0001104659-14-079917.txt : 20141113
0001104659-14-079917.hdr.sgml : 20141113
20141112183625
ACCESSION NUMBER: 0001104659-14-079917
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141113
DATE AS OF CHANGE: 20141112
EFFECTIVENESS DATE: 20141113
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: 141215710
MAIL ADDRESS:
STREET 1: 2901 BUTTERFIELD RD
CITY: OAK BROOK
STATE: IL
ZIP: 60523
13F-HR
1
primary_doc.xml
13F-HR
LIVE
0001119191
XXXXXXXX
09-30-2014
09-30-2014
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
11-12-2014
5
204
459486
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
a14-24194_2informationtable.xml
INFORMATION TABLE
ANNALY CAP MGMT INC
COM
035710409
1559
146000
SH
OTR
1,2,3,4
0
146000
0
ANNALY CAP MGMT INC
COM
035710409
64
6000
SH
DFND
1,2,3
6000
0
0
ANNALY CAP MGMT INC
COM
035710409
27
2500
SH
OTR
1,2,3
0
2500
0
APPLE INC
COM
037833100
176
1750
SH
OTR
1,2,3
0
1750
0
APPLE INC
COM
037833100
353
3500
SH
DFND
1,2,3
3500
0
0
ASHFORD HOSPITALITY TR INC
COM SHS
044103109
357
34923
SH
DFND
1,2,3
34923
0
0
ATLAS PIPELINE PARTNERS LP
UNIT L P INT
049392103
128
3500
SH
DFND
1,2,3
3500
0
0
ATLAS PIPELINE PARTNERS LP
UNIT L P INT
049392103
346
9500
SH
OTR
1,2,3
0
9500
0
BP PRUDHOE BAY RTY TR
UNIT BEN INT
055630107
471
5000
SH
DFND
1,2,3
5000
0
0
BANK AMER CORP
COM
060505104
1873
109853
SH
OTR
1,2,3
0
109853
0
BANK AMER CORP
7.25%CNV PFD L
060505682
5583
4870
SH
OTR
1,2,3,4
0
4870
0
BANK AMER CORP
7.25%CNV PFD L
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2785
SH
DFND
1,2,3
2785
0
0
BANK AMER CORP
7.25%CNV PFD L
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1562
1362
SH
OTR
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0
1362
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
555
40070
SH
DFND
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40070
0
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
69
5000
SH
OTR
1,2,3
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5000
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
187
10000
SH
DFND
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10000
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
94
5000
SH
OTR
1,2,3
0
5000
0
BROOKDALE SENIOR LIVING INC
UT LTD PARTNER
112463104
306
9500
SH
DFND
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9500
0
0
CEDAR REALTY TRUST INC
COM NEW
150602209
36197
6135088
SH
OTR
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0
6135088
0
CEDAR REALTY TRUST INC
COM NEW
150602209
6
1000
SH
DFND
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1000
0
0
CITIGROUP INC
COM NEW
172967424
534
10300
SH
DFND
1,2,3
10300
0
0
CITIGROUP INC
COM NEW
172967424
225
4350
SH
OTR
1,2,3
0
4350
0
DIAMONDROCK HOSPITALITY CO
COM
252784301
538
42412
SH
OTR
1,2,3,4
0
42412
0
DREYFUS STRATEGIC MUNS INC
COM
261932107
449
53676
SH
DFND
1,2,3
53676
0
0
DREYFUS STRATEGIC MUNS INC
COM
261932107
58
6900
SH
OTR
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0
6900
0
EQUITY COMWLTH
COM SH BEN INT
294628102
130
5072
SH
DFND
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5072
0
0
EQUITY COMWLTH
COM SH BEN INT
294628102
430
16738
SH
OTR
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0
16738
0
GENERAL ELECTRIC CO
COM
369604103
440
17183
SH
OTR
1,2,3
0
17183
0
GENERAL ELECTRIC CO
COM
369604103
3843
150000
SH
DFND
1,2,3
150000
0
0
GETTY RLTY CORP NEW
COM
374297109
1198
70470
SH
OTR
1,2,3,4
0
70470
0
HEALTHCARE RLTY TR
COM
421946104
3398
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SH
OTR
1,2,3,4
0
143500
0
HEALTHCARE RLTY TR
COM
421946104
71
3000
SH
OTR
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0
3000
0
HEALTHCARE RLTY TR
COM
421946104
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1000
SH
DFND
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1000
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0
HERSHA HOSPITALITY TR
SH BEN INT A
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SH
OTR
1,2,3,4
0
803199
0
HERSHA HOSPITALITY TR
SH BEN INT A
427825104
823
129224
SH
DFND
1,2,3
129224
0
0
HERSHA HOSPITALITY TR
SH BEN INT A
427825104
306
48000
SH
OTR
1,2,3
0
48000
0
HUGOTON RTY TR TEX
UNIT BEN INT
444717102
203
22610
SH
DFND
1,2,3
22610
0
0
HUGOTON RTY TR TEX
UNIT BEN INT
444717102
202
22500
SH
OTR
1,2,3
0
22500
0
INLAND REAL ESTATE CORP
COM NEW
457461200
71472
7212118
SH
DFND
1,2,5
7212118
0
0
INLAND REAL ESTATE CORP
COM NEW
457461200
41196
4156984
SH
DFND
1,2,3
4156984
0
0
INLAND REAL ESTATE CORP
COM NEW
457461200
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SH
OTR
1,2,3
0
413795
0
INLAND REAL ESTATE CORP
COM NEW
457461200
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137110
SH
DFND
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137110
0
0
INLAND REAL ESTATE CORP
COM NEW
457461200
90
9091
SH
DFND
1
9091
0
0
INTEL CORP
COM
458140100
209
6000
SH
OTR
1,2,3
0
6000
0
INTEL CORP
COM
458140100
139
4000
SH
DFND
1,2,3
4000
0
0
INVESTORS REAL ESTATE TR
SH BEN INT
461730103
5596
726726
SH
OTR
1,2,3,4
0
726726
0
INVESTORS REAL ESTATE TR
SH BEN INT
461730103
123
16000
SH
DFND
1,2,3
16000
0
0
JOHNSON CTLS INC
COM
478366107
22
500
SH
OTR
1,2,3
0
500
0
KINDER MORGAN ENERGY PARTNER
UT LTD PARTNER
494550106
326
3500
SH
DFND
1,2,3
3500
0
0
KINDER MORGAN ENERGY PARTNER
UT LTD PARTNER
494550106
187
2000
SH
OTR
1,2,3
0
2000
0
LTC PPTYS INC
COM
502175102
3839
104067
SH
OTR
1,2,3,4
0
104067
0
LTC PPTYS INC
COM
502175102
222
6000
SH
OTR
1,2,3
0
6000
0
LTC PPTYS INC
COM
502175102
226
6108
SH
DFND
1,2,3
6108
0
0
LEXINGTON REALTY TRUST
PFD CONV SER C
529043309
95
2000
SH
DFND
1,2,3
2000
0
0
LEXINGTON REALTY TRUST
PFD CONV SER C
529043309
142
3000
SH
OTR
1,2,3
0
3000
0
LINN ENERGY LLC
UNIT LTD LIAB
536020100
943
31300
SH
DFND
1,2,3
31300
0
0
LINN ENERGY LLC
UNIT LTD LIAB
536020100
389
12915
SH
OTR
1,2,3
0
12915
0
MANAGED HIGH YIELD PLUS FD I
COM
561911108
24
12200
SH
OTR
1,2,3
0
12200
0
MEDTRONIC INC
COM
585055106
56
900
SH
OTR
1,2,3
0
900
0
MESA RTY TR
UNIT BEN INT
590660106
394
11300
SH
DFND
1,2,3
11300
0
0
MORGAN STANLEY
COM NEW
617446448
761
22000
SH
DFND
1,2,3
22000
0
0
NATIONAL RETAIL PPTYS INC
COM
637417106
958
27717
SH
OTR
1,2,3,4
0
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0
NATIONAL RETAIL PPTYS INC
COM
637417106
471
13633
SH
DFND
1,2,3
13633
0
0
NATIONAL RETAIL PPTYS INC
COM
637417106
422
12200
SH
OTR
1,2,3
0
12200
0
NUVEEN AMT-FREE MUN INCOME F
COM
670657105
77
5667
SH
OTR
1,2,3
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5667
0
NUVEEN AMT-FREE MUN INCOME F
COM
670657105
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147431
SH
DFND
1,2,3
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NUVEEN SELECT QUALITY MUN FD
COM
670973106
11
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SH
OTR
1,2,3
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825
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NUVEEN SELECT QUALITY MUN FD
COM
670973106
669
48933
SH
DFND
1,2,3
48933
0
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NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
1363
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SH
DFND
1,2,3
95666
0
0
NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
100
7000
SH
OTR
1,2,3
0
7000
0
OMEGA HEALTHCARE INVS INC
COM
681936100
3971
116153
SH
OTR
1,2,3,4
0
116153
0
OMEGA HEALTHCARE INVS INC
COM
681936100
376
11000
SH
DFND
1,2,3
11000
0
0
OMEGA HEALTHCARE INVS INC
COM
681936100
506
14800
SH
OTR
1,2,3
0
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0
ONE LIBERTY PPTYS INC
COM
682406103
3594
177656
SH
OTR
1,2,3,4
0
177656
0
ONE LIBERTY PPTYS INC
COM
682406103
57
2799
SH
OTR
1,2,3
0
2799
0
ONE LIBERTY PPTYS INC
COM
682406103
999
49375
SH
DFND
1,2,3
49375
0
0
PIEDMONT OFFICE REALTY TR IN
COM CL A
720190206
176
10000
SH
DFND
1,2,3
10000
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
780
110112
SH
DFND
1,2,3
110112
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
78
11000
SH
OTR
1,2,3
0
11000
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
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135
11500
SH
OTR
1,2,3
0
11500
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
542
46366
SH
DFND
1,2,3
46366
0
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
576
35440
SH
DFND
1,2,3
35440
0
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
122
7500
SH
OTR
1,2,3
0
7500
0
RAMCO-GERSHENSON PPTYS TR
PERP PFD-D CV
751452608
1226
20026
SH
OTR
1,2,3,4
0
20026
0
RAMCO-GERSHENSON PPTYS TR
PERP PFD-D CV
751452608
153
2500
SH
DFND
1,2,3
2500
0
0
RAMCO-GERSHENSON PPTYS TR
PERP PFD-D CV
751452608
588
9606
SH
OTR
1,2,3
0
9606
0
REALTY INCOME CORP
COM
756109104
1917
47000
SH
OTR
1,2,3,4
0
47000
0
REALTY INCOME CORP
COM
756109104
143
3500
SH
OTR
1,2,3
0
3500
0
REALTY INCOME CORP
COM
756109104
82
2000
SH
DFND
1,2,3
2000
0
0
ROSE ROCK MIDSTREAM L P
COM U REP LTD
777149105
414
7000
SH
DFND
1,2,3
7000
0
0
ROSE ROCK MIDSTREAM L P
COM U REP LTD
777149105
535
9052
SH
OTR
1,2,3
0
9052
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
36
500
SH
OTR
1,2,3
0
500
0
SABINE ROYALTY TR
UNIT BEN INT
785688102
350
6450
SH
OTR
1,2,3
0
6450
0
STMICROELECTRONICS N V
NY REGISTRY
861012102
146
19000
SH
DFND
1,2,3
19000
0
0
STMICROELECTRONICS N V
NY REGISTRY
861012102
85
11000
SH
OTR
1,2,3
0
11000
0
WALGREEN CO
COM
931422109
207
3500
SH
OTR
1,2,3
0
3500
0
WELLS FARGO & CO NEW
COM
949746101
1037
20000
SH
DFND
1,2,3
20000
0
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
1203
1000
SH
OTR
1,2,3,4
0
1000
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
60
50
SH
OTR
1,2,3
0
50
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
661
550
SH
DFND
1,2,3
550
0
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
434
31665
SH
DFND
1,2,3
31665
0
0
BARCLAYS PLC
ADR
06738E204
351
23700
SH
OTR
1,2,3
0
23700
0
BARCLAYS PLC
ADR
06738E204
592
40000
SH
DFND
1,2,3
40000
0
0
AT&T INC
COM
00206R102
264
7500
SH
OTR
1,2,3
0
7500
0
AMERICA FIRST MULTIFAMILY IN
BEN UNIT CTF
02364V107
269
45000
SH
DFND
1,2,3
45000
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
213
10000
SH
DFND
1,2,3
10000
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
106
5000
SH
OTR
1,2,3
0
5000
0
AMERICAN RLTY CAP PPTYS INC
COM
02917T104
1725
143000
SH
DFND
1,2,3
143000
0
0
AMERICAN RLTY CAP PPTYS INC
COM
02917T104
205
17000
SH
OTR
1,2,3
0
17000
0
AMREIT INC NEW
CL B
03216B208
2478
107893
SH
OTR
1,2,3,4
0
107893
0
APARTMENT INVT & MGMT CO
CL A
03748R101
1545
48560
SH
DFND
1,2,3
48560
0
0
ATLAS RESOURCE PARTNERS L P
COM UNT LTD PR
04941A101
311
16000
SH
DFND
1,2,3
16000
0
0
ATLAS RESOURCE PARTNERS LP
COM UNT LTD PR
04941A101
272
14000
SH
OTR
1,2,3
0
14000
0
BLACKROCK MUNIHLDGS FD II IN
COM
09253P109
148
9887
SH
DFND
1,2,3
9887
0
0
BLACKROCK MUNIHLDGS FD II IN
COM
09253P109
247
16500
SH
OTR
1,2,3
0
16500
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
224
15500
SH
DFND
1,2,3
15500
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
84
5800
SH
OTR
1,2,3
0
5800
0
BLACKROCK MUNIHOLDNGS QLTY I
COM
09254A101
696
53677
SH
DFND
1,2,3
53677
0
0
BLACKROCK MUNIHOLDNGS QLTY I
COM
09254A101
101
7815
SH
OTR
1,2,3
0
7815
0
BLACKROCK MUNIHLDNGS QLTY II
COM
09254C107
161
12097
SH
DFND
1,2,3
12097
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
375
13850
SH
OTR
1,2,3,4
0
13850
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
81
3000
SH
DFND
1,2,3
3000
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
54
2000
SH
OTR
1,2,3
0
2000
0
CYS INVTS INC
COM
12673A108
82
10000
SH
OTR
1,2,3,4
0
10000
0
CAMPUS CREST CMNTYS INC
PUT
13466Y955
6
30000
SH
Put
DFND
1,2,3
30000
0
0
CROSS TIMBERS RTY TR
TR UNIT
22757R109
127
4000
SH
DFND
1,2,3
4000
0
0
CROSS TIMBERS RTY TR
TR UNIT
22757R109
165
5190
SH
OTR
1,2,3
0
5190
0
DDR CORP
COM
23317H102
171
10244
SH
OTR
1,2,3
0
10244
0
DDR CORP
COM
23317H102
1067
63750
SH
DFND
1,2,3
63750
0
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
24
700
SH
OTR
1,2,3
0
700
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
374
10900
SH
DFND
1,2,3
10900
0
0
DREYFUS MUN INCOME INC
COM
26201R102
120
13157
SH
DFND
1,2,3
13157
0
0
EPR PPTYS
PFD C CNV 5.75%
26884U208
220
10000
SH
OTR
1,2,3,4
0
10000
0
ENBRIDGE ENERGY PARTNERS L P
COM
29250R106
486
12500
SH
DFND
1,2,3
12500
0
0
ENBRIDGE ENERGY PARTNERS L P
COM
29250R106
101
2600
SH
OTR
1,2,3
0
2600
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
1587
24800
SH
DFND
1,2,3
24800
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
531
8300
SH
OTR
1,2,3
0
8300
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
616
10000
SH
OTR
1,2,3,4
0
10000
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
41
664
SH
OTR
1,2,3
0
664
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
585
9500
SH
DFND
1,2,3
9500
0
0
FIRST INDUSTRIAL REALTY TRUS
COM
32054K103
34
2000
SH
OTR
1,2,3,4
0
2000
0
FIRST INDUSTRIAL REALTY TRUS
COM
32054K103
76
4500
SH
OTR
1,2,3
0
4500
0
FIRST INDUSTRIAL REALTY TRUS
COM
32054K103
161
9500
SH
DFND
1,2,3
9500
0
0
FRANKLIN STREET PPTYS CORP
COM
35471R106
3595
320425
SH
OTR
1,2,3,4
0
320425
0
FREEPORT-MCMORAN INC
CL B
35671D857
197
6000
SH
OTR
1,2,3
0
6000
0
FREEPORT-MCMORAN INC
CL B
35671D857
65
2000
SH
DFND
1,2,3
2000
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
1101
6000
SH
DFND
1,2,3
6000
0
0
GOVERNMENT PPTYS INCOME TR
COM SHS BEN INT
38376A103
638
29140
SH
OTR
1,2,3,4
0
29140
0
GOVERNMENT PPTYS INCOME TR
COM SHS BEN INT
38376A103
77
3500
SH
DFND
1,2,3
3500
0
0
HCP INC
COM
40414L109
596
15000
SH
OTR
1,2,3,4
0
15000
0
HEALTH CARE REIT INC
COM
42217K106
7098
113800
SH
OTR
1,2,3,4
0
113800
0
HEALTH CARE REIT INC
COM
42217K106
468
7500
SH
DFND
1,2,3
7500
0
0
INLAND REAL ESTATE CORP
NOTE 5.000%11/1
457461AC5
35
33000
SH
OTR
1,2,3
0
33000
0
INVESCO VALUE MUN INCOME TR
COM
46132P108
4
284
SH
OTR
1,2,3
0
284
0
INVESCO VALUE MUN INCOME TR
COM
46132P108
1931
127199
SH
DFND
1,2,3
127199
0
0
JPMORGAN CHASE & CO
COM
46625H100
4506
74800
SH
DFND
1,2,3
74800
0
0
JPMORGAN CHASE & CO
COM
46625H100
539
8950
SH
OTR
1,2,3
0
8950
0
KINDER MORGAN INC DEL
COM
49456B101
460
12000
SH
DFND
1,2,3
12000
0
0
KINDER MORGAN INC DEL
COM
49456B101
307
8000
SH
OTR
1,2,3
0
8000
0
KITE RLTY GROUP TR
COM NEW
49803T300
1322
54522
SH
OTR
1,2,3
0
54522
0
KITE RLTY GROUP TR
COM NEW
49803T300
1569
64715
SH
DFND
1,2,3
64715
0
0
KITE RLTY GROUP TR
PUT
49803T950
24
14800
SH
Put
DFND
1,2,3
14800
0
0
MEDICAL PPTYS TRUST INC
COM
58463J304
13170
1074231
SH
OTR
1,2,3,4
0
1074231
0
MEDICAL PPTYS TRUST INC
COM
58463J304
3248
264900
SH
DFND
1,2,3
264900
0
0
MEDICAL PPTYS TRUST INC
COM
58463J304
3280
267500
SH
OTR
1,2,3
0
267500
0
MFS INTERMEDIATE HIGH INC FD
SH BEN INT
59318T109
39
14500
SH
OTR
1,2,3
0
14500
0
NGL ENERGY PARTNERS LP
COM UNIT REPST
62913M107
78
2000
SH
OTR
1,2,3
0
2000
0
NGL ENERGY PARTNERS LP
COM UNIT REPST
62913M107
315
8000
SH
DFND
1,2,3
8000
0
0
NEWCASTLE INVT CORP NEW
COM NEW
65105M504
107
8476
SH
OTR
1,2,3,4
0
8476
0
NORTHSTAR RLTY FIN CORP
COM
66704R704
451
25500
SH
OTR
1,2,3,4
0
25500
0
NORTHSTAR RLTY FIN CORP
COM
66704R704
610
34495
SH
DFND
1,2,3
34495
0
0
NORTHSTAR RLTY FIN CORP
COM
66704R704
57
3233
SH
OTR
1,2,3
0
3233
0
NORTHSTAR ASSET MGMT GROUP I
COM
66705Y104
470
25500
SH
OTR
1,2,3,4
0
25500
0
NORTHSTAR ASSET MGMT GROUP I
COM
66705Y104
635
34495
SH
DFND
1,2,3
34495
0
0
NORTHSTAR ASSET MGMT GROUP I
COM
66705Y104
60
3233
SH
OTR
1,2,3
0
3233
0
NUVEEN MUN ADVANTAGE FD INC
COM
67062H106
19
1414
SH
DFND
1,2,3
1414
0
0
NUVEEN MUN ADVANTAGE FD INC
COM
67062H106
143
10603
SH
OTR
1,2,3
0
10603
0
NUVEEN QUALITY MUN FD INC
COM
67062N103
306
23653
SH
OTR
1,2,3
0
23653
0
NUVEEN QUALITY MUN FD INC
COM
67062N103
2479
191598
SH
DFND
1,2,3
191598
0
0
NUVEEN DIVID ADVANTAGE MUN F
COM
67066V101
264
19101
SH
OTR
1,2,3
0
19101
0
NUVEEN DIVID ADVANTAGE MUN F
COM
67066V101
78
5597
SH
DFND
1,2,3
5597
0
0
NUVEEN DIVID ADV MUN FD 3
COM SH BEN INT
67070X101
191
13971
SH
OTR
1,2,3
0
13971
0
NUVEEN DIVID ADV MUN FD 4
COM SH BEN INT
67070X101
346
25344
SH
DFND
1,2,3
25344
0
0
POTASH CORP SASK INC
COM
73755L107
518
15000
SH
DFND
1,2,3
15000
0
0
POTASH CORP SASK INC
COM
73755L107
173
5000
SH
OTR
1,2,3
0
5000
0
PROLOGIS INC
COM
74340W103
34
892
SH
OTR
1,2,3
0
892
0
PROLOGIS INC
COM
74340W103
463
12276
SH
DFND
1,2,3
12276
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
457
14000
SH
DFND
1,2,3
14000
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
196
6000
SH
OTR
1,2,3
0
6000
0
RETAIL PPTYS AMER INC
CL A
76131V202
99486
6800122
SH
OTR
1,2,3
0
6800122
0
RETAIL PPTYS AMER INC
CL A
76131V202
55150
3769684
SH
DFND
1,2,3
3769684
0
0
SABRA HEALTH CARE REIT INC
COM
78573L106
373
15334
SH
OTR
1,2,3,4
0
15334
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
165
15000
SH
DFND
1,2,3
15000
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
302
27503
SH
OTR
1,2,3
0
27503
0
STRATEGIC HOTELS & RESORTS I
COM
86272T106
2655
227900
SH
DFND
1,2,3
227900
0
0
TCP CAP CORP
COM
87238Q103
8
500
SH
OTR
1,2,3
0
500
0
TCP CAP CORP
COM
87238Q103
153
9500
SH
DFND
1,2,3
9500
0
0
WESTERN ASSET MTG CAP CORP
COM
95790D105
162
10970
SH
DFND
1,2,3
10970
0
0
WILLIAMS PARTNERS L P
COM UNIT L P
96950F104
398
7500
SH
DFND
1,2,3
7500
0
0
WILLIAMS PARTNERS L P
COM UNIT L P
96950F104
398
7500
SH
OTR
1,2,3
0
7500
0
WINDSTREAM HLDGS INC
COM
97382A101
65
6000
SH
OTR
1,2,3
0
6000
0
WINDSTREAM HLDGS INC
COM
97382A101
43
4000
SH
DFND
1,2,3
4000
0
0
FRONTLINE LTD
SHS
G3682E127
15
11600
SH
DFND
1,2,3
11600
0
0
TEEKAY TANKERS LTD
CL A
Y8565N102
56
15000
SH
DFND
1,2,3
15000
0
0