SEC FORM 13F-HR
|
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: | Oct 31, 2018 |
| Estimated average burden |
| hours per response: | 23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: | 06-30-2013 |
| 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,
OH
45202 |
| 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: | Assistant Vice President and Controller |
| Phone: | 513-579-2153 |
| Signature, Place, and Date of Signing: |
| /s/ Brian S. Hertzman | Cincinnati,
OH | 08-09-2013 |
| [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).) |
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 |
| Form 13F Summary Page |
| Report Summary: |
| Number of Other Included Managers: | 2 | | |
| Form 13F Information Table Entry Total: | 214 |
| Form 13F Information Table Value Total: | 1,125,386 |
| (thousands) |
|
| 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 |
SEC FORM 13-F Information Table
|
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: | Oct 31, 2018 |
| 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 |
| ARGO GROUP INTL HLDGS LTD | COM | G0464B107 | 313 | 7,377 | SH | | DFND | 1 | 7,377 | 0 | 0 |
| EATON CORP PLC | SHS | G29183103 | 757 | 11,500 | SH | | DFND | 1 | 11,500 | 0 | 0 |
| TOWER GROUP INTL LTD | COM | G8988C105 | 246 | 12,014 | SH | | DFND | 1 | 12,014 | 0 | 0 |
| ACE LTD | SHS | H0023R105 | 5,637 | 63,000 | SH | | SOLE | | 63,000 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 726 | 20,500 | SH | | DFND | 1 | 20,500 | 0 | 0 |
| ABBOTT LABS | COM | 002824100 | 317 | 9,100 | SH | | DFND | 1 | 9,100 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 | 376 | 9,100 | SH | | DFND | 1 | 9,100 | 0 | 0 |
| AIR PRODS & CHEMS INC | COM | 009158106 | 12,599 | 137,584 | SH | | DFND | 1 | 137,584 | 0 | 0 |
| ALLIANCE RES PARTNER L P | UT LTD PART | 01877R108 | 2,756 | 39,017 | SH | | DFND | 1 | 39,017 | 0 | 0 |
| ALLIANCE RES PARTNER L P | UT LTD PART | 01877R108 | 3,611 | 51,119 | SH | | DFND | 2 | 51,119 | 0 | 0 |
| AMERICAN CAPITAL AGENCY CORP | COM | 02503X105 | 1,956 | 85,000 | SH | | DFND | 1 | 85,000 | 0 | 0 |
| AMERICAN CAPITAL AGENCY CORP | COM | 02503X105 | 3,336 | 145,000 | SH | | DFND | 2 | 145,000 | 0 | 0 |
| AMERICAN CAPITAL AGENCY CORP | COM | 02503X105 | 5,983 | 260,000 | SH | | DFND | 1,2 | 260,000 | 0 | 0 |
| AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 2,427 | 135,000 | SH | | DFND | 1 | 135,000 | 0 | 0 |
| AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 5,892 | 327,800 | SH | | DFND | 1 | 327,800 | 0 | 0 |
| AMERICAN CAP MTG INVT CORP | COM | 02504A104 | 4,943 | 275,000 | SH | | DFND | 2 | 275,000 | 0 | 0 |
| AMERICAN EQTY INVT LIFE HLD | COM | 025676206 | 278 | 17,734 | SH | | DFND | 1 | 17,734 | 0 | 0 |
| AMERICAN RESIDENTIAL PPTYS I | COM | 02927E303 | 8,600 | 500,000 | SH | | DFND | 2 | 500,000 | 0 | 0 |
| ANNALY CAP MGMT INC | COM | 035710409 | 1,006 | 80,000 | SH | | DFND | 2 | 80,000 | 0 | 0 |
| ANWORTH MORTGAGE ASSET CP | COM | 037347101 | 1,344 | 240,000 | SH | | DFND | 1 | 240,000 | 0 | 0 |
| ANWORTH MORTGAGE ASSET CP | COM | 037347101 | 2,100 | 375,000 | SH | | DFND | 1 | 375,000 | 0 | 0 |
| ANWORTH MORTGAGE ASSET CP | COM | 037347101 | 1,596 | 285,000 | SH | | DFND | 2 | 285,000 | 0 | 0 |
| APOLLO RESIDENTIAL MTG INC | COM | 03763V102 | 1,071 | 65,000 | SH | | DFND | 1 | 65,000 | 0 | 0 |
| APOLLO RESIDENTIAL MTG INC | COM | 03763V102 | 2,554 | 155,000 | SH | | DFND | 1 | 155,000 | 0 | 0 |
| APPLE INC | COM | 037833100 | 8,208 | 20,700 | SH | | DFND | 1 | 20,700 | 0 | 0 |
| APPLE INC | COM | 037833100 | 1,824 | 4,600 | SH | | DFND | 1 | 4,600 | 0 | 0 |
| APPLE INC | COM | 037833100 | 8,208 | 20,700 | SH | | DFND | 2 | 20,700 | 0 | 0 |
| ARCELORMITTAL SA LUXEMBOURG | NY REGISTRY SH | 03938L104 | 4,480 | 400,000 | SH | | DFND | 1 | 400,000 | 0 | 0 |
| ARCELORMITTAL SA LUXEMBOURG | NY REGISTRY SH | 03938L104 | 4,480 | 400,000 | SH | | DFND | 2 | 400,000 | 0 | 0 |
| ARCH COAL INC | COM | 039380100 | 2,816 | 745,000 | SH | | DFND | 1 | 745,000 | 0 | 0 |
| ARCH COAL INC | COM | 039380100 | 416 | 110,000 | SH | | DFND | | 110,000 | 0 | 0 |
| BP PLC | SPONSORED ADR | 055622104 | 11,061 | 265,000 | SH | | DFND | 2 | 265,000 | 0 | 0 |
| BP PLC | SPONSORED ADR | 055622104 | 1,878 | 45,000 | SH | | DFND | | 45,000 | 0 | 0 |
| BANK OF AMERICA CORPORATION | COM | 060505104 | 7,820 | 608,120 | SH | | DFND | 1 | 608,120 | 0 | 0 |
| BANK OF AMERICA CORPORATION | COM | 060505104 | 3,903 | 303,480 | SH | | DFND | 1 | 303,480 | 0 | 0 |
| BASIC ENERGY SVCS INC NEW | COM | 06985P100 | 203 | 16,763 | SH | | DFND | 1 | 16,763 | 0 | 0 |
| BERKLEY W R CORP | COM | 084423102 | 4,781 | 117,000 | SH | | SOLE | | 117,000 | 0 | 0 |
| BLDRS INDEX FDS TR | EMER MK 50 ADR | 09348R300 | 362 | 10,529 | SH | | DFND | 1 | 10,529 | 0 | 0 |
| BLUCORA INC | COM | 095229100 | 197 | 10,619 | SH | | DFND | 1 | 10,619 | 0 | 0 |
| CYS INVTS INC | COM | 12673A108 | 1,851 | 201,000 | SH | | DFND | 1 | 201,000 | 0 | 0 |
| CYS INVTS INC | COM | 12673A108 | 1,897 | 206,000 | SH | | DFND | 2 | 206,000 | 0 | 0 |
| CYS INVTS INC | COM | 12673A108 | 8,501 | 923,000 | SH | | DFND | 1,2 | 923,000 | 0 | 0 |
| CAPITAL BK FINL CORP | CL A COM | 139794101 | 3,078 | 161,810 | SH | | DFND | 1 | 161,810 | 0 | 0 |
| CAPITAL BK FINL CORP | CL A COM | 139794101 | 5,326 | 280,000 | SH | | DFND | 2 | 280,000 | 0 | 0 |
| CAPLEASE INC | COM | 140288101 | 269 | 31,880 | SH | | DFND | 1 | 31,880 | 0 | 0 |
| CAPITOL FED FINL INC | COM | 14057J101 | 437 | 36,000 | SH | | DFND | 1 | 36,000 | 0 | 0 |
| CARDINAL FINL CORP | COM | 14149F109 | 168 | 11,443 | SH | | DFND | 1 | 11,443 | 0 | 0 |
| CHEVRON CORP NEW | COM | 166764100 | 7,254 | 61,300 | SH | | DFND | 1 | 61,300 | 0 | 0 |
| CHEVRON CORP NEW | COM | 166764100 | 414 | 3,500 | SH | | DFND | 1 | 3,500 | 0 | 0 |
| CHUBB CORP | COM | 171232101 | 6,010 | 71,000 | SH | | SOLE | | 71,000 | 0 | 0 |
| CISCO SYS INC | COM | 17275R102 | 8,517 | 350,000 | SH | | DFND | 2 | 350,000 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 | 13,192 | 275,000 | SH | | DFND | 1 | 275,000 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 | 6,236 | 130,000 | SH | | DFND | 2 | 130,000 | 0 | 0 |
| COACH INC | COM | 189754104 | 5,823 | 102,000 | SH | | DFND | 1 | 102,000 | 0 | 0 |
| COACH INC | COM | 189754104 | 8,164 | 143,000 | SH | | DFND | 1 | 143,000 | 0 | 0 |
| COLONY FINL INC | COM | 19624R106 | 1,392 | 70,000 | SH | | DFND | 1 | 70,000 | 0 | 0 |
| COMCAST CORP NEW | CL A | 20030N101 | 8,496 | 203,500 | SH | | DFND | 1 | 203,500 | 0 | 0 |
| CONOCOPHILLIPS | COM | 20825C104 | 424 | 7,000 | SH | | DFND | 1 | 7,000 | 0 | 0 |
| CUSTOMERS BANCORP INC | COM | 23204G100 | 3,192 | 196,429 | SH | | DFND | 1 | 196,429 | 0 | 0 |
| CUSTOMERS BANCORP INC | COM | 23204G100 | 6,500 | 400,000 | SH | | DFND | 2 | 400,000 | 0 | 0 |
| DELTA AIR LINES INC DEL | COM NEW | 247361702 | 771 | 41,216 | SH | | DFND | 1 | 41,216 | 0 | 0 |
| DELTA AIR LINES INC DEL | COM NEW | 247361702 | 502 | 26,829 | SH | | DFND | 2 | 26,829 | 0 | 0 |
| DELTA AIR LINES INC DEL | COM NEW | 247361702 | 243 | 13,003 | SH | | DFND | 1,2 | 13,003 | 0 | 0 |
| DU PONT E I DE NEMOURS & CO | COM | 263534109 | 289 | 5,500 | SH | | DFND | 1 | 5,500 | 0 | 0 |
| E M C CORP MASS | COM | 268648102 | 3,425 | 145,000 | SH | | DFND | 1 | 145,000 | 0 | 0 |
| E M C CORP MASS | COM | 268648102 | 4,724 | 200,000 | SH | | DFND | 2 | 200,000 | 0 | 0 |
| E M C CORP MASS | COM | 268648102 | 1,299 | 55,000 | SH | | DFND | | 55,000 | 0 | 0 |
| EBIX INC | COM NEW | 278715206 | 145 | 15,605 | SH | | DFND | 1 | 15,605 | 0 | 0 |
| ELLINGTON FINANCIAL LLC | COM | 288522303 | 7,133 | 312,700 | SH | | DFND | 1 | 312,700 | 0 | 0 |
| ELLINGTON FINANCIAL LLC | COM | 288522303 | 15,993 | 701,153 | SH | | DFND | 2 | 701,153 | 0 | 0 |
| ELLINGTON FINANCIAL LLC | COM | 288522303 | 912 | 40,000 | SH | | DFND | | 40,000 | 0 | 0 |
| EMERSON ELEC CO | COM | 291011104 | 7,363 | 135,000 | SH | | DFND | 1 | 135,000 | 0 | 0 |
| EXONE CO | COM | 302104104 | 429 | 6,955 | SH | | DFND | 1 | 6,955 | 0 | 0 |
| EXONE CO | COM | 302104104 | 228 | 3,700 | SH | | DFND | 1 | 3,700 | 0 | 0 |
| EXONE CO | COM | 302104104 | 1,088 | 17,630 | SH | | DFND | 2 | 17,630 | 0 | 0 |
| FIRST FINL BANCORP OH | COM | 320209109 | 3,278 | 220,000 | SH | | DFND | 1 | 220,000 | 0 | 0 |
| FIRST FINL BANCORP OH | COM | 320209109 | 177 | 11,867 | SH | | DFND | 1 | 11,867 | 0 | 0 |
| FLAGSTAR BANCORP INC | COM PAR .001 | 337930705 | 4,649 | 333,010 | SH | | DFND | 1 | 333,010 | 0 | 0 |
| FLAGSTAR BANCORP INC | COM PAR .001 | 337930705 | 4,649 | 333,010 | SH | | DFND | 2 | 333,010 | 0 | 0 |
| FLUSHING FINL CORP | COM | 343873105 | 201 | 12,194 | SH | | DFND | 1 | 12,194 | 0 | 0 |
| FREEPORT-MCMORAN COPPER & GO | COM | 35671D857 | 5,108 | 185,000 | SH | | DFND | 1 | 185,000 | 0 | 0 |
| FREEPORT-MCMORAN COPPER & GO | COM | 35671D857 | 3,175 | 115,000 | SH | | DFND | 1 | 115,000 | 0 | 0 |
| FULL HOUSE RESORTS INC | COM | 359678109 | 95 | 35,331 | SH | | DFND | 1 | 35,331 | 0 | 0 |
| FULL HOUSE RESORTS INC | COM | 359678109 | 85 | 31,617 | SH | | DFND | 2 | 31,617 | 0 | 0 |
| GENERAL ELECTRIC CO | COM | 369604103 | 10,783 | 465,000 | SH | | DFND | 1 | 465,000 | 0 | 0 |
| GENERAL ELECTRIC CO | COM | 369604103 | 812 | 35,000 | SH | | DFND | 1 | 35,000 | 0 | 0 |
| GENERAL MLS INC | COM | 370334104 | 728 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
| GENERAL MTRS CO | COM | 37045V100 | 1,183 | 35,500 | SH | | DFND | 1 | 35,500 | 0 | 0 |
| GENERAL MTRS CO | COM | 37045V100 | 1,183 | 35,500 | SH | | DFND | 2 | 35,500 | 0 | 0 |
| GLOBAL CASH ACCESS HLDGS INC | COM | 378967103 | 193 | 30,757 | SH | | DFND | 1 | 30,757 | 0 | 0 |
| HANMI FINL CORP | COM NEW | 410495204 | 1,863 | 105,413 | SH | | DFND | 1 | 105,413 | 0 | 0 |
| HANMI FINL CORP | COM NEW | 410495204 | 3,041 | 172,115 | SH | | DFND | 2 | 172,115 | 0 | 0 |
| HEWLETT PACKARD CO | COM | 428236103 | 13,671 | 551,250 | SH | | DFND | 1 | 551,250 | 0 | 0 |
| HEWLETT PACKARD CO | COM | 428236103 | 3,243 | 130,750 | SH | | DFND | 2 | 130,750 | 0 | 0 |
| HEWLETT PACKARD CO | COM | 428236103 | 2,182 | 88,000 | SH | | DFND | | 88,000 | 0 | 0 |
| HOMESTREET INC | COM | 43785V102 | 1,716 | 80,000 | SH | | DFND | 1 | 80,000 | 0 | 0 |
| HOMESTREET INC | COM | 43785V102 | 5,148 | 240,000 | SH | | DFND | 2 | 240,000 | 0 | 0 |
| HOMESTREET INC | COM | 43785V102 | 3,432 | 160,000 | SH | | DFND | | 160,000 | 0 | 0 |
| HUNTINGTON INGALLS INDS INC | COM | 446413106 | 1,130 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
| IBERIABANK CORP | COM | 450828108 | 236 | 4,405 | SH | | DFND | 1 | 4,405 | 0 | 0 |
| ILLINOIS TOOL WKS INC | COM | 452308109 | 380 | 5,500 | SH | | DFND | 1 | 5,500 | 0 | 0 |
| INDEXIQ ETF TR | IQ GLB RES ETF | 45409B883 | 255 | 9,861 | SH | | DFND | 1 | 9,861 | 0 | 0 |
| INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 324 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
| INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 324 | 20,000 | SH | | DFND | 2 | 20,000 | 0 | 0 |
| INSTEEL INDUSTRIES INC | COM | 45774W108 | 431 | 24,609 | SH | | DFND | 1 | 24,609 | 0 | 0 |
| INSTEEL INDUSTRIES INC | COM | 45774W108 | 389 | 22,216 | SH | | DFND | 2 | 22,216 | 0 | 0 |
| INTEL CORP | COM | 458140100 | 12,818 | 529,000 | SH | | DFND | 1 | 529,000 | 0 | 0 |
| INTERPUBLIC GROUP COS INC | COM | 460690100 | 73 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| INTERPUBLIC GROUP COS INC | COM | 460690100 | 873 | 60,000 | SH | | DFND | | 60,000 | 0 | 0 |
| ISHARES TR | MSCI EAFE INDEX | 464287465 | 428 | 7,464 | SH | | DFND | 1 | 7,464 | 0 | 0 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 17,949 | 340,000 | SH | | DFND | 1 | 340,000 | 0 | 0 |
| JOHNSON & JOHNSON | COM | 478160104 | 20,692 | 241,000 | SH | | DFND | 1 | 241,000 | 0 | 0 |
| JOHNSON & JOHNSON | COM | 478160104 | 704 | 8,200 | SH | | DFND | 1 | 8,200 | 0 | 0 |
| KELLOGG CO | COM | 487836108 | 14,057 | 218,850 | SH | | DFND | 1 | 218,850 | 0 | 0 |
| KEY ENERGY SVCS INC | COM | 492914106 | 182 | 30,619 | SH | | DFND | 1 | 30,619 | 0 | 0 |
| KOHLS CORP | COM | 500255104 | 14,648 | 290,000 | SH | | DFND | 1 | 290,000 | 0 | 0 |
| KOHLS CORP | COM | 500255104 | 1,515 | 30,000 | SH | | DFND | 1 | 30,000 | 0 | 0 |
| KRAFT FOODS GROUP INC | COM | 50076Q106 | 4,158 | 74,416 | SH | | DFND | 1 | 74,416 | 0 | 0 |
| LTX-CREDENCE CORP | COM NEW | 502403207 | 210 | 34,976 | SH | | DFND | 1 | 34,976 | 0 | 0 |
| LEUCADIA NATL CORP | COM | 527288104 | 200 | 7,633 | SH | | DFND | 1 | 7,633 | 0 | 0 |
| LEUCADIA NATL CORP | COM | 527288104 | 14 | 526 | SH | | DFND | 1 | 526 | 0 | 0 |
| LEUCADIA NATL CORP | COM | 527288104 | 218 | 8,315 | SH | | DFND | 2 | 8,315 | 0 | 0 |
| LINCOLN NATL CORP IND | COM | 534187109 | 1,824 | 50,000 | SH | | DFND | 1 | 50,000 | 0 | 0 |
| LINCOLN NATL CORP IND | COM | 534187109 | 6,200 | 170,000 | SH | | DFND | 2 | 170,000 | 0 | 0 |
| LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 3,040 | 91,631 | SH | | DFND | | 91,631 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 3,308 | 30,500 | SH | | DFND | 1 | 30,500 | 0 | 0 |
| LOWES COS INC | COM | 548661107 | 1,309 | 32,000 | SH | | DFND | 1 | 32,000 | 0 | 0 |
| MFA FINL INC | COM | 55272X102 | 423 | 50,000 | SH | | DFND | 1 | 50,000 | 0 | 0 |
| MYR GROUP INC DEL | COM | 55405W104 | 7,481 | 384,615 | SH | | DFND | 1 | 384,615 | 0 | 0 |
| MAGELLAN HEALTH SVCS INC | COM NEW | 559079207 | 265 | 4,732 | SH | | DFND | 1 | 4,732 | 0 | 0 |
| MANAGED HIGH YIELD PLUS FD I | COM | 561911108 | 20 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| MARATHON OIL CORP | COM | 565849106 | 7,608 | 220,000 | SH | | DFND | 2 | 220,000 | 0 | 0 |
| MEADOWBROOK INS GROUP INC | COM | 58319P108 | 216 | 26,855 | SH | | DFND | 1 | 26,855 | 0 | 0 |
| MEDTRONIC INC | COM | 585055106 | 5,147 | 100,000 | SH | | DFND | 1 | 100,000 | 0 | 0 |
| MERCK & CO INC NEW | COM | 58933Y105 | 11,659 | 251,000 | SH | | DFND | 1 | 251,000 | 0 | 0 |
| MERCK & CO INC NEW | COM | 58933Y105 | 929 | 20,000 | SH | | DFND | | 20,000 | 0 | 0 |
| METLIFE INC | COM | 59156R108 | 8,008 | 175,000 | SH | | DFND | 1 | 175,000 | 0 | 0 |
| METLIFE INC | COM | 59156R108 | 1,030 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
| METLIFE INC | COM | 59156R108 | 15,224 | 332,700 | SH | | DFND | 2 | 332,700 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 22,506 | 651,500 | SH | | DFND | 1 | 651,500 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 518 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
| MICROSEMI CORP | COM | 595137100 | 237 | 10,411 | SH | | DFND | 1 | 10,411 | 0 | 0 |
| MONDELEZ INTL INC | CL A | 609207105 | 6,369 | 223,250 | SH | | DFND | 1 | 223,250 | 0 | 0 |
| NATIONAL BK HLDGS CORP | CL A | 633707104 | 1,970 | 100,000 | SH | | DFND | 1 | 100,000 | 0 | 0 |
| NATIONAL BK HLDGS CORP | CL A | 633707104 | 2,955 | 150,000 | SH | | DFND | 2 | 150,000 | 0 | 0 |
| NATIONAL INTERSTATE CORP | COM | 63654U100 | 298,350 | 10,200,000 | SH | | DFND | 1 | 10,200,000 | 0 | 0 |
| NEW YORK CMNTY BANCORP INC | COM | 649445103 | 4,900 | 350,000 | SH | | DFND | 1 | 350,000 | 0 | 0 |
| NICE SYS LTD | SPONSORED ADR | 653656108 | 220 | 5,963 | SH | | DFND | 1 | 5,963 | 0 | 0 |
| OMNICOM GROUP INC | COM | 681919106 | 6,098 | 97,000 | SH | | DFND | 1 | 97,000 | 0 | 0 |
| OMNICOM GROUP INC | COM | 681919106 | 2,389 | 38,000 | SH | | DFND | | 38,000 | 0 | 0 |
| OMEROS CORP | COM | 682143102 | 514 | 102,040 | SH | | DFND | 1 | 102,040 | 0 | 0 |
| OMEROS CORP | COM | 682143102 | 771 | 153,061 | SH | | DFND | 2 | 153,061 | 0 | 0 |
| ORBITAL SCIENCES CORP | COM | 685564106 | 215 | 12,378 | SH | | DFND | 1 | 12,378 | 0 | 0 |
| PNC FINL SVCS GROUP INC | COM | 693475105 | 2,917 | 40,000 | SH | | DFND | 1 | 40,000 | 0 | 0 |
| PNC FINL SVCS GROUP INC | COM | 693475105 | 5,104 | 70,000 | SH | | DFND | 1 | 70,000 | 0 | 0 |
| PEABODY ENERGY CORP | COM | 704549104 | 4,568 | 312,000 | SH | | DFND | 1 | 312,000 | 0 | 0 |
| PEABODY ENERGY CORP | COM | 704549104 | 4,656 | 318,000 | SH | | DFND | 1 | 318,000 | 0 | 0 |
| PEOPLES UNITED FINANCIAL INC | COM | 712704105 | 12,367 | 830,000 | SH | | DFND | 1 | 830,000 | 0 | 0 |
| PEPSICO INC | COM | 713448108 | 17,589 | 215,050 | SH | | DFND | 1 | 215,050 | 0 | 0 |
| PETROQUEST ENERGY INC | COM | 716748108 | 210 | 53,137 | SH | | DFND | 1 | 53,137 | 0 | 0 |
| PHARMACYCLICS INC | COM | 716933106 | 1,589 | 20,000 | SH | | DFND | 2 | 20,000 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 11,708 | 418,000 | SH | | DFND | 1 | 418,000 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 560 | 20,000 | SH | | DFND | | 20,000 | 0 | 0 |
| PHILIP MORRIS INTL INC | COM | 718172109 | 563 | 6,500 | SH | | DFND | 1 | 6,500 | 0 | 0 |
| POWERSHARES ETF TRUST | DYNAMIC MKT PT | 73935X104 | 1,480 | 26,391 | SH | | DFND | 1 | 26,391 | 0 | 0 |
| POWERSHARES ETF TRUST | HI YLD EQ DVDN | 73935X302 | 321 | 29,947 | SH | | DFND | 1 | 29,947 | 0 | 0 |
| PREMIERE GLOBAL SVCS INC | COM | 740585104 | 134 | 11,099 | SH | | DFND | 1 | 11,099 | 0 | 0 |
| PRESTIGE BRANDS HLDGS INC | COM | 74112D101 | 215 | 7,382 | SH | | DFND | 1 | 7,382 | 0 | 0 |
| PROCTER & GAMBLE CO | COM | 742718109 | 6,929 | 90,000 | SH | | DFND | 1 | 90,000 | 0 | 0 |
| PROCTER & GAMBLE CO | COM | 742718109 | 723 | 9,391 | SH | | DFND | 1 | 9,391 | 0 | 0 |
| PRUDENTIAL FINL INC | COM | 744320102 | 5,806 | 79,500 | SH | | DFND | 1 | 79,500 | 0 | 0 |
| PRUDENTIAL FINL INC | COM | 744320102 | 2,629 | 36,000 | SH | | DFND | 1 | 36,000 | 0 | 0 |
| PRUDENTIAL FINL INC | COM | 744320102 | 14,569 | 199,500 | SH | | DFND | 2 | 199,500 | 0 | 0 |
| RAMCO-GERSHENSON PPTYS TR | COM SH BEN INT | 751452202 | 251 | 16,149 | SH | | DFND | 1 | 16,149 | 0 | 0 |
| RAYTHEON CO | COM NEW | 755111507 | 4,992 | 75,500 | SH | | DFND | 1 | 75,500 | 0 | 0 |
| RESEARCH IN MOTION LTD | COM | 760975102 | 366 | 35,000 | SH | | DFND | 2 | 35,000 | 0 | 0 |
| RESEARCH IN MOTION LTD | COM | 760975102 | 157 | 15,000 | SH | | DFND | | 15,000 | 0 | 0 |
| REVOLUTION LIGHTING TECHNOLO | COM | 76155G107 | 8,547 | 2,136,752 | SH | | DFND | 1 | 2,136,752 | 0 | 0 |
| REVOLUTION LIGHTING TECHNOLO | COM | 76155G107 | 8,547 | 2,136,752 | SH | | DFND | 2 | 2,136,752 | 0 | 0 |
| RUDOLPH TECHNOLOGIES INC | COM | 781270103 | 201 | 17,986 | SH | | DFND | 1 | 17,986 | 0 | 0 |
| SOUTHWEST AIRLS CO | COM | 844741108 | 3,158 | 245,000 | SH | | DFND | 2 | 245,000 | 0 | 0 |
| STAPLES INC | COM | 855030102 | 3,968 | 250,000 | SH | | DFND | 1 | 250,000 | 0 | 0 |
| STARWOOD PPTY TR INC | COM | 85571B105 | 743 | 30,000 | SH | | DFND | 1 | 30,000 | 0 | 0 |
| STEWART INFORMATION SVCS COR | COM | 860372101 | 214 | 8,187 | SH | | DFND | 1 | 8,187 | 0 | 0 |
| STONERIDGE INC | COM | 86183P102 | 192 | 16,507 | SH | | DFND | 1 | 16,507 | 0 | 0 |
| SYSCO CORP | COM | 871829107 | 649 | 19,000 | SH | | DFND | 1 | 19,000 | 0 | 0 |
| TARGA RESOURCES PARTNERS LP | COM UNIT | 87611X105 | 656 | 13,000 | SH | | DFND | | 13,000 | 0 | 0 |
| TARGET CORP | COM | 87612E106 | 9,640 | 140,000 | SH | | DFND | 1 | 140,000 | 0 | 0 |
| TECK RESOURCES LTD | CL B | 878742204 | 1,007 | 47,100 | SH | | DFND | 1 | 47,100 | 0 | 0 |
| TECK RESOURCES LTD | CL B | 878742204 | 1,432 | 67,000 | SH | | DFND | 1 | 67,000 | 0 | 0 |
| THOMSON REUTERS CORP | COM | 884903105 | 586 | 18,000 | SH | | DFND | 1 | 18,000 | 0 | 0 |
| 3M CO | COM | 88579Y101 | 13,286 | 121,500 | SH | | DFND | 1 | 121,500 | 0 | 0 |
| TORTOISE ENERGY CAP CORP | COM | 89147U100 | 893 | 25,800 | SH | | DFND | 1 | 25,800 | 0 | 0 |
| TORTOISE ENERGY CAP CORP | COM | 89147U100 | 2,972 | 85,900 | SH | | DFND | 2 | 85,900 | 0 | 0 |
| TWO HBRS INVT CORP | COM | 90187B101 | 1,076 | 105,000 | SH | | DFND | 1 | 105,000 | 0 | 0 |
| TWO HBRS INVT CORP | COM | 90187B101 | 4,305 | 420,000 | SH | | DFND | 1 | 420,000 | 0 | 0 |
| TWO HBRS INVT CORP | COM | 90187B101 | 1,281 | 125,000 | SH | | DFND | 2 | 125,000 | 0 | 0 |
| URS CORP NEW | COM | 903236107 | 236 | 4,994 | SH | | DFND | 1 | 4,994 | 0 | 0 |
| UNITED CONTL HLDGS INC | COM | 910047109 | 4,068 | 130,024 | SH | | DFND | 1 | 130,024 | 0 | 0 |
| UNITED CONTL HLDGS INC | COM | 910047109 | 3,598 | 115,000 | SH | | DFND | 2 | 115,000 | 0 | 0 |
| UNITED CONTL HLDGS INC | COM | 910047109 | 1,721 | 55,000 | SH | | DFND | 2 | 55,000 | 0 | 0 |
| VANGUARD INDEX FDS | REIT ETF | 922908553 | 323 | 4,694 | SH | | DFND | 1 | 4,694 | 0 | 0 |
| VERISK ANALYTICS INC | CL A | 92345Y106 | 23,121 | 387,291 | SH | | DFND | 1 | 387,291 | 0 | 0 |
| VIACOM INC NEW | CL B | 92553P201 | 4,762 | 70,000 | SH | | DFND | | 70,000 | 0 | 0 |
| VODAFONE GROUP PLC NEW | SPONS ADR NEW | 92857W209 | 10,506 | 365,500 | SH | | DFND | 2 | 365,500 | 0 | 0 |
| VODAFONE GROUP PLC NEW | SPONS ADR NEW | 92857W209 | 2,716 | 94,500 | SH | | DFND | | 94,500 | 0 | 0 |
| VOLTARI CORP | COM NEW | 92870X309 | 20 | 5,652 | SH | | DFND | 1 | 5,652 | 0 | 0 |
| VOLTARI CORP | COM NEW | 92870X309 | 30 | 8,478 | SH | | DFND | 2 | 8,478 | 0 | 0 |
| WABASH NATL CORP | COM | 929566107 | 207 | 20,309 | SH | | DFND | 1 | 20,309 | 0 | 0 |
| WAL-MART STORES INC | COM | 931142103 | 8,939 | 120,000 | SH | | DFND | 1 | 120,000 | 0 | 0 |
| WALGREEN CO | COM | 931422109 | 10,895 | 246,500 | SH | | DFND | 1 | 246,500 | 0 | 0 |
| WASTE MGMT INC DEL | COM | 94106L109 | 18,548 | 459,900 | SH | | DFND | 1 | 459,900 | 0 | 0 |
| WELLS FARGO & CO NEW | COM | 949746101 | 14,032 | 340,000 | SH | | DFND | 1 | 340,000 | 0 | 0 |
| WISCONSIN ENERGY CORP | COM | 976657106 | 656 | 16,000 | SH | | DFND | 1 | 16,000 | 0 | 0 |
