0000920112-13-000074.txt : 20131031
0000920112-13-000074.hdr.sgml : 20131031
20131030175319
ACCESSION NUMBER: 0000920112-13-000074
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130930
FILED AS OF DATE: 20131031
DATE AS OF CHANGE: 20131030
EFFECTIVENESS DATE: 20131031
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DUBUQUE BANK & TRUST CO
CENTRAL INDEX KEY: 0000933482
IRS NUMBER: 420223620
STATE OF INCORPORATION: IA
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10581
FILM NUMBER: 131180330
BUSINESS ADDRESS:
STREET 1: 1398 CENTRAL AVE.
CITY: DUBUQUE
STATE: IA
ZIP: 52001
BUSINESS PHONE: 3195892000
MAIL ADDRESS:
STREET 1: 1398 CENTRAL
CITY: DUBUQUE
STATE: IA
ZIP: 52001
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
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0000933482
XXXXXXXX
09-30-2013
09-30-2013
DUBUQUE BANK & TRUST CO
1398 CENTRAL
DUBUQUE
IA
52001
13F HOLDINGS REPORT
028-10581
N
Bruce C. Rehmke
Executive Vice President, Wealth Management Group
563-589-2000
/s/ Bruce C. Rehmke
Dubuque
IA
10-30-2013
0
498
526294
false
INFORMATION TABLE
2
form13fhr2013q3information.xml
INFORMATION TABLE
ABB Limited - ADR
Com
000375204
4
160
SH
DFND
0
0
160
Aflac Inc.
Com
001055102
3
50
SH
DFND
0
0
50
Alerian MLP ETF
Com
00162Q866
4
230
SH
SOLE
230
0
0
AT&T Inc
Com
00206R102
308
9114
SH
SOLE
9114
0
0
AZZ Incorporated
Com
002474104
350
8355
SH
SOLE
8355
0
0
AZZ Incorporated
Com
002474104
12
275
SH
DFND
275
0
0
Abbott Laboratories
Com
002824100
3312
99782
SH
SOLE
98212
0
1570
Abbvie Inc
Com
00287Y109
20
450
SH
SOLE
350
0
100
Air Products & Chemicals Inc.
Com
009158106
43
400
SH
SOLE
400
0
0
Alcoa Inc
Com
013817101
1389
171075
SH
SOLE
168330
0
2745
Alere Inc Perp Pfd Conv Ser B
Pfd Stk
01449J204
4598
17686
SH
SOLE
17422
0
264
Allergan Inc
Com
018490102
6
63
SH
SOLE
63
0
0
Alliant Energy Corp
Com
018802108
165
3332
SH
SOLE
3332
0
0
Allstate Corporation
Com
020002101
23
458
SH
SOLE
458
0
0
Altria Group Inc
Com
02209S103
114
3309
SH
SOLE
3309
0
0
Altria Group Inc
Com
02209S103
17
500
SH
DFND
500
0
0
Amazon.Com Inc.
Com
023135106
9
30
SH
SOLE
30
0
0
Ameren Corp
Com
023608102
74
2115
SH
SOLE
2015
0
100
American Electric Power
Com
025537101
8
182
SH
SOLE
182
0
0
American Express
Com
025816109
6677
88415
SH
SOLE
86960
0
1455
American International Group,
Com
026874784
7717
158697
SH
SOLE
155522
0
3175
American Water Works Co., Inc.
Com
030420103
88
2130
SH
SOLE
2130
0
0
American Water Works Co., Inc.
Com
030420103
8
200
SH
DFND
200
0
0
Ameriprise Financial Inc
Com
03076C106
226
2486
SH
SOLE
2486
0
0
Amgen Inc
Com
031162100
84
748
SH
SOLE
748
0
0
Amgen Inc
Com
031162100
224
2000
SH
DFND
2000
0
0
Anadarko Petroleum Corp.
Com
032511107
44
469
SH
SOLE
469
0
0
Analog Devices
Com
032654105
22
477
SH
SOLE
477
0
0
Anheuser-Busch InBev SPN ADR
Com
03524A108
14
142
SH
SOLE
142
0
0
Annaly Capital Mgmt
Com
035710409
2731
235827
SH
SOLE
231747
0
4080
Apache Corporation
Com
037411105
6828
80201
SH
SOLE
78651
0
1550
Apache Corporation
Com
037411105
2
25
SH
DFND
0
0
25
Apple Computer Inc.
Com
037833100
7035
14757
SH
SOLE
14492
0
265
Ares Capital Corporation
Com
04010L103
10
585
SH
SOLE
585
0
0
Arlington Asset Investment
Com
041356205
83
3475
SH
SOLE
3475
0
0
ARM Holdings plc - Spon ADR
Com
042068106
17
350
SH
SOLE
350
0
0
Ashland Inc
Com
044209104
21
225
SH
SOLE
225
0
0
Associated Estates Realty Corp
Com
045604105
903
60555
SH
SOLE
60555
0
0
Astrazeneca PLC Sponsored ADR
Com
046353108
52
1000
SH
SOLE
1000
0
0
Atmos Energy Corp
Com
049560105
11
260
SH
SOLE
260
0
0
Autodesk,Inc.
Com
052769106
20
490
SH
SOLE
490
0
0
Aviat Networks Inc.
Com
05366Y102
3
1000
SH
SOLE
1000
0
0
BP PLC Sponsored ADR
Com
055622104
21
500
SH
SOLE
0
0
500
BT Group PLC - Spon ADR
Com
05577E101
16
294
SH
SOLE
294
0
0
Baidu Inc. - Spon ADR
Com
056752108
3
21
SH
SOLE
21
0
0
Baker Hughes Inc.
Com
057224107
10
200
SH
SOLE
200
0
0
Bank Of America Corporation
Com
060505104
7692
557380
SH
SOLE
545860
0
11520
Bank of Hawaii Corp
Com
062540109
12
216
SH
SOLE
216
0
0
iPath U.S. Treasury Steepener
Com
06740L477
32
820
SH
SOLE
820
0
0
Baxter International Inc
Com
071813109
4472
68074
SH
SOLE
66934
0
1140
Baxter International Inc
Com
071813109
5
70
SH
DFND
0
0
70
Becton Dickinson & Co
Com
075887109
283
2830
SH
SOLE
2830
0
0
Bed Bath & Beyond Inc.
Com
075896100
3
45
SH
DFND
0
0
45
Berkshire Hathaway Inc. CL B
Com
084670702
11
100
SH
SOLE
100
0
0
BHP Billiton Ltd-Spon ADR
Com
088606108
6
85
SH
SOLE
85
0
0
BlackRock High Yield Bond Inst
Com
091929638
0
25
SH
SOLE
0
0
25
BlackRock, Inc.
Com
09247X101
10
36
SH
SOLE
36
0
0
Blackrock Real Asset Equity Tr
Com
09254B109
12
1375
SH
SOLE
1375
0
0
Boardwalk Pipeline Partners, L
Com
096627104
41
1350
SH
DFND
1350
0
0
Boeing Company
Com
097023105
21
176
SH
SOLE
76
0
100
Borgwarner Inc
Com
099724106
16
157
SH
SOLE
157
0
0
Boston Scientific Corp
Com
101137107
2
156
SH
SOLE
156
0
0
Bristol Myers Squibb Co
Com
110122108
602
13000
SH
SOLE
13000
0
0
Broadcom Corp. - Cl A
Com
111320107
7319
281280
SH
SOLE
276300
0
4980
Brookfield Total Return Fund
Com
11283U108
5
212
SH
SOLE
212
0
0
CBS Corp - Class B
Com
124857202
53
963
SH
SOLE
963
0
0
C.H. Robinson Worldwide, Inc.
Com
12541W209
12
200
SH
SOLE
200
0
0
Cigna Corp
Com
125509109
3169
41235
SH
SOLE
39405
0
1830
Chicago Mercantile Exchange
Com
12572Q105
2044
27660
SH
SOLE
27200
0
460
CVS/Caremark Corp
Com
126650100
14
245
SH
SOLE
245
0
0
Cameron Intl Corp
Com
13342B105
12
200
SH
SOLE
200
0
0
Celgene Corp
Com
151020104
84
543
SH
SOLE
543
0
0
Cerner Corp
Com
156782104
33
628
SH
SOLE
628
0
0
ChevronTexaco Corp
Com
166764100
592
4873
SH
SOLE
4873
0
0
ChevronTexaco Corp
Com
166764100
16
135
SH
DFND
0
0
135
Chicago Bridge & Iron Co. - AD
Com
167250109
41
600
SH
SOLE
600
0
0
Chubb Corp
Com
171232101
13
150
SH
SOLE
150
0
0
Cisco Systems Inc.
Com
17275R102
2102
89702
SH
SOLE
87977
0
1725
Cisco Systems Inc.
Com
17275R102
12
500
SH
DFND
0
0
500
Citigroup Inc.
Com
172967424
7
135
SH
SOLE
135
0
0
Citrix Systems Inc
Com
177376100
21
304
SH
SOLE
304
0
0
Guggenheim Bulletshares 2015
Com
18383M423
2043
76475
SH
SOLE
74275
0
2200
Guggenheim Bulletshares 2014
Com
18383M431
171
6400
SH
SOLE
6400
0
0
Clean Harbors, Inc.
Com
184496107
363
6195
SH
SOLE
6195
0
0
Clean Harbors, Inc.
Com
184496107
9
150
SH
DFND
150
0
0
Clean Energy Fuels Corp.
Com
184499101
36
2785
SH
SOLE
2785
0
0
Clean Energy Fuels Corp.
Com
184499101
6
500
SH
DFND
500
0
0
Cliffs Natural Resources Inc.
Com
18683K101
1257
61300
SH
SOLE
60350
0
950
Coca Cola Co
Com
191216100
263
6950
SH
SOLE
6750
0
200
Coca Cola Co
Com
191216100
8
200
SH
DFND
0
0
200
Comcast Corp Cl A
Com
20030N101
14
300
SH
SOLE
300
0
0
Comcast Corp - Special Cl A
Com
20030N200
4
100
SH
SOLE
100
0
0
Comerica Inc
Com
200340107
1859
47280
SH
SOLE
46500
0
780
Community Health Systems Inc
Com
203668108
8
200
SH
SOLE
200
0
0
Computer Programs & Systems, I
Com
205306103
384
6560
SH
SOLE
6560
0
0
Computer Programs & Systems, I
Com
205306103
12
200
SH
DFND
200
0
0
Conagra Inc
Com
205887102
251
8280
SH
SOLE
8280
0
0
ConocoPhillips
Com
20825C104
350
5041
SH
SOLE
5041
0
0
ConocoPhillips
Com
20825C104
7
100
SH
DFND
0
0
100
Consolidated Edison Inc
Com
209115104
58
1058
SH
SOLE
1058
0
0
Corning Inc.
Com
219350105
336
23010
SH
SOLE
23010
0
0
Corning Inc.
Com
219350105
9
650
SH
DFND
650
0
0
Corrections Corp Of America
Com
22025Y407
12
337
SH
SOLE
0
0
337
Costco Wholesale Corp
Com
22160K105
62
535
SH
SOLE
535
0
0
Crown Castle International Cor
Com
228227104
2095
28680
SH
SOLE
28240
0
440
Cummins Inc.
Com
231021106
376
2830
SH
SOLE
2830
0
0
Danaher Corp
Com
235851102
76
1097
SH
SOLE
1097
0
0
Darden Restaurants Inc
Com
237194105
176
3805
SH
SOLE
3805
0
0
Darden Restaurants Inc
Com
237194105
2
45
SH
DFND
0
0
45
Deere & Company
Com
244199105
4703
57789
SH
SOLE
56919
0
870
Deluxe Check Printer
Com
248019101
365
8765
SH
SOLE
8765
0
0
Deluxe Check Printer
Com
248019101
10
250
SH
DFND
250
0
0
PowerShares DB Gold Short ETN
Com
25154H731
35
2445
SH
SOLE
2445
0
0
PowerShares DB Oil 2x Short
Com
25154K809
36
1065
SH
SOLE
1065
0
0
Devon Energy Corp
Com
25179M103
3
50
SH
DFND
0
0
50
Diageo PLC - ADR
Com
25243Q205
77
605
SH
SOLE
605
0
0
DiamondRock Hospitality Co
Com
252784301
2
200
SH
DFND
0
0
200
DineEquity Inc.
Com
254423106
2
31
SH
SOLE
0
0
31
Disney
Com
254687106
99
1531
SH
SOLE
1531
0
0
Disney
Com
254687106
4
55
SH
DFND
0
0
55
Discover Financial Services
Com
254709108
93
1850
SH
SOLE
1850
0
0
DIRECTV
Com
25490A309
2727
45620
SH
SOLE
44710
0
910
Dollar General
Com
256677105
6
115
SH
SOLE
115
0
0
Dominion Resources Inc/VA New
Com
25746U109
9
152
SH
SOLE
152
0
0
Donaldson Company, Inc.
Com
257651109
364
9535
SH
SOLE
9535
0
0
Donaldson Company, Inc.
Com
257651109
10
250
SH
DFND
250
0
0
DoubleLine Total Return Bond F
Com
258620103
14333
1307750
SH
SOLE
1280538
0
27212
DoubleLine Total Return Bond F
Com
258620103
47
4280
SH
DFND
4280
0
0
Dow Chemical
Com
260543103
4
100
SH
SOLE
0
0
100
Dow Chemical
Com
260543103
3
70
SH
DFND
0
0
70
Dupont, E.I. De Nemours & Co.
Com
263534109
32
540
SH
DFND
500
0
40
Duke Energy Corp
Com
26441C204
21
320
SH
SOLE
320
0
0
DuPont Fabros Technology
Com
26613Q106
4
160
SH
SOLE
160
0
0
EMC Corporation
Com
268648102
91
3551
SH
SOLE
3551
0
0
ETFS Physical Palladium Shares
Com
26923A106
108
1520
SH
SOLE
1520
0
0
Eaton Vance Corporation
Com
278265103
4
100
SH
DFND
0
0
100
Eaton Vance Short Duration Div
Com
27828V104
46
3000
SH
SOLE
3000
0
0
Ebay Inc
Com
278642103
41
741
SH
SOLE
741
0
0
Ecolab Inc
Com
278865100
30
300
SH
SOLE
300
0
0
Edwards Lifesciences Corp
Com
28176E108
7
100
SH
SOLE
100
0
0
Emerson Electric Co.
Com
291011104
58
900
SH
SOLE
900
0
0
Endo Pharmaceuticals Holdings
Com
29264F205
34
747
SH
SOLE
747
0
0
Energizer Holdings, Inc.
Com
29266R108
1
12
SH
SOLE
12
0
0
Ennis Inc
Com
293389102
32
1750
SH
SOLE
1750
0
0
Entergy Corp.
Com
29364G103
4469
70728
SH
SOLE
69423
0
1305
Entergy Corp.
Com
29364G103
63
1000
SH
DFND
1000
0
0
Enterprise Products Partnershi
Com
293792107
92
1500
SH
SOLE
1500
0
0
Equifax Inc
Com
294429105
72
1200
SH
SOLE
1200
0
0
Equinix, Inc.
Com
29444U502
15
81
SH
SOLE
81
0
0
Exelon Corp
Com
30161N101
1945
65615
SH
SOLE
64425
0
1190
Express Scripts Holding Co
Com
30219G108
312
5053
SH
SOLE
5053
0
0
Express Scripts Holding Co
Com
30219G108
17
269
SH
DFND
194
0
75
Exxon Mobil Corp
Com
30231G102
634
7371
SH
SOLE
6871
0
500
Exxon Mobil Corp
Com
30231G102
361
4200
SH
DFND
4000
0
200
Facebook Inc A Shares
Com
30303M102
18
350
SH
SOLE
350
0
0
Fastenal Co.
Com
311900104
5
100
SH
SOLE
100
0
0
Fidelity High Income Fund #455
Com
316146406
74
7956
SH
SOLE
7956
0
0
First Solar Inc
Com
336433107
12
300
SH
SOLE
300
0
0
NASDAQ Auto Index ETF
Com
33734X309
2387
61435
SH
SOLE
60220
0
1215
Firstenergy Corp
Com
337932107
3
86
SH
SOLE
86
0
0
Flexshares Morningstar Global
Com
33939L407
15
452
SH
SOLE
452
0
0
Flowserve Corporation
Com
34354P105
14
225
SH
SOLE
225
0
0
Ford Motor Company
Com
345370860
46
2700
SH
SOLE
2700
0
0
Forest Laboratories Inc
Com
345838106
40
946
SH
SOLE
946
0
0
Franklin Resources Inc
Com
354613101
17
333
SH
SOLE
333
0
0
Freeport-McMoran Copper & Gold
Com
35671D857
13
400
SH
SOLE
400
0
0
Fusion-io Inc
Com
36112J107
1
50
SH
SOLE
50
0
0
General Electric
Com
369604103
733
30675
SH
SOLE
30055
0
620
General Electric
Com
369604103
143
6000
SH
DFND
5500
0
500
General Mills
Com
370334104
55
1147
SH
SOLE
1147
0
0
General Motors Co.
Com
37045V100
2
55
SH
SOLE
55
0
0
Gentex Corp
Com
371901109
9
346
SH
SOLE
346
0
0
Gilead Sciences Inc
Com
375558103
54
854
SH
SOLE
854
0
0
GlaxoSmithKline PLC - ADR
Com
37733W105
11
226
SH
SOLE
226
0
0
Goldman Sachs Group Inc.
Com
38141G104
10
62
SH
SOLE
62
0
0
Goldman Sachs Strategic Income
Com
38145C646
11928
1138151
SH
SOLE
1115441
0
22710
Goldman Sachs Strategic Income
Com
38145C646
28
2707
SH
DFND
2707
0
0
Google Inc - Cl A
Com
38259P508
2729
3116
SH
SOLE
3050
0
66
Green Mountain Coffee Roasters
Com
393122106
23
300
SH
SOLE
300
0
0
HCP Inc
Com
40414L109
353
8625
SH
SOLE
8625
0
0
HCP Inc
Com
40414L109
7
180
SH
DFND
180
0
0
Hain Celestial Group Inc
Com
405217100
8
106
SH
SOLE
106
0
0
Halliburton Co
Com
406216101
63
1300
SH
SOLE
1100
0
200
Hanesbrands Inc.
Com
410345102
1
12
SH
SOLE
12
0
0
Harman International
Com
413086109
4198
63384
SH
SOLE
62039
0
1345
Harris Corp Del
Com
413875105
197
3325
SH
SOLE
3325
0
0
Hasbro Inc
Com
418056107
199
4225
SH
SOLE
4125
0
100
Hawaiian Electric
Com
419870100
171
6815
SH
SOLE
6815
0
0
Healthcare Services Group, Inc
Com
421906108
363
14095
SH
SOLE
14095
0
0
Healthcare Services Group, Inc
Com
421906108
12
450
SH
DFND
450
0
0
Heartland Financial USA Inc.
Com
42234Q102
40379
1449353
SH
SOLE
1407936
0
41417
Heartland Financial USA Inc.
Com
42234Q102
8114
291233
SH
DFND
291233
0
0
Heartland Financial USA Inc.
Com
42234Q102
70
2500
SH
OTR
0
0
2500
Helmerich & Payne Inc
Com
423452101
345
5000
SH
SOLE
5000
0
0
Helmerich & Payne Inc
Com
423452101
10
150
SH
DFND
150
0
0
Hess Corporation
Com
42809H107
63
810
SH
SOLE
810
0
0
Home Depot Inc
Com
437076102
145
1916
SH
SOLE
1916
0
0
Honeywell Intl Inc
Com
438516106
238
2866
SH
SOLE
2216
0
650
Hospitality Properties Trust
Com
44106M102
3
90
SH
DFND
0
0
90
Hubbell Inc., Class B
Com
443510201
14
134
SH
SOLE
134
0
0
Hyatt Hotels Corp - Cl A
Com
448579102
4
100
SH
SOLE
0
0
100
ING Global Real Estate
Com
44980R326
390
21224
SH
SOLE
21224
0
0
Illinois Tool Works Inc.
Com
452308109
8
100
SH
SOLE
100
0
0
Illinois Tool Works Inc.
Com
452308109
5
60
SH
DFND
0
0
60
Intel Corp
Com
458140100
246
10749
SH
SOLE
10749
0
0
Intel Corp
Com
458140100
7
300
SH
DFND
0
0
300
IntercontinentalExchange Inc.
Com
45865V100
12
65
SH
SOLE
65
0
0
IBM
Com
459200101
5695
30752
SH
SOLE
30097
0
655
International Paper
Com
460146103
13
292
SH
SOLE
292
0
0
iShares MSCI Mexico Investable
Com
464286822
65
1025
SH
SOLE
1025
0
0
iShares S&P 100 Index Fund
Com
464287101
560
7480
SH
SOLE
7480
0
0
iShares Dow Jones Select Divid
Com
464287168
26
390
SH
SOLE
390
0
0
iShares S&P 500 Index Fund
Com
464287200
306
1813
SH
SOLE
1813
0
0
iShares MSCI Emerging Markets
Com
464287234
86
2100
SH
SOLE
2100
0
0
iShares Russell MidCap Index F
Com
464287499
59
425
SH
SOLE
425
0
0
iShares Russell 2000
Com
464287655
42
390
SH
SOLE
390
0
0
iShares MSCI Asia Ex-Japan Ind
Com
464288182
117
2000
SH
DFND
2000
0
0
iShares S&P National Municipal
Com
464288414
4209
40286
SH
SOLE
40286
0
0
iShares iBoxx $ High Yield Cor
Com
464288513
859
9375
SH
SOLE
9375
0
0
iShares Barclays 1-3 Year Cred
Com
464288646
86
820
SH
SOLE
820
0
0
iShares Barclays 3-7 Treasury
Com
464288661
317
2615
SH
SOLE
2615
0
0
iShares S&P U.S. Preferred Sto
Com
464288687
109
2860
SH
SOLE
2860
0
0
iShares DJ US Home Constructio
Com
464288752
12
520
SH
SOLE
275
0
245
iShares Silver Trust
Com
46428Q109
2
100
SH
SOLE
100
0
0
iShares Floating Rate Bond ETF
Com
46429B655
86
1690
SH
SOLE
1690
0
0
ITC Holdings Corporation
Com
465685105
354
3770
SH
SOLE
3770
0
0
ITC Holdings Corporation
Com
465685105
9
100
SH
DFND
100
0
0
JP Morgan Chase & Co
Com
46625H100
6573
127168
SH
SOLE
125038
0
2130
JP Morgan Chase & Co
Com
46625H100
5
100
SH
DFND
0
0
100
Jabil Circuit Inc
Com
466313103
30
1386
SH
SOLE
1386
0
0
Jacobs Engineering Group Inc.
Com
469814107
31
537
SH
SOLE
537
0
0
Johnson & Johnson
Com
478160104
3151
36347
SH
SOLE
35712
0
635
Johnson & Johnson
Com
478160104
9
100
SH
DFND
0
0
100
JPMorgan Strategic Income Opp
Com
4812A4351
25034
2114335
SH
SOLE
2075239
0
39096
JPMorgan Strategic Income Opp
Com
4812A4351
46
3877
SH
DFND
3877
0
0
Juniper Networks Inc.
Com
48203R104
26
1330
SH
SOLE
1330
0
0
KBR Inc.
Com
48242W106
4203
128780
SH
SOLE
126375
0
2405
KLA-Tencor Corporation
Com
482480100
12
196
SH
SOLE
196
0
0
KMG Chemical Inc
Com
482564101
1
30
SH
SOLE
30
0
0
Kimberly-Clark Corp
Com
494368103
12
126
SH
SOLE
126
0
0
Kimberly-Clark Corp
Com
494368103
3
35
SH
DFND
0
0
35
Kinder Morgan Energy Partners
Com
494550106
8
100
SH
SOLE
100
0
0
Kohl's Corporation
Com
500255104
195
3760
SH
SOLE
3760
0
0
Kohl's Corporation
Com
500255104
3
60
SH
DFND
0
0
60
Kraft Foods Group Inc
Com
50076Q106
42
807
SH
SOLE
807
0
0
Kraft Foods Group Inc
Com
50076Q106
2
41
SH
DFND
0
0
41
LSI Logic Corp
Com
502161102
8
1000
SH
SOLE
1000
0
0
Las Vegas Sands Corp
Com
517834107
5
80
SH
SOLE
80
0
0
Estee Lauder Companies-Cl A
Com
518439104
9
128
SH
SOLE
128
0
0
Liberty Media - Interactive A
Com
53071M104
3981
169640
SH
SOLE
166325
0
3315
Liberty Media Corporation
Com
531229102
38
258
SH
SOLE
258
0
0
Lihua International Inc.
Com
532352101
2696
541348
SH
SOLE
531128
0
10220
Eli Lilly & Co.
Com
532457108
180
3570
SH
SOLE
3570
0
0
Linear Technology Corp.
Com
535678106
8
200
SH
DFND
0
0
200
Lloyds Banking Group PLC - ADR
Com
539439109
1
170
SH
SOLE
170
0
0
Lord Abbett Short Duration Inc
Com
543916688
26502
5811891
SH
SOLE
5747530
0
64361
Lord Abbett Short Duration Inc
Com
543916688
85
18587
SH
DFND
18587
0
0
Lowes Companies Inc.
Com
548661107
59
1231
SH
SOLE
1231
0
0
William Lyon Homes
Com
552074700
10
500
SH
SOLE
500
0
0
MDU Resources Group Inc
Com
552690109
187
6675
SH
SOLE
6675
0
0
MGE Energy, Inc.
Com
55277P104
20
370
SH
SOLE
370
0
0
Macy's Inc
Com
55616P104
5646
130473
SH
SOLE
128158
0
2315
ManpowerGroup Inc.
Com
56418H100
7
100
SH
SOLE
100
0
0
Manulife Financial Corporation
Com
56501R106
26
1600
SH
DFND
1600
0
0
Marathon Oil Corp.
Com
565849106
11
318
SH
SOLE
318
0
0
MasterCard Inc - Cl A
Com
57636Q104
70
104
SH
SOLE
104
0
0
Maxim Integrated Products
Com
57772K101
1
39
SH
SOLE
39
0
0
Maxim Integrated Products
Com
57772K101
3
100
SH
DFND
0
0
100
McDonalds Corp
Com
580135101
84
873
SH
SOLE
773
0
100
McDonalds Corp
Com
580135101
10
100
SH
DFND
0
0
100
McGraw Hill Financial Inc
Com
580645109
26
400
SH
SOLE
400
0
0
Medtronic Inc
Com
585055106
18
336
SH
SOLE
336
0
0
Medtronic Inc
Com
585055106
5
100
SH
DFND
0
0
100
Merck & Company Inc.
Com
58933Y105
322
6770
SH
SOLE
6670
0
100
Merck & Company Inc.
Com
58933Y105
48
1000
SH
DFND
1000
0
0
Merge Healthcare Inc
Com
589499102
3
1000
SH
SOLE
1000
0
0
Metlife Inc
Com
59156R108
307
6532
SH
SOLE
6532
0
0
Microsoft Corporation
Com
594918104
218
6559
SH
SOLE
6409
0
150
Microsoft Corporation
Com
594918104
676
20300
SH
DFND
20000
0
300
Mondelez International Inc
Com
609207105
71
2256
SH
SOLE
2256
0
0
Mondelez International Inc
Com
609207105
4
125
SH
DFND
0
0
125
Monsanto Co.
Com
61166W101
33
316
SH
SOLE
316
0
0
Moody's Corporation
Com
615369105
17
240
SH
SOLE
240
0
0
Mylan Laboratories
Com
628530107
2
56
SH
SOLE
56
0
0
NCR Corp
Com
62886E108
4
110
SH
SOLE
110
0
0
National Fuel Gas Company
Com
636180101
21
300
SH
SOLE
300
0
0
National Oilwell Varco Inc.
Com
637071101
9
120
SH
SOLE
120
0
0
Newell Rubbermaid Inc
Com
651229106
55
2000
SH
SOLE
2000
0
0
News Corp - Class A
Com
65249B109
2
110
SH
SOLE
110
0
0
Nextera Energy Inc
Com
65339F101
43
540
SH
SOLE
540
0
0
Nike Inc. - Class B
Com
654106103
69
952
SH
SOLE
952
0
0
Noble Energy Inc.
Com
655044105
8
120
SH
SOLE
120
0
0
Nordstrom Inc.
Com
655664100
38
675
SH
SOLE
675
0
0
Norfolk Southern Corp
Com
655844108
217
2805
SH
SOLE
2805
0
0
Northeast Utilities
Com
664397106
25
600
SH
SOLE
600
0
0
Northern Global Real Estate In
Com
665162541
77
8254
SH
SOLE
8254
0
0
Northern Trust Corporation
Com
665859104
5
100
SH
SOLE
100
0
0
Northern Trust Corporation
Com
665859104
3
60
SH
DFND
0
0
60
Northrop Grumman Corp.
Com
666807102
36
374
SH
SOLE
374
0
0
Northrop Grumman Corp.
Com
666807102
102
1070
SH
DFND
1070
0
0
Novartis AG - ADR
Com
66987V109
38
500
SH
SOLE
500
0
0
Novartis AG - ADR
Com
66987V109
6
75
SH
DFND
0
0
75
MFC Nuveen Preferred and Conv
Com
67073D102
1125
120270
SH
SOLE
120270
0
0
Occidental Petroleum Corporati
Com
674599105
37
400
SH
SOLE
400
0
0
Ocwen Financial Corp
Com
675746309
60
1079
SH
SOLE
1079
0
0
Omnicom Group
Com
681919106
11
170
SH
SOLE
170
0
0
Oppenheimer Senior Floating Ra
Com
68381K408
0
0
SH
SOLE
0
0
0
Oracle Corporation
Com
68389X105
55
1647
SH
SOLE
1647
0
0
Oracle Corporation
Com
68389X105
2
75
SH
DFND
0
0
75
Oxford Resource Partners LP
Com
691807101
1
700
SH
SOLE
700
0
0
PNC Financial Services Group
Com
693475105
180
2485
SH
SOLE
2485
0
0
PPG Industries Inc.
Com
693506107
16
94
SH
SOLE
94
0
0
PPL Corporation
Com
69351T106
243
8000
SH
DFND
8000
0
0
Pall Corp
Com
696429307
13
170
SH
SOLE
170
0
0
People's United Financial
Com
712704105
1898
131960
SH
SOLE
129755
0
2205
Pepsico Incorporated
Com
713448108
145
1825
SH
SOLE
1800
0
25
Pepsico Incorporated
Com
713448108
8
100
SH
DFND
0
0
100
Petroleo Brasileiro - ADR
Com
71654V101
7
400
SH
SOLE
400
0
0
Pfizer Inc
Com
717081103
526
18308
SH
SOLE
9208
0
9100
Philip Morris International In
Com
718172109
291
3361
SH
SOLE
3361
0
0
Philip Morris International In
Com
718172109
43
500
SH
DFND
500
0
0
Phillips 66
Com
718546104
102
1762
SH
SOLE
1762
0
0
Physicians Realty Trust
Com
71943U104
829
68370
SH
SOLE
68370
0
0
PIMCO Investment Grade Corp Bo
Com
722005816
7276
688969
SH
SOLE
668740
0
20229
PIMCO Emerging Local Bond Inst
Com
72201F516
5198
539749
SH
SOLE
533797
0
5953
PIMCO Emerging Local Bond Inst
Com
72201F516
32
3287
SH
DFND
3287
0
0
PIMCO Enhanced Short Maturity
Com
72201R833
188
1850
SH
SOLE
1850
0
0
Pioneer Natural Resources Co.
Com
723787107
17
90
SH
SOLE
90
0
0
Plum Creek Timber Co. Inc.
Com
729251108
359
7668
SH
SOLE
7668
0
0
Plum Creek Timber Co. Inc.
Com
729251108
7
150
SH
DFND
150
0
0
Post Holdings Inc.
Com
737446104
33
814
SH
SOLE
814
0
0
Potash Corp. Of Saskatchewan
Com
73755L107
2
75
SH
SOLE
75
0
0
PowerShares International Divi
Com
73935X716
252
14600
SH
SOLE
14600
0
0
PowerShares Dividend Achievers
Com
73935X732
296
16000
SH
SOLE
16000
0
0
PowerShares Senior Loan Portfo
Com
73936Q769
169
6845
SH
SOLE
6845
0
0
Praxair Inc.
Com
74005P104
4
35
SH
DFND
0
0
35
Precision Castparts Corp
Com
740189105
14
62
SH
SOLE
62
0
0
Preferred Apartment Communitie
Com
74039L103
1427
175735
SH
SOLE
175735
0
0
Priceline.com Inc.
Com
741503403
21
21
SH
SOLE
21
0
0
Principal Diversified Real Ass
Com
74254V166
37585
3124299
SH
SOLE
3070294
0
54006
Principal Diversified Real Ass
Com
74254V166
102
8471
SH
DFND
8471
0
0
Procter & Gamble
Com
742718109
316
4184
SH
SOLE
4184
0
0
Procter & Gamble
Com
742718109
8
100
SH
DFND
0
0
100
MFC Proshares TR Proshares Sho
Com
74347R503
410
14640
SH
SOLE
14640
0
0
ProShares Ultra Short Basic Ma
Com
74347X138
15
350
SH
SOLE
350
0
0
ProShares Short 20+ Year Treas
Com
74347X849
1045
32627
SH
SOLE
31705
0
922
Prudential Financial Inc.
Com
744320102
10
127
SH
SOLE
127
0
0
Public Service Enterprises
Com
744573106
185
5610
SH
SOLE
5610
0
0
Pure Cycle Corp
Com
746228303
1173
253870
SH
SOLE
250125
0
3745
Qualcomm Inc
Com
747525103
5707
84767
SH
SOLE
83232
0
1535
Qualcomm Inc
Com
747525103
4
65
SH
DFND
0
0
65
Ralph Lauren Corporation
Com
751212101
8
51
SH
SOLE
51
0
0
Range Resources Corp
Com
75281A109
9
120
SH
SOLE
120
0
0
Raytheon Co New
Com
755111507
791
10266
SH
SOLE
10266
0
0
Regal Entertainment Group - A
Com
758766109
2696
142026
SH
SOLE
139961
0
2065
Regions Financial Corp
Com
7591EP100
28
3067
SH
SOLE
3067
0
0
Republic Services Inc
Com
760759100
4951
148403
SH
SOLE
145738
0
2665
Retail Properties of America,
Com
76131V202
248
18003
SH
SOLE
18003
0
0
Rockwell Automation Inc.
Com
773903109
8
77
SH
SOLE
77
0
0
Royal Bank of Canada - ADR
Com
780087102
11
176
SH
SOLE
176
0
0
Royal Dutch Shell PLC A - ADR
Com
780259206
64
982
SH
SOLE
982
0
0
Royal Dutch Shell PLC A - ADR
Com
780259206
4
65
SH
DFND
0
0
65
SLM Corp
Com
78442P106
2
71
SH
SOLE
71
0
0
SPDR S&P 500 ETF Trust
Com
78462F103
14926
88839
SH
SOLE
87289
0
1550
SPDR Gold Trust
Com
78463V107
13
100
SH
SOLE
100
0
0
SPDR Euro Stoxx 50 ETF
Com
78463X202
1022
26620
SH
SOLE
20320
0
6300
SPDR Lehman High Yield Bond ET
Com
78464A417
1204
30215
SH
SOLE
30215
0
0
SPDR DB Int'l Govt Inflation P
Com
78464A490
25
400
SH
SOLE
400
0
0
SPDR S&P Dividend ETF
Com
78464A763
358
5195
SH
SOLE
5195
0
0
SPDR Barclays Cap Short Term H
Com
78468R408
1115
36520
SH
SOLE
35520
0
1000
SCANA Corporation
Com
80589M102
3
55
SH
DFND
0
0
55
Henry Schein Inc
Com
806407102
19
182
SH
SOLE
182
0
0
Schlumberger Ltd. - ADR
Com
806857108
106
1205
SH
SOLE
865
0
340
The Charles Schwab Corporation
Com
808513105
6
300
SH
SOLE
300
0
0
Sealed Air Corp
Com
81211K100
2221
81685
SH
SOLE
80430
0
1255
Sealed Air Corp
Com
81211K100
4
140
SH
DFND
0
0
140
MFC Materials Select Sector SP
Com
81369Y100
3
75
SH
SOLE
40
0
35
Health Care Select Sector SPDR
Com
81369Y209
95
1880
SH
SOLE
1880
0
0
Energy Select Sector Spdr
Com
81369Y506
9
110
SH
SOLE
110
0
0
MFC Financial Select Sector SP
Com
81369Y605
87
4370
SH
SOLE
4370
0
0
Industrial Select Sector SPDR
Com
81369Y704
87
1875
SH
SOLE
1875
0
0
Technology Select Sector SPDR
Com
81369Y803
87
2725
SH
SOLE
2725
0
0
Shire PLC - ADR
Com
82481R106
7
62
SH
SOLE
62
0
0
Sigma Aldrich Corp
Com
826552101
264
3100
SH
SOLE
3100
0
0
Skyworks Solutions Inc
Com
83088M102
7657
308258
SH
SOLE
302418
0
5840
Southern Companies
Com
842587107
169
4093
SH
SOLE
4093
0
0
Southwest Airlines Co.
Com
844741108
35
2410
SH
SOLE
2410
0
0
Spectra Energy Corp
Com
847560109
8
228
SH
SOLE
228
0
0
Speed Commerce Inc
Com
84764T106
1354
412655
SH
SOLE
396844
0
15811
Sprint Corp
Com
85207U105
2869
461263
SH
SOLE
452648
0
8615
Staples Inc.
Com
855030102
4
300
SH
SOLE
300
0
0
Starbucks Corp
Com
855244109
69
900
SH
SOLE
900
0
0
Starwood Hotels & Resorts Worl
Com
85590A401
1
15
SH
SOLE
15
0
0
State Street Corp
Com
857477103
6
85
SH
SOLE
85
0
0
Oppenheimer SteelPath MLP Sele
Com
858268204
4061
337545
SH
SOLE
332018
0
5527
Oppenheimer SteelPath MLP Sele
Com
858268204
32
2626
SH
DFND
2626
0
0
Stone Ridge Reinsurance Risk P
Com
861728103
17246
1680943
SH
SOLE
1652868
0
28076
Stone Ridge Reinsurance Risk P
Com
861728103
46
4511
SH
DFND
4511
0
0
Stone Ridge High Yield Reins R
Com
861728400
6894
670008
SH
SOLE
658807
0
11201
Stone Ridge High Yield Reins R
Com
861728400
19
1885
SH
DFND
1885
0
0
Stryker Corp
Com
863667101
68
1000
SH
SOLE
1000
0
0
Suncor Energy - ADR
Com
867224107
14
400
SH
SOLE
400
0
0
Sunoco Logistic Partners LP
Com
86764L108
27
410
SH
SOLE
410
0
0
Sun Trust Banks,Inc
Com
867914103
42
1309
SH
SOLE
1309
0
0
Swiss Helvetia Fund
Com
870875101
17
1211
SH
SOLE
1211
0
0
Synopsys Inc
Com
871607107
7
190
SH
SOLE
155
0
35
Sysco Corp.
Com
871829107
11
338
SH
SOLE
338
0
0
Sysco Corp.
Com
871829107
10
300
SH
DFND
0
0
300
TCW Emerging Markets Income Fu
Com
87234N765
4935
590337
SH
SOLE
578719
0
11618
TCW Emerging Markets Income Fu
Com
87234N765
14
1725
SH
DFND
1725
0
0
Target Corp
Com
87612E106
234
3655
SH
SOLE
3655
0
0
Target Corp
Com
87612E106
2
30
SH
DFND
0
0
30
Tennant Company
Com
880345103
424
6835
SH
SOLE
6835
0
0
Tennant Company
Com
880345103
11
170
SH
DFND
170
0
0
Teradata Corp.
Com
88076W103
1
10
SH
SOLE
10
0
0
Teva Pharmaceutical - Sp ADR
Com
881624209
9
239
SH
SOLE
239
0
0
Tetra Tech, Inc.
Com
88162G103
360
13895
SH
SOLE
13895
0
0
Tetra Tech, Inc.
Com
88162G103
8
300
SH
DFND
300
0
0
Texas Instruments Inc.
Com
882508104
6
150
SH
SOLE
150
0
0
Thermo Electron Corp
Com
883556102
3079
33414
SH
SOLE
32644
0
770
3M Company
Com
88579Y101
154
1293
SH
SOLE
1293
0
0
3M Company
Com
88579Y101
12
100
SH
DFND
0
0
100
Time Warner, Inc.
Com
887317303
25
380
SH
SOLE
380
0
0
Timken Company
Com
887389104
1
20
SH
SOLE
20
0
0
Total SA-Spon ADR
Com
89151E109
64
1100
SH
SOLE
1100
0
0
Total SA-Spon ADR
Com
89151E109
4
65
SH
DFND
0
0
65
Travelers Companies Inc
Com
89417E109
204
2406
SH
SOLE
2406
0
0
Twenty-First Century Fox Inc
Com
90130A101
15
440
SH
SOLE
440
0
0
Tyson Foods Inc - Cl A
Com
902494103
76
2700
SH
SOLE
2700
0
0
ETRACS Aleriean MLP Infrastruc
Com
902641646
10667
274780
SH
SOLE
269825
0
4955
ETRACS Aleriean MLP Infrastruc
Com
902641646
11
280
SH
DFND
280
0
0
UGI Corporation
Com
902681105
179
4580
SH
SOLE
4580
0
0
US Bancorp New
Com
902973304
226
6180
SH
SOLE
6180
0
0
UMH Properties Inc 8.25%
Pfd Stk
903002202
1489
58160
SH
SOLE
58160
0
0
Under Armour, Inc.
Com
904311107
5
65
SH
SOLE
65
0
0
Unilever PLC - ADR
Com
904767704
17
440
SH
SOLE
440
0
0
Unilever PLC - ADR
Com
904767704
3
70
SH
DFND
0
0
70
Union Pacific Corp
Com
907818108
139
896
SH
SOLE
896
0
0
Unisys Corp.
Com
909214306
4023
159695
SH
SOLE
156615
0
3080
United Natural Foods Inc.
Com
911163103
159
2370
SH
SOLE
2370
0
0
United Natural Foods Inc.
Com
911163103
10
150
SH
DFND
150
0
0
United Parcel Service - Class
Com
911312106
30
328
SH
SOLE
328
0
0
United States Steel Corp.
Com
912909108
1584
76920
SH
SOLE
75715
0
1205
United Technologies Corporatio
Com
913017109
61
567
SH
SOLE
567
0
0
United Health Group Inc.
Com
91324P102
14
202
SH
SOLE
202
0
0
Urban Outfitters, Inc
Com
917047102
34
925
SH
SOLE
925
0
0
VF Corporation
Com
918204108
73
368
SH
SOLE
368
0
0
Valeant Pharmaceuticals Int'l
Com
91911K102
10
97
SH
SOLE
97
0
0
Valero Energy Corporation
Com
91913Y100
12
350
SH
SOLE
350
0
0
Vanguard Dividend Appreciation
Com
921908844
292
4200
SH
SOLE
4200
0
0
Vanguard Wellesley Income Fund
Com
921938205
4
67
SH
SOLE
0
0
67
Vanguard Intermediate Term Tre
Com
922031828
40
3540
SH
SOLE
3540
0
0
Vanguard Short-Term Investment
Com
922031836
18483
1725764
SH
SOLE
1705049
0
20715
Vanguard Short-Term Investment
Com
922031836
67
6233
SH
DFND
6233
0
0
Vanguard Emerging Market ETF
Com
922042858
47
1165
SH
SOLE
0
0
1165
Vanguard European ETF
Com
922042874
6488
119040
SH
SOLE
118815
0
225
Vanguard European ETF
Com
922042874
5
85
SH
DFND
85
0
0
Vanguard Industrials VIPERs Fu
Com
92204A603
9226
103210
SH
SOLE
101360
0
1850
Vanguard Info Tech Vipers
Com
92204A702
182
2250
SH
SOLE
700
0
1550
Varian Medical Systems Inc
Com
92220P105
354
4740
SH
SOLE
4740
0
0
Varian Medical Systems Inc
Com
92220P105
9
120
SH
DFND
120
0
0
Vectren Corporation
Com
92240G101
170
5105
SH
SOLE
5105
0
0
Vectren Corporation
Com
92240G101
67
2000
SH
DFND
2000
0
0
Verizon Communications
Com
92343V104
240
5144
SH
SOLE
5144
0
0
Verizon Communications
Com
92343V104
5
100
SH
DFND
0
0
100
Vertex Pharmaceuticals Inc.
Com
92532F100
16
205
SH
SOLE
205
0
0
Visa Inc. - Class A
Com
92826C839
14
72
SH
SOLE
72
0
0
Visa Inc. - Class A
Com
92826C839
11
55
SH
DFND
0
0
55
Vodafone Group PLC - ADR
Com
92857W209
1
39
SH
SOLE
39
0
0
Vodafone Group PLC - ADR
Com
92857W209
11
300
SH
DFND
0
0
300
Volcano Corporation
Com
928645100
313
13050
SH
SOLE
13050
0
0
Vornado Rlty Tr Sh Ben Int
Com
929042109
61
724
SH
DFND
724
0
0
Walmart
Com
931142103
6747
91228
SH
SOLE
89537
0
1691
Walmart
Com
931142103
2
30
SH
DFND
0
0
30
Walgreen Co
Com
931422109
5238
97358
SH
SOLE
95813
0
1545
Walgreen Co
Com
931422109
16
295
SH
DFND
200
0
95
Waste Management Inc
Com
94106L109
24
592
SH
SOLE
592
0
0
Waters Corporation
Com
941848103
85
800
SH
SOLE
800
0
0
Wells Fargo & Co New
Com
949746101
130
3139
SH
SOLE
3139
0
0
Western Union Company
Com
959802109
16
860
SH
SOLE
860
0
0
Whole Foods Market Inc.
Com
966837106
13
220
SH
SOLE
220
0
0
Williams Sonoma Inc
Com
969904101
40
705
SH
SOLE
705
0
0
Wisdom Tree Japan Hedged Equit
Com
97717W851
16098
335860
SH
SOLE
330375
0
5485
Wisdom Tree Japan Hedged Equit
Com
97717W851
10
215
SH
DFND
215
0
0
WisdomTree Europe Hedged Equit
Com
97717X701
88
1660
SH
SOLE
1660
0
0
Yum Brands Inc
Com
988498101
14
200
SH
SOLE
0
0
200
Zimmer Hldgs Inc
Com
98956P102
79
965
SH
SOLE
965
0
0
Accenture PLC - Cl A - ADR
Com
G1151C101
205
2781
SH
SOLE
2781
0
0
Bunge Limited
Com
G16962105
5968
78625
SH
SOLE
77220
0
1405
Covidien PLC - ADR
Com
G2554F113
3384
55534
SH
SOLE
54424
0
1110
Eaton Corp PLC
Com
G29183103
233
3384
SH
SOLE
3384
0
0
Everest Reinsurance Group Limi
Com
G3223R108
3
19
SH
SOLE
19
0
0
Michael Kors Holdings Ltd
Com
G60754101
17
225
SH
SOLE
225
0
0
Nabors Industries Ltd - ADR
Com
G6359F103
3
200
SH
SOLE
200
0
0
Ship Finance International
Com
G81075106
8
500
SH
SOLE
500
0
0
ACE Limited - ADR
Com
H0023R105
13
144
SH
SOLE
144
0
0
Transocean LTD
Com
H8817H100
19
427
SH
SOLE
427
0
0
LyondellBasell Industries NV -
Com
N53745100
2443
33359
SH
SOLE
32874
0
485