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 |
ROYAL GOLD INC | NOTE 2.875% 6/1 | 780287AA6 | 347 | 359,000 | PRN | DFND | 0 | 359,000 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 65 | 11,888 | SH | DFND | 0 | 11,888 | 0 | ||
ALLIANCEBERNSTEIN INCOME FUN | COM | 01881E101 | 369 | 46,985 | SH | DFND | 0 | 46,985 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 3,552 | 4,768 | SH | DFND | 0 | 4,768 | 0 | ||
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 2,575 | 460,645 | SH | DFND | 0 | 460,645 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 8,567 | 563,592 | SH | DFND | 0 | 563,592 | 0 | ||
B2GOLD CORP | COM | 11777Q209 | 2,160 | 1,301,160 | SH | DFND | 0 | 1,301,160 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,037 | 7,312 | SH | DFND | 0 | 7,312 | 0 | ||
BIRNER DENTAL MGMT SERVICES | COM NEW | 091283200 | 646 | 71,750 | SH | DFND | 0 | 71,750 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 6,339 | 485,013 | SH | DFND | 0 | 485,013 | 0 | ||
BLACKROCK GLOBAL OPP EQTY TR | COM | 092501105 | 197 | 16,541 | SH | DFND | 0 | 16,541 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 515 | 34,875 | SH | DFND | 0 | 34,875 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 1,659 | 132,496 | SH | DFND | 0 | 132,496 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 414 | 52,734 | SH | DFND | 0 | 52,734 | 0 | ||
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 10,675 | 538,877 | SH | DFND | 0 | 538,877 | 0 | ||
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 171 | 17,982 | SH | DFND | 0 | 17,982 | 0 | ||
COFFEE HLDGS INC | COM | 192176105 | 69 | 17,775 | SH | DFND | 0 | 17,775 | 0 | ||
COHEN & STEERS CLOSED END OP | COM | 19248P106 | 16,374 | 1,503,556 | SH | DFND | 0 | 1,503,556 | 0 | ||
COHEN & STEERS REIT & PFD IN | COM | 19247X100 | 1,322 | 69,864 | SH | DFND | 0 | 69,864 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 862 | 12,202 | SH | DFND | 0 | 12,202 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 639 | 8,343 | SH | DFND | 0 | 8,343 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 7,316 | 526,728 | SH | DFND | 0 | 526,728 | 0 | ||
COVANTA HLDG CORP | COM | 22282E102 | 3,843 | 227,920 | SH | DFND | 0 | 227,920 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 653 | 7,201 | SH | DFND | 0 | 7,201 | 0 | ||
DELAWARE INVT NAT MUNI INC F | SH BEN INT | 24610T108 | 488 | 35,329 | SH | DFND | 0 | 35,329 | 0 | ||
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 271 | 24,455 | SH | DFND | 0 | 24,455 | 0 | ||
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 12,492 | 785,177 | SH | DFND | 0 | 785,177 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 6,350 | 435,534 | SH | DFND | 0 | 435,534 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 1,493 | 108,410 | SH | DFND | 0 | 108,410 | 0 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 1,861 | 139,492 | SH | DFND | 0 | 139,492 | 0 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 1,742 | 29,860 | SH | DFND | 0 | 29,860 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,249 | 25,488 | SH | DFND | 0 | 25,488 | 0 | ||
FASTENAL CO | COM | 311900104 | 205 | 4,186 | SH | DFND | 0 | 4,186 | 0 | ||
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 1,122 | 98,933 | SH | DFND | 0 | 98,933 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 12,119 | 1,942,218 | SH | DFND | 0 | 1,942,218 | 0 | ||
GABELLI GLB SML & MD CP VAL | COM | 36249W104 | 684 | 64,727 | SH | DFND | 0 | 64,727 | 0 | ||
GABELLI GLOBL UTIL & INCOME | COM SH BEN INT | 36242L105 | 478 | 26,703 | SH | DFND | 0 | 26,703 | 0 | ||
GAIAM INC | CL A | 36268Q103 | 10,626 | 1,660,334 | SH | DFND | 0 | 1,660,334 | 0 | ||
GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 6,581 | 1,166,846 | SH | DFND | 0 | 1,166,846 | 0 | ||
GOVERNMENT PPTYS INCOME TR | COM SHS BEN INT | 38376A103 | 10,432 | 584,415 | SH | DFND | 0 | 584,415 | 0 | ||
GRAMERCY PPTY TR | COM | 385002100 | 6,057 | 716,801 | SH | DFND | 0 | 716,801 | 0 | ||
HARRIS & HARRIS GROUP INC | COM | 413833104 | 2,388 | 1,447,342 | SH | DFND | 0 | 1,447,342 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 1,669 | 213,640 | SH | DFND | 0 | 213,640 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 289 | 1,907 | SH | DFND | 0 | 1,907 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 7,476 | 695,428 | SH | DFND | 0 | 695,428 | 0 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 1,536 | 170,081 | SH | DFND | 0 | 170,081 | 0 | ||
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 3,664 | 296,658 | SH | DFND | 0 | 296,658 | 0 | ||
LEXINGTON REALTY TRUST | COM | 529043101 | 4,412 | 513,030 | SH | DFND | 0 | 513,030 | 0 | ||
MADISON CVRED CALL & EQ STR | COM | 557437100 | 388 | 51,931 | SH | DFND | 0 | 51,931 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 9,446 | 727,699 | SH | DFND | 0 | 727,699 | 0 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 589 | 72,400 | SH | DFND | 0 | 72,400 | 0 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 9,448 | 1,620,659 | SH | DFND | 0 | 1,620,659 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 209 | 3,790 | SH | DFND | 0 | 3,790 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 231 | 16,866 | SH | DFND | 0 | 16,866 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 231 | 17,495 | SH | DFND | 0 | 17,495 | 0 | ||
BLACKROCK MUNIYLD MICH QLTY | COM | 09254V105 | 296 | 20,348 | SH | DFND | 0 | 20,348 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 6,215 | 1,666,268 | SH | DFND | 0 | 1,666,268 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 4,374 | 424,697 | SH | DFND | 0 | 424,697 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 12,658 | 1,600,209 | SH | DFND | 0 | 1,600,209 | 0 | ||
NUVEEN MICH QUALITY INCOME M | COM | 670979103 | 949 | 66,053 | SH | DFND | 0 | 66,053 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 594 | 100,629 | SH | DFND | 0 | 100,629 | 0 | ||
PFIZER INC | COM | 717081103 | 245 | 8,280 | SH | DFND | 0 | 8,280 | 0 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 5,478 | 489,516 | SH | DFND | 0 | 489,516 | 0 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 756 | 9,190 | SH | DFND | 0 | 9,190 | 0 | ||
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 46 | 10,355 | SH | DFND | 0 | 10,355 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 5,429 | 105,845 | SH | DFND | 0 | 105,845 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 1,525 | 206,909 | SH | DFND | 0 | 206,909 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 5,267 | 752,431 | SH | DFND | 0 | 752,431 | 0 | ||
ROYCE VALUE TR INC | COM | 780910105 | 2,027 | 173,061 | SH | DFND | 0 | 173,061 | 0 | ||
SANDSTORM GOLD LTD | COM NEW | 80013R206 | 4,793 | 1,456,930 | SH | DFND | 0 | 1,456,930 | 0 | ||
SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | 6,103 | 341,167 | SH | DFND | 0 | 341,167 | 0 | ||
SILVER WHEATON CORP | COM | 828336107 | 8,428 | 508,352 | SH | DFND | 0 | 508,352 | 0 | ||
SPARK NETWORKS INC | COM | 84651P100 | 766 | 344,967 | SH | DFND | 0 | 344,967 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 1,860 | 142,316 | SH | DFND | 0 | 142,316 | 0 | ||
SUNOPTA INC | COM | 8676EP108 | 1,976 | 443,150 | SH | DFND | 0 | 443,150 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 270 | 15,777 | SH | DFND | 0 | 15,777 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 7,529 | 1,154,800 | SH | DFND | 0 | 1,154,800 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 2,159 | 215,274 | SH | DFND | 0 | 215,274 | 0 | ||
TIVO INC | COM | 888706108 | 2,119 | 222,870 | SH | DFND | 0 | 222,870 | 0 | ||
TRAVELZOO INC | COM NEW | 89421Q205 | 574 | 70,736 | SH | DFND | 0 | 70,736 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 4,483 | 2,591,455 | SH | DFND | 0 | 2,591,455 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 222 | 1,721 | SH | DFND | 0 | 1,721 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 6,905 | 1,709,247 | SH | DFND | 0 | 1,709,247 | 0 | ||
VEREIT INC | COM | 92339V100 | 5,910 | 666,239 | SH | DFND | 0 | 666,239 | 0 | ||
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 449 | 34,884 | SH | DFND | 0 | 34,884 | 0 | ||
VIRTUS TOTAL RETURN FD | COM | 92829A103 | 997 | 234,474 | SH | DFND | 0 | 234,474 | 0 | ||
VISA INC | COM CL A | 92826C839 | 1,682 | 21,993 | SH | DFND | 0 | 21,993 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 4,346 | 862,242 | SH | DFND | 0 | 862,242 | 0 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 4,699 | 284,938 | SH | DFND | 0 | 284,938 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 43,035 | 3,891,083 | SH | DFND | 0 | 3,891,083 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 11,615 | 1,019,745 | SH | DFND | 0 | 1,019,745 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 422 | 5,011 | SH | DFND | 0 | 5,011 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | WF GLOBAL OPPTY | 94987C103 | 4,472 | 749,058 | SH | DFND | 0 | 749,058 | 0 | ||
WELLS FARGO MULTI SECTOR INC | WF MLT SECTR INC | 94987D101 | 3,970 | 324,839 | SH | DFND | 0 | 324,839 | 0 | ||
WESTERN ASSET WORLDWIDE INCO | COM | 957668106 | 706 | 67,933 | SH | DFND | 0 | 67,933 | 0 | ||
ZWEIG FD | COM NEW | 989834205 | 234 | 18,145 | SH | DFND | 0 | 18,145 | 0 | ||
ZWEIG TOTAL RETURN FD INC | COM NEW | 989837208 | 650 | 54,195 | SH | DFND | 0 | 54,195 | 0 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 107 | 21,448 | SH | DFND | 0 | 21,448 | 0 | ||
CALAMOS DYNAMIC CONV & INCOM | COM | 12811V105 | 324 | 18,779 | SH | DFND | 0 | 18,779 | 0 | ||
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 964 | 137,096 | SH | DFND | 0 | 137,096 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 157 | 16,385 | SH | DFND | 0 | 16,385 | 0 | ||
GLOBAL SELF STORAGE INC | COM | 37955N106 | 5,003 | 1,027,213 | SH | DFND | 0 | 1,027,213 | 0 | ||
ISHARES TR | 7-10 Y TR BD ETF | 464287440 | 287 | 2,600 | SH | DFND | 0 | 2,600 | 0 | ||
ISHARES TR | 1-3 YR TR BD ETF | 464287457 | 281 | 3,300 | SH | DFND | 0 | 3,300 | 0 | ||
SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 356 | 6,454 | SH | DFND | 0 | 6,454 | 0 | ||
LMP CORPORATE LN FD INC | COM | 50208B100 | 3,597 | 368,542 | SH | DFND | 0 | 368,542 | 0 |