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 |
|
||||||||||||||||
| 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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 018802AC2 | 734,437 | 746,000 | PRN | DFND | 1 | 746,000 | 0 | 0 | ||
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | 03769M304 | 2,142,558 | 32,463 | SH | DFND | 1 | 32,463 | 0 | 0 | ||
| BANK AMERICA CORP | 7.25%CNV PFD L | 060505682 | 4,840,310 | 4,041 | SH | DFND | 1 | 4,041 | 0 | 0 | ||
| BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 09857LAN8 | 1,968,511 | 936,000 | PRN | DFND | 1 | 936,000 | 0 | 0 | ||
| CBL & ASSOC PPTYS INC | COMMON STOCK | 124830878 | 1,137,227 | 48,641 | SH | DFND | 1 | 48,641 | 0 | 0 | ||
| CLEAR CHANNEL OUTDOOR HLDGS | COM | 18453H106 | 217,773 | 154,449 | SH | DFND | 1 | 154,449 | 0 | 0 | ||
| EATON VANCE TAX MNGED BUY WR | COM | 27828X100 | 307,195 | 21,756 | SH | DFND | 1 | 21,756 | 0 | 0 | ||
| EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 298736AL3 | 569,772 | 588,000 | PRN | DFND | 1 | 588,000 | 0 | 0 | ||
| EXPEDIA GROUP INC | NOTE 2/1 | 30212PBE4 | 1,039,176 | 1,132,000 | PRN | DFND | 1 | 1,132,000 | 0 | 0 | ||
| FIRST TR SR FLTG RATE INCOME | COM | 33733U108 | 302,571 | 30,017 | SH | DFND | 1 | 30,017 | 0 | 0 | ||
| FORD MTR CO DEL | NOTE 3/1 | 345370CZ1 | 2,596,434 | 2,572,000 | PRN | DFND | 1 | 2,572,000 | 0 | 0 | ||
| HIGHLAND OPPORTUNITIES | HIGHLAND INCOME | 43010E404 | 905,931 | 144,949 | SH | DFND | 1 | 144,949 | 0 | 0 | ||
| IHEARTMEDIA INC | COM CL A | 45174J509 | 227,497 | 208,713 | SH | DFND | 1 | 208,713 | 0 | 0 | ||
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 | 1,640,533 | 77,640 | SH | DFND | 1 | 77,640 | 0 | 0 | ||
| ISHARES TR | IBOXX HI YD ETF | 464288513 | 289,521 | 3,743 | SH | DFND | 1 | 3,743 | 0 | 0 | ||
| NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 368,831 | 50,318 | SH | DFND | 1 | 50,318 | 0 | 0 | ||
| NEW MTN FIN CORP | NOTE 7.500%10/1 | 647551AE0 | 156,066 | 155,000 | PRN | DFND | 1 | 155,000 | 0 | 0 | ||
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 65339F713 | 2,505,320 | 60,282 | SH | DFND | 1 | 60,282 | 0 | 0 | ||
| PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 269,875 | 20,953 | SH | DFND | 1 | 20,953 | 0 | 0 | ||
| PIONEER DIVERSIFIED HIGH INC | COM | 723653101 | 224,938 | 19,260 | SH | DFND | 1 | 19,260 | 0 | 0 | ||
| PPL CAP FDG INC | NOTE 2.875% 3/1 | 69352PAS2 | 1,073,193 | 1,122,000 | PRN | DFND | 1 | 1,122,000 | 0 | 0 | ||
| PROSPECT CAP CORP | NOTE 6.375% 3/0 | 74348TAT9 | 216,197 | 217,000 | PRN | DFND | 1 | 217,000 | 0 | 0 | ||
| RIVERNORTH OPPORTUNITIES FD | COM | 76881Y109 | 614,521 | 50,165 | SH | DFND | 1 | 50,165 | 0 | 0 | ||
| SOUTHERN CO | NOTE 3.875%12/1 | 842587DP9 | 2,316,649 | 2,268,000 | PRN | DFND | 1 | 2,268,000 | 0 | 0 | ||
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 844741BG2 | 1,814,813 | 1,813,000 | PRN | DFND | 1 | 1,813,000 | 0 | 0 | ||
| SPDR SER TR | PORTFOLIO SHORT | 78464A474 | 248,683 | 8,376 | SH | DFND | 1 | 8,376 | 0 | 0 | ||
| SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 | 2,058,350 | 49,290 | SH | DFND | 1 | 49,290 | 0 | 0 | ||
| SUMMIT MIDSTREAM PARTNERS LP | COM UNIT LTD | 866142409 | 288,889 | 8,124 | SH | DFND | 1 | 8,124 | 0 | 0 | ||
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 | 224,446 | 2,924 | SH | DFND | 1 | 2,924 | 0 | 0 | ||
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 3,264,514 | 44,941 | SH | DFND | 1 | 44,941 | 0 | 0 | ||
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 84,404,636 | 313,306 | SH | DFND | 1 | 313,306 | 0 | 0 | ||
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 92206C102 | 662,074 | 11,419 | SH | DFND | 1 | 11,419 | 0 | 0 | ||
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 425,552 | 5,502 | SH | DFND | 1 | 5,502 | 0 | 0 | ||
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 5,285,904 | 4,472 | PRN | DFND | 1 | 4,472 | 0 | 0 | ||
| WESTERN ASSET HIGH INCOM FD | COM | 95766J102 | 263,671 | 60,614 | SH | DFND | 1 | 60,614 | 0 | 0 | ||