Executive Vice President, General Counsel and Secretary

0001104659-18-033468.txt : 20180515 0001104659-18-033468.hdr.sgml : 20180515 20180515163050 ACCESSION NUMBER: 0001104659-18-033468 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180515 DATE AS OF CHANGE: 20180515 EFFECTIVENESS DATE: 20180515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hilltop Holdings Inc. CENTRAL INDEX KEY: 0001265131 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 841477939 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15359 FILM NUMBER: 18837021 BUSINESS ADDRESS: STREET 1: 2323 VICTORY AVENUE STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75219 BUSINESS PHONE: 214.855.2177 MAIL ADDRESS: STREET 1: 2323 VICTORY AVENUE STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75219 FORMER COMPANY: FORMER CONFORMED NAME: AFFORDABLE RESIDENTIAL COMMUNITIES INC DATE OF NAME CHANGE: 20030929 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001265131 XXXXXXXX 03-31-2018 03-31-2018 false Hilltop Holdings Inc.

2323 Victory Avenue Suite 1400 Dallas TX 75219

13F HOLDINGS REPORT 028-15359 N Corey G. Prestidge Executive Vice President, General Counsel and Secretary 214-855-2177 /s/ Corey G. Prestidge Dallas TX 05-15-2018 4 613 572024 false 1 0001569620 028-15365 PlainsCapital Corp 2 0001534401 028-15369 PlainsCapital Bank 3 0000878520 Hilltop Securities Holdings LLC 4 0000891055 HILLTOP SECURITIES INC. 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ISHARES TR MSCI EAFE ETF 464287465 237 3401 SH DFND 3,4 0 0 3401 ISHARES TR MSCI EMG MKT ETF 464287234 54 1119 SH DFND 3,4 0 0 1119 ISHARES TR RESIDNL REAL EST 464288562 530 9193 SH DFND 3,4 0 0 9193 ISHARES TR RUS 1000 GRW ETF 464287614 1 6 SH DFND 3,4 0 0 6 ISHARES TR RUSSELL 2000 ETF 464287655 154 1012 SH DFND 3,4 0 0 1012 ISHARES TR S&P MC 400GR ETF 464287606 5 24 SH DFND 3,4 0 0 24 ISHARES TR S&P US PFD STK 464288687 15 400 SH DFND 3,4 0 0 400 ISHARES TR SELECT DIVID ETF 464287168 758 7973 SH DFND 3,4 0 0 7973 ISHARES TR SHORT TREAS BD 464288679 1742 15787 SH DFND 3,4 0 0 15787 ISHARES TR SHRT NAT MUN ETF 464288158 949 9050 SH DFND 3,4 0 0 9050 ISHARES TR TIPS BD ETF 464287176 954 8440 SH DFND 3,4 0 0 8440 ISHARES TR U.S. REAL ES ETF 464287739 255 3378 SH DFND 3,4 0 0 3378 ISHARES TR US HOME CONS ETF 464288752 12 300 SH DFND 3,4 0 0 300 ISHARES TR USA MOMENTUM FCT 46432F396 13243 125026 SH DFND 3,4 0 0 125026 ISHARES TR 1 3 YR CR BD ETF 464288646 5380 51827 SH DFND 1,2 51609 0 218 ISHARES TR 1 3 YR TREAS BD 464287457 9303 111333 SH DFND 1,2 110197 0 1136 ISHARES TR 20 YR TR BD ETF 464287432 1980 16242 SH DFND 1,2 16080 0 162 ISHARES TR 3 7 YR TREAS BD 464288661 403 3341 SH DFND 1,2 3341 0 0 ISHARES TR CORE 1 5 YR USD 46432F859 1392 28215 SH DFND 1,2 28136 0 79 ISHARES TR CORE S&P MCP ETF 464287507 1435 7653 SH DFND 1,2 7646 0 7 ISHARES TR CORE S&P SCP ETF 464287804 3136 40723 SH DFND 1,2 40723 0 0 ISHARES TR CORE S&P500 ETF 464287200 517 1949 SH DFND 1,2 1949 0 0 ISHARES TR IBOXX INV CP ETF 464287242 2540 21639 SH DFND 1,2 21479 0 160 ISHARES TR INTL SEL DIV ETF 464288448 1410 42709 SH DFND 1,2 42470 0 239 ISHARES TR JPMORGAN USD EMG 464288281 206 1824 SH DFND 1,2 1824 0 0 ISHARES TR MBS ETF 464288588 2023 19339 SH DFND 1,2 19299 0 40 ISHARES TR MSCI EAFE ETF 464287465 3219 46202 SH DFND 1,2 46202 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 406 8404 SH DFND 1,2 5736 0 2668 ISHARES TR MSCI EURO FL ETF 464289180 316 13679 SH DFND 1,2 13679 0 0 ISHARES TR MSCI KLD400 SOC 464288570 557 5705 SH DFND 1,2 5705 0 0 ISHARES TR RUS 1000 ETF 464287622 1217 8289 SH DFND 1,2 8289 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 6474 47565 SH DFND 1,2 47443 0 122 ISHARES TR RUS 2000 GRW ETF 464287648 2243 11768 SH DFND 1,2 11768 0 0 ISHARES TR RUS MID CAP ETF 464287499 791 3832 SH DFND 1,2 3832 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1922 12661 SH DFND 1,2 12661 0 0 ISHARES TR RUSSELL 3000 ETF 464287689 347 2218 SH DFND 1,2 2218 0 0 ISHARES TR S&P MC 400GR ETF 464287606 336 1540 SH DFND 1,2 1540 0 0 ISHARES TR S&P MC 400VL ETF 464287705 234 1515 SH DFND 1,2 1515 0 0 ISHARES TR S&P US PFD STK 464288687 4825 128456 SH DFND 1,2 127432 400 624 ISHARES TR SELECT DIVID ETF 464287168 297 3126 SH DFND 1,2 3126 0 0 ISHARES TR US HOME CONS ETF 464288752 1811 45876 SH DFND 1,2 45383 0 493 JOHNSON & JOHNSON COM 478160104 2063 16097 SH DFND 3,4 0 0 16097 JOHNSON & JOHNSON COM 478160104 1408 10988 SH DFND 1,2 10910 78 0 JPMORGAN CHASE & CO COM 46625H100 2051 18651 SH DFND 3,4 0 0 18651 JPMORGAN CHASE & CO COM 46625H100 486 4416 SH DFND 1,2 4416 0 0 KAYNE ANDERSON MLP INVT CO COM 486606106 1542 93656 SH DFND 1,2 93656 0 0 KIMBERLY CLARK CORP COM 494368103 483 4389 SH DFND 3,4 0 0 4389 KIMBERLY CLARK CORP COM 494368103 852 7740 SH DFND 1,2 7560 180 0 KNOWLES CORP COM 49926D109 334 26570 SH DFND 1,2 26448 0 122 KRAFT HEINZ CO COM 500754106 357 5725 SH DFND 3,4 0 0 5725 KRAFT HEINZ CO COM 500754106 141 2272 SH DFND 1,2 2272 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 292 1808 SH DFND 3,4 0 0 1808 LABORATORY CORP AMER HLDGS COM NEW 50540R409 31 192 SH DFND 1,2 192 0 0 LAM RESEARCH CORP COM 512807108 337 1661 SH DFND 3,4 0 0 1661 LAM RESEARCH CORP COM 512807108 363 1788 SH DFND 1,2 1788 0 0 LEGGETT & PLATT INC COM 524660107 41 913 SH DFND 3,4 0 0 913 LEGGETT & PLATT INC COM 524660107 159 3578 SH DFND 1,2 3543 35 0 LILLY ELI & CO COM 532457108 252 3261 SH DFND 3,4 0 0 3261 LILLY ELI & CO COM 532457108 36 471 SH DFND 1,2 471 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 90 24322 SH DFND 1,2 24322 0 0 LOCKHEED MARTIN CORP COM 539830109 3113 9212 SH DFND 3,4 0 0 9212 LOCKHEED MARTIN CORP COM 539830109 816 2413 SH DFND 1,2 2386 27 0 LOWES COS INC COM 548661107 123 1400 SH DFND 3,4 0 0 1400 LOWES COS INC COM 548661107 188 2142 SH DFND 1,2 2142 0 0 MARSH & MCLENNAN COS INC COM 571748102 291 3518 SH DFND 3,4 0 0 3518 MARSH & MCLENNAN COS INC COM 571748102 49 588 SH DFND 1,2 588 0 0 MASCO CORP COM 574599106 309 7651 SH DFND 3,4 0 0 7651 MASCO CORP COM 574599106 9 226 SH DFND 1,2 226 0 0 MASTERCARD INCORPORATED CL A 57636Q104 873 4982 SH DFND 3,4 0 0 4982 MASTERCARD INCORPORATED CL A 57636Q104 672 3836 SH DFND 1,2 3711 0 125 MAXIM INTEGRATED PRODS INC COM 57772K101 13 216 SH DFND 3,4 0 0 216 MAXIM INTEGRATED PRODS INC COM 57772K101 205 3401 SH DFND 1,2 3401 0 0 MAXIMUS INC COM 577933104 237 3558 SH DFND 1,2 3340 0 218 MB FINANCIAL INC NEW COM 55264U108 330 8150 SH DFND 3,4 0 0 8150 MCCORMICK & CO INC COM NON VTG 579780206 153 1440 SH DFND 3,4 0 0 1440 MCCORMICK & CO INC COM NON VTG 579780206 73 684 SH DFND 1,2 684 0 0 MCDONALDS CORP COM 580135101 751 4800 SH DFND 3,4 0 0 4800 MCDONALDS CORP COM 580135101 1094 6998 SH DFND 1,2 6998 0 0 MERCK & CO INC COM 58933Y105 170 3128 SH DFND 3,4 0 0 3128 MERCK & CO INC COM 58933Y105 1106 20293 SH DFND 1,2 19852 441 0 MICROSOFT CORP COM 594918104 2527 27682 SH DFND 3,4 0 0 27682 MICROSOFT CORP COM 594918104 1501 16447 SH DFND 1,2 16351 46 50 MIDDLEBY CORP COM 596278101 335 2708 SH DFND 1,2 2575 0 133 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 102 15419 SH DFND 1,2 15419 0 0 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 52 13985 SH DFND 1,2 13985 0 0 MORGAN STANLEY COM NEW 617446448 144 2666 SH DFND 3,4 0 0 2666 MORGAN STANLEY COM NEW 617446448 133 2474 SH DFND 1,2 2474 0 0 MOTUS GI HLDGS INC COM 62014P108 502 112100 SH DFND 3,4 0 0 112100 MURPHY USA INC COM 626755102 1076 14776 SH DFND 1,2 14648 0 128 NATIONAL GRID PLC SPONSORED ADR NE 636274409 6 114 SH DFND 3,4 0 0 114 NATIONAL GRID PLC SPONSORED ADR NE 636274409 957 16960 SH DFND 1,2 16381 579 0 NETFLIX INC COM 64110L106 908 3073 SH DFND 3,4 0 0 3073 NETFLIX INC COM 64110L106 510 1727 SH DFND 1,2 1727 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 179 10877 SH DFND 1,2 10752 125 0 NEWFIELD EXPL CO COM 651290108 575 23578 SH DFND 1,2 23196 0 382 NEXTERA ENERGY INC COM 65339F101 54 330 SH DFND 3,4 0 0 330 NEXTERA ENERGY INC COM 65339F101 388 2378 SH DFND 1,2 2378 0 0 NGL ENERGY PARTNERS LP COM UNIT REPST 62913M107 121 11000 SH DFND 3,4 0 0 11000 NORFOLK SOUTHERN CORP COM 655844108 296 2177 SH DFND 3,4 0 0 2177 NORFOLK SOUTHERN CORP COM 655844108 36 268 SH DFND 1,2 268 0 0 NORTHROP GRUMMAN CORP COM 666807102 1110 3178 SH DFND 3,4 0 0 3178 NORTHROP GRUMMAN CORP COM 666807102 288 824 SH DFND 1,2 824 0 0 NOVARTIS A G SPONSORED ADR 66987V109 14 167 SH DFND 3,4 0 0 167 NOVARTIS A G SPONSORED ADR 66987V109 301 3728 SH DFND 1,2 3728 0 0 NOVO-NORDISK A S ADR 670100205 431 8757 SH DFND 1,2 8667 0 90 NUVEEN MUN VALUE FD INC COM 670928100 220 23281 SH DFND 3,4 0 0 23281 NUVEEN MUN VALUE FD INC COM 670928100 122 12879 SH DFND 1,2 12879 0 0 NVIDIA CORP COM 67066G104 183 790 SH DFND 3,4 0 0 790 NVIDIA CORP COM 67066G104 144 621 SH DFND 1,2 621 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 22 339 SH DFND 3,4 0 0 339 OCCIDENTAL PETE CORP DEL COM 674599105 1013 15594 SH DFND 1,2 15110 484 0 OGE ENERGY CORP COM 670837103 138 4200 SH DFND 3,4 0 0 4200 OGE ENERGY CORP COM 670837103 566 17276 SH DFND 1,2 16971 0 305 OLD REP INTL CORP COM 680223104 373 17421 SH DFND 1,2 17261 160 0 OLLIES BARGAIN OUTLT HLDGS I COM 681116109 260 4306 SH DFND 3,4 0 0 4306 ONEOK INC NEW COM 682680103 81 1418 SH DFND 3,4 0 0 1418 ONEOK INC NEW COM 682680103 254 4459 SH DFND 1,2 4449 10 0 ORGANOVO HLDGS INC COM 68620A104 22 20981 SH DFND 3,4 0 0 20981 OWENS CORNING NEW COM 690742101 261 3237 SH DFND 1,2 3237 0 0 PACER FDS TR TRENDP 100 ETF 69374H303 980 31506 SH DFND 3,4 0 0 31506 PACER FDS TR TRENDP US LAR CP 69374H105 993 35016 SH DFND 3,4 0 0 35016 PACER FDS TR TRENDP US MID CP 69374H204 1023 33165 SH DFND 3,4 0 0 33165 PAGSEGURO DIGITAL LTD COM CL A G68707101 283 7382 SH DFND 3,4 0 0 7382 PARATEK PHARMACEUTICALS INC COM 699374302 486 37400 SH DFND 3,4 0 0 37400 PAYCHEX INC COM 704326107 34 559 SH DFND 3,4 0 0 559 PAYCHEX INC COM 704326107 172 2802 SH DFND 1,2 2802 0 0 PAYCOM SOFTWARE INC COM 70432V102 458 4261 SH DFND 3,4 0 0 4261 PAYPAL HLDGS INC COM 70450Y103 655 8634 SH DFND 3,4 0 0 8634 PAYPAL HLDGS INC COM 70450Y103 142 1878 SH DFND 1,2 1878 0 0 PENTAIR PLC SHS G7S00T104 885 12987 SH DFND 1,2 12811 0 176 PEOPLES UNITED FINANCIAL INC COM 712704105 862 46251 SH DFND 1,2 45801 450 0 PEPSICO INC COM 713448108 411 3768 SH DFND 3,4 0 0 3768 PEPSICO INC COM 713448108 960 8792 SH DFND 1,2 8406 105 281 PFIZER INC COM 717081103 454 12794 SH DFND 3,4 0 0 12794 PFIZER INC COM 717081103 746 21030 SH DFND 1,2 21030 0 0 PHILIP MORRIS INTL INC COM 718172109 747 7517 SH DFND 3,4 0 0 7517 PHILIP MORRIS INTL INC COM 718172109 2525 25399 SH DFND 1,2 25127 272 0 PHILLIPS 66 COM 718546104 200 2088 SH DFND 3,4 0 0 2088 PHILLIPS 66 COM 718546104 511 5333 SH DFND 1,2 5160 0 173 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 506 4979 SH DFND 3,4 0 0 4979 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 31979 314911 SH DFND 1,2 311098 0 3813 POLARIS INDS INC COM 731068102 1487 12979 SH DFND 1,2 12889 0 90 POWERSHARES ETF TR II TXBLE MUN PRTFLO 73937B407 1203 39928 SH DFND 3,4 0 0 39928 POWERSHARES ETF TR II VAR RATE PFD POR 73937B597 1319 52406 SH DFND 3,4 0 0 52406 POWERSHARES ETF TR II KBW BK PORT 73937B746 950 17293 SH DFND 1,2 17219 0 74 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 228 2071 SH DFND 3,4 0 0 2071 POWERSHARES ETF TRUST S&P 500 QLTY PRT 73935X682 4914 164690 SH DFND 3,4 0 0 164690 POWERSHARES ETF TRUST WATER RES PORT 73935X575 6 200 SH DFND 3,4 0 0 200 POWERSHARES ETF TRUST DYN SEMCT PORT 73935X781 1996 37785 SH DFND 1,2 37386 0 399 POWERSHARES ETF TRUST WATER RES PORT 73935X575 914 30000 SH DFND 1,2 30000 0 0 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 376 16363 SH DFND 3,4 0 0 16363 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 608 26290 SH DFND 3,4 0 0 26290 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 256 11168 SH DFND 1,2 11168 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 334 14460 SH DFND 1,2 14460 0 0 POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 5893 279533 SH DFND 3,4 0 0 279533 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1400 8745 SH DFND 3,4 0 0 8745 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 4857 30330 SH DFND 1,2 30330 0 0 PPG INDS INC COM 693506107 222 1993 SH DFND 3,4 0 0 1993 PPG INDS INC COM 693506107 69 616 SH DFND 1,2 616 0 0 PPL CORP COM 69351T106 9 323 SH DFND 3,4 0 0 323 PPL CORP COM 69351T106 741 26198 SH DFND 1,2 25729 469 0 PROCTER AND GAMBLE CO COM 742718109 1090 13744 SH DFND 3,4 0 0 13744 PROCTER AND GAMBLE CO COM 742718109 1196 15091 SH DFND 1,2 14713 378 0 PRUDENTIAL FINL INC COM 744320102 26 250 SH DFND 3,4 0 0 250 PRUDENTIAL FINL INC COM 744320102 568 5486 SH DFND 1,2 5435 51 0 PUBLIC STORAGE COM 74460D109 65 322 SH DFND 3,4 0 0 322 PUBLIC STORAGE COM 74460D109 636 3175 SH DFND 1,2 3071 104 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 591 11749 SH DFND 1,2 11442 307 0 PVH CORP COM 693656100 382 2521 SH DFND 3,4 0 0 2521 PVH CORP COM 693656100 179 1184 SH DFND 1,2 1184 0 0 QUALCOMM INC COM 747525103 11 200 SH DFND 3,4 0 0 200 QUALCOMM INC COM 747525103 295 5332 SH DFND 1,2 5332 0 0 QUEST DIAGNOSTICS INC COM 74834L100 209 2087 SH DFND 1,2 2087 0 0 RAYTHEON CO COM NEW 755111507 1946 9015 SH DFND 3,4 0 0 9015 RAYTHEON CO COM NEW 755111507 120 557 SH DFND 1,2 557 0 0 REALTY INCOME CORP COM 756109104 36 700 SH DFND 3,4 0 0 700 REALTY INCOME CORP COM 756109104 437 8447 SH DFND 1,2 8257 190 0 RIO TINTO PLC SPONSORED ADR 767204100 160 3110 SH DFND 3,4 0 0 3110 RIO TINTO PLC SPONSORED ADR 767204100 235 4567 SH DFND 1,2 4567 0 0 ROSS STORES INC COM 778296103 290 3720 SH DFND 3,4 0 0 3720 ROSS STORES INC COM 778296103 47 609 SH DFND 1,2 609 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 124 1610 SH DFND 3,4 0 0 1610 ROYAL BK CDA MONTREAL QUE COM 780087102 127 1643 SH DFND 1,2 1643 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 88 1342 SH DFND 3,4 0 0 1342 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 196 2987 SH DFND 1,2 2987 0 0 RYDEX ETF TRUST GUGGENHM S&P 500 78355W205 213 1138 SH DFND 3,4 0 0 1138 SABINE ROYALTY TR UNIT BEN INT 785688102 440 10000 SH DFND 1,2 10000 0 0 SANGAMO THERAPEUTICS INC COM 800677106 406 21360 SH DFND 3,4 0 0 21360 SANOFI SPONSORED ADR 80105N105 6 155 SH DFND 3,4 0 0 155 SANOFI SPONSORED ADR 80105N105 940 23456 SH DFND 1,2 22681 775 0 SCHLUMBERGER LTD COM 806857108 168 2600 SH DFND 3,4 0 0 2600 SCHLUMBERGER LTD COM 806857108 197 3035 SH DFND 1,2 2985 50 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 316 4681 SH DFND 3,4 0 0 4681 SELECT SECTOR SPDR TR ENERGY 81369Y506 2225 33000 SH DFND 33000 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 4204 135256 SH DFND 3,4 0 0 135256 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 57 1120 SH DFND 3,4 0 0 1120 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 144 2841 SH DFND 1,2 2841 0 0 SHERWIN WILLIAMS CO COM 824348106 26 66 SH DFND 3,4 0 0 66 SHERWIN WILLIAMS CO COM 824348106 497 1266 SH DFND 1,2 1214 0 52 SHOPIFY INC CL A 82509L107 201 1610 SH DFND 1,2 1610 0 0 SONY CORP SPONSORED ADR 835699307 223 4607 SH DFND 1,2 4607 0 0 SOUTHERN CO COM 842587107 382 8561 SH DFND 3,4 0 0 8561 SOUTHERN CO COM 842587107 821 18398 SH DFND 1,2 18025 373 0 SOUTHWEST AIRLS CO COM 844741108 15 260 SH DFND 3,4 0 0 260 SOUTHWEST AIRLS CO COM 844741108 369 6446 SH DFND 1,2 6446 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1533 6350 SH DFND 3,4 0 0 6350 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1932 8000 SH Call DFND 3,4 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1139 9057 SH DFND 3,4 0 0 9057 SPDR GOLD TRUST GOLD SHS 78463V107 371 2953 SH DFND 1,2 2953 0 0 SPDR INDEX SHS FDS MSCI EMRG MKTS 78463X426 5539 84506 SH DFND 3,4 0 0 84506 SPDR S&P 500 ETF TR TR UNIT 78462F103 2080 7906 SH DFND 3,4 0 0 7906 SPDR S&P 500 ETF TR TR UNIT 78462F103 2763 10500 SH DFND 10500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4992 18969 SH DFND 1,2 18969 0 0 SPDR SER TR BLOMBERG BRC INV 78468R200 2401 78138 SH DFND 3,4 0 0 78138 SPDR SER TR BLOOMBERG SRT TR 78468R408 3157 115404 SH DFND 1,2 114835 0 569 SPDR SERIES TRUST BLOMBRG BRC MRTG 78464A383 771 30057 SH DFND 3,4 0 0 30057 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 2095 62459 SH DFND 3,4 0 0 62459 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 6597 198953 SH DFND 3,4 0 0 198953 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2602 26158 SH DFND 3,4 0 0 26158 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 800 22321 SH DFND 1,2 22321 0 0 SPLUNK INC COM 848637104 323 3286 SH DFND 3,4 0 0 3286 STANLEY BLACK & DECKER INC COM 854502101 223 1453 SH DFND 1,2 1453 0 0 STARBUCKS CORP COM 855244109 61 1046 SH DFND 3,4 0 0 1046 STARBUCKS CORP COM 855244109 561 9694 SH DFND 1,2 9407 0 287 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 112 13231 SH DFND 1,2 13231 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 241 5252 SH DFND 3,4 0 0 5252 SUPERNUS PHARMACEUTICALS INC COM 868459108 11 245 SH DFND 1,2 245 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 112 2558 SH DFND 3,4 0 0 2558 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 197 4508 SH DFND 1,2 4508 0 0 TARGET CORP COM 87612E106 29 418 SH DFND 3,4 0 0 418 TARGET CORP COM 87612E106 232 3348 SH DFND 1,2 3307 41 0 TEXAS INSTRS INC COM 882508104 138 1325 SH DFND 3,4 0 0 1325 TEXAS INSTRS INC COM 882508104 587 5654 SH DFND 1,2 5603 51 0 THERMO FISHER SCIENTIFIC INC COM 883556102 44 213 SH DFND 3,4 0 0 213 THERMO FISHER SCIENTIFIC INC COM 883556102 623 3015 SH DFND 1,2 2891 0 124 THOR INDS INC COM 885160101 332 2879 SH DFND 3,4 0 0 2879 THOR INDS INC COM 885160101 1349 11716 SH DFND 1,2 11552 0 164 TIMKEN CO COM 887389104 821 18007 SH DFND 1,2 17816 0 191 TJX COS INC NEW COM 872540109 348 4261 SH DFND 3,4 0 0 4261 TJX COS INC NEW COM 872540109 522 6399 SH DFND 1,2 6129 0 270 TOTAL S A SPONSORED ADR 89151E109 3 48 SH DFND 3,4 0 0 48 TOTAL S A SPONSORED ADR 89151E109 1205 20900 SH DFND 1,2 20412 488 0 TRANSOCEAN LTD REG SHS H8817H100 2005 202491 SH DFND 3,4 0 0 202491 TRAVELERS COMPANIES INC COM 89417E109 337 2425 SH DFND 3,4 0 0 2425 TRAVELERS COMPANIES INC COM 89417E109 26 190 SH DFND 1,2 190 0 0 TRINITY INDS INC COM 896522109 29 900 SH DFND 3,4 0 0 900 TRINITY INDS INC COM 896522109 654 20045 SH DFND 1,2 19869 0 176 TWITTER INC COM 90184L102 363 12500 SH DFND 3,4 0 0 12500 TWITTER INC COM 90184L102 116 4000 SH Call DFND 3,4 0 0 0 UBS AG JERSEY BRH ETRAC WELLS BDCI 902641588 457 23113 SH DFND 1,2 22918 0 195 UNILEVER PLC SPON ADR NEW 904767704 62 1109 SH DFND 3,4 0 0 1109 UNILEVER PLC SPON ADR NEW 904767704 180 3240 SH DFND 1,2 3240 0 0 UNION PAC CORP COM 907818108 670 4984 SH DFND 3,4 0 0 4984 UNION PAC CORP COM 907818108 578 4301 SH DFND 1,2 4130 0 171 UNITED PARCEL SERVICE INC CL B 911312106 79 758 SH DFND 3,4 0 0 758 UNITED PARCEL SERVICE INC CL B 911312106 359 3431 SH DFND 1,2 3301 130 0 UNITED RENTALS INC COM 911363109 480 2778 SH DFND 3,4 0 0 2778 UNITED STATES STL CORP NEW COM 912909108 1762 50060 SH DFND 3,4 0 0 50060 UNITED TECHNOLOGIES CORP COM 913017109 189 1505 SH DFND 3,4 0 0 1505 UNITED TECHNOLOGIES CORP COM 913017109 798 6345 SH DFND 1,2 6166 30 149 UNITEDHEALTH GROUP INC COM 91324P102 948 4431 SH DFND 3,4 0 0 4431 UNITEDHEALTH GROUP INC COM 91324P102 218 1015 SH DFND 1,2 1015 0 0 US BANCORP DEL COM NEW 902973304 118 2340 SH DFND 3,4 0 0 2340 US BANCORP DEL COM NEW 902973304 96 1906 SH DFND 1,2 1906 0 0 VALE S A ADR 91912E105 111 8750 SH DFND 3,4 0 0 8750 VALE S A ADR 91912E105 47 3669 SH DFND 1,2 3669 0 0 VALERO ENERGY CORP NEW COM 91913Y100 48 518 SH DFND 3,4 0 0 518 VALERO ENERGY CORP NEW COM 91913Y100 526 5674 SH DFND 1,2 5655 19 0 VANECK VECTORS ETF TR AMT FREE INT ETF 92189F544 443 18833 SH DFND 3,4 0 0 18833 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 354 16116 SH DFND 3,4 0 0 16116 VANECK VECTORS ETF TR EMERGING MKTS HI 92189F353 4247 176667 SH DFND 1,2 175692 0 975 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 963 7597 SH DFND 3,4 0 0 7597 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 25028 313119 SH DFND 3,4 0 0 313119 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 570 7266 SH DFND 1,2 7266 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2 25 SH DFND 1,2 25 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 53 976 SH DFND 3,4 0 0 976 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 20052 366452 SH DFND 1,2 363775 0 2677 VANGUARD INDEX FDS GROWTH ETF 922908736 420 2960 SH DFND 3,4 0 0 2960 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 888 11768 SH DFND 3,4 0 0 11768 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 859 3550 SH DFND 3,4 0 0 3550 VANGUARD INDEX FDS SMALL CP ETF 922908751 946 6437 SH DFND 3,4 0 0 6437 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1043 7687 SH DFND 3,4 0 0 7687 VANGUARD INDEX FDS VALUE ETF 922908744 15264 147935 SH DFND 3,4 0 0 147935 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 231 3062 SH DFND 1,2 3062 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 37 153 SH DFND 1,2 153 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 43 318 SH DFND 1,2 318 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 123 1574 SH DFND 3,4 0 0 1574 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3601 45915 SH DFND 1,2 45619 0 296 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 535 6490 SH DFND 3,4 0 0 6490 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 201 2900 SH DFND 3,4 0 0 2900 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 2465 16053 SH DFND 3,4 0 0 16053 VENTAS INC COM 92276F100 550 11089 SH DFND 1,2 10831 258 0 VERIZON COMMUNICATIONS INC COM 92343V104 483 10100 SH DFND 3,4 0 0 10100 VERIZON COMMUNICATIONS INC COM 92343V104 2119 44334 SH DFND 1,2 43159 1175 0 VISA INC COM CL A 92826C839 1383 11560 SH DFND 3,4 0 0 11560 VISA INC COM CL A 92826C839 718 6006 SH DFND 1,2 5802 0 204 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 88 3150 SH DFND 3,4 0 0 3150 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1690 60781 SH DFND 1,2 58997 1784 0 VOYA FINL INC COM 929089100 234 4625 SH DFND 3,4 0 0 4625 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 85 11600 SH DFND 3,4 0 0 11600 WALGREENS BOOTS ALLIANCE INC COM 931427108 231 3526 SH DFND 1,2 3457 0 69 WALMART INC COM 931142103 354 3975 SH DFND 3,4 0 0 3975 WALMART INC COM 931142103 175 1970 SH DFND 1,2 1970 0 0 WASTE MGMT INC DEL COM 94106L109 85 1012 SH DFND 3,4 0 0 1012 WASTE MGMT INC DEL COM 94106L109 160 1899 SH DFND 1,2 1899 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 924 403454 SH DFND 3,4 0 0 403454 WELLS FARGO CO NEW COM 949746101 377 7193 SH DFND 3,4 0 0 7193 WELLS FARGO CO NEW COM 949746101 711 13558 SH DFND 1,2 13198 30 330 WELLTOWER INC COM 95040Q104 7 130 SH DFND 3,4 0 0 130 WELLTOWER INC COM 95040Q104 606 11131 SH DFND 1,2 10806 325 0 WESTERN DIGITAL CORP COM 958102105 353 3826 SH DFND 3,4 0 0 3826 WESTERN DIGITAL CORP COM 958102105 66 718 SH DFND 1,2 718 0 0 WESTERN UN CO COM 959802109 640 33308 SH DFND 1,2 32946 0 362 WESTROCK CO COM 96145D105 828 12902 SH DFND 1,2 12717 0 185 WEYERHAEUSER CO COM 962166104 199 5696 SH DFND 3,4 0 0 5696 WEYERHAEUSER CO COM 962166104 19 533 SH DFND 1,2 533 0 0 WISDOMTREE TR CBOE S&P 500 97717X560 952 33726 SH DFND 3,4 0 0 33726 WISDOMTREE TR INTL EQUITY FD 97717W703 5262 95914 SH DFND 3,4 0 0 95914 XPO LOGISTICS INC COM 983793100 280 2746 SH DFND 3,4 0 0 2746 XYLEM INC COM 98419M100 398 5179 SH DFND 3,4 0 0 5179 XYLEM INC COM 98419M100 8 99 SH DFND 1,2 99 0 0 ZOETIS INC CL A 98978V103 204 2441 SH DFND 3,4 0 0 2441 ZOETIS INC CL A 98978V103 27 318 SH DFND 1,2 318 0 0