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 |
ADVENT CLAY CONV SEC INC FD | COM | 007639107 | 5,227 | 933,347 | SH | SOLE | 933,347 | 0 | 0 | ||
ADVENT CLAYMORE CV SECS & IN | COM | 00764C109 | 4,232 | 280,643 | SH | SOLE | 280,643 | 0 | 0 | ||
ADVENT CLAYMORE ENH GRW & IN | COM | 00765E104 | 994 | 125,512 | SH | SOLE | 125,512 | 0 | 0 | ||
ALLIANCEBERNSTEIN GBL HGH IN | COM | 01879R106 | 3,205 | 269,575 | SH | SOLE | 269,575 | 0 | 0 | ||
ALLIANZGI EQUITY & CONV INCO | COM | 018829101 | 395 | 19,094 | SH | SOLE | 19,094 | 0 | 0 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 24,941 | 1,963,872 | SH | SOLE | 1,747,771 | 0 | 216,101 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 68,036 | 65,600 | SH | Put | SOLE | 65,600 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 12,839 | 12,443 | SH | SOLE | 12,443 | 0 | 0 | ||
ALPINE GLOBAL DYNAMIC DIVD F | COM NEW | 02082E205 | 2,736 | 260,583 | SH | SOLE | 260,583 | 0 | 0 | ||
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 105 | 16,780 | SH | SOLE | 16,780 | 0 | 0 | ||
ALPINE TOTAL DYNAMIC DIVID F | COM SH BEN INT N | 021060207 | 84,284 | 9,427,725 | SH | SOLE | 9,083,665 | 0 | 344,060 | ||
APPLE INC | COM | 037833100 | 8,439 | 50,300 | SH | Put | SOLE | 50,300 | 0 | 0 | |
APPLE INC | COM | 037833100 | 1,598 | 9,527 | SH | SOLE | 9,527 | 0 | 0 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 370 | 22,764 | SH | SOLE | 22,764 | 0 | 0 | ||
AVIS BUDGET GROUP | COM | 053774105 | 742 | 15,845 | SH | SOLE | 15,845 | 0 | 0 | ||
AVON PRODS INC | COM | 054303102 | 5,252 | 1,849,447 | SH | SOLE | 1,849,447 | 0 | 0 | ||
BANCROFT FUND LTD | COM | 059695106 | 335 | 15,970 | SH | SOLE | 15,970 | 0 | 0 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 31,632 | 2,987,005 | SH | SOLE | 2,793,110 | 0 | 193,895 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 1,978 | 156,121 | SH | SOLE | 156,121 | 0 | 0 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 90,594 | 7,796,375 | SH | SOLE | 7,796,375 | 0 | 0 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 864 | 51,467 | SH | SOLE | 51,467 | 0 | 0 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 7,064 | 548,002 | SH | SOLE | 548,002 | 0 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 4,627 | 632,953 | SH | SOLE | 632,953 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | COM | 165167107 | 3,616 | 1,197,281 | SH | SOLE | 1,197,281 | 0 | 0 | ||
CHINA FD INC | COM | 169373107 | 1,479 | 66,794 | SH | SOLE | 66,794 | 0 | 0 | ||
CISCO SYS INC | COM | 17275R102 | 92,681 | 2,160,900 | SH | Put | SOLE | 2,160,900 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 4,507 | 105,078 | SH | SOLE | 105,078 | 0 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 1,390 | 129,898 | SH | SOLE | 124,312 | 0 | 5,586 | ||
COHEN & STEERS GLOBAL INC BL | COM | 19248M103 | 144 | 15,725 | SH | SOLE | 15,725 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 29,207 | 7,375,578 | SH | SOLE | 7,375,578 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC NEW | RIGHT 99/99/9999 | 203668116 | 18 | 1,630,543 | SH | SOLE | 1,630,543 | 0 | 0 | ||
CREDIT SUISSE ASSET MGMT INC | COM | 224916106 | 16,340 | 5,122,201 | SH | SOLE | 5,122,201 | 0 | 0 | ||
DASEKE INC | *W EXP 02/27/202 | 23753F115 | 652 | 567,270 | SH | SOLE | 567,270 | 0 | 0 | ||
DBX ETF TR | XTRACK HRVST CSI | 233051879 | 278 | 8,900 | SH | SOLE | 8,900 | 0 | 0 | ||
DEAN FOODS CO NEW | COM NEW | 242370203 | 1,529 | 177,371 | SH | SOLE | 177,371 | 0 | 0 | ||
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 22,070 | 1,907,485 | SH | SOLE | 1,840,485 | 0 | 67,000 | ||
DELAWARE INVTS DIV & INCOME | COM | 245915103 | 974 | 92,338 | SH | SOLE | 92,338 | 0 | 0 | ||
DEUTSCHE MULTI-MKT INCOME TR | SHS | 25160E102 | 6,994 | 796,597 | SH | SOLE | 796,597 | 0 | 0 | ||
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 3,148 | 256,525 | SH | SOLE | 256,525 | 0 | 0 | ||
DFB HEALTHCARE ACQUISTION CO | UNIT 01/30/2023 | 23291E208 | 3,708 | 369,000 | SH | SOLE | 369,000 | 0 | 0 | ||
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 1,734 | 138,076 | SH | SOLE | 138,076 | 0 | 0 | ||
DONNELLEY R R & SONS CO | COM | 257867200 | 1,500 | 171,846 | SH | SOLE | 171,846 | 0 | 0 | ||
DYNEGY INC NEW DEL | COM | 26817R108 | 3,177 | 235,011 | SH | SOLE | 235,011 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 17,103 | 1,313,592 | SH | SOLE | 1,313,592 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 349 | 51,274 | SH | SOLE | 51,274 | 0 | 0 | ||
ELLSWORTH GRWTH AND INCOME L | COM | 289074106 | 723 | 79,071 | SH | SOLE | 79,071 | 0 | 0 | ||
ENERGY XXI GULF COAST INC | COM | 29276K101 | 1,001 | 260,601 | SH | SOLE | 260,601 | 0 | 0 | ||
ENSCO PLC | SHS CLASS A | G3157S106 | 902 | 205,400 | SH | SOLE | 205,400 | 0 | 0 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 184 | 16,112 | SH | SOLE | 16,112 | 0 | 0 | ||
FIRST TR STRATEGIC HIGH INC | COM SHS NEW | 337353304 | 2,815 | 230,732 | SH | SOLE | 212,708 | 0 | 18,024 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 69 | 10,145 | SH | SOLE | 10,145 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 21,182 | 632,876 | SH | SOLE | 632,876 | 0 | 0 | ||
GENWORTH FINL INC | COM CL A | 37247D106 | 12,374 | 4,372,434 | SH | SOLE | 4,372,434 | 0 | 0 | ||
GULFPORT ENERGY CORP | COM NEW | 402635304 | 1,037 | 107,466 | SH | SOLE | 107,466 | 0 | 0 | ||
HERTZ GLOBAL HLDGS INC | COM | 42806J106 | 5,686 | 286,456 | SH | SOLE | 286,456 | 0 | 0 | ||
HIGHPOINT RES CORP | COM | 43114K108 | 954 | 187,741 | SH | SOLE | 187,741 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 564 | 238,772 | SH | SOLE | 238,772 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 34,045 | 653,700 | SH | Put | SOLE | 653,700 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 1,383 | 26,555 | SH | SOLE | 26,555 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 46,029 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 9,822 | 64,019 | SH | SOLE | 64,019 | 0 | 0 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 11,164 | 804,871 | SH | SOLE | 755,516 | 0 | 49,355 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 625 | 142,151 | SH | SOLE | 142,151 | 0 | 0 | ||
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 185,742 | 1,800,000 | SH | Call | SOLE | 1,800,000 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 185,742 | 1,800,000 | SH | Put | SOLE | 1,800,000 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 68,261 | 661,508 | SH | SOLE | 661,508 | 0 | 0 | ||
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 11,018 | 777,043 | SH | SOLE | 767,043 | 0 | 10,000 | ||
LAZARD GLB TTL RET&INCM FD I | COM | 52106W103 | 531 | 29,813 | SH | SOLE | 29,813 | 0 | 0 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 704 | 61,223 | SH | SOLE | 61,223 | 0 | 0 | ||
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 158 | 25,821 | SH | SOLE | 25,821 | 0 | 0 | ||
MBIA INC | COM | 55262C100 | 49,387 | 5,333,400 | SH | Put | SOLE | 5,333,400 | 0 | 0 | |
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 813 | 100,092 | SH | SOLE | 30,486 | 0 | 69,606 | ||
MICROSOFT CORP | COM | 594918104 | 12,650 | 138,600 | SH | Put | SOLE | 138,600 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 656 | 7,182 | SH | SOLE | 7,182 | 0 | 0 | ||
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 925 | 118,345 | SH | SOLE | 118,345 | 0 | 0 | ||
MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | 11,184 | 1,191,053 | SH | SOLE | 1,080,057 | 0 | 110,996 | ||
NEBULA ACQUISITION CORP | UNIT 03/12/2025 | 629076209 | 3,569 | 352,698 | SH | SOLE | 352,698 | 0 | 0 | ||
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 6,366 | 571,468 | SH | SOLE | 571,468 | 0 | 0 | ||
NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 174 | 19,979 | SH | SOLE | 19,979 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 3,850 | 1,492,287 | SH | SOLE | 1,492,287 | 0 | 0 | ||
NOBLE CORP PLC | SHS USD | G65431101 | 1,777 | 478,905 | SH | SOLE | 478,905 | 0 | 0 | ||
NUVEEN CONNECTICUT QLTY MUN | COM | 67060D107 | 2,658 | 230,509 | SH | SOLE | 230,509 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 23,300 | 2,934,462 | SH | SOLE | 2,901,452 | 0 | 33,010 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 796 | 49,359 | SH | SOLE | 49,359 | 0 | 0 | ||
NUVEEN MULTI MKT INCOME FD | COM | 67075J107 | 125 | 17,285 | SH | SOLE | 17,285 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 948 | 230,086 | SH | SOLE | 230,086 | 0 | 0 | ||
ONEMAIN HLDGS INC | COM | 68268W103 | 2,580 | 86,163 | SH | SOLE | 86,163 | 0 | 0 | ||
ORACLE CORP | COM | 68389X105 | 47,068 | 1,028,800 | SH | Put | SOLE | 1,028,800 | 0 | 0 | |
ORACLE CORP | COM | 68389X105 | 19,473 | 425,635 | SH | SOLE | 425,635 | 0 | 0 | ||
PARKER DRILLING CO | COM | 701081101 | 5,725 | 9,015,494 | SH | SOLE | 9,015,494 | 0 | 0 | ||
PENNEY J C INC | COM | 708160106 | 1,062 | 351,725 | SH | SOLE | 351,725 | 0 | 0 | ||
PIONEER DIV HIGH INCOME TRUS | COM | 723653101 | 272 | 18,012 | SH | SOLE | 18,012 | 0 | 0 | ||
PIONEER ENERGY SVCS CORP | COM | 723664108 | 1,123 | 416,055 | SH | SOLE | 416,055 | 0 | 0 | ||
PIONEER HIGH INCOME TR | COM | 72369H106 | 94 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
PITNEY BOWES INC | COM | 724479100 | 30,003 | 2,755,000 | SH | Put | SOLE | 2,755,000 | 0 | 0 | |
PRUDENTIAL GLB SHT DUR HG YL | COM | 74433A109 | 9,667 | 696,448 | SH | SOLE | 565,891 | 0 | 130,557 | ||
PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 1,903 | 134,668 | SH | SOLE | 72,880 | 0 | 61,788 | ||
PUTMAN HIGH INCOME SEC FUND | SHS BEN INT | 746779107 | 197 | 21,834 | SH | SOLE | 21,834 | 0 | 0 | ||
QUALCOMM INC | COM | 747525103 | 16,783 | 302,900 | SH | Put | SOLE | 302,900 | 0 | 0 | |
QUALCOMM INC | COM | 747525103 | 2,572 | 46,426 | SH | SOLE | 46,426 | 0 | 0 | ||
ROWAN COMPANIES PLC | SHS CL A | G7665A101 | 1,036 | 89,778 | SH | SOLE | 89,778 | 0 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 4,606 | 419,874 | SH | SOLE | 419,874 | 0 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 301 | 32,200 | SH | SOLE | 32,200 | 0 | 0 | ||
SANCHEZ ENERGY CORP | COM | 79970Y105 | 2,033 | 649,664 | SH | SOLE | 649,664 | 0 | 0 | ||
SEARS HLDGS CORP | COM | 812350106 | 3,150 | 1,179,665 | SH | SOLE | 1,179,665 | 0 | 0 | ||
SIMPLY GOOD FOODS CO | *W EXP 07/07/202 | 82900L110 | 105 | 29,700 | SH | SOLE | 29,700 | 0 | 0 | ||
SM ENERGY CO | COM | 78454L100 | 3,033 | 168,196 | SH | SOLE | 168,196 | 0 | 0 | ||
SOLARCITY CORP | NOTE 1.625%11/0 | 83416TAC4 | 3,208 | 3,475,000 | PRN | SOLE | 3,475,000 | 0 | 0 | ||
SOUTHWESTERN ENERGY CO | COM | 845467109 | 1,098 | 253,569 | SH | SOLE | 253,569 | 0 | 0 | ||
STONEMOR PARTNERS L P | COM UNITS INT | 86183Q100 | 397 | 64,000 | SH | SOLE | 64,000 | 0 | 0 | ||
SUPERVALU INC | COM NEW | 868536301 | 6,255 | 410,725 | SH | SOLE | 410,725 | 0 | 0 | ||
TEMPLETON EMERG MKTS INCOME | COM | 880192109 | 70,734 | 6,259,638 | SH | SOLE | 6,027,552 | 0 | 232,086 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 6,526 | 1,021,348 | SH | SOLE | 1,021,348 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 14,880 | 613,605 | SH | SOLE | 613,605 | 0 | 0 | ||
TESLA INC | NOTE 1.250% 3/0 | 88160RAC5 | 7,939 | 8,000,000 | PRN | SOLE | 8,000,000 | 0 | 0 | ||
TESLA INC | NOTE 2.375% 3/1 | 88160RAD3 | 3,144 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
TESLA INC | COM | 88160R101 | 26,080 | 98,000 | SH | Put | SOLE | 98,000 | 0 | 0 | |
TREEHOUSE FOODS INC | COM | 89469A104 | 2,172 | 56,752 | SH | SOLE | 56,752 | 0 | 0 | ||
UNISYS CORP | COM NEW | 909214306 | 2,233 | 207,732 | SH | SOLE | 207,732 | 0 | 0 | ||
UNITI GROUP INC | COM | 91325V108 | 14,341 | 882,500 | SH | Put | SOLE | 882,500 | 0 | 0 | |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 63,238 | 3,972,200 | SH | Put | SOLE | 3,972,200 | 0 | 0 | |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 3,969 | 249,300 | SH | SOLE | 249,300 | 0 | 0 | ||
VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 225 | 20,629 | SH | SOLE | 20,629 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 2,111 | 405,097 | SH | SOLE | 405,097 | 0 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | COM | 94987C103 | 2,005 | 352,309 | SH | SOLE | 352,309 | 0 | 0 | ||
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 36,767 | 4,573,034 | SH | SOLE | 4,505,334 | 0 | 67,700 | ||
WESTERN ASSET EMRG MKT DEBT | COM | 95766A101 | 1,804 | 124,139 | SH | SOLE | 124,139 | 0 | 0 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 11,573 | 1,229,882 | SH | SOLE | 1,172,084 | 0 | 57,798 | ||
WESTERN ASSET HGH YLD DFNDFD | COM | 95768B107 | 10,456 | 716,190 | SH | SOLE | 577,749 | 0 | 138,441 | ||
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 17,301 | 2,637,288 | SH | SOLE | 2,617,288 | 0 | 20,000 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 38,876 | 8,082,341 | SH | SOLE | 7,626,504 | 0 | 455,837 | ||
WILLSCOT CORP | *W EXP 09/10/202 | 971375118 | 84 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
XEROX CORP | COM NEW | 984121608 | 4,208 | 146,200 | SH | Put | SOLE | 146,200 | 0 | 0 | |
XEROX CORP | COM NEW | 984121608 | 1,601 | 55,613 | SH | SOLE | 55,613 | 0 | 0 |