Private Client Services Chief Investment Office, SVP

0000920112-22-000034.txt : 20220128 0000920112-22-000034.hdr.sgml : 20220128 20220128152908 ACCESSION NUMBER: 0000920112-22-000034 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220128 DATE AS OF CHANGE: 20220128 EFFECTIVENESS DATE: 20220128 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: 22568394 BUSINESS ADDRESS: STREET 1: 1398 CENTRAL AVE. CITY: DUBUQUE STATE: IA ZIP: 52001 BUSINESS PHONE: 5635874197 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 12-31-2021 12-31-2021 DUBUQUE BANK & TRUST CO

1398 CENTRAL DUBUQUE IA 52001

13F HOLDINGS REPORT 028-10581 N Mark Stevens Private Client Services Chief Investment Office, SVP 5635892032 Mark Stevens Dubuque IA 01-28-2022 0 394 952432 false INFORMATION TABLE 2 information_table.xml INFORMATION TABLE 3M Co COM 88579Y101 475 2676 SH DFND 2661 0 15 3M Co COM 88579Y101 2130 11991 SH SOLE 10371 0 1620 ACCENTURE SHS CLASS A G1151C101 497 1200 SH SOLE 1200 0 0 ADAMS EXPRESS COMPANY COM 006212104 60 3111 SH DFND 3111 0 0 ADAMS EXPRESS COMPANY COM 006212104 12456 641751 SH SOLE 641751 0 0 ALEXCO RESOURCE CO COM 01535P106 31 17600 SH SOLE 17600 0 0 ALPHABET INC CAP STK CL A 02079K305 452 156 SH DFND 154 0 2 ALPHABET INC CAP STK CL A 02079K305 15012 5182 SH SOLE 5030 0 152 AMBEV SA SPONSORED ADR 02319V103 58 20782 SH SOLE 20782 0 0 AMER EXPRESS CO COM 025816109 283 1730 SH DFND 1730 0 0 AMER EXPRESS CO COM 025816109 851 5203 SH SOLE 5203 0 0 ANALOG DEVICES INC COM 032654105 4 22 SH DFND 0 0 22 ANALOG DEVICES INC COM 032654105 526 2993 SH SOLE 2993 0 0 APPLIED MATERIALS COM 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597 9759 SH DFND 9600 0 159 Exxon Mobil Corp COM 30231G102 1373 22438 SH SOLE 22373 0 65 FLEXSHARES TR MORNSTAR USMKT 33939L100 555 3045 SH SOLE 3045 0 0 Facebook Inc CL A 30303M102 280 833 SH DFND 833 0 0 Facebook Inc CL A 30303M102 6285 18687 SH SOLE 18602 0 85 First Horizon Corp COM 320517105 27 1624 SH DFND 1624 0 0 First Horizon Corp COM 320517105 3648 223376 SH SOLE 220427 0 2949 First Majestic Silver Corp COM 32076V103 211 19000 SH SOLE 19000 0 0 FirstEnergy Corp COM 337932107 829 19944 SH SOLE 19944 0 0 Fortinet Inc COM 34959E109 298 829 SH SOLE 829 0 0 Fortuna Silver Mines Inc COM 349915108 113 29000 SH SOLE 29000 0 0 Franklin LibertyShares ETFs/US LIBERTY US ETF 35473P504 298 5798 SH DFND 5798 0 0 Franklin LibertyShares ETFs/US LIBERTY US ETF 35473P504 11599 225672 SH SOLE 223627 0 2045 GOLDMAN SACHS GRP COM 38141G104 265 693 SH DFND 693 0 0 GOLDMAN SACHS GRP COM 38141G104 4683 12242 SH SOLE 12202 0 40 General Electric Co None 369604301 25 262 SH DFND 262 0 0 General Electric Co None 369604301 379 4010 SH SOLE 3957 0 53 General Mills Inc COM 370334104 328 4869 SH SOLE 4869 0 0 Genmab A/S SPONSORED ADS 372303206 9 234 SH DFND 234 0 0 Genmab A/S SPONSORED ADS 372303206 1325 33505 SH SOLE 30501 0 3004 Gilead Sciences Inc COM 375558103 243 3351 SH SOLE 3351 0 0 HDFC BANK SPONSORED ADS 40415F101 6 98 SH DFND 98 0 0 HDFC BANK SPONSORED ADS 40415F101 864 13279 SH SOLE 12018 0 1261 HUMANA INC COM 444859102 411 886 SH SOLE 866 0 20 Heartland Financial USA Inc COM 42234Q102 8625 170426 SH DFND 163538 0 6888 Heartland Financial USA Inc COM 42234Q102 75006 1482030 SH SOLE 576538 0 905492 Hecla Mining Co COM 422704106 57 11015 SH SOLE 11015 0 0 Home Depot Inc/The COM 437076102 282 680 SH DFND 680 0 0 Home Depot Inc/The COM 437076102 8982 21642 SH SOLE 19880 0 1762 Honeywell International Inc COM 438516106 1252 6003 SH SOLE 6003 0 0 Hubbell Inc COM 443510607 625 3000 SH SOLE 3000 0 0 ICON PLC SHS G4705A100 248 800 SH SOLE 800 0 0 INDEXIQ ETF TRUST/USA HEDGE MLTI ETF 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MORGAN STANLEY COM NEW 617446448 4628 47150 SH SOLE 43059 0 4091 Medtronic PLC SHS G5960L103 258 2491 SH DFND 2491 0 0 Medtronic PLC SHS G5960L103 7833 75714 SH SOLE 72053 0 3661 Merck & Co Inc COM 58933Y105 165 2155 SH DFND 2100 0 55 Merck & Co Inc COM 58933Y105 638 8321 SH SOLE 8221 0 100 MetLife Inc COM 59156R108 427 6838 SH SOLE 6838 0 0 NEXTERA ENERGY COM 65339F101 280 3000 SH DFND 3000 0 0 NEXTERA ENERGY COM 65339F101 216 2310 SH SOLE 2310 0 0 NIKE INC CL B 654106103 544 3265 SH SOLE 3265 0 0 NORDIC AMER TANKER COM G65773106 85 50500 SH SOLE 50500 0 0 NORTHROP GRUMMAN COM 666807102 8 20 SH DFND 0 0 20 NORTHROP GRUMMAN COM 666807102 411 1062 SH SOLE 1062 0 0 NOVAGOLD RESOURCES COM NEW 66987E206 137 20000 SH DFND 20000 0 0 Neogen Corp COM 640491106 200 4413 SH SOLE 4413 0 0 NexGen Energy Ltd COM 65340P106 456 104426 SH SOLE 104426 0 0 Nice Ltd SPONSORED ADR 653656108 214 705 SH SOLE 705 0 0 Ninepoint Partners LP/Canada TR UNIT 85207K107 714 88985 SH SOLE 88985 0 0 Norfolk Southern Corp COM 655844108 387 1300 SH DFND 1300 0 0 Norfolk Southern Corp COM 655844108 570 1914 SH SOLE 1914 0 0 Nucor Corp COM 670346105 287 2513 SH SOLE 2513 0 0 Nuveen Asset Management LLC NUVEEN BLMBRG SR 78468R739 4695 95459 SH SOLE 95459 0 0 Nuveen Closed-End Funds/USA COM 6706ER101 369 25200 SH DFND 25200 0 0 Nuveen Closed-End Funds/USA COM 6706ER101 8999 614266 SH SOLE 597237 0 17029 Nuveen Closed-End Funds/USA COM 67072C105 141 14525 SH SOLE 14525 0 0 Nuveen Closed-End Funds/USA COM 67074Y105 23 1430 SH DFND 1430 0 0 Nuveen Closed-End Funds/USA COM 67074Y105 4588 284643 SH SOLE 284643 0 0 ORACLE CORP COM 68389X105 304 3487 SH DFND 3452 0 35 ORACLE CORP COM 68389X105 5911 67778 SH SOLE 67496 0 282 PEPSICO INC COM 713448108 205 1183 SH DFND 1163 0 20 PEPSICO INC COM 713448108 4434 25525 SH SOLE 25409 0 116 PNC Financial Services Group I COM 693475105 205 1020 SH DFND 1000 0 20 PNC Financial Services Group I COM 693475105 611 3048 SH SOLE 3048 0 0 PPG Industries Inc COM 693506107 337 1956 SH SOLE 1956 0 0 PROSHARES ETFS/USA ULTRAPRO QQQ 74347X831 374 2250 SH DFND 2250 0 0 Palo Alto Networks Inc COM 697435105 362 651 SH SOLE 651 0 0 PetMed Express Inc COM 716382106 253 10000 SH SOLE 10000 0 0 Pfizer Inc COM 717081103 67 1130 SH DFND 1000 0 130 Pfizer Inc COM 717081103 2038 34517 SH SOLE 34417 0 100 Pfizer Inc CL A 98978V103 402 1648 SH SOLE 1648 0 0 Physicians Realty Trust COM 71943U104 6 344 SH DFND 344 0 0 Physicians Realty Trust COM 71943U104 1289 68467 SH SOLE 68467 0 0 Postal Realty Trust Inc CL A 73757R102 14 696 SH DFND 696 0 0 Postal Realty Trust Inc CL A 73757R102 2735 138110 SH SOLE 138110 0 0 Procter & Gamble Co/The COM 742718109 136 832 SH DFND 807 0 25 Procter & Gamble Co/The COM 742718109 4694 28698 SH SOLE 26412 0 2286 Prologis Inc COM 74340W103 349 2073 SH SOLE 2073 0 0 Proshare Capital Management LLC ULTRA SILVER NEW 74347W353 390 11213 SH SOLE 11213 0 0 Putnam Investment Management LLC COM 746823103 98 11200 SH SOLE 11200 0 0 Putnam Investment 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Corp COM 871829107 150 1904 SH SOLE 1904 0 0 TE Connectivity Ltd REG SHS H84989104 232 1441 SH SOLE 1441 0 0 TEXAS INSTRUMENTS COM 882508104 230 1220 SH DFND 1220 0 0 TEXAS INSTRUMENTS COM 882508104 10669 56608 SH SOLE 53302 0 3306 TRAVELERS CO INC COM 89417E109 462 2953 SH SOLE 2953 0 0 TSMC SPONSORED ADS 874039100 223 1855 SH SOLE 1855 0 0 Target Corp COM 87612E106 272 1175 SH DFND 1165 0 10 Target Corp COM 87612E106 6124 26459 SH SOLE 26371 0 88 Tesla Inc COM 88160R101 209 198 SH DFND 198 0 0 Tesla Inc COM 88160R101 615 582 SH SOLE 582 0 0 Tetra Tech Inc COM 88162G103 204 1203 SH SOLE 1203 0 0 Thermo Fisher Scientific Inc COM 883556102 1322 1981 SH SOLE 1981 0 0 Tyson Foods Inc CL A 902494103 4 45 SH DFND 0 0 45 Tyson Foods Inc CL A 902494103 314 3607 SH SOLE 3607 0 0 US BANCORP COM NEW 902973304 239 4260 SH SOLE 4260 0 0 UTD PARCEL SERV CL B 911312106 345 1611 SH DFND 1611 0 0 UTD PARCEL SERV CL B 911312106 12849 59945 SH SOLE 57332 0 2613 Union Pacific Corp COM 907818108 504 2000 SH DFND 2000 0 0 Union Pacific Corp COM 907818108 417 1657 SH SOLE 1657 0 0 United Rentals Inc COM 911363109 462 1390 SH SOLE 1390 0 0 UnitedHealth Group Inc COM 91324P102 4 7 SH DFND 0 0 7 UnitedHealth Group Inc COM 91324P102 887 1766 SH SOLE 1766 0 0 Uranium Energy Corp COM 916896103 181 54000 SH SOLE 54000 0 0 Uranium Royalty Corp COM 91702V101 88 24000 SH SOLE 24000 0 0 VANGUARD FINANCIALS ETF 92204A405 17 177 SH DFND 177 0 0 VANGUARD FINANCIALS ETF 92204A405 747 7734 SH SOLE 7734 0 0 VANGUARD S&P 500 ETF SHS 922908363 279 640 SH DFND 640 0 0 VANGUARD S&P 500 ETF SHS 922908363 528 1209 SH SOLE 1209 0 0 VANGUARD ETF/USA DIV APP ETF 921908844 721 4200 SH SOLE 4200 0 0 VANGUARD ETF/USA VG TL INTL STK F 921909768 4760 74885 SH SOLE 74885 0 0 VANGUARD ETF/USA COMM SRVC ETF 92204A884 32 236 SH DFND 236 0 0 VANGUARD ETF/USA COMM SRVC ETF 92204A884 5282 38965 SH SOLE 35687 0 3278 VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 30 374 SH DFND 374 0 0 VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 10200 125519 SH SOLE 125519 0 0 VANGUARD ETF/USA SM CP VAL ETF 922908611 277 1547 SH DFND 1547 0 0 VANGUARD ETF/USA SM CP VAL ETF 922908611 8921 49881 SH SOLE 49881 0 0 VANGUARD GROUP INC/THE TOTAL INT BD ETF 92203J407 989 17931 SH SOLE 17931 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 12 61 SH DFND 61 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 606 2988 SH SOLE 2988 0 0 VERIZON COMMUN COM 92343V104 97 1870 SH DFND 1870 0 0 VERIZON COMMUN COM 92343V104 3369 64845 SH SOLE 59538 0 5307 VISA INC COM CL A 92826C839 225 1040 SH DFND 1040 0 0 VISA INC COM CL A 92826C839 5155 23787 SH SOLE 23685 0 102 Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 1557 30378 SH DFND 30378 0 0 Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 37721 735726 SH SOLE 735726 0 0 Vanguard ETF/USA 500 GRTH IDX F 921932505 1813 6010 SH SOLE 6010 0 0 Vanguard ETF/USA INTERMED TERM 921937819 355 4055 SH SOLE 4055 0 0 Vanguard ETF/USA TOTAL BND MRKT 921937835 89 1048 SH DFND 1048 0 0 Vanguard ETF/USA TOTAL BND MRKT 921937835 7983 94192 SH SOLE 92759 0 1433 Vanguard ETF/USA FTSE DEV MKT ETF 921943858 322 6308 SH SOLE 6308 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 235 4753 SH DFND 4753 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 8564 173147 SH SOLE 173147 0 0 Vanguard ETF/USA CONSUM DIS ETF 92204A108 13 37 SH DFND 37 0 0 Vanguard ETF/USA CONSUM DIS ETF 92204A108 732 2149 SH SOLE 2149 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 18 88 SH DFND 88 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 558 2790 SH SOLE 2790 0 0 Vanguard ETF/USA HEALTH CAR ETF 92204A504 21 80 SH DFND 80 0 0 Vanguard ETF/USA HEALTH CAR ETF 92204A504 1117 4191 SH SOLE 4191 0 0 Vanguard ETF/USA INF TECH ETF 92204A702 37 80 SH DFND 80 0 0 Vanguard ETF/USA INF TECH ETF 92204A702 1958 4273 SH SOLE 4273 0 0 Vanguard ETF/USA REAL ESTATE ETF 922908553 5 42 SH DFND 42 0 0 Vanguard ETF/USA REAL ESTATE ETF 922908553 448 3866 SH SOLE 3866 0 0 Vanguard ETF/USA GROWTH ETF 922908736 1438 4480 SH DFND 4480 0 0 Vanguard ETF/USA GROWTH ETF 922908736 49780 155126 SH SOLE 155126 0 0 Vanguard ETF/USA VALUE ETF 922908744 1365 9282 SH DFND 9282 0 0 Vanguard ETF/USA VALUE ETF 922908744 46761 317863 SH SOLE 317863 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 1776 7354 SH DFND 7354 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 19836 82157 SH SOLE 82157 0 0 Vanguard Group Inc/The FTSE SMCAP ETF 922042718 90 670 SH DFND 670 0 0 Vanguard Group Inc/The FTSE SMCAP ETF 922042718 253 1889 SH SOLE 1889 0 0 Vanguard Group Inc/The SML CP GRW ETF 922908595 262 928 SH DFND 928 0 0 Vanguard Group Inc/The SML CP GRW ETF 922908595 8209 29131 SH SOLE 29131 0 0 Voya Investments LLC CORE S&P MCP ETF 464287507 61 215 SH DFND 0 0 215 Voya Investments LLC CORE S&P MCP ETF 464287507 1013 3580 SH SOLE 3580 0 0 Voya Investments LLC CORE S&P SCP ETF 464287804 1158 10116 SH SOLE 10116 0 0 Voya Investments LLC CORE MSCI EMKT 46434G103 440 7343 SH SOLE 7343 0 0 WASTE MANAGEMENT COM 94106L109 768 4599 SH SOLE 4599 0 0 WEC Energy Group Inc COM 92939U106 194 2000 SH DFND 2000 0 0 WEC Energy Group Inc COM 92939U106 148 1520 SH SOLE 1520 0 0 WELLS FARGO & CO COM 949746101 11 219 SH DFND 99 0 120 WELLS FARGO & CO COM 949746101 2146 44717 SH SOLE 44717 0 0 Walmart Inc COM 931142103 432 2986 SH DFND 2841 0 145 Walmart Inc COM 931142103 12115 83732 SH SOLE 79487 0 4245 Walt Disney Co/The COM 254687106 232 1498 SH DFND 1453 0 45 Walt Disney Co/The COM 254687106 5263 33979 SH SOLE 33811 0 168 Woodward Inc COM 980745103 241 2200 SH SOLE 2200 0 0 YAMANA GOLD INC COM 98462Y100 84 20000 SH DFND 20000 0 0 YAMANA GOLD INC COM 98462Y100 42 10020 SH SOLE 10020 0 0 Yum China Holdings Inc COM 98850P109 6 118 SH DFND 118 0 0 Yum China Holdings Inc COM 98850P109 835 16747 SH SOLE 15243 0 1504 iShares ETFs/USA MSCI ACWI EX US 464288240 118 2115 SH DFND 2115 0 0 iShares ETFs/USA MSCI ACWI EX US 464288240 1537 27635 SH SOLE 27635 0 0 iShares ETFs/USA JPMORGAN USD EMG 464288281 7 65 SH DFND 65 0 0 iShares ETFs/USA JPMORGAN USD EMG 464288281 3214 29472 SH SOLE 29472 0 0 iShares ETFs/USA BLACKROCK ULTRA 46434V878 156 3091 SH DFND 3091 0 0 iShares ETFs/USA BLACKROCK ULTRA 46434V878 3863 76662 SH SOLE 71796 0 4866