The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
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
ABERDEEN ASIA PACIFIC INCOM COM 003009107 859 221,959 SH   DFND 1,2 221,959 0 0
ABERDEEN AUSTRALIA EQTY FD I COM 003011103 84 17,746 SH   DFND 1,2 17,746 0 0
ABERDEEN GLOBAL INCOME FD IN COM 003013109 91 12,722 SH   DFND 1,2 12,722 0 0
ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 556 111,688 SH   DFND 1,2 111,688 0 0
ABERDEEN INCOME CR STRATEGIE COM 003057106 394 37,587 SH   DFND 1,2 37,587 0 0
ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 1,279 177,369 SH   DFND 1,2 177,369 0 0
ADAM NAT RES FD INC COM 00548F105 603 41,372 SH   DFND 1,2 41,372 0 0
ADAMS DIVERSIFIED EQUITY FD COM 006212104 1,064 84,288 SH   DFND 1,2 84,288 0 0
ADMA BIOLOGICS INC COM 000899104 42 17,381 SH   DFND 1,2 17,381 0 0
ADVENT CLAYMORE CV SECS & IN COM 00764C109 676 53,899 SH   DFND 1,2 53,899 0 0
ADVERUM BIOTECHNOLOGIES INC COM 00773U108 74 23,524 SH   DFND 1,2 23,524 0 0
AERCAP HOLDINGS NV SHS N00985106 2,057 51,944 SH   DFND 1,2 51,944 0 0
AFFIMED N V COM N01045108 55 17,606 SH   DFND 1,2 17,606 0 0
ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 2 21,490 SH   DFND 1,2 21,490 0 0
ALBERTON ACQUISITION CORP ORD SHS G35006108 8,495 866,800 SH   DFND 1,2 866,800 0 0
ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 78 300,000 SH   DFND 1,2 300,000 0 0
ALEXANDRIA REAL ESTATE EQ IN PFD CONV SER D 015271505 6,712 200,000 SH   DFND 1,2 200,000 0 0
ALLEGRO MERGER CORP COM 01749N103 11,780 1,208,248 SH   DFND 1,2 1,208,248 0 0
ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 960 91,137 SH   DFND 1,2 91,137 0 0
ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 456 37,580 SH   DFND 1,2 37,580 0 0
ALLIANZGI CONV INCOME FD COM 018828103 752 144,911 SH   DFND 1,2 144,911 0 0
ALLIANZGI CONV INCOME FD II COM 018825109 572 127,082 SH   DFND 1,2 127,082 0 0
ALLIANZGI EQUITY & CONV INCO COM 018829101 730 39,350 SH   DFND 1,2 39,350 0 0
ALLIANZGI NFJ DIVID INT & PR COM 01883A107 1,255 117,485 SH   DFND 1,2 117,485 0 0
AMC ENTMT HLDGS INC CL A COM 00165C104 152 12,402 SH   DFND 1,2 12,402 0 0
AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 40 200,000 SH   DFND 1,2 200,000 0 0
AMCI ACQUISITION CORP CLASS A 00165R101 1,904 200,000 SH   DFND 1,2 200,000 0 0
ANI PHARMACEUTICALS INC COM 00182C103 4,852 107,771 SH   DFND 1,2 107,771 0 0
APOLLO SR FLOATING RATE FD I COM 037636107 385 26,747 SH   DFND 1,2 26,747 0 0
APOLLO TACTICAL INCOME FD IN COM 037638103 381 27,659 SH   DFND 1,2 27,659 0 0
ARBUTUS BIOPHARMA CORP COM 03879J100 41 10,800 SH   DFND 1,2 10,800 0 0
ARES DYNAMIC CR ALLOCATION F COM 04014F102 624 45,252 SH   DFND 1,2 45,252 0 0
ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 157 16,550 SH   DFND 1,2 16,550 0 0
ASCENA RETAIL GROUP INC COM 04351G101 73 29,106 SH   DFND 1,2 29,106 0 0
ASSURED GUARANTY LTD COM G0585R106 335 8,763 SH   DFND 1,2 8,763 0 0
AVID BIOSERVICES INC COM 05368M106 56 13,650 SH   DFND 1,2 13,650 0 0
BANK AMER CORP COM 060505104 19,256 781,500 SH Put DFND 1,2 0 0 0
BANK OF NT BUTTERFIELD&SON L SHS NEW G0772R208 744 24,000 SH   DFND 1,2 24,000 0 0
BARINGS GLOBAL SHORT DURATIO COM 06760L100 632 39,596 SH   DFND 1,2 39,596 0 0
BIG ROCK PARTNERS ACQUISI CO COM 089482103 280 27,407 SH   DFND 1,2 27,407 0 0
BISON CAP ACQUISITION CORP ORD SHS G1142P104 1,478 142,083 SH   DFND 1 142,083 0 0
BLACK RIDGE ACQUISITION CORP COM 09216T107 13,111 1,305,870 SH   DFND 1,2 1,305,870 0 0
BLACKROCK CORPOR HI YLD FD I COM 09255P107 935 100,716 SH   DFND 1,2 100,716 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 514 46,000 SH   DFND 1,2 46,000 0 0
BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 723 74,021 SH   DFND 1,2 74,021 0 0
BLACKROCK ENERGY & RES TR COM 09250U101 418 39,990 SH   DFND 1,2 39,990 0 0
BLACKROCK ENH CAP & INC FD I COM 09256A109 637 45,235 SH   DFND 1,2 45,235 0 0
BLACKROCK ENHANCED EQT DIV T COM 09251A104 1,538 197,970 SH   DFND 1,2 197,970 0 0
BLACKROCK ENHANCED GBL DIV T COM 092501105 1,406 150,072 SH   DFND 1,2 150,072 0 0
BLACKROCK ENHANCED INTL DIV COM BENE INTER 092524107 649 130,318 SH   DFND 1,2 130,318 0 0
BLACKROCK FLOAT RATE OME STR COM 09255X100 919 77,211 SH   DFND 1,2 77,211 0 0
BLACKROCK FLOATING RATE INCO COM 091941104 524 45,353 SH   DFND 1,2 45,353 0 0
BLACKROCK LTD DURATION INC T COM SHS 09249W101 562 42,033 SH   DFND 1,2 42,033 0 0
BLACKROCK MULTI-SECTOR INC T COM 09258A107 717 46,669 SH   DFND 1,2 46,669 0 0
BLACKROCK MUN 2030 TAR TERM COM SHS BEN IN 09257P105 713 34,767 SH   DFND 1,2 34,767 0 0
BLACKROCK MUNI INCOME TR II COM 09249N101 168 13,040 SH   DFND 1,2 13,040 0 0
BLACKROCK MUNI INTER DR FD I COM 09253X102 502 39,668 SH   DFND 1,2 39,668 0 0
BLACKROCK MUNIC INCM INVST T SH BEN INT 09248H105 149 12,400 SH   DFND 1,2 12,400 0 0
BLACKROCK MUNICIPL INC QLTY COM 092479104 323 25,900 SH   DFND 1,2 25,900 0 0
BLACKROCK MUNIHLDGS FD II IN COM 09253P109 138 10,625 SH   DFND 1,2 10,625 0 0
BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 371 29,489 SH   DFND 1,2 29,489 0 0
BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 507 41,087 SH   DFND 1,2 41,087 0 0
BLACKROCK MUNIVEST FD INC COM 09253R105 561 67,890 SH   DFND 1,2 67,890 0 0
BLACKROCK MUNIYIELD CALI QLT COM 09254N103 172 13,610 SH   DFND 1,2 13,610 0 0
BLACKROCK MUNIYIELD FD INC COM 09253W104 700 55,900 SH   DFND 1,2 55,900 0 0
BLACKROCK MUNIYIELD INVST FD COM 09254R104 139 10,969 SH   DFND 1,2 10,969 0 0
BLACKROCK MUNIYIELD NY QLTY COM 09255E102 216 18,754 SH   DFND 1,2 18,754 0 0
BLACKROCK MUNIYIELD PA QLTY COM 09255G107 185 14,704 SH   DFND 1,2 14,704 0 0
BLACKROCK MUNIYLD MICH QLTY COM 09254V105 356 28,629 SH   DFND 1,2 28,629 0 0
BLACKROCK RES & COMM STRAT T SHS 09257A108 957 135,560 SH   DFND 1,2 135,560 0 0
BLACKROCK SCIENCE & TECH TR SHS 09258G104 1,093 39,778 SH   DFND 1,2 39,778 0 0
BLACKSTONE GSO FLTING RTE FU COM 09256U105 316 20,640 SH   DFND 1,2 20,640 0 0
BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 454 33,074 SH   DFND 1,2 33,074 0 0
BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 777 57,664 SH   DFND 1,2 57,664 0 0
BOULDER GROWTH & INCOME FD I COM 101507101 575 55,105 SH   DFND 1,2 55,105 0 0
BRANDYWINEGBL GLBAL INM OPRT COM 10537L104 230 22,132 SH   DFND 1,2 22,132 0 0
BRISTOW GROUP INC COM 110394103 52 21,520 SH   DFND 1,2 21,520 0 0
BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 126 12,478 SH   DFND 1,2 12,478 0 0
BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 1,421 74,497 SH   DFND 1,2 74,497 0 0
CAI INTERNATIONAL INC COM 12477X106 9,532 410,329 SH   DFND 1,2 410,329 0 0
CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 405 43,093 SH   DFND 1,2 43,093 0 0
CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 1,572 177,476 SH   DFND 1,2 177,476 0 0
CALAMOS DYNAMIC CONV & INCOM COM 12811V105 454 27,689 SH   DFND 1,2 27,689 0 0
CALAMOS GBL DYN INCOME FUND COM 12811L107 738 112,608 SH   DFND 1,2 112,608 0 0
CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 147 14,510 SH   DFND 1,2 14,510 0 0
CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 647 61,142 SH   DFND 1,2 61,142 0 0
CALIFORNIA WTR SVC GROUP COM 130788102 210 4,400 SH   DFND 1,2 4,400 0 0
CAPSTEAD MTG CORP COM NO PAR 14067E506 7,341 1,100,584 SH   DFND 1,2 1,100,584 0 0
CASTLE BRANDS INC COM 148435100 13 14,989 SH   DFND 1,2 14,989 0 0
CBRE CLARION GLOBAL REAL EST COM 12504G100 1,045 169,701 SH   DFND 1,2 169,701 0 0
CENTER COAST BRKFLD MLP ENRG SHS BEN INT 151461100 155 22,596 SH   DFND 1,2 22,596 0 0
CHURCHILL CAP CORP COM CL A 17142R103 6,978 730,700 SH   DFND 1,2 730,700 0 0
CHURCHILL CAP CORP *W EXP 09/11/202 17142R111 1,025 1,177,750 SH   DFND 1,2 1,177,750 0 0
CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 594 76,079 SH   DFND 1,2 76,079 0 0
CLEARBRIDGE MLP AND MIDSTRM COM 18469Q108 186 23,847 SH   DFND 1,2 23,847 0 0
CLEARBRIDGE MLP AND MIDSTRM COM 184692101 378 36,334 SH   DFND 1,2 36,334 0 0
CLOUGH GLOBAL DIVND AND INC COM 18913Y103 114 11,392 SH   DFND 1,2 11,392 0 0
CLOUGH GLOBAL EQUITY FD COM 18914C100 256 23,641 SH   DFND 1,2 23,641 0 0
CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 534 64,933 SH   DFND 1,2 64,933 0 0
CM SEVEN STAR ACQUISITION CO SHS G2345N102 22,558 2,233,456 SH   DFND 1,2 2,233,456 0 0
CNX RESOURCES CORPORATION COM 12653C108 142 12,411 SH   DFND 1,2 12,411 0 0
COHEN & STEERS CLOSED END OP COM 19248P106 189 17,082 SH   DFND 1,2 17,082 0 0
COHEN & STEERS GLOBAL INC BL COM 19248M103 217 29,121 SH   DFND 1,2 29,121 0 0
COHEN & STEERS INFRASTRUCTUR COM 19248A109 1,727 87,414 SH   DFND 1,2 87,414 0 0
COHEN & STEERS LTD DUR PFD I COM 19248C105 249 11,435 SH   DFND 1,2 11,435 0 0
COHEN & STEERS QUALITY RLTY COM 19247L106 1,292 124,735 SH   DFND 1,2 124,735 0 0
COHEN & STEERS REIT & PFD IN COM 19247X100 588 33,025 SH   DFND 1,2 33,025 0 0
COLLIER CREEK HOLDINGS COM CL A G22707106 2,895 300,000 SH   DFND 1,2 300,000 0 0
COLONY CAP INC NOTE 5.000% 4/1 19624RAA4 1,775 2,000,000 PRN   DFND 1,2 0 0 0
COLONY CAP INC NEW CL A COM 19626G108 136 29,032 SH   DFND 1,2 29,032 0 0
COLUMBIA SELIGM PREM TECH GR COM 19842X109 210 12,475 SH   DFND 1,2 12,475 0 0
COMMUNITY HEALTH SYS INC NEW RIGHT 12/31/2019 203668116 3 3,000,000 SH   DFND 1,2 3,000,000 0 0
COMSTOCK RES INC COM 205768302 46 10,090 SH   DFND 1,2 10,090 0 0
CONSOLIDATED COMM HLDGS INC COM 209034107 118 11,983 SH   DFND 1,2 11,983 0 0
CONSOLIDATED TOMOKA LD CO NOTE 4.500% 3/1 210226AB2 6,996 7,000,000 PRN   DFND 1,2 0 0 0
CONSTELLATION ALPHA CAP CORP SHS G2379F108 2,279 222,955 SH   DFND 1,2 222,955 0 0
CONTAINER STORE GROUP INC COM 210751103 77 16,079 SH   DFND 1,2 16,079 0 0
CONTANGO OIL & GAS COMPANY COM NEW 21075N204 69 21,201 SH   DFND 1,2 21,201 0 0
CREDIT SUISSE ASSET MGMT INC COM 224916106 164 59,210 SH   DFND 1,2 59,210 0 0
CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 313 144,159 SH   DFND 1,2 144,159 0 0
CREDIT SUISSE NASSAU BRH VELOCITY SHS DAI 22542D332 2,056 29,000 SH   DFND 1,2 29,000 0 0
DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 26 75,000 SH   DFND 1,2 75,000 0 0
DELAWARE ENHANCED GBL DIV & COM 246060107 250 28,696 SH   DFND 1,2 28,696 0 0
DELL TECHNOLOGIES INC CL C 24703L202 5,982 122,400 SH Put DFND 1,2 0 0 0
DELL TECHNOLOGIES INC CL C 24703L202 10,200 208,722 SH   DFND 1,2 208,722 0 0
DFB HEALTHCARE ACQUISTION CO COM 23291E109 246 25,000 SH   DFND 1,2 25,000 0 0
DIGITAL TURBINE INC COM NEW 25400W102 79 43,437 SH   DFND 1,2 43,437 0 0
DOUBLELINE INCOME SOLUTIONS COM 258622109 2,228 128,539 SH   DFND 1,2 128,539 0 0
DOUBLELINE OPPORTUNISTIC CR COM 258623107 807 42,573 SH   DFND 1,2 42,573 0 0
DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 140 51,686 SH   DFND 1,2 51,686 0 0
DREYFUS MUN BD INFRSTRCTR FD SHS 26203D101 121 10,209 SH   DFND 1,2 10,209 0 0
DREYFUS MUN INCOME INC COM 26201R102 101 13,292 SH   DFND 1,2 13,292 0 0
DREYFUS STRATEGIC MUN BD FD COM 26202F107 368 52,745 SH   DFND 1,2 52,745 0 0
DREYFUS STRATEGIC MUNS INC COM 261932107 506 70,509 SH   DFND 1,2 70,509 0 0
DUFF & PHELPS GLB UTL INC FD COM 26433C105 551 46,524 SH   DFND 1,2 46,524 0 0
DUFF & PHELPS SLT ENGY AND M COM 26433F108 132 33,494 SH   DFND 1,2 33,494 0 0
DURECT CORP COM 266605104 11 22,095 SH   DFND 1,2 22,095 0 0
DWS MUN INCOME TR NEW COM 233368109 371 36,001 SH   DFND 1,2 36,001 0 0
EATON VANCE CALIF MUN BD FD COM 27828A100 127 12,816 SH   DFND 1,2 12,816 0 0
EATON VANCE ENH EQTY INC FD COM 278277108 483 32,945 SH   DFND 1,2 32,945 0 0
EATON VANCE ENHANCED EQ INC COM 278274105 443 34,201 SH   DFND 1,2 34,201 0 0
EATON VANCE FLTING RATE INC COM 278279104 735 58,066 SH   DFND 1,2 58,066 0 0
EATON VANCE LTD DUR INCOME F COM 27828H105 368 30,833 SH   DFND 1,2 30,833 0 0
EATON VANCE MUN BD FD COM 27827X101 172 15,269 SH   DFND 1,2 15,269 0 0
EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 336 29,700 SH   DFND 1,2 29,700 0 0
EATON VANCE NATL MUN OPPORT COM SHS 27829L105 306 16,488 SH   DFND 1,2 16,488 0 0
EATON VANCE RISK MNGD DIV EQ COM 27829G106 897 110,447 SH   DFND 1,2 110,447 0 0
EATON VANCE SR FLTNG RTE TR COM 27828Q105 816 64,993 SH   DFND 1,2 64,993 0 0
EATON VANCE SR INCOME TR SH BEN INT 27826S103 97 16,236 SH   DFND 1,2 16,236 0 0
EATON VANCE TAX ADVT DIV INC COM 27828G107 1,052 55,416 SH   DFND 1,2 55,416 0 0
EATON VANCE TAX MNGD GBL DV COM 27829F108 2,108 282,588 SH   DFND 1,2 282,588 0 0
EATON VANCE TAX MNGED BUY WR COM 27828X100 431 32,017 SH   DFND 1,2 32,017 0 0
EATON VANCE TX ADV GLBL DIV COM 27828S101 978 72,217 SH   DFND 1,2 72,217 0 0
EATON VANCE TX MGD DIV EQ IN COM 27828N102 1,558 152,794 SH   DFND 1,2 152,794 0 0
EATON VANCE TX MNG BY WRT OP COM 27828Y108 657 48,755 SH   DFND 1,2 48,755 0 0
EATON VANCE TXMGD GL BUYWR O COM 27829C105 1,134 118,959 SH   DFND 1,2 118,959 0 0
EDTECHX HLDGS ACQUISITION CO *W EXP 12/31/202 28138X111 134 382,773 SH   DFND 1,2 382,773 0 0
EDTECHX HLDGS ACQUISITION CO COM 28138X103 645 63,973 SH   DFND 1,2 63,973 0 0
ELLINGTON RESIDENTIAL MTG RE COM SHS BEN INT 288578107 1,082 105,747 SH   DFND 1,2 105,747 0 0
ENPHASE ENERGY INC COM 29355A107 68 14,348 SH   DFND 1,2 14,348 0 0
ENSCO PLC SHS CLASS A G3157S106 53 14,779 SH   DFND 1,2 14,779 0 0
EXPRESS INC COM 30219E103 71 13,871 SH   DFND 1,2 13,871 0 0
FALCON MINERALS CORP *W EXP 07/21/202 30607B208 60 100,000 SH   DFND 1,2 100,000 0 0
FEDERAL STR ACQUISITION CORP CL A 31421V107 9,084 888,000 SH   DFND 1,2 888,000 0 0
FINISAR CORP NOTE 0.500%12/1 31787AAP6 43,119 45,568,000 PRN   DFND 1,2 0 0 0
FINISAR CORP COM NEW 31787A507 2,160 100,000 SH Put DFND 1,2 0 0 0
FIRST TR DYNAMIC EUROPE EQT COM SHS 33740D107 343 27,134 SH   DFND 1,2 27,134 0 0
FIRST TR ENERGY INFRASTRCTR COM 33738C103 350 27,009 SH   DFND 1,2 27,009 0 0
FIRST TR ENHANCED EQTY INC F COM 337318109 202 15,609 SH   DFND 1,2 15,609 0 0
FIRST TR HIGH INCOME L/S FD COM 33738E109 270 20,342 SH   DFND 1,2 20,342 0 0
FIRST TR INTER DUR PFD & IN COM 33718W103 522 26,354 SH   DFND 1,2 26,354 0 0
FIRST TR SR FLG RTE INCM FD COM 33733U108 452 40,388 SH   DFND 1,2 40,388 0 0
FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 99 11,934 SH   DFND 1,2 11,934 0 0
FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 536 26,328 SH   DFND 1,2 26,328 0 0
FLAHERTY & CRUMRINE PFD INC COM 338480106 133 11,482 SH   DFND 1,2 11,482 0 0
FLUIDIGM CORP DEL NOTE 2.750% 2/0 34385PAD0 9,165 8,000,000 PRN   DFND 1,2 0 0 0
FOOT LOCKER INC COM 344849104 241 4,522 SH   DFND 1,2 4,522 0 0
FORUM MERGER II CORP CL A 34986F103 6,097 631,801 SH   DFND 1,2 631,801 0 0
FRANKLIN LTD DURATION INC TR COM 35472T101 99 10,959 SH   DFND 1,2 10,959 0 0
FS KKR CAPITAL CORP COM 302635107 4,003 772,726 SH   DFND 1,2 772,726 0 0
FST TR NEW OPPORT MLP & ENE COM 33739M100 357 47,342 SH   DFND 1,2 47,342 0 0
GABELLI DIVD & INCOME TR COM 36242H104 1,491 81,451 SH   DFND 1,2 81,451 0 0
GABELLI EQUITY TR INC COM 362397101 210 41,187 SH   DFND 1,2 41,187 0 0
GABELLI GLOBL UTIL & INCOME COM SH BEN INT 36242L105 987 61,327 SH   DFND 1,2 61,327 0 0
GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 1,038 280,434 SH   DFND 1,2 280,434 0 0
GAMCO NAT RES GOLD & INCOME SH BEN INT 36465E101 158 31,887 SH   DFND 1,2 31,887 0 0
GENERAL AMERN INVS INC COM 368802104 500 17,583 SH   DFND 1,2 17,583 0 0
GENESIS HEALTHCARE INC CL A COM 37185X106 57 48,346 SH   DFND 1,2 48,346 0 0
GERON CORP COM 374163103 57 57,243 SH   DFND 1,2 57,243 0 0
GIGCAPITAL INC COM 37518N106 7,978 789,921 SH   DFND 1,2 789,921 0 0
GILDAN ACTIVEWEAR INC COM 375916103 294 9,686 SH   DFND 1,2 9,686 0 0
GOLDMAN SACHS MLP ENERGY REN COM 38148G107 170 38,768 SH   DFND 1,2 38,768 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 1,259 125,870 SH   DFND 1,2 125,870 0 0
GORES HOLDINGS III INC UNIT 09/07/2024 38286G208 2,603 259,000 SH   DFND 1,2 259,000 0 0
GRAF INDL CORP COM 384278107 240 25,000 SH   DFND 1,2 25,000 0 0
GREAT ELM CAP CORP COM 390320109 666 84,780 SH   DFND 1,2 84,780 0 0
GREENLAND ACQUISITIN CORPORA SHS G40981139 558 56,327 SH   DFND 1,2 56,327 0 0
GRIFFON CORP COM 398433102 125 12,006 SH   DFND 1,2 12,006 0 0
GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 2,976 290,381 SH   DFND 1,2 290,381 0 0
GUGGENHEIM CR ALLOCATION FD COM 40168G108 212 11,548 SH   DFND 1,2 11,548 0 0
GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 428 63,163 SH   DFND 1,2 63,163 0 0
GUGGENHEIM STRATEGIC OPP FD COM SBI 40167F101 1,103 60,389 SH   DFND 1,2 60,389 0 0
HANCOCK JOHN FINL OPPTYS FD SH BEN INT NEW 409735206 677 24,240 SH   DFND 1,2 24,240 0 0
HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 292 15,522 SH   DFND 1,2 15,522 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 345 21,766 SH   DFND 1,2 21,766 0 0
HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 366 26,411 SH   DFND 1,2 26,411 0 0
HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 466 22,811 SH   DFND 1,2 22,811 0 0
HAYMAKER ACQUISITION CORP COM CLASS A 420870107 3,373 336,939 SH   DFND 1,2 336,939 0 0
HESS CORP COM 42809H107 7,420 183,200 SH   DFND 1,2 183,200 0 0
HEWLETT PACKARD ENTERPRISE C COM 42824C109 147 11,152 SH   DFND 1,2 11,152 0 0
HIGHLAND FLOATNG RATE OPPRT SHS BEN INT 43010E404 693 54,124 SH   DFND 1,2 54,124 0 0
HL ACQUISITIONS CORP SHS G4603R106 1,709 178,000 SH   DFND 1,2 178,000 0 0
HORNBECK OFFSHORE SVCS INC N COM 440543106 44 30,234 SH   DFND 1,2 30,234 0 0
II VI INC COM 902104108 3,510 108,128 SH   DFND 1,2 108,128 0 0
IMMUNOGEN INC COM 45253H101 74 15,499 SH   DFND 1,2 15,499 0 0
IMPERIAL OIL LTD COM NEW 453038408 254 10,033 SH   DFND 1,2 10,033 0 0
INDEPENDENCE CONTRACT DRIL I COM 453415309 45 14,362 SH   DFND 1,2 14,362 0 0
INDIA FD INC COM 454089103 354 17,476 SH   DFND 1,2 17,476 0 0
INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 9,493 482,632 SH   DFND 1,2 482,632 0 0
INSYS THERAPEUTICS INC NEW COM NEW 45824V209 56 16,140 SH   DFND 1,2 16,140 0 0
INTEGRATED DEVICE TECHNOLOGY NOTE 0.875%11/1 458118AC0 67,970 43,987,000 PRN   DFND 1,2 0 0 0
INVESCO ADVANTAGE MUNICIPAL SH BEN INT 46132E103 526 53,280 SH   DFND 1,2 53,280 0 0
INVESCO DYNAMIC CR OPP FD COM 46132R104 259 25,238 SH   DFND 1,2 25,238 0 0
INVESCO MORTGAGE CAPITAL INC COM 46131B100 160 11,054 SH   DFND 1,2 11,054 0 0
INVESCO MUN OPPORTUNITY TR COM 46132C107 1,216 108,800 SH   DFND 1,2 108,800 0 0
INVESCO MUN TR COM 46131J103 769 69,040 SH   DFND 1,2 69,040 0 0
INVESCO MUNI INCOME OPP TRST COM 46132X101 155 22,304 SH   DFND 1,2 22,304 0 0
INVESCO PA VALUE MUN INCOME COM 46132K109 200 17,200 SH   DFND 1,2 17,200 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 3,239 21,000 SH   DFND 1,2 21,000 0 0
INVESCO QUALITY MUNI INC TRS COM 46133G107 638 56,897 SH   DFND 1,2 56,897 0 0
INVESCO SR INCOME TR COM 46131H107 283 72,344 SH   DFND 1,2 72,344 0 0
INVESCO TR INVT GRADE MUNS COM 46131M106 793 69,097 SH   DFND 1,2 69,097 0 0
INVESCO VALUE MUN INCOME TR COM 46132P108 239 17,692 SH   DFND 1,2 17,692 0 0
ISHARES INC MSCI STH KOR ETF 464286772 23,544 400,000 SH Put DFND 1 0 0 0
ISHARES TR BARCLAYS 7 10 YR 464287440 20,840 200,000 SH Put DFND 1,2 0 0 0
ISHARES TR U.S. REAL ES ETF 464287739 16,487 220,000 SH Put DFND 1,2 0 0 0
ISHARES TR S&P US PFD STK 464288687 17,115 500,000 SH Put DFND 1,2 0 0 0
IVY HIGH INC OPPORTUNITIES F COM 465893105 399 32,917 SH   DFND 1,2 32,917 0 0
JOHN HANCOCK HDG EQ & INC FD COM 47804L102 224 17,162 SH   DFND 1,2 17,162 0 0
JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 12,388 555,000 SH   DFND 1,2 555,000 0 0
JUST ENERGY GROUP INC COM 48213W101 242 73,048 SH   DFND 1,2 73,048 0 0
KAYNE ANDERSN MLP MIDS INVT COM 486606106 244 17,746 SH   DFND 1,2 17,746 0 0
KAYNE ANDERSON MDSTM ENERGY COM 48661E108 258 26,733 SH   DFND 1,2 26,733 0 0
KBL MERGER CORP IV COM 48242A104 4,140 405,839 SH   DFND 1,2 405,839 0 0
KEURIG DR PEPPER INC COM 49271V100 15,629 609,551 SH   DFND 1,2 609,551 0 0
KKR INCOME OPPORTUNITIES FD COM 48249T106 476 33,403 SH   DFND 1,2 33,403 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 2,210 225,000 SH   DFND 1,2 225,000 0 0
LEISURE ACQUISITION CORP COM 52539T107 6,693 679,539 SH   DFND 1,2 679,539 0 0
LEO HOLDINGS CORP COM CL A G5463L105 7,342 756,867 SH   DFND 1,2 756,867 0 0
LEXINGTON REALTY TRUST COM 529043101 160 19,487 SH   DFND 1,2 19,487 0 0
LF CAP ACQUISITION CORP CL A 50200K108 3,661 373,525 SH   DFND 1,2 373,525 0 0
LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 2,135 396,881 SH   DFND 1,2 396,881 0 0
LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 90,617 144,208,000 PRN   DFND 1,2 0 0 0
LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 52,818 49,817,000 PRN   DFND 1,2 0 0 0
LMP CAP & INCOME FD INC COM 50208A102 154 14,411 SH   DFND 1,2 14,411 0 0
LONESTAR RES US INC CL A VTG 54240F103 52 14,312 SH   DFND 1,2 14,312 0 0
LONGEVITY ACQUISITION CORP *W EXP 07/31/202 G56372116 34 223,600 SH   DFND 1,2 223,600 0 0
LONGEVITY ACQUISITION CORP ORD SHS G56372132 649 65,223 SH   DFND 1,2 65,223 0 0
MACQUARIE GLBL INFRA TOTL RE COM 55608D101 306 16,288 SH   DFND 1,2 16,288 0 0
MADISON CVRED CALL & EQ STR COM 557437100 250 40,617 SH   DFND 1,2 40,617 0 0
MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 1,864 615,133 SH   DFND 1,2 615,133 0 0
MAINSTAY MACKAY DEFINDTRM MU COM 56064K100 264 13,508 SH   DFND 1,2 13,508 0 0
MARINUS PHARMACEUTICALS INC COM 56854Q101 55 18,996 SH   DFND 1,2 18,996 0 0
MEDALLION FINL CORP COM 583928106 70 14,933 SH   DFND 1,2 14,933 0 0
MEDLEY CAP CORP COM 58503F106 256 96,400 SH   DFND 1,2 96,400 0 0
MEDLEY MGMT INC CL A COM 58503T106 1,861 482,050 SH   DFND 1,2 482,050 0 0
MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 115 288,021 SH   DFND 1,2 288,021 0 0
METHANEX CORP COM 59151K108 271 5,637 SH   DFND 1,2 5,637 0 0
MEXICO EQUITY & INCOME FD COM 592834105 389 38,515 SH   DFND 1,2 38,515 0 0
MFS CHARTER INCOME TR SH BEN INT 552727109 156 21,218 SH   DFND 1,2 21,218 0 0
MFS HIGH INCOME MUN TR SH BEN INT 59318D104 138 29,900 SH   DFND 1,2 29,900 0 0
MFS HIGH YIELD MUN TR SH BEN INT 59318E102 108 25,955 SH   DFND 1,2 25,955 0 0
MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 36,814 26,492,000 PRN   DFND 1,2 0 0 0
MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 40,295 36,340,000 PRN   DFND 1,2 0 0 0
MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 174 18,300 SH   DFND 1,2 18,300 0 0
MODERN MEDIA ACQUISITION COM 60765P103 13,841 1,357,002 SH   DFND 1,2 1,357,002 0 0
MORGAN STANLEY ASIA PAC FD I COM 61744U106 2,034 123,621 SH   DFND 1,2 123,621 0 0
MORGAN STANLEY EM MKTS DM DE COM 617477104 566 93,340 SH   DFND 1,2 93,340 0 0
MORGAN STANLEY EMER MKTS FD COM 61744G107 7,310 453,751 SH   DFND 1,2 453,751 0 0
MOSAIC ACQUISITION CORP COM CL A 61946M100 2,009 204,010 SH   DFND 1,2 204,010 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 5,331 539,567 SH   DFND 1,2 539,567 0 0
NATIONAL CINEMEDIA INC COM 635309107 81 12,444 SH   DFND 1,2 12,444 0 0
NEUBERGER BERMAN HGH YLD FD COM 64128C106 102 10,531 SH   DFND 1,2 10,531 0 0
NEUBERGER BERMAN MLP INCOME COM 64129H104 292 43,673 SH   DFND 1,2 43,673 0 0
NEUBERGER BERMAN MUNI FD INC COM 64124P101 382 30,160 SH   DFND 1,2 30,160 0 0
NEUBERGER BERMAN RE ES SEC F COM 64190A103 423 101,847 SH   DFND 1,2 101,847 0 0
NEVADA GOLD & CASINOS INC COM NEW 64126Q206 357 150,000 SH   DFND 1,2 150,000 0 0
NEW AMER HIGH INCOME FD INC COM NEW 641876800 109 14,484 SH   DFND 1,2 14,484 0 0
NEW RESIDENTIAL INVT CORP COM NEW 64828T201 1,421 100,000 SH   DFND 1,2 100,000 0 0
NEXPOINT STRATEGIC OPORTUNT COM NEW 65340G205 752 37,757 SH   DFND 1,2 37,757 0 0
NEXTERA ENERGY INC COM 65339F101 11,781 67,775 SH   DFND 1,2 67,775 0 0
NOBLE CORP PLC SHS USD G65431101 55 20,841 SH   DFND 1,2 20,841 0 0
NORBORD INC COM NEW 65548P403 293 11,011 SH   DFND 1,2 11,011 0 0
NORTHSTAR REALTY EUROPE CORP COM 66706L101 152 10,485 SH   DFND 1,2 10,485 0 0
NOVAVAX INC COM 670002104 75 40,541 SH   DFND 1,2 40,541 0 0
NUVEEN ALL CAP ENE MLP OPPO COM 67075E108 61 11,083 SH   DFND 1,2 11,083 0 0
NUVEEN AMT FREE MUN CR INC F COM 67071L106 1,252 89,583 SH   DFND 1,2 89,583 0 0
NUVEEN AMT FREE QLTY MUN INC COM 670657105 2,002 162,616 SH   DFND 1,2 162,616 0 0
NUVEEN CA QUALTY MUN INCOME COM 67066Y105 2,039 159,892 SH   DFND 1,2 159,892 0 0
NUVEEN CALIFORNIA AMT QLT MU COM 670651108 646 50,927 SH   DFND 1,2 50,927 0 0
NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 201 16,713 SH   DFND 1,2 16,713 0 0
NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 318 43,006 SH   DFND 1,2 43,006 0 0
NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 212 22,925 SH   DFND 1,2 22,925 0 0
NUVEEN DOW 30 DYN OVERWRITE SHS 67075F105 567 35,158 SH   DFND 1,2 35,158 0 0
NUVEEN ENERGY MLP TOTL RTRNF COM 67074U103 172 21,126 SH   DFND 1,2 21,126 0 0
NUVEEN ENHANCED MUN VALUE FD COM 67074M101 347 27,000 SH   DFND 1,2 27,000 0 0
NUVEEN FLOATING RATE INCOME COM 67072T108 222 24,069 SH   DFND 1,2 24,069 0 0
NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 519 57,534 SH   DFND 1,2 57,534 0 0
NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 202 14,811 SH   DFND 1,2 14,811 0 0
NUVEEN MICHIGAN QLT MUN INC COM 670979103 214 17,205 SH   DFND 1,2 17,205 0 0
NUVEEN MUN HIGH INCOME OPP F COM 670682103 872 74,874 SH   DFND 1,2 74,874 0 0
NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 1,692 126,059 SH   DFND 1,2 126,059 0 0
NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 876 43,816 SH   DFND 1,2 43,816 0 0
NUVEEN NEW JERSEY QULT MUN F COM 67069Y102 259 20,300 SH   DFND 1,2 20,300 0 0
NUVEEN NEW YORK AMT QLT MUNI COM 670656107 597 51,240 SH   DFND 1,2 51,240 0 0
NUVEEN OHIO QLTY MUN INCOME COM 670980101 181 13,600 SH   DFND 1,2 13,600 0 0
NUVEEN PENNSYLVANIA QLT MUN COM 670972108 272 22,300 SH   DFND 1,2 22,300 0 0
NUVEEN PFD & INCM OPPORTNYS COM 67073B106 329 39,457 SH   DFND 1,2 39,457 0 0
NUVEEN PFD & INCM SECURTIES COM 67072C105 567 68,500 SH   DFND 1,2 68,500 0 0
NUVEEN PFD & INCOME TERM FD COM 67075A106 602 29,771 SH   DFND 1,2 29,771 0 0
NUVEEN QUALITY MUNCP INCOME COM 67066V101 2,007 160,086 SH   DFND 1,2 160,086 0 0
NUVEEN REAL ASSET INM AND GW COM 67074Y105 558 40,933 SH   DFND 1,2 40,933 0 0
NUVEEN REAL ESTATE INCOME FD COM 67071B108 113 13,400 SH   DFND 1,2 13,400 0 0
NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1,153 95,535 SH   DFND 1,2 95,535 0 0
NUVEEN S&P 500 DYN OVERWRITE COM 6706EW100 226 16,112 SH   DFND 1,2 16,112 0 0
NUVEEN SHT DUR CR OPP FD COM 67074X107 343 23,962 SH   DFND 1,2 23,962 0 0
NUVEEN SR INCOME FD COM 67067Y104 145 26,441 SH   DFND 1,2 26,441 0 0
NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 151 11,299 SH   DFND 1,2 11,299 0 0
NUVEEN TX ADV TOTAL RET STRG COM 67090H102 199 19,631 SH   DFND 1,2 19,631 0 0
ON DECK CAP INC COM 682163100 69 11,650 SH   DFND 1,2 11,650 0 0
ONE MADISON CORP COM CL A G6772P100 20,967 2,090,424 SH   DFND 1,2 2,090,424 0 0
OPES ACQUISITION CORP COM 68373P100 4,580 461,210 SH   DFND 1,2 461,210 0 0
OWENS RLTY MTG INC COM 690828108 7,676 408,513 SH   DFND 1,2 408,513 0 0
PARTY CITY HOLDCO INC COM 702149105 145 14,490 SH   DFND 1,2 14,490 0 0
PENSARE ACQUISITION CORP UNIT 07/27/2022 70957E204 826 78,268 SH   DFND 1,2 78,268 0 0
PENSARE ACQUISITION CORP COM 70957E105 18,608 1,836,891 SH   DFND 1,2 1,836,891 0 0
PGIM GLOBAL SHORT DURATION H COM 69346J106 256 19,840 SH   DFND 1,2 19,840 0 0
PGIM SHORT DURATION HIGH YIE COM 69346H100 565 43,397 SH   DFND 1,2 43,397 0 0
PIMCO CORPORATE & INCOME OPP COM 72201B101 617 40,234 SH   DFND 1,2 40,234 0 0
PIMCO CORPORATE INCOME STRAT COM 72200U100 589 39,564 SH   DFND 1,2 39,564 0 0
PIMCO DYNAMIC INCOME FD SHS 72201Y101 2,113 72,424 SH   DFND 1,2 72,424 0 0
PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 4,868 231,238 SH   DFND 1,2 231,238 0 0
PIMCO INCOME STRATEGY FUND COM 72201H108 186 17,133 SH   DFND 1,2 17,133 0 0
PIMCO INCOME STRATEGY FUND I COM 72201J104 567 59,477 SH   DFND 1,2 59,477 0 0
PIMCO MUN INCOME FD II COM 72200W106 614 46,100 SH   DFND 1,2 46,100 0 0
PIONEER FLOATING RATE TR COM 72369J102 271 27,552 SH   DFND 1,2 27,552 0 0
PIONEER HIGH INCOME TR COM 72369H106 309 38,829 SH   DFND 1,2 38,829 0 0
PIONEER MUN HIGH INCOME ADV COM 723762100 347 33,973 SH   DFND 1,2 33,973 0 0
PIONEER MUN HIGH INCOME TR COM SHS 723763108 314 28,670 SH   DFND 1,2 28,670 0 0
PLATINUM EAGLE ACQUISITIN CO *W EXP 01/17/202 G7126L118 21 16,333 SH   DFND 1,2 16,333 0 0
PLATINUM EAGLE ACQUISITIN CO SHS CL A G7126L100 4,832 479,399 SH   DFND 1,2 479,399 0 0
PRESIDIO INC COM 74102M103 136 10,459 SH   DFND 1,2 10,459 0 0
PURE ACQUISITION CORP CL A 74621Q106 12,446 1,264,800 SH   DFND 1,2 1,264,800 0 0
PUTNAM MANAGED MUN INCOM TR COM 746823103 304 45,277 SH   DFND 1,2 45,277 0 0
PUTNAM PREMIER INCOME TR SH BEN INT 746853100 393 83,829 SH   DFND 1,2 83,829 0 0
QIAGEN NV SHS NEW N72482123 1,832 53,173 SH   DFND 1,2 53,173 0 0
QUOTIENT LTD SHS G73268107 68 11,179 SH   DFND 1,2 11,179 0 0
REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 12,100 1,232,181 SH   DFND 1,2 1,232,181 0 0
REGIONS FINL CORP NEW COM 7591EP100 137 10,259 SH   DFND 1,2 10,259 0 0
RESOURCE CAP CORP NOTE 4.500% 8/1 76120WAC8 15,190 15,500,000 PRN   DFND 1,2 0 0 0
RESTORATION HARDWARE HLDGS I NOTE 6/1 761283AD2 17,881 16,000,000 PRN   DFND 1,2 0 0 0
RETAIL PPTYS AMER INC CL A 76131V202 151 13,957 SH   DFND 1,2 13,957 0 0
RIVERNORTH DOUBLELINE STRATE COM 76882G107 181 11,113 SH   DFND 1,2 11,113 0 0
RLJ LODGING TR CUM CONV PFD A 74965L200 19,136 772,255 SH   DFND 1,2 772,255 0 0
ROYCE MICRO-CAP TR INC COM 780915104 504 67,890 SH   DFND 1,2 67,890 0 0
ROYCE VALUE TR INC COM 780910105 2,096 177,659 SH   DFND 1,2 177,659 0 0
SABAN CAP ACQUISITION CORP COM CL A 78516C106 18,890 1,874,000 SH   DFND 1,2 1,874,000 0 0
SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 195 26,390 SH   DFND 1,2 26,390 0 0
SAVARA INC COM 805111101 77 10,173 SH   DFND 1,2 10,173 0 0
SEABRIDGE GOLD INC COM 811916105 19,488 1,475,000 SH   DFND 1,2 1,475,000 0 0
SECOND SIGHT MED PRODS INC COM 81362J100 42 47,491 SH   DFND 1,2 47,491 0 0
SELECT INCOME REIT COM SH BEN INT 81618T100 11,607 1,577,087 SH   DFND 1,2 1,577,087 0 0
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3,229 52,100 SH   DFND 1,2 52,100 0 0
SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 47 56,181 SH   DFND 1,2 56,181 0 0
SENTINEL ENERGY SVCS INC CL A 81728P105 9,965 994,537 SH   DFND 1,2 994,537 0 0
SESEN BIO INC COM 817763105 74 52,356 SH   DFND 1,2 52,356 0 0
SORRENTO THERAPEUTICS INC COM NEW 83587F202 63 26,420 SH   DFND 1,2 26,420 0 0
SOURCE CAP INC COM 836144105 261 8,021 SH   DFND 1,2 8,021 0 0
SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 84 86,666 SH   DFND 1,2 86,666 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 19,994 80,000 SH Put DFND 1,2 0 0 0
SPORTSMANS WHSE HLDGS INC COM 84920Y106 65 14,900 SH   DFND 1,2 14,900 0 0
SPROTT FOCUS TR INC COM 85208J109 67 11,513 SH   DFND 1,2 11,513 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 5,333 425,310 SH   DFND 1,2 425,310 0 0
SPROTT PHYSICAL PLAT PALLAD UNIT 85207Q104 5,802 588,637 SH   DFND 1,2 588,637 0 0
STARWOOD WAYPOINT RESIDENTL NOTE 3.000% 7/0 85571WAB5 2,265 2,000,000 PRN   DFND 1,2 0 0 0
STEIN MART INC COM 858375108 41 38,416 SH   DFND 1,2 38,416 0 0
STONE HBR EMERG MKTS TL INC COM 86164W100 162 14,824 SH   DFND 1,2 14,824 0 0
STONE HBR EMERG MRKTS INC FD COM 86164T107 146 13,067 SH   DFND 1,2 13,067 0 0
SWISS HELVETIA FD INC COM 870875101 288 41,783 SH   DFND 1,2 41,783 0 0
T2 BIOSYSTEMS INC COM 89853L104 37 12,262 SH   DFND 1,2 12,262 0 0
TEKLA HEALTHCARE INVS SH BEN INT 87911J103 1,019 56,775 SH   DFND 1,2 56,775 0 0
TEKLA HEALTHCARE OPPORTUNIT SHS 879105104 248 14,761 SH   DFND 1,2 14,761 0 0
TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 466 30,825 SH   DFND 1,2 30,825 0 0
TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 508 43,856 SH   DFND 1,2 43,856 0 0
TEMPLETON DRAGON FD INC COM 88018T101 209 12,270 SH   DFND 1,2 12,270 0 0
TEMPLETON EMERG MKTS INCOME COM 880192109 231 24,061 SH   DFND 1,2 24,061 0 0
TEMPLETON GLOBAL INCOME FD COM 880198106 116 19,221 SH   DFND 1,2 19,221 0 0
TENZING ACQUISITION CORP ORD SHS G8708A116 2,019 204,998 SH   DFND 1,2 204,998 0 0
TESARO INC NOTE 3.000%10/0 881569AA5 38,696 17,750,000 PRN   DFND 1,2 0 0 0
TESLA INC COM 88160R101 73,216 220,000 SH Put DFND 1,2 0 0 0
TESLA INC NOTE 0.250% 3/0 88160RAB7 37,521 36,016,000 PRN   DFND 1,2 0 0 0
TETRA TECHNOLOGIES INC DEL COM 88162F105 66 39,207 SH   DFND 1,2 39,207 0 0
THL CR SR LN FD COM 87244R103 218 14,643 SH   DFND 1,2 14,643 0 0
THOMSON REUTERS CORP COM NEW 884903709 299 6,188 SH   DFND 1,2 6,188 0 0
THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 305 30,000 SH   DFND 1,2 30,000 0 0
THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 8,690 877,774 SH   DFND 1,2 877,774 0 0
TIBERIUS ACQUISITION CORP COM 88633A107 4,671 476,624 SH   DFND 1,2 476,624 0 0
TIBERIUS ACQUISITION CORP UNIT 02/28/2021 88633A206 766 75,000 SH   DFND 1,2 75,000 0 0
TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 11,487 1,190,314 SH   DFND 1,2 1,190,314 0 0
TORTOISE ENERGY INDEPENDENC COM 89148K101 240 35,345 SH   DFND 1,2 35,345 0 0
TORTOISE ENERGY INFRA CORP COM 89147L100 645 32,398 SH   DFND 1,2 32,398 0 0
TORTOISE MLP FD INC COM 89148B101 613 50,027 SH   DFND 1,2 50,027 0 0
TORTOISE PIPELINE & ENERGY F COM 89148H108 141 11,388 SH   DFND 1,2 11,388 0 0
TPG PACE HLDGS CORP CL A G89827128 1,504 150,450 SH   DFND 1,2 150,450 0 0
TRI CONTL CORP COM 895436103 593 25,197 SH   DFND 1,2 25,197 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 21,198 2,126,138 SH   DFND 1,2 2,126,138 0 0
TRINITY MERGER CORP COM CL A 89653L106 11,964 1,199,999 SH   DFND 1,2 1,199,999 0 0
TTM TECHNOLOGIES INC NOTE 1.750%12/1 87305RAD1 3,651 3,090,000 PRN   DFND 1,2 0 0 0
TUESDAY MORNING CORP COM NEW 899035505 19 10,900 SH   DFND 1,2 10,900 0 0
TWELVE SEAS INVESTMENT COMPA SHS G9145A107 12,636 1,286,727 SH   DFND 1,2 1,286,727 0 0
UBS AG LONDON BRH ETRACS MTH2XRE 90269A302 234 18,383 SH   DFND 1,2 18,383 0 0
UNION ACQUISITION CORP SHS G9366W101 8,327 826,875 SH   DFND 1,2 826,875 0 0
VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 4,593 152,000 SH   DFND 1,2 152,000 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 4,408 209,000 SH   DFND 1,2 209,000 0 0
VANGUARD WORLD FDS INF TECH ETF 92204A702 11,628 69,700 SH   DFND 1,2 69,700 0 0
VANTAGE ENERGY ACQUISITION COM CL A 92211L105 18,919 1,882,510 SH   DFND 1,2 1,882,510 0 0
VECTOIQ ACQUISITION CORP COM 92243N103 6,002 618,800 SH   DFND 1,2 618,800 0 0
VERASTEM INC NOTE 5.000%11/0 92337CAA2 9,047 11,250,000 PRN   DFND 1,2 0 0 0
VIRTUS GLOBAL DIVID INCOME F COM 92835W107 354 39,642 SH   DFND 1,2 39,642 0 0
VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 296 26,737 SH   DFND 1,2 26,737 0 0
VIRTUS TOTAL RETURN FUND INC COM 92837G100 373 43,086 SH   DFND 1,2 43,086 0 0
VITAMIN SHOPPE INC COM 92849E101 56 11,909 SH   DFND 1,2 11,909 0 0
VIVINT SOLAR INC COM 92854Q106 61 16,079 SH   DFND 1,2 16,079 0 0
VOYA GLBL ADV & PREM OPP FD COM 92912R104 247 26,832 SH   DFND 1,2 26,832 0 0
VOYA GLBL EQTY DIV & PREM OP COM 92912T100 889 151,697 SH   DFND 1,2 151,697 0 0
VOYA INFRASTRUCTURE INDLS & COM 92912X101 296 26,731 SH   DFND 1,2 26,731 0 0
VOYA PRIME RATE TR SH BEN INT 92913A100 248 55,232 SH   DFND 1,2 55,232 0 0
VOYA RISK MANAGED NAT RES FD COM 92913C106 232 54,298 SH   DFND 1,2 54,298 0 0
WASHINGTON PRIME GROUP NEW COM 93964W108 122 25,140 SH   DFND 1,2 25,140 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 8,413 6,667 SH   DFND 1,2 6,667 0 0
WELLS FARGO CO NEW COM 949746101 415 9,000 SH Put DFND 1,2 0 0 0
WELLS FARGO GLOBAL DIVIDEND COM 94987C103 262 56,496 SH   DFND 1,2 56,496 0 0
WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 294 40,664 SH   DFND 1,2 40,664 0 0
WELLS FARGO MULTI SECTOR INC COM 94987D101 530 47,813 SH   DFND 1,2 47,813 0 0
WESTERN ASSET EMRG MKT DEBT COM 95766A101 939 76,444 SH   DFND 1,2 76,444 0 0
WESTERN ASSET GLB HI INCOME COM 95766B109 206 24,944 SH   DFND 1,2 24,944 0 0
WESTERN ASSET HGH YLD DFNDFD COM 95768B107 310 23,587 SH   DFND 1,2 23,587 0 0
WESTERN ASSET HIGH INCM FD I COM 95766J102 217 37,693 SH   DFND 1,2 37,693 0 0
WESTERN ASSET HIGH INCM OPP COM 95766K109 158 35,983 SH   DFND 1,2 35,983 0 0
WESTERN ASSET MTG CAP CORP COM 95790D105 2,098 251,535 SH   DFND 1,2 251,535 0 0
WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 157 14,790 SH   DFND 1,2 14,790 0 0
WESTERN AST INFL LKD OPP & I COM 95766R104 429 42,229 SH   DFND 1,2 42,229 0 0
WILLSCOT CORP COM 971375126 3,312 351,611 SH   DFND 1,2 351,611 0 0
ZAFGEN INC COM 98885E103 84 17,047 SH   DFND 1,2 17,047 0 0