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 |
ALLIANCEBERNSTEIN GBL HGH IN | COM | 01879R106 | 5,449 | 470,159 | SH | SOLE | 470,159 | 0 | 0 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 2,843 | 235,729 | SH | SOLE | 235,729 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 1,237 | 84,173 | SH | SOLE | 84,173 | 0 | 0 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 2,181 | 146,986 | SH | SOLE | 146,986 | 0 | 0 | ||
AVON PRODS INC | COM | 054303102 | 1,190 | 404,768 | SH | SOLE | 404,768 | 0 | 0 | ||
BANCROFT FUND LTD | COM | 059695106 | 372 | 17,379 | SH | SOLE | 17,379 | 0 | 0 | ||
BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 6,559 | 511,256 | SH | SOLE | 511,256 | 0 | 0 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 4,820 | 469,834 | SH | SOLE | 469,834 | 0 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 48,609 | 3,916,937 | SH | SOLE | 3,844,684 | 0 | 72,253 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 16,315 | 1,521,964 | SH | SOLE | 1,521,964 | 0 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 1,725 | 138,003 | SH | SOLE | 138,003 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 860 | 70,466 | SH | SOLE | 70,466 | 0 | 0 | ||
BLACKROCK MUNI N Y INTER DUR | COM | 09255F109 | 6,247 | 457,688 | SH | SOLE | 457,310 | 0 | 378 | ||
BLACKROCK MUNIHLDGS NJ QLTY | COM | 09254X101 | 12,935 | 945,549 | SH | SOLE | 945,549 | 0 | 0 | ||
BLACKROCK MUNIHLDGS NY QLTY | COM | 09255C106 | 3,813 | 295,180 | SH | SOLE | 295,180 | 0 | 0 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 2,029 | 153,147 | SH | SOLE | 153,147 | 0 | 0 | ||
BLACKROCK MUNIYIELD NY QLTY | COM | 09255E102 | 3,512 | 285,324 | SH | SOLE | 285,324 | 0 | 0 | ||
BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | 1,720 | 126,384 | SH | SOLE | 126,384 | 0 | 0 | ||
BLACKROCK MUNIYLD MICH QLTY | COM | 09254V105 | 5,942 | 444,795 | SH | SOLE | 444,795 | 0 | 0 | ||
BLACKROCK N Y MUN INCOME TR | SH BEN INT | 09248L106 | 147 | 11,276 | SH | SOLE | 11,276 | 0 | 0 | ||
BLACKROCK NY MUN INCOME TR I | COM | 09249R102 | 1,663 | 122,305 | SH | SOLE | 122,305 | 0 | 0 | ||
BLACKROCK NY MUNI INC QLTY T | COM | 09249U105 | 3,908 | 304,154 | SH | SOLE | 302,950 | 0 | 1,204 | ||
BLACKROCK NY MUNICIPAL BOND | COM | 09249P106 | 3,100 | 220,482 | SH | SOLE | 220,482 | 0 | 0 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 3,606 | 323,962 | SH | SOLE | 323,962 | 0 | 0 | ||
BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 | 450 | 20,836 | SH | SOLE | 20,836 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 7,602 | 2,038,200 | SH | Call | SOLE | 2,038,200 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 16,674 | 4,470,274 | SH | SOLE | 4,470,274 | 0 | 0 | ||
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 1,487 | 153,742 | SH | SOLE | 151,304 | 0 | 2,438 | ||
DELAWARE INV MN MUN INC FD I | COM | 24610V103 | 4,701 | 372,099 | SH | SOLE | 372,099 | 0 | 0 | ||
DELAWARE INVT NAT MUNI INC F | SH BEN INT | 24610T108 | 874 | 68,907 | SH | SOLE | 68,907 | 0 | 0 | ||
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 6,090 | 750,000 | SH | Put | SOLE | 750,000 | 0 | 0 | |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 1,842 | 226,790 | SH | SOLE | 226,790 | 0 | 0 | ||
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 1,532 | 134,876 | SH | SOLE | 134,876 | 0 | 0 | ||
DONNELLEY R R & SONS CO | COM | 257867200 | 1,060 | 224,568 | SH | SOLE | 224,568 | 0 | 0 | ||
DTF TAX-FREE INCOME INC | COM | 23334J107 | 3,464 | 261,792 | SH | SOLE | 261,092 | 0 | 700 | ||
EATON VANCE CA MUNI INCOME T | SH BEN INT | 27826F101 | 6,494 | 541,180 | SH | SOLE | 533,333 | 0 | 7,847 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 4,492 | 425,822 | SH | SOLE | 425,822 | 0 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 8,075 | 545,209 | SH | SOLE | 543,381 | 0 | 1,828 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 861 | 65,270 | SH | SOLE | 65,270 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 84,469 | 6,677,427 | SH | SOLE | 6,294,215 | 0 | 383,212 | ||
EATON VANCE NY MUNI INCOME T | SH BEN INT | 27826W104 | 1,964 | 159,189 | SH | SOLE | 159,189 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 838 | 64,325 | SH | SOLE | 64,325 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 10,098 | 1,641,958 | SH | SOLE | 1,549,397 | 0 | 92,561 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 3,566 | 354,833 | SH | SOLE | 354,833 | 0 | 0 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 41,942 | 2,870,807 | SH | SOLE | 2,712,949 | 0 | 157,858 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 11,519 | 974,498 | SH | SOLE | 974,498 | 0 | 0 | ||
FORD MTR CO DEL | COM | 345370860 | 43,900 | 5,000,000 | SH | Put | SOLE | 5,000,000 | 0 | 0 | |
FORD MTR CO DEL | COM | 345370860 | 6,171 | 702,810 | SH | SOLE | 702,810 | 0 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 71 | 10,058 | SH | SOLE | 10,058 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 14,841 | 445,534 | SH | SOLE | 445,534 | 0 | 0 | ||
GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 12,179 | 522,700 | SH | Put | SOLE | 522,700 | 0 | 0 | |
GEO GROUP INC NEW | COM | 36162J106 | 17,520 | 912,500 | SH | Put | SOLE | 912,500 | 0 | 0 | |
GULFPORT ENERGY CORP | COM NEW | 402635304 | 23,451 | 2,924,100 | SH | Put | SOLE | 2,924,100 | 0 | 0 | |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 264 | 202,693 | SH | SOLE | 202,693 | 0 | 0 | ||
HSBC HLDGS PLC | SPON ADR NEW | 404280406 | 2,029 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
HSBC HLDGS PLC | SPON ADR NEW | 404280406 | 20,290 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 73,159 | 6,742,727 | SH | SOLE | 6,498,370 | 0 | 244,357 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 16,856 | 1,175,456 | SH | SOLE | 1,082,067 | 0 | 93,389 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 79,032 | 18,817,238 | SH | SOLE | 17,706,523 | 0 | 1,110,715 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 507,882 | 5,873,500 | SH | Put | SOLE | 5,873,500 | 0 | 0 | |
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 17,734 | 1,311,721 | SH | SOLE | 1,264,386 | 0 | 47,335 | ||
L BRANDS INC | COM | 501797104 | 39,828 | 1,444,100 | SH | Put | SOLE | 1,444,100 | 0 | 0 | |
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 143 | 14,423 | SH | SOLE | 14,423 | 0 | 0 | ||
MFS CALIF MUN FD | COM | 59318C106 | 4,411 | 387,234 | SH | SOLE | 387,234 | 0 | 0 | ||
MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | 1,816 | 201,982 | SH | SOLE | 201,982 | 0 | 0 | ||
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 38,479 | 3,408,270 | SH | SOLE | 2,957,711 | 0 | 450,559 | ||
NEUBERGER BRMAN CLIFRN MUNI | COM | 64123C101 | 2,432 | 186,638 | SH | SOLE | 183,152 | 0 | 3,486 | ||
NEUBERGER BRMAN NY MUNI FD I | COM | 64124K102 | 4,657 | 374,926 | SH | SOLE | 333,160 | 0 | 41,766 | ||
NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 9,675 | 1,138,221 | SH | SOLE | 1,138,221 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 2,410 | 2,799,594 | SH | SOLE | 2,799,594 | 0 | 0 | ||
NUVEEN ARIZONA QLTY MUN INC | COM | 67061W104 | 2,685 | 209,269 | SH | SOLE | 209,269 | 0 | 0 | ||
NUVEEN CONNECTICUT QLTY MUN | COM | 67060D107 | 11,773 | 977,039 | SH | SOLE | 977,039 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 109,864 | 14,212,653 | SH | SOLE | 13,305,121 | 0 | 907,532 | ||
NUVEEN GEORGIA QLTY MUN INC | COM | 67072B107 | 10,835 | 908,974 | SH | SOLE | 836,090 | 0 | 72,884 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 15,830 | 1,044,205 | SH | SOLE | 1,044,205 | 0 | 0 | ||
NUVEEN MARYLAND QLT MUN INC | COM | 67061Q107 | 8,280 | 664,021 | SH | SOLE | 664,021 | 0 | 0 | ||
NUVEEN MICHIGAN QLT MUN INC | COM | 670979103 | 8,915 | 673,350 | SH | SOLE | 673,350 | 0 | 0 | ||
NUVEEN NEW JERSEY MUN VALUE | SHS | 670702109 | 138 | 10,443 | SH | SOLE | 10,443 | 0 | 0 | ||
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 11,555 | 834,303 | SH | SOLE | 834,303 | 0 | 0 | ||
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 14,841 | 1,166,728 | SH | SOLE | 1,166,728 | 0 | 0 | ||
NUVEEN NORTH CAROLINA QLTY M | COM | 67060P100 | 7,101 | 555,648 | SH | SOLE | 555,648 | 0 | 0 | ||
NUVEEN OHIO QLTY MUN INCOME | COM | 670980101 | 8,130 | 561,489 | SH | SOLE | 561,489 | 0 | 0 | ||
NUVEEN PENNSYLVANIA QLT MUN | COM | 670972108 | 10,924 | 826,961 | SH | SOLE | 826,961 | 0 | 0 | ||
NUVEEN TEXAS QLTY MUN INCME | COM | 670983105 | 1,735 | 129,850 | SH | SOLE | 129,850 | 0 | 0 | ||
NUVEEN VIRGINIA QLTY MUNCPL | COM | 67064R102 | 1,680 | 132,263 | SH | SOLE | 132,263 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 581 | 319,463 | SH | SOLE | 319,463 | 0 | 0 | ||
PGIM GLOBAL HIGH YIELD FD IN | COM | 69346J106 | 26,617 | 1,909,423 | SH | SOLE | 1,754,594 | 0 | 154,829 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 22,599 | 1,593,710 | SH | SOLE | 1,447,275 | 0 | 146,435 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 12,120 | 1,165,356 | SH | SOLE | 1,165,356 | 0 | 0 | ||
QUALCOMM INC | COM | 747525103 | 28,515 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
QUALCOMM INC | COM | 747525103 | 23,836 | 417,956 | SH | SOLE | 417,956 | 0 | 0 | ||
REALOGY HLDGS CORP | COM | 75605Y106 | 17,852 | 1,565,900 | SH | Put | SOLE | 1,565,900 | 0 | 0 | |
REALOGY HLDGS CORP | COM | 75605Y106 | 1,310 | 114,953 | SH | SOLE | 114,953 | 0 | 0 | ||
ROWAN COMPANIES PLC | SHS CL A | G7665A101 | 5,503 | 510,000 | SH | Put | SOLE | 510,000 | 0 | 0 | |
ROWAN COMPANIES PLC | SHS CL A | G7665A101 | 566 | 52,450 | SH | SOLE | 52,450 | 0 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 6,494 | 645,533 | SH | SOLE | 607,133 | 0 | 38,400 | ||
SEADRILL LTD | COM | G7998G106 | 4,364 | 525,184 | SH | SOLE | 525,184 | 0 | 0 | ||
SIMON PPTY GROUP INC NEW | COM | 828806109 | 54,663 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
TATA MTRS LTD | SPONSORED ADR | 876568502 | 976 | 77,671 | SH | SOLE | 77,671 | 0 | 0 | ||
TATA MTRS LTD | SPONSORED ADR | 876568502 | 13,247 | 1,054,700 | SH | Put | SOLE | 1,054,700 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 54,572 | 195,000 | SH | Put | SOLE | 195,000 | 0 | 0 | |
THL CR SR LN FD | COM | 87244R103 | 173 | 11,245 | SH | SOLE | 11,245 | 0 | 0 | ||
TRANSDIGM GROUP INC | COM | 893641100 | 140,736 | 310,000 | SH | Put | SOLE | 310,000 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 1,135 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 17,230 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 2,522 | 146,400 | SH | SOLE | 146,400 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 54,688 | 11,440,985 | SH | SOLE | 10,917,742 | 0 | 523,243 | ||
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 4,755 | 603,418 | SH | SOLE | 603,418 | 0 | 0 | ||
WESTERN ASSET CORPORATE LN F | COM | 95790J102 | 3,072 | 324,437 | SH | SOLE | 324,437 | 0 | 0 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 66,700 | 7,103,284 | SH | SOLE | 6,577,035 | 0 | 526,249 | ||
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 67,895 | 10,477,671 | SH | SOLE | 9,790,941 | 0 | 686,730 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 67,145 | 13,901,700 | SH | SOLE | 12,765,531 | 0 | 1,136,169 | ||
YPF SOCIEDAD ANONIMA | SPON ADR CL D | 984245100 | 4,886 | 348,770 | SH | SOLE | 348,770 | 0 | 0 | ||
YPF SOCIEDAD ANONIMA | SPON ADR CL D | 984245100 | 56,876 | 4,059,700 | SH | Put | SOLE | 4,059,700 | 0 | 0 |