0001104659-13-084664.txt : 20131114
0001104659-13-084664.hdr.sgml : 20131114
20131114121029
ACCESSION NUMBER: 0001104659-13-084664
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130930
FILED AS OF DATE: 20131114
DATE AS OF CHANGE: 20131114
EFFECTIVENESS DATE: 20131114
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: 131218083
MAIL ADDRESS:
STREET 1: 2901 BUTTERFIELD RD
CITY: OAK BROOK
STATE: IL
ZIP: 60523
13F-HR
1
primary_doc.xml
13F-HR
LIVE
0001119191
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09-30-2013
09-30-2013
true
1
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false
Goodwin Daniel L
2901 Butterfield Rd
Oak Brook
IL
60523
13F HOLDINGS REPORT
028-13434
N
Daniel L. Goodwin
Authorized Signatory
630-218-8000
/s/ Daniel L. Goodwin
Oak Brook
IL
11-14-2013
5
213
495725
false
1
0000926972
028-13432
INLAND GROUP INC
2
0000814655
028-13457
INLAND REAL ESTATE INVESTMENT CORP
3
0001428796
028-13252
Inland Investment Advisors, Inc.
4
0001307748
028-13253
Inland American Real Estate Trust, Inc.
5
0001456273
028-13435
Inland Investment Stock Holding Co
INFORMATION TABLE
2
a13-24090_1informationtable.xml
INFORMATION TABLE
AG MTG INVT TR INC
COM
001228105
83
5000
SH
DFND
1,2,3
5000
0
0
AG MTG INVT TR INC
COM
001228105
416
25000
SH
OTR
1,2,3,4
0
25000
0
AMERICAN RLTY CAP PPTYS INC
PUT
02917T954
1464
120000
SH
Put
DFND
1,2,3
120000
0
0
AMREIT INC NEW
CL B
03216B208
1872
107893
SH
OTR
1,2,3,4
0
107893
0
ANNALY CAP MGMT INC
COM
035710409
69
6000
SH
DFND
1,2,3
6000
0
0
ANNALY CAP MGMT INC
COM
035710409
145
12500
SH
OTR
1,2,3
0
12500
0
ANNALY CAP MGMT INC
COM
035710409
1691
146000
SH
OTR
1,2,3,4
0
146000
0
APARTMENT INVT & MGMT CO
CL A
03748R101
1766
63200
SH
DFND
1,2,3
63200
0
0
ASHFORD HOSPITALITY TR INC
COM SHS
044103109
431
34923
SH
DFND
1,2,3
34923
0
0
ASHFORD HOSPITALITY TR INC
9% CUM PFD SER E
044103505
701
27000
SH
OTR
1,2,3,4
0
27000
0
ASHFORD HOSPITALITY TR INC
9% CUM PFD SER E
044103505
208
8000
SH
OTR
1,2,3
0
8000
0
ATLAS PIPELINE PARTNERS LP
UNIT L P INT
049392103
136
3500
SH
DFND
1,2,3
3500
0
0
ATLAS PIPELINE PARTNERS LP
UNIT L P INT
049392103
368
9500
SH
OTR
1,2,3
0
9500
0
ATLAS RESOURCE PARTNERS LP
COM UNT LTD PR
04941A101
84
4000
SH
DFND
1,2,3
4000
0
0
ATLAS RESOURCE PARTNERS LP
COM UNT LTD PR
04941A101
126
6000
SH
OTR
1,2,3
0
6000
0
BANK OF AMERICA CORPORATION
COM
060505104
414
30000
SH
DFND
1,2,3
30000
0
0
BANK OF AMERICA CORPORATION
COM
060505104
1512
109600
SH
OTR
1,2,3
0
109600
0
BANK OF AMERICA CORPORATION
7.25%CNV PFD L
060505682
3011
2785
SH
DFND
1,2,3
2785
0
0
BANK OF AMERICA CORPORATION
7.25%CNV PFD L
060505682
1689
1562
SH
OTR
1,2,3
0
1562
0
BANK OF AMERICA CORPORATION
7.25%CNV PFD L
060505682
5266
4870
SH
OTR
1,2,3,4
0
4870
0
BANK OF AMERICA CORPORATION
CALL
060505904
345
25000
SH
Call
DFND
1,2,3
25000
0
0
BB&T CORP
DP SHS RP PF G
054937800
117
6000
SH
DFND
1,2,3
6000
0
0
BB&T CORP
DP SHS RP PF G
054937800
79
4000
SH
OTR
1,2,3
0
4000
0
BLACKROCK MUN 2020 TERM TR
COM SHS
09249X109
28
1700
SH
OTR
1,2,3
0
1700
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
221
15500
SH
DFND
1,2,3
15500
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
83
5800
SH
OTR
1,2,3
0
5800
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
490
36070
SH
DFND
1,2,3
36070
0
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
27
2000
SH
OTR
1,2,3
0
2000
0
BLACKROCK MUNIHLDGS FD II IN
COM
09253P109
140
9887
SH
DFND
1,2,3
9887
0
0
BLACKROCK MUNIHLDGS FD II IN
COM
09253P109
233
16500
SH
OTR
1,2,3
0
16500
0
BLACKROCK MUNIHLDNGS QLTY II
COM
09254C107
152
12097
SH
DFND
1,2,3
12097
0
0
BLACKROCK MUNIHOLDNGS QLTY I
COM
09254A101
616
49677
SH
DFND
1,2,3
49677
0
0
BLACKROCK MUNIHOLDNGS QLTY I
COM
09254A101
47
3815
SH
OTR
1,2,3
0
3815
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
20
1500
SH
OTR
1,2,3
0
1500
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
75
3000
SH
DFND
1,2,3
3000
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
51
2000
SH
OTR
1,2,3
0
2000
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
349
13850
SH
OTR
1,2,3,4
0
13850
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
364
12000
SH
DFND
1,2,3
12000
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
91
3000
SH
OTR
1,2,3
0
3000
0
BP PRUDHOE BAY RTY TR
UNIT BEN INT
055630107
477
5500
SH
DFND
1,2,3
5500
0
0
BROOKDALE SR LIVING INC
COM
112463104
250
9500
SH
DFND
1,2,3
9500
0
0
CEDAR REALTY TRUST INC
COM NEW
150602209
5
1000
SH
DFND
1,2,3
1000
0
0
CEDAR REALTY TRUST INC
COM NEW
150602209
31780
6135088
SH
OTR
1,2,3,4
0
6135088
0
CITIGROUP INC
COM NEW
172967424
628
12950
SH
DFND
1,2,3
12950
0
0
CITIGROUP INC
COM NEW
172967424
218
4500
SH
OTR
1,2,3
0
4500
0
COMMONWEALTH REIT
6.50% PFD CUM CO
203233408
104
5000
SH
DFND
1,2,3
5000
0
0
COMMONWEALTH REIT
6.50% PFD CUM CO
203233408
1033
49334
SH
OTR
1,2,3
0
49334
0
COMMONWEALTH REIT
6.50% PFD CUM CO
203233408
956
45660
SH
OTR
1,2,3,4
0
45660
0
CROSS TIMBERS RTY TR
TR UNIT
22757R109
117
4000
SH
DFND
1,2,3
4000
0
0
CROSS TIMBERS RTY TR
TR UNIT
22757R109
246
8390
SH
OTR
1,2,3
0
8390
0
CYS INVTS INC
COM
12673A108
81
10000
SH
OTR
1,2,3,4
0
10000
0
DDR CORP
COM
23317H102
1002
63750
SH
DFND
1,2,3
63750
0
0
DDR CORP
COM
23317H102
161
10244
SH
OTR
1,2,3
0
10244
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
723
11600
SH
DFND
1,2,3
11600
0
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
75
1200
SH
OTR
1,2,3
0
1200
0
DIAMONDROCK HOSPITALITY CO
COM
252784301
453
42412
SH
OTR
1,2,3,4
0
42412
0
DREYFUS MUN INCOME INC
COM
26201R102
114
13157
SH
DFND
1,2,3
13157
0
0
DREYFUS STRATEGIC MUNS INC
COM
261932107
430
53676
SH
DFND
1,2,3
53676
0
0
EATON VANCE MUN BD FD
COM
27827X101
902
78065
SH
DFND
1,2,3
78065
0
0
EATON VANCE MUN BD FD
COM
27827X101
58
5000
SH
OTR
1,2,3
0
5000
0
ENBRIDGE ENERGY PARTNERS L P
COM
29250R106
381
12500
SH
DFND
1,2,3
12500
0
0
ENBRIDGE ENERGY PARTNERS L P
COM
29250R106
79
2600
SH
OTR
1,2,3
0
2600
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
1291
24800
SH
DFND
1,2,3
24800
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
385
7400
SH
OTR
1,2,3
0
7400
0
EPR PPTYS
PFD C CNV 5.75%
26884U208
426
20000
SH
OTR
1,2,3
0
20000
0
EPR PPTYS
PFD C CNV 5.75%
26884U208
213
10000
SH
OTR
1,2,3,4
0
10000
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
509
9500
SH
DFND
1,2,3
9500
0
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
36
664
SH
OTR
1,2,3
0
664
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
536
10000
SH
OTR
1,2,3,4
0
10000
0
FIRST INDUSTRIAL REALTY TRUS
COM
32054K103
155
9500
SH
DFND
1,2,3
9500
0
0
FIRST INDUSTRIAL REALTY TRUS
COM
32054K103
73
4500
SH
OTR
1,2,3
0
4500
0
FIRST INDUSTRIAL REALTY TRUS
COM
32054K103
33
2000
SH
OTR
1,2,3,4
0
2000
0
FRANKLIN STREET PPTYS CORP
COM
35471R106
7904
620425
SH
OTR
1,2,3,4
0
620425
0
FREEPORT-MCMORAN COPPER & GO
COM
35671D857
66
2000
SH
DFND
1,2,3
2000
0
0
FREEPORT-MCMORAN COPPER & GO
COM
35671D857
198
6000
SH
OTR
1,2,3
0
6000
0
FRONTIER COMMUNICATIONS CORP
COM
35906A108
33
8005
SH
DFND
1,2,3
8005
0
0
FRONTIER COMMUNICATIONS CORP
COM
35906A108
9
2040
SH
OTR
1,2,3
0
2040
0
FRONTLINE LTD
SHS
G3682E127
34
12700
SH
DFND
1,2,3
12700
0
0
GENERAL ELECTRIC CO
COM
369604103
3584
150000
SH
DFND
1,2,3
150000
0
0
GENERAL ELECTRIC CO
COM
369604103
405
16955
SH
OTR
1,2,3
0
16955
0
GETTY RLTY CORP NEW
COM
374297109
330
17000
SH
OTR
1,2,3
0
17000
0
GETTY RLTY CORP NEW
COM
374297109
1369
70470
SH
OTR
1,2,3,4
0
70470
0
GOLDMAN SACHS GROUP INC
COM
38141G104
949
6000
SH
DFND
1,2,3
6000
0
0
GOVERNMENT PPTYS INCOME TR
COM SHS BEN INT
38376A103
84
3500
SH
DFND
1,2,3
3500
0
0
GOVERNMENT PPTYS INCOME TR
COM SHS BEN INT
38376A103
697
29140
SH
OTR
1,2,3,4
0
29140
0
HCP INC
COM
40414L109
614
15000
SH
OTR
1,2,3,4
0
15000
0
HEALTH CARE REIT INC
COM
42217K106
468
7500
SH
DFND
1,2,3
7500
0
0
HEALTH CARE REIT INC
COM
42217K106
7099
113800
SH
OTR
1,2,3,4
0
113800
0
HEALTH CARE REIT INC
PFD PER CON I
42217K601
1928
33500
SH
OTR
1,2,3
0
33500
0
HEALTH CARE REIT INC
PFD PER CON I
42217K601
3779
65659
SH
OTR
1,2,3,4
0
65659
0
HEALTHCARE RLTY TR
COM
421946104
3316
143500
SH
OTR
1,2,3,4
0
143500
0
HERSHA HOSPITALITY TR
SH BEN INT A
427825104
1049
187700
SH
DFND
1,2,3
187700
0
0
HERSHA HOSPITALITY TR
SH BEN INT A
427825104
268
48000
SH
OTR
1,2,3
0
48000
0
HERSHA HOSPITALITY TR
SH BEN INT A
427825104
9979
1785211
SH
OTR
1,2,3,4
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1785211
0
HUGOTON RTY TR TEX
UNIT BEN INT
444717102
199
26610
SH
DFND
1,2,3
26610
0
0
HUGOTON RTY TR TEX
UNIT BEN INT
444717102
188
25250
SH
OTR
1,2,3
0
25250
0
INLAND REAL ESTATE CORP
COM NEW
457461200
1249
122100
SH
OTR
1,2,3
0
122100
0
INLAND REAL ESTATE CORP
COM NEW
457461200
1403
137110
SH
DFND
1,2
137110
0
0
INLAND REAL ESTATE CORP
COM NEW
457461200
93
9091
SH
DFND
1
9091
0
0
INLAND REAL ESTATE CORP
COM NEW
457461201
2433
237878
SH
OTR
1,2,3
0
237878
0
INLAND REAL ESTATE CORP
COM NEW
457461200
9205
899820
SH
OTR
1,2,3,4
0
899820
0
INLAND REAL ESTATE CORP
COM NEW
457461200
40493
3958307
SH
DFND
1,2,3
3958307
0
0
INLAND REAL ESTATE CORP
COM NEW
457461200
73780
7212118
SH
DFND
1,2,5
7212118
0
0
INTEL CORP
COM
458140100
92
4000
SH
DFND
1,2,3
4000
0
0
INTEL CORP
COM
458140100
138
6000
SH
OTR
1,2,3
0
6000
0
INVESCO VALUE MUN INCOME TR
COM
46132P108
1725
127199
SH
DFND
1,2,3
127199
0
0
INVESTORS REAL ESTATE TR
SH BEN INT
461730103
132
16000
SH
DFND
1,2,3
16000
0
0
INVESTORS REAL ESTATE TR
SH BEN INT
461730103
281
34000
SH
OTR
1,2,3
0
34000
0
INVESTORS REAL ESTATE TR
SH BEN INT
461730103
8965
1086624
SH
OTR
1,2,3,4
0
1086624
0
JPMORGAN CHASE & CO
COM
46625H100
5656
109431
SH
DFND
1,2,3
109431
0
0
JPMORGAN CHASE & CO
COM
46625H100
463
8950
SH
OTR
1,2,3
0
8950
0
LEXINGTON REALTY TRUST
PFD CONV SER C
529043309
92
2000
SH
DFND
1,2,3
2000
0
0
LEXINGTON REALTY TRUST
PFD CONV SER C
529043309
138
3000
SH
OTR
1,2,3
0
3000
0
LINN ENERGY LLC
UNIT LTD LIAB
536020100
811
31300
SH
DFND
1,2,3
31300
0
0
LINN ENERGY LLC
UNIT LTD LIAB
536020100
335
12915
SH
OTR
1,2,3
0
12915
0
LTC PPTYS INC
COM
502175102
232
6108
SH
DFND
1,2,3
6108
0
0
LTC PPTYS INC
COM
502175102
228
6000
SH
OTR
1,2,3
0
6000
0
LTC PPTYS INC
COM
502175102
12466
328216
SH
OTR
1,2,3,4
0
328216
0
MANAGED HIGH YIELD PLUS FD I
COM
561911108
24
12200
SH
OTR
1,2,3
0
12200
0
MARINE PETE TR
UNIT BEN INT
568423107
125
7446
SH
DFND
1,2,3
7446
0
0
MARINE PETE TR
UNIT BEN INT
568423107
149
8897
SH
OTR
1,2,3
0
8897
0
MEDICAL PPTYS TRUST INC
COM
58463J304
3224
264900
SH
DFND
1,2,3
264900
0
0
MEDICAL PPTYS TRUST INC
COM
58463J304
6835
561610
SH
OTR
1,2,3
0
561610
0
MEDICAL PPTYS TRUST INC
COM
58463J304
40577
3334143
SH
OTR
1,2,3,4
0
3334143
0
MEDTRONIC INC
COM
585055106
48
900
SH
OTR
1,2,3
0
900
0
MESA RTY TR
UNIT BEN INT
590660106
326
14100
SH
DFND
1,2,3
14100
0
0
MFS INTERMEDIATE HIGH INC FD
SH BEN INT
59318T109
40
14500
SH
OTR
1,2,3
0
14500
0
MORGAN STANLEY
COM NEW
617446448
593
22000
SH
DFND
1,2,3
22000
0
0
NATIONAL RETAIL PPTYS INC
COM
637417106
434
13633
SH
DFND
1,2,3
13633
0
0
NATIONAL RETAIL PPTYS INC
COM
637417106
388
12200
SH
OTR
1,2,3
0
12200
0
NATIONAL RETAIL PPTYS INC
COM
637417106
3339
104936
SH
OTR
1,2,3,4
0
104936
0
NEW RESIDENTIAL INVT CORP
COM
64828T102
168
25430
SH
OTR
1,2,3,4
0
25430
0
NEWCASTLE INVT CORP
COM
65105M108
143
25430
SH
OTR
1,2,3,4
0
25430
0
NGL ENERGY PARTNERS LP
COM UNIT REPST
62913M107
247
8000
SH
DFND
1,2,3
8000
0
0
NGL ENERGY PARTNERS LP
COM UNIT REPST
62913M107
62
2000
SH
OTR
1,2,3
0
2000
0
NORTHSTAR RLTY FIN CORP
COM
66704R100
60
6466
SH
OTR
1,2,3
0
6466
0
NORTHSTAR RLTY FIN CORP
COM
66704R100
793
85491
SH
DFND
1,2,3
85491
0
0
NORTHSTAR RLTY FIN CORP
COM
66704R100
473
51000
SH
OTR
1,2,3,4
0
51000
0
NUVEEN AMT-FREE MUN INCOME F
COM
670657105
1791
143431
SH
DFND
1,2,3
143431
0
0
NUVEEN AMT-FREE MUN INCOME F
COM
670657105
58
4667
SH
OTR
1,2,3
0
4667
0
NUVEEN DIV ADV MUNI FD 3
COM SH BEN INT
67070X101
409
32200
SH
DFND
1,2,3
32200
0
0
NUVEEN DIV ADV MUNI FD 3
COM SH BEN INT
67070X101
225
17750
SH
OTR
1,2,3
0
17750
0
NUVEEN DIVID ADVANTAGE MUN F
COM
67066V101
73
5597
SH
DFND
1,2,3
5597
0
0
NUVEEN DIVID ADVANTAGE MUN F
COM
67066V101
249
19101
SH
OTR
1,2,3
0
19101
0
NUVEEN MUN ADVANTAGE FD INC
COM
67062H106
25
2000
SH
DFND
1,2,3
2000
0
0
NUVEEN MUN ADVANTAGE FD INC
COM
67062H106
188
15000
SH
OTR
1,2,3
0
15000
0
NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
1244
95666
SH
DFND
1,2,3
95666
0
0
NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
91
7000
SH
OTR
1,2,3
0
7000
0
NUVEEN QUALITY MUN FD INC
COM
67062N103
2271
184598
SH
DFND
1,2,3
184598
0
0
NUVEEN QUALITY MUN FD INC
COM
67062N103
205
16653
SH
OTR
1,2,3
0
16653
0
NUVEEN SELECT QUALITY MUN FD
COM
670973106
621
48933
SH
DFND
1,2,3
48933
0
0
NUVEEN SELECT QUALITY MUN FD
COM
670973106
10
825
SH
OTR
1,2,3
0
825
0
OMEGA HEALTHCARE INVS INC
COM
681936100
329
11000
SH
DFND
1,2,3
11000
0
0
OMEGA HEALTHCARE INVS INC
COM
681936100
442
14800
SH
OTR
1,2,3
0
14800
0
OMEGA HEALTHCARE INVS INC
COM
681936100
4963
166153
SH
OTR
1,2,3,4
0
166153
0
ONE LIBERTY PPTYS INC
COM
682406103
1001
49375
SH
DFND
1,2,3
49375
0
0
ONE LIBERTY PPTYS INC
COM
682406103
57
2799
SH
OTR
1,2,3
0
2799
0
ONE LIBERTY PPTYS INC
COM
682406103
4553
224486
SH
OTR
1,2,3,4
0
224486
0
PIEDMONT OFFICE REALTY TR IN
COM CL A
720190206
174
10000
SH
DFND
1,2,3
10000
0
0
PIEDMONT OFFICE REALTY TR IN
COM CL A
720190206
566
32600
SH
OTR
1,2,3,4
0
32600
0
POTASH CORP SASK INC
COM
73755L107
469
15000
SH
DFND
1,2,3
15000
0
0
POTASH CORP SASK INC
COM
73755L107
156
5000
SH
OTR
1,2,3
0
5000
0
PROLOGIS INC
COM
74340W103
462
12276
SH
DFND
1,2,3
12276
0
0
PROLOGIS INC
COM
74340W103
34
892
SH
OTR
1,2,3
0
892
0
PROSHARES TR
PSHS ULTSH 20YRS
74347B201
194
2575
SH
DFND
1,2,3
2575
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
753
110112
SH
DFND
1,2,3
110112
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
62
9000
SH
OTR
1,2,3
0
9000
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
506
46366
SH
DFND
1,2,3
46366
0
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
126
11500
SH
OTR
1,2,3
0
11500
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
546
35440
SH
DFND
1,2,3
35440
0
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
168
10900
SH
OTR
1,2,3
0
10900
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
10352
671763
SH
OTR
1,2,3,4
0
671763
0
RAMCO-GERSHENSON PPTYS TR
PERP PFD-D CV
751452608
147
2500
SH
DFND
1,2,3
2500
0
0
RAMCO-GERSHENSON PPTYS TR
PERP PFD-D CV
751452608
2942
50006
SH
OTR
1,2,3
0
50006
0
RAMCO-GERSHENSON PPTYS TR
PERP PFD-D CV
751452608
4099
69664
SH
OTR
1,2,3,4
0
69664
0
REALTY INCOME CORP
COM
756109104
80
2000
SH
DFND
1,2,3
2000
0
0
REALTY INCOME CORP
COM
756109104
139
3500
SH
OTR
1,2,3
0
3500
0
REALTY INCOME CORP
COM
756109104
1868
47000
SH
OTR
1,2,3,4
0
47000
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
400
14000
SH
DFND
1,2,3
14000
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
172
6000
SH
OTR
1,2,3
0
6000
0
RETAIL PPTYS AMER INC
CL A
76131V202
34241
2490248
SH
DFND
1,2,3
2490248
0
0
RETAIL PPTYS AMER INC
CL A
76131V202
69795
5076023
SH
OTR
1,2,3
0
5076023
0
RETAIL PPTYS AMER INC
CALL
76131V902
996
72400
SH
Call
DFND
1,2,3
72400
0
0
RETAIL PPTYS AMER INC
PUT
76131V952
2371
172400
SH
Put
DFND
1,2,3
172400
0
0
ROSE ROCK MIDSTREAM L P
COM U REP LTD
777149105
224
7000
SH
DFND
1,2,3
7000
0
0
ROSE ROCK MIDSTREAM L P
COM U REP LTD
777149105
289
9052
SH
OTR
1,2,3
0
9052
0
SABINE ROYALTY TR
UNIT BEN INT
785688102
328
6450
SH
OTR
1,2,3
0
6450
0
SABRA HEALTH CARE REIT INC
COM
78573L106
537
23334
SH
OTR
1,2,3,4
0
23334
0
SENIOR HSG PPTYS TR
SH BEN INT
81721M109
1324
56738
SH
OTR
1,2,3,4
0
56738
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
138
15000
SH
DFND
1,2,3
15000
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
574
62503
SH
OTR
1,2,3
0
62503
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
413
45000
SH
OTR
1,2,3,4
0
45000
0
STRATEGIC HOTELS & RESORTS I
COM
86272T106
1978
227900
SH
DFND
1,2,3
227900
0
0
SUNSTONE HOTEL INVS INC NEW
CV 8% CUM PFD-D
867892507
76
3000
SH
DFND
1,2,3
3000
0
0
SUNSTONE HOTEL INVS INC NEW
CV 8% CUM PFD-D
867892507
76
3000
SH
OTR
1,2,3
0
3000
0
SUNSTONE HOTEL INVS INC NEW
CV 8% CUM PFD-D
867892507
480
19000
SH
OTR
1,2,3,4
0
19000
0
TCP CAP CORP
COM
87238Q103
154
9500
SH
DFND
1,2,3
9500
0
0
TCP CAP CORP
COM
87238Q103
8
500
SH
OTR
1,2,3
0
500
0
TEEKAY TANKERS LTD
CL A
Y8565N102
39
15000
SH
DFND
1,2,3
15000
0
0
UNIVERSAL HEALTH RLTY INCM T
SH BEN INT
91359E105
654
15613
SH
DFND
1,2,3
15613
0
0
WASHINGTON REAL ESTATE INVT
SH BEN INT
939653101
63
2500
SH
DFND
1,2,3
2500
0
0
WASHINGTON REAL ESTATE INVT
SH BEN INT
939653101
240
9500
SH
OTR
1,2,3
0
9500
0
WELLS FARGO & CO NEW
COM
949746101
2025
49000
SH
DFND
1,2,3
49000
0
0
WELLS FARGO & CO NEW
COM
949746101
310
7500
SH
OTR
1,2,3,4
0
7500
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
626
550
SH
DFND
1,2,3
550
0
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
57
50
SH
OTR
1,2,3
0
50
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
1138
1000
SH
OTR
1,2,3,4
0
1000
0
WESTERN ASSET MTG CAP CORP
COM
95790D105
160
10000
SH
DFND
1,2,3
10000
0
0
WESTERN ASSET MTG CAP CORP
COM
95790D105
405
25300
SH
OTR
1,2,3
0
25300
0
WILLIAMS PARTNERS L P
COM UNIT L P
96950F104
397
7500
SH
DFND
1,2,3
7500
0
0
WILLIAMS PARTNERS L P
COM UNIT L P
96950F104
397
7500
SH
OTR
1,2,3
0
7500
0
WINDSTREAM HLDGS INC
COM
97382A101
32
4000
SH
DFND
1,2,3
4000
0
0
WINDSTREAM HLDGS INC
COM
97382A101
48
6000
SH
OTR
1,2,3
0
6000
0