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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
APOLLO GLOBAL MGMT INC | SER A MAND CNV | 03769M304 | 3,970,852 | 70,293 | SH | DFND | 1 | 70,293 | 0 | 0 | ||
ARES CAPITAL CORP | NOTE 4.625% 3/0 | 04010LAW3 | 1,101,437 | 1,070,000 | PRN | DFND | 1 | 1,070,000 | 0 | 0 | ||
BANK AMERICA CORP | 7.25%CNV PFD L | 060505682 | 9,647,723 | 7,950 | SH | DFND | 1 | 7,950 | 0 | 0 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 813,998 | 86,320 | SH | DFND | 1 | 86,320 | 0 | 0 | ||
BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 09857LAN8 | 4,172,617 | 2,215,000 | PRN | DFND | 1 | 2,215,000 | 0 | 0 | ||
CBL & ASSOC PPTYS INC | COMMON STOCK | 124830878 | 1,211,965 | 49,630 | SH | DFND | 1 | 49,630 | 0 | 0 | ||
CLEAR CHANNEL OUTDOOR HLDGS | COM | 18453H106 | 183,298 | 100,713 | SH | DFND | 1 | 100,713 | 0 | 0 | ||
CSI COMPRESSCO LP | COM UNIT | 12637A103 | 2,228,785 | 1,367,353 | SH | DFND | 1 | 1,367,353 | 0 | 0 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 483,137 | 38,497 | SH | DFND | 1 | 38,497 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 216,106 | 17,070 | SH | DFND | 1 | 17,070 | 0 | 0 | ||
EATON VANCE TAX MNGED BUY WR | COM | 27828X100 | 282,393 | 21,756 | SH | DFND | 1 | 21,756 | 0 | 0 | ||
EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 298736AL3 | 1,192,125 | 1,275,000 | PRN | DFND | 1 | 1,275,000 | 0 | 0 | ||
EXPEDIA GROUP INC | NOTE 2/1 | 30212PBE4 | 2,458,300 | 2,600,000 | PRN | DFND | 1 | 2,600,000 | 0 | 0 | ||
FIRST TR SR FLTG RATE INCOME | COM | 33733U108 | 302,872 | 30,017 | SH | DFND | 1 | 30,017 | 0 | 0 | ||
FORD MTR CO DEL | NOTE 3/1 | 345370CZ1 | 4,477,500 | 4,500,000 | PRN | DFND | 1 | 4,500,000 | 0 | 0 | ||
IHEARTMEDIA INC | COM CL A | 45174J509 | 244,145 | 91,440 | SH | DFND | 1 | 91,440 | 0 | 0 | ||
INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 | 1,343,659 | 63,440 | SH | DFND | 1 | 63,440 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 258,560 | 3,341 | SH | DFND | 1 | 3,341 | 0 | 0 | ||
NEUBERGER BERMAN HIGH YIELD | COM | 64128C106 | 221,811 | 28,732 | SH | DFND | 1 | 28,732 | 0 | 0 | ||
NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 354,239 | 50,318 | SH | DFND | 1 | 50,318 | 0 | 0 | ||
NEW MTN FIN CORP | NOTE 7.500%10/1 | 647551AE0 | 954,570 | 940,000 | PRN | DFND | 1 | 940,000 | 0 | 0 | ||
NEXTERA ENERGY INC | UNIT 09/01/2025 | 65339F713 | 3,704,430 | 97,000 | SH | DFND | 1 | 97,000 | 0 | 0 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 258,141 | 20,953 | SH | DFND | 1 | 20,953 | 0 | 0 | ||
PIONEER DIVERSIFIED HIGH INC | COM | 723653101 | 206,641 | 19,260 | SH | DFND | 1 | 19,260 | 0 | 0 | ||
PIONEER FLOATING RATE FUND I | COM | 72369J102 | 124,052 | 13,528 | SH | DFND | 1 | 13,528 | 0 | 0 | ||
PROSPECT CAP CORP | NOTE 6.375% 3/0 | 74348TAT9 | 996,880 | 1,000,000 | PRN | DFND | 1 | 1,000,000 | 0 | 0 | ||
RIVERNORTH OPPORTUNITIES FD | COM | 76881Y109 | 551,313 | 50,165 | SH | DFND | 1 | 50,165 | 0 | 0 | ||
SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 844741BG2 | 4,042,000 | 4,000,000 | PRN | DFND | 1 | 4,000,000 | 0 | 0 | ||
SPDR SER TR | PORTFOLIO SHORT | 78464A474 | 329,069 | 11,050 | SH | DFND | 1 | 11,050 | 0 | 0 | ||
SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 | 1,711,457 | 40,817 | SH | DFND | 1 | 40,817 | 0 | 0 | ||
SUMMIT MIDSTREAM PARTNERS LP | COM UNIT LTD | 866142409 | 473,684 | 26,448 | SH | DFND | 1 | 26,448 | 0 | 0 | ||
VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 | 297,220 | 3,859 | SH | DFND | 1 | 3,859 | 0 | 0 | ||
VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 3,440,816 | 46,782 | SH | DFND | 1 | 46,782 | 0 | 0 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 77,548,641 | 326,906 | SH | DFND | 1 | 326,906 | 0 | 0 | ||
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 561,861 | 7,262 | SH | DFND | 1 | 7,262 | 0 | 0 | ||
WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 9,657,600 | 8,000 | PRN | DFND | 1 | 8,000 | 0 | 0 |