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Form 13F-HR AMERICAN FINANCIAL GROUP For: Sep 30

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November 4, 2016 2:18 PM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 09-30-2016
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: AMERICAN FINANCIAL GROUP INC
Address: GREAT AMERICAN INSURANCE GROUP TOWER
301 E. 4TH STREET
CINCINNATI , OH45202
Form 13F File Number: 028-04389

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Brian S. Hertzman
Title: Vice President and Controller
Phone: 513-579-2153
Signature, Place, and Date of Signing:
/s/ Brian S. Hertzman Cincinnati , OH 11-04-2016
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 3
Form 13F Information Table Entry Total: 249
Form 13F Information Table Value Total: 1,396,335
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-498 Great American Insurance Company
28-1258 Great American Life Insurance Company
28-17123 Great American Holding, Inc

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name
1 28-498 Great American Insurance Company
2 28-1258 Great American Life Insurance Company
3 28-17123 Great American Holding, Inc

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
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
DEUTSCHE BANK AG NAMEN AKT D18190898 5,514 421,193 SH DFND 1 421,193 0 0
DEUTSCHE BANK AG NAMEN AKT D18190898 6,778 517,800 SH DFND 2 517,800 0 0
DEUTSCHE BANK AG NAMEN AKT D18190898 1,584 121,007 SH DFND 3 121,007 0 0
ARRIS INTL INC SHS G0551A103 368 12,996 SH DFND 1 12,996 0 0
AXOVANT SCIENCES LTD COM G0750W104 1,207 86,197 SH DFND 1 86,197 0 0
AXOVANT SCIENCES LTD COM G0750W104 1,207 86,198 SH DFND 2 86,198 0 0
ENDO INTL PLC SHS G30401106 8,547 424,190 SH DFND 1 424,190 0 0
ENDO INTL PLC SHS G30401106 7,731 383,690 SH DFND 2 383,690 0 0
MALLINCKRODT PUB LTD CO SHS G5785G107 8,545 122,450 SH DFND 1 122,450 0 0
MALLINCKRODT PUB LTD CO SHS G5785G107 13,652 195,650 SH DFND 2 195,650 0 0
MEDTRONIC PLC SHS G5960L103 7,344 85,000 SH DFND 1 85,000 0 0
CHUBB LIMITED COM H1467J104 13,285 105,734 SH SOLE 105,734 0 0
LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 3,226 40,000 SH DFND 1 40,000 0 0
ABBVIE INC COM 00287Y109 4,163 66,000 SH DFND 1 66,000 0 0
ABBVIE INC COM 00287Y109 9,713 154,000 SH DFND 2 154,000 0 0
ALLIANCE RES PARTNER L P UT LTD PART 01877R108 533 24,016 SH DFND 1 24,016 0 0
ALLIANCE RES PARTNER L P UT LTD PART 01877R108 2,869 129,364 SH DFND 2 129,364 0 0
ALLY FINL INC COM 02005N100 7,691 395,000 SH DFND 1 395,000 0 0
ALLY FINL INC COM 02005N100 7,691 395,000 SH DFND 2 395,000 0 0
AMERICAN CAPITAL AGENCY CORP COM 02503X105 3,735 191,167 SH DFND 1 191,167 0 0
AMERICAN CAPITAL AGENCY CORP COM 02503X105 8,689 444,666 SH DFND 2 444,666 0 0
AMERICAN CAPITAL AGENCY CORP COM 02503X105 3,302 168,967 SH DFND 3 168,967 0 0
AMERICAN CAP MTG INVT CORP COM 02504A104 7,058 410,585 SH DFND 1 410,585 0 0
AMERICAN CAP MTG INVT CORP COM 02504A104 11,035 641,920 SH DFND 2 641,920 0 0
AMERICAN CAP MTG INVT CORP COM 02504A104 3,108 180,795 SH DFND 3 180,795 0 0
ANNALY CAP MGMT INC COM 035710409 1,557 148,260 SH DFND 2 148,260 0 0
ANWORTH MORTGAGE ASSET CP COM 037347101 3,337 678,200 SH DFND 1 678,200 0 0
ANWORTH MORTGAGE ASSET CP COM 037347101 1,828 371,450 SH DFND 2 371,450 0 0
ANWORTH MORTGAGE ASSET CP COM 037347101 1,812 368,300 SH DFND 3 368,300 0 0
APOLLO COML REAL EST FIN INC COM 03762U105 2,949 180,155 SH DFND 1 180,155 0 0
APOLLO COML REAL EST FIN INC COM 03762U105 3,193 195,071 SH DFND 2 195,071 0 0
APPLE INC COM 037833100 18,201 161,000 SH DFND 1 161,000 0 0
APPLE INC COM 037833100 18,201 161,000 SH DFND 2 161,000 0 0
ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 2,416 400,000 SH DFND 1 400,000 0 0
ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 2,416 400,000 SH DFND 2 400,000 0 0
ARLINGTON ASSET INVT CORP CL A NEW 041356205 13,641 922,342 SH DFND 1 922,342 0 0
ARLINGTON ASSET INVT CORP CL A NEW 041356205 7,121 481,506 SH DFND 3 481,506 0 0
BP PLC SPONSORED ADR 055622104 2,901 82,500 SH DFND 2 82,500 0 0
BANK AMER CORP COM 060505104 7,717 493,120 SH DFND 1 493,120 0 0
BANK AMER CORP COM 060505104 1,228 78,480 SH DFND 3 78,480 0 0
BANK OF NOVA SCOTIA NOTE 4.500%12/1 064159HB5 32,008 30,000,000 PRN DFND 2 30,000,000 0 0
BARCLAYS PLC ADR 06738E204 1,786 205,500 SH DFND 1 205,500 0 0
BARCLAYS PLC ADR 06738E204 3,337 384,000 SH DFND 2 384,000 0 0
BARCLAYS PLC ADR 06738E204 1,464 168,500 SH DFND 3 168,500 0 0
BERKLEY W R CORP COM 084423102 6,758 117,000 SH SOLE 117,000 0 0
BIG LOTS INC COM 089302103 201 4,201 SH DFND 1 4,201 0 0
BIOGEN INC COM 09062X103 1,096 3,500 SH DFND 1 3,500 0 0
BIOGEN INC COM 09062X103 1,096 3,500 SH DFND 2 3,500 0 0
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1,134 44,400 SH DFND 1 44,400 0 0
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 8,874 347,600 SH DFND 2 347,600 0 0
CYS INVTS INC COM 12673A108 9,649 1,106,500 SH DFND 1 1,106,500 0 0
CYS INVTS INC COM 12673A108 12,775 1,465,000 SH DFND 2 1,465,000 0 0
CYS INVTS INC COM 12673A108 6,605 757,500 SH DFND 3 757,500 0 0
CAPITOL FED FINL INC COM 14057J101 507 36,000 SH DFND 1 36,000 0 0
CARLYLE GROUP L P COM UTS LTD PTN 14309L102 1,096 70,373 SH DFND 1 70,373 0 0
CARLYLE GROUP L P COM UTS LTD PTN 14309L102 15,298 982,541 SH DFND 2 982,541 0 0
CARRIAGE SVCS INC COM 143905107 318 13,438 SH DFND 1 13,438 0 0
CEDAR REALTY TRUST INC COM NEW 150602209 336 46,654 SH DFND 1 46,654 0 0
CELGENE CORP COM 151020104 1,045 10,000 SH DFND 2 10,000 0 0
CELGENE CORP COM 151020104 1,568 15,000 SH DFND 3 15,000 0 0
CENTURY CMNTYS INC COM 156504300 9,153 425,500 SH DFND 1 425,500 0 0
CENTURY CMNTYS INC COM 156504300 9,153 425,500 SH DFND 2 425,500 0 0
CISCO SYS INC COM 17275R102 3,489 110,000 SH DFND 1 110,000 0 0
CISCO SYS INC COM 17275R102 7,930 250,000 SH DFND 2 250,000 0 0
CITIGROUP INC COM NEW 172967424 19,223 407,000 SH DFND 1 407,000 0 0
CITIGROUP INC COM NEW 172967424 10,768 228,000 SH DFND 2 228,000 0 0
COACH INC COM 189754104 6,639 181,600 SH DFND 1 181,600 0 0
COACH INC COM 189754104 7,436 203,400 SH DFND 3 203,400 0 0
COLONY CAP INC CL A 19624R106 510 28,000 SH DFND 1 28,000 0 0
COLONY CAP INC CL A 19624R106 638 35,000 SH DFND 2 35,000 0 0
COMCAST CORP NEW CL A 20030N101 6,866 103,500 SH DFND 1 103,500 0 0
CONOCOPHILLIPS COM 20825C104 304 7,000 SH DFND 1 7,000 0 0
CORPORATE OFFICE PPTYS TR SH BEN INT 22002T108 362 12,776 SH DFND 1 12,776 0 0
CUBIC CORP COM 229669106 245 5,226 SH DFND 1 5,226 0 0
CYRUSONE INC COM 23283R100 375 7,874 SH DFND 1 7,874 0 0
DELL TECHNOLOGIES INC COM CL V 24703L103 1,039 21,734 SH DFND 1 21,734 0 0
DELL TECHNOLOGIES INC COM CL V 24703L103 1,066 22,292 SH DFND 2 22,292 0 0
DELL TECHNOLOGIES INC COM CL V 24703L103 293 6,129 SH DFND 3 6,129 0 0
DELTA AIR LINES INC DEL COM NEW 247361702 3,180 80,804 SH DFND 1 80,804 0 0
DELTA AIR LINES INC DEL COM NEW 247361702 2,765 70,244 SH DFND 2 70,244 0 0
DUCOMMUN INC DEL COM 264147109 340 14,886 SH DFND 1 14,886 0 0
EBAY INC COM 278642103 1,908 58,000 SH DFND 1 58,000 0 0
ELLINGTON FINANCIAL LLC COM 288522303 5,213 312,700 SH DFND 1 312,700 0 0
ELLINGTON FINANCIAL LLC COM 288522303 12,288 737,153 SH DFND 2 737,153 0 0
EMCOR GROUP INC COM 29084Q100 355 5,946 SH DFND 1 5,946 0 0
EMPLOYERS HOLDINGS INC COM 292218104 240 8,053 SH DFND 1 8,053 0 0
ENBRIDGE ENERGY PARTNERS L P COM 29250R106 127 5,000 SH DFND 1 5,000 0 0
ENBRIDGE ENERGY PARTNERS L P COM 29250R106 1,144 45,000 SH DFND 2 45,000 0 0
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 1,332 36,000 SH DFND 1 36,000 0 0
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 11,988 324,000 SH DFND 2 324,000 0 0
EVERI HLDGS INC COM 30034T103 324 131,286 SH DFND 1 131,286 0 0
FIRST FINL BANCORP OH COM 320209109 276 12,636 SH DFND 1 12,636 0 0
FIRST MERCHANTS CORP COM 320817109 349 13,042 SH DFND 1 13,042 0 0
FRANKLIN RES INC COM 354613101 3,808 107,050 SH DFND 1 107,050 0 0
FRANKLIN RES INC COM 354613101 5,721 160,850 SH DFND 2 160,850 0 0
FRANKLIN RES INC COM 354613101 2,209 62,100 SH DFND 3 62,100 0 0
FREEPORT-MCMORAN INC CL B 35671D857 2,281 210,000 SH DFND 1 210,000 0 0
FREEPORT-MCMORAN INC CL B 35671D857 977 90,000 SH DFND 3 90,000 0 0
FULL HOUSE RESORTS INC COM 359678109 63 35,331 SH DFND 1 35,331 0 0
FULL HOUSE RESORTS INC COM 359678109 57 31,617 SH DFND 2 31,617 0 0
GENERAC HLDGS INC COM 368736104 265 7,312 SH DFND 1 7,312 0 0
GENERAL CABLE CORP DEL NEW COM 369300108 15,045 1,004,350 SH DFND 1 1,004,350 0 0
GENERAL CABLE CORP DEL NEW COM 369300108 1,225 81,750 SH DFND 2 81,750 0 0
GENERAL CABLE CORP DEL NEW COM 369300108 12,454 831,361 SH DFND 3 831,361 0 0
GENERAL MTRS CO COM 37045V100 21,904 689,450 SH DFND 1 689,450 0 0
GENERAL MTRS CO COM 37045V100 12,725 400,550 SH DFND 3 400,550 0 0
GILEAD SCIENCES INC COM 375558103 6,104 77,143 SH DFND 1 77,143 0 0
GILEAD SCIENCES INC COM 375558103 2,487 31,428 SH DFND 2 31,428 0 0
GILEAD SCIENCES INC COM 375558103 904 11,429 SH DFND 3 11,429 0 0
GLOBAL X FDS GLB X MLP ENRG I 37950E226 279 18,369 SH DFND 1 18,369 0 0
GRAY TELEVISION INC COM 389375106 335 32,289 SH DFND 1 32,289 0 0
GREAT AJAX CORP COM 38983D300 1,250 91,552 SH DFND 1 91,552 0 0
GREAT AJAX CORP COM 38983D300 10,723 785,571 SH DFND 2 785,571 0 0
GREAT AJAX CORP COM 38983D300 9,474 694,067 SH DFND 3 694,067 0 0
GREAT WESTN BANCORP INC COM 391416104 377 11,326 SH DFND 1 11,326 0 0
HC2 HLDGS INC COM 404139107 5,490 1,007,421 SH DFND 2 1,007,421 0 0
HSBC HLDGS PLC SDCV 5.625%12/2 404280AR0 990 1,000,000 PRN DFND 1 1,000,000 0 0
HSBC HLDGS PLC SDCV 5.625%12/2 404280AR0 8,910 9,000,000 PRN DFND 3 9,000,000 0 0
HSBC HLDGS PLC NOTE 6.375%12/2 404280AT6 7,900 8,000,000 PRN DFND 2 8,000,000 0 0
HSBC HLDGS PLC NOTE 6.375%12/2 404280AT6 1,975 2,000,000 PRN OTR 2,000,000 0 0
HEWLETT PACKARD ENTERPRISE C COM 42824C109 9,356 411,250 SH DFND 1 411,250 0 0
HEWLETT PACKARD ENTERPRISE C COM 42824C109 2,292 100,750 SH DFND 2 100,750 0 0
HEWLETT PACKARD ENTERPRISE C COM 42824C109 1,320 58,000 SH DFND 3 58,000 0 0
HOMESTREET INC COM 43785V102 1,464 58,406 SH DFND 1 58,406 0 0
HOMESTREET INC COM 43785V102 6,575 262,374 SH DFND 2 262,374 0 0
HOMESTREET INC COM 43785V102 3,869 154,391 SH DFND 3 154,391 0 0
HUNTSMAN CORP COM 447011107 2,115 130,000 SH DFND 1 130,000 0 0
HUNTSMAN CORP COM 447011107 5,044 310,000 SH DFND 3 310,000 0 0
INFINITY PHARMACEUTICALS INC COM 45665G303 31 20,000 SH DFND 1 20,000 0 0
INFINITY PHARMACEUTICALS INC COM 45665G303 31 20,000 SH DFND 2 20,000 0 0
INSTEEL INDUSTRIES INC COM 45774W108 892 24,609 SH DFND 1 24,609 0 0
INSTEEL INDUSTRIES INC COM 45774W108 805 22,216 SH DFND 2 22,216 0 0
INTERVAL LEISURE GROUP INC COM 46113M108 250 14,571 SH DFND 1 14,571 0 0
INVESCO MORTGAGE CAPITAL INC COM 46131B100 1,231 80,800 SH DFND 1 80,800 0 0
INVESCO MORTGAGE CAPITAL INC COM 46131B100 1,872 122,900 SH DFND 2 122,900 0 0
JPMORGAN CHASE & CO COM 46625H100 17,313 260,000 SH DFND 1 260,000 0 0
JPMORGAN CHASE & CO COM 46625H100 3,330 50,000 SH DFND 3 50,000 0 0
KKR & CO L P DEL COM UNITS 48248M102 3,010 211,115 SH DFND 1 211,115 0 0
KKR & CO L P DEL COM UNITS 48248M102 7,496 525,685 SH DFND 2 525,685 0 0
KKR & CO L P DEL COM UNITS 48248M102 4,190 293,800 SH DFND 3 293,800 0 0
KELLOGG CO COM 487836108 3,010 38,850 SH DFND 1 38,850 0 0
KOPPERS HOLDINGS INC COM 50060P106 254 7,883 SH DFND 1 7,883 0 0
LCNB CORP COM 50181P100 2,091 114,785 SH DFND 1 114,785 0 0
LCNB CORP COM 50181P100 36 2,000 SH DFND 3 2,000 0 0
LEGG MASON INC COM 524901105 3,465 103,500 SH DFND 1 103,500 0 0
LEGG MASON INC COM 524901105 3,398 101,500 SH DFND 2 101,500 0 0
LEUCADIA NATL CORP COM 527288104 150 7,896 SH DFND 1 7,896 0 0
LEUCADIA NATL CORP COM 527288104 158 8,315 SH DFND 2 8,315 0 0
LEUCADIA NATL CORP COM 527288104 5 263 SH DFND 3 263 0 0
LIVE OAK BANCSHARES INC COM 53803X105 168 11,634 SH DFND 1 11,634 0 0
MFA FINL INC COM 55272X102 187 25,000 SH DFND 1 25,000 0 0
MFA FINL INC COM 55272X102 187 25,000 SH DFND 2 25,000 0 0
MYR GROUP INC DEL COM 55405W104 574 19,060 SH DFND 1 19,060 0 0
MARATHON OIL CORP COM 565849106 3,130 198,000 SH DFND 2 198,000 0 0
MASTEC INC COM 576323109 324 10,884 SH DFND 1 10,884 0 0
MEDLEY CAP CORP COM 58503F106 8,464 1,109,285 SH DFND 1 1,109,285 0 0
MEDLEY CAP CORP COM 58503F106 8,321 1,090,573 SH DFND 2 1,090,573 0 0
MEDLEY MGMT INC CL A COM 58503T106 2,546 302,750 SH DFND 1 302,750 0 0
MEDLEY MGMT INC CL A COM 58503T106 2,324 276,350 SH DFND 3 276,350 0 0
MERCER INTL INC COM 588056101 360 42,493 SH DFND 1 42,493 0 0
METLIFE INC COM 59156R108 7,775 175,000 SH DFND 1 175,000 0 0
MICROSEMI CORP COM 595137100 407 9,699 SH DFND 1 9,699 0 0
NII HLDGS INC COM PAR $0.001 62913F508 92 27,642 SH DFND 1 27,642 0 0
NII HLDGS INC COM PAR $0.001 62913F508 264 79,223 SH DFND 2 79,223 0 0
NMI HLDGS INC CL A 629209305 3,520 462,000 SH DFND 1 462,000 0 0
NMI HLDGS INC CL A 629209305 7,056 926,000 SH DFND 2 926,000 0 0
NN INC COM 629337106 200 10,954 SH DFND 1 10,954 0 0
NATIONAL BK HLDGS CORP CL A 633707104 88 3,776 SH DFND 1 3,776 0 0
NATIONAL BK HLDGS CORP CL A 633707104 133 5,677 SH DFND 2 5,677 0 0
NATIONAL INTERSTATE CORP COM 63654U100 331,806 10,200,000 SH DFND 1 10,200,000 0 0
NEW YORK CMNTY BANCORP INC COM 649445103 4,981 350,000 SH DFND 1 350,000 0 0
NORTHSTAR RLTY FIN CORP COM 66704R803 22,417 1,702,110 SH DFND 1 1,702,110 0 0
NORTHSTAR RLTY FIN CORP COM 66704R803 2,244 170,390 SH DFND 2 170,390 0 0
NORTHSTAR REALTY EUROPE CORP COM 66706L101 1,633 149,166 SH DFND 1 149,166 0 0
OAKTREE CAP GROUP LLC UNIT CL A 674001201 1,060 25,000 SH DFND 1 25,000 0 0
OAKTREE CAP GROUP LLC UNIT CL A 674001201 1,060 25,000 SH DFND 2 25,000 0 0
OMEROS CORP COM 682143102 3,192 286,040 SH DFND 1 286,040 0 0
OMEROS CORP COM 682143102 4,788 429,061 SH DFND 2 429,061 0 0
OPUS BK IRVINE CALIF COM 684000102 321 9,086 SH DFND 1 9,086 0 0
ORGANOVO HLDGS INC COM 68620A104 347 91,500 SH DFND 1 91,500 0 0
ORGANOVO HLDGS INC COM 68620A104 606 160,000 SH DFND 2 160,000 0 0
PDVWIRELESS INC COM 69290R104 9,541 416,640 SH DFND 1 416,640 0 0
PDVWIRELESS INC COM 69290R104 15,442 674,329 SH DFND 2 674,329 0 0
PJT PARTNERS INC COM CL A 69343T107 30 1,110 SH DFND 1 1,110 0 0
PJT PARTNERS INC COM CL A 69343T107 237 8,690 SH DFND 2 8,690 0 0
PAYPAL HLDGS INC COM 70450Y103 2,376 58,000 SH DFND 1 58,000 0 0
PEAK RESORTS INC COM 70469L100 6,417 1,245,986 SH DFND 1 1,245,986 0 0
PENSKE AUTOMOTIVE GRP INC COM 70959W103 964 20,000 SH DFND 1 20,000 0 0
PERFICIENT INC COM 71375U101 342 16,995 SH DFND 1 16,995 0 0
POTBELLY CORP COM 73754Y100 373 30,000 SH DFND 1 30,000 0 0
POTBELLY CORP COM 73754Y100 1,243 100,000 SH DFND 2 100,000 0 0
POTBELLY CORP COM 73754Y100 870 70,000 SH DFND 3 70,000 0 0
PROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1 74348TAM4 51 50,000 PRN DFND 1 50,000 0 0
PROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1 74348TAM4 871 850,000 PRN DFND 2 850,000 0 0
PROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1 74348TAM4 102 100,000 PRN DFND 3 100,000 0 0
PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 118 120,000 PRN DFND 1 120,000 0 0
PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 11,613 11,760,000 PRN DFND 2 11,760,000 0 0
PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 316 320,000 PRN DFND 3 320,000 0 0
PROSPECT CAPITAL CORPORATION COM 74348T102 4,050 500,000 SH DFND 1 500,000 0 0
PROSPECT CAPITAL CORPORATION COM 74348T102 4,050 500,000 SH DFND 2 500,000 0 0
PROVIDENT FINL SVCS INC COM 74386T105 307 14,439 SH DFND 1 14,439 0 0
PRUDENTIAL FINL INC COM 744320102 19,392 237,500 SH DFND 1 237,500 0 0
PRUDENTIAL FINL INC COM 744320102 9,906 121,323 SH DFND 3 121,323 0 0
RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 325 17,345 SH DFND 1 17,345 0 0
RESOLUTE FST PRODS INC COM 76117W109 2,242 474,084 SH DFND 1 474,084 0 0
RESOLUTE FST PRODS INC COM 76117W109 3,669 775,627 SH DFND 2 775,627 0 0
RESOLUTE FST PRODS INC COM 76117W109 147 31,125 SH DFND 3 31,125 0 0
REVOLUTION LIGHTING TECHNOLO COM NEW 76155G206 5,695 902,535 SH DFND 1 902,535 0 0
REVOLUTION LIGHTING TECHNOLO COM NEW 76155G206 5,695 902,535 SH DFND 2 902,535 0 0
ROYAL BANK OF CANADA NOTE 4.650% 1/2 780082AD5 32,828 30,000,000 PRN DFND 2 30,000,000 0 0
ROYAL DUTCH SHELL PLC SPON ADR B 780259107 423 8,000 SH DFND 1 8,000 0 0
ROYAL DUTCH SHELL PLC SPON ADR B 780259107 5,389 102,000 SH DFND 2 102,000 0 0
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 325 6,500 SH DFND 1 6,500 0 0
RUDOLPH TECHNOLOGIES INC COM 781270103 280 15,808 SH DFND 1 15,808 0 0
SVB FINL GROUP COM 78486Q101 279 2,525 SH DFND 1 2,525 0 0
STARWOOD PPTY TR INC COM 85571B105 338 15,000 SH DFND 1 15,000 0 0
STARWOOD PPTY TR INC COM 85571B105 338 15,000 SH DFND 2 15,000 0 0
STONEGATE MTG CORP COM 86181Q300 6,049 1,320,830 SH DFND 1 1,320,830 0 0
STONEGATE MTG CORP COM 86181Q300 5,868 1,281,281 SH DFND 2 1,281,281 0 0
SYNAPTICS INC COM 87157D109 316 5,398 SH DFND 1 5,398 0 0
TORONTO DOMINION BK ONT NOTE 3.625% 9/1 891160MJ9 20,061 20,000,000 PRN DFND 2 20,000,000 0 0
TORTOISE ENERGY INFRA CORP COM 89147L100 4,927 160,236 SH DFND 1 160,236 0 0
TORTOISE ENERGY INFRA CORP COM 89147L100 2,721 88,480 SH DFND 2 88,480 0 0
TRIBUNE MEDIA CO CL A 896047503 12,417 340,000 SH DFND 1 340,000 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 1,211 50,000 SH DFND 1 50,000 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 1,211 50,000 SH DFND 2 50,000 0 0
TWO HBRS INVT CORP COM 90187B101 3,924 460,000 SH DFND 1 460,000 0 0
TWO HBRS INVT CORP COM 90187B101 11,132 1,305,000 SH DFND 2 1,305,000 0 0
TWO HBRS INVT CORP COM 90187B101 3,369 395,000 SH DFND 3 395,000 0 0
USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 90290N109 282 15,000 SH DFND 1 15,000 0 0
USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 90290N109 3,002 159,871 SH DFND 2 159,871 0 0
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 234 2,351 SH DFND 1 2,351 0 0
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 330 7,265 SH DFND 1 7,265 0 0
VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 671 3,375 SH DFND 1 3,375 0 0
VANGUARD INDEX FDS REIT ETF 922908553 441 5,089 SH DFND 1 5,089 0 0
VANGUARD INDEX FDS EXTEND MKT ETF 922908652 491 5,380 SH DFND 1 5,380 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 2,755 52,994 SH DFND 2 52,994 0 0
VERISK ANALYTICS INC COM 92345Y106 15,134 186,191 SH DFND 1 186,191 0 0
VIAD CORP COM NEW 92552R406 369 9,997 SH DFND 1 9,997 0 0
VIACOM INC NEW CL B 92553P201 17,814 467,550 SH DFND 1 467,550 0 0
VIACOM INC NEW CL B 92553P201 8,666 227,450 SH DFND 3 227,450 0 0
VOLTARI CORP COM NEW 92870X309 15 5,652 SH DFND 1 5,652 0 0
VOLTARI CORP COM NEW 92870X309 22 8,478 SH DFND 2 8,478 0 0
VONAGE HLDGS CORP COM 92886T201 415 62,810 SH DFND 1 62,810 0 0
WEB COM GROUP INC COM 94733A104 181 10,490 SH DFND 1 10,490 0 0
WELLS FARGO & CO NEW COM 949746101 12,044 272,000 SH DFND 1 272,000 0 0
WEST CORP COM 952355204 308 13,942 SH DFND 1 13,942 0 0
XCERRA CORP COM 98400J108 254 41,960 SH DFND 1 41,960 0 0
ZAGG INC COM 98884U108 195 24,031 SH DFND 1 24,031 0 0

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