0001047469-13-001057.txt : 20130214 0001047469-13-001057.hdr.sgml : 20130214 20130214100739 ACCESSION NUMBER: 0001047469-13-001057 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GOODWIN DANIEL L CENTRAL INDEX KEY: 0001119191 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13434 FILM NUMBER: 13607187 MAIL ADDRESS: STREET 1: 2901 BUTTERFIELD RD CITY: OAK BROOK STATE: IL ZIP: 60523 13F-HR 1 a2212831z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 ----------------------- Check Here if Amendment / /; Amendment Number: --------- This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Daniel L. Goodwin ------------------------------- Address: 2901 Butterfield Road ------------------------------- Oak Brook, IL 60523 ------------------------------- Form 13F File Number: 28-13434 --------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Daniel L. Goodwin ------------------------------- Title: ------------------------------- Phone: (630) 218-8000 ------------------------------- Signature, Place, and Date of Signing: /S/ DANIEL L. GOODWIN Oak Brook, IL February 14, 2013 ------------------------------- ----------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 5 -------------------- Form 13F Information Table Entry Total: 194 (data records) -------------------- Form 13F Information Table Value Total: $480,840 (x1000) -------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1. 28-13432 The Inland Group, Inc. ------ --------------- ----------------------------------------- 2. 28-13457 Inland Real Estate Investment Corporation ------ --------------- ----------------------------------------- 3. 28-13252 Inland Investment Advisors, Inc. ------ --------------- ----------------------------------------- 4. 28-13253 Inland American Real Estate Trust, Inc. ------ --------------- ----------------------------------------- 5. 28-13435 Inland Investment Stock Holding Company ------ --------------- ----------------------------------------- 2 FORM 13F INFORMATION TABLE
SHRS OR VALUE PRN SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- --------- --- ---- ---------- ---------- --------- --------- ---- AG MTG INVT TR INC COM 001228105 $117 5,000 SH DEFINED 1, 2, 3 5,000 0 0 AG MTG INVT TR INC COM 001228105 $587 25,000 SH OTHER 1, 2, 3, 4 0 25,000 0 AMERICA FIRST TAX EX IVS L P BEN UNIT CTF 02364V107 $300 45,000 SH DEFINED 1, 2, 3 45,000 0 0 ANNALY CAP MGMT INC COM 035710409 $84 6,000 SH DEFINED 1, 2, 3 6,000 0 0 ANNALY CAP MGMT INC COM 035710409 $176 12,500 SH OTHER 1, 2, 3 0 12,500 0 ANNALY CAP MGMT INC COM 035710409 $2,050 146,000 SH OTHER 1, 2, 3, 4 0 146,000 0 APARTMENT INVT & MGMT CO CL A 03748R101 $1,710 63,200 SH DEFINED 1, 2, 3 63,200 0 0 ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 044103505 $214 8,000 SH OTHER 1, 2, 3 0 8,000 0 ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 044103505 $724 27,000 SH OTHER 1, 2, 3, 4 0 27,000 0 ASHFORD HOSPITALITY TR INC COM SHS 044103109 $367 34,923 SH DEFINED 1, 2, 3 34,923 0 0 BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 $3,161 2,785 SH DEFINED 1, 2, 3 2,785 0 0 BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 $1,773 1,562 SH OTHER 1, 2, 3 0 1,562 0 BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 $5,527 4,870 SH OTHER 1, 2, 3, 4 0 4,870 0 BANK OF AMERICA CORPORATION COM 060505104 $348 30,000 SH DEFINED 1, 2, 3 30,000 0 0 BANK OF AMERICA CORPORATION COM 060505104 $1,650 142,100 SH OTHER 1, 2, 3 0 142,100 0 BARCLAYS PLC ADR 06738E204 $693 40,000 SH DEFINED 1, 2, 3 40,000 0 0 BARCLAYS PLC ADR 06738E204 $410 23,700 SH OTHER 1, 2, 3 0 23,700 0 BLACKROCK CORPOR HI YLD FD III COM 09255M104 $167 22,100 SH OTHER 1, 2, 3 0 22,100 0 BLACKROCK HIGH INCOME SHS SHS BEN INT 09250E107 $139 59,000 SH OTHER 1, 2, 3 0 59,000 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 $258 15,500 SH DEFINED 1, 2, 3 15,500 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 $96 5,800 SH OTHER 1, 2, 3 0 5,800 0 BLACKROCK MUNICIPAL INC QLTY COM 092479104 $542 33,470 SH DEFINED 1, 2, 3 33,470 0 0 BLACKROCK MUNIHLDGS FD II IN COM 09253P109 $165 9,887 SH DEFINED 1, 2, 3 9,887 0 0 BLACKROCK MUNIHLDGS FD II IN COM 09253P109 $275 16,500 SH OTHER 1, 2, 3 0 16,500 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 $182 12,097 SH DEFINED 1, 2, 3 12,097 0 0 BLACKROCK MUNIHOLDNGS QLTY I COM 09254A101 $856 56,662 SH DEFINED 1, 2, 3 56,662 0 0 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 $806 52,672 SH DEFINED 1, 2, 3 52,672 0 0 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 $23 1,500 SH OTHER 1, 2, 3 0 1,500 0 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 $377 5,500 SH DEFINED 1, 2, 3 5,500 0 0 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 $206 3,000 SH OTHER 1, 2, 3 0 3,000 0 BROOKDALE SR LIVING INC COM 112463104 $241 9,500 SH DEFINED 1, 2, 3 9,500 0 0 CAPITAL TRUST INC MD CL A NEW 14052H506 $291 138,500 SH OTHER 1, 2, 3, 4 0 138,500 0 CEDAR REALTY TRUST INC. COM NEW 150602209 $5 1,000 SH DEFINED 1, 2, 3 1,000 0 0 CEDAR REALTY TRUST INC. COM NEW 150602209 $32,393 6,135,088 SH OTHER 1, 2, 3, 4 0 6,135,088 0 CITIGROUP INC COM NEW 172967424 $512 12,950 SH DEFINED 1, 2, 3 12,950 0 0 CITIGROUP INC COM NEW 172967424 $178 4,500 SH OTHER 1, 2, 3 0 4,500 0 COMMONWEALTH REIT 6.50% PFD CUM CO 203233408 $115 5,000 SH DEFINED 1, 2, 3 5,000 0 0 COMMONWEALTH REIT 6.50% PFD CUM CO 203233408 $1,150 49,834 SH OTHER 1, 2, 3 0 49,834 0 COMMONWEALTH REIT 6.50% PFD CUM CO 203233408 $1,054 45,660 SH OTHER 1, 2, 3, 4 0 45,660 0 CROSS TIMBERS RTY TR TR UNIT 22757R109 $108 4,000 SH DEFINED 1, 2, 3 4,000 0 0 CROSS TIMBERS RTY TR TR UNIT 22757R109 $234 8,700 SH OTHER 1, 2, 3 0 8,700 0 DDR CORP COM 23317H102 $998 63,750 SH DEFINED 1, 2, 3 63,750 0 0 DDR CORP COM 23317H102 $169 10,795 SH OTHER 1, 2, 3 0 10,795 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 $788 11,600 SH DEFINED 1, 2, 3 11,600 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 $82 1,200 SH OTHER 1, 2, 3 0 1,200 0 DIAMONDROCK HOSPITALITY CO COM 252784301 $382 42,412 SH OTHER 1, 2, 3, 4 0 42,412 0 DREYFUS MUN INCOME INC COM 26201R102 $137 13,157 SH DEFINED 1, 2, 3 13,157 0 0
3 DREYFUS STRATEGIC MUNS INC COM 261932107 $896 93,800 SH DEFINED 1, 2, 3 93,800 0 0 DREYFUS STRAT MUNS INC COM 261932107 $62 6,500 SH OTHER 1, 2, 3 0 6,500 0 EATON VANCE MUN BD FD COM 27827X101 $1,092 78,065 SH DEFINED 1, 2, 3 78,065 0 0 EATON VANCE MUN BD FD COM 27827X101 $70 5,000 SH OTHER 1, 2, 3 0 5,000 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 $349 12,500 SH DEFINED 1, 2, 3 12,500 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 $73 2,600 SH OTHER 1, 2, 3 0 2,600 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 $1,172 27,300 SH DEFINED 1, 2, 3 27,300 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 $318 7,400 SH OTHER 1, 2, 3 0 7,400 0 ENERPLUS CORP COM 292766102 $65 5,000 SH DEFINED 1, 2, 3 5,000 0 0 ENERPLUS CORP COM 292766102 $150 11,602 SH OTHER 1, 2, 3 0 11,602 0 EPR PPTYS PFD C CNV 5.75% 26884U208 $439 20,000 SH OTHER 1, 2, 3 0 20,000 0 EPR PPTYS PFD C CNV 5.75% 26884U208 $220 10,000 SH OTHER 1, 2, 3, 4 0 10,000 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 $538 9,500 SH DEFINED 1, 2, 3 9,500 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 $38 664 SH OTHER 1, 2, 3 0 664 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 $567 10,000 SH OTHER 1, 2, 3, 4 0 10,000 0 FIRST INDUSTRIAL REALTY TRUS COM 32054K103 $134 9,500 SH DEFINED 1, 2, 3 9,500 0 0 FIRST INDUSTRIAL REALTY TRUS COM 32054K103 $63 4,500 SH OTHER 1, 2, 3 0 4,500 0 FIRST INDUSTRIAL REALTY TRUS COM 32054K103 $28 2,000 SH OTHER 1, 2, 3, 4 0 2,000 0 FRANKLIN STREET PPTYS CORP COM 35471R106 $11,346 921,700 SH OTHER 1, 2, 3, 4 0 921,700 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 $34 8,005 SH DEFINED 1, 2, 3 8,005 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 $9 2,040 SH OTHER 1, 2, 3 0 2,040 0 FRONTLINE LTD SHS G3682E127 $41 12,700 SH DEFINED 1, 2, 3 12,700 0 0 GENERAL ELECTRIC CO COM 369604103 $3,149 150,000 SH DEFINED 1, 2, 3 150,000 0 0 GENERAL ELECTRIC CO COM 369604103 $352 16,784 SH OTHER 1, 2, 3 0 16,784 0 GETTY RLTY CORP NEW COM 374297109 $307 17,000 SH OTHER 1, 2, 3 0 17,000 0 GETTY RLTY CORP NEW COM 374297109 $1,273 70,470 SH OTHER 1, 2, 3, 4 0 70,470 0 GOLDMAN SACHS GROUP INC COM 38141G104 $765 6,000 SH DEFINED 1, 2, 3 6,000 0 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 $84 3,500 SH DEFINED 1, 2, 3 3,500 0 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 $250 10,443 SH OTHER 1, 2, 3 0 10,443 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 $8,030 335,019 SH OTHER 1, 2, 3, 4 0 335,019 0 HCP INC COM 40414L109 $677 15,000 SH OTHER 1, 2, 3, 4 0 15,000 0 HEALTH CARE REIT INC COM 42217K106 $1,011 16,500 SH DEFINED 1, 2, 3 16,500 0 0 HEALTH CARE REIT INC COM 42217K106 $18,681 304,800 SH OTHER 1, 2, 3, 4 0 304,800 0 HEALTHCARE RLTY TR COM 421946104 $24 1,000 SH DEFINED 1, 2, 3 1,000 0 0 HEALTHCARE RLTY TR COM 421946104 $72 3,000 SH OTHER 1, 2, 3 0 3,000 0 HEALTHCARE RLTY TR COM 421946104 $3,445 143,500 SH OTHER 1, 2, 3, 4 0 143,500 0 HERSHA HOSPITALITY TR SH BEN INT A 427825104 $939 187,700 SH DEFINED 1, 2, 3 187,700 0 0 HERSHA HOSPITALITY TR SH BEN INT A 427825104 $240 48,000 SH OTHER 1, 2, 3 0 48,000 0 HERSHA HOSPITALITY TR SH BEN INT A 427825104 $8,926 1,785,211 SH OTHER 1, 2, 3, 4 0 1,785,211 0 HUGOTON RTY TR TEX COM 444717102 $195 26,610 SH DEFINED 1, 2, 3 26,610 0 0 HUGOTON RTY TR TEX COM 444717102 $405 55,450 SH OTHER 1, 2, 3 0 55,450 0 INLAND REAL ESTATE CORP COM NEW 457461200 $1,960 233,841 SH DEFINED 1 233,841 0 0 INLAND REAL ESTATE CORP COM NEW 457461201 $1,149 137,110 SH DEFINED 1, 2 137,110 0 0 INLAND REAL ESTATE CORP COM NEW 457461200 $28,925 3,451,658 SH DEFINED 1, 2, 3 3,451,658 0 0 INLAND REAL ESTATE CORP COM NEW 457461200 $3,936 469,698 SH OTHER 1, 2, 3 0 469,698 0 INLAND REAL ESTATE CORP COM NEW 457461200 $1,993 237,878 SH OTHER 1, 2, 3 0 237,878 0 INLAND REAL ESTATE CORP COM NEW 457461200 $7,540 899,820 SH OTHER 1, 2, 3, 4 0 899,820 0 INLAND REAL ESTATE CORP COM NEW 457461200 $60,438 7,212,118 SH DEFINED 1, 2, 5 7,212,118 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 $2,138 127,199 SH DEFINED 1, 2, 3 127,199 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 $5 284 SH OTHER 1, 2, 3 0 284 0 INVESTORS REAL ESTATE TR SH BEN INT 461730103 $140 16,000 SH DEFINED 1, 2, 3 16,000 0 0 INVESTORS REAL ESTATE TR SH BEN INT 461730103 $522 59,796 SH OTHER 1, 2, 3 0 59,796 0
4 INVESTORS REAL ESTATE TR SH BEN INT 461730103 $11,012 1,261,390 SH OTHER 1, 2, 3, 4 0 1,261,390 0 JPMORGAN CHASE & CO COM 46625H100 $4,812 109,431 SH DEFINED 1, 2, 3 109,431 0 0 JPMORGAN CHASE & CO COM 46625H100 $1,097 24,950 SH OTHER 1, 2, 3 0 24,950 0 LTC PPTYS INC COM 502175102 $215 6,108 SH DEFINED 1, 2, 3 6,108 0 0 LTC PPTYS INC COM 502175102 $211 6,000 SH OTHER 1, 2, 3 0 6,000 0 LTC PPTYS INC COM 502175102 $11,756 334,068 SH OTHER 1, 2, 3, 4 0 334,068 0 MANAGED HIGH YIELD PLUS FD I COM 561911108 $26 12,200 SH OTHER 1, 2, 3 0 12,200 0 MARINE PETE TR UNIT BEN INT 568423107 $103 7,446 SH DEFINED 1, 2, 3 7,446 0 0 MARINE PETE TR UNIT BEN INT 568423107 $146 10,661 SH OTHER 1, 2, 3 0 10,661 0 MEDICAL PPTYS TRUST INC COM 58463J304 $3,168 264,900 SH DEFINED 1, 2, 3 264,900 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 $8,002 669,091 SH OTHER 1, 2, 3 0 669,091 0 MEDICAL PPTYS TRUST INC COM 58463J304 $44,877 3,752,273 SH OTHER 1, 2, 3, 4 0 3,752,273 0 MESA RTY TR UNIT BEN INT 590660106 $272 14,100 SH DEFINED 1, 2, 3 14,100 0 0 MESA RTY TR UNIT BEN INT 590660106 $152 7,895 SH OTHER 1, 2, 3 0 7,895 0 MFS INTERMEDIATE HIGH INC FD SH BEN INT 59318T109 $81 26,500 SH OTHER 1, 2, 3 0 26,500 0 MORGAN STANLEY COM NEW 617446448 $421 22,000 SH DEFINED 1, 2, 3 22,000 0 0 NATIONAL RETAIL PPTYS INC COM 637417106 $425 13,633 SH DEFINED 1, 2, 3 13,633 0 0 NATIONAL RETAIL PPTYS INC COM 637417106 $1,242 39,800 SH OTHER 1, 2, 3 0 39,800 0 NATIONAL RETAIL PPTYS INC COM 637417106 $22,047 706,636 SH OTHER 1, 2, 3, 4 0 706,636 0 NEWCASTLE INVT CORP COM 65105M108 $221 25,430 SH OTHER 1, 2, 3, 4 0 25,430 0 NORTHSTAR RLTY FIN CORP COM 66704R100 $602 85,491 SH DEFINED 1, 2, 3 85,491 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 $68 9,711 SH OTHER 1, 2, 3 0 9,711 0 NORTHSTAR RLTY FIN CORP COM 66704R100 $359 51,000 SH OTHER 1, 2, 3, 4 0 51,000 0 NUVEEN DIV ADV MUNI FD 3 COM 67070X101 $486 32,200 SH DEFINED 1, 2, 3 32,200 0 0 NUVEEN DIV ADV MUNI FD 3 COM 67070X101 $268 17,750 SH OTHER 1, 2, 3 0 17,750 0 NUVEEN DIVID ADVANTAGE MUN F COM 67066V101 $311 20,100 SH DEFINED 1, 2, 3 20,100 0 0 NUVEEN DIVID ADVANTAGE MUN F COM 67066V101 $296 19,101 SH OTHER 1, 2, 3 0 19,101 0 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 $30 2,000 SH DEFINED 1, 2, 3 2,000 0 0 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 $228 15,000 SH OTHER 1, 2, 3 0 15,000 0 NUVEEN MUN OPPORTUNITY FD IN COM 670984103 $1,821 118,792 SH DEFINED 1, 2, 3 118,792 0 0 NUVEEN MUN OPPORTUNITY FD IN COM 670984103 $107 7,000 SH OTHER 1, 2, 3 0 7,000 0 NUVEEN PREM INCOME MUN OPPTY COM 6706D8104 $1,782 124,843 SH DEFINED 1, 2, 3 124,843 0 0 NUVEEN PREM INCOME MUN OPPTY COM 6706D8104 $8 591 SH OTHER 1, 2, 3 0 591 0 NUVEEN PREMIER OPPURTUNITY F COM 670987106 $668 43,539 SH DEFINED 1, 2, 3 43,539 0 0 NUVEEN PREMIER OPPURTUNITY F COM 670987106 $31 2,000 SH OTHER 1, 2, 3 0 2,000 0 NUVEEN QUALITY MUN FD INC COM 67062N103 $3,053 202,724 SH DEFINED 1, 2, 3 202,724 0 0 NUVEEN QUALITY MUN FD INC COM 67062N103 $189 12,653 SH OTHER 1, 2, 3 0 12,653 0 NUVEEN SELECT QUALITY MUN FD COM 670973106 $775 48,933 SH DEFINED 1, 2, 3 48,933 0 0 NUVEEN SELECT QUALITY MUN FD COM 670973106 $13 825 SH OTHER 1, 2, 3 0 825 0 OMEGA HEALTHCARE INVS INC COM 681936100 $262 11,000 SH DEFINED 1, 2, 3 11,000 0 0 OMEGA HEALTHCARE INVS INC COM 681936100 $591 24,800 SH OTHER 1, 2, 3 0 24,800 0 OMEGA HEALTHCARE INVS INC COM 681936100 $11,118 466,153 SH OTHER 1, 2, 3, 4 0 466,153 0 ONE LIBERTY PPTYS INC COM 682406103 $1,042 51,375 SH DEFINED 1, 2, 3 51,375 0 0 ONE LIBERTY PPTYS INC COM 682406103 $429 21,123 SH OTHER 1, 2, 3 0 21,123 0 ONE LIBERTY PPTYS INC COM 682406103 $5,945 292,991 SH OTHER 1, 2, 3, 4 0 292,991 0 PERMIAN BASIN RTY TR UNIT BEN INT 714236106 $123 10,029 SH OTHER 1, 2, 3 0 10,029 0 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 $181 10,000 SH DEFINED 1, 2, 3 10,000 0 0 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 $588 32,600 SH OTHER 1, 2, 3, 4 0 32,600 0 PROLOGIS COM 74340W103 $448 12,276 SH DEFINED 1, 2, 3 12,276 0 0 PROLOGIS COM 74340W103 $33 892 SH OTHER 1, 2, 3 0 892 0
5 PUTNAM MANAGED MUN INCOM TR COM 746823103 $888 110,112 SH DEFINED 1, 2, 3 110,112 0 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 $73 9,000 SH OTHER 1, 2, 3 0 9,000 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 $600 46,366 SH DEFINED 1, 2, 3 46,366 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 $149 11,500 SH OTHER 1, 2, 3 0 11,500 0 RAIT FINANCIAL TRUST COM NEW 749227609 $21 3,666 SH OTHER 1, 2, 3, 4 0 3,666 0 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 $472 35,440 SH DEFINED 1, 2, 3 35,440 0 0 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 $145 10,900 SH OTHER 1, 2, 3 0 10,900 0 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 $8,941 671,763 SH OTHER 1, 2, 3, 4 0 671,763 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 $133 2,500 SH DEFINED 1, 2, 3 2,500 0 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 $2,656 50,006 SH OTHER 1, 2, 3 0 50,006 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 $3,701 69,664 SH OTHER 1, 2, 3, 4 0 69,664 0 REALTY INCOME CORP COM 756109104 $80 2,000 SH DEFINED 1, 2, 3 2,000 0 0 REALTY INCOME CORP COM 756109104 $141 3,500 SH OTHER 1, 2, 3 0 3,500 0 REALTY INCOME CORP COM 756109104 $1,890 47,000 SH OTHER 1, 2, 3, 4 0 47,000 0 REGENCY ENERGY PARTNERS LP COM UNITS L P 75885Y107 $304 14,000 SH DEFINED 1, 2, 3 14,000 0 0 REGENCY ENERGY PARTNERS LP COM UNITS L P 75885Y107 $130 6,000 SH OTHER 1, 2, 3 0 6,000 0 RETAIL PPTYS AMER INC CL A 76131V202 $17,987 1,502,632 SH DEFINED 1, 2, 3 1,502,632 0 0 RETAIL PPTYS AMER INC CL A 76131V202 $40,290 3,365,474 SH OTHER 1, 2, 3 0 3,365,474 0 RETAIL PPTYS AMER INC PUT 76131V952 $67 5,600 SH PUT DEFINED 1, 2, 3 5,600 0 0 SABINE ROYALTY TR UNIT BEN INT 785688102 $288 7,250 SH OTHER 1, 2, 3 0 7,250 0 SABRA HEALTH CARE REIT INC COM 78573L106 $543 25,000 SH OTHER 1, 2, 3, 4 0 25,000 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 $40 3,000 SH DEFINED 1, 2, 3 3,000 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 $200 14,940 SH OTHER 1, 2, 3 0 14,940 0 SENIOR HSG PPTYS TR SH BEN INT 81721M109 $142 6,000 SH DEFINED 1, 2, 3 6,000 0 0 SENIOR HSG PPTYS TR SH BEN INT 81721M109 $1,135 48,000 SH OTHER 1, 2, 3 0 48,000 0 SENIOR HSG PPTYS TR SH BEN INT 81721M109 $8,304 351,282 SH OTHER 1, 2, 3, 4 0 351,282 0 STRATEGIC HOTELS & RESORTS I COM 86272T106 $1,459 227,900 SH DEFINED 1, 2, 3 227,900 0 0 STRATEGIC HOTELS & RESORTS I COM 86272T106 $640 100,000 SH OTHER 1, 2, 3, 4 0 100,000 0 SUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D 867892507 $77 3,000 SH DEFINED 1, 2, 3 3,000 0 0 SUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D 867892507 $77 3,000 SH OTHER 1, 2, 3 0 3,000 0 SUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D 867892507 $485 19,000 SH OTHER 1, 2, 3, 4 0 19,000 0 TEEKAY TANKERS LTD CL A Y8565N102 $44 15,000 SH DEFINED 1, 2, 3 15,000 0 0 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 $790 15,613 SH DEFINED 1, 2, 3 15,613 0 0 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 $1,183 23,372 SH OTHER 1, 2, 3, 4 0 23,372 0 US BANCORP DEL COM NEW 902973304 $738 23,100 SH OTHER 1, 2, 3 0 23,100 0 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 $65 2,500 SH DEFINED 1, 2, 3 2,500 0 0 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 $248 9,500 SH OTHER 1, 2, 3 0 9,500 0 WELLS FARGO & CO NEW COM 949746101 $1,675 49,000 SH DEFINED 1, 2, 3 49,000 0 0 WELLS FARGO & CO NEW COM 949746101 $889 26,000 SH OTHER 1, 2, 3 0 26,000 0 WELLS FARGO & CO NEW COM 949746101 $256 7,500 SH OTHER 1, 2, 3, 4 0 7,500 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 $674 550 SH DEFINED 1, 2, 3 550 0 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 $61 50 SH OTHER 1, 2, 3 0 50 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 $1,225 1,000 SH OTHER 1, 2, 3, 4 0 1,000 0 WESTERN ASSET MTG CAP CORP COM 95790D105 $198 10,000 SH DEFINED 1, 2, 3 10,000 0 0 WESTERN ASSET MTG CAP CORP COM 95790D105 $500 25,300 SH OTHER 1, 2, 3 0 25,300 0
6