The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 018802AC2 | 766,142 | 746,000 | PRN | DFND | 1 | 746,000 | 0 | 0 | ||
| AMERICAN WTR CAP CORP | NOTE 3.625% 6/1 | 03040WBE4 | 501,950 | 500,000 | PRN | DFND | 1 | 500,000 | 0 | 0 | ||
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | 03769M304 | 1,702,112 | 22,713 | SH | DFND | 1 | 22,713 | 0 | 0 | ||
| ARES MANAGEMENT CORPORATION | 6.75 SE B PFD | 03990B309 | 1,212,407 | 22,700 | SH | DFND | 1 | 22,700 | 0 | 0 | ||
| BANK AMERICA CORP | 7.25%CNV PFD L | 060505682 | 3,009,224 | 2,488 | SH | DFND | 1 | 2,488 | 0 | 0 | ||
| CAPITAL SOUTHWEST CORP | NOTE 5.125%11/1 | 140501AE7 | 181,879 | 185,000 | PRN | DFND | 1 | 185,000 | 0 | 0 | ||
| CBL & ASSOC PPTYS INC | COMMON STOCK | 124830878 | 378,540 | 14,909 | SH | DFND | 1 | 14,909 | 0 | 0 | ||
| CENTERPOINT ENERGY INC | NOTE 4.250% 8/1 | 15189TBD8 | 1,221,578 | 1,129,000 | PRN | DFND | 1 | 1,129,000 | 0 | 0 | ||
| CLEAR CHANNEL OUTDOOR HLDGS | COM | 18453H106 | 348,883 | 298,191 | SH | DFND | 1 | 298,191 | 0 | 0 | ||
| CMS ENERGY CORP | NOTE 3.375% 5/0 | 125896BX7 | 962,015 | 905,000 | PRN | DFND | 1 | 905,000 | 0 | 0 | ||
| DUKE ENERGY CORP NEW | NOTE 4.125% 4/1 | 26441CBY0 | 1,517,172 | 1,434,000 | PRN | DFND | 1 | 1,434,000 | 0 | 0 | ||
| EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 178,952 | 14,765 | SH | DFND | 1 | 14,765 | 0 | 0 | ||
| ENVISTA HOLDINGS CORPORATION | NOTE 1.750% 8/1 | 29415FAD6 | 361,483 | 390,000 | PRN | DFND | 1 | 390,000 | 0 | 0 | ||
| EVERGY INC | NOTE 4.500%12/1 | 30034WAD8 | 1,089,974 | 932,000 | PRN | DFND | 1 | 932,000 | 0 | 0 | ||
| EXPEDIA GROUP INC | NOTE 2/1 | 30212PBE4 | 857,304 | 882,000 | PRN | DFND | 1 | 882,000 | 0 | 0 | ||
| FIRST TR SR FLTG RATE INCOME | COM | 33733U108 | 304,973 | 30,017 | SH | DFND | 1 | 30,017 | 0 | 0 | ||
| FORD MTR CO | NOTE 3/1 | 345370CZ1 | 1,824,836 | 1,847,000 | PRN | DFND | 1 | 1,847,000 | 0 | 0 | ||
| GLOBAL PMTS INC | NOTE 1.500% 3/0 | 37940XAU6 | 1,607,400 | 1,800,000 | PRN | DFND | 1 | 1,800,000 | 0 | 0 | ||
| HIGHLAND OPPS & INCOME FD | HIGHLAND INCOME | 43010E404 | 550,654 | 105,895 | SH | DFND | 1 | 105,895 | 0 | 0 | ||
| IHEARTMEDIA INC | COM CL A | 45174J509 | 205,938 | 117,010 | SH | DFND | 1 | 117,010 | 0 | 0 | ||
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 | 753,120 | 36,000 | SH | DFND | 1 | 36,000 | 0 | 0 | ||
| INVESCO EXCHANGE TRADED FD T | S&P500 QUALITY | 46137V241 | 407,964 | 5,725 | SH | DFND | 1 | 5,725 | 0 | 0 | ||
| ISHARES TR | IBOXX HI YD ETF | 464288513 | 449,624 | 5,575 | SH | DFND | 1 | 5,575 | 0 | 0 | ||
| KKR & CO INC | 6.25 CON SER D | 48251W500 | 1,453,005 | 27,000 | SH | DFND | 1 | 27,000 | 0 | 0 | ||
| MERITAGE HOMES CORP | NOTE 1.750% 5/1 | 59001ABF8 | 459,909 | 475,000 | PRN | DFND | 1 | 475,000 | 0 | 0 | ||
| NEW MTN FIN CORP | NOTE 7.500%10/1 | 647551AE0 | 155,395 | 155,000 | PRN | DFND | 1 | 155,000 | 0 | 0 | ||
| NEXTERA ENERGY CAP HLDGS INC | NOTE 3.000% 3/0 | 65339KCY4 | 706,077 | 621,000 | PRN | DFND | 1 | 621,000 | 0 | 0 | ||
| NEXTERA ENERGY INC | UNIT 06/01/2027 | 65339F663 | 376,320 | 8,000 | SH | DFND | 1 | 8,000 | 0 | 0 | ||
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 65339F713 | 2,267,460 | 57,000 | SH | DFND | 1 | 57,000 | 0 | 0 | ||
| PINNACLE WEST CAP CORP | NOTE 4.750% 6/1 | 723484AK7 | 379,050 | 350,000 | PRN | DFND | 1 | 350,000 | 0 | 0 | ||
| PPL CAP FDG INC | NOTE 2.875% 3/1 | 69352PAS2 | 1,211,816 | 1,122,000 | PRN | DFND | 1 | 1,122,000 | 0 | 0 | ||
| SOUTHERN CO | NOTE 3.875%12/1 | 842587DP9 | 2,510,222 | 2,268,000 | PRN | DFND | 1 | 2,268,000 | 0 | 0 | ||
| SOUTHERN CO | NOTE 4.500% 6/1 | 842587DZ7 | 825,008 | 750,000 | PRN | DFND | 1 | 750,000 | 0 | 0 | ||
| SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 | 1,218,587 | 29,300 | SH | DFND | 1 | 29,300 | 0 | 0 | ||
| SUNNOVA ENERGY INTL INC. | NOTE 0.250%12/0 | 86745KAF1 | 2,500 | 1,000,000 | PRN | DFND | 1 | 1,000,000 | 0 | 0 | ||
| SUNNOVA ENERGY INTL INC. | NOTE 2.625% 2/1 | 86745KAH7 | 2,500 | 1,000,000 | PRN | DFND | 1 | 1,000,000 | 0 | 0 | ||
| UBER TECHNOLOGIES INC | NOTE 0.875%12/0 | 90353TAM2 | 2,001,380 | 1,403,000 | PRN | DFND | 1 | 1,403,000 | 0 | 0 | ||
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 3,093,344 | 42,012 | SH | DFND | 1 | 42,012 | 0 | 0 | ||
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 505,037 | 1,152 | SH | DFND | 1 | 1,152 | 0 | 0 | ||
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 89,234,152 | 293,601 | SH | DFND | 1 | 293,601 | 0 | 0 | ||
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 92206C102 | 793,530 | 13,500 | SH | DFND | 1 | 13,500 | 0 | 0 | ||
| VENTAS RLTY LTD PARTNERSHIP | NOTE 3.750% 6/0 | 92277GAZ0 | 909,776 | 761,000 | PRN | DFND | 1 | 761,000 | 0 | 0 | ||
| WEC ENERGY GROUP INC | NOTE 4.375% 6/0 | 92939UAP1 | 563,200 | 500,000 | PRN | DFND | 1 | 500,000 | 0 | 0 | ||
| WEC ENERGY GROUP INC | NOTE 4.375% 6/0 | 92939UAR7 | 575,750 | 500,000 | PRN | DFND | 1 | 500,000 | 0 | 0 | ||
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 3,591,869 | 3,070 | PRN | DFND | 1 | 3,070 | 0 | 0 | ||
| WESTERN ASSET HIGH INCOM FD | COM | 95766J102 | 260,034 | 60,614 | SH | DFND | 1 | 60,614 | 0 | 0 | ||