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 |
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 57,620 | 6,562,620 | SH | SOLE | 6,311,125 | 0 | 251,495 | ||
ALLIANCE CALIF MUN INCOME FD | COM | 018546101 | 184 | 13,535 | SH | SOLE | 13,535 | 0 | 0 | ||
ALLIANCEBERNSTEIN GBL HGH IN | COM | 01879R106 | 1,850 | 158,757 | SH | SOLE | 158,757 | 0 | 0 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 4,533 | 346,011 | SH | SOLE | 346,011 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 48,283 | 40,000 | SH | Put | SOLE | 40,000 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 7,034 | 5,894 | SH | SOLE | 5,894 | 0 | 0 | ||
APPLE INC | COM | 037833100 | 24,786 | 109,800 | SH | Put | SOLE | 109,800 | 0 | 0 | |
APPLE INC | COM | 037833100 | 883 | 3,911 | SH | SOLE | 3,911 | 0 | 0 | ||
AVON PRODS INC | COM | 054303102 | 2,243 | 1,019,349 | SH | SOLE | 1,019,349 | 0 | 0 | ||
BANCROFT FUND LTD | COM | 059695106 | 366 | 15,970 | SH | SOLE | 15,970 | 0 | 0 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 17,620 | 1,676,516 | SH | SOLE | 1,503,621 | 0 | 172,895 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 11,460 | 936,265 | SH | SOLE | 887,265 | 0 | 49,000 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 45,451 | 4,079,990 | SH | SOLE | 4,079,990 | 0 | 0 | ||
BLACKROCK MUNI N Y INTER DUR | COM | 09255F109 | 1,229 | 98,274 | SH | SOLE | 98,274 | 0 | 0 | ||
BLACKROCK NY MUN INCOME TR I | COM | 09249R102 | 1,426 | 112,034 | SH | SOLE | 112,034 | 0 | 0 | ||
BLACKROCK NY MUNICIPAL BOND | COM | 09249P106 | 820 | 63,725 | SH | SOLE | 63,725 | 0 | 0 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 3,525 | 323,962 | SH | SOLE | 323,962 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | COM | 165167107 | 482 | 107,281 | SH | SOLE | 107,281 | 0 | 0 | ||
CHINA FD INC | COM | 169373107 | 1,891 | 96,494 | SH | SOLE | 96,494 | 0 | 0 | ||
CISCO SYS INC | COM | 17275R102 | 97,300 | 2,000,000 | SH | Put | SOLE | 2,000,000 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 11,831 | 243,178 | SH | SOLE | 243,178 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 28,501 | 8,237,198 | SH | SOLE | 8,237,198 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC NEW | RIGHT 12/31/2019 | 203668116 | 12 | 1,981,077 | SH | SOLE | 1,981,077 | 0 | 0 | ||
CONSOLIDATED COMM HLDGS INC | COM | 209034107 | 152 | 11,670 | SH | SOLE | 11,670 | 0 | 0 | ||
CREDIT SUISSE ASSET MGMT INC | COM | 224916106 | 185 | 58,265 | SH | SOLE | 58,265 | 0 | 0 | ||
DASEKE INC | *W EXP 02/27/202 | 23753F115 | 54 | 67,703 | SH | SOLE | 67,703 | 0 | 0 | ||
DEAN FOODS CO NEW | COM NEW | 242370203 | 8,799 | 1,239,300 | SH | Put | SOLE | 1,239,300 | 0 | 0 | |
DEAN FOODS CO NEW | COM NEW | 242370203 | 762 | 107,328 | SH | SOLE | 107,328 | 0 | 0 | ||
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 22,758 | 2,031,927 | SH | SOLE | 1,964,927 | 0 | 67,000 | ||
DEUTSCHE MULTI-MKT INCOME TR | SHS | 25160E102 | 6,884 | 766,597 | SH | SOLE | 766,597 | 0 | 0 | ||
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 3,106 | 246,525 | SH | SOLE | 246,525 | 0 | 0 | ||
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 1,603 | 134,376 | SH | SOLE | 134,376 | 0 | 0 | ||
DONNELLEY R R & SONS CO | COM | 257867200 | 3,547 | 656,866 | SH | SOLE | 656,866 | 0 | 0 | ||
EATON VANCE CA MUNI INCOME T | SH BEN INT | 27826F101 | 566 | 50,419 | SH | SOLE | 50,419 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 57,726 | 4,552,539 | SH | SOLE | 4,426,206 | 0 | 126,333 | ||
EATON VANCE N Y MUN BD FD II | COM | 27828T109 | 814 | 78,149 | SH | SOLE | 78,149 | 0 | 0 | ||
EBAY INC | COM | 278642103 | 19,812 | 600,000 | SH | Put | SOLE | 600,000 | 0 | 0 | |
EBAY INC | COM | 278642103 | 5,145 | 155,812 | SH | SOLE | 155,812 | 0 | 0 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 155 | 16,112 | SH | SOLE | 16,112 | 0 | 0 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 2,378 | 161,214 | SH | SOLE | 146,636 | 0 | 14,578 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 67 | 10,058 | SH | SOLE | 10,058 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 16,058 | 434,113 | SH | SOLE | 434,113 | 0 | 0 | ||
GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 16,646 | 700,000 | SH | Put | SOLE | 700,000 | 0 | 0 | |
GENWORTH FINL INC | COM CL A | 37247D106 | 9,731 | 2,333,509 | SH | SOLE | 2,333,509 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 26,332 | 482,700 | SH | Put | SOLE | 482,700 | 0 | 0 | |
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 594 | 10,882 | SH | SOLE | 10,882 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 253 | 238,772 | SH | SOLE | 238,772 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 45,363 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 10,223 | 67,608 | SH | SOLE | 67,608 | 0 | 0 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 11,035 | 804,871 | SH | SOLE | 755,516 | 0 | 49,355 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 23,380 | 5,437,160 | SH | SOLE | 5,417,160 | 0 | 20,000 | ||
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 182,106 | 1,800,000 | SH | Call | SOLE | 1,800,000 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 131,521 | 1,300,000 | SH | Put | SOLE | 1,300,000 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 98,754 | 976,122 | SH | SOLE | 976,122 | 0 | 0 | ||
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 9,468 | 663,967 | SH | SOLE | 648,967 | 0 | 15,000 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 304 | 29,148 | SH | SOLE | 29,148 | 0 | 0 | ||
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 176 | 25,821 | SH | SOLE | 25,821 | 0 | 0 | ||
LINDBLAD EXPEDITIONS HLDGS I | *W EXP 07/08/202 | 535219117 | 151 | 36,822 | SH | SOLE | 36,822 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 57,185 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 2,782 | 24,324 | SH | SOLE | 24,324 | 0 | 0 | ||
MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | 6,163 | 710,804 | SH | SOLE | 621,808 | 0 | 88,996 | ||
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 9,820 | 896,769 | SH | SOLE | 834,051 | 0 | 62,718 | ||
NEUBERGER BRMAN NY MUNI FD I | COM | 64124K102 | 719 | 62,968 | SH | SOLE | 62,968 | 0 | 0 | ||
NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 5,929 | 691,052 | SH | SOLE | 691,052 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 5,161 | 6,505,498 | SH | SOLE | 6,505,498 | 0 | 0 | ||
NUVEEN CONNECTICUT QLTY MUN | COM | 67060D107 | 10,807 | 951,332 | SH | SOLE | 951,332 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 69,212 | 8,684,018 | SH | SOLE | 8,269,380 | 0 | 414,638 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 774 | 75,051 | SH | SOLE | 75,051 | 0 | 0 | ||
NUVEEN MULTI MKT INCOME FD | COM | 67075J107 | 715 | 102,048 | SH | SOLE | 102,048 | 0 | 0 | ||
NUVEEN PFD & INCM SECURTIES | COM | 67072C105 | 525 | 59,698 | SH | SOLE | 0 | 0 | 59,698 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 225 | 36,556 | SH | SOLE | 36,556 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 681 | 172,768 | SH | SOLE | 172,768 | 0 | 0 | ||
ONEMAIN HLDGS INC | COM | 68268W103 | 16,805 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
ONEMAIN HLDGS INC | COM | 68268W103 | 4,977 | 148,083 | SH | SOLE | 148,083 | 0 | 0 | ||
ORACLE CORP | COM | 68389X105 | 28,358 | 550,000 | SH | Put | SOLE | 550,000 | 0 | 0 | |
ORACLE CORP | COM | 68389X105 | 7,912 | 153,460 | SH | SOLE | 153,460 | 0 | 0 | ||
PARKER DRILLING CO | COM NEW | 701081408 | 3,241 | 1,087,568 | SH | SOLE | 1,087,568 | 0 | 0 | ||
PGIM GLOBAL SHORT DURATION H | COM | 69346J106 | 21,733 | 1,566,891 | SH | SOLE | 1,387,834 | 0 | 179,057 | ||
PGIM SHORT DURATION HIGH YIE | COM | 69346H100 | 10,741 | 759,617 | SH | SOLE | 677,829 | 0 | 81,788 | ||
PIONEER DIV HIGH INCOME TRUS | COM | 723653101 | 5,110 | 349,538 | SH | SOLE | 333,042 | 0 | 16,496 | ||
PIONEER HIGH INCOME TR | COM | 72369H106 | 93 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
QUALCOMM INC | COM | 747525103 | 72,030 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
QUALCOMM INC | COM | 747525103 | 21,348 | 296,378 | SH | SOLE | 296,378 | 0 | 0 | ||
ROWAN COMPANIES PLC | SHS CL A | G7665A101 | 1,816 | 96,400 | SH | Put | SOLE | 96,400 | 0 | 0 | |
ROWAN COMPANIES PLC | SHS CL A | G7665A101 | 190 | 10,095 | SH | SOLE | 10,095 | 0 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 4,757 | 452,640 | SH | SOLE | 452,640 | 0 | 0 | ||
SEADRILL LTD | COM | G7998G106 | 60,380 | 2,436,646 | SH | SOLE | 2,436,646 | 0 | 0 | ||
SEARS HLDGS CORP | COM | 812350106 | 1,091 | 1,127,464 | SH | SOLE | 1,127,464 | 0 | 0 | ||
SIMON PPTY GROUP INC NEW | COM | 828806109 | 53,025 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
SIMPLY GOOD FOODS CO | *W EXP 07/07/202 | 82900L110 | 251 | 29,700 | SH | SOLE | 29,700 | 0 | 0 | ||
SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 12,396 | 526,800 | SH | Put | SOLE | 526,800 | 0 | 0 | |
TEMPLETON EMERG MKTS INCOME | COM | 880192109 | 36,005 | 3,600,542 | SH | SOLE | 3,456,284 | 0 | 144,258 | ||
TESLA INC | COM | 88160R101 | 49,433 | 186,700 | SH | Put | SOLE | 186,700 | 0 | 0 | |
TEXAS INSTRS INC | COM | 882508104 | 32,187 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
TEXAS INSTRS INC | COM | 882508104 | 13,441 | 125,276 | SH | SOLE | 125,276 | 0 | 0 | ||
TRANSOCEAN LTD | REG SHS | H8817H100 | 22,540 | 1,615,800 | SH | Put | SOLE | 1,615,800 | 0 | 0 | |
TRANSOCEAN LTD | REG SHS | H8817H100 | 698 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 23,061 | 4,630,804 | SH | SOLE | 4,620,549 | 0 | 10,255 | ||
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 52,711 | 6,655,456 | SH | SOLE | 6,537,756 | 0 | 117,700 | ||
WESTERN ASSET CORPORATE LN F | COM | 95790J102 | 1,730 | 174,003 | SH | SOLE | 174,003 | 0 | 0 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 25,349 | 2,782,600 | SH | SOLE | 2,692,435 | 0 | 90,165 | ||
WESTERN ASSET HGH YLD DFNDFD | COM | 95768B107 | 8,685 | 596,939 | SH | SOLE | 463,498 | 0 | 133,441 | ||
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 40,063 | 6,319,009 | SH | SOLE | 6,105,621 | 0 | 213,388 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 50,940 | 10,701,646 | SH | SOLE | 10,205,809 | 0 | 495,837 | ||
XEROX CORP | COM NEW | 984121608 | 3,238 | 120,000 | SH | Put | SOLE | 120,000 | 0 | 0 | |
XEROX CORP | COM NEW | 984121608 | 1,509 | 55,936 | SH | SOLE | 55,936 | 0 | 0 |