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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ARES CAPITAL CORP | NOTE 4.625% 3/0 | 04010LAW3 | 1,085,387 | 1,070,000 | PRN | DFND | 1 | 1,070,000 | 0 | 0 | ||
BANK AMERICA CORP | 7.25%CNV PFD L | 060505682 | 8,836,266 | 7,950 | SH | DFND | 1 | 7,950 | 0 | 0 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 744,942 | 86,320 | SH | DFND | 1 | 86,320 | 0 | 0 | ||
BLACKROCK DEBT STRATEGIES FD | COM NEW | 09255R202 | 287,560 | 28,000 | SH | DFND | 1 | 28,000 | 0 | 0 | ||
BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 09857LAN8 | 3,699,050 | 2,215,000 | PRN | DFND | 1 | 2,215,000 | 0 | 0 | ||
CBL & ASSOC PPTYS INC | COMMON STOCK | 124830878 | 1,235,030 | 58,867 | SH | DFND | 1 | 58,867 | 0 | 0 | ||
CLEAR CHANNEL OUTDOOR HLDGS | COM | 18453H106 | 200,848 | 127,119 | SH | DFND | 1 | 127,119 | 0 | 0 | ||
CSI COMPRESSCO LP | COM UNIT | 12637A103 | 2,296,143 | 1,663,872 | SH | DFND | 1 | 1,663,872 | 0 | 0 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 934,255 | 75,894 | SH | DFND | 1 | 75,894 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 781,628 | 64,544 | SH | DFND | 1 | 64,544 | 0 | 0 | ||
EATON VANCE TAX MNGED BUY WR | COM | 27828X100 | 211,293 | 16,756 | SH | DFND | 1 | 16,756 | 0 | 0 | ||
EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 298736AL3 | 1,525,125 | 1,660,000 | PRN | DFND | 1 | 1,660,000 | 0 | 0 | ||
EXPEDIA GROUP INC | NOTE 2/1 | 30212PBE4 | 2,258,880 | 2,600,000 | PRN | DFND | 1 | 2,600,000 | 0 | 0 | ||
FIRST TR SR FLTG RATE INCOME | COM | 33733U108 | 300,170 | 30,017 | SH | DFND | 1 | 30,017 | 0 | 0 | ||
HIGHLAND OPPORTUNITIES | HIGHLAND INCOME | 43010E404 | 146,103 | 18,172 | SH | DFND | 1 | 18,172 | 0 | 0 | ||
IHEARTMEDIA INC | COM CL A | 45174J509 | 203,703 | 64,463 | SH | DFND | 1 | 64,463 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 571,505 | 145,792 | SH | DFND | 1 | 145,792 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 216,884 | 2,942 | SH | DFND | 1 | 2,942 | 0 | 0 | ||
NEUBERGER BERMAN HIGH YIELD | COM | 64128C106 | 216,352 | 28,732 | SH | DFND | 1 | 28,732 | 0 | 0 | ||
NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 326,061 | 50,318 | SH | DFND | 1 | 50,318 | 0 | 0 | ||
NEXTERA ENERGY INC | UNIT 09/01/2025 | 65339F713 | 3,400,200 | 90,000 | SH | DFND | 1 | 90,000 | 0 | 0 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 246,826 | 20,953 | SH | DFND | 1 | 20,953 | 0 | 0 | ||
PIONEER DIVERSIFIED HIGH INC | COM | 723653101 | 196,837 | 19,260 | SH | DFND | 1 | 19,260 | 0 | 0 | ||
PIONEER FLOATING RATE FUND I | COM | 72369J102 | 121,887 | 13,528 | SH | DFND | 1 | 13,528 | 0 | 0 | ||
PROSPECT CAP CORP | NOTE 6.375% 3/0 | 74348TAT9 | 991,570 | 1,000,000 | PRN | DFND | 1 | 1,000,000 | 0 | 0 | ||
RIVERNORTH OPPORTUNITIES FD | COM | 76881Y109 | 367,177 | 34,936 | SH | DFND | 1 | 34,936 | 0 | 0 | ||
SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 844741BG2 | 3,970,000 | 4,000,000 | PRN | DFND | 1 | 4,000,000 | 0 | 0 | ||
SPDR SER TR | PORTFOLIO SHORT | 78464A474 | 296,718 | 10,120 | SH | DFND | 1 | 10,120 | 0 | 0 | ||
SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 | 328,396 | 7,832 | SH | DFND | 1 | 7,832 | 0 | 0 | ||
SUMMIT MIDSTREAM PARTNERS LP | COM UNIT LTD | 866142409 | 366,173 | 26,448 | SH | DFND | 1 | 26,448 | 0 | 0 | ||
VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 | 265,726 | 3,535 | SH | DFND | 1 | 3,535 | 0 | 0 | ||
VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 7,573,782 | 108,538 | SH | DFND | 1 | 108,538 | 0 | 0 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 81,885,117 | 385,505 | SH | DFND | 1 | 385,505 | 0 | 0 | ||
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 499,823 | 6,651 | SH | DFND | 1 | 6,651 | 0 | 0 | ||
WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 8,956,000 | 8,000 | SH | DFND | 1 | 8,000 | 0 | 0 | ||
WESTERN DIGITAL CORP. | NOTE 1.500% 2/0 | 958102AP0 | 3,091,535 | 3,145,000 | PRN | DFND | 1 | 3,145,000 | 0 | 0 |