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 |
AMERICAN ELEC PWR CO | UNIT 08/01/2021 | 025537127 | 2,666 | 55,250 | SH | DFND | 1 | 55,250 | 0 | 0 | |
AMERICAN ELEC PWR CO | UNIT 08/15/2025 | 02557T307 | 1,690 | 34,580 | SH | DFND | 1 | 34,580 | 0 | 0 | |
ARES CAPITAL CORP | NOTE 3.750% 2/0 | 04010LAT0 | 1,650 | 1,600,000 | PRN | DFND | 1 | 1,600,000 | 0 | 0 | |
ARES CAPITAL CORP | NOTE 4.625% 3/0 | 04010LAW3 | 655 | 600,000 | PRN | DFND | 1 | 600,000 | 0 | 0 | |
BLACKROCK DEBT STRAT | COM NEW | 09255R202 | 420 | 38,160 | SH | DFND | 1 | 38,160 | 0 | 0 | |
BLACKROCK FLOATING R | COM | 09255X100 | 1,160 | 89,209 | SH | DFND | 1 | 89,209 | 0 | 0 | |
CLEAR CHANNEL OUTDOO | COM | 18453H106 | 603 | 335,073 | SH | DFND | 1 | 335,073 | 0 | 0 | |
CORNERSTONE BLDG BRA | COM | 21925D109 | 614 | 43,739 | SH | DFND | 1 | 43,739 | 0 | 0 | |
CSI COMPRESSCO LP | COM UNIT | 12637A103 | 407 | 223,735 | SH | DFND | 1 | 223,735 | 0 | 0 | |
DOMINION ENERGY INC | UNIT 99/99/9999 | 25746U133 | 4,250 | 43,000 | SH | DFND | 1 | 43,000 | 0 | 0 | |
DTE ENERGY CO | UNIT 11/01/2022S | 233331842 | 2,981 | 60,000 | SH | DFND | 1 | 60,000 | 0 | 0 | |
EURONET WORLDWIDE IN | NOTE 0.750% 3/1 | 298736AL3 | 1,717 | 1,500,000 | PRN | DFND | 1 | 1,500,000 | 0 | 0 | |
FORTIVE CORP | NOTE 0.875% 2/1 | 34959JAK4 | 4,126 | 4,050,000 | PRN | DFND | 1 | 4,050,000 | 0 | 0 | |
IHEARTMEDIA INC | COM CL A | 45174J509 | 321 | 17,706 | SH | DFND | 1 | 17,706 | 0 | 0 | |
ILLUMINA INC | NOTE 0.500% 6/1 | 452327AH2 | 2,112 | 1,400,000 | PRN | DFND | 1 | 1,400,000 | 0 | 0 | |
ILLUMINA INC | NOTE 8/1 | 452327AK5 | 2,632 | 2,200,000 | PRN | DFND | 1 | 2,200,000 | 0 | 0 | |
INVESCO EXCH TRADED | SR LN ETF | 46138G508 | 839 | 37,900 | SH | DFND | 1 | 37,900 | 0 | 0 | |
INVESCO HIGH INCOME | COM | 46131F101 | 191 | 13,722 | SH | DFND | 1 | 13,722 | 0 | 0 | |
INVESCO SR INCOME TR | COM | 46131H107 | 1,460 | 347,578 | SH | DFND | 1 | 347,578 | 0 | 0 | |
MICRON TECHNOLOGY IN | NOTE 3.125% 5/0 | 595112AX1 | 3,002 | 340,000 | PRN | DFND | 1 | 340,000 | 0 | 0 | |
NEXTERA ENERGY INC | UNIT 99/99/9999 | 65339F770 | 4,780 | 96,500 | SH | DFND | 1 | 96,500 | 0 | 0 | |
NEXTERA ENERGY INC | UNIT 09/01/2022S | 65339F796 | 6,430 | 112,000 | SH | DFND | 1 | 112,000 | 0 | 0 | |
OASIS PETROLEUM INC | COM NEW | 674215207 | 30,404 | 511,936 | SH | DFND | 1 | 511,936 | 0 | 0 | |
OYSTER ENTERPRISES A | UNIT 01/20/2026 | 69242M203 | 379 | 38,333 | SH | DFND | 1 | 38,333 | 0 | 0 | |
PRICELINE GRP INC | NOTE 0.900% 9/1 | 741503AX4 | 3,171 | 2,700,000 | PRN | DFND | 1 | 2,700,000 | 0 | 0 | |
PROSPECT CAP CORP | NOTE 6.375% 3/0 | 74348TAT9 | 1,081 | 1,000,000 | PRN | DFND | 1 | 1,000,000 | 0 | 0 | |
SOUTHERN CO | UNIT 08/01/2022 | 842587602 | 4,635 | 91,000 | SH | DFND | 1 | 91,000 | 0 | 0 | |
SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 844741BG2 | 10,503 | 6,100,000 | PRN | DFND | 1 | 6,100,000 | 0 | 0 | |
SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 | 832 | 18,200 | SH | DFND | 1 | 18,200 | 0 | 0 | |
STANLEY BLACK & DECK | UNIT 11/15/2022 | 854502846 | 2,950 | 25,000 | SH | DFND | 1 | 25,000 | 0 | 0 | |
SUMMIT MIDSTREAM PAR | COM UNIT LTD | 866142409 | 367 | 15,576 | SH | DFND | 1 | 15,576 | 0 | 0 | |
TPG SPECIALTY LENDIN | NOTE 4.500% 8/0 | 87265KAD4 | 528 | 486,000 | PRN | DFND | 1 | 486,000 | 0 | 0 | |
VANGUARD BD INDEX FD | TOTAL BND MRKT | 921937835 | 10,003 | 118,068 | SH | DFND | 1 | 118,068 | 0 | 0 | |
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 197,201 | 954,090 | SH | DFND | 1 | 954,090 | 0 | 0 | |
WELLPOINT INC | NOTE 2.750%10/1 | 94973VBG1 | 2,007 | 400,000 | PRN | DFND | 1 | 400,000 | 0 | 0 | |
WESTERN DIGITAL CORP | NOTE 1.500% 2/0 | 958102AP0 | 3,233 | 3,150,000 | PRN | DFND | 1 | 3,150,000 | 0 | 0 |