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 |
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 2,881 | 235,729 | SH | SOLE | 235,729 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 911 | 60,106 | SH | SOLE | 60,106 | 0 | 0 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 2,190 | 146,986 | SH | SOLE | 146,986 | 0 | 0 | ||
BANCROFT FUND LTD | COM | 059695106 | 229 | 9,706 | SH | SOLE | 9,706 | 0 | 0 | ||
BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 10,082 | 736,705 | SH | SOLE | 736,705 | 0 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 62,218 | 4,568,125 | SH | SOLE | 4,508,371 | 0 | 59,754 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 9,054 | 842,191 | SH | SOLE | 842,191 | 0 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 27,323 | 2,165,061 | SH | SOLE | 2,161,415 | 0 | 3,646 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 8,576 | 698,954 | SH | SOLE | 698,954 | 0 | 0 | ||
BLACKROCK MUNI N Y INTER DUR | COM | 09255F109 | 6,754 | 459,121 | SH | SOLE | 458,428 | 0 | 693 | ||
BLACKROCK MUNIHLDGS NJ QLTY | COM | 09254X101 | 11,802 | 829,405 | SH | SOLE | 829,405 | 0 | 0 | ||
BLACKROCK MUNIHLDGS NY QLTY | COM | 09255C106 | 13,700 | 1,006,590 | SH | SOLE | 997,679 | 0 | 8,911 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 8,820 | 624,655 | SH | SOLE | 624,655 | 0 | 0 | ||
BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | 2,491 | 175,322 | SH | SOLE | 175,322 | 0 | 0 | ||
BLACKROCK MUNIYIELD QLTY FD | COM | 09254E103 | 2,573 | 189,601 | SH | SOLE | 189,601 | 0 | 0 | ||
BLACKROCK MUNIYLD MICH QLTY | COM | 09254V105 | 8,675 | 617,415 | SH | SOLE | 617,415 | 0 | 0 | ||
BLACKROCK NY MUNI INC QLTY T | COM | 09249U105 | 7,599 | 553,086 | SH | SOLE | 534,836 | 0 | 18,250 | ||
BLACKROCK NY MUNICIPAL BOND | COM | 09249P106 | 3,832 | 260,476 | SH | SOLE | 244,566 | 0 | 15,910 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 3,623 | 299,388 | SH | SOLE | 299,388 | 0 | 0 | ||
CNX MIDSTREAM PARTNERS LP | COM UNIT REPST | 12654A101 | 16,765 | 1,189,000 | SH | Put | SOLE | 1,189,000 | 0 | 0 | |
CNX RESOURCES CORPORATION | COM | 12653C108 | 62,301 | 8,581,400 | SH | Put | SOLE | 8,581,400 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 20,550 | 5,708,242 | SH | SOLE | 5,708,242 | 0 | 0 | ||
DEAN FOODS CO NEW | COM NEW | 242370203 | 194 | 167,380 | SH | SOLE | 167,380 | 0 | 0 | ||
DELAWARE INV MN MUN INC FD I | COM | 24610V103 | 4,393 | 335,178 | SH | SOLE | 335,178 | 0 | 0 | ||
DIAMOND OFFSHORE DRILLING IN | COM | 25271C102 | 1,724 | 310,000 | SH | Put | SOLE | 310,000 | 0 | 0 | |
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 4,804 | 402,004 | SH | SOLE | 402,004 | 0 | 0 | ||
DONNELLEY R R & SONS CO | COM | 257867200 | 7,980 | 2,116,700 | SH | Put | SOLE | 2,116,700 | 0 | 0 | |
DONNELLEY R R & SONS CO | COM | 257867200 | 1,202 | 318,798 | SH | SOLE | 318,798 | 0 | 0 | ||
DTF TAX-FREE INCOME INC | COM | 23334J107 | 12,064 | 833,701 | SH | SOLE | 815,288 | 0 | 18,413 | ||
EAGLE GRWTH & INCOME OPPTY F | COM SHS BEN IN | 26958J105 | 204 | 12,792 | SH | SOLE | 12,792 | 0 | 0 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 4,436 | 391,529 | SH | SOLE | 391,529 | 0 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 20,334 | 1,336,866 | SH | SOLE | 1,289,376 | 0 | 47,490 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 28,279 | 2,139,122 | SH | SOLE | 2,139,122 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 86,853 | 6,948,234 | SH | SOLE | 6,781,821 | 0 | 166,413 | ||
EATON VANCE NY MUNI INCOME T | SH BEN INT | 27826W104 | 2,741 | 204,519 | SH | SOLE | 204,519 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 766 | 58,731 | SH | SOLE | 58,731 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 17,975 | 2,937,141 | SH | SOLE | 2,773,389 | 0 | 163,752 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 2,940 | 278,391 | SH | SOLE | 278,391 | 0 | 0 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 45,262 | 2,985,625 | SH | SOLE | 2,787,641 | 0 | 197,984 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 27,355 | 2,279,549 | SH | SOLE | 2,152,763 | 0 | 126,786 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 76 | 10,058 | SH | SOLE | 10,058 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 15,897 | 437,323 | SH | SOLE | 437,323 | 0 | 0 | ||
GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 13,208 | 615,200 | SH | Put | SOLE | 615,200 | 0 | 0 | |
GEO GROUP INC NEW | COM | 36162J106 | 37,077 | 2,138,200 | SH | Put | SOLE | 2,138,200 | 0 | 0 | |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 347 | 202,693 | SH | SOLE | 202,693 | 0 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 81,265 | 7,381,007 | SH | SOLE | 7,095,994 | 0 | 285,013 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 16,833 | 1,175,456 | SH | SOLE | 1,082,067 | 0 | 93,389 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 91,669 | 21,826,069 | SH | SOLE | 20,064,737 | 0 | 1,761,332 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 391,419 | 4,490,300 | SH | Put | SOLE | 4,490,300 | 0 | 0 | |
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 7,389 | 538,946 | SH | SOLE | 538,946 | 0 | 0 | ||
L BRANDS INC | COM | 501797104 | 31,345 | 1,600,000 | SH | Put | SOLE | 1,600,000 | 0 | 0 | |
MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | 1,856 | 201,982 | SH | SOLE | 201,982 | 0 | 0 | ||
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 45,467 | 3,766,921 | SH | SOLE | 3,314,606 | 0 | 452,315 | ||
NEUBERGER BRMAN CLIFRN MUNI | COM | 64123C101 | 1,591 | 113,714 | SH | SOLE | 113,714 | 0 | 0 | ||
NEUBERGER BRMAN NY MUNI FD I | COM | 64124K102 | 2,183 | 174,518 | SH | SOLE | 167,622 | 0 | 6,896 | ||
NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 8,400 | 951,338 | SH | SOLE | 951,338 | 0 | 0 | ||
NUVEEN ARIZONA QLTY MUN INC | COM | 67061W104 | 1,733 | 128,744 | SH | SOLE | 128,744 | 0 | 0 | ||
NUVEEN CONNECTICUT QLTY MUN | COM | 67060D107 | 10,112 | 753,483 | SH | SOLE | 753,483 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 60,672 | 8,111,271 | SH | SOLE | 7,942,993 | 0 | 168,278 | ||
NUVEEN GEORGIA QLTY MUN INC | COM | 67072B107 | 8,415 | 678,064 | SH | SOLE | 668,341 | 0 | 9,723 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 27,759 | 1,784,024 | SH | SOLE | 1,695,951 | 0 | 88,073 | ||
NUVEEN MARYLAND QLT MUN INC | COM | 67061Q107 | 10,644 | 797,291 | SH | SOLE | 797,291 | 0 | 0 | ||
NUVEEN MICHIGAN QLT MUN INC | COM | 670979103 | 16,951 | 1,214,284 | SH | SOLE | 1,214,284 | 0 | 0 | ||
NUVEEN NEW JERSEY MUN VALUE | SHS | 670702109 | 163 | 11,908 | SH | SOLE | 11,908 | 0 | 0 | ||
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 10,743 | 742,429 | SH | SOLE | 742,429 | 0 | 0 | ||
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 31,161 | 2,315,058 | SH | SOLE | 2,315,058 | 0 | 0 | ||
NUVEEN NORTH CAROLINA QLTY M | COM | 67060P100 | 4,425 | 327,536 | SH | SOLE | 327,536 | 0 | 0 | ||
NUVEEN OHIO QLTY MUN INCOME | COM | 670980101 | 27,194 | 1,723,307 | SH | SOLE | 1,626,198 | 0 | 97,109 | ||
NUVEEN PENNSYLVANIA QLT MUN | COM | 670972108 | 29,262 | 2,090,154 | SH | SOLE | 2,090,154 | 0 | 0 | ||
PEABODY ENERGY CORP NEW | COM | 704551100 | 11,040 | 750,000 | SH | Put | SOLE | 750,000 | 0 | 0 | |
PEABODY ENERGY CORP NEW | COM | 704551100 | 2,576 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
PGIM GLOBAL HIGH YIELD FD IN | COM | 69346J106 | 22,730 | 1,581,751 | SH | SOLE | 1,486,795 | 0 | 94,956 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 12,728 | 851,360 | SH | SOLE | 851,360 | 0 | 0 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 25,269 | 2,399,737 | SH | SOLE | 2,209,671 | 0 | 190,066 | ||
REALOGY HLDGS CORP | COM | 75605Y106 | 15,087 | 2,258,600 | SH | Put | SOLE | 2,258,600 | 0 | 0 | |
REALOGY HLDGS CORP | COM | 75605Y106 | 1,508 | 225,742 | SH | SOLE | 225,742 | 0 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 6,703 | 662,354 | SH | SOLE | 610,545 | 0 | 51,809 | ||
SEADRILL LTD | COM | G7998G106 | 1,389 | 661,204 | SH | SOLE | 661,204 | 0 | 0 | ||
STANDARD DIVERSIFIED INC | COM CL A | 85336L109 | 714 | 64,282 | SH | SOLE | 64,282 | 0 | 0 | ||
TESLA INC | COM | 88160R101 | 25,292 | 105,000 | SH | Put | SOLE | 105,000 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADS | 881624209 | 276 | 40,187 | SH | SOLE | 40,187 | 0 | 0 | ||
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADS | 881624209 | 12,218 | 1,775,900 | SH | Put | SOLE | 1,775,900 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 36,447 | 70,000 | SH | Put | SOLE | 70,000 | 0 | 0 | |
TRANSOCEAN LTD | REG SHS | H8817H100 | 8,324 | 1,862,200 | SH | Put | SOLE | 1,862,200 | 0 | 0 | |
UBER TECHNOLOGIES INC | COM | 90353T100 | 32,938 | 1,081,000 | SH | Put | SOLE | 1,081,000 | 0 | 0 | |
UBER TECHNOLOGIES INC | COM | 90353T100 | 1,274 | 41,800 | SH | SOLE | 41,800 | 0 | 0 | ||
UNITED NAT FOODS INC | COM | 911163103 | 519 | 45,018 | SH | SOLE | 45,018 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 76,682 | 16,280,588 | SH | SOLE | 15,602,110 | 0 | 678,478 | ||
WESTERN ASSET CORPORATE LN F | COM | 95790J102 | 2,374 | 250,202 | SH | SOLE | 250,202 | 0 | 0 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 77,756 | 7,830,384 | SH | SOLE | 7,249,757 | 0 | 580,627 | ||
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 74,017 | 10,917,027 | SH | SOLE | 10,230,297 | 0 | 686,730 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 77,864 | 15,418,700 | SH | SOLE | 14,275,178 | 0 | 1,143,522 | ||
YPF SOCIEDAD ANONIMA | SPON ADR CL D | 984245100 | 1,093 | 118,197 | SH | SOLE | 118,197 | 0 | 0 | ||
YPF SOCIEDAD ANONIMA | SPON ADR CL D | 984245100 | 79,505 | 9,090,604 | SH | Put | SOLE | 9,090,604 | 0 | 0 |