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 |
|
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 |
AMERIPRISE FINL INC | COM | 03076C106 | 207 | 1,223 | SH | DFND | 1,2 | 1,223 | 0 | 0 | |
PIMCO HIGH INCOME FD | COM SHS | 722014107 | 1,363 | 182,686 | SH | DFND | 1,2 | 182,686 | 0 | 0 | |
DUFF & PHELPS SLCT ENGY MLP | COM | 26433F108 | 241 | 41,233 | SH | DFND | 1,2 | 41,233 | 0 | 0 | |
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 317 | 22,996 | SH | DFND | 1,2 | 22,996 | 0 | 0 | |
VOYA EMERGING MKTS HIGH DIVI | COM | 92912P108 | 142 | 15,929 | SH | DFND | 1,2 | 15,929 | 0 | 0 | |
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 282 | 21,206 | SH | DFND | 1,2 | 21,206 | 0 | 0 | |
INVESCO MUN TR | COM | 46131J103 | 380 | 30,400 | SH | DFND | 1,2 | 30,400 | 0 | 0 | |
FIDUCIARY CLAYMORE MLP OPP F | COM | 31647Q106 | 904 | 68,769 | SH | DFND | 1,2 | 68,769 | 0 | 0 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 1,479 | 170,957 | SH | DFND | 1,2 | 170,957 | 0 | 0 | |
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 236 | 28,063 | SH | DFND | 1,2 | 28,063 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 24,387 | 23,151 | SH | DFND | 1,2 | 23,151 | 0 | 0 | |
WESTERN ASSET MUN HI INCM FD | COM | 95766N103 | 79 | 10,722 | SH | DFND | 1,2 | 10,722 | 0 | 0 | |
GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | 118 | 11,412 | SH | DFND | 1,2 | 11,412 | 0 | 0 | |
ABERDEEN ISRAEL FUND INC | COM | 00301L109 | 404 | 21,124 | SH | DFND | 1,2 | 21,124 | 0 | 0 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 746 | 63,686 | SH | DFND | 1,2 | 63,686 | 0 | 0 | |
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 185 | 12,757 | SH | DFND | 1,2 | 12,757 | 0 | 0 | |
NOVO-NORDISK A S | ADR | 670100205 | 409 | 7,616 | SH | DFND | 1,2 | 7,616 | 0 | 0 | |
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 168 | 12,995 | SH | DFND | 1,2 | 12,995 | 0 | 0 | |
INVESCO SR INCOME TR | COM | 46131H107 | 331 | 75,454 | SH | DFND | 1,2 | 75,454 | 0 | 0 | |
ORIGO ACQUISITION CORP | SHS | G67789126 | 1,348 | 126,676 | SH | DFND | 1 | 126,676 | 0 | 0 | |
EATON VANCE MUNI INCOME TRUS | SH BEN INT | 27826U108 | 135 | 10,906 | SH | DFND | 1,2 | 10,906 | 0 | 0 | |
NUVEEN ENERGY MLP TOTL RTRNF | COM | 67074U103 | 737 | 64,707 | SH | DFND | 1,2 | 64,707 | 0 | 0 | |
BOB EVANS FARMS INC | COM | 096761101 | 72,106 | 914,818 | SH | DFND | 1,2 | 914,818 | 0 | 0 | |
GABELLI EQUITY TR INC | COM | 362397101 | 5,514 | 890,858 | SH | DFND | 1,2 | 890,858 | 0 | 0 | |
BLACKROCK MUNIYIELD CALI QLT | COM | 09254N103 | 225 | 15,317 | SH | DFND | 1,2 | 15,317 | 0 | 0 | |
ENDOCYTE INC | COM | 29269A102 | 61 | 14,342 | SH | DFND | 1,2 | 14,342 | 0 | 0 | |
ACTUA CORP | COM | 005094107 | 5,044 | 323,345 | SH | DFND | 1,2 | 323,345 | 0 | 0 | |
INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 541 | 43,641 | SH | DFND | 1,2 | 43,641 | 0 | 0 | |
ENPHASE ENERGY INC | COM | 29355A107 | 58 | 24,090 | SH | DFND | 1,2 | 24,090 | 0 | 0 | |
IONIS PHARMACEUTICALS INC | COM | 462222100 | 905 | 17,983 | SH | DFND | 1,2 | 17,983 | 0 | 0 | |
ABERDEEN GTR CHINA FD INC | COM | 003031101 | 704 | 56,572 | SH | DFND | 1,2 | 56,572 | 0 | 0 | |
KAYNE ANDERSON MDSTM ENERGY | COM | 48661E108 | 323 | 23,421 | SH | DFND | 1,2 | 23,421 | 0 | 0 | |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 313 | 2,460 | SH | DFND | 1,2 | 2,460 | 0 | 0 | |
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 272 | 35,314 | SH | DFND | 1,2 | 35,314 | 0 | 0 | |
EATON VANCE FLTING RATE INC | COM | 278279104 | 263 | 18,365 | SH | DFND | 1,2 | 18,365 | 0 | 0 | |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 422 | 20,814 | SH | DFND | 1,2 | 20,814 | 0 | 0 | |
STONE HBR EMERG MRKTS INC FD | COM | 86164T107 | 290 | 18,227 | SH | DFND | 1,2 | 18,227 | 0 | 0 | |
PIMCO MUNICIPAL INCOME FD | COM | 72200R107 | 255 | 19,645 | SH | DFND | 1,2 | 19,645 | 0 | 0 | |
ASSURED GUARANTY LTD | COM | G0585R106 | 252 | 7,450 | SH | DFND | 1,2 | 7,450 | 0 | 0 | |
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 1,991 | 190,480 | SH | DFND | 1,2 | 190,480 | 0 | 0 | |
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 10,955 | 43,000 | SH | DFND | 1 | 43,000 | 0 | 0 | |
ABERDEEN EMERGING MKTS SMALL | COM | 00301T102 | 467 | 32,084 | SH | DFND | 1,2 | 32,084 | 0 | 0 | |
CYS INVTS INC | COM | 12673A108 | 121 | 15,101 | SH | DFND | 1,2 | 15,101 | 0 | 0 | |
VIRNETX HLDG CORP | COM | 92823T108 | 58 | 15,613 | SH | DFND | 1,2 | 15,613 | 0 | 0 | |
BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 65 | 22,025 | SH | DFND | 1,2 | 22,025 | 0 | 0 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 567 | 51,827 | SH | DFND | 1,2 | 51,827 | 0 | 0 | |
PENNYMAC MTG INVT TR | COM | 70931T103 | 3,230 | 200,983 | SH | DFND | 1,2 | 200,983 | 0 | 0 | |
QUICKLOGIC CORP | COM | 74837P108 | 34 | 19,605 | SH | DFND | 1,2 | 19,605 | 0 | 0 | |
CASTLE BRANDS INC | COM | 148435100 | 52 | 42,564 | SH | DFND | 1,2 | 42,564 | 0 | 0 | |
PIONEER HIGH INCOME TR | COM | 72369H106 | 156 | 16,097 | SH | DFND | 1,2 | 16,097 | 0 | 0 | |
SOUTHWESTERN ENERGY CO | DEP SHS 1/20 B | 845467208 | 11,687 | 982,133 | SH | DFND | 1,2 | 982,133 | 0 | 0 | |
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 584 | 86,629 | SH | DFND | 1,2 | 86,629 | 0 | 0 | |
NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 118 | 19,088 | SH | DFND | 1,2 | 19,088 | 0 | 0 | |
KOPIN CORP | COM | 500600101 | 49 | 15,431 | SH | DFND | 1,2 | 15,431 | 0 | 0 | |
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 123 | 14,305 | SH | DFND | 1,2 | 14,305 | 0 | 0 | |
WELLS FARGO GLOBAL DIVIDEND | COM | 94987C103 | 128 | 21,655 | SH | DFND | 1,2 | 21,655 | 0 | 0 | |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 182 | 11,332 | SH | DFND | 1,2 | 11,332 | 0 | 0 | |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 209 | 12,883 | SH | DFND | 1,2 | 12,883 | 0 | 0 | |
CENTRAL FD CDA LTD | CL A | 153501101 | 102,949 | 7,682,729 | SH | DFND | 1,2 | 7,682,729 | 0 | 0 | |
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 117 | 17,950 | SH | DFND | 1,2 | 17,950 | 0 | 0 | |
NEW SR INVT GROUP INC | COM | 648691103 | 113 | 14,898 | SH | DFND | 1,2 | 14,898 | 0 | 0 | |
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 471 | 30,357 | SH | DFND | 1,2 | 30,357 | 0 | 0 | |
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 465 | 33,789 | SH | DFND | 1,2 | 33,789 | 0 | 0 | |
DIGITAL TURBINE INC | COM NEW | 25400W102 | 61 | 34,058 | SH | DFND | 1,2 | 34,058 | 0 | 0 | |
VOYA RISK MANAGED NAT RES FD | COM | 92913C106 | 72 | 11,447 | SH | DFND | 1,2 | 11,447 | 0 | 0 | |
TORTOISE ENERGY INFRA CORP | COM | 89147L100 | 2,221 | 76,373 | SH | DFND | 1,2 | 76,373 | 0 | 0 | |
PRICELINE GRP INC | COM NEW | 741503403 | 1,453 | 836 | SH | DFND | 1,2 | 836 | 0 | 0 | |
ALLERGAN PLC | 5.5% CNV PFD A | G0177J116 | 116,172 | 198,161 | SH | DFND | 1,2 | 198,161 | 0 | 0 | |
ABERDEEN INCOME CR STRATEGIE | COM | 003057106 | 193 | 13,725 | SH | DFND | 1,2 | 13,725 | 0 | 0 | |
SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 4,100 | 387,183 | SH | DFND | 1,2 | 387,183 | 0 | 0 | |
NUVEEN SR INCOME FD | COM | 67067Y104 | 149 | 22,887 | SH | DFND | 1,2 | 22,887 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 660 | 6,458 | SH | DFND | 1,2 | 6,458 | 0 | 0 | |
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 138 | 10,830 | SH | DFND | 1,2 | 10,830 | 0 | 0 | |
JUST ENERGY GROUP INC | COM | 48213W101 | 278 | 64,756 | SH | DFND | 1,2 | 64,756 | 0 | 0 | |
PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 324 | 21,923 | SH | DFND | 1,2 | 21,923 | 0 | 0 | |
AETNA INC NEW | COM | 00817Y108 | 8,627 | 47,826 | SH | DFND | 1,2 | 47,826 | 0 | 0 | |
RMR REAL ESTATE INCOME FUND | COM | 76970B101 | 276 | 14,437 | SH | DFND | 1,2 | 14,437 | 0 | 0 | |
BLACKROCK ENHANCED INTL DIV | COM BENE INTER | 092524107 | 100 | 15,292 | SH | DFND | 1,2 | 15,292 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 10,346 | 60,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
GANNETT CO INC | COM | 36473H104 | 124 | 10,660 | SH | DFND | 1,2 | 10,660 | 0 | 0 | |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 610 | 7,865 | SH | DFND | 1,2 | 7,865 | 0 | 0 | |
NOVAVAX INC | COM | 670002104 | 29 | 23,062 | SH | DFND | 1,2 | 23,062 | 0 | 0 | |
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 398 | 24,022 | SH | DFND | 1,2 | 24,022 | 0 | 0 | |
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 8,782 | 851,819 | SH | DFND | 1 | 851,819 | 0 | 0 | |
VERASTEM INC | COM | 92337C104 | 60 | 19,516 | SH | DFND | 1,2 | 19,516 | 0 | 0 | |
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 240 | 15,895 | SH | DFND | 1,2 | 15,895 | 0 | 0 | |
SPROTT PHYSICAL PLAT PALLAD | UNIT | 85207Q104 | 7,715 | 826,085 | SH | DFND | 1,2 | 826,085 | 0 | 0 | |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 850 | 27,487 | SH | DFND | 1,2 | 27,487 | 0 | 0 | |
BLACKROCK MUN 2030 TAR TERM | COM SHS BEN IN | 09257P105 | 294 | 13,167 | SH | DFND | 1,2 | 13,167 | 0 | 0 | |
ABERDEEN CHILE FD INC | COM | 00301W105 | 1,425 | 159,595 | SH | DFND | 1,2 | 159,595 | 0 | 0 | |
TORTOISE ENERGY INDEPENDENC | COM | 89148K101 | 280 | 21,113 | SH | DFND | 1,2 | 21,113 | 0 | 0 | |
CLEARBRIDGE ENERGY MLP OPP F | COM | 18469P100 | 469 | 39,754 | SH | DFND | 1,2 | 39,754 | 0 | 0 | |
KAYNE ANDERSON ENRGY TTL RT | COM | 48660P104 | 564 | 56,097 | SH | DFND | 1,2 | 56,097 | 0 | 0 | |
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 1,688 | 83,609 | SH | DFND | 1,2 | 83,609 | 0 | 0 | |
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 65 | 10,313 | SH | DFND | 1,2 | 10,313 | 0 | 0 | |
INTREPID POTASH INC | COM | 46121Y102 | 77 | 16,230 | SH | DFND | 1,2 | 16,230 | 0 | 0 | |
FRONTIER COMMUNICATIONS CORP | PFD CONV SER-A | 35906A207 | 5,694 | 526,278 | SH | DFND | 1,2 | 526,278 | 0 | 0 | |
BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 | 553 | 23,655 | SH | DFND | 1,2 | 23,655 | 0 | 0 | |
M I ACQUISITIONS INC | COM | 55304A104 | 2,503 | 245,600 | SH | DFND | 1,2 | 245,600 | 0 | 0 | |
MCDONALDS CORP | COM | 580135101 | 7,918 | 46,000 | SH | DFND | 1 | 46,000 | 0 | 0 | |
CLEARBRIDGE ENERGY MLP TR FD | COM | 18469Q108 | 536 | 46,157 | SH | DFND | 1,2 | 46,157 | 0 | 0 | |
BANK OF NT BUTTERFIELD&SON L | SHS NEW | G0772R208 | 1,031 | 27,500 | SH | DFND | 1,2 | 27,500 | 0 | 0 | |
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 182 | 11,099 | SH | DFND | 1,2 | 11,099 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 1,187 | 11,372 | SH | DFND | 1,2 | 11,372 | 0 | 0 | |
M III ACQUISITION CORP | COM | 55378T104 | 10,755 | 1,084,186 | SH | DFND | 1,2 | 1,084,186 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 11,750 | 84,100 | SH | DFND | 1,2 | 84,100 | 0 | 0 | |
ARES CAP CORP | COM | 04010L103 | 608 | 38,700 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
CHESAPEAKE ENERGY CORP | NOTE 2.250%12/1 | 165167CB1 | 65 | 70,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CENTER COAST MLP & INFRSTR F | COM SHS | 151461100 | 267 | 26,811 | SH | DFND | 1,2 | 26,811 | 0 | 0 | |
ABERDEEN INDONESIA FD INC | COM | 00305P106 | 195 | 25,472 | SH | DFND | 1,2 | 25,472 | 0 | 0 | |
ALLIANCEBERNSTEIN GBL HGH IN | COM | 01879R106 | 281 | 21,989 | SH | DFND | 1,2 | 21,989 | 0 | 0 | |
TEMPLETON EMERG MKTS INCOME | COM | 880192109 | 140 | 12,531 | SH | DFND | 1,2 | 12,531 | 0 | 0 | |
GLOBALSTAR INC | COM | 378973408 | 68 | 52,264 | SH | DFND | 1,2 | 52,264 | 0 | 0 | |
BAKER HUGHES A GE CO | CL A | 05722G100 | 278 | 8,785 | SH | DFND | 1,2 | 8,785 | 0 | 0 | |
PENSARE ACQUISITION CORP | COM | 70957E105 | 7,252 | 750,000 | SH | DFND | 1,2 | 750,000 | 0 | 0 | |
THAI FD INC | COM | 882904105 | 1,642 | 152,562 | SH | DFND | 1,2 | 152,562 | 0 | 0 | |
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 147 | 10,373 | SH | DFND | 1,2 | 10,373 | 0 | 0 | |
EQUITY COMWLTH | COM SH BEN INT | 294628102 | 7,700 | 252,367 | SH | DFND | 1,2 | 252,367 | 0 | 0 | |
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 714 | 146,262 | SH | DFND | 1,2 | 146,262 | 0 | 0 | |
JANUS HENDERSON GROUP PLC | NOTE 0.750% 7/1 | 47102XAH8 | 28,557 | 16,900,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 496 | 4,150 | SH | DFND | 1,2 | 4,150 | 0 | 0 | |
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 514 | 42,558 | SH | DFND | 1,2 | 42,558 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 689 | 9,613 | SH | DFND | 1,2 | 9,613 | 0 | 0 | |
GABELLI MULTIMEDIA TR INC | COM | 36239Q109 | 209 | 22,763 | SH | DFND | 1,2 | 22,763 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 571 | 3,808 | SH | DFND | 1,2 | 3,808 | 0 | 0 | |
PEREGRINE PHARMACEUTICALS IN | COM PAR | 713661502 | 53 | 13,683 | SH | DFND | 1,2 | 13,683 | 0 | 0 | |
REGENERON PHARMACEUTICALS | COM | 75886F107 | 215 | 571 | SH | DFND | 1,2 | 571 | 0 | 0 | |
TEKLA LIFE SCIENCES INVS | SH BEN INT | 87911K100 | 371 | 18,876 | SH | DFND | 1,2 | 18,876 | 0 | 0 | |
BARINGS GLOBAL SHORT DURATIO | COM | 06760L100 | 360 | 18,560 | SH | DFND | 1,2 | 18,560 | 0 | 0 | |
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 427 | 7,462 | SH | DFND | 1,2 | 7,462 | 0 | 0 | |
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 608 | 500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ALLERGAN PLC | SHS | G0177J108 | 61,424 | 375,500 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 23,493 | 290,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
OLD REP INTL CORP | NOTE 3.750% 3/1 | 680223AH7 | 56,494 | 40,788,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
RADIUS HEALTH INC | COM NEW | 750469207 | 461 | 14,525 | SH | DFND | 1,2 | 14,525 | 0 | 0 | |
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 213 | 16,995 | SH | DFND | 1,2 | 16,995 | 0 | 0 | |
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 371 | 53,265 | SH | DFND | 1,2 | 53,265 | 0 | 0 | |
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 343 | 23,766 | SH | DFND | 1,2 | 23,766 | 0 | 0 | |
DEUTSCHE MUN INCOME | COM | 25160C106 | 178 | 14,927 | SH | DFND | 1,2 | 14,927 | 0 | 0 | |
JENSYN ACQUISITION CORP | COM | 47632B102 | 2,611 | 253,498 | SH | DFND | 1,2 | 253,498 | 0 | 0 | |
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 461 | 41,592 | SH | DFND | 1,2 | 41,592 | 0 | 0 | |
BISON CAP ACQUISITION CORP | ORD SHS | G1142P104 | 4,688 | 475,000 | SH | DFND | 1,2 | 475,000 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | RIGHT 99/99/9999 | 203668116 | 21 | 3,000,000 | SH | DFND | 1,2 | 3,000,000 | 0 | 0 | |
ROYCE MICRO-CAP TR INC | COM | 780915104 | 172 | 18,239 | SH | DFND | 1,2 | 18,239 | 0 | 0 | |
GABELLI DIVD & INCOME TR | COM | 36242H104 | 640 | 27,341 | SH | DFND | 1,2 | 27,341 | 0 | 0 | |
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 267 | 20,496 | SH | DFND | 1,2 | 20,496 | 0 | 0 | |
ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | 655 | 43,579 | SH | DFND | 1,2 | 43,579 | 0 | 0 | |
DREYFUS HIGH YIELD STRATEGIE | SH BEN INT | 26200S101 | 89 | 26,509 | SH | DFND | 1,2 | 26,509 | 0 | 0 | |
KAYNE ANDERSON MLP INVT CO | COM | 486606106 | 1,905 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 750 | 11,639 | SH | DFND | 1,2 | 11,639 | 0 | 0 | |
NATIONAL ENERGY SERVICES REU | SHS | G6375R107 | 5,167 | 519,302 | SH | DFND | 1 | 519,302 | 0 | 0 | |
ISHARES INC | MSCI STH KOR ETF | 464286772 | 14,986 | 200,000 | SH | Put | DFND | 1 | 0 | 0 | 0 |
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 553 | 69,881 | SH | DFND | 1,2 | 69,881 | 0 | 0 | |
VOYA GLBL EQTY DIV & PREM OP | COM | 92912T100 | 433 | 55,851 | SH | DFND | 1,2 | 55,851 | 0 | 0 | |
BLACKROCK TAX MUNICPAL BD TR | SHS | 09248X100 | 253 | 10,910 | SH | DFND | 1,2 | 10,910 | 0 | 0 | |
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 300 | 26,275 | SH | DFND | 1,2 | 26,275 | 0 | 0 | |
INDIA FD INC | COM | 454089103 | 415 | 15,892 | SH | DFND | 1,2 | 15,892 | 0 | 0 | |
KAYNE ANDERSON ENERGY DEV CO | COM | 48660Q102 | 266 | 15,250 | SH | DFND | 1,2 | 15,250 | 0 | 0 | |
LIBERTY MEDIA CORP DELAWARE | NOTE 1.375%10/1 | 531229AB8 | 49,620 | 43,317,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
RIVERNORTH DOUBLELINE STRATE | COM | 76882G107 | 207 | 11,243 | SH | DFND | 1,2 | 11,243 | 0 | 0 | |
ASIA TIGERS FD INC | COM | 04516T105 | 133 | 10,769 | SH | DFND | 1,2 | 10,769 | 0 | 0 | |
ASA GOLD AND PRECIOUS MTLS L | SHS | G3156P103 | 232 | 20,523 | SH | DFND | 1,2 | 20,523 | 0 | 0 | |
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 2,790 | 2,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
FIRST TR ENERGY INFRASTRCTR | COM | 33738C103 | 254 | 14,191 | SH | DFND | 1,2 | 14,191 | 0 | 0 | |
GOLDMAN SACHS MLP ENERGY REN | COM | 38148G107 | 771 | 125,338 | SH | DFND | 1,2 | 125,338 | 0 | 0 | |
KBL MERGER CORP IV | COM | 48242A104 | 6,626 | 682,400 | SH | DFND | 1,2 | 682,400 | 0 | 0 | |
DEUTSCHE HIGH INCOME OPPORT | COM | 25158Y102 | 238 | 15,821 | SH | DFND | 1,2 | 15,821 | 0 | 0 | |
PRUDENTIAL GLB SHT DUR HG YL | COM | 74433A109 | 678 | 47,083 | SH | DFND | 1,2 | 47,083 | 0 | 0 | |
DRAPER OAKWOOD TECHNOLOGY | COM CL A | 26146L103 | 980 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
LANDCADIA HLDGS INC | CL A | 51476W107 | 5,506 | 553,334 | SH | DFND | 1 | 553,334 | 0 | 0 | |
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 500 | 34,942 | SH | DFND | 1,2 | 34,942 | 0 | 0 | |
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 331 | 23,775 | SH | DFND | 1,2 | 23,775 | 0 | 0 | |
BLACKROCK MUNI INCOME TR II | COM | 09249N101 | 165 | 11,404 | SH | DFND | 1,2 | 11,404 | 0 | 0 | |
MICROVISION INC DEL | COM NEW | 594960304 | 50 | 30,531 | SH | DFND | 1,2 | 30,531 | 0 | 0 | |
CONSTELLATION ALPHA CAP CORP | SHS | G2379F108 | 6,561 | 674,300 | SH | DFND | 1,2 | 674,300 | 0 | 0 | |
ATLANTIC ACQUISITION CORP | COM | 048206106 | 4,634 | 470,000 | SH | DFND | 1,2 | 470,000 | 0 | 0 | |
UNITED TECHNOLOGIES CORP | COM | 913017109 | 6,123 | 48,000 | SH | DFND | 1 | 48,000 | 0 | 0 | |
SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 316 | 28,661 | SH | DFND | 1,2 | 28,661 | 0 | 0 | |
NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 365 | 25,960 | SH | DFND | 1,2 | 25,960 | 0 | 0 | |
SPROTT PHYSICAL SILVER TR | TR UNIT | 85207K107 | 6,674 | 1,052,680 | SH | DFND | 1,2 | 1,052,680 | 0 | 0 | |
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 318 | 17,524 | SH | DFND | 1,2 | 17,524 | 0 | 0 | |
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 309 | 166,800 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
RYLAND GROUP INC | NOTE 0.250% 6/0 | 783764AS2 | 17,953 | 17,805,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
COHEN & STEERS LTD DUR PFD I | COM | 19248C105 | 223 | 8,548 | SH | DFND | 1,2 | 8,548 | 0 | 0 | |
TEKLA HEALTHCARE OPPORTUNIT | SHS | 879105104 | 257 | 14,651 | SH | DFND | 1,2 | 14,651 | 0 | 0 | |
JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 4,807 | 175,000 | SH | DFND | 1,2 | 175,000 | 0 | 0 | |
TORTOISE MLP FD INC | COM | 89148B101 | 983 | 55,980 | SH | DFND | 1,2 | 55,980 | 0 | 0 | |
PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 | 261 | 48,929 | SH | DFND | 1,2 | 48,929 | 0 | 0 | |
BLACKROCK CORE BD TR | SHS BEN INT | 09249E101 | 257 | 18,335 | SH | DFND | 1,2 | 18,335 | 0 | 0 | |
GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 720 | 138,219 | SH | DFND | 1,2 | 138,219 | 0 | 0 | |
MEXICO FD INC | COM | 592835102 | 205 | 13,041 | SH | DFND | 1,2 | 13,041 | 0 | 0 | |
ROYAL BK SCOTLAND GROUP PLC | SP ADR PREF S | 780097739 | 508 | 19,963 | SH | DFND | 1,2 | 19,963 | 0 | 0 | |
SENTINEL ENERGY SVCS INC | UNIT 11/02/2022 | G8062D128 | 1,983 | 198,900 | SH | DFND | 1,2 | 198,900 | 0 | 0 | |
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 191 | 15,346 | SH | DFND | 1,2 | 15,346 | 0 | 0 | |
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 555 | 51,006 | SH | DFND | 1,2 | 51,006 | 0 | 0 | |
TEMPLETON DRAGON FD INC | COM | 88018T101 | 329 | 15,279 | SH | DFND | 1,2 | 15,279 | 0 | 0 | |
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 253 | 39,090 | SH | DFND | 1,2 | 39,090 | 0 | 0 | |
CLOUGH GLOBAL EQUITY FD | COM | 18914C100 | 261 | 19,527 | SH | DFND | 1,2 | 19,527 | 0 | 0 | |
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 727 | 88,496 | SH | DFND | 1,2 | 88,496 | 0 | 0 | |
BLACKROCK ENHANCED GBL DIV T | COM | 092501105 | 591 | 47,205 | SH | DFND | 1,2 | 47,205 | 0 | 0 | |
ARROWHEAD PHARMACEUTICALS IN | COM | 04280A100 | 70 | 19,093 | SH | DFND | 1,2 | 19,093 | 0 | 0 | |
FORUM MERGER CORP | COM CL A | 34985B103 | 2,723 | 272,885 | SH | DFND | 1 | 272,885 | 0 | 0 | |
MODERN MEDIA ACQUISITION | COM | 60765P103 | 8,252 | 842,000 | SH | DFND | 1,2 | 842,000 | 0 | 0 | |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 479 | 20,506 | SH | DFND | 1,2 | 20,506 | 0 | 0 | |
BLACKROCK ENHANCED EQT DIV T | COM | 09251A104 | 259 | 28,105 | SH | DFND | 1,2 | 28,105 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 24,635 | 1,300,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
LIBERTY MEDIA CORP | DEB 3.500% 1/1 | 530715AN1 | 17,375 | 31,183,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
RLJ LODGING TR | CUM CONV PFD A | 74965L200 | 15,470 | 572,739 | SH | DFND | 1,2 | 572,739 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 13,955 | 500,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
INDUSTREA ACQUISITION CORP | CL A | 45579J104 | 4,794 | 493,195 | SH | DFND | 1,2 | 493,195 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 2,482 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
VIDEOCON D2H LTD | ADR | 92657J101 | 18,464 | 1,941,527 | SH | DFND | 1,2 | 1,941,527 | 0 | 0 | |
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 1,033 | 75,644 | SH | DFND | 1,2 | 75,644 | 0 | 0 | |
SAFE BULKERS INC | COM | Y7388L103 | 62 | 19,125 | SH | DFND | 1,2 | 19,125 | 0 | 0 | |
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 50,590 | 23,150,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PIMCO DYNMIC CREDIT AND MRT | COM SHS | 72202D106 | 1,739 | 77,478 | SH | DFND | 1,2 | 77,478 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 971 | 10,249 | SH | DFND | 1,2 | 10,249 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 10,346 | 60,000 | SH | DFND | 1,2 | 60,000 | 0 | 0 | |
RESOURCE CAP CORP | NOTE 4.500% 8/1 | 76120WAC8 | 14,618 | 15,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 1,630 | 86,000 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 384 | 42,107 | SH | DFND | 1,2 | 42,107 | 0 | 0 | |
LMP CAP & INCOME FD INC | COM | 50208A102 | 194 | 13,930 | SH | DFND | 1,2 | 13,930 | 0 | 0 | |
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 214 | 15,646 | SH | DFND | 1,2 | 15,646 | 0 | 0 | |
GABELLI GLB SML & MD CP VAL | COM | 36249W104 | 229 | 17,945 | SH | DFND | 1,2 | 17,945 | 0 | 0 | |
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 17,357 | 1,798,700 | SH | DFND | 1,2 | 1,798,700 | 0 | 0 | |
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 273 | 43,410 | SH | DFND | 1,2 | 43,410 | 0 | 0 | |
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 433 | 38,608 | SH | DFND | 1,2 | 38,608 | 0 | 0 | |
PIONEER FLOATING RATE TR | COM | 72369J102 | 155 | 13,488 | SH | DFND | 1,2 | 13,488 | 0 | 0 | |
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 495 | 97,564 | SH | DFND | 1,2 | 97,564 | 0 | 0 | |
EATON VANCE ENH EQTY INC FD | COM | 278277108 | 311 | 20,451 | SH | DFND | 1,2 | 20,451 | 0 | 0 | |
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 186 | 36,693 | SH | DFND | 1,2 | 36,693 | 0 | 0 | |
HUNTER MARITIME ACQUISITION | CL A | Y37828111 | 878 | 90,000 | SH | DFND | 1,2 | 90,000 | 0 | 0 | |
ANTHEM INC | UNIT 05/01/20188 | 036752202 | 12,488 | 223,000 | SH | DFND | 1,2 | 223,000 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 432 | 2,620 | SH | DFND | 1,2 | 2,620 | 0 | 0 | |
OM ASSET MGMT PLC | SHS | G67506108 | 4,312 | 257,449 | SH | DFND | 1,2 | 257,449 | 0 | 0 | |
BIG ROCK PARTNERS ACQUISI CO | COM | 089482103 | 1,702 | 175,800 | SH | DFND | 1,2 | 175,800 | 0 | 0 | |
BRISTOW GROUP INC | NOTE 4.500% 6/0 | 110394AF0 | 1,829 | 1,650,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ABERDEEN SINGAPORE FD INC | COM | 003244100 | 436 | 35,107 | SH | DFND | 1,2 | 35,107 | 0 | 0 | |
JUNO THERAPEUTICS INC | COM | 48205A109 | 211 | 4,606 | SH | DFND | 1,2 | 4,606 | 0 | 0 | |
GENERAL AMERN INVS INC | COM | 368802104 | 548 | 15,936 | SH | DFND | 1,2 | 15,936 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 3,004 | 16,322 | SH | DFND | 1,2 | 16,322 | 0 | 0 | |
I AM CAP ACQUISITION CO | COM | 45074Q108 | 2,468 | 250,000 | SH | DFND | 1,2 | 250,000 | 0 | 0 | |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 802 | 35,572 | SH | DFND | 1,2 | 35,572 | 0 | 0 | |
ABERDEEN LATIN AMER EQTY FD | COM | 00306K106 | 477 | 17,865 | SH | DFND | 1,2 | 17,865 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 21,114 | 200,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 1,952 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | |
IMMUNE DESIGN CORP | COM | 45252L103 | 44 | 11,309 | SH | DFND | 1,2 | 11,309 | 0 | 0 | |
GIGCAPITAL INC | UNIT 03/06/2025 | 37518N205 | 3,000 | 300,000 | SH | DFND | 1,2 | 300,000 | 0 | 0 | |
BLACK RIDGE ACQUISITION CORP | COM | 09216T107 | 9,409 | 975,000 | SH | DFND | 1,2 | 975,000 | 0 | 0 | |
SEABRIDGE GOLD INC | COM | 811916105 | 2,270 | 200,000 | SH | DFND | 1,2 | 200,000 | 0 | 0 | |
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 256 | 15,125 | SH | DFND | 1,2 | 15,125 | 0 | 0 | |
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 357 | 5,427 | SH | DFND | 1,2 | 5,427 | 0 | 0 | |
R1 RCM INC | COM | 749397105 | 62 | 14,016 | SH | DFND | 1,2 | 14,016 | 0 | 0 | |
LOCKHEED MARTIN CORP | COM | 539830109 | 4,816 | 15,000 | SH | DFND | 1 | 15,000 | 0 | 0 | |
WASHINGTON PRIME GROUP NEW | COM | 93964W108 | 122 | 17,182 | SH | DFND | 1,2 | 17,182 | 0 | 0 | |
PLUG POWER INC | COM NEW | 72919P202 | 63 | 26,570 | SH | DFND | 1,2 | 26,570 | 0 | 0 | |
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 9,344 | 962,321 | SH | DFND | 1 | 962,321 | 0 | 0 | |
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 10,692 | 1,100,000 | SH | DFND | 1 | 1,100,000 | 0 | 0 | |
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 14,929 | 1,523,342 | SH | DFND | 1,2 | 1,523,342 | 0 | 0 | |
SUCAMPO PHARMACEUTICALS INC | NOTE 3.250%12/1 | 864909AB2 | 5,480 | 4,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 |