EVP/COO

0001777127-21-000004.txt : 20211014 0001777127-21-000004.hdr.sgml : 20211014 20211013180648 ACCESSION NUMBER: 0001777127-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211014 DATE AS OF CHANGE: 20211013 EFFECTIVENESS DATE: 20211014 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Enterprise Trust & Investment Co CENTRAL INDEX KEY: 0001777127 IRS NUMBER: 770406047 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19560 FILM NUMBER: 211322092 BUSINESS ADDRESS: STREET 1: 15425 LOS GATOS BLVD STREET 2: SUITE 150 CITY: LOS GATOS STATE: CA ZIP: 95032 BUSINESS PHONE: 4083585811 MAIL ADDRESS: STREET 1: 15425 LOS GATOS BLVD STREET 2: SUITE 150 CITY: LOS GATOS STATE: CA ZIP: 95032 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001777127 XXXXXXXX 09-30-2021 09-30-2021 Enterprise Trust & Investment Co

15425 LOS GATOS BLVD SUITE 150 LOS GATOS CA 95032

13F HOLDINGS REPORT 028-19560 N Margaret McCulloch EVP/COO 4083585811 Margaret McCulloch Los Gatos CA 10-13-2021 0 209 247159 false INFORMATION TABLE 2 Q32021infotable.xml Abb Ltd ADR SPONSORED ADR 000375204 20 600 SH SOLE 600 0 0 AT&T Inc COM 00206R102 2556 94644 SH SOLE 94644 0 0 Adobe Systems, Inc COM 00724F101 86 150 SH SOLE 150 0 0 Agilent Technologies Inc Com COM 00846U101 267 1693 SH SOLE 1693 0 0 Airbnb, Inc. COM CL A 009066101 356 2124 SH SOLE 2124 0 0 Alcoa Corp COM 013872106 891 18200 SH SOLE 18200 0 0 Alibaba Group Holding SPONSORED ADS 01609W102 24 161 SH SOLE 161 0 0 Alleghany Corp Del Common COM 017175100 81 130 SH SOLE 130 0 0 Allstate Corp COM 020002101 3470 27257 SH SOLE 27257 0 0 Alphabet INC CLASS A CORP COMMON CAP STK CL A 02079K305 152 57 SH SOLE 57 0 0 Altria Group Inc COM 02209S103 1022 22450 SH SOLE 22450 0 0 Amazon Com Inc COM 023135106 979 298 SH SOLE 298 0 0 Ameren Corp Com COM 023608102 273 3365 SH SOLE 3365 0 0 American Electric Power Co COM 025537101 11 135 SH SOLE 135 0 0 Amgen Inc Com COM 031162100 3818 17953 SH SOLE 17953 0 0 Amplify Online Retail ETF ONLIN RETL ETF 032108102 76 700 SH SOLE 700 0 0 APA Corporation COM 03743Q108 574 26800 SH SOLE 26800 0 0 Apple Inc COM 037833100 16328 115392 SH SOLE 115392 0 0 Archer Daniels Midland Co. COM 039483102 957 15950 SH SOLE 15950 0 0 Autoliv Inc Common COM 052800109 10 119 SH SOLE 119 0 0 Automatic Data Processing COM 053015103 140 700 SH SOLE 700 0 0 Avangrid, Inc. COM 05351W103 40 833 SH SOLE 833 0 0 BP Amoco P L C Sponsored ADR SPONSORED ADR 055622104 345 12628 SH SOLE 12628 0 0 Bank of America Corporation COM 060505104 807 19022 SH SOLE 19022 0 0 Bank of New York Mellon Corp COM 064058100 1746 33671 SH SOLE 33671 0 0 Barclays Bank Ipath Bloom Commodity Etn DJUBS CMDT ETN36 06738C778 39 1345 SH SOLE 1345 0 0 Becton Dickinson & Company COM 075887109 1115 4536 SH SOLE 4536 0 0 Berkshire Hathaway Inc Del CL B NEW 084670702 423 1548 SH SOLE 1548 0 0 Black Knight Inc Common COM 09215C105 93 1286 SH SOLE 1286 0 0 Blackrock, Inc COM 09247X101 84 100 SH SOLE 100 0 0 Blackrock Science And Technology Trust Ii Tech Nav Cf SHS BEN INT 09260K101 46 1200 SH SOLE 1200 0 0 Boeing Co COM 097023105 154 700 SH SOLE 700 0 0 Broadridge Finl Solutions COM 11133T103 950 5700 SH SOLE 5700 0 0 Brookfield Asset Management INC CLASS A CORP COMMON CL A LTD VT SH 112585104 361 6750 SH SOLE 6750 0 0 Brown-Forman Corp Cl B Com CL B 115637209 24 358 SH SOLE 358 0 0 CME Group Inc Class A COM 12572Q105 10 50 SH SOLE 50 0 0 California Wtr Svc Group Com COM 130788102 112 1900 SH SOLE 1900 0 0 Cannae Holdings Inc. COM 13765N107 19 600 SH SOLE 600 0 0 Chevron Corporation COM 166764100 3205 31589 SH SOLE 31589 0 0 Cisco Sys Inc COM 17275R102 3225 59248 SH SOLE 59248 0 0 Cognizant Technology Solutions Corp CL A 192446102 493 6650 SH SOLE 6650 0 0 Colgate Palmolive Co COM 194162103 38 500 SH SOLE 500 0 0 Comcast Corp New Cl A CL A 20030N101 37 654 SH SOLE 654 0 0 Comerica Inc COM 200340107 2523 31343 SH SOLE 31343 0 0 Conocophillips COM 20825C104 185 2727 SH SOLE 2727 0 0 Corning Inc COM 219350105 1554 42575 SH SOLE 42575 0 0 Corteva Inc. COM 22052L104 55 1296 SH SOLE 1296 0 0 DTE Energy Company COM 233331107 43 385 SH SOLE 385 0 0 DT Midstream Inc. COMMON STOCK 23345M107 9 192 SH SOLE 192 0 0 Disney (Walt) Co Holding Co. COM 254687106 5154 30469 SH SOLE 30469 0 0 Dow, Inc. COM 260557103 69 1196 SH SOLE 1196 0 0 Duke Energy Corp COM NEW 26441C204 20 200 SH SOLE 200 0 0 Dupont De Nemours Inc COM 26614N102 42 615 SH SOLE 615 0 0 Edison International COM 281020107 22 400 SH SOLE 400 0 0 Enbridge Inc C COM 29250N105 12 295 SH SOLE 295 0 0 Energy Transfer LP COM UT LTD PTN 29273V100 48 5000 SH SOLE 5000 0 0 Extreme Networks Inc COM 30226D106 15 1500 SH SOLE 1500 0 0 Exxon Mobil Corp COM 30231G102 1395 23709 SH SOLE 23709 0 0 Facebook, Inc. CL A 30303M102 51 150 SH SOLE 150 0 0 Federated Hermes, Inc. CL B 314211103 1700 52300 SH SOLE 52300 0 0 Fidelity High Yield Factor ETF HIGH YILD ETF 316092618 70 1250 SH SOLE 1250 0 0 Fidelity Natl Information Svcs Inc Common COM 31620M106 183 1500 SH SOLE 1500 0 0 Fidelity Natl Finl Inc New Fnf Group Common FNF GROUP COM 31620R303 136 3000 SH SOLE 3000 0 0 Fireeye Inc. COM 31816Q101 98 5500 SH SOLE 5500 0 0 Flaherty & Crumrine Total Return Fund COM 338479108 46 1900 SH SOLE 1900 0 0 Franklin Universal Trust SH BEN INT 355145103 8 1000 SH SOLE 1000 0 0 Freeport-McMoran Copper & Gold Inc. CL B 35671D857 20 600 SH SOLE 600 0 0 Garrett Motion Inc COM 366505105 1 50 SH SOLE 50 0 0 General Dynamics Corp COM 369550108 2316 11812 SH SOLE 11812 0 0 General Electric Co COM NEW 369604301 537 5209 SH SOLE 5209 0 0 Gilead Sciences Inc COM 375558103 1463 20950 SH SOLE 20950 0 0 Glaxosmithline PLC Sponsored ADR SPONSORED ADR 37733W105 64 1674 SH SOLE 1674 0 0 Goldman Sachs Access High Yield Corporate Bond ETF ACCESS HIG YLD 381430453 50 1000 SH SOLE 1000 0 0 Halliburton Company COM 406216101 4 200 SH SOLE 200 0 0 Heritage Comm Corp COM 426927109 1048 90137 SH SOLE 90137 0 0 Hewlett Packard Enterprise Co COM 42824C109 420 29500 SH SOLE 29500 0 0 Honeywell Intl Inc Com COM 438516106 340 1600 SH SOLE 1600 0 0 Intel Corporation COM 458140100 4706 88332 SH SOLE 88332 0 0 International Business Machines COM 459200101 1103 7937 SH SOLE 7937 0 0 International Flavors & Fragrances Inc. COM 459506101 60 450 SH SOLE 450 0 0 International Paper Corp COM 460146103 1954 34950 SH SOLE 34950 0 0 Invesco QQQ Trust ETF UNIT SER 1 46090E103 72 200 SH SOLE 200 0 0 Intuitive Surgical Inc. COM NEW 46120E602 9927 9985 SH SOLE 9985 0 0 Invesco Calif Value Muni COM 46132H106 6 441 SH SOLE 441 0 0 Invesco S&P 500 Equal Weight ETF S&P500 EQL WGT 46137V357 240 1599 SH SOLE 1599 0 0 Invesco Exchange Traded Fd Zacks Multi-Asset Income ETF ZACKS MULT AST 46137Y500 42 1775 SH SOLE 1775 0 0 Invesco Preferred ETF PFD ETF 46138E511 36 2400 SH SOLE 2400 0 0 Invesco Bulletshares 2026 High Yield ETF INVSCO BLSH 26 46138J635 51 2000 SH SOLE 2000 0 0 Invesco Exchange TRD SLF Index ETF BULSHS 2025 HY 46138J817 49 2000 SH SOLE 2000 0 0 Invesco BulletShares 2024 High Yield Corporate Bond ETF BULSHS 2024 HY 46138J833 29 1175 SH SOLE 1175 0 0 Invesco Bulletshares 2023 High Yield Corp Bond ETF BULSHS 2023 HY 46138J858 51 2000 SH SOLE 2000 0 0 Ishares Gold Trust ETF ISHARES NEW 464285204 15 457 SH SOLE 457 0 0 iShares MSCI Australia ETF MSCI AUST ETF 464286103 45 1806 SH SOLE 1806 0 0 iShares MSCI Pacific Ex Japan ETF MSCI PAC JP ETF 464286665 10 210 SH SOLE 210 0 0 Ishares S&P 500 Growth ETF S&P 500 GRWT ETF 464287309 22 300 SH SOLE 300 0 0 Ishares Semiconductor ETF ISHARES SEMICDTR 464287523 223 500 SH SOLE 500 0 0 Ishares Biotechnology ETF ISHARES BIOTECH 464287556 95 590 SH SOLE 590 0 0 iShares Cohen and Steers REIT ETF COHEN STEER REIT 464287564 38 574 SH SOLE 574 0 0 Ishares Trust Russell 1000 Growth ETF RUS 1000 GRW ETF 464287614 41 150 SH SOLE 150 0 0 Ishares Russell 2000 Growth ETF RUS 2000 GRW ETF 464287648 44 150 SH SOLE 150 0 0 Ishares Russell 2000 ETF RUSSELL 2000 ETF 464287655 127 582 SH SOLE 582 0 0 Ishares Core S&P US Growth ETF CORE S&P US GWT 464287671 133 1300 SH SOLE 1300 0 0 iShares S&P Mid Cap 400 Value ETF S&P MC 400VL ETF 464287705 58 566 SH SOLE 566 0 0 iShares Europe ETF IV EUROPE ETF 464287861 34 653 SH SOLE 653 0 0 Ishares JP Morgan Usd Emerging Markets Bond ETF Mts JPMORGAN USD EMG 464288281 58 524 SH SOLE 524 0 0 Ishares 1-5 Year Investment Grade Corporate Bond ETF ISHS 1-5YR INVS 464288646 81 1480 SH SOLE 1480 0 0 Ishares PFD and Income ETF PFD AND INCM SEC 464288687 73 1890 SH SOLE 1890 0 0 Ishares Silver Trust ETF ISHARES 46428Q109 48 2347 SH SOLE 2347 0 0 Ishares Core High Dividend CORE HIGH DV ETF 46429B663 42 446 SH SOLE 446 0 0 Ishares Core Msci Eafe ETF CORE MSCI EAFE 46432F842 371 5000 SH SOLE 5000 0 0 Ishares Trust 0-5 Yr High Yield 0-5YR HI YL CP 46434V407 29 639 SH SOLE 639 0 0 iShares Tr Broad High Yield Corporate ETF BROAD USD HIGH 46435U853 50 1200 SH SOLE 1200 0 0 J P Morgan Chase & Co Com COM 46625H100 59 360 SH SOLE 360 0 0 Johnson & Johnson COM 478160104 4502 27878 SH SOLE 27878 0 0 Keysight Technologies Inc. COM 49338L103 139 846 SH SOLE 846 0 0 Kimberly Clark Corp COM 494368103 58 437 SH SOLE 437 0 0 Kinder Morgan Inc Del COM 49456B101 2 103 SH SOLE 103 0 0 Kraft Heinz Co COM 500754106 5 133 SH SOLE 133 0 0 Lilly Eli & Co Com COM 532457108 116 500 SH SOLE 500 0 0 Lockheed Martin Corp COM 539830109 3328 9645 SH SOLE 9645 0 0 Manulife Financial Corp COM 56501R106 27 1400 SH SOLE 1400 0 0 McDonalds Corp COM 580135101 127 526 SH SOLE 526 0 0 Merck & Co. Inc. COM 58933Y105 2683 35725 SH SOLE 35725 0 0 Microsoft Corporation COM 594918104 20735 73550 SH SOLE 73550 0 0 Microchip Technology Inc COM 595017104 2592 16888 SH SOLE 16888 0 0 Micron Technology Inc COM 595112103 5352 75395 SH SOLE 75395 0 0 Netflix Inc Common COM 64110L106 369 604 SH SOLE 604 0 0 Nvidia Corp COM 67066G104 17754 85700 SH SOLE 85700 0 0 Nuveen Preferred & Income Securities Fund COM 67072C105 8 792 SH SOLE 792 0 0 Old Rep Intl Corp COM 680223104 23 1000 SH SOLE 1000 0 0 Oneok, Inc COM 682680103 104 1800 SH SOLE 1800 0 0 Ovintiv Inc COM 69047Q102 1521 46260 SH SOLE 46260 0 0 PNC Financial Services Group Inc COM 693475105 20 100 SH SOLE 100 0 0 Pepsico Inc COM 713448108 1893 12587 SH SOLE 12587 0 0 Pfizer Inc COM 717081103 3707 86191 SH SOLE 86191 0 0 Philip Morris Intl Inc. COM 718172109 1646 17363 SH SOLE 17363 0 0 Phillips 66 COM 718546104 84 1200 SH SOLE 1200 0 0 Pimco Enhanced Short Maturity ENHAN SHRT MA AC 72201R833 62 606 SH SOLE 606 0 0 Procter & Gamble Company COM 742718109 3338 23880 SH SOLE 23880 0 0 RMR Group Inc CL A 74967R106 1 19 SH SOLE 19 0 0 Realty Income Corp COM 756109104 65 1000 SH SOLE 1000 0 0 Resideo Technologies Inc COM 76118Y104 2 83 SH SOLE 83 0 0 Ringcentral Inc. CL A 76680R206 218 1000 SH SOLE 1000 0 0 Rio Tinto Plc ADR SPONSORED ADR 767204100 1023 15307 SH SOLE 15307 0 0 Royal Dutch Shell PLC SPONS ADR A 780259206 65 1465 SH SOLE 1465 0 0 Royal Gold, Inc. COM 780287108 16 171 SH SOLE 171 0 0 S&P Global Inc Common COM 78409V104 297 700 SH SOLE 700 0 0 SJW Group COM 784305104 568 8600 SH SOLE 8600 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 21489 50075 SH SOLE 50075 0 0 SPDR Gold Trust GOLD SHS 78463V107 25 151 SH SOLE 151 0 0 Spdr S&P Dividend ETF IV S&P DIVID ETF 78464A763 28 236 SH SOLE 236 0 0 SPDR Dow Jones Industrial Avg ETF Unit Ser 1 UT SER 1 78467X109 15 43 SH SOLE 43 0 0 Spdr S&P Midcap 400 ETF UTSER1 S&PDCRP 78467Y107 41 85 SH SOLE 85 0 0 SVB Financial Group COM 78486Q101 2756 4260 SH SOLE 4260 0 0 Schlumberger LTD COM STK 806857108 1965 66301 SH SOLE 66301 0 0 Healthcare Select Sector SPDR SBI HEALTHCARE 81369Y209 4943 38831 SH SOLE 38831 0 0 Energy Sector SPDR TR ENERGY 81369Y506 4615 88590 SH SOLE 88590 0 0 Financial Select Sector SPDR ETF FINANCIAL 81369Y605 2078 55367 SH SOLE 55367 0 0 Servicenow Inc. COM 81762P102 2134 3430 SH SOLE 3430 0 0 Snowflake Inc. CL A 833445109 30 100 SH SOLE 100 0 0 Square Inc CL A 852234103 84 350 SH SOLE 350 0 0 Starbucks Corp COM 855244109 33 297 SH SOLE 297 0 0 Sumitomo Mitsui Financial Group Inc Mit ADR SPONSORED ADR 86562M209 14 2062 SH SOLE 2062 0 0 Synaptics Inc COM 87157D109 1739 9675 SH SOLE 9675 0 0 TCW Strategic Income Fund COM 872340104 4 700 SH SOLE 700 0 0 Taiwan Semiconductor Manufacturing CO Ltd ADR SPONSORED ADS 874039100 108 967 SH SOLE 967 0 0 Target Corp Com COM 87612E106 3923 17150 SH SOLE 17150 0 0 Texas Pac Ld Corp COM 88262P102 91 75 SH SOLE 75 0 0 3M Co Com COM 88579Y101 2017 11500 SH SOLE 11500 0 0 US Bancorp Del Com New COM NEW 902973304 25 425 SH SOLE 425 0 0 Union Pacific Corp COM 907818108 7 35 SH SOLE 35 0 0 United Parcel Service Cl B CL B 911312106 21 117 SH SOLE 117 0 0 Vaneck Gold Miners ETF GOLD MINERS ETF 92189F106 6250 212070 SH SOLE 212070 0 0 Vaneck Digital Transformation ETF DIGI TRANSFRM 92189H821 83 3640 SH SOLE 3640 0 0 Vanguard Dividend Appreciation ETF DIV APP ETF 921908844 17 109 SH SOLE 109 0 0 Vanguard Total Bond Market Index Fund ETF TOTAL BND MRKT 921937835 88 1028 SH SOLE 1028 0 0 Vanguard FTSE Developed Markets ETF FTSE DEV MKT ETF 921943858 2134 42263 SH SOLE 42263 0 0 Vanguard High Dividend ETF HIGH DIV YLD 921946406 27 266 SH SOLE 266 0 0 Vanguard Emerging Markets Gov Bnd ETF EMERG MKT BD ETF 921946885 47 600 SH SOLE 600 0 0 Vanguard Total International Bond Index ETF TOTAL INT BD ETF 92203J407 4 74 SH SOLE 74 0 0 Vangaurd Global Ex-US Real Estate GLB EX US ETF 922042676 450 8000 SH SOLE 8000 0 0 Vanguard Emerging Markets Stock Index Fund Ftse ETF FTSE EMR MKT ETF 922042858 184 3672 SH SOLE 3672 0 0 Vanguard FTSE Europe ETF FTSE EUROPE ETF 922042874 79 1205 SH SOLE 1205 0 0 Vanguard Information Technology ETF INF TECH ETF 92204A702 6 15 SH SOLE 15 0 0 Vanguard Materials Index Fund ETF MATERIALS ETF 92204A801 4420 25515 SH SOLE 25515 0 0 Vanguard Intermediate Term Corporate Bond ETF INT-TERM CORP 92206C870 23 241 SH SOLE 241 0 0 Vanguard S&P 500 ETF S&P 500 ETF SHS 922908363 90 229 SH SOLE 229 0 0 Vanguard Real Estate ETF REAL ESTATE ETF 922908553 8181 80381 SH SOLE 80381 0 0 Vanguard Small Cap Value ETF SM CP VAL ETF 922908611 51 304 SH SOLE 304 0 0 Vanguard Total Stock Market ETF TOTAL STK MKT 922908769 28 128 SH SOLE 128 0 0 Verisign Inc COM 92343E102 677 3300 SH SOLE 3300 0 0 Verizon Communications COM 92343V104 4957 91777 SH SOLE 91777 0 0 Vertex Pharmaceuticals Inc Com COM 92532F100 1438 7925 SH SOLE 7925 0 0 Visa, Inc COM CL A 92826C839 136 612 SH SOLE 612 0 0 WD-40 CO. COM 929236107 69 300 SH SOLE 300 0 0 Walmart Inc. COM 931142103 2886 20706 SH SOLE 20706 0 0 Walgreens Boots Alliance Inc COM 931427108 3471 73775 SH SOLE 73775 0 0 Wells Fargo & Co New COM 949746101 1892 40775 SH SOLE 40775 0 0 Western Alliance Bancorp COM 957638109 65 600 SH SOLE 600 0 0 Weyerhaeuser Company COM NEW 962166104 14 400 SH SOLE 400 0 0 XCEL Energy, Inc COM 98389B100 20 314 SH SOLE 314 0 0 Zimmer Biomet Holdings Inc COM 98956P102 1383 9450 SH SOLE 9450 0 0 Zoom Video Communications Class A Shares CL A 98980L101 7 25 SH SOLE 25 0 0 Accenture PLC F SHS CLASS A G1151C101 104 325 SH SOLE 325 0 0 Brookfield Infrastructure Partners Lp Infrastructur Partner Unt LP INT UNIT G16252101 24 436 SH SOLE 436 0 0 Bunge Limited COM G16962105 2025 24900 SH SOLE 24900 0 0 Norwegian Cruise Line Holdings Ltd SHS G66721104 4 142 SH SOLE 142 0 0 Transocean LTD REG SHS H8817H100 1 69 SH SOLE 69 0 0 Flex Ltd ORD Y2573F102 9 500 SH SOLE 500 0 0