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 |
ADIENT LTD | Com | G0084W101 | 15 | 1,193 | SH | DFND | 1,193 | 0 | 0 | ||
AFFILIATED MANAGERS GROUP-CALLABLE | Pref | 008252850 | 1,476 | 60,000 | SH | DFND | 1,3,8 | 60,000 | 0 | 0 | |
AGRIBANK FCB - CALLABLE | Pref | 00850L203 | 4,702 | 45,650 | SH | DFND | 1,2,4,8,10 | 45,650 | 0 | 0 | |
AICI CAP TRUST PFD | Pref | 001338201 | 3 | 30,100 | SH | DFND | 10 | 30,100 | 0 | 0 | |
ALGONZUIN PWR UTILITY-CALLABLE | Pref | 015857709 | 1,625 | 60,000 | SH | DFND | 1,4 | 60,000 | 0 | 0 | |
ALLERGEN PLC | Com | G0177J108 | 626 | 4,278 | SH | DFND | 4,278 | 0 | 0 | ||
ALLIANZGI CONV & INC FUND II-CALL | Pref | 018825802 | 1,900 | 80,000 | SH | DFND | 3,4,8,10 | 80,000 | 0 | 0 | |
ALLSTATE CORP - CALLABLE | Pref | 020002879 | 253 | 10,000 | SH | DFND | 1 | 10,000 | 0 | 0 | |
AMERICAN FINANCIAL GROUP-CALLABLE | Pref | 025932807 | 874 | 35,000 | SH | DFND | 10 | 35,000 | 0 | 0 | |
AMERICAN HOMES 4 RENT - CALL | Pref | 02665T876 | 249 | 10,000 | SH | DFND | 10 | 10,000 | 0 | 0 | |
AMERICAN INTERNATIONAL GROUP-CALL | Pref | 026874768 | 506 | 20,000 | SH | DFND | 10 | 20,000 | 0 | 0 | |
AMGEN INC | Com | 031162100 | 27,547 | 145,000 | SH | DFND | 4,7,9 | 145,000 | 0 | 0 | |
ANHEUSER-BUSCH INBEV S.A. SP ADR | Com | 03524A108 | 924 | 11,000 | SH | DFND | 11,000 | 0 | 0 | ||
APOLLO MANAGEMENT LLC - CALLABLE | Pref | 037612504 | 982 | 40,000 | SH | DFND | 2,9 | 40,000 | 0 | 0 | |
ARCH CAPITAL GROUP | Pref | 03939A206 | 459 | 20,000 | SH | DFND | 3 | 20,000 | 0 | 0 | |
AT&T INC | Com | 00206R102 | 1,568 | 50,000 | SH | DFND | 10 | 50,000 | 0 | 0 | |
AT&T INC - CALLABLE | Pref | 00206R409 | 1,018 | 40,000 | SH | DFND | 4,10 | 40,000 | 0 | 0 | |
AVNET INC | Com | 053807103 | 520 | 12,000 | SH | DFND | 12,000 | 0 | 0 | ||
BB LIQUIDATING INC - CLASS A | Com | 05532D107 | 1 | 54,211 | SH | DFND | 54,211 | 0 | 0 | ||
BB LIQUIDATING INC - CLASS B | Com | 05532D206 | 0 | 54,211 | SH | DFND | 54,211 | 0 | 0 | ||
BERKLEY WR CORP - CALLABLE | Pref | 084423607 | 509 | 20,000 | SH | DFND | 4 | 20,000 | 0 | 0 | |
BERKSHIRE HATHAWAY INC DEL CL A | Com | 084670108 | 1,807 | 6 | SH | DFND | 6 | 0 | 0 | ||
BLACKSTONE GROUP LP | Com | 09253U108 | 3,497 | 100,000 | SH | DFND | 100,000 | 0 | 0 | ||
BOEING CO | Com | 097023105 | 8,677 | 22,750 | SH | DFND | 22,750 | 0 | 0 | ||
BP P.L.C. SPONSORED ADR - CMN | Com | 055622104 | 656 | 15,000 | SH | DFND | 3 | 15,000 | 0 | 0 | |
BRIGHTHOUSE FINANCIAL-CALLABLE | Pref | 10922N202 | 1,508 | 60,000 | SH | DFND | 2,4 | 60,000 | 0 | 0 | |
BROOKFIELD PROPERTY PARTNERS LP | Pref | G16249149 | 1,740 | 70,000 | SH | DFND | 1,3,8,10 | 70,000 | 0 | 0 | |
BRUNSWICK CORP - CALLABLE | Pref | 117043406 | 1,304 | 50,000 | SH | DFND | 1,2 | 50,000 | 0 | 0 | |
CAL DIVE INTERNATIONAL INC | Com | 12802T101 | 0 | 500,000 | SH | DFND | 500,000 | 0 | 0 | ||
CARLYLE GROUP LP - CALLABLE | Pref | 14309L201 | 1,610 | 70,000 | SH | DFND | 1,2,9 | 70,000 | 0 | 0 | |
CASTLE BRANDS INC | Com | 148435100 | 174 | 250,000 | SH | DFND | 250,000 | 0 | 0 | ||
CBL ASSOCIATES PROP - CALLABLE | Pref | 124830605 | 340 | 35,000 | SH | DFND | 2,9 | 35,000 | 0 | 0 | |
CDK GLOBAL INC | Com | 12508E101 | 2,421 | 41,164 | SH | DFND | 1,2,3,7,8 | 41,164 | 0 | 0 | |
CENTAUR FUNDING CORP -SER B 144A | Pref | 151327202 | 5,364 | 5,111 | SH | DFND | 2,3,4,8,9 | 5,111 | 0 | 0 | |
CHEVRON CORPORATION | Com | 166764100 | 1,971 | 16,000 | SH | DFND | 2,3 | 16,000 | 0 | 0 | |
CHINA FUND INC | Com | 169373107 | 1,394 | 68,399 | SH | DFND | 68,399 | 0 | 0 | ||
CMS ENERGY CORP - CALLABLE | Pref | 125896845 | 1,545 | 60,000 | SH | DFND | 2,4 | 60,000 | 0 | 0 | |
COBANK ACB | Pref | 19075Q862 | 2,227 | 21,853 | SH | DFND | 1,2 | 21,853 | 0 | 0 | |
COCA COLA COM | Com | 191216100 | 703 | 15,000 | SH | DFND | 8 | 15,000 | 0 | 0 | |
CONIFER HOLDINGS INC | Com | 20731J102 | 1,130 | 250,000 | SH | DFND | 4 | 250,000 | 0 | 0 | |
CORNING INC | Com | 219350105 | 10,345 | 312,550 | SH | DFND | 312,550 | 0 | 0 | ||
CORSA COAL CORP | Com | 22041E609 | 1,336 | 2,226,000 | SH | DFND | 2,226,000 | 0 | 0 | ||
DCP MIDSTREAM LP | Pref | 23311P308 | 495 | 20,000 | SH | DFND | 4 | 20,000 | 0 | 0 | |
DCP MIDSTREAM LP-CALLABLE | Pref | 23311P209 | 1,456 | 60,000 | SH | DFND | 1,8 | 60,000 | 0 | 0 | |
DELPHI FINANCIAL GROUP - CALLABLE | Pref | 247131303 | 1,780 | 77,797 | SH | DFND | 3,4 | 77,797 | 0 | 0 | |
DISNEY WALT CO | Com | 254687106 | 3,222 | 29,017 | SH | DFND | 29,017 | 0 | 0 | ||
EAGLE POINT CREDIT CO - CALL | Pref | 269809406 | 1,778 | 70,000 | SH | DFND | 2,4,10 | 70,000 | 0 | 0 | |
EAGLE POINT CREDIT CO - CALLABLE | Pref | 269809505 | 1,008 | 40,000 | SH | DFND | 1,9 | 40,000 | 0 | 0 | |
EMERSON ELEC CO | Com | 291011104 | 6,094 | 89,000 | SH | DFND | 2,8,10 | 89,000 | 0 | 0 | |
ENBRIDGE INC - CALLABLE | Pref | 29250N477 | 522 | 20,000 | SH | DFND | 2 | 20,000 | 0 | 0 | |
ENERGY TRANSFER PARTNERS-CALLABLE | Pref | 29278N400 | 2,550 | 100,000 | SH | DFND | 1,2,4,10 | 100,000 | 0 | 0 | |
ENSTAR GROUP LTD-CALLABLE | Pref | 29359U109 | 1,519 | 60,000 | SH | DFND | 3,4 | 60,000 | 0 | 0 | |
EPR PROPERTIES-CALLABLE | Pref | 26884U505 | 2,018 | 85,000 | SH | DFND | 2,4,10 | 85,000 | 0 | 0 | |
EXXON MOBIL CORP | Com | 30231G102 | 2,828 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
FARM CREDIT BK OF TEXAS - CALLABLE | Pref | 30767E307 | 1,120 | 1,000 | SH | DFND | 10 | 1,000 | 0 | 0 | |
FOX CORP CLASS B | Com | 35137L204 | 898 | 25,032 | SH | DFND | 25,032 | 0 | 0 | ||
GATX CORP - CALLABLE | Pref | 361448608 | 258 | 10,000 | SH | DFND | 10 | 10,000 | 0 | 0 | |
GENERAL ELECTRIC CO | Com | 369604103 | 1,209 | 121,000 | SH | DFND | 1,2,3,9 | 121,000 | 0 | 0 | |
GENUINE PARTS CO COM | Com | 372460105 | 2,141 | 19,108 | SH | DFND | 19,108 | 0 | 0 | ||
GLOBAL INDEMNITY LTD | Pref | G3933F139 | 772 | 30,000 | SH | DFND | 2,10 | 30,000 | 0 | 0 | |
GLOBAL INDEMNITY PLC - CALLABLE | Pref | G3933F121 | 511 | 20,000 | SH | DFND | 3 | 20,000 | 0 | 0 | |
GOLDMAN SACHS GROUP INC | Com | 38141G104 | 19,439 | 101,250 | SH | DFND | 7 | 101,250 | 0 | 0 | |
HALLIBURTON CO HOLDING CO | Com | 406216101 | 4,673 | 159,500 | SH | DFND | 1,2 | 159,500 | 0 | 0 | |
HANOVER INSURANCE GROUP CALLABLE | Pref | 410867204 | 256 | 10,000 | SH | DFND | 1 | 10,000 | 0 | 0 | |
INTEGRYS ENERGY GROUP-CALLABLE | Pref | 45822P204 | 3,510 | 135,000 | SH | DFND | 2,3,4,7,8 | 135,000 | 0 | 0 | |
INTL BUSINESS MACHINES CORP | Com | 459200101 | 2,240 | 15,874 | SH | DFND | 1 | 15,874 | 0 | 0 | |
JACOBS ENGINEERING GROUP INC | Com | 469814107 | 733 | 9,750 | SH | DFND | 9,750 | 0 | 0 | ||
JEFFERIES FINANCIAL GROUP INC | Com | 47233W109 | 9,599 | 510,872 | SH | DFND | 4,7,9,10 | 510,872 | 0 | 0 | |
JOHNSON CTLS INTL PLC | Com | G51502105 | 882 | 23,874 | SH | DFND | 9 | 23,874 | 0 | 0 | |
JP MORGAN CHASE CO - CALLABLE | Pref | 48128B655 | 2,058 | 80,000 | SH | DFND | 7,10 | 80,000 | 0 | 0 | |
JPMORGAN CHASE & CO COM | Com | 46625H100 | 572 | 5,655 | SH | DFND | 5,655 | 0 | 0 | ||
KAISER ALUM CORP DEPOSITARY S CMN | Com | 483007704 | 7 | 70 | SH | DFND | 10 | 70 | 0 | 0 | |
LADENBURG THALMAN FIN SVCS INC | Pref | 50575Q300 | 1,866 | 80,000 | SH | DFND | 3,9 | 80,000 | 0 | 0 | |
LEGG MASON INC COM | Com | 524901105 | 1,834 | 67,000 | SH | DFND | 2,4,7,9,10 | 67,000 | 0 | 0 | |
MCDONALDS CORP | Com | 580135101 | 1,187 | 6,250 | SH | DFND | 3 | 6,250 | 0 | 0 | |
MEDLEY LLC - CALLABLE | Pref | 58503Y105 | 704 | 40,000 | SH | DFND | 2,4 | 40,000 | 0 | 0 | |
MEDLEY LLC - CALLABLE | Pref | 58503Y204 | 754 | 40,000 | SH | DFND | 9,10 | 40,000 | 0 | 0 | |
MERCER INTERNATIONAL INC SBI | Com | 588056101 | 220,753 | 16,340,000 | SH | DFND | 1,2,4,7,9,10 | 16,340,000 | 0 | 0 | |
MERCK & CO, INC. | Com | 58933Y105 | 124 | 1,487 | SH | DFND | 1,487 | 0 | 0 | ||
MFC BANCORP LTD | Com | G60630103 | 17,967 | 2,444,477 | SH | DFND | 1,2,4,7,9,10 | 2,444,477 | 0 | 0 | |
MOTOROLA SOLUTIONS INC | Com | 620076307 | 3,475 | 24,750 | SH | DFND | 24,750 | 0 | 0 | ||
MOTORS LIQUIDATION COMPANY-TRUST | Pref | 62010U101 | 7 | 744 | SH | DFND | 8,10 | 744 | 0 | 0 | |
MYMETICS CORP | Com | 62856A102 | 54 | 2,186,473 | SH | DFND | 7,10 | 2,186,473 | 0 | 0 | |
NAM TAI PROPERTY INC | Com | G63907102 | 54,813 | 5,564,800 | SH | DFND | 1,2,3,4,7,9,10 | 5,564,800 | 0 | 0 | |
NATIONAL RETAIL PPTYS INC | Com | 637417106 | 720 | 13,000 | SH | DFND | 4 | 13,000 | 0 | 0 | |
NEW YORK MORTGAGE TRUST - CALLABLE | Pref | 649604881 | 473 | 20,000 | SH | DFND | 2 | 20,000 | 0 | 0 | |
NEXTERA ENERGY CAPITAL HLDGS-CALL | Pref | 65339K860 | 1,402 | 55,000 | SH | DFND | 2,9 | 55,000 | 0 | 0 | |
NOW INC DE | Com | 67011P100 | 15 | 1,100 | SH | DFND | 2 | 1,100 | 0 | 0 | |
OAKTREE CAPITAL GRP LLC - CALLABLE | Pref | 674001409 | 1,873 | 75,000 | SH | DFND | 2,4,9 | 75,000 | 0 | 0 | |
OXFORD SQUARE CAPITAL CORP-CALL | Pref | 69181V305 | 2,500 | 100,000 | SH | DFND | 1,2,3,8,10 | 100,000 | 0 | 0 | |
PFSWEB INC | Com | 717098206 | 3,908 | 750,000 | SH | DFND | 2,10 | 750,000 | 0 | 0 | |
PRIORITY INCOME FUND - CALLABLE | Pref | 74274W301 | 1,481 | 60,000 | SH | DFND | 2,8,10 | 60,000 | 0 | 0 | |
PRIORITY INCOME FUND INC - CALLABL | Pref | 74274W103 | 1,998 | 80,000 | SH | DFND | 1,3,4 | 80,000 | 0 | 0 | |
PROCTER & GAMBLE CO | Com | 742718109 | 4,100 | 39,400 | SH | DFND | 39,400 | 0 | 0 | ||
PROSPECT CAPITAL CORP-CALLABLE | Pref | 74348T409 | 741 | 30,000 | SH | DFND | 1,8 | 30,000 | 0 | 0 | |
QVC INC - CALLABLE | Pref | 747262301 | 2,449 | 100,000 | SH | DFND | 2,4 | 100,000 | 0 | 0 | |
QWEST CORP-CALLABLE | Pref | 74913G873 | 715 | 30,000 | SH | DFND | 4 | 30,000 | 0 | 0 | |
RAYMOND JAMES FNCL INC | Com | 754730109 | 17,477 | 217,350 | SH | DFND | 4,9 | 217,350 | 0 | 0 | |
RIVERNORTH MARKETPLACE-CALLABLE | Pref | 76882B207 | 1,280 | 50,000 | SH | DFND | 1,2 | 50,000 | 0 | 0 | |
ROOMSTORE INC - CMN | Com | 77638R108 | 0 | 43,661 | SH | DFND | 43,661 | 0 | 0 | ||
SCHWAB CHARLES CORP NEW | Com | 808513105 | 1,069 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
SEAGATE TECHNOLOGY | Com | G7945M107 | 24 | 500 | SH | DFND | 500 | 0 | 0 | ||
SELECTIVE INS GROUP INC | Com | 816300107 | 12,656 | 200,000 | SH | DFND | 10 | 200,000 | 0 | 0 | |
SENIOR HOUSING PROPERTIES TRUST | Pref | 81721M208 | 1,073 | 47,000 | SH | DFND | 1,8 | 47,000 | 0 | 0 | |
SPIRIT REALTY CAPITAL-CALLABLE | Pref | 84860W201 | 1,197 | 50,000 | SH | DFND | 1,9 | 50,000 | 0 | 0 | |
STIFEL FINANCIAL CORP - CALLABLE | Pref | 860630607 | 484 | 20,000 | SH | DFND | 10 | 20,000 | 0 | 0 | |
SUN HYDRAULICS CORP | Com | 866942105 | 13,953 | 300,000 | SH | DFND | 4,10 | 300,000 | 0 | 0 | |
TE CONNECTIVITY LIMITED | Com | H84989104 | 1,009 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
TIDEWATER INC NEW | Com | 88642R109 | 13 | 557 | SH | DFND | 557 | 0 | 0 | ||
TIDEWATER INC WTS SERIES B 7/31/23 | Com | 88642R125 | 3 | 976 | SH | DFND | 976 | 0 | 0 | ||
TIDWATER INC WTS SERIES A 7/31/23 | Com | 88642R117 | 3 | 903 | SH | DFND | 903 | 0 | 0 | ||
TRAVELERS COS INC | Com | 89417E109 | 2,880 | 21,000 | SH | DFND | 21,000 | 0 | 0 | ||
TWENTY FIRST CENTY FOX INC | Com | 90130A408 | 729 | 32,051 | SH | DFND | 32,051 | 0 | 0 | ||
UNITED PARCEL SERVICE, INC-CLASS B | Com | 911312106 | 212 | 1,900 | SH | DFND | 1,900 | 0 | 0 | ||
UNUM GROUP - CALLABLE | Pref | 91529Y601 | 1,305 | 50,000 | SH | DFND | 1,3 | 50,000 | 0 | 0 | |
US BANKCORP DEL COM NEW | Com | 902973304 | 978 | 20,300 | SH | DFND | 20,300 | 0 | 0 | ||
VAIL RESORTS INC. | Com | 91879Q109 | 18,253 | 84,000 | SH | DFND | 3,4,10 | 84,000 | 0 | 0 | |
VISTRA ENERGY CORP | Com | 92840M128 | 73 | 33,717 | SH | DFND | 4,9,10 | 33,717 | 0 | 0 | |
VOLKSWAGEN AG | Com | 928CNV760 | 2,118 | 13,000 | SH | DFND | 13,000 | 0 | 0 | ||
WASHINGTON PRIME GROUP NEW | Pref | 93964W306 | 685 | 35,000 | SH | DFND | 2,10 | 35,000 | 0 | 0 | |
WELLS FARGO & CO NEW COM STK | Com | 949746101 | 2,416 | 50,000 | SH | DFND | 4 | 50,000 | 0 | 0 | |
WELLS FARGO & COMPANY PFT SERIES J | Pref | 949746887 | 0 | 387 | SH | DFND | 387 | 0 | 0 | ||
WESTERN ALLIANCE BANCORP - CALL | Pref | 957638208 | 3,246 | 125,000 | SH | DFND | 1,3,4,9 | 125,000 | 0 | 0 | |
WESTINGHOUSE AIR BRAKE TECH CORP | Com | 929740108 | 48 | 647 | SH | DFND | 1,2,3,9 | 647 | 0 | 0 | |
WILLIS TOWERS WATSON PLC | Com | G96629103 | 1,396 | 7,950 | SH | DFND | 7,950 | 0 | 0 | ||
XILINX INC | Com | 983919101 | 5,072 | 40,000 | SH | DFND | 2 | 40,000 | 0 | 0 | |
ZIEGLER COS INC THE | Com | 989506308 | 1,469 | 48,972 | SH | DFND | 48,972 | 0 | 0 |