COM
278642103
1232
50400
SH
DFND
2
50400
0
0
EBAY INC
COM
278642103
186
7600
SH
DFND
7600
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
5591
312700
SH
DFND
1
312700
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
12537
701153
SH
DFND
2
701153
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
715
40000
SH
DFND
40000
0
0
EMCOR GROUP INC
COM
29084Q100
263
5946
SH
DFND
1
5946
0
0
EMPLOYERS HOLDINGS INC
COM
292218104
270
12121
SH
DFND
1
12121
0
0
ENBRIDGE ENERGY PARTNERS L P
COM
29250R106
124
5000
SH
DFND
1
5000
0
0
ENBRIDGE ENERGY PARTNERS L P
COM
29250R106
1112
45000
SH
DFND
2
45000
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
287
7000
SH
DFND
1
7000
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
2587
63000
SH
DFND
2
63000
0
0
EVERI HLDGS INC
COM
30034T103
295
57601
SH
DFND
1
57601
0
0
FIRST FINL BANCORP OH
COM
320209109
4401
230668
SH
DFND
1
230668
0
0
FIRST MERCHANTS CORP
COM
320817109
342
13042
SH
DFND
1
13042
0
0
FLAGSTAR BANCORP INC
COM PAR .001
337930705
5090
247545
SH
DFND
1
247545
0
0
FLAGSTAR BANCORP INC
COM PAR .001
337930705
5090
247548
SH
DFND
2
247548
0
0
FLUSHING FINL CORP
COM
343873105
255
12749
SH
DFND
1
12749
0
0
FRANKLIN RES INC
COM
354613101
5896
158250
SH
DFND
1
158250
0
0
FRANKLIN RES INC
COM
354613101
8765
235250
SH
DFND
2
235250
0
0
FRANKLIN RES INC
COM
354613101
3223
86500
SH
DFND
86500
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
2035
210000
SH
DFND
1
210000
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
872
90000
SH
DFND
90000
0
0
FULL HOUSE RESORTS INC
COM
359678109
52
35331
SH
DFND
1
35331
0
0
FULL HOUSE RESORTS INC
COM
359678109
46
31617
SH
DFND
2
31617
0
0
GENERAL CABLE CORP DEL NEW
COM
369300108
11952
1004350
SH
DFND
1
1004350
0
0
GENERAL CABLE CORP DEL NEW
COM
369300108
803
67500
SH
DFND
2
67500
0
0
GENERAL CABLE CORP DEL NEW
COM
369300108
10063
845611
SH
DFND
845611
0
0
GENERAL ELECTRIC CO
COM
369604103
12610
500000
SH
DFND
1
500000
0
0
GENERAL MLS INC
COM
370334104
842
15000
SH
DFND
1
15000
0
0
GENERAL MTRS CO
COM
37045V100
20697
689450
SH
DFND
1
689450
0
0
GENERAL MTRS CO
COM
37045V100
12025
400550
SH
DFND
400550
0
0
GILEAD SCIENCES INC
COM
375558103
6628
67500
SH
DFND
1
67500
0
0
GILEAD SCIENCES INC
COM
375558103
2700
27500
SH
DFND
2
27500
0
0
GILEAD SCIENCES INC
COM
375558103
982
10000
SH
DFND
10000
0
0
GLOBAL X FDS
GLB X MLP ENRG I
37950E226
249
18369
SH
DFND
1
18369
0
0
GRAY TELEVISION INC
COM
389375106
260
20407
SH
DFND
1
20407
0
0
GREAT AJAX CORP
COM
38983D300
310
25050
SH
DFND
1
25050
0
0
GREAT AJAX CORP
COM
38983D300
2040
164875
SH
DFND
2
164875
0
0
GREAT AJAX CORP
COM
38983D300
2970
240075
SH
DFND
240075
0
0
GREAT PLAINS ENERGY INC
COM
391164100
205
7602
SH
DFND
1
7602
0
0
GREAT WESTN BANCORP INC
COM
391416104
260
10255
SH
DFND
1
10255
0
0
HSBC HLDGS PLC
SDCV 5.625%12/2
404280AR0
979
1000000
PRN
DFND
1
0
0
1000000
HSBC HLDGS PLC
SDCV 5.625%12/2
404280AR0
8815
9000000
PRN
DFND
0
0
9000000
HEWLETT PACKARD CO
COM
428236103
10532
411250
SH
DFND
1
411250
0
0
HEWLETT PACKARD CO
COM
428236103
2580
100750
SH
DFND
2
100750
0
0
HEWLETT PACKARD CO
COM
428236103
1485
58000
SH
DFND
58000
0
0
HOMESTREET INC
COM
43785V102
1349
58406
SH
DFND
1
58406
0
0
HOMESTREET INC
COM
43785V102
5359
231970
SH
DFND
2
231970
0
0
HOMESTREET INC
COM
43785V102
4533
196215
SH
DFND
196215
0
0
IBERIABANK CORP
COM
450828108
204
3513
SH
DFND
1
3513
0
0
ICONIX BRAND GROUP INC
COM
451055107
169
12470
SH
DFND
1
12470
0
0
INFINITY PHARMACEUTICALS INC
COM
45665G303
169
20000
SH
DFND
1
20000
0
0
INFINITY PHARMACEUTICALS INC
COM
45665G303
169
20000
SH
DFND
2
20000
0
0
INSTEEL INDUSTRIES INC
COM
45774W108
396
24609
SH
DFND
1
24609
0
0
INSTEEL INDUSTRIES INC
COM
45774W108
357
22216
SH
DFND
2
22216
0
0
INTERVAL LEISURE GROUP INC
COM
46113M108
268
14571
SH
DFND
1
14571
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
989
80800
SH
DFND
1
80800
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
1249
102000
SH
DFND
2
102000
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
256
20900
SH
DFND
20900
0
0
JPMORGAN CHASE & CO
COM
46625H100
15852
260000
SH
DFND
1
260000
0
0
JPMORGAN CHASE & CO
COM
46625H100
3049
50000
SH
DFND
50000
0
0
JOHNSON & JOHNSON
COM
478160104
8794
94200
SH
DFND
1
94200
0
0
KKR & CO L P DEL
COM UNITS
48248M102
2962
176500
SH
DFND
1
176500
0
0
KKR & CO L P DEL
COM UNITS
48248M102
7892
470300
SH
DFND
2
470300
0
0
KKR & CO L P DEL
COM UNITS
48248M102
4930
293800
SH
DFND
293800
0
0
KELLOGG CO
COM
487836108
14565
218850
SH
DFND
1
218850
0
0
LCNB CORP
COM
50181P100
1858
114785
SH
DFND
1
114785
0
0
LCNB CORP
COM
50181P100
32
2000
SH
DFND
2000
0
0
LEGG MASON INC
COM
524901105
3454
83000
SH
DFND
1
83000
0
0
LEGG MASON INC
COM
524901105
3412
82000
SH
DFND
2
82000
0
0
LEUCADIA NATL CORP
COM
527288104
160
7896
SH
DFND
1
7896
0
0
LEUCADIA NATL CORP
COM
527288104
168
8315
SH
DFND
2
8315
0
0
LEUCADIA NATL CORP
COM
527288104
5
263
SH
DFND
263
0
0
LINN ENERGY LLC
UNIT LTD LIAB
536020100
246
91631
SH
DFND
91631
0
0
MFA FINL INC
COM
55272X102
170
25000
SH
DFND
1
25000
0
0
MFA FINL INC
COM
55272X102
170
25000
SH
DFND
25000
0
0
MYR GROUP INC DEL
COM
55405W104
499
19060
SH
DFND
1
19060
0
0
MAGELLAN HEALTH INC
COM NEW
559079207
204
3677
SH
DFND
1
3677
0
0
MANAGED HIGH YIELD PLUS FD I
COM
561911108
16
10000
SH
DFND
1
10000
0
0
MARATHON OIL CORP
COM
565849106
3049
198000
SH
DFND
2
198000
0
0
MASTEC INC
COM
576323109
172
10884
SH
DFND
1
10884
0
0
MEDLEY CAP CORP
COM
58503F106
5464
734395
SH
DFND
1
734395
0
0
MEDLEY CAP CORP
COM
58503F106
4390
590113
SH
DFND
2
590113
0
0
MEDLEY CAP CORP
COM
58503F106
1065
143150
SH
DFND
143150
0
0
MEDLEY MGMT INC
CL A COM
58503T106
2004
302750
SH
DFND
1
302750
0
0
MEDLEY MGMT INC
CL A COM
58503T106
1829
276350
SH
DFND
276350
0
0
MERCER INTL INC
COM
588056101
111
11073
SH
DFND
1
11073
0
0
METLIFE INC
COM
59156R108
8251
175000
SH
DFND
1
175000
0
0
METLIFE INC
COM
59156R108
2603
55200
SH
DFND
2
55200
0
0
MICROSOFT CORP
COM
594918104
19762
446500
SH
DFND
1
446500
0
0
MICROSEMI CORP
COM
595137100
318
9699
SH
DFND
1
9699
0
0
MONDELEZ INTL INC
CL A
609207105
9348
223250
SH
DFND
1
223250
0
0
NII HLDGS INC
COM PAR $0.001
62913F508
180
27642
SH
DFND
1
27642
0
0
NII HLDGS INC
COM PAR $0.001
62913F508
377
57850
SH
DFND
2
57850
0
0
NII HLDGS INC
COM PAR $0.001
62913F508
186
28497
SH
DFND
28497
0
0
NMI HLDGS INC
CL A
629209305
3511
462000
SH
DFND
1
462000
0
0
NMI HLDGS INC
CL A
629209305
7038
926000
SH
DFND
2
926000
0
0
NATIONAL INTERSTATE CORP
COM
63654U100
272136
10200000
SH
DFND
1
10200000
0
0
NEW YORK CMNTY BANCORP INC
COM
649445103
6321
350000
SH
DFND
1
350000
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
495
10000
SH
DFND
1
10000
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
495
10000
SH
DFND
2
10000
0
0
OCWEN FINL CORP
COM NEW
675746309
302
45000
SH
DFND
1
45000
0
0
OCWEN FINL CORP
COM NEW
675746309
302
45000
SH
DFND
2
45000
0
0
OMEROS CORP
COM
682143102
3047
278040
SH
DFND
1
278040
0
0
OMEROS CORP
COM
682143102
4571
417061
SH
DFND
2
417061
0
0
OPUS BK IRVINE CALIF
COM
684000102
287
7506
SH
DFND
1
7506
0
0
ORGANOVO HLDGS INC
COM
68620A104
245
91500
SH
DFND
1
91500
0
0
ORGANOVO HLDGS INC
COM
68620A104
429
160000
SH
DFND
2
160000
0
0
PACIFIC DATAVISION INC
COM
694171307
12708
425000
SH
DFND
1
425000
0
0
PACIFIC DATAVISION INC
COM
694171307
20556
687500
SH
DFND
2
687500
0
0
PAYPAL HLDGS INC
COM
70450Y103
1800
58000
SH
DFND
1
58000
0
0
PAYPAL HLDGS INC
COM
70450Y103
1564
50400
SH
DFND
2
50400
0
0
PAYPAL HLDGS INC
COM
70450Y103
236
7600
SH
DFND
7600
0
0
PEABODY ENERGY CORP
COM
704549104
635
460000
SH
DFND
1
460000
0
0
PEABODY ENERGY CORP
COM
704549104
442
320000
SH
DFND
320000
0
0
PEAK RESORTS INC
COM
70469L100
8585
1245986
SH
DFND
1
1245986
0
0
PEOPLES UNITED FINANCIAL INC
COM
712704105
9910
630000
SH
DFND
1
630000
0
0
PERFICIENT INC
COM
71375U101
234
15169
SH
DFND
1
15169
0
0
PFIZER INC
COM
717081103
7476
238000
SH
DFND
1
238000
0
0
PFIZER INC
COM
717081103
628
20000
SH
DFND
20000
0
0
PHILIP MORRIS INTL INC
COM
718172109
516
6500
SH
DFND
1
6500
0
0
POTBELLY CORP
COM
73754Y100
330
30000
SH
DFND
1
30000
0
0
POTBELLY CORP
COM
73754Y100
1101
100000
SH
DFND
2
100000
0
0
POTBELLY CORP
COM
73754Y100
771
70000
SH
DFND
70000
0
0
PREMIERE GLOBAL SVCS INC
COM
740585104
334
24324
SH
DFND
1
24324
0
0
PROSPECT CAPITAL CORPORATION
NOTE 6.250%12/1
74348TAC6
478
475000
PRN
DFND
1
0
0
475000
PROSPECT CAPITAL CORPORATION
NOTE 6.250%12/1
74348TAC6
819
815000
PRN
DFND
2
0
0
815000
PROSPECT CAPITAL CORPORATION
NOTE 4.750% 4/1
74348TAQ5
7378
8200000
PRN
DFND
2
0
0
8200000
PROSPECT CAPITAL CORPORATION
COM
74348T102
3565
500000
SH
DFND
1
500000
0
0
PROSPECT CAPITAL CORPORATION
COM
74348T102
2852
400000
SH
DFND
2
400000
0
0
PROSPECT CAPITAL CORPORATION
COM
74348T102
713
100000
SH
DFND
100000
0
0
PROVIDENT FINL SVCS INC
COM
74386T105
282
14439
SH
DFND
1
14439
0
0
PRUDENTIAL FINL INC
COM
744320102
18100
237500
SH
DFND
1
237500
0
0
PRUDENTIAL FINL INC
COM
744320102
9246
121323
SH
DFND
121323
0
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
260
17345
SH
DFND
1
17345
0
0
REAL IND INC
COM
75601W104
190
21590
SH
DFND
1
21590
0
0
RESOLUTE FST PRODS INC
COM
76117W109
3515
422997
SH
DFND
1
422997
0
0
RESOLUTE FST PRODS INC
COM
76117W109
5771
694497
SH
DFND
2
694497
0
0
RESOLUTE FST PRODS INC
COM
76117W109
249
30000
SH
DFND
30000
0
0
REVOLUTION LIGHTING TECHNOLO
COM
76155G107
5142
5412854
SH
DFND
1
5412854
0
0
REVOLUTION LIGHTING TECHNOLO
COM
76155G107
5142
5412854
SH
DFND
2
5412854
0
0
REXFORD INDL RLTY INC
COM
76169C100
621
45000
SH
DFND
1
45000
0
0
REXFORD INDL RLTY INC
COM
76169C100
1448
105000
SH
DFND
2
105000
0
0
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
380
8000
SH
DFND
1
8000
0
0
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
7217
152000
SH
DFND
2
152000
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
308
6500
SH
DFND
1
6500
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
5853
123500
SH
DFND
2
123500
0
0
RUDOLPH TECHNOLOGIES INC
COM
781270103
167
13440
SH
DFND
1
13440
0
0
SCRIPPS NETWORKS INTERACT IN
CL A COM
811065101
7477
152000
SH
DFND
1
152000
0
0
SCRIPPS NETWORKS INTERACT IN
CL A COM
811065101
11215
228000
SH
DFND
2
228000
0
0
STARWOOD PPTY TR INC
COM
85571B105
308
15000
SH
DFND
1
15000
0
0
STARWOOD PPTY TR INC
COM
85571B105
308
15000
SH
DFND
15000
0
0
STONEGATE MTG CORP
COM
86181Q300
7525
1058330
SH
DFND
1
1058330
0
0
STONEGATE MTG CORP
COM
86181Q300
6777
953225
SH
DFND
2
953225
0
0
STONEGATE MTG CORP
COM
86181Q300
644
90556
SH
DFND
90556
0
0
STONERIDGE INC
COM
86183P102
259
21011
SH
DFND
1
21011
0
0
SUNEDISON INC
COM
86732Y109
3490
486000
SH
DFND
2
486000
0
0
SUNEDISON INC
COM
86732Y109
2326
324000
SH
DFND
324000
0
0
SYNAPTICS INC
COM
87157D109
339
4108
SH
DFND
1
4108
0
0
SYNERGY RES CORP
COM
87164P103
158
16161
SH
DFND
1
16161
0
0
SYSCO CORP
COM
871829107
740
19000
SH
DFND
1
19000
0
0
TECK RESOURCES LTD
CL B
878742204
356
74100
SH
DFND
1
74100
0
0
TECK RESOURCES LTD
CL B
878742204
192
40000
SH
DFND
40000
0
0
THOMSON REUTERS CORP
COM
884903105
725
18000
SH
DFND
1
18000
0
0
TORTOISE ENERGY INFRSTRCTR C
COM
89147L100
3463
127736
SH
DFND
1
127736
0
0
TORTOISE ENERGY INFRSTRCTR C
COM
89147L100
1924
70980
SH
DFND
2
70980
0
0
TWO HBRS INVT CORP
COM
90187B101
4057
460000
SH
DFND
1
460000
0
0
TWO HBRS INVT CORP
COM
90187B101
13706
1554000
SH
DFND
2
1554000
0
0
TWO HBRS INVT CORP
COM
90187B101
5389
611000
SH
DFND
611000
0
0
USA COMPRESSION PARTNERS LP
COMUNIT LTDPAR
90290N109
216
15000
SH
DFND
1
15000
0
0
USA COMPRESSION PARTNERS LP
COMUNIT LTDPAR
90290N109
2089
144871
SH
DFND
2
144871
0
0
USA COMPRESSION PARTNERS LP
COMUNIT LTDPAR
90290N109
216
15000
SH
DFND
15000
0
0
UNITED RENTALS INC
COM
911363109
901
15000
SH
DFND
1
15000
0
0
UNITED RENTALS INC
COM
911363109
901
15000
SH
DFND
2
15000
0
0
VANGUARD INTL EQUITY INDEX F
FTSE SMCAP ETF
922042718
213
2351
SH
DFND
1
2351
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
310
7265
SH
DFND
1
7265
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
593
3375
SH
DFND
1
3375
0
0
VANGUARD INDEX FDS
REIT ETF
922908553
384
5089
SH
DFND
1
5089
0
0
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
439
5380
SH
DFND
1
5380
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
1493
34321
SH
DFND
2
34321
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
1081
24853
SH
DFND
24853
0
0
VERISK ANALYTICS INC
COM
92345Y106
13761
186191
SH
DFND
1
186191
0
0
VIAD CORP
COM NEW
92552R406
257
8882
SH
DFND
1
8882
0
0
VIACOM INC NEW
CL B
92553P201
20175
467550
SH
DFND
1
467550
0
0
VIACOM INC NEW
CL B
92553P201
9815
227450
SH
DFND
227450
0
0
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
2259
71181
SH
DFND
2
71181
0
0
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
1636
51545
SH
DFND
51545
0
0
VOLTARI CORP
COM NEW
92870X309
40
5652
SH
DFND
1
5652
0
0
VOLTARI CORP
COM NEW
92870X309
60
8478
SH
DFND
2
8478
0
0
VONAGE HLDGS CORP
COM
92886T201
257
43699
SH
DFND
1
43699
0
0
WEC ENERGY GROUP INC
COM
92939U106
836
16000
SH
DFND
1
16000
0
0
WABASH NATL CORP
COM
929566107
150
14170
SH
DFND
1
14170
0
0
WELLS FARGO & CO NEW
COM
949746101
13967
272000
SH
DFND
1
272000
0
0
WILSHIRE BANCORP INC
COM
97186T108
154
14692
SH
DFND
1
14692
0
0
XCERRA CORP
COM
98400J108
240
38140
SH
DFND
1
38140
0
0