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 COVER PAGE |
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| 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: | Dorsey & Whitney Trust CO LLC |
| Address: | 401 EAST EIGHTH STREET, SUITE 319 |
| SIOUX FALLS, SD 57103 | |
| Form 13F File Number: | 028-12732 |
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: | CARL SCHMIDTMAN | |||
| Title: | PRESIDENT & COO | |||
| Phone: | 605-336-6832 | |||
| Signature, Place, and Date of Signing: | ||||
| CARL SCHMIDTMAN | SIOUX FALLS, SD | 11-10-2016 | ||
| [Signature] | [City, State] | [Date] | ||
| Report Type (Check only one.): | |
| 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).) | |
| X | 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 | ||
| 028-07342 | MAIRS AND POWER, INC. | ||
| 028-01911 | BAIRD ROBERT W & CO INC | ||
| 028-10799 | GENEVA INVESTMENT MANAGEMENT LLC | ||
| 028-13573 | NEUBERGER BERMAN GROUP LLC | ||
| 028-01222 | TWEEDY BROWNE CO LLC | ||
| 028-01707 | BAILARD, INC. | ||
| 028-10562 | ALLIANCEBERNSTEIN L.P. | ||
| 028-13935 | MORGAN STANLEY SMITH BARNEY LLC | ||
| 028-07602 | DAVIDSON DA & CO | ||
| 028-03143 | FOLGER NOLAN FLEMING DOUGLAS CAPITAL | ||
| 028-10663 | HAMLIN CAPITAL MANAGEMENT, LLC | ||
| 028-13411 | ENVESTNET ASSET MANAGEMENT INC | ||
| 028-14575 | CORNERSTONE ADVISORS, INC. | ||
| 028-11351 | CORTINA ASSET MANAGEMENT, LLC | ||
| 028-10981 | GOLDMAN SACHS ASSET MANAGEMENT | ||
| 028-05358 | LATEEF INVESTMENT MANAGEMENT, LP | ||
| 028-11873 | MORGAN STANLEY & CO. LLC | ||
| 028-14152 | MERISTEM, LLP | ||
| 028-04069 | RBC CAPITAL MARKETS, LLC | ||
| 028-12988 | FIRST WASHINGTON | ||
| 028-11925 | JP MORGAN SECURITIES PLC | ||
| 028-01398 | CAMBIAR INVESTORS LLC | ||
| 028-04558 | PARAMETIC PORTFOLIO ASSOCIATES LLC | ||
| 028-12552 | ZEVIN ASSET MANAGEMENT LLC | ||
| 028-03125 | TRILLIUM ASSET MANAGEMENT, LLC | ||
| 028-11964 | APERIO GROUP, LLC | ||
| 028-00551 | US BANCORP | ||
| 028-01887 | GAMCO INVESTORS, INC. ET AL | ||
| 028-04434 | HARDING LOEVNER LP | ||
| 028-16612 | UBS Group AG | ||
| 028-16385 | NORTHSIDE CAPITAL MANAGEMENT, LLC | ||
| 028-07104 | WCM INVESTMENT MANAGEMENT/CA | ||
| 028-04879 | REINHART PARTNERS, INC. | ||
| 028-02825 | BAHL & GAYNOR INC | ||
| 028-05434 | SCHWARTZ INVESTMENT COUNCEL INC | ||
| 028-03434 | CONGRESS ASSET MANAGEMENT CO | ||
| Form 13F Summary Page | |||||
| Report Summary: | |||||
| Number of Other Included Managers: | 36 | ||||
| Form 13F Information Table Entry Total: | 1,360 | ||||
| Form 13F Information Table Value Total: | 436,911 | ||||
| (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 | 028-07342 | MAIRS AND POWER, INC. | |
| 2 | 028-01911 | BAIRD ROBERT W & CO INC | |
| 3 | 028-13573 | NEUBERGER BERMAN GROUP LLC | |
| 4 | 028-10799 | GENEVA INVESTMENT MANAGEMENT LLC | |
| 6 | 028-10562 | ALLIANCEBERNSTEIN L.P. | |
| 5 | 028-01222 | TWEEDY BROWNE CO LLC | |
| 7 | 028-01707 | BAILARD, INC. | |
| 8 | 028-13935 | MORGAN STANLEY SMITH BARNEY LLC | |
| 9 | 028-03143 | FOLGER NOLAN FLEMING DOUGLAS CAPITAL | |
| 10 | 028-07602 | DAVIDSON DA & CO | |
| 12 | 028-14575 | CORNERSTONE ADVISORS, INC. | |
| 11 | 028-10663 | HAMLIN CAPITAL MANAGEMENT, LLC | |
| 13 | 028-13411 | ENVESTNET ASSET MANAGEMENT INC | |
| 14 | 028-11351 | CORTINA ASSET MANAGEMENT, LLC | |
| 15 | 028-05358 | LATEEF INVESTMENT MANAGEMENT, LP | |
| 16 | 028-10981 | GOLDMAN SACHS ASSET MANAGEMENT | |
| 18 | 028-04069 | RBC CAPITAL MARKETS, LLC | |
| 17 | 028-11873 | MORGAN STANLEY & CO. LLC | |
| 19 | 028-14152 | MERISTEM, LLP | |
| 20 | 028-12988 | FIRST WASHINGTON | |
| 21 | 028-01398 | CAMBIAR INVESTORS LLC | |
| 22 | 028-11925 | JP MORGAN SECURITIES PLC | |
| 24 | 028-03125 | TRILLIUM ASSET MANAGEMENT, LLC | |
| 23 | 028-04558 | PARAMETIC PORTFOLIO ASSOCIATES LLC | |
| 25 | 028-12552 | ZEVIN ASSET MANAGEMENT LLC | |
| 26 | 028-11964 | APERIO GROUP, LLC | |
| 27 | 028-01887 | GAMCO INVESTORS, INC. ET AL | |
| 28 | 028-00551 | US BANCORP | |
| 30 | 028-16385 | NORTHSIDE CAPITAL MANAGEMENT, LLC | |
| 29 | 028-04434 | HARDING LOEVNER LP | |
| 31 | 028-16612 | UBS Group AG | |
| 32 | 028-07104 | WCM INVESTMENT MANAGEMENT/CA | |
| 33 | 028-02825 | BAHL & GAYNOR INC | |
| 34 | 028-04879 | REINHART PARTNERS, INC. | |
| 36 | 028-03434 | CONGRESS ASSET MANAGEMENT CO | |
| 35 | 028-05434 | SCHWARTZ INVESTMENT COUNCEL INC | |