The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| AWARE INC MASS | COM | 05453N100 | 6,644 | 1,648,734 | SH | DFND | 1 | 1,648,734 | 0 | 0 | |
| BLUEKNIGHT ENERGY PARTNERS L | COM UNIT | 09625U109 | 18,602 | 2,483,581 | SH | DFND | 1 | 2,483,581 | 0 | 0 | |
| COMMUNICATIONS SALES&LEAS IN | COM | 20341J104 | 3,919 | 158,550 | SH | DFND | 1 | 158,550 | 0 | 0 | |
| COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 12,468 | 647,700 | SH | DFND | 1 | 647,700 | 0 | 0 | |
| HC2 HLDGS INC | COM | 404139107 | 7,262 | 811,358 | SH | DFND | 1 | 811,358 | 0 | 0 | |
| IGI LABS INC | COM | 449575109 | 3,549 | 563,270 | SH | DFND | 1 | 563,270 | 0 | 0 | |
| ISHARES TR | U.S. REAL ES ETF | 464287739 | 1,495 | 7,000 | SH | Put | DFND | 1 | 7,000 | 0 | 0 |
| JOURNAL MEDIA GROUP INC | COM | 48114A109 | 268 | 32,272 | SH | DFND | 1 | 32,272 | 0 | 0 | |
| KCAP FINL INC | COM | 48668E101 | 6,624 | 1,107,611 | SH | DFND | 1 | 1,107,611 | 0 | 0 | |
| KOPPERS HOLDINGS INC | COM | 50060P106 | 3,331 | 134,762 | SH | DFND | 1 | 134,762 | 0 | 0 | |
| LUMOS NETWORKS CORP | COM | 550283105 | 199 | 13,469 | SH | DFND | 1 | 13,469 | 0 | 0 | |
| MCG CAPITAL CORP | COM | 58047P107 | 1,053 | 230,853 | SH | DFND | 1 | 230,853 | 0 | 0 | |
| MVC CAPITAL INC | COM | 553829102 | 5,199 | 509,729 | SH | DFND | 1 | 509,729 | 0 | 0 | |
| NOVATEL WIRELESS INC | DEBT 5.500% 6/1 | 66987MAD1 | 13,365 | 13,500,000 | SH | DFND | 1 | 13,500,000 | 0 | 0 | |
| PERNIX THERAPEUTICS HLDGS IN | COM | 71426V108 | 4,063 | 686,269 | SH | DFND | 1 | 686,269 | 0 | 0 | |
| REMY INTL INC NEW | COM | 75971M108 | 5,575 | 252,162 | SH | DFND | 1 | 252,162 | 0 | 0 | |
| SALEM MEDIA GROUP INC | CL A | 794093104 | 3,181 | 502,467 | SH | DFND | 1 | 502,467 | 0 | 0 | |
| TARGACEPT INC | COM | 87611R306 | 4,474 | 1,603,612 | SH | DFND | 1 | 1,603,612 | 0 | 0 | |
| WESTMORELAND COAL CO | COM | 960878106 | 11,733 | 564,611 | SH | DFND | 1 | 564,611 | 0 | 0 | |
| WESTMORELAND COAL CO | COM | 960878956 | 66 | 1,395 | SH | Put | DFND | 1 | 1,395 | 0 | 0 |