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 NATL MUNI | COM | 01864U106 | 487 | 36,178 | SH | SOLE | 36,178 | 0 | 0 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 2,923 | 235,729 | SH | SOLE | 235,729 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 1,242 | 84,173 | SH | SOLE | 84,173 | 0 | 0 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 2,224 | 146,986 | SH | SOLE | 146,986 | 0 | 0 | ||
BANCROFT FUND LTD | COM | 059695106 | 389 | 17,379 | SH | SOLE | 17,379 | 0 | 0 | ||
BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 9,011 | 680,044 | SH | SOLE | 680,044 | 0 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 70,759 | 5,455,561 | SH | SOLE | 5,355,731 | 0 | 99,830 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 10,222 | 949,082 | SH | SOLE | 949,082 | 0 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 27,790 | 2,165,991 | SH | SOLE | 2,161,415 | 0 | 4,576 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 8,636 | 695,350 | SH | SOLE | 695,350 | 0 | 0 | ||
BLACKROCK MUNI N Y INTER DUR | COM | 09255F109 | 6,575 | 459,119 | SH | SOLE | 458,426 | 0 | 693 | ||
BLACKROCK MUNIHLDGS NJ QLTY | COM | 09254X101 | 11,891 | 853,011 | SH | SOLE | 853,011 | 0 | 0 | ||
BLACKROCK MUNIHLDGS NY QLTY | COM | 09255C106 | 3,894 | 295,929 | SH | SOLE | 295,929 | 0 | 0 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 440 | 32,229 | SH | SOLE | 32,229 | 0 | 0 | ||
BLACKROCK MUNIY QUALITY FD I | COM | 09254G108 | 126 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
BLACKROCK MUNIYIELD NY QLTY | COM | 09255E102 | 534 | 42,031 | SH | SOLE | 42,031 | 0 | 0 | ||
BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | 1,772 | 126,384 | SH | SOLE | 126,384 | 0 | 0 | ||
BLACKROCK MUNIYLD MICH QLTY | COM | 09254V105 | 5,888 | 428,544 | SH | SOLE | 428,544 | 0 | 0 | ||
BLACKROCK NY MUN INCOME TR I | COM | 09249R102 | 1,571 | 113,583 | SH | SOLE | 113,583 | 0 | 0 | ||
BLACKROCK NY MUNI INC QLTY T | COM | 09249U105 | 6,568 | 493,828 | SH | SOLE | 492,320 | 0 | 1,508 | ||
BLACKROCK NY MUNICIPAL BOND | COM | 09249P106 | 3,380 | 228,665 | SH | SOLE | 228,665 | 0 | 0 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 3,800 | 323,962 | SH | SOLE | 323,962 | 0 | 0 | ||
CNX MIDSTREAM PARTNERS LP | COM UNIT REPST | 12654A101 | 8,659 | 616,300 | SH | Put | SOLE | 616,300 | 0 | 0 | |
CNX RESOURCES CORPORATION | COM | 12653C108 | 56,948 | 7,790,500 | SH | Put | SOLE | 7,790,500 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 5,442 | 2,038,200 | SH | Call | SOLE | 2,038,200 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 15,870 | 5,943,707 | SH | SOLE | 5,943,707 | 0 | 0 | ||
DEAN FOODS CO NEW | COM NEW | 242370203 | 195 | 211,320 | SH | SOLE | 211,320 | 0 | 0 | ||
DELAWARE INV MN MUN INC FD I | COM | 24610V103 | 4,687 | 364,477 | SH | SOLE | 364,477 | 0 | 0 | ||
DELAWARE INVT NAT MUNI INC F | SH BEN INT | 24610T108 | 390 | 29,543 | SH | SOLE | 29,543 | 0 | 0 | ||
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 5,723 | 750,000 | SH | Put | SOLE | 750,000 | 0 | 0 | |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 779 | 102,090 | SH | SOLE | 102,090 | 0 | 0 | ||
DIVIDEND & INCOME FUND | COM NEW | 25538A204 | 4,631 | 402,004 | SH | SOLE | 402,004 | 0 | 0 | ||
DONNELLEY R R & SONS CO | COM | 257867200 | 4,145 | 2,104,100 | SH | Put | SOLE | 2,104,100 | 0 | 0 | |
DONNELLEY R R & SONS CO | COM | 257867200 | 4,235 | 2,149,718 | SH | SOLE | 2,149,718 | 0 | 0 | ||
DTF TAX-FREE INCOME INC | COM | 23334J107 | 11,259 | 813,540 | SH | SOLE | 795,127 | 0 | 18,413 | ||
EATON VANCE CA MUNI INCOME T | SH BEN INT | 27826F101 | 4,351 | 351,419 | SH | SOLE | 344,620 | 0 | 6,799 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 7,985 | 723,934 | SH | SOLE | 723,934 | 0 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 10,809 | 722,069 | SH | SOLE | 707,557 | 0 | 14,512 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 15,877 | 1,177,852 | SH | SOLE | 1,177,852 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 75,843 | 5,995,470 | SH | SOLE | 5,537,482 | 0 | 457,988 | ||
EATON VANCE NY MUNI INCOME T | SH BEN INT | 27826W104 | 2,761 | 213,333 | SH | SOLE | 213,333 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 769 | 58,731 | SH | SOLE | 58,731 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 18,523 | 2,973,187 | SH | SOLE | 2,801,264 | 0 | 171,923 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 2,650 | 254,833 | SH | SOLE | 254,833 | 0 | 0 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 49,755 | 3,312,601 | SH | SOLE | 3,059,209 | 0 | 253,392 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 23,457 | 1,946,610 | SH | SOLE | 1,946,610 | 0 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 74 | 10,058 | SH | SOLE | 10,058 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 15,812 | 445,534 | SH | SOLE | 445,534 | 0 | 0 | ||
GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 13,473 | 615,200 | SH | Put | SOLE | 615,200 | 0 | 0 | |
GEO GROUP INC NEW | COM | 36162J106 | 31,778 | 1,512,500 | SH | Put | SOLE | 1,512,500 | 0 | 0 | |
GEO GROUP INC NEW | COM | 36162J106 | 1,103 | 52,500 | SH | SOLE | 52,500 | 0 | 0 | ||
GULFPORT ENERGY CORP | COM NEW | 402635304 | 28,664 | 5,837,800 | SH | Put | SOLE | 5,837,800 | 0 | 0 | |
GULFPORT ENERGY CORP | COM NEW | 402635304 | 2,045 | 416,400 | SH | SOLE | 416,400 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 12,730 | 297,700 | SH | Put | SOLE | 297,700 | 0 | 0 | |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 385 | 202,693 | SH | SOLE | 202,693 | 0 | 0 | ||
HSBC HLDGS PLC | SPON ADR NEW | 404280406 | 2,556 | 61,240 | SH | SOLE | 61,240 | 0 | 0 | ||
HSBC HLDGS PLC | SPON ADR NEW | 404280406 | 4,060 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 82,520 | 7,381,007 | SH | SOLE | 7,095,994 | 0 | 285,013 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 17,032 | 1,175,456 | SH | SOLE | 1,082,067 | 0 | 93,389 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 94,289 | 21,826,069 | SH | SOLE | 20,064,737 | 0 | 1,761,332 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 330,246 | 3,788,100 | SH | Put | SOLE | 3,788,100 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 3,559 | 40,828 | SH | SOLE | 40,828 | 0 | 0 | ||
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 12,446 | 917,141 | SH | SOLE | 883,295 | 0 | 33,846 | ||
L BRANDS INC | COM | 501797104 | 37,850 | 1,450,200 | SH | Put | SOLE | 1,450,200 | 0 | 0 | |
MFS CALIF MUN FD | COM | 59318C106 | 4,620 | 387,234 | SH | SOLE | 387,234 | 0 | 0 | ||
MFS INVT GRADE MUN TR | SH BEN INT | 59318B108 | 124 | 12,906 | SH | SOLE | 12,906 | 0 | 0 | ||
MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | 1,882 | 201,982 | SH | SOLE | 201,982 | 0 | 0 | ||
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 44,073 | 3,766,921 | SH | SOLE | 3,314,606 | 0 | 452,315 | ||
NEUBERGER BRMAN CLIFRN MUNI | COM | 64123C101 | 2,510 | 184,672 | SH | SOLE | 180,506 | 0 | 4,166 | ||
NEUBERGER BRMAN NY MUNI FD I | COM | 64124K102 | 3,091 | 252,088 | SH | SOLE | 220,151 | 0 | 31,937 | ||
NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | 10,124 | 1,141,415 | SH | SOLE | 1,141,415 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 2,313 | 2,406,489 | SH | SOLE | 2,406,489 | 0 | 0 | ||
NUVEEN ARIZONA QLTY MUN INC | COM | 67061W104 | 2,458 | 188,035 | SH | SOLE | 188,035 | 0 | 0 | ||
NUVEEN CONNECTICUT QLTY MUN | COM | 67060D107 | 15,053 | 1,160,604 | SH | SOLE | 1,159,711 | 0 | 893 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 112,564 | 14,212,653 | SH | SOLE | 13,305,121 | 0 | 907,532 | ||
NUVEEN GEORGIA QLTY MUN INC | COM | 67072B107 | 11,600 | 937,337 | SH | SOLE | 846,312 | 0 | 91,025 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 23,783 | 1,537,344 | SH | SOLE | 1,537,158 | 0 | 186 | ||
NUVEEN MARYLAND QLT MUN INC | COM | 67061Q107 | 10,587 | 816,868 | SH | SOLE | 816,868 | 0 | 0 | ||
NUVEEN MICHIGAN QLT MUN INC | COM | 670979103 | 17,719 | 1,306,747 | SH | SOLE | 1,306,747 | 0 | 0 | ||
NUVEEN NEW JERSEY MUN VALUE | SHS | 670702109 | 139 | 10,443 | SH | SOLE | 10,443 | 0 | 0 | ||
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 12,050 | 854,584 | SH | SOLE | 854,584 | 0 | 0 | ||
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 29,544 | 2,256,985 | SH | SOLE | 2,256,985 | 0 | 0 | ||
NUVEEN NORTH CAROLINA QLTY M | COM | 67060P100 | 7,407 | 555,648 | SH | SOLE | 555,648 | 0 | 0 | ||
NUVEEN OHIO QLTY MUN INCOME | COM | 670980101 | 17,890 | 1,201,057 | SH | SOLE | 1,196,309 | 0 | 4,748 | ||
NUVEEN PENNSYLVANIA QLT MUN | COM | 670972108 | 31,734 | 2,324,818 | SH | SOLE | 2,324,818 | 0 | 0 | ||
NUVEEN TEXAS QLTY MUN INCME | COM | 670983105 | 1,694 | 123,837 | SH | SOLE | 123,837 | 0 | 0 | ||
NUVEEN VIRGINIA QLTY MUNCPL | COM | 67064R102 | 524 | 40,185 | SH | SOLE | 40,185 | 0 | 0 | ||
PGIM GLOBAL HIGH YIELD FD IN | COM | 69346J106 | 27,450 | 1,899,631 | SH | SOLE | 1,714,594 | 0 | 185,037 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 17,703 | 1,210,040 | SH | SOLE | 1,089,929 | 0 | 120,111 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 19,474 | 1,821,748 | SH | SOLE | 1,821,748 | 0 | 0 | ||
REALOGY HLDGS CORP | COM | 75605Y106 | 14,004 | 1,934,200 | SH | Put | SOLE | 1,934,200 | 0 | 0 | |
REALOGY HLDGS CORP | COM | 75605Y106 | 932 | 128,769 | SH | SOLE | 128,769 | 0 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 7,166 | 679,233 | SH | SOLE | 614,144 | 0 | 65,089 | ||
SEADRILL LTD | COM | G7998G106 | 2,751 | 661,204 | SH | SOLE | 661,204 | 0 | 0 | ||
STANDARD DIVERSIFIED INC | COM CL A | 85336L109 | 1,154 | 64,282 | SH | SOLE | 64,282 | 0 | 0 | ||
TATA MTRS LTD | SPONSORED ADR | 876568502 | 2,422 | 207,379 | SH | SOLE | 207,379 | 0 | 0 | ||
TATA MTRS LTD | SPONSORED ADR | 876568502 | 12,635 | 1,081,800 | SH | Put | SOLE | 1,081,800 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 32,401 | 145,000 | SH | Put | SOLE | 145,000 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 130,626 | 270,000 | SH | Put | SOLE | 270,000 | 0 | 0 | |
TRANSDIGM GROUP INC | COM | 893641100 | 680 | 1,406 | SH | SOLE | 1,406 | 0 | 0 | ||
UNITED NAT FOODS INC | COM | 911163103 | 718 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 14,820 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 5,118 | 345,320 | SH | SOLE | 345,320 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 64,288 | 13,505,852 | SH | SOLE | 12,858,809 | 0 | 647,043 | ||
WESTERN ASSET CORPORATE LN F | COM | 95790J102 | 2,851 | 297,879 | SH | SOLE | 297,879 | 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 | 76,638 | 10,917,027 | SH | SOLE | 10,230,297 | 0 | 686,730 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 79,098 | 15,418,700 | SH | SOLE | 14,275,178 | 0 | 1,143,522 | ||
YPF SOCIEDAD ANONIMA | SPON ADR CL D | 984245100 | 319 | 17,498 | SH | SOLE | 17,498 | 0 | 0 | ||
YPF SOCIEDAD ANONIMA | SPON ADR CL D | 984245100 | 184,792 | 10,147,900 | SH | Put | SOLE | 10,147,900 | 0 | 0 |