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 |
| ALCENTRA CAP CORP | COM | 01374T102 | 11,583 | 912,081 | SH | DFND | 1 | 912,081 | 0 | 0 | |
| BANK AMER CORP | 7.25%CNV PFD L | 060505682 | 278 | 250 | SH | DFND | 1 | 250 | 0 | 0 | |
| BARCLAYS BANK PLC | ADS7.75%PFD S4 | 06739H511 | 13,473 | 520,000 | SH | DFND | 520,000 | 0 | 0 | ||
| CIT GROUP INC | COM NEW | 125581801 | 43 | 927 | SH | DFND | 927 | 0 | 0 | ||
| CIT GROUP INC | COM NEW | 125581801 | 284 | 6,099 | SH | DFND | 6,099 | 0 | 0 | ||
| CAPITALA FIN CORP | COM | 14054R106 | 3,361 | 215,476 | SH | SOLE | 215,476 | 0 | 0 | ||
| FIFTH STR SR FLOATNG RATE CO | COM | 31679F101 | 3,596 | 390,000 | SH | SOLE | 390,000 | 0 | 0 | ||
| ISHARES TR | CORE S&P TTL STK | 464287150 | 4,940 | 52,301 | SH | DFND | 52,301 | 0 | 0 | ||
| ISHARES TR | CORE S&P500 ETF | 464287200 | 17,771 | 85,760 | SH | DFND | 85,760 | 0 | 0 | ||
| ISHARES TR | CORE S&P500 ETF | 464287200 | 53,463 | 258,000 | SH | DFND | 1 | 258,000 | 0 | 0 | |
| ISHARES TR | IBOXX INV CP ETF | 464287242 | 5,207 | 45,000 | SH | DFND | 45,000 | 0 | 0 | ||
| ISHARES TR | IBOXX INV CP ETF | 464287242 | 3,472 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
| ISHARES TR | MSCI EAFE ETF | 464287465 | 15,492 | 244,000 | SH | DFND | 1 | 244,000 | 0 | 0 | |
| NRG ENERGY INC | COM NEW | 629377508 | 3 | 118 | SH | DFND | 118 | 0 | 0 | ||
| RESOLUTE FST PRODS INC | COM | 76117W109 | 50 | 4,425 | SH | DFND | 4,425 | 0 | 0 | ||
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 5,192 | 127,000 | SH | DFND | 1 | 127,000 | 0 | 0 | |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 17,786 | 94,185 | SH | DFND | 94,185 | 0 | 0 | ||
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 17,854 | 166,831 | SH | DFND | 166,831 | 0 | 0 | ||
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 70,943 | 662,891 | SH | DFND | 1 | 662,891 | 0 | 0 | |
| NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | 186 | 3,321 | SH | DFND | 3,321 | 0 | 0 | ||