The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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 |
FEDERATED PREM INTR MUN INC | COM | 31423M105 | 676 | 53,000 | PRN | DFND | 0 | 53,000 | 0 | ||
ZWEIG TOTAL RETURN FD INC | COM NEW | 989837208 | 743 | 53,013 | PRN | DFND | 0 | 53,013 | 0 | ||
NUVEEN SELECT TAX FREE INCM | SH BEN INT | 67062F100 | 770 | 54,014 | PRN | DFND | 0 | 54,014 | 0 | ||
ROYAL GOLD INC | NOTE 2.875% 6/1 | 780287AA6 | 4,355 | 4,214,000 | PRN | DFND | 0 | 4,214,000 | 0 | ||
APPLE INC | COM | 037833100 | 362 | 3,283 | SH | DFND | 0 | 3,283 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 403 | 5,287 | SH | DFND | 0 | 5,287 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 618 | 7,159 | SH | DFND | 0 | 7,159 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,101 | 7,330 | SH | DFND | 0 | 7,330 | 0 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 716 | 7,864 | SH | DFND | 0 | 7,864 | 0 | ||
PFIZER INC | COM | 717081103 | 249 | 7,984 | SH | DFND | 0 | 7,984 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 551 | 8,343 | SH | DFND | 0 | 8,343 | 0 | ||
FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 175 | 11,279 | SH | DFND | 0 | 11,279 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 86 | 11,462 | SH | DFND | 0 | 11,462 | 0 | ||
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 133 | 11,626 | SH | DFND | 0 | 11,626 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 844 | 12,200 | SH | DFND | 0 | 12,200 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 116 | 12,906 | SH | DFND | 0 | 12,906 | 0 | ||
TEMPLETON RUS AND EAST EUR F | COM | 88022F105 | 123 | 13,697 | SH | DFND | 0 | 13,697 | 0 | ||
FIRST FED NORTHN MICH BANCOR | COM | 32021X105 | 75 | 13,721 | SH | DFND | 0 | 13,721 | 0 | ||
MAINSTAY DEFINEDTERM MN OPP | COM | 56064K100 | 260 | 14,300 | SH | DFND | 0 | 14,300 | 0 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 169 | 17,725 | SH | DFND | 0 | 17,725 | 0 | ||
BOULDER TOTAL RETURN FD INC | COM | 101541100 | 531 | 19,143 | SH | DFND | 0 | 19,143 | 0 | ||
NUVEEN QUALITY PFD INCOME FD | COM | 67071S101 | 162 | 20,089 | SH | DFND | 0 | 20,089 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 300 | 20,235 | SH | DFND | 0 | 20,235 | 0 | ||
BLACKROCK UTIL & INFRASTRCTU | COM | 09248D104 | 437 | 21,071 | SH | DFND | 0 | 21,071 | 0 | ||
ZWEIG FD | COM NEW | 989834205 | 333 | 21,535 | SH | DFND | 0 | 21,535 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 318 | 21,883 | SH | DFND | 0 | 21,883 | 0 | ||
BLACKROCK GLOBAL OPP EQTY TR | COM | 092501105 | 313 | 23,810 | SH | DFND | 0 | 23,810 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,238 | 26,026 | SH | DFND | 0 | 26,026 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 462 | 29,393 | SH | DFND | 0 | 29,393 | 0 | ||
NORTHEAST UTILS | COM | 664397106 | 1,598 | 29,860 | SH | DFND | 0 | 29,860 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 759 | 31,571 | SH | DFND | 0 | 31,571 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 431 | 33,900 | SH | DFND | 0 | 33,900 | 0 | ||
BIRNER DENTAL MGMT SERVICES | COM NEW | 091283200 | 511 | 34,080 | SH | DFND | 0 | 34,080 | 0 | ||
NUVEEN SELECT TAX FREE INCM | SH BEN INT | 67063C106 | 474 | 34,877 | SH | DFND | 0 | 34,877 | 0 | ||
FEDERATED ENHANC TREAS INCM | COM SH BEN INT | 314162108 | 508 | 38,105 | SH | DFND | 0 | 38,105 | 0 | ||
VIRTUS TOTAL RETURN FD | COM | 92829A103 | 204 | 45,155 | SH | DFND | 0 | 45,155 | 0 | ||
COFFEE HLDGS INC | COM | 192176105 | 238 | 46,457 | SH | DFND | 0 | 46,457 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 482 | 47,781 | SH | DFND | 0 | 47,781 | 0 | ||
BANCROFT FUND LTD | COM | 059695106 | 1,010 | 50,339 | SH | DFND | 0 | 50,339 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 874 | 56,871 | SH | DFND | 0 | 56,871 | 0 | ||
TERADATA CORP DEL | COM | 88076W103 | 2,499 | 57,202 | SH | DFND | 0 | 57,202 | 0 | ||
WESCO AIRCRAFT HLDGS INC | COM | 950814103 | 820 | 58,625 | SH | DFND | 0 | 58,625 | 0 | ||
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 1,366 | 60,113 | SH | DFND | 0 | 60,113 | 0 | ||
NUVEEN SELECT TAX FREE INCM | SH BEN INT | 67063X100 | 916 | 64,300 | SH | DFND | 0 | 64,300 | 0 | ||
CUTWATER SELECT INCOME FD | COM | 232229104 | 1,349 | 69,759 | SH | DFND | 0 | 69,759 | 0 | ||
DELAWARE INVT NAT MUNI INC F | SH BEN INT | 24610T108 | 931 | 71,138 | SH | DFND | 0 | 71,138 | 0 | ||
MORGAN STANLEY TRUSTS | INCOME SECS INC | 61745P874 | 1,305 | 72,787 | SH | DFND | 0 | 72,787 | 0 | ||
WESTERN ASSET WORLDWIDE INCO | COM | 957668106 | 871 | 76,304 | SH | DFND | 0 | 76,304 | 0 | ||
MFS INTERMARKET INCOME TRUST | SH BEN INT | 59318R103 | 650 | 77,908 | SH | DFND | 0 | 77,908 | 0 | ||
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 1,814 | 79,869 | SH | DFND | 0 | 79,869 | 0 | ||
INVESCO BD FD | COM | 46132L107 | 1,497 | 81,370 | SH | DFND | 0 | 81,370 | 0 | ||
MADISON CVRED CALL & EQ STR | COM | 557437100 | 685 | 84,150 | SH | DFND | 0 | 84,150 | 0 | ||
DREYFUS MUN BD INFRSTRCTR FD | SHS | 26203D101 | 1,031 | 84,728 | SH | DFND | 0 | 84,728 | 0 | ||
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 1,436 | 85,966 | SH | DFND | 0 | 85,966 | 0 | ||
BLACKROCK CORE BD TR | SHS BEN INT | 09249E101 | 1,166 | 88,332 | SH | DFND | 0 | 88,332 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 1,150 | 89,490 | SH | DFND | 0 | 89,490 | 0 | ||
WESTERN ASST MN PRT FD INC | COM | 95766P108 | 1,382 | 93,162 | SH | DFND | 0 | 93,162 | 0 | ||
EATON VANCE NATL MUN OPPORT | COM SHS | 27829L105 | 2,031 | 96,691 | SH | DFND | 0 | 96,691 | 0 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 1,689 | 97,919 | SH | DFND | 0 | 97,919 | 0 | ||
MFS INVT GRADE MUN TR | SH BEN INT | 59318B108 | 982 | 104,800 | SH | DFND | 0 | 104,800 | 0 | ||
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 1,287 | 111,367 | SH | DFND | 0 | 111,367 | 0 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 1,590 | 112,389 | SH | DFND | 0 | 112,389 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 998 | 124,178 | SH | DFND | 0 | 124,178 | 0 | ||
EATON VANCE MUN INCOME TERM | SHS | 27829U105 | 2,180 | 124,500 | SH | DFND | 0 | 124,500 | 0 | ||
SASOL LTD | SPONSORED ADR | 803866300 | 4,751 | 125,130 | SH | DFND | 0 | 125,130 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 666 | 125,463 | SH | DFND | 0 | 125,463 | 0 | ||
LIFE TIME FITNESS INC | COM | 53217R207 | 7,453 | 131,635 | SH | DFND | 0 | 131,635 | 0 | ||
DOVER SADDLERY INC | COM | 260412101 | 653 | 134,703 | SH | DFND | 0 | 134,703 | 0 | ||
NUVEEN INT DUR QUAL MUN TRM | COM | 670677103 | 1,755 | 138,710 | SH | DFND | 0 | 138,710 | 0 | ||
BLACKROCK MUN TARGET TERM TR | COM SHS BEN IN | 09257P105 | 2,885 | 143,600 | SH | DFND | 0 | 143,600 | 0 | ||
AT&T INC | COM | 00206R102 | 4,956 | 147,544 | SH | DFND | 0 | 147,544 | 0 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 1,681 | 147,729 | SH | DFND | 0 | 147,729 | 0 | ||
BLACKROCK INCOME TR INC | COM | 09247F100 | 968 | 151,281 | SH | DFND | 0 | 151,281 | 0 | ||
INVESCO TR INVT GRADE MUNS | COM | 46131M106 | 2,060 | 155,000 | SH | DFND | 0 | 155,000 | 0 | ||
FORT DEARBORN INCOME SECS IN | COM | 347200107 | 2,354 | 166,477 | SH | DFND | 0 | 166,477 | 0 | ||
VODAFONE GROUP PLC NEW | SPNSR ADR NO PAR | 92857W308 | 5,983 | 175,085 | SH | DFND | 0 | 175,085 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 2,084 | 175,888 | SH | DFND | 0 | 175,888 | 0 | ||
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 2,539 | 176,286 | SH | DFND | 0 | 176,286 | 0 | ||
LEAPFROG ENTERPRISES INC | CL A | 52186N106 | 907 | 192,100 | SH | DFND | 0 | 192,100 | 0 | ||
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 2,443 | 195,600 | SH | DFND | 0 | 195,600 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 2,058 | 201,176 | SH | DFND | 0 | 201,176 | 0 | ||
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 2,625 | 215,304 | SH | DFND | 0 | 215,304 | 0 | ||
TIVO INC | COM | 888706108 | 2,710 | 228,915 | SH | DFND | 0 | 228,915 | 0 | ||
PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 746922103 | 2,839 | 236,745 | SH | DFND | 0 | 236,745 | 0 | ||
CHAMBERS STR PPTYS | COM | 157842105 | 2,053 | 254,774 | SH | DFND | 0 | 254,774 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 1,990 | 276,820 | SH | DFND | 0 | 276,820 | 0 | ||
SILVER WHEATON CORP | COM | 828336107 | 5,852 | 287,845 | SH | DFND | 0 | 287,845 | 0 | ||
NUVEEN INTER DURATION MN TMF | COM | 670671106 | 3,730 | 298,378 | SH | DFND | 0 | 298,378 | 0 | ||
LEXINGTON REALTY TRUST | COM | 529043101 | 3,637 | 331,245 | SH | DFND | 0 | 331,245 | 0 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 6,417 | 360,884 | SH | DFND | 0 | 360,884 | 0 | ||
DOMINION DIAMOND CORP | COM | 257287102 | 6,546 | 364,500 | SH | DFND | 0 | 364,500 | 0 | ||
COHEN & STEERS CLOSED END OP | COM | 19248P106 | 4,931 | 374,858 | SH | DFND | 0 | 374,858 | 0 | ||
HANCOCK JOHN PREMUIM DIV FD | COM SH BEN INT | 41013T105 | 5,460 | 397,060 | SH | DFND | 0 | 397,060 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 5,596 | 406,117 | SH | DFND | 0 | 406,117 | 0 | ||
MONTGOMERY STR INCOME SECS I | COM | 614115103 | 7,080 | 430,726 | SH | DFND | 0 | 430,726 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 6,122 | 527,796 | SH | DFND | 0 | 527,796 | 0 | ||
RCS CAP CORP | COM CL A | 74937W102 | 6,912 | 564,700 | SH | DFND | 0 | 564,700 | 0 | ||
STRATEGIC GLOBAL INCOME FD | COM | 862719101 | 4,805 | 566,571 | SH | DFND | 0 | 566,571 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 4,986 | 568,565 | SH | DFND | 0 | 568,565 | 0 | ||
WELLS FARGO ADVANTAGE MULTI | COM SHS | 94987D101 | 8,048 | 590,450 | SH | DFND | 0 | 590,450 | 0 | ||
JANUS CAP GROUP INC | COM | 47102X105 | 10,085 | 625,220 | SH | DFND | 0 | 625,220 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 5,464 | 794,238 | SH | DFND | 0 | 794,238 | 0 | ||
NUVEEN QUALITY PFD INC FD 3 | COM | 67072W101 | 7,338 | 880,876 | SH | DFND | 0 | 880,876 | 0 | ||
HARRIS & HARRIS GROUP INC | COM | 413833104 | 2,703 | 916,177 | SH | DFND | 0 | 916,177 | 0 | ||
CINEDIGM CORP | COM | 172406100 | 1,538 | 949,431 | SH | DFND | 0 | 949,431 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 15,028 | 1,163,121 | SH | DFND | 0 | 1,163,121 | 0 | ||
ALLIANCEBERNSTEIN INCOME FUN | COM | 01881E101 | 9,062 | 1,213,086 | SH | DFND | 0 | 1,213,086 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 8,928 | 1,257,476 | SH | DFND | 0 | 1,257,476 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 6,069 | 1,269,700 | SH | DFND | 0 | 1,269,700 | 0 | ||
GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 9,772 | 1,395,932 | SH | DFND | 0 | 1,395,932 | 0 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 10,262 | 1,578,702 | SH | DFND | 0 | 1,578,702 | 0 | ||
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 15,418 | 1,703,665 | SH | DFND | 0 | 1,703,665 | 0 | ||
GAIAM INC | CL A | 36268Q103 | 12,541 | 1,758,970 | SH | DFND | 0 | 1,758,970 | 0 | ||
BLACKROCK RES & COMM STRAT T | SHS | 09257A108 | 17,449 | 1,796,997 | SH | DFND | 0 | 1,796,997 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 7,866 | 2,537,531 | SH | DFND | 0 | 2,537,531 | 0 | ||
B2GOLD CORP | COM | 11777Q209 | 4,736 | 2,923,675 | SH | DFND | 0 | 2,923,675 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 39,237 | 3,472,304 | SH | DFND | 0 | 3,472,304 | 0 |