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 |
| ALPS ETF TR | ALERIAN MLP | 00162Q866 | 8,541 | 845,637 | SH | DFND | 1 | 0 | 845,637 | 0 | |
| ARES CAP CORP | COM | 04010L103 | 12,589 | 765,301 | SH | DFND | 1 | 0 | 765,301 | 0 | |
| GOLDMAN SACHS BDC INC | NOTE 4.500% 4/0 | 38147UAB3 | 2,040 | 2,000,000 | PRN | DFND | 1 | 0 | 2,000,000 | 0 | |
| GOLDMAN SACHS MLP ENERGY REN | SHS | 38147U107 | 7,336 | 358,185 | SH | DFND | 1 | 0 | 358,185 | 0 | |
| GOLUB CAP BDC INC | COM | 38173M102 | 10,177 | 556,139 | SH | DFND | 1 | 0 | 556,139 | 0 | |
| HERCULES CAPITAL INC | COM | 427096508 | 4,799 | 379,367 | SH | DFND | 1 | 0 | 379,367 | 0 | |
| INVESCO EXCHANGE TRADED FD T | FINL PFD PTFL | 46137V621 | 18,460 | 1,000,000 | SH | DFND | 1 | 0 | 1,000,000 | 0 | |
| INVESCO EXCHNG TRADED FD TR | PFD ETF | 46138E511 | 51,723 | 3,552,423 | SH | DFND | 1 | 0 | 3,552,423 | 0 | |
| ISHARES TR | S&P US PFD STK | 464288687 | 33,784 | 895,900 | SH | DFND | 1 | 0 | 895,900 | 0 | |
| ISHARES TR | FLTG RATE NT ETF | 46429B655 | 20,298 | 398,000 | SH | DFND | 1 | 0 | 398,000 | 0 | |
| MAIN STREET CAPITAL CORP | COM | 56035L104 | 11,418 | 300,000 | SH | DFND | 1 | 0 | 300,000 | 0 | |
| SOLAR CAP LTD | COM | 83413U100 | 7,461 | 365,000 | SH | DFND | 1 | 0 | 365,000 | 0 | |
| TCP CAP CORP | COM | 87238Q103 | 29,072 | 2,011,900 | SH | DFND | 1 | 0 | 2,011,900 | 0 | |
| TCP CAP CORP | NOTE 4.625% 3/0 | 87238QAD5 | 10,014 | 10,000,000 | PRN | DFND | 1 | 0 | 10,000,000 | 0 | |
| TPG SPECIALTY LENDING INC | COM | 87265K102 | 10,572 | 589,305 | SH | DFND | 1 | 0 | 589,305 | 0 | |