The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 018802AC2 | 1,401,488 | 1,425,000 | PRN | DFND | 1 | 1,425,000 | 0 | 0 | ||
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | 03769M304 | 3,967,380 | 62,000 | SH | DFND | 1 | 62,000 | 0 | 0 | ||
| BANK AMERICA CORP | 7.25%CNV PFD L | 060505682 | 9,483,078 | 7,950 | SH | DFND | 1 | 7,950 | 0 | 0 | ||
| BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 205,052 | 20,945 | SH | DFND | 1 | 20,945 | 0 | 0 | ||
| BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 09857LAN8 | 3,695,950 | 1,915,000 | PRN | DFND | 1 | 1,915,000 | 0 | 0 | ||
| CBL & ASSOC PPTYS INC | COMMON STOCK | 124830878 | 1,114,365 | 48,641 | SH | DFND | 1 | 48,641 | 0 | 0 | ||
| CLEAR CHANNEL OUTDOOR HLDGS | COM | 18453H106 | 166,176 | 100,713 | SH | DFND | 1 | 100,713 | 0 | 0 | ||
| EATON VANCE TAX MNGED BUY WR | COM | 27828X100 | 296,969 | 21,756 | SH | DFND | 1 | 21,756 | 0 | 0 | ||
| EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 298736AL3 | 1,225,275 | 1,275,000 | PRN | DFND | 1 | 1,275,000 | 0 | 0 | ||
| EXPEDIA GROUP INC | NOTE 2/1 | 30212PBE4 | 2,208,960 | 2,400,000 | PRN | DFND | 1 | 2,400,000 | 0 | 0 | ||
| FIRST TR SR FLTG RATE INCOME | COM | 33733U108 | 310,676 | 30,017 | SH | DFND | 1 | 30,017 | 0 | 0 | ||
| FORD MTR CO DEL | NOTE 3/1 | 345370CZ1 | 4,650,750 | 4,500,000 | PRN | DFND | 1 | 4,500,000 | 0 | 0 | ||
| HIGHLAND OPPORTUNITIES | HIGHLAND INCOME | 43010E404 | 526,779 | 74,933 | SH | DFND | 1 | 74,933 | 0 | 0 | ||
| IHEARTMEDIA INC | COM CL A | 45174J509 | 191,110 | 91,440 | SH | DFND | 1 | 91,440 | 0 | 0 | ||
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 | 1,341,756 | 63,440 | SH | DFND | 1 | 63,440 | 0 | 0 | ||
| ISHARES TR | IBOXX HI YD ETF | 464288513 | 290,943 | 3,743 | SH | DFND | 1 | 3,743 | 0 | 0 | ||
| NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 366,315 | 50,318 | SH | DFND | 1 | 50,318 | 0 | 0 | ||
| NEW MTN FIN CORP | NOTE 7.500%10/1 | 647551AE0 | 253,250 | 250,000 | PRN | DFND | 1 | 250,000 | 0 | 0 | ||
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 65339F713 | 3,837,320 | 97,000 | SH | DFND | 1 | 97,000 | 0 | 0 | ||
| PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 272,179 | 20,953 | SH | DFND | 1 | 20,953 | 0 | 0 | ||
| PIONEER DIVERSIFIED HIGH INC | COM | 723653101 | 228,707 | 19,260 | SH | DFND | 1 | 19,260 | 0 | 0 | ||
| PPL CAP FDG INC | NOTE 2.875% 3/1 | 69352PAS2 | 2,344,650 | 2,450,000 | PRN | DFND | 1 | 2,450,000 | 0 | 0 | ||
| PROSPECT CAP CORP | NOTE 6.375% 3/0 | 74348TAT9 | 347,383 | 350,000 | PRN | DFND | 1 | 350,000 | 0 | 0 | ||
| RIVERNORTH OPPORTUNITIES FD | COM | 76881Y109 | 603,987 | 50,165 | SH | DFND | 1 | 50,165 | 0 | 0 | ||
| SOUTHERN CO | NOTE 3.875%12/1 | 842587DP9 | 4,228,750 | 4,250,000 | PRN | DFND | 1 | 4,250,000 | 0 | 0 | ||
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 844741BG2 | 4,048,000 | 4,000,000 | PRN | DFND | 1 | 4,000,000 | 0 | 0 | ||
| SPDR SER TR | PORTFOLIO SHORT | 78464A474 | 249,354 | 8,376 | SH | DFND | 1 | 8,376 | 0 | 0 | ||
| SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 | 1,776,621 | 42,190 | SH | DFND | 1 | 42,190 | 0 | 0 | ||
| SUMMIT MIDSTREAM PARTNERS LP | COM UNIT LTD | 866142409 | 345,794 | 12,319 | SH | DFND | 1 | 12,319 | 0 | 0 | ||
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 | 224,183 | 2,924 | SH | DFND | 1 | 2,924 | 0 | 0 | ||
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 3,328,923 | 45,834 | SH | DFND | 1 | 45,834 | 0 | 0 | ||
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 83,627,763 | 321,769 | SH | DFND | 1 | 321,769 | 0 | 0 | ||
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 92206C102 | 663,101 | 11,419 | SH | DFND | 1 | 11,419 | 0 | 0 | ||
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 425,360 | 5,502 | SH | DFND | 1 | 5,502 | 0 | 0 | ||
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 9,672,000 | 8,000 | PRN | DFND | 1 | 8,000 | 0 | 0 | ||
| WESTERN ASSET HIGH INCOM FD | COM | 95766J102 | 270,945 | 60,614 | SH | DFND | 1 | 60,614 | 0 | 0 | ||