VP of Compliance

0001418870-14-000001.txt : 20140214 0001418870-14-000001.hdr.sgml : 20140214 20140214101811 ACCESSION NUMBER: 0001418870-14-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 EFFECTIVENESS DATE: 20140214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH HAYES Advisers, Inc CENTRAL INDEX KEY: 0001418870 IRS NUMBER: 470805744 STATE OF INCORPORATION: NE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12662 FILM NUMBER: 14611943 BUSINESS ADDRESS: STREET 1: 1225 L STREET STREET 2: SUITE 200 CITY: LINCOLN STATE: NE ZIP: 68508 BUSINESS PHONE: 402-476-3000 MAIL ADDRESS: STREET 1: 1225 L STREET STREET 2: SUITE 200 CITY: LINCOLN STATE: NE ZIP: 68508 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001418870 XXXXXXXX 12-31-2013 12-31-2013 SMITH HAYES Advisers, Inc

1225 L STREET SUITE 200 LINCOLN NE 68508

13F HOLDINGS REPORT 028-12662 N Teresa O'Grady VP of Compliance 402-476-3000 Teresa O'Grady Lincoln NE 02-14-2014 0 254 304327 false INFORMATION TABLE 2 13_12_13f_report.xml 13F-HR 3D Systems Corp Del Com New COM 88554d205 473 5095 SH SOLE 4000 0 1095 3M Co COM 88579y101 1212 8638 SH SOLE 0 0 8638 ACE Ltd COM h0023r105 336 3250 SH SOLE 0 0 3250 ACI Worldwide Inc COM 004498101 1430 22000 SH SOLE 15000 0 7000 AFLAC Inc COM 001055102 598 8958 SH SOLE 0 0 8958 AT&T Inc COM 00206r102 2039 58002 SH SOLE 0 0 58002 AbbVie Inc COM 00287y109 2155 40816 SH SOLE 0 0 40816 Abbott Laboratories COM 002824100 2031 52983 SH SOLE 0 0 52983 Adcare Health Sys Inc COM 00650w300 270 62816 SH SOLE 0 0 62816 Air Methods Corp. COM 009128307 336 5772 SH SOLE 0 0 5772 Air Products & Chemicals Inc COM 009158106 1026 9180 SH SOLE 0 0 9180 Allegheny Tech Inc COM 01741r102 976 27400 SH SOLE 8000 0 19400 Allstate Corp COM 020002101 271 4968 SH SOLE 0 0 4968 Altria Group Inc COM 02209s103 488 12712 SH SOLE 0 0 12712 Amazon.Com Inc COM 023135106 438 1098 SH SOLE 0 0 1098 Amer Intl Group Inc COM 026874784 1692 33142 SH SOLE 14000 0 19142 American Express Co COM 025816109 566 6239 SH SOLE 0 0 6239 American States Wtr Co COM 029899101 2858 99467 SH SOLE 0 0 99467 Anadarko Petroleum Corp COM 032511107 607 7647 SH SOLE 0 0 7647 Aon Plc Cl A COM g0408v102 579 6896 SH SOLE 0 0 6896 Apache Corporation COM 037411105 876 10194 SH SOLE 0 0 10194 Apple Computer Inc COM 037833100 3230 5758 SH SOLE 900 0 4858 Autodesk Inc COM 052769106 1798 35728 SH SOLE 22000 0 13728 Automatic Data Processing Inc COM 053015103 3416 42273 SH SOLE 0 0 42273 BB&T Corp COM 054937107 556 14886 SH SOLE 0 0 14886 Ballantyne Omaha Inc COM 058516105 150 32500 SH SOLE 0 0 32500 Bank Comm Holdings COM 06424j103 63 11119 SH SOLE 0 0 11119 Bank of America Corp COM 060505104 246 15816 SH SOLE 0 0 15816 Baxter International COM 071813109 476 6843 SH SOLE 0 0 6843 Becton Dickinson & Company COM 075887109 4037 36536 SH SOLE 0 0 36536 Berkshire Hathaway Inc Cl B Ne COM 084670702 10454 88177 SH SOLE 0 0 88177 Berkshire Hathaway Inc Class A COM 084670108 6227 35 SH SOLE 0 0 35 Big Lots Inc COM 089302103 329 10200 SH SOLE 0 0 10200 Boeing Company COM 097023105 3570 26156 SH SOLE 5000 0 21156 BorgWarner Inc COM 099724106 2927 52352 SH SOLE 14000 0 38352 Boston Scientific Corp COM 101137107 267 22200 SH SOLE 22000 0 200 Bottomline Technologies Inc COM 101388106 723 20000 SH SOLE 20000 0 0 Bristol-Myers Squibb COM 110122108 1503 28283 SH SOLE 0 0 28283 CME Group Inc COM 12572q105 1994 25410 SH SOLE 0 0 25410 CSX Corp. COM 126408103 890 30922 SH SOLE 0 0 30922 CVS Caremark Corp COM 126650100 2587 36146 SH SOLE 0 0 36146 Calamos Conv Opportunities & I COM 128117108 170 12820 SH SOLE 0 0 12820 Calamos Global Dynamic Inc Fd COM 12811l107 175 19455 SH SOLE 0 0 19455 Caterpillar Inc COM 149123101 1056 11625 SH SOLE 0 0 11625 Celgene Corp COM 151020104 280 1656 SH SOLE 0 0 1656 Chevron Corp COM 166764100 1449 11597 SH SOLE 0 0 11597 Cimarex Energy Co COM 171798101 210 2000 SH SOLE 0 0 2000 Cisco Systems Inc COM 17275r102 1799 80201 SH SOLE 0 0 80201 Citigroup Inc COM 172967424 923 17713 SH SOLE 12700 0 5013 Clearbridge Energy MLP Fund In COM 184692101 559 20540 SH SOLE 0 0 20540 Cliffs Nat Res Inc COM 18683k101 226 8628 SH SOLE 0 0 8628 Clorox Company COM 189054109 1478 15930 SH SOLE 0 0 15930 Coca Cola Company COM 191216100 2745 66459 SH SOLE 0 0 66459 Colgate Palmolive Co COM 194162103 2926 44873 SH SOLE 0 0 44873 Comcast Corp New CL A COM 20030n101 1082 20817 SH SOLE 0 0 20817 Compass Minerals Intl Inc COM 20451n101 339 4230 SH SOLE 0 0 4230 Conagra Foods Inc COM 205887102 1689 50122 SH SOLE 0 0 50122 ConocoPhillips COM 20825c104 2044 28935 SH SOLE 0 0 28935 Consolidated Edison Hldg Co COM 209115104 303 5477 SH SOLE 0 0 5477 Corning Inc COM 219350105 274 15361 SH SOLE 0 0 15361 DIRECTV Com COM 25490a309 356 5157 SH SOLE 0 0 5157 DNP Select Income Fd Inc COM 23325p104 374 39704 SH SOLE 0 0 39704 Deere & Co. COM 244199105 749 8201 SH SOLE 0 0 8201 Delta Air Lines Inc COM 247361702 710 25852 SH SOLE 17000 0 8852 Devon Energy Corp COM 25179m103 1515 24479 SH SOLE 7900 0 16579 Discovery Comm Inc Ser A COM 25470f104 203 2242 SH SOLE 0 0 2242 Disney, Walt Company COM 254687106 1934 25309 SH SOLE 0 0 25309 Dow Chemical Co COM 260543103 234 5269 SH SOLE 0 0 5269 Duke Energy Corp Com COM 26441c204 1362 19741 SH SOLE 0 0 19741 E I duPont De Nemours COM 263534109 2774 42692 SH SOLE 0 0 42692 EMC Corporation Mass COM 268648102 1260 50094 SH SOLE 28200 0 21894 Eastman Chemical Company COM 277432100 236 2925 SH SOLE 0 0 2925 Eaton Corp PLC COM g29183103 2960 38890 SH SOLE 11600 0 27290 Eli Lilly & Co COM 532457108 432 8480 SH SOLE 0 0 8480 Emerson Electric Co COM 291011104 1303 18569 SH SOLE 0 0 18569 Endurance Specialty Holdings L COM G30397106 1144 19500 SH SOLE 0 0 19500 Expeditors Intl Wash Inc COM 302130109 1678 37911 SH SOLE 0 0 37911 Express Scripts Hldg Co COM 30219g108 208 2963 SH SOLE 0 0 2963 Exxon Mobil Corporation COM 30231G102 5629 55621 SH SOLE 0 0 55621 Fedex Corporation COM 31428x106 356 2475 SH SOLE 0 0 2475 First Natl Neb Inc. COM 335720108 215 40 SH SOLE 0 0 40 First Tr ETF Dow Jones Interne COM 33733e302 861 14376 SH SOLE 0 0 14376 First Tr ETF II Consumer Discr COM 33734x101 825 25577 SH SOLE 0 0 25577 First Tr ETF II Health Care Al COM 33734x143 832 17307 SH SOLE 0 0 17307 First Tr Exchg Traded Fd NY Ar COM 33733e203 818 11829 SH SOLE 0 0 11829 First Tr Large Cap Value Oppor COM 33735j101 251 6230 SH SOLE 0 0 6230 First Trust Consumer Staples A COM 33734x119 805 22564 SH SOLE 0 0 22564 First Trust ETF Alphadex Fund COM 33735b108 1426 28265 SH SOLE 0 0 28265 First Trust US IPO Index Fd Sh COM 336920103 238 5252 SH SOLE 0 0 5252 Fiserv Inc COM 337738108 542 9180 SH SOLE 0 0 9180 Ford Motor Company New COM 345370860 643 41703 SH SOLE 25500 0 16203 Freeport McMoran Copper & Gold COM 35671d857 356 9425 SH SOLE 0 0 9425 Gabelli Dividend & Income Trus COM 36242h104 286 12906 SH SOLE 0 0 12906 Gabelli Healthcare & Wellness COM 36246k103 105 10068 SH SOLE 0 0 10068 General Electric Co COM 369604103 3557 126895 SH SOLE 0 0 126895 General Mills COM 370334104 437 8762 SH SOLE 0 0 8762 Genworth Finl Inc Cl A COM 37247d106 403 25920 SH SOLE 0 0 25920 Google Inc COM 38259p508 535 477 SH SOLE 0 0 477 H.B. Fuller COM 359694106 260 5000 SH SOLE 0 0 5000 Halliburton Company COM 406216101 1660 32700 SH SOLE 0 0 32700 Hershey Foods COM 427866108 821 8447 SH SOLE 0 0 8447 Hexcel Corp COM 428291108 1039 23238 SH SOLE 12500 0 10738 Home Depot Inc. COM 437076102 1310 15915 SH SOLE 10000 0 5915 HomeAway Inc COM 43739q100 373 9125 SH SOLE 0 0 9125 Honeywell Inc COM 438516106 299 3278 SH SOLE 0 0 3278 IBM Corp COM 459200101 4089 21802 SH SOLE 0 0 21802 Illinois Tool Works COM 452308109 591 7034 SH SOLE 0 0 7034 Incyte Corp COM 45337c102 203 4000 SH SOLE 0 0 4000 Ingersoll-Rand plc COM g47791101 307 4982 SH SOLE 0 0 4982 Intel Corporation COM 458140100 4159 160247 SH SOLE 0 0 160247 J P Morgan Chase & Co. COM 46625h100 4596 78594 SH SOLE 14300 0 64294 JDS Uniphase Corp COM 46612J507 593 45650 SH SOLE 36000 0 9650 Jack Henry & Assoc Inc COM 426281101 592 10000 SH SOLE 10000 0 0 Johnson & Johnson COM 478160104 4622 50466 SH SOLE 5000 0 45466 Johnson Control Inc COM 478366107 4675 91131 SH SOLE 15000 0 76131 Kansas City Southern COM 485170302 351 2835 SH SOLE 0 0 2835 Kellogg Company COM 487836108 846 13845 SH SOLE 0 0 13845 Kimberly-Clark Corp COM 494368103 346 3315 SH SOLE 0 0 3315 Lam Research Corp COM 512807108 615 11300 SH SOLE 9000 0 2300 Leggett & Platt Inc COM 524660107 888 28706 SH SOLE 0 0 28706 Level 3 Communications Inc COM 52729n308 271 8165 SH SOLE 0 0 8165 Lincoln Electric Holding Inc COM 533900106 229 3217 SH SOLE 0 0 3217 Lockheed Martin Corp COM 539830109 918 6174 SH SOLE 0 0 6174 Lowes Companies Inc. COM 548661107 362 7312 SH SOLE 0 0 7312 MDU Resources Group COM 552690109 1919 62808 SH SOLE 0 0 62808 Macquarie Infrastructure Co COM 55608b105 265 4866 SH SOLE 0 0 4866 Market Vectors ETF Tr Agribusi COM 57060u605 756 13866 SH SOLE 0 0 13866 Marsh & McLennan Cos COM 571748102 450 9309 SH SOLE 0 0 9309 Martin Marietta Materials COM 573284106 254 2545 SH SOLE 0 0 2545 Masco Corporation COM 574599106 269 11800 SH SOLE 0 0 11800 McDonald's Corp COM 580135101 1034 10656 SH SOLE 0 0 10656 McGraw Hill Financial Inc. COM 580645109 2882 36854 SH SOLE 0 0 36854 Medtronic Inc COM 585055106 1314 22902 SH SOLE 0 0 22902 Mera Pharmaceuticals Inc COM 58732r103 0 50000 SH SOLE 0 0 50000 Merck & Company Inc COM 58933y105 2155 43066 SH SOLE 0 0 43066 MetLife Inc COM 59156r108 936 17350 SH SOLE 0 0 17350 Microsoft Corp COM 594918104 2542 67941 SH SOLE 0 0 67941 Mondelez Intl Inc Com COM 609207105 735 20813 SH SOLE 0 0 20813 Monsanto Co New COM 61166w101 376 3222 SH SOLE 0 0 3222 Morgan Stanley COM 617446448 435 13874 SH SOLE 0 0 13874 Morgan Stanley Asia Pacific Fd COM 61744u106 277 16750 SH SOLE 0 0 16750 Motorcar Prts & Accessrs COM 620071100 193 10000 SH SOLE 0 0 10000 National Oilwell Varco Inc COM 637071101 1721 21643 SH SOLE 9449 0 12194 Nelnet Inc COM 64031n108 1266 30050 SH SOLE 0 0 30050 Nestle S A Spons ADR COM 641069406 296 4037 SH SOLE 0 0 4037 Nielsen Holdings N.V. COM n63218106 3810 83031 SH SOLE 19400 0 63631 Nike Inc Cl B COM 654106103 557 7086 SH SOLE 0 0 7086 Nobel Corp PLC COM g65431101 614 16395 SH SOLE 14700 0 1695 Norfolk Southern Corp COM 655844108 635 6840 SH SOLE 0 0 6840 Northeast Utilities COM 664397106 1299 30643 SH SOLE 0 0 30643 Novartis Ag Spon ADR COM 66987v109 276 3428 SH SOLE 0 0 3428 Nucor Inc COM 670346105 343 6420 SH SOLE 0 0 6420 Nuveen Floating Rate Inc Opp F COM 6706en100 171 14069 SH SOLE 0 0 14069 Occidental Petroleum COM 674599105 213 2237 SH SOLE 0 0 2237 Omni Bio Pharmaceutical Inc COM 68216l100 6 16500 SH SOLE 0 0 16500 Oracle Corp COM 68389x105 1276 33343 SH SOLE 0 0 33343 PIMCO Total Return ETF COM 72201r775 304 2900 SH SOLE 0 0 2900 Paccar Inc COM 693718108 214 3624 SH SOLE 0 0 3624 Pentair Ltd Com COM h6169q108 3151 40571 SH SOLE 14800 0 25771 Pepsico Inc COM 713448108 5772 69593 SH SOLE 0 0 69593 Pfizer Inc COM 717081103 2748 89700 SH SOLE 0 0 89700 Philip Morris Intl Inc COM 718172109 628 7205 SH SOLE 0 0 7205 Phillips 66 Com COM 718546104 1009 13087 SH SOLE 6000 0 7087 Potash Corp Saskatchewan COM 73755l107 844 25600 SH SOLE 0 0 25600 PowerShares DB Commodity Index COM 73935s105 1030 40123 SH SOLE 0 0 40123 PowerShares ETF DWA Technical COM 73935x153 607 16552 SH SOLE 0 0 16552 PowerShares ETF S&P 500 Low Vo COM 73937b779 226 6825 SH SOLE 0 0 6825 Powershares QQQ Tr Unit Ser 1 COM 73935a104 327 3717 SH SOLE 0 0 3717 Precision Castparts Corp COM 740189105 1553 5769 SH SOLE 0 0 5769 Principal Financial Group COM 74251v102 1122 22760 SH SOLE 0 0 22760 Procter & Gamble Co COM 742718109 2871 35265 SH SOLE 0 0 35265 Prudential Finl Inc COM 744320102 223 2423 SH SOLE 0 0 2423 Qualcomm Inc COM 747525103 2328 31350 SH SOLE 10500 0 20850 RPM Intl, Inc COM 749685103 214 5157 SH SOLE 0 0 5157 Rockwell Automation Inc COM 773903109 1765 14934 SH SOLE 0 0 14934 Rockwell Collins Inc COM 774341101 804 10880 SH SOLE 0 0 10880 Ross Stores Inc COM 778296103 1225 16353 SH SOLE 0 0 16353 Rydex ETF Tr Guggenheim S&P 50 COM 78355w106 988 13868 SH SOLE 0 0 13868 Salesforce.com Inc COM 79466l302 201 3639 SH SOLE 0 0 3639 Schlumberger LTD COM 806857108 1085 12046 SH SOLE 5200 0 6846 Schwab Charles Corp New COM 808513105 438 16850 SH SOLE 0 0 16850 Sector SPDR Tr Shs Technology COM 81369y803 256 7149 SH SOLE 0 0 7149 Sempra Energy COM 816851109 246 2740 SH SOLE 0 0 2740 Smith & Wesson Hldg Corp COM 831756101 142 10500 SH SOLE 0 0 10500 Smucker Jam Co New COM 832696405 449 4336 SH SOLE 0 0 4336 Source Capital COM 836144105 295 4392 SH SOLE 0 0 4392 Southern Company COM 842587107 425 10334 SH SOLE 0 0 10334 Southwest Gas Corp COM 844895102 595 10651 SH SOLE 0 0 10651 Spectra Energy Corp COM 847560109 2193 61553 SH SOLE 0 0 61553 Standard & Poors Dep Recpts Bo COM 78462f103 3760 20357 SH SOLE 17500 0 2857 Steel Dynamics Inc COM 858119100 377 19285 SH SOLE 0 0 19285 Stratasys Ltd COM m85548101 276 2050 SH SOLE 2000 0 50 Sysco Corp COM 871829107 1311 36327 SH SOLE 0 0 36327 T Rowe Price Group Inc COM 74144t108 1578 18838 SH SOLE 0 0 18838 TJX Companies Inc. COM 872540109 988 15500 SH SOLE 0 0 15500 TOTAL SA ADR COM 89151e109 560 9141 SH SOLE 0 0 9141 Target Corp COM 87612e106 437 6913 SH SOLE 0 0 6913 Teva Pharmaceutical Inds Ltd COM 881624209 594 14830 SH SOLE 0 0 14830 Tierone Corp COM 88650R108 0 12300 SH SOLE 0 0 12300 Time Warner Inc New COM 887317303 1054 15116 SH SOLE 0 0 15116 Toro Company COM 891092108 226 3550 SH SOLE 0 0 3550 Tortoise Pipeline & Energy Fd COM 89148h108 474 16661 SH SOLE 0 0 16661 Travelers Cos Inc COM 89417e109 451 4985 SH SOLE 0 0 4985 Trimble Navigation Ltd COM 896239100 1035 29825 SH SOLE 0 0 29825 Trinity Industries COM 896522109 360 6598 SH SOLE 0 0 6598 Twenty-First Centry Fox Inc Cl COM 90130a101 1537 43690 SH SOLE 15000 0 28690 U S Bancorp New COM 902973304 2241 55462 SH SOLE 0 0 55462 Union Pacific COM 907818108 3440 20476 SH SOLE 4300 0 16176 United Parcel Svc Inc COM 911312106 372 3538 SH SOLE 0 0 3538 United Technologies Corp. COM 913017109 1771 15564 SH SOLE 0 0 15564 Valero Energy Corporation COM 91913y100 1778 35271 SH SOLE 14600 0 20671 Valmont Industries COM 920253101 5581 37424 SH SOLE 0 0 37424 ValueClick Inc COM 92046n102 1441 61654 SH SOLE 40000 0 21654 Vangaurd Index Funds COM 922908629 771 7009 SH SOLE 0 0 7009 Vanguard Emerging Mkts ETF VIP COM 922042858 1149 27918 SH SOLE 0 0 27918 Vanguard Index Fds Large Cap V COM 922908637 774 9130 SH SOLE 0 0 9130 Vanguard Info Technology VIPER COM 92204a702 459 5130 SH SOLE 0 0 5130 Vanguard Int'l Equity Index Fd COM 922042775 1564 30831 SH SOLE 0 0 30831 Vanguard Malvern Short-Term In COM 922020805 1333 27016 SH SOLE 0 0 27016 Vanguard REIT Index Fd COM 922908553 439 6797 SH SOLE 0 0 6797 Vanguard Sector Index Funds COM 92204a876 217 2603 SH SOLE 0 0 2603 Vanguard Small Cap ETF COM 922908751 780 7093 SH SOLE 0 0 7093 Vanguard Spec Div Fd Apprec In COM 921908844 924 12275 SH SOLE 0 0 12275 Vanguard Tax-Mngd Intl MSCI EA COM 921943858 792 18998 SH SOLE 0 0 18998 Verisk Analytics Inc Cl A COM 92345y106 320 4875 SH SOLE 0 0 4875 Verizon Communications COM 92343v104 1374 27964 SH SOLE 0 0 27964 Visa Inc Cl A COM 92826c839 6412 28794 SH SOLE 7000 0 21794 Vodafone Group PLC New Sponsd COM 92857W209 2701 68713 SH SOLE 0 0 68713 W R Berkley Corp COM 084423102 704 16231 SH SOLE 6000 0 10231 Wal-Mart Stores Inc COM 931142103 1431 18189 SH SOLE 0 0 18189 Walgreen Company COM 931422109 1094 19049 SH SOLE 0 0 19049 Waste Management Inc COM 94106l109 337 7515 SH SOLE 0 0 7515 Waters Corp COM 941848103 380 3795 SH SOLE 0 0 3795 Wells Fargo Corp COM 949746101 4414 97228 SH SOLE 0 0 97228 Western Asset Claymore Inf Lnk COM 95766r104 384 34100 SH SOLE 0 0 34100 Western Asset Claymore Inf Lnk COM 95766q106 114 10000 SH SOLE 0 0 10000 Windstream Hldgs Inc COM 97382a101 160 20048 SH SOLE 0 0 20048 Zimmer Hldgs Inc COM 98956p102 330 3544 SH SOLE 0 0 3544 Zoetis Inc. COM 98978v103 348 10644 SH SOLE 0 0 10644 eBay Inc COM 278642103 591 10770 SH SOLE 0 0 10770 iShares Tr Dow Jones US Oil & COM 464288851 1395 16948 SH SOLE 0 0 16948 iShares Tr Dow Jones US Utils COM 464287697 422 4400 SH SOLE 0 0 4400 iShares Tr Goldman Sachs Nat R COM 464287374 564 12999 SH SOLE 0 0 12999 iShares Tr MSCI Emerging Mkts COM 464287234 260 6225 SH SOLE 0 0 6225 iShares Tr Russell 1000 Index COM 464287622 5161 50020 SH SOLE 0 0 50020 iShares Tr S&P Global Hlthcare COM 464287325 437 5075 SH SOLE 0 0 5075 iShares Tr S&P Midcap 400 Inde COM 464287507 3501 26160 SH SOLE 0 0 26160 iShares Tr S&P Smallcap 600 In COM 464287804 2539 23265 SH SOLE 0 0 23265 iShares Trust High Divid Equit COM 46429b663 493 7012 SH SOLE 0 0 7012 iShares Trust MSCI EAFE Index COM 464287465 768 11453 SH SOLE 0 0 11453 iShares iBoxx $ High Yld Corp COM 464288513 494 5316 SH SOLE 0 0 5316 Citigroup Cap XIII Tr Pfd Fix/ PFD 173080201 206 7550 SH SOLE 0 0 7550 iShares Tr S&P US Pfd Stk Inde PFD 464288687 415 11265 SH SOLE 0 0 11265 Investors Real Estate Trust REIT 461730103 190 22163 SH SOLE 0 0 22163