0000920112-16-000442.txt : 20161108 0000920112-16-000442.hdr.sgml : 20161108 20161108105849 ACCESSION NUMBER: 0000920112-16-000442 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161108 DATE AS OF CHANGE: 20161108 EFFECTIVENESS DATE: 20161108 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: 161980336 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 false 0000933482 XXXXXXXX 09-30-2016 09-30-2016 DUBUQUE BANK & TRUST CO

1398 CENTRAL DUBUQUE IA 52001

13F HOLDINGS REPORT 028-10581 N Bruce C. Rehmke 563-589-2000 Bruce C. Rehmke Dubuque IA 11-08-2016 0 539 532587 false INFORMATION TABLE 2 q32016form13-fhrinformatio.xml INFORMATION TABLE 3M Co COM 88579Y101 3844 21815 SH DFND 21715 0 100 ABB Ltd SPONSORED ADR 000375204 4 160 SH DFND 0 0 160 ALLERGAN PLC PFD CONV SER A G0177J116 1277 1555 SH DFND 1555 0 0 ALPS Advisors Inc SECTR DIV DOGS 00162Q858 0 1 SH DFND 1 0 0 AO Smith Corp COM 831865209 15 150 SH DFND 150 0 0 AT&T Inc COM 00206R102 1104 27175 SH DFND 27175 0 0 AZZ Inc COM 002474104 424 6490 SH DFND 6490 0 0 AbbVie Inc COM 00287Y109 231 3656 SH DFND 3501 0 155 Abbott Laboratories COM 002824100 2428 57422 SH DFND 57322 0 100 Accenture PLC SHS CLASS A G1151C101 152 1245 SH DFND 1245 0 0 Adams Express Co/Closed-end/US COM 00548F105 4 207 SH DFND 207 0 0 Adams Funds Advisers LLC COM 006212104 5486 417190 SH DFND 417190 0 0 Adobe Systems Inc COM 00724F101 41 380 SH DFND 380 0 0 Advisorshares Investments LLC PERITUS HG YLD 00768Y503 2 60 SH DFND 60 0 0 Aetna Inc COM 00817Y108 47 404 SH DFND 344 0 60 Aflac 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73935A104 269 2265 SH DFND 2265 0 0 PowerShares ETFs/USA DB OPT YLD DIV 73937V106 5 288 SH DFND 288 0 0 Praxair Inc COM 74005P104 56 460 SH DFND 425 0 35 Priceline Group Inc/The COM NEW 741503403 31 21 SH DFND 21 0 0 ProShare Advisors LLC ULTRAPRO SHORT S 74348A442 143 6169 SH DFND 6169 0 0 ProShares ETFs/USA PSHS ULTSH 20YRS 74347B201 2 50 SH DFND 50 0 0 Procter & Gamble Co/The COM 742718109 2792 31108 SH DFND 30958 0 150 Prudential Financial Inc COM 744320102 8 95 SH DFND 95 0 0 Public Service Enterprise Grou COM 744573106 3024 72223 SH DFND 71459 0 764 Pure Cycle Corp COM NEW 746228303 21 3605 SH DFND 3605 0 0 QUALCOMM Inc COM 747525103 200 2920 SH DFND 2805 0 115 ROYAL BK SCOTLND GRP PLC SP ADR PREF S 780097739 51 2000 SH DFND 2000 0 0 Randgold Resources Ltd ADR 752344309 54 540 SH DFND 540 0 0 Raytheon Co COM NEW 755111507 1094 8039 SH DFND 8039 0 0 Republic Services Inc COM 760759100 30 600 SH DFND 600 0 0 Reynolds American Inc COM 761713106 11 232 SH DFND 0 0 232 Rio Tinto PLC COM 900435108 47 15674 SH DFND 15674 0 0 Robert Half International Inc COM 770323103 42 1100 SH DFND 1100 0 0 Rockwell Automation Inc COM 773903109 135 1100 SH DFND 1100 0 0 Rockwell Collins Inc COM 774341101 51 600 SH DFND 600 0 0 Rollins Inc COM 775711104 20 675 SH DFND 675 0 0 Roper Technologies Inc COM 776696106 15 84 SH DFND 84 0 0 Ross Stores Inc COM 778296103 11 170 SH DFND 170 0 0 Royal Dutch Shell PLC SPONS ADR A 780259206 31 620 SH DFND 500 0 120 S&P Global Inc None 78409V104 51 400 SH DFND 400 0 0 SBA Communications Corp COM 78388J106 10 87 SH DFND 87 0 0 SCANA Corp COM 80589M102 4 55 SH DFND 0 0 55 SSgA Funds Management Inc TR UNIT 78462F103 1729 7992 SH DFND 7992 0 0 SSgA Funds Management Inc BRC HGH YLD BD 78464A417 11 287 SH DFND 287 0 0 SSgA Funds Management Inc DJ REIT ETF 78464A607 58 600 SH DFND 600 0 0 SSgA Funds Management Inc S&P DIVID ETF 78464A763 368 4363 SH DFND 4363 0 0 SSgA Funds Management Inc SBI MATERIALS 81369Y100 1 14 SH DFND 14 0 0 SSgA Funds Management Inc SBI INT-ENERGY 81369Y506 11 157 SH DFND 157 0 0 Sandstorm Gold Ltd COM NEW 80013R206 48 9597 SH DFND 9597 0 0 Schlumberger Ltd COM 806857108 5930 75403 SH DFND 72924 0 2479 Scripps Networks Interactive I CL A COM 811065101 4163 65563 SH DFND 64877 0 686 Seabridge Gold Inc COM 811916105 36 3305 SH DFND 3305 0 0 Sealed Air Corp COM 81211K100 22 485 SH DFND 345 0 140 Shire PLC SPONSORED ADR 82481R106 150 774 SH DFND 764 0 10 Silicon Motion Technology Corp SPONSORED ADR 82706C108 66 1282 SH DFND 1282 0 0 Silver Wheaton Corp COM 828336107 64 2384 SH DFND 2384 0 0 Smith & Wesson Holding Corp COM 831756101 8 300 SH DFND 300 0 0 Snap-on Inc COM 833034101 9 61 SH DFND 61 0 0 Southern Co/The COM 842587107 31 604 SH DFND 444 0 160 Southwest Airlines Co COM 844741108 57 1459 SH DFND 1459 0 0 Spectra Energy Corp COM 847560109 41 966 SH DFND 966 0 0 Stanley Black & Decker Inc COM 854502101 3718 30235 SH DFND 29898 0 337 Starbucks Corp COM 855244109 3961 73166 SH DFND 72414 0 752 State Street Corp COM 857477103 3 45 SH DFND 0 0 45 State Street ETF/USA UTSER1 S&PDCRP 78467Y107 42 150 SH DFND 150 0 0 Stericycle Inc COM 858912108 2229 27818 SH DFND 27548 0 270 Stillwater Mining Co COM 86074Q102 49 3700 SH DFND 3700 0 0 SunTrust Banks Inc COM 867914103 57 1309 SH DFND 1309 0 0 Sunoco Logistics Partners LP COM UNITS 86764L108 11 375 SH DFND 375 0 0 Super Micro Computer Inc COM 86800U104 7 308 SH DFND 308 0 0 T Rowe Price Group Inc COM 74144T108 4529 68098 SH DFND 67567 0 531 TOTAL SA SPONSORED ADR 89151E109 3 65 SH DFND 0 0 65 Tanzanian Royalty Exploration COM 87600U104 2 3000 SH DFND 0 0 3000 Target Corp COM 87612E106 1254 18253 SH DFND 18103 0 150 Tech Data Corp COM 878237106 17 196 SH DFND 196 0 0 Teleflex Inc COM 879369106 11 68 SH DFND 68 0 0 Tennant Co COM 880345103 451 6965 SH DFND 6965 0 0 Tetra Tech Inc COM 88162G103 488 13745 SH DFND 13745 0 0 Teva Pharmaceutical Industries ADR 881624209 4 90 SH DFND 0 0 90 Texas Instruments Inc COM 882508104 36 509 SH DFND 509 0 0 Thermo Fisher Scientific Inc COM 883556102 74 468 SH DFND 468 0 0 Time Warner Inc COM NEW 887317303 56 700 SH DFND 655 0 45 Toronto-Dominion Bank/The COM NEW 891160509 4 98 SH DFND 98 0 0 Tortoise Capital Advisors LLC COM 89147L100 14 445 SH DFND 445 0 0 Tractor Supply Co COM 892356106 2494 37027 SH DFND 36667 0 360 Travelers Cos Inc/The COM 89417E109 454 3962 SH DFND 3962 0 0 Tupperware Brands Corp COM 899896104 10 150 SH DFND 0 0 150 Tyson Foods Inc CL A 902494103 22 290 SH DFND 290 0 0 UGI Corp COM 902681105 13 294 SH DFND 294 0 0 UMH PROPERTIES INC CV RED PFD-A 903002202 22 865 SH DFND 865 0 0 US Bancorp COM NEW 902973304 203 4735 SH DFND 4735 0 0 Ulta Salon Cosmetics & Fragran COM 90384S303 12 52 SH DFND 52 0 0 Under Armour Inc CL A 904311107 11 280 SH DFND 280 0 0 Under Armour Inc CL C 904311206 10 281 SH DFND 281 0 0 Unilever NV N Y SHS NEW 904784709 3 71 SH DFND 71 0 0 Unilever PLC SPON ADR NEW 904767704 3 70 SH DFND 0 0 70 Union Pacific Corp COM 907818108 117 1200 SH DFND 1200 0 0 United Continental Holdings In COM 910047109 16 300 SH DFND 300 0 0 United Parcel Service Inc CL B 911312106 505 4614 SH DFND 4614 0 0 United Rentals Inc COM 911363109 17 220 SH DFND 220 0 0 United Technologies Corp COM 913017109 1277 12571 SH DFND 12571 0 0 UnitedHealth Group Inc COM 91324P102 89 634 SH DFND 634 0 0 Unum Group COM 91529Y106 4259 120607 SH DFND 119409 0 1198 VF Corp COM 918204108 50 892 SH DFND 892 0 0 Valero Energy Corp COM 91913Y100 33 629 SH DFND 629 0 0 VanEck Vectors ETFs/USA None 92189F106 77 2900 SH DFND 100 0 2800 VanEck Vectors ETFs/USA None 92189F791 78 1750 SH DFND 50 0 1700 Vanguard ETF/USA DIV APP ETF 921908844 362 4313 SH DFND 4313 0 0 Vanguard ETF/USA VG TL INTL STK F 921909768 11 237 SH DFND 237 0 0 Vanguard ETF/USA LONG TERM BOND 921937793 12 123 SH DFND 123 0 0 Vanguard ETF/USA INTERMED TERM 921937819 27 306 SH DFND 306 0 0 Vanguard ETF/USA SHORT TRM BOND 921937827 23 286 SH DFND 286 0 0 Vanguard ETF/USA TOTAL BND MRKT 921937835 10 123 SH DFND 123 0 0 Vanguard ETF/USA FTSE DEV MKT ETF 921943858 48414 1294135 SH DFND 1255245 0 38890 Vanguard ETF/USA FTSE SMCAP ETF 922042718 32 321 SH DFND 321 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 11704 311021 SH DFND 302412 0 8609 Vanguard ETF/USA CONSUM DIS ETF 92204A108 30 235 SH DFND 235 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 1572 11483 SH DFND 9463 0 2020 Vanguard ETF/USA ENERGY ETF 92204A306 734 7518 SH DFND 6144 0 1374 Vanguard ETF/USA HEALTH CAR ETF 92204A504 1238 9315 SH DFND 7595 0 1720 Vanguard ETF/USA INF TECH ETF 92204A702 5225 43405 SH DFND 35400 0 8005 Vanguard ETF/USA UTILITIES ETF 92204A876 941 8796 SH DFND 7231 0 1565 Vanguard ETF/USA TELCOMM ETF 92204A884 1117 11836 SH DFND 9976 0 1860 Vanguard ETF/USA VNG RUS2000IDX 92206C664 88 880 SH DFND 0 0 880 Vanguard ETF/USA S&P 500 ETF SHS 922908363 73 368 SH DFND 368 0 0 Vanguard ETF/USA MCAP GR IDXVIP 922908538 5 48 SH DFND 48 0 0 Vanguard ETF/USA REIT ETF 922908553 50 571 SH DFND 571 0 0 Vanguard ETF/USA SML CP GRW ETF 922908595 3 25 SH DFND 25 0 0 Vanguard ETF/USA MID CAP ETF 922908629 293 2265 SH DFND 1575 0 690 Vanguard ETF/USA GROWTH ETF 922908736 101 900 SH DFND 900 0 0 Vanguard ETF/USA VALUE ETF 922908744 82 938 SH DFND 938 0 0 Vanguard ETF/USA SMALL CP ETF 922908751 37 300 SH DFND 300 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 23109 207573 SH DFND 175008 0 32565 Varian Medical Systems Inc COM 92220P105 476 4785 SH DFND 4785 0 0 Vectren Corp COM 92240G101 12 234 SH DFND 234 0 0 Ventas Inc COM 92276F100 6 78 SH DFND 78 0 0 Verizon Communications Inc COM 92343V104 3492 67175 SH DFND 66355 0 820 Viacom Inc CL B 92553P201 2 60 SH DFND 0 0 60 Visa Inc COM CL A 92826C839 94 1141 SH DFND 1056 0 85 Vista Outdoor Inc COM 928377100 46 1150 SH DFND 0 0 1150 Vodafone Group PLC SPNSR ADR 92857W308 3 108 SH DFND 108 0 0 WEC Energy Group Inc COM 92939U106 81 1350 SH DFND 0 0 1350 WP Carey Inc COM 92936U109 20 305 SH DFND 305 0 0 Wabtec Corp/DE COM 929740108 23 283 SH DFND 283 0 0 Wal-Mart Stores Inc COM 931142103 9829 136287 SH DFND 135016 0 1271 Walgreens Boots Alliance Inc COM 931427108 618 7662 SH DFND 7567 0 95 Walt Disney Co/The COM DISNEY 254687106 608 6545 SH DFND 6445 0 100 Waste Management Inc COM 94106L109 19 300 SH DFND 300 0 0 Wells Fargo & Co COM 949746101 4671 105490 SH DFND 104743 0 747 Wendy's Co/The COM 95058W100 1 105 SH DFND 0 0 105 Weyerhaeuser Co COM 962166104 363 11350 SH DFND 11350 0 0 Whitestone REIT COM 966084204 2 114 SH DFND 114 0 0 Whole Foods Market Inc COM 966837106 3755 132450 SH DFND 131065 0 1385 Williams Cos Inc/The COM 969457100 25 815 SH DFND 815 0 0 Williams Cos Inc/The COM UNIT LTD PAR 96949L105 10 260 SH DFND 260 0 0 Williams-Sonoma Inc COM 969904101 289 5660 SH DFND 5660 0 0 WisdomTree Asset Management Inc TOTAL DIVID FD 97717W109 67 858 SH DFND 858 0 0 WisdomTree Asset Management Inc EMG MKTS SMCAP 97717W281 0 1 SH DFND 1 0 0 WisdomTree Asset Management Inc JAPN HEDGE EQT 97717W851 515 11999 SH DFND 11999 0 0 Woodbridge Co Ltd/The COM 884903105 3 65 SH DFND 65 0 0 Woodward Inc COM 980745103 554 8870 SH DFND 8870 0 0 Workday Inc CL A 98138H101 3 32 SH DFND 32 0 0 World Gold Trust Services LLC/USA GOLD SHS 78463V107 166 1323 SH DFND 1323 0 0 Xenia Hotels & Resorts Inc COM 984017103 165 10867 SH DFND 10867 0 0 Xilinx Inc COM 983919101 5 98 SH DFND 98 0 0 Yahoo! Inc COM 984332106 4 95 SH DFND 95 0 0 Yamana Gold Inc COM 98462Y100 44 10121 SH DFND 10121 0 0 Yum! Brands Inc COM 988498101 61 670 SH DFND 470 0 200 Zoetis Inc CL A 98978V103 41 789 SH DFND 789 0 0 eBay Inc COM 278642103 5510 167474 SH DFND 165609 0 1865 iShares ETFs/USA MIN VOL EMRG MKT 464286533 7 130 SH DFND 130 0 0 iShares ETFs/USA MSCI EURZONE ETF 464286608 7147 207226 SH DFND 201801 0 5425 iShares ETFs/USA IBOXX INV CP ETF 464287242 105 850 SH DFND 850 0 0 iShares ETFs/USA INTL TREA BD ETF 464288117 9 85 SH DFND 85 0 0 salesforce.com Inc COM 79466L302 24 333 SH DFND 333 0 0