Vice President

0000897101-15-001476.txt : 20151104 0000897101-15-001476.hdr.sgml : 20151104 20151104123140 ACCESSION NUMBER: 0000897101-15-001476 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151104 DATE AS OF CHANGE: 20151104 EFFECTIVENESS DATE: 20151104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIT INVESTMENT ASSOCIATES INC CENTRAL INDEX KEY: 0000769317 IRS NUMBER: 411404829 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00180 FILM NUMBER: 151196153 BUSINESS ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123323223 MAIL ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000769317 XXXXXXXX 09-30-2015 09-30-2015 false SIT INVESTMENT ASSOCIATES INC

3300 Ids Center 80 South Eighth Street Minneapolis MN 55402

13F HOLDINGS REPORT 028-00180 N Paul E. Rasmussen Vice President 612-331-3223 /s/ Paul E. Rasmussen Minneapolis MN 11-04-2015 1 500 5349954 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml AFLAC INC COMMON 001055102 145 2500 SH SOLE 1 2500 0 0 AMN HEALTHCARE SERVICES I COMMON 001744101 1138 37925 SH SOLE 1 37925 0 0 ABBOTT LABORATORIES COMMON 002824100 34747 863930 SH SOLE 1 863930 0 0 AFFILIATED MANAGERS GROUP INC COMMON 008252108 3698 21625 SH SOLE 1 21625 0 0 AGRIUM INC COMMON 008916108 34143 381490 SH SOLE 1 381490 0 0 ALASKA AIR GROUP INC COMMON 011659109 5317 66925 SH SOLE 1 66925 0 0 ALEXANDRIA REAL ESTATE EQ COMMON 015271109 40 475 SH SOLE 1 475 0 0 ALEXION PHARMACEUTICALS INC COMMON 015351109 7510 48020 SH SOLE 1 48020 0 0 ALIGN TECHNOLOGY INC COMMON 016255101 1930 34000 SH SOLE 1 34000 0 0 ALTERA CORP COMMON 021441100 280 5600 SH SOLE 1 5600 0 0 AMETEK INC COMMON 031100100 1256 24000 SH SOLE 1 24000 0 0 APPLE INC COMMON 037833100 94193 853967 SH SOLE 1 853967 0 0 APPLIED MATERIALS INC COMMON 038222105 52896 3600790 SH SOLE 1 3600790 0 0 ARCHER DANIELS MIDLAND CO COMMON 039483102 17042 411150 SH SOLE 1 411150 0 0 ARISTA NETWORKS INC COMMON 040413106 2099 34300 SH SOLE 1 34300 0 0 ASPEN TECHNOLOGY INC COMMON 045327103 4237 111755 SH SOLE 1 111755 0 0 AUTODESK INC COMMON 052769106 881 19950 SH SOLE 1 19950 0 0 AUTOMATIC DATA PROCESSING INC COMMON 053015103 27298 339695 SH SOLE 1 339695 0 0 AVALONBAY CMNTYS INC COMMON 053484101 30344 173575 SH SOLE 1 173575 0 0 AVERY DENNISON CORP COMMON 053611109 62 1100 SH SOLE 1 1100 0 0 BANK OF NEW YORK MELLON CORP COMMON 064058100 523 13370 SH SOLE 1 13370 0 0 BECTON DICKINSON AND CO COMMON 075887109 54832 413325 SH SOLE 1 413325 0 0 BERKSHIRE HILLS BANCORP INC COMMON 084680107 36 1300 SH SOLE 1 1300 0 0 BIG LOTS INC COMMON 089302103 75 1575 SH SOLE 1 1575 0 0 BLACKROCK CAPITAL CORP COMMON 092533108 39 4350 SH SOLE 1 4350 0 0 BLOCK H & R INC COMMON 093671105 38219 1055785 SH SOLE 1 1055785 0 0 BOOZ ALLEN HAMILTON HLDG COMMON 099502106 1213 46275 SH SOLE 1 46275 0 0 BRINKER INTERNATIONAL INC COMMON 109641100 100 1900 SH SOLE 1 1900 0 0 BRISTOL-MYERS SQUIBB CO COMMON 110122108 515 8700 SH SOLE 1 8700 0 0 BROADCOM CORP CL A 111320107 375 7300 SH SOLE 1 7300 0 0 BUFFALO WILD WINGS INC COMMON 119848109 1715 8865 SH SOLE 1 8865 0 0 CF INDUSTRIES HOLDINGS INC COMMON 125269100 847 18875 SH SOLE 1 18875 0 0 CNOOC LTD ADR DEPOSITORY RECEI 126132109 72 700 SH SOLE 1 700 0 0 CSX CORP COMMON 126408103 118 4375 SH SOLE 1 4375 0 0 CVS HEALTH CORPORATION COMMON 126650100 69574 721120 SH SOLE 1 721120 0 0 CAPELLA EDUCATION CO COMMON 139594105 1047 21150 SH SOLE 1 21150 0 0 CARDIOVASCULAR SYS INC DE COMMON 141619106 1934 122125 SH SOLE 1 122125 0 0 CARLISLE COS INC COMMON 142339100 1416 16200 SH SOLE 1 16200 0 0 CARRIZO OIL & GAS INC COMMON 144577103 501 16400 SH SOLE 1 16400 0 0 CARTER'S INC COMMON 146229109 66 725 SH SOLE 1 725 0 0 CASEYS GENERAL STORES INC COMMON 147528103 1446 14050 SH SOLE 1 14050 0 0 CATERPILLAR INC COMMON 149123101 2076 31765 SH SOLE 1 31765 0 0 CATO CORP COMMON 149205106 48 1400 SH SOLE 1 1400 0 0 CELGENE CORP COMMON 151020104 12828 118595 SH SOLE 1 118595 0 0 CENTURY CMNTYS INC COMMON 156504300 928 46750 SH SOLE 1 46750 0 0 CHEVRON CORP COMMON 166764100 544 6895 SH SOLE 1 6895 0 0 CHIPOTLE MEXICAN GRILL INC COMMON 169656105 4911 6819 SH SOLE 1 6819 0 0 CIENA CORP COMMON 171779309 8081 390010 SH SOLE 1 390010 0 0 CITIGROUP INC COMMON 172967424 674 13592 SH SOLE 1 13592 0 0 CLARCOR INC COMMON 179895107 1012 21225 SH SOLE 1 21225 0 0 CLOVIS ONCOLOGY INC COMMON 189464100 545 5925 SH SOLE 1 5925 0 0 COCA-COLA CO/THE COMMON 191216100 1309 32625 SH SOLE 1 32625 0 0 COGNIZANT TECH SOLUTIONS CL A 192446102 8974 143330 SH SOLE 1 143330 0 0 COLUMBIA BKG SYS INC COMMON 197236102 92 2950 SH SOLE 1 2950 0 0 COMMERCIAL METALS CO COMMON 201723103 35 2550 SH SOLE 1 2550 0 0 CONNECTICUT WTR SVC INC COMMON 207797101 11 300 SH SOLE 1 300 0 0 CONTINENTAL RESOURCES INC COMMON 212015101 2814 97130 SH SOLE 1 97130 0 0 CRANE CO COMMON 224399105 972 20850 SH SOLE 1 20850 0 0 DST SYS INC DEL COMMON 233326107 1710 16265 SH SOLE 1 16265 0 0 DANAHER CORP COMMON 235851102 997 11699 SH SOLE 1 11699 0 0 DEALERTRACK TECHNOLOGIES INC COMMON 242309102 4691 74275 SH SOLE 1 74275 0 0 DELTA AIR LINES INC COMMON 247361702 37278 830800 SH SOLE 1 830800 0 0 DELUXE CORP COMMON 248019101 103 1850 SH SOLE 1 1850 0 0 DICKS SPORTING GOODS INC COMMON 253393102 7054 142180 SH SOLE 1 142180 0 0 DISNEY WALT CO COMMON 254687106 4439 43435 SH SOLE 1 43435 0 0 DISCOVER FINANCIAL SERVICES COMMON 254709108 27602 530905 SH SOLE 1 530905 0 0 DONEGAL GROUP INC-CL A COMMON 257701201 41 2900 SH SOLE 1 2900 0 0 DONNELLEY R R & SONS CO COMMON 257867101 95 6525 SH SOLE 1 6525 0 0 DUNKIN BRANDS GROUP INC COMMON 265504100 3267 66675 SH SOLE 1 66675 0 0 ECOLAB INC COMMON 278865100 13114 119525 SH SOLE 1 119525 0 0 EMERSON ELECTRIC CO COMMON 291011104 187 4240 SH SOLE 1 4240 0 0 EQUIFAX INC COMMON 294429105 6504 66930 SH SOLE 1 66930 0 0 ETHAN ALLEN INTERIORS INC COMMON 297602104 61 2300 SH SOLE 1 2300 0 0 EURONET WORLDWIDE INC COMMON 298736109 4079 55050 SH SOLE 1 55050 0 0 FMC CORP COMMON 302491303 1004 29600 SH SOLE 1 29600 0 0 F5 NETWORKS INC COMMON 315616102 1647 14225 SH SOLE 1 14225 0 0 FINISH LINE INC COMMON 317923100 1590 82400 SH SOLE 1 82400 0 0 FRANKLIN RESOURCES INC COMMON 354613101 458 12300 SH SOLE 1 12300 0 0 GALLAGHER ARTHUR J & CO COMMON 363576109 3145 76175 SH SOLE 1 76175 0 0 GENERAL DYNAMICS CORP COMMON 369550108 36367 263625 SH SOLE 1 263625 0 0 GENERAL ELECTRIC CO COMMON 369604103 22252 882300 SH SOLE 1 882300 0 0 GENERAL MILLS INC COMMON 370334104 573 10200 SH SOLE 1 10200 0 0 GENUINE PARTS CO COMMON 372460105 21352 257600 SH SOLE 1 257600 0 0 GILEAD SCIENCES INC COMMON 375558103 62348 634975 SH SOLE 1 634975 0 0 GODADDY INC-CLASS A COMMON 380237107 640 25400 SH SOLE 1 25400 0 0 GRACO INC COMMON 384109104 44 650 SH SOLE 1 650 0 0 GREENBRIER COS INC COMMON 393657101 612 19070 SH SOLE 1 19070 0 0 GULFPORT 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COMMON 505597104 33866 621053 SH SOLE 1 621053 0 0 LAUDER ESTEE COS INC COMMON 518439104 3720 46110 SH SOLE 1 46110 0 0 LINCOLN ELECTRIC HLDGS INC COMMON 533900106 784 14950 SH SOLE 1 14950 0 0 LIONS GATE ENTMNT CORP COMMON 535919203 2789 75775 SH SOLE 1 75775 0 0 LOCKHEED MARTIN CORP COMMON 539830109 43265 208695 SH SOLE 1 208695 0 0 MANHATTAN ASSOCIATES INC COMMON 562750109 2751 44150 SH SOLE 1 44150 0 0 MARSH & MCLENNAN COS INC COMMON 571748102 1304 24965 SH SOLE 1 24965 0 0 MARRIOTT INTERNATIONAL INC/DE CL A 571903202 2307 33832 SH SOLE 1 33832 0 0 MCDONALDS CORP COMMON 580135101 266 2700 SH SOLE 1 2700 0 0 MEN'S WEARHOUSE INC/THE COMMON 587118100 70 1650 SH SOLE 1 1650 0 0 MICROSOFT CORP COMMON 594918104 98988 2236505 SH SOLE 1 2236505 0 0 MONOLITHIC PWR SYS INC COMMON 609839105 105 2050 SH SOLE 1 2050 0 0 MOODYS CORP COMMON 615369105 19802 201650 SH SOLE 1 201650 0 0 MURPHY USA INC COMMON 626755102 65 1175 SH SOLE 1 1175 0 0 NEENAH PAPER INC COMMON 640079109 71 1225 SH SOLE 1 1225 0 0 NESTLE SA-SPONS ADR DEPOSITORY RECEI 641069406 3106 41285 SH SOLE 1 41285 0 0 NEW JERSEY RESOURCES CORP COMMON 646025106 21 700 SH SOLE 1 700 0 0 NICE SYSTEMS LTD ADR DEPOSITORY RECEI 653656108 214 3800 SH SOLE 1 3800 0 0 NIKE INC CL B 654106103 8435 68595 SH SOLE 1 68595 0 0 NORDSTROM INC COMMON 655664100 1226 17100 SH SOLE 1 17100 0 0 NOVAVAX INC COMMON 670002104 1015 143600 SH SOLE 1 143600 0 0 OCCIDENTAL PETROLEUM CORP COMMON 674599105 35513 536855 SH SOLE 1 536855 0 0 OLD NATL BANCORP IND COMMON 680033107 88 6350 SH SOLE 1 6350 0 0 ON ASSIGNMENT INC COMMON 682159108 2358 63900 SH SOLE 1 63900 0 0 POSCO ADR DEPOSITORY RECEI 693483109 39 1100 SH SOLE 1 1100 0 0 PACWEST BANCORP DEL COMMON 695263103 41490 969175 SH SOLE 1 969175 0 0 PEPSICO INC COMMON 713448108 82106 870685 SH SOLE 1 870685 0 0 PERKINELMER INC COMMON 714046109 1341 29175 SH SOLE 1 29175 0 0 PFIZER INC COMMON 717081103 79013 2515540 SH SOLE 1 2515540 0 0 PHILIP MORRIS INTERNATIONAL IN COMMON 718172109 3678 46360 SH SOLE 1 46360 0 0 POLARIS INDUSTRIES INC COMMON 731068102 7719 64395 SH SOLE 1 64395 0 0 POTLATCH CORP NEW COMMON 737630103 44 1525 SH SOLE 1 1525 0 0 POWER INTEGRATIONS INC COMMON 739276103 63 1500 SH SOLE 1 1500 0 0 PRICELINE.COM INC COMMON 741503403 9770 7899 SH SOLE 1 7899 0 0 PROCTER & GAMBLE CO COMMON 742718109 58863 818225 SH SOLE 1 818225 0 0 PROTO LABS INC COMMON 743713109 965 14400 SH SOLE 1 14400 0 0 PRUDENTIAL FINANCIAL INC COMMON 744320102 35423 464810 SH SOLE 1 464810 0 0 RAYTHEON CO COMMON 755111507 50421 461480 SH SOLE 1 461480 0 0 ROBERT HALF INTL INC COMMON 770323103 5026 98250 SH SOLE 1 98250 0 0 ROCHE HLDG LTD- SPONS ADR DEPOSITORY RECEI 771195104 2233 67780 SH SOLE 1 67780 0 0 ROCKWELL COLLINS INC COMMON 774341101 1162 14200 SH SOLE 1 14200 0 0 ROYAL DUTCH SHELL PLC ADR DEPOSITORY RECEI 780259107 223 4700 SH SOLE 1 4700 0 0 ROYAL DUTCH SHELL PLC-ADR DEPOSITORY RECEI 780259206 381 8050 SH SOLE 1 8050 0 0 RYDER SYS INC COMMON 783549108 41308 557915 SH SOLE 1 557915 0 0 ST JUDE MEDICAL INC COMMON 790849103 25346 401750 SH SOLE 1 401750 0 0 SANGAMO BIOSCIENCES INC COMMON 800677106 151 26725 SH SOLE 1 26725 0 0 SASOL LTD - ADR DEPOSITORY RECEI 803866300 120 4300 SH SOLE 1 4300 0 0 SCHLUMBERGER LTD COMMON 806857108 7087 102750 SH SOLE 1 102750 0 0 SCHULMAN A INC COMMON 808194104 50 1525 SH SOLE 1 1525 0 0 SCOTTS MIRACLE GRO CO COMMON 810186106 29215 480350 SH SOLE 1 480350 0 0 SERVICE CORP INTL COMMON 817565104 61 2250 SH SOLE 1 2250 0 0 SIEMENS A G - ADR DEPOSITORY RECEI 826197501 709 7935 SH SOLE 1 7935 0 0 SKECHERS U S A INC COMMON 830566105 1673 12475 SH SOLE 1 12475 0 0 JM SMUCKER CO COMMON 832696405 51360 450175 SH SOLE 1 450175 0 0 SNAP-ON INC COMMON 833034101 43190 286140 SH SOLE 1 286140 0 0 STARBUCKS CORP COMMON 855244109 47035 827500 SH SOLE 1 827500 0 0 STERICYCLE INC COMMON 858912108 4110 29500 SH SOLE 1 29500 0 0 STERIS CORP COMMON 859152100 1978 30450 SH SOLE 1 30450 0 0 STIFEL FINANCIAL CORP COMMON 860630102 1001 23787 SH SOLE 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SH SOLE 1 48900 0 0 COMP BRASIL-PAO DE ACUCA ADR DEPOSITORY RECEI 20440T201 54 4300 SH SOLE 1 4300 0 0 COMSCORE INC COMMON 20564W105 1678 36350 SH SOLE 1 36350 0 0 CONOCOPHILLIPS COMMON 20825C104 315 6562 SH SOLE 1 6562 0 0 DSW INC COMMON 23334L102 24179 955300 SH SOLE 1 955300 0 0 DIAGEO PLC ADR DEPOSITORY RECEI 25243Q205 5276 48945 SH SOLE 1 48945 0 0 EOG RESOURCES INC COMMON 26875P101 1532 21045 SH SOLE 1 21045 0 0 EQT CORP COMMON 26884L109 609 9400 SH SOLE 1 9400 0 0 EAGLE MATERIALS INC COMMON 26969P108 2533 37025 SH SOLE 1 37025 0 0 EAST WEST BANCORP INC COMMON 27579R104 92 2400 SH SOLE 1 2400 0 0 EMBRAER SA ADR DEPOSITORY RECEI 29082A107 262 10250 SH SOLE 1 10250 0 0 EMCOR GROUP INC COMMON 29084Q100 1678 37925 SH SOLE 1 37925 0 0 ENGIE ADR DEPOSITORY RECEI 29286D105 676 41975 SH SOLE 1 41975 0 0 EQUITY LIFESTYLE PPTYS INC COMMON 29472R108 79 1350 SH SOLE 1 1350 0 0 EVERCORE PARTNERS INC-CL A COMMON 29977A105 65 1300 SH SOLE 1 1300 0 0 EXPRESS SCRIPTS HOLDING CO COMMON 30219G108 5620 69417 SH SOLE 1 69417 0 0 EXXON MOBIL CORP COMMON 30231G102 766 10300 SH SOLE 1 10300 0 0 FACEBOOK INC-A COMMON 30303M102 7791 86660 SH SOLE 1 86660 0 0 FARMLAND PARTNERS INC COMMON 31154R109 69 6575 SH SOLE 1 6575 0 0 FEDEX CORP COMMON 31428X106 3264 22670 SH SOLE 1 22670 0 0 FIRST REPUBLIC BANK/CA COMMON 33616C100 4645 74000 SH SOLE 1 74000 0 0 G-III APPAREL GROUP LTD COMMON 36237H101 3981 64566 SH SOLE 1 64566 0 0 GOLDMAN SACHS GROUP INC COMMON 38141G104 37828 217700 SH SOLE 1 217700 0 0 GOOGLE INC CL A 38259P508 9767 15300 SH SOLE 1 15300 0 0 GOOGLE INC CL C 38259P706 9330 15334 SH SOLE 1 15334 0 0 GRUPO TELEVISA SA DE CV ADR DEPOSITORY RECEI 40049J206 68 2600 SH SOLE 1 2600 0 0 HALOZYME THERAPEUTICS INC COMMON 40637H109 1106 82350 SH SOLE 1 82350 0 0 ICICI BANK LTD ADR DEPOSITORY RECEI 45104G104 410 48900 SH SOLE 1 48900 0 0 IDEX CORP COMMON 45167R104 1159 16250 SH SOLE 1 16250 0 0 INCYTE CORP COMMON 45337C102 4188 37960 SH SOLE 1 37960 0 0 INNOPHOS HOLDINGS INC COMMON 45774N108 53 1325 SH SOLE 1 1325 0 0 INTERCONTINENTALEXCHANGE INC COMMON 45866F104 1574 6700 SH SOLE 1 6700 0 0 INVENSENSE INC COMMON 46123D205 503 54175 SH SOLE 1 54175 0 0 ISHARES MSCI INDIA ETF COMMON 46429B598 699 24450 SH SOLE 1 24450 0 0 JPMORGAN CHASE & CO COMMON 46625H100 90885 1490655 SH SOLE 1 1490655 0 0 JANUS CAPITAL GROUP INC COMMON 47102X105 72 5325 SH SOLE 1 5325 0 0 JD.COM INC ADR DEPOSITORY RECEI 47215P106 199 7650 SH SOLE 1 7650 0 0 K2M GROUP HLDGS INC COMMON 48273J107 764 41050 SH SOLE 1 41050 0 0 KINDER MORGAN INC COMMON 49456B101 15631 564700 SH SOLE 1 564700 0 0 MKS INSTRUMENTS INC COMMON 55306N104 96 2850 SH SOLE 1 2850 0 0 MACQUARIE INFRASTRUCTURE CORP COMMON 55608B105 42727 572288 SH SOLE 1 572288 0 0 MACYS INC COMMON 55616P104 41436 807395 SH SOLE 1 807395 0 0 MARATHON PETROLEUM CORP COMMON 56585A102 29573 638305 SH SOLE 1 638305 0 0 MCKESSON CORP COMMON 58155Q103 5300 28645 SH SOLE 1 28645 0 0 MERCK & CO INC COMMON 58933Y105 38244 774325 SH SOLE 1 774325 0 0 METLIFE INC COMMON 59156R108 141 3000 SH SOLE 1 3000 0 0 MONOGRAM RESIDENTIAL TR I COMMON 60979P105 43 4600 SH SOLE 1 4600 0 0 MONSANTO CO COMMON 61166W101 256 3000 SH SOLE 1 3000 0 0 MOSAIC CO/THE COMMON 61945C103 319 10250 SH SOLE 1 10250 0 0 NEXTERA ENERGY INC COMMON 65339F101 57363 588040 SH SOLE 1 588040 0 0 ORACLE CORP COMMON 68389X105 6048 167450 SH SOLE 1 167450 0 0 ORBITAL ATK INC COMMON 68557N103 3414 47500 SH SOLE 1 47500 0 0 PHYSICIANS RLTY TR COMMON 71943U104 1174 77825 SH SOLE 1 77825 0 0 PINNACLE FOODS INC COMMON 72348P104 67 1600 SH SOLE 1 1600 0 0 PRAXAIR INC COMMON 74005P104 2107 20685 SH SOLE 1 20685 0 0 PROVIDENT FINL SVCS INC COMMON 74386T105 100 5125 SH SOLE 1 5125 0 0 PUMA BIOTECHNOLOGY INC COMMON 74587V107 443 5875 SH SOLE 1 5875 0 0 RELX NV-SPON ADR DEPOSITORY RECEI 75955B102 1022 62060 SH SOLE 1 62060 0 0 SBA COMMUNICATIONS CORP COMMON 78388J106 7411 70755 SH SOLE 1 70755 0 0 SCHNEIDER ELECTRIC SE-UNSP ADR DEPOSITORY RECEI 80687P106 380 33960 SH SOLE 1 33960 0 0 SENSIENT TECHNOLOGIES COR COMMON 81725T100 78 1275 SH SOLE 1 1275 0 0 SIGNATURE BANK NY COMMON 82669G104 4725 34350 SH SOLE 1 34350 0 0 SKYWORKS SOLUTIONS INC COMMON 83088M102 34209 406230 SH SOLE 1 406230 0 0 SOLERA HOLDINGS INC COMMON 83421A104 1775 32875 SH SOLE 1 32875 0 0 SOUTHERN COPPER CORP COMMON 84265V105 91 3400 SH SOLE 1 3400 0 0 SYNCHRONOSS TECHNOLOGIES COMMON 87157B103 1588 48425 SH SOLE 1 48425 0 0 SYNAPTICS INC COMMON 87157D109 5020 60875 SH SOLE 1 60875 0 0 TARGA RESOURCES CORP COMMON 87612G101 17 325 SH SOLE 1 325 0 0 TEAM HEALTH HOLDINGS INC COMMON 87817A107 1967 36400 SH SOLE 1 36400 0 0 TEXAS CAPITAL BANCSHARES INC COMMON 88224Q107 351 6700 SH SOLE 1 6700 0 0 3M CO COMMON 88579Y101 42159 297375 SH SOLE 1 297375 0 0 TORTOISE ENERGY INFRSTRCT COMMON 89147L100 31127 1148158 SH SOLE 1 1148158 0 0 ULTA SALON COSMETICS & FRAG COMMON 90384S303 5137 31450 SH SOLE 1 31450 0 0 ULTIMATE SOFTWARE GROUP INC COMMON 90385D107 7389 41275 SH SOLE 1 41275 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 59101 509445 SH SOLE 1 509445 0 0 VAIL RESORTS INC COMMON 91879Q109 806 7700 SH SOLE 1 7700 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 100084 2300255 SH SOLE 1 2300255 0 0 VERTEX PHARMACEUTICALS INC COMMON 92532F100 1385 13300 SH SOLE 1 13300 0 0 VISA INC COMMON 92826C839 41021 588870 SH SOLE 1 588870 0 0 WEC ENERGY GROUP INC COMMON 92939U106 55021 1053645 SH SOLE 1 1053645 0 0 ZIMMER BIOMET HLDGS INC COMMON 98956P102 34564 367980 SH SOLE 1 367980 0 0 ALLERGAN INC COMMON G0177J108 11152 41027 SH SOLE 1 41027 0 0 AMBARELLA INC COMMON G037AX101 1167 20200 SH SOLE 1 20200 0 0 ACCENTURE PLC COMMON G1151C101 36467 371130 SH SOLE 1 371130 0 0 DELPHI AUTOMOTIVE PLC COMMON G27823106 24987 328605 SH SOLE 1 328605 0 0 FRESH DEL MONTE PRODUCE INC COMMON G36738105 67 1700 SH SOLE 1 1700 0 0 INGERSOLL-RAND COMPANY LTD CL A G47791101 1081 21300 SH SOLE 1 21300 0 0 INVESCO LTD COMMON G491BT108 35731 1144140 SH SOLE 1 1144140 0 0 JAZZ PHARMACEUTICALS PLC COMMON G50871105 1275 9600 SH SOLE 1 9600 0 0 LAZARD LTD. COMMON G54050102 983 22700 SH SOLE 1 22700 0 0 MEDTRONIC PLC COMMON G5960L103 133893 2000198 SH SOLE 1 2000198 0 0 NIELSEN HOLDINGS PLC COMMON G6518L108 26714 600730 SH SOLE 1 600730 0 0 PARTNERRE LTD COMMON G6852T105 361 2600 SH SOLE 1 2600 0 0 TYCO INTERNATIONAL PLC COMMON G91442106 1643 49100 SH SOLE 1 49100 0 0 VALIDUS HOLDINGS LTD COMMON G9319H102 17273 383250 SH SOLE 1 383250 0 0 GOLAR LNG LTD BERMUDA COMMON G9456A100 26 950 SH SOLE 1 950 0 0 ACE LTD ORD H0023R105 26752 258725 SH SOLE 1 258725 0 0 ORION ENGINEERED CARBONS COMMON L72967109 44 3050 SH SOLE 1 3050 0 0 ASML HOLDING NV NY REG SHS N07059210 328 3725 SH SOLE 1 3725 0 0 MOBILEYE N V AMSTELVEEN COMMON N51488117 1977 43475 SH SOLE 1 43475 0 0 LYONDELLBASELL INDUSTRIES COMMON N53745100 26032 312280 SH SOLE 1 312280 0 0 MYLAN NV COMMON N59465109 2442 60650 SH SOLE 1 60650 0 0 AVAGO TECHNOLOGIES LTD COMMON Y0486S104 68404 547190 SH SOLE 1 547190 0 0 ADVENT CLAY CONV SEC INC AGC AGC 007639107 1900 351704 SH SOLE 1 0 351704 0 ALLIANCE CALIF MUN INCOME AKP AKP 018546101 195 14283 SH SOLE 1 0 14283 0 ALLIANZGI CONV & INCOME FD II NCZ 018825109 245 46455 SH SOLE 1 0 46455 0 ALLIANZGI CONV & INCOME FD NC NCV 018828103 277 47532 SH SOLE 1 0 47532 0 BANCROFT FUND LTD BCV BCV 059695106 983 52545 SH SOLE 1 0 52545 0 BLACKROCK MUNI INC QUAL TR BY BYM 092479104 677 49031 SH SOLE 1 0 49031 0 BLACKROCK CREDIT ALLOCATION IN BTZ 092508100 21608 1775549 SH SOLE 1 0 1775549 0 BROOKFIELD MTG OPP INC FD BOI BOI 112792106 10838 735271 SH SOLE 1 0 735271 0 CENTER COAST MLP & INFRST CEN CEN 151461100 1749 149867 SH SOLE 1 0 149867 0 CLEARBRIDGE AMER ENG MLP FD C CBA 184691103 5228 545158 SH SOLE 1 0 545158 0 CUSHING MLP TOTAL RET FD SRV SRV 231631201 3054 259671 SH SOLE 1 0 259671 0 CUTWATER SELECT INCOME FUND CS CSI 232229104 3776 197891 SH SOLE 1 0 197891 0 DOUBLELINE OPP CRED FD DBL DBL 258623107 3043 122298 SH SOLE 1 0 122298 0 DREYFUS STRATEGIC MUNICIPALS L LEO 261932107 2724 333040 SH SOLE 1 0 333040 0 ELLSWORTH GROWTH & INCOME ECF ECF 289074106 2103 268932 SH SOLE 1 0 268932 0 FEDERATED ENHANCED TREASURY IN FTT 314162108 45143 3338961 SH SOLE 1 0 3338961 0 FIRST TR ABERDEEN GLB FAM FAM 337319107 242 24962 SH SOLE 1 0 24962 0 FLAHERTY & CRUMRINE PFD SECURI FFC 338478100 281 15000 SH SOLE 1 0 15000 0 FLAHERTY & CRUMRINE TOTAL RETU FLC 338479108 469 25180 SH SOLE 1 0 25180 0 FORT DEARBORN INCOME SECURITIE FDI 347200107 551 39078 SH SOLE 1 0 39078 0 FULL CIRCLE CAP CORP FULL FULL 359671104 577 188058 SH SOLE 1 0 188058 0 JOHN HANCOCK INCOME SECURITIES JHS 410123103 13509 969055 SH SOLE 1 0 969055 0 JN HANCOCK INV TRUST JHI JHI 410142103 696 47737 SH SOLE 1 0 47737 0 LIBERTY ALL STAR EQUITY FUND U USA 530158104 2506 493319 SH SOLE 1 0 493319 0 MFS CHARTER INCOME TRUST MCR MCR 552727109 13497 1741610 SH SOLE 1 0 1741610 0 MFS MULTIMARKET INCOME TRUST M MMT 552737108 2839 507931 SH SOLE 1 0 507931 0 MFS GOVERNMENT MARKETS INCOME MGF 552939100 2989 556594 SH SOLE 1 0 556594 0 MONTGOMERY STREET INCOME SECUR MTS 614115103 3423 196738 SH SOLE 1 0 196738 0 NUVEEN MN MUNI INCOME FD NMS NMS 670734102 2017 138594 SH SOLE 1 0 138594 0 NUVEEN MORTGAGE OPPORTUNITY TE JLS 670735109 3899 174044 SH SOLE 1 0 174044 0 NUVEEN PA INVESTMENT QUALITY M NQP 670972108 692 52779 SH SOLE 1 0 52779 0 NUVEEN MI QUALITY INCOME MUNIC NUM 670979103 211 15963 SH SOLE 1 0 15963 0 NUVEEN PREMIER MUNICIPAL INCOM NPF 670988104 675 51700 SH SOLE 1 0 51700 0 PIMCO HIGH INCOME FD PHK PHK 722014107 186 25000 SH SOLE 1 0 25000 0 PUTNAM PREMIER INCOME TRUST PP PPT 746853100 41476 8481710 SH SOLE 1 0 8481710 0 PUTNAM MASTER INTERMEDIATE INC PIM 746909100 31445 6972312 SH SOLE 1 0 6972312 0 PUTNAM MUNICIPAL OPPORTUNITIES PMO 746922103 78 6529 SH SOLE 1 0 6529 0 STRATEGIC GLOBAL INCOME F SGL SGL 862719101 8171 1030388 SH SOLE 1 0 1030388 0 TRANSAMERICA INCOME SHARES TAI TAI 893506105 6677 308243 SH SOLE 1 0 308243 0 WESTERN ASSET PREMIER WEA WEA 957664105 5562 446731 SH SOLE 1 0 446731 0 WESTERN ASSET VARIABLE RATE ST GFY 957667108 13920 896603 SH SOLE 1 0 896603 0 WESTERN ASSET WORLDWIDE INC FD SBW 957668106 2496 253951 SH SOLE 1 0 253951 0 ZWEIG TOTAL RETURN FD INC ZTR ZTR 989837208 25636 2244868 SH SOLE 1 0 2244868 0 ALLIANCEBERNSTEIN INCOME FUND ACG 01881E101 49934 6352947 SH SOLE 1 0 6352947 0 BLACKROCK CORE BOND TRUST BHK BHK 09249E101 16148 1249835 SH SOLE 1 0 1249835 0 BLACKROCK MUNIYIELD NY QUALITY MYN 09255E102 560 42800 SH SOLE 1 0 42800 0 ADVENT CLAYMORE ENH GRW & LCM LCM 00765E104 764 93114 SH SOLE 1 0 93114 0 BLACKROCK MUNIYIELD QUALITY FU MYI 09254E103 2924 209272 SH SOLE 1 0 209272 0 FIRST TRUST MORTGAGE INCOME FU FMY 33734E103 17190 1203786 SH SOLE 1 0 1203786 0 INVESCO ADVANTAGE MUNICIPAL IN VKI 46132E103 5554 489379 SH SOLE 1 0 489379 0 NUVEEN INVESTMENT QUALITY MUNI NQM 67062E103 29 1945 SH SOLE 1 0 1945 0 WESTERN ASSET EMRG MKT IN EMD EMD 95766E103 935 97762 SH SOLE 1 0 97762 0 FLAHERTY & CRUMRINE PFD INC P PFO 33848E106 320 31180 SH SOLE 1 0 31180 0 ALLIANCEBERNSTEIN NATIONAL MUN AFB 01864U106 787 59192 SH SOLE 1 0 59192 0 BLACKROCK INCOME TRUST BKT BKT 09247F100 33476 5305304 SH SOLE 1 0 5305304 0 BLACKROCK MUNI INC TR BFK BFK 09248F109 1006 71849 SH SOLE 1 0 71849 0 BLACKROCK MUNIC INCM INVS BBF BBF 09248H105 680 50028 SH SOLE 1 0 50028 0 BLACKROCK STRATEGIC MUNI TR B BSD 09248T109 164 12096 SH SOLE 1 0 12096 0 BLACKROCK TAXABLE MUNI BOND TR BBN 09248X100 6980 345873 SH SOLE 1 0 345873 0 BLACKROCK LONG-TERM MUNICIPAL BTA 09250B103 8457 768136 SH SOLE 1 0 768136 0 BLACKROCK MUNIHOLDINGS FUND II MUH 09253P109 2669 178633 SH SOLE 1 0 178633 0 BLACKROCK MUNIYIELD FUND MYD MYD 09253W104 345 24302 SH SOLE 1 0 24302 0 BLACKROCK MUNIENHANCED FD MEN MEN 09253Y100 1598 141194 SH SOLE 1 0 141194 0 BLACKROCK MUNIHOLDNGS QUAL FUN MUS 09254A101 3675 284626 SH SOLE 1 0 284626 0 BLACKROCK MUNIHOLDINGS QUALITY MUE 09254C107 3789 286381 SH SOLE 1 0 286381 0 BLACKROCK MUNIYIELD QUALITY FU MQT 09254G108 2443 191775 SH SOLE 1 0 191775 0 BLACKROCK MUNIHOLDINGS INVESTM MFL 09254P108 5528 391216 SH SOLE 1 0 391216 0 BLACKROCK MUNIYIELD INVESTMENT MYF 09254R104 1852 123729 SH SOLE 1 0 123729 0 BLACKROCK MUNIYIELD INVESTMENT MFT 09254T100 3799 281397 SH SOLE 1 0 281397 0 BLACKROCK MUNIYIELD MI QUALITY MIY 09254V105 4874 369774 SH SOLE 1 0 369774 0 BLACKROCK MUNIHOLDINGS NY QUAL MHN 09255C106 232 17000 SH SOLE 1 0 17000 0 BLACKROCK MUNIYIELD PA QUALITY MPA 09255G107 702 51700 SH SOLE 1 0 51700 0 BLACKROCK ENHANCED GOVERNMENT EGF 09255K108 29510 2141534 SH SOLE 1 0 2141534 0 BLACKROCK DEBT STRATEGIES FD D DSU 09255R103 3289 984624 SH SOLE 1 0 984624 0 BROOKFIELD TOTAL RETURN FUND H HTR 11283U108 34443 1615517 SH SOLE 1 0 1615517 0 CLEARBRIDGE ENERGY MLP OPP FD EMO 18469P100 8862 614550 SH SOLE 1 0 614550 0 CLEARBRIDGE ENERGY MLP TR CTR CTR 18469Q108 7196 523310 SH SOLE 1 0 523310 0 COHEN & STEERS SLCT PFD & INC PSF 19248Y107 251 10782 SH SOLE 1 0 10782 0 COHEN & STEERS MLP INC & ENG O MIE 19249B106 4961 415847 SH SOLE 1 0 415847 0 CORNERSTONE TOTAL RETURN CRF CRF 21924U300 20140 1253282 SH SOLE 1 0 1253282 0 DELAWARE INVESTMENTS MN MUNICI VMM 24610V103 4094 311350 SH SOLE 1 0 311350 0 DEUTSCHE HIGH INCOME OPPORT FD DHG 25158Y102 19032 1447303 SH SOLE 1 0 1447303 0 DEUTSCHE MUNICIPAL INCOME TRUS KTF 25160C106 10550 806584 SH SOLE 1 0 806584 0 DIVERSIFIED REAL ASSET INCOME DRA 25533B108 11283 701653 SH SOLE 1 0 701653 0 DREYFUS STRATEGIC MUNICIPAL BO DSM 26202F107 3827 489976 SH SOLE 1 0 489976 0 DUFF & PHELPS UTILITY AND CORP DUC 26432K108 33219 3504127 SH SOLE 1 0 3504127 0 DUFF & PHELPS SLCT ENGY MLP FD DSE 26433F108 328 45000 SH SOLE 1 0 45000 0 EATON VANCE MUNICIPAL BOND FUN EIM 27827X101 928 74197 SH SOLE 1 0 74197 0 EATON VANCE CA MUNICIPAL BOND EIA 27828C106 255 20318 SH SOLE 1 0 20318 0 EATON VANCE LIMITED DURATION I EVV 27828H105 24833 1958459 SH SOLE 1 0 1958459 0 EATON VANCE SHORT DUR DIVERSIF EVG 27828V104 40274 3044131 SH SOLE 1 0 3044131 0 EATON VANCE TAX ADV FD EXD EXD 27829M103 5164 422919 SH SOLE 1 0 422919 0 FIDUCIARY CLAYMORE MLP OPP FD FMO 31647Q106 2417 154530 SH SOLE 1 0 154530 0 FIRST TR ENERGY INC & GRWTH FD FEN 33738G104 8361 329298 SH SOLE 1 0 329298 0 FIRST TR MLP & ENERGY INC FE FEI 33739B104 1591 100067 SH SOLE 1 0 100067 0 FIRST TR NEW OPP MLP & ENG FD FPL 33739M100 1915 154183 SH SOLE 1 0 154183 0 FIRSTHAND TECHNOLOGY VALUE FUN SVVC 33766Y100 2491 292743 SH SOLE 1 0 292743 0 FRANKLIN LIMITED DURATION INCO FTF 35472T101 32664 2996716 SH SOLE 1 0 2996716 0 GLOBAL HIGH INCOME FUND GHI GHI 37933G108 2261 292877 SH SOLE 1 0 292877 0 JOHN HANCOCK PREFERRED INCOME HPS 41021P103 224 13471 SH SOLE 1 0 13471 0 INVESCO MUNICIPAL TRUST VKQ VKQ 46131J103 3149 256469 SH SOLE 1 0 256469 0 INVESCO TRUST FOR INVESTMENT G VGM 46131M106 4163 321986 SH SOLE 1 0 321986 0 INVESCO TRUST FOR INVESTMENT G VTN 46131T101 218 15800 SH SOLE 1 0 15800 0 INVESCO MUNICIPAL OPPORTUNITY VMO 46132C107 5742 456472 SH SOLE 1 0 456472 0 INVESCO CA VALUE MUNICIPAL INC VCV 46132H106 251 20000 SH SOLE 1 0 20000 0 INVESCO PA VALUE MUNICIPAL INC VPV 46132K109 2663 217209 SH SOLE 1 0 217209 0 INVESCO BD FD VBF VBF 46132L107 4419 250659 SH SOLE 1 0 250659 0 INVESCO QUALITY MUNICIPAL INCO IQI 46133G107 3393 279246 SH SOLE 1 0 279246 0 KAYNE ANDERSON ENERGY DEV CO KED 48660Q102 2286 106878 SH SOLE 1 0 106878 0 MFS INTER INC TRUST MIN MIN 55273C107 25196 5537595 SH SOLE 1 0 5537595 0 MANAGED DURATION INVESTMENT GR MZF 56165R103 1719 128994 SH SOLE 1 0 128994 0 MORGAN STANLEY INCOME SECURITI ICB 61745P874 4352 250392 SH SOLE 1 0 250392 0 NEUBERGER BERMAN MLP INCO NML NML 64129H104 1657 138400 SH SOLE 1 0 138400 0 NEXPOINT CRED STRAT FD NHF NHF 65340G106 515 90013 SH SOLE 1 0 90013 0 NUVEEN MUNICIPAL ADVANTAGE FUN NMA 67062H106 137 10300 SH SOLE 1 0 10300 0 NUVEEN QUAL MUNI FD INC NQI NQI 67062N103 4983 382733 SH SOLE 1 0 382733 0 NUVEEN PERFORMANCE PLUS MUNICI NPP 67062P108 766 54016 SH SOLE 1 0 54016 0 NUVEEN PREM INCOME MUN FD NPI NPI 67062T100 1926 143716 SH SOLE 1 0 143716 0 NUVEEN PREMIUM INCOME MUNICIPA NPM 67063W102 5779 423346 SH SOLE 1 0 423346 0 NUVEEN DIVIDEND ADVANTAGE MUNI NAD 67066V101 1369 99397 SH SOLE 1 0 99397 0 NUVEEN DIV ADVANTAGE MUN NXZ NXZ 67070F100 150 11021 SH SOLE 1 0 11021 0 NUVEEN DIVIDEND ADVANTAGE MUNI NVG 67071L106 1809 129835 SH SOLE 1 0 129835 0 NUVEEN QUALITY PREFERRED INCOM JPS 67072C105 59 6700 SH SOLE 1 0 6700 0 NUVEEN QUALITY PREFERRED INCOM JHP 67072W101 551 68702 SH SOLE 1 0 68702 0 NUVEEN PREFERRED INCOME OPPORT JPC 67073B106 997 110909 SH SOLE 1 0 110909 0 NUVEEN BUILD AMERICAN BOND TER NBB 67074C103 4358 221806 SH SOLE 1 0 221806 0 NUVEEN BUILD AMERICA BOND OPPO NBD 67074Q102 6423 330747 SH SOLE 1 0 330747 0 NUVEEN MORTGAGE OPPORTUNITY TE JMT 67074R100 2891 133182 SH SOLE 1 0 133182 0 NUVEEN ENERGY MLP TOT RT FD J JMF 67074U103 8585 682970 SH SOLE 1 0 682970 0 NUVEEN PFD & INCOME TERM FD JP JPI 67075A106 457 20871 SH SOLE 1 0 20871 0 NUVEEN GLOBAL HIGH INCOME JGH JGH 67075G103 1709 118517 SH SOLE 1 0 118517 0 NUVEEN MULTI-MARKET INCOME FD JMM 67075J107 12785 1839575 SH SOLE 1 0 1839575 0 PENNANTPARK FLOATING RATE CAPI PFLT 70806A106 1798 150586 SH SOLE 1 0 150586 0 PIMCO CORPORATE INCOME FD PCN PCN 72200U100 2409 183311 SH SOLE 1 0 183311 0 PIMCO MUNI INCOME FUND II PML PML 72200W106 1011 84101 SH SOLE 1 0 84101 0 PIMCO STRATEGIC INCOME FUND RC RCS 72200X104 8102 948670 SH SOLE 1 0 948670 0 PIMCO CORPORATE OPP FD PTY PTY 72201B101 1473 110789 SH SOLE 1 0 110789 0 PIMCO INCOME STRATEGY FUND PFL PFL 72201H108 7030 726278 SH SOLE 1 0 726278 0 PIMCO INCOME STRATEGY FUND II PFN 72201J104 6859 775928 SH SOLE 1 0 775928 0 PIMCO DYNAMIC INCOME FUND PDI PDI 72201Y101 15607 541905 SH SOLE 1 0 541905 0 PIMCO INCOME OPPORTUNITY FUND PKO 72202B100 1280 56013 SH SOLE 1 0 56013 0 PIMCO DYNAMIC CRED INC FD PCI PCI 72202D106 13956 763855 SH SOLE 1 0 763855 0 PIONEER HIGH INCOME TR PHT PHT 72369H106 3322 322523 SH SOLE 1 0 322523 0 SALIENT MIDSTREAM & MLP FD SM SMM 79471V105 2042 145947 SH SOLE 1 0 145947 0 SPECIAL OPPORTUNITIES FD SPE SPE 84741T104 6167 438323 SH SOLE 1 0 438323 0 TORTOISE MLP FD INC NTG NTG 89148B101 9369 511397 SH SOLE 1 0 511397 0 VIRTUS GLOBAL MULTI-SEC INC FD VGI 92829B101 1887 131981 SH SOLE 1 0 131981 0 WELLS FARGO ADVANTAGE MULTI-SE ERC 94987D101 15460 1362086 SH SOLE 1 0 1362086 0 WESTERN ASSET EMRG MKT DE ESD ESD 95766A101 2218 166501 SH SOLE 1 0 166501 0 WESTERN ASSET GLOBAL HIGH INCO EHI 95766B109 5413 603425 SH SOLE 1 0 603425 0 WESTERN ASSET MUNICIPAL PARTNE MNP 95766P108 329 22077 SH SOLE 1 0 22077 0