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 | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| AGNC INVT CORP | COM | 00123Q104 | 5,420 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
| AMERICAN CAP SR FLOATING LTD | COM | 02504D108 | 2,933 | 255,000 | SH | DFND | 1 | 255,000 | 0 | 0 | |
| ARES CAP CORP | COM | 04010L103 | 45,073 | 2,750,000 | SH | DFND | 1 | 2,750,000 | 0 | 0 | |
| EAGLE BULK SHIPPING INC | SHS NEW | Y2187A143 | 2,272 | 501,566 | SH | DFND | 1 | 501,566 | 0 | 0 | |
| KCAP FINL INC | COM | 48668E101 | 5,028 | 1,377,559 | SH | DFND | 1 | 1,377,559 | 0 | 0 | |
| NAVIOS MARITIME HLDGS INC | SPON ADR PFD H | 63938Y308 | 3,544 | 225,000 | SH | DFND | 1 | 225,000 | 0 | 0 | |
| NAVIOS MARITIME HLDGS INC | SPN ADR RP PFD G | 63938Y100 | 2,120 | 135,000 | SH | DFND | 1 | 135,000 | 0 | 0 | |
| NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 8,200 | 4,000,000 | SH | DFND | 1 | 4,000,000 | 0 | 0 | |
| PEABODY ENERGY CORP NEW | 8.5% PFD CONV A | 704551407 | 2,891 | 50,052 | SH | DFND | 1 | 50,052 | 0 | 0 | |
| PEABODY ENERGY CORP NEW | COM | 704551100 | 7,866 | 271,141 | SH | DFND | 1 | 271,141 | 0 | 0 | |
| STONECASTLE FINL CORP | COM | 861780104 | 2,892 | 140,106 | SH | DFND | 1 | 140,106 | 0 | 0 | |