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 | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| AGNC INVT CORP | COM | 00123Q104 | 1,989 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| AMERICAN CAP SR FLOATING LTD | COM | 02504D108 | 6,848 | 498,053 | SH | DFND | 1 | 498,053 | 0 | 0 | |
| ARES CAP CORP | COM | 04010L103 | 30,461 | 1,752,618 | SH | DFND | 1 | 1,752,618 | 0 | 0 | |
| CYS INVTS INC | COM | 12673A108 | 19,098 | 2,402,253 | SH | DFND | 1 | 2,402,253 | 0 | 0 | |
| HOEGH LNG PARTNERS LP | COM UNIT LTD | Y3262R100 | 1,168 | 59,415 | SH | DFND | 1 | 59,415 | 0 | 0 | |
| ISHARES TR | PUT | 464287955 | 1,020 | 18,000 | SH | Put | DFND | 1 | 18,000 | 0 | 0 |
| KCAP FINL INC | COM | 48668E101 | 5,607 | 1,377,559 | SH | DFND | 1 | 1,377,559 | 0 | 0 | |
| NAVIOS MARITIME HLDGS INC | SPN ADR RP PFD G | 63938Y100 | 1,579 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| NAVIOS MARITIME HLDGS INC | SPON ADR PFD H | 63938Y308 | 2,061 | 131,000 | SH | DFND | 1 | 131,000 | 0 | 0 | |
| NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | 6,433 | 3,107,846 | SH | DFND | 1 | 3,107,846 | 0 | 0 | |
| PENNANTPARK FLOATING RATE CA | COM | 70806A106 | 10,455 | 750,000 | SH | DFND | 1 | 750,000 | 0 | 0 | |
| PENNANTPARK INVT CORP | COM | 708062104 | 10,175 | 1,250,000 | SH | DFND | 1 | 1,250,000 | 0 | 0 | |
| SHIP FINANCE INTERNATIONAL L | NOTE 5.750%10/1 | G81075AF3 | 2,979 | 3,000,000 | PRN | DFND | 1 | 3,000,000 | 0 | 0 | |
| STONECASTLE FINL CORP | COM | 861780104 | 3,722 | 184,605 | SH | DFND | 1 | 184,605 | 0 | 0 | |
| TEEKAY LNG PARTNERS L P | PRTNRSP UNITS | Y8564M105 | 1,755 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| THL CR INC | COM | 872438106 | 2,128 | 213,612 | SH | DFND | 1 | 213,612 | 0 | 0 | |
| TRIANGLE CAP CORP | COM | 895848109 | 1,909 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| UNITED STATES OIL FUND LP | UNITS | 91232N108 | 334 | 10,000 | SH | Put | DFND | 1 | 10,000 | 0 | 0 |