IT Manager

0001007399-17-000004.txt : 20170815 0001007399-17-000004.hdr.sgml : 20170815 20170815100431 ACCESSION NUMBER: 0001007399-17-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170815 DATE AS OF CHANGE: 20170815 EFFECTIVENESS DATE: 20170815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001007399 IRS NUMBER: 542005153 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05226 FILM NUMBER: 171032663 BUSINESS ADDRESS: STREET 1: 150 WEST MAIN STREET STREET 2: SUITE 1700 CITY: NORFOLK STATE: VA ZIP: 23510 BUSINESS PHONE: 7576233676 MAIL ADDRESS: STREET 1: 150 WEST MAIN STREET STREET 2: SUITE 1700 CITY: NORFOLK STATE: VA ZIP: 23510 FORMER COMPANY: FORMER CONFORMED NAME: WILBANKS SMITH & THOMAS ASSET MANAGEMENT INC/VA DATE OF NAME CHANGE: 19990317 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001007399 XXXXXXXX 06-30-2017 06-30-2017 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC

150 WEST MAIN STREET SUITE 1700 NORFOLK VA 23510

13F HOLDINGS REPORT 028-05226 N Marc Skarshinski IT Manager 7576233676 Marc Skarshinski Norfolk VA 08-15-2017 0 336 1140089 false INFORMATION TABLE 2 WSTQ22017.xml WILBANKS SMITH AND THOMAS Q2 2017 13F REPORT Alerian MLP FS 00162Q866 610 50981 SH SOLE 0 0 50981 Ares Capital Corporation FS 04010L103 1423 86850 SH SOLE 9660 0 77190 Capitala Finance Corp FS 14054R106 4870 374320 SH SOLE 27160 0 347160 ClearBridge Energy MLP TR FS 18469Q108 128 10000 SH SOLE 0 0 10000 JPMorgan Alerian MLP Index FS 46625H365 583 19630 SH SOLE 6245 0 13385 Magellan Midstream Partners FS 559080106 606 8504 SH SOLE 0 0 8504 Monroe Capital Corp FS 610335101 201 13223 SH SOLE 3200 0 10023 3M Co CS 88579Y101 987 4742 SH SOLE 0 0 4742 Abbott Laboratories CS 002824100 1146 23585 SH SOLE 97 0 23488 AbbVie Inc CS 00287Y109 1871 25805 SH SOLE 97 0 25708 ABIOMED, Inc. CS 003654100 329 2296 SH SOLE 0 0 2296 Accenture PLC Cl A CS G1151C101 212 1717 SH SOLE 0 0 1717 Acuity Brands Inc CS 00508Y102 1266 6228 SH SOLE 0 0 6228 Adobe Systems CS 00724F101 4348 30741 SH SOLE 3038 0 27703 Aetna Life & Casualty CS 00817Y108 477 3142 SH SOLE 0 0 3142 Air Products & Chemical CS 009158106 400 2795 SH SOLE 67 0 2728 Akamai Technologies CS 00971T101 228 4580 SH SOLE 300 0 4280 Albemarle Corp CS 012653101 480 4548 SH SOLE 0 0 4548 Alibaba Group Holdings CS 01609W102 451 3199 SH SOLE 0 0 3199 Allergan PLC CS G0177J108 259 1067 SH SOLE 0 0 1067 Alliance Data Systems Corp CS 018581108 2387 9299 SH SOLE 1172 0 8127 Allstate Corp CS 020002101 334 3773 SH SOLE 0 0 3773 Alphabet Inc Cl A CS 02079K305 4273 4596 SH SOLE 322 0 4274 Alphabet Inc Cl C CS 02079K107 2458 2705 SH SOLE 148 0 2557 Altria Group Inc CS 02209S103 2217 29768 SH SOLE 7110 0 22658 Amazon.com Inc CS 023135106 1746 1804 SH SOLE 32 0 1772 American Electric Power CS 025537101 217 3128 SH SOLE 0 0 3128 American Express CS 025816109 1353 16064 SH SOLE 167 0 15897 American National Bancshares CS 027745108 547 14801 SH SOLE 0 0 14801 Amgen Inc CS 031162100 1118 6489 SH SOLE 80 0 6409 Anthem Inc CS 036752103 1663 8838 SH SOLE 0 0 8838 Apollo Investment Corp CS 03761U106 66 10300 SH SOLE 0 0 10300 Apple Inc CS 037833100 17257 119824 SH SOLE 3097 0 116727 Applied Materials CS 038222105 328 7929 SH SOLE 581 0 7348 Armada Hoffler Properties CS 04208T108 3396 262267 SH SOLE 0 0 262267 At Home Group Inc CS 04650Y100 466 20000 SH SOLE 0 0 20000 AT&T Inc CS 00206R102 2418 64081 SH SOLE 1956 0 62125 Automatic Data Processing CS 053015103 288 2811 SH SOLE 75 0 2736 AVX Corp CS 002444107 170 10399 SH SOLE 910 0 9489 Baker Hughes Inc CS 057224107 263 4833 SH SOLE 320 0 4513 Bank of America Corp CS 060505104 988 40718 SH SOLE 670 0 40048 BB&T Corporation CS 054937107 2546 56063 SH SOLE 0 0 56063 Berkshire Hathaway Inc Cl A CS 084670108 3566 14 SH SOLE 0 0 14 Berkshire Hathaway Inc Cl B CS 084670702 4934 29129 SH SOLE 2247 0 26882 Boeing Company CS 097023105 5337 26990 SH SOLE 8414 0 18576 BorgWarner Inc CS 099724106 257 6062 SH SOLE 0 0 6062 Bounty Oil & Gas NL CS Q1714E106 2 300000 SH SOLE 0 0 300000 Brilliance China Auto Ltd CS G1368B102 182 100000 SH SOLE 0 0 100000 Bristol-Myers Squibb Co CS 110122108 4638 83233 SH SOLE 5822 0 77411 Brown-Forman Corp-Cl B CS 115637209 637 13098 SH SOLE 0 0 13098 C R Bard Inc CS 067383109 1897 6000 SH SOLE 0 0 6000 Calpine Corporation CS 131347304 309 22803 SH SOLE 1630 0 21173 Capital One Financial CS 14040H105 1443 17468 SH SOLE 0 0 17468 Carlyle Group LP CS 14309L102 2840 143795 SH SOLE 5765 0 138030 CarMax Inc CS 143130102 774 12268 SH SOLE 0 0 12268 Castlight Health Inc CS 14862Q100 264 63500 SH SOLE 3500 0 60000 Caterpillar CS 149123101 9660 89897 SH SOLE 200 0 89697 CB Richard Ellis Group Inc CS 12504L109 3224 88582 SH SOLE 9269 0 79313 Celanese Corp CS 150870103 224 2358 SH SOLE 0 0 2358 Celgene Corp CS 151020104 449 3455 SH SOLE 0 0 3455 Cerner Corp CS 156782104 2320 34898 SH SOLE 4742 0 30156 Charles Schwab Corp CS 808513105 3520 81938 SH SOLE 9669 0 72269 Check Point Software Tech CS M22465104 392 3597 SH SOLE 51 0 3546 Chevron Corp CS 166764100 4866 46641 SH SOLE 2349 0 44292 China Wi-Max Comm CS 16948L104 0 20000 SH SOLE 0 0 20000 Cigna Corp CS 125509109 676 4040 SH SOLE 0 0 4040 Cintas Corp CS 172908105 353 2800 SH SOLE 0 0 2800 Cisco Systems CS 17275R102 1443 46101 SH SOLE 2925 0 43176 Citigroup Inc CS 172967424 411 6150 SH SOLE 0 0 6150 Citizens Financial Group CS 174610105 304 8533 SH SOLE 0 0 8533 Coca Cola Company CS 191216100 3237 72163 SH SOLE 2006 0 70157 Cognizant Tech Sol Corp Cl A CS 192446102 348 5243 SH SOLE 350 0 4893 Colgate Palmolive Co CS 194162103 3723 50227 SH SOLE 4290 0 45937 Comcast Corp Cl A CS 20030N101 1611 41390 SH SOLE 0 0 41390 ConocoPhillips CS 20825C104 2502 56926 SH SOLE 4948 0 51978 Costco Wholesale CS 22160K105 427 2672 SH SOLE 0 0 2672 Cracker Barrel Old Country CS 22410J106 952 5692 SH SOLE 0 0 5692 CRH Medical Corp CS 12626F105 200 35000 SH SOLE 0 0 35000 CSX Corp CS 126408103 315 5770 SH SOLE 0 0 5770 CVS Corp CS 126650100 2035 25294 SH SOLE 4885 0 20409 Danaher Corp CS 235851102 1434 16997 SH SOLE 0 0 16997 Deere & Company CS 244199105 204 1651 SH SOLE 402 0 1249 Delta Air Lines CS 247361702 6661 123951 SH SOLE 6304 0 117647 Diageo PLC ADR CS 25243Q205 516 4302 SH SOLE 105 0 4197 Discovery Comm Inc Cl C CS 25470F302 264 10458 SH SOLE 0 0 10458 Dollar Tree Inc CS 256746108 2752 39355 SH SOLE 3620 0 35735 Dominion Energy Inc CS 25746U109 2754 35940 SH SOLE 131 0 35809 Dow Chemicals CS 260543103 599 9494 SH SOLE 2159 0 7335 Du Pont E.I. De Nemours & Co CS 263534109 998 12361 SH SOLE 125 0 12236 Duke Energy Corp CS 26441C204 1565 18724 SH SOLE 1080 0 17644 Eagle Financial Services, Inc. CS 26951R104 691 22097 SH SOLE 0 0 22097 eBay Inc CS 278642103 248 7090 SH SOLE 0 0 7090 Eli Lilly CS 532457108 417 5067 SH SOLE 349 0 4718 Emerson Electric Co CS 291011104 325 5451 SH SOLE 400 0 5051 Enbridge Inc CS 29250N105 243 6100 SH SOLE 183 0 5917 Equifax, Inc CS 294429105 203 1475 SH SOLE 908 0 567 Express Scripts Holding Co CS 30219G108 220 3452 SH SOLE 780 0 2672 Exxon Mobil Corp CS 30231G102 7299 90411 SH SOLE 11210 0 79201 Facebook Inc CS 30303M102 4031 26698 SH SOLE 2172 0 24526 FedEx Corp CS 31428X106 2987 13746 SH SOLE 1746 0 12000 Fidelis Energy Inc CS 315746107 0 1500000 SH SOLE 0 0 1500000 FireEye Inc CS 31816Q101 534 35080 SH SOLE 1010 0 34070 First Cash Financial Svcs CS 33767D105 556 9535 SH SOLE 440 0 9095 Fiserv Inc CS 337738108 3558 29079 SH SOLE 2935 0 26144 FleetCor Technologies Inc CS 339041105 219 1517 SH SOLE 0 0 1517 Flowers Foods Inc CS 343498101 205 11821 SH SOLE 800 0 11021 FNB Corp CS 302520101 1003 70829 SH SOLE 0 0 70829 Fortive Corp CS 34959J108 536 8456 SH SOLE 0 0 8456 General Electric CS 369604103 6347 234999 SH SOLE 14638 0 220361 General Mills Inc CS 370334104 256 4621 SH SOLE 0 0 4621 Gilead Sciences Inc CS 375558103 246 3473 SH SOLE 230 0 3243 GlaxoSmithkline PLC-ADR CS 37733W105 227 5273 SH SOLE 405 0 4868 Glencore Xstrata PLC CS 37827X100 102 13605 SH SOLE 0 0 13605 Grainger W W Inc CS 384802104 247 1366 SH SOLE 0 0 1366 Granite Point Mortgage Tr CS 38741L107 218 11500 SH SOLE 0 0 11500 Harris Corp CS 413875105 230 2107 SH SOLE 0 0 2107 Hershey Foods CS 427866108 737 6862 SH SOLE 120 0 6742 Home Depot CS 437076102 628 4094 SH SOLE 164 0 3930 Honeywell International Inc CS 438516106 591 4433 SH SOLE 61 0 4372 Hormel Foods Corp CS 440452100 282 8256 SH SOLE 0 0 8256 Hubbell Inc CS 443510607 328 2897 SH SOLE 0 0 2897 Huntington Ingalls Ind CS 446413106 312 1674 SH SOLE 14 0 1660 Illinois Tool Works CS 452308109 245 1708 SH SOLE 0 0 1708 Ingersoll Rand Plc CS G47791101 205 2245 SH SOLE 0 0 2245 Intel Corp CS 458140100 1433 42460 SH SOLE 242 0 42218 International Business Machine CS 459200101 1652 10741 SH SOLE 3108 0 7633 International Paper CS 460146103 364 6426 SH SOLE 0 0 6426 Intl Dispensing Corp CS 459407102 1301 3253340 SH SOLE 0 0 3253340 Intuitive Surgical Inc. CS 46120E602 346 370 SH SOLE 0 0 370 iPackets International Inc CS 46262T102 0 264000 SH SOLE 0 0 264000 JM Smucker Co CS 832696405 346 2922 SH SOLE 0 0 2922 Johnson & Johnson CS 478160104 10099 76337 SH SOLE 1841 0 74496 Johnson Controls Intl PLC CS G51502105 1664 38385 SH SOLE 5411 0 32974 JP Morgan Chase & Co CS 46625H100 2236 24462 SH SOLE 5486 0 18976 Kansas City Southern CS 485170302 210 2011 SH SOLE 0 0 2011 Kellogg Company CS 487836108 5394 77660 SH SOLE 55 0 77605 Kimberly Clark Corp CS 494368103 1610 12468 SH SOLE 0 0 12468 Kinder Morgan CS 49456B101 2119 110576 SH SOLE 0 0 110576 Kraft Heinz Co CS 500754106 605 7060 SH SOLE 1166 0 5894 Kroger Company CS 501044101 260 11131 SH SOLE 0 0 11131 Laboratory Corp of Amer Hldgs CS 50540R409 449 2910 SH SOLE 0 0 2910 Liberty Global Plc Series C CS G5480U120 205 6572 SH SOLE 0 0 6572 Lockheed Martin CS 539830109 1027 3701 SH SOLE 0 0 3701 Loews Corp CS 540424108 298 6364 SH SOLE 315 0 6049 Lowe's Companies CS 548661107 953 12294 SH SOLE 0 0 12294 Marathon Petroleum Corp CS 56585A102 231 4413 SH SOLE 0 0 4413 Markel Corp CS 570535104 228 234 SH SOLE 0 0 234 Marsh & McLennan Companies CS 571748102 259 3319 SH SOLE 0 0 3319 MasterCard Inc CS 57636Q104 2967 24429 SH SOLE 2873 0 21556 McCormick & Co CS 579780206 796 8160 SH SOLE 0 0 8160 McDonald's Corp CS 580135101 857 5595 SH SOLE 210 0 5385 Medtronic PLC CS G5960L103 220 2479 SH SOLE 0 0 2479 Merck & Co Inc CS 58933Y105 2429 37901 SH SOLE 3065 0 34836 MetLife Inc CS 59156R108 249 4537 SH SOLE 290 0 4247 Microsoft Corp CS 594918104 9734 141209 SH SOLE 14886 0 126323 Mohawk Industries CS 608190104 367 1519 SH SOLE 0 0 1519 Mondelez International Inc CS 609207105 857 19834 SH SOLE 3500 0 16334 Monsanto Co CS 61166W101 201 1700 SH SOLE 0 0 1700 Morgan Stanley CS 617446448 2638 59207 SH SOLE 7637 0 51570 MSA Safety Inc CS 553498106 232 2864 SH SOLE 0 0 2864 Nestle ADR CS 641069406 481 5521 SH SOLE 0 0 5521 NewMarket Corp CS 651587107 1577 3424 SH SOLE 0 0 3424 NextEra Energy Inc CS 65339F101 451 3218 SH SOLE 336 0 2882 Nielsen Holdings PLC CS G6518L108 206 5337 SH SOLE 0 0 5337 Nike Inc CL B CS 654106103 229 3874 SH SOLE 680 0 3194 Nordic Amer Tanker Shipping Lt CS G65773106 166 26232 SH SOLE 0 0 26232 Nordic American Offshore Ltd CS G65772108 38 30000 SH SOLE 0 0 30000 Norfolk Southern Corporation CS 655844108 54768 450026 SH SOLE 58113 0 391913 Northrop Grumman CS 666807102 1029 4010 SH SOLE 85 0 3925 Novartis A G Sponsored ADR CS 66987V109 524 6273 SH SOLE 55 0 6218 NRG Yield Inc Class C CS 62942X405 207 11778 SH SOLE 0 0 11778 Occidental Petroleum CS 674599105 238 3978 SH SOLE 0 0 3978 Omnicom Group CS 681919106 397 4791 SH SOLE 0 0 4791 Oracle Corp CS 68389X105 4139 82557 SH SOLE 6815 0 75742 Parker Hannifin CS 701094104 484 3031 SH SOLE 0 0 3031 PayPal Holdings Inc CS 70450Y103 3553 66199 SH SOLE 6835 0 59364 Pepsico Inc CS 713448108 9083 78645 SH SOLE 6678 0 71967 Pfizer Inc CS 717081103 4566 135943 SH SOLE 3729 0 132214 Philip Morris Intl Inc CS 718172109 1701 14486 SH SOLE 3880 0 10606 Phillips 66 CS 718546104 303 3667 SH SOLE 127 0 3540 PNC Financial Services Group CS 693475105 2554 20452 SH SOLE 0 0 20452 Potomac Bancshares Inc CS 737643106 753 69955 SH SOLE 0 0 69955 PPL Corporation CS 69351T106 390 10085 SH SOLE 0 0 10085 PrimeCare Systems Inc CS 74162Y104 0 100000 SH SOLE 0 0 100000 Procter & Gamble CS 742718109 5566 63869 SH SOLE 6676 0 57193 Progressive Corp, Ohio CS 743315103 278 6316 SH SOLE 120 0 6196 PVH Corp CS 693656100 410 3577 SH SOLE 0 0 3577 Qualcomm Inc CS 747525103 3361 60859 SH SOLE 5164 0 55695 Rand Worldwide Inc CS 752246108 83 30800 SH SOLE 0 0 30800 Rayonier Inc CS 754907103 415 14425 SH SOLE 0 0 14425 Raytheon Co CS 755111507 317 1963 SH SOLE 0 0 1963 Reliance Steel & Aluminum CS 759509102 409 5611 SH SOLE 5570 0 41 Reynolds American Inc CS 761713106 1450 22289 SH SOLE 18260 0 4029 Rockwell Collins Inc CS 774341101 515 4901 SH SOLE 0 0 4901 Royal Dutch Shell PLC - ADR A CS 780259206 212 3992 SH SOLE 0 0 3992 Royal Dutch Shell PLC - ADR B CS 780259107 264 4858 SH SOLE 0 0 4858 Sabre Corp CS 78573M104 206 9456 SH SOLE 0 0 9456 Sanofi Aventis CS 80105N105 3426 71517 SH SOLE 4950 0 66567 SCANA Corp CS 80589M102 273 4070 SH SOLE 0 0 4070 Schlumberger Ltd CS 806857108 755 11466 SH SOLE 595 0 10871 Sherwin Williams Co CS 824348106 755 2150 SH SOLE 131 0 2019 Sirius XM Holdings Inc CS 82968B103 77 14000 SH SOLE 0 0 14000 Southern Co CS 842587107 2243 46838 SH SOLE 4750 0 42088 Southern Natl Bancorp of Va CS 843395104 1568 89108 SH SOLE 0 0 89108 Stanley Black & Decker Inc CS 854502101 324 2303 SH SOLE 0 0 2303 Starbucks Corp CS 855244109 426 7311 SH SOLE 0 0 7311 SunTrust Banks CS 867914103 781 13774 SH SOLE 0 0 13774 Synchrony Financial CS 87165B103 343 11510 SH SOLE 530 0 10980 Sysco Corp CS 871829107 693 13767 SH SOLE 90 0 13677 Target Corp CS 87612E106 388 7418 SH SOLE 0 0 7418 Tesla Motors Inc CS 88160R101 564 1560 SH SOLE 0 0 1560 Texas Instruments Inc CS 882508104 6190 80459 SH SOLE 179 0 80280 The Clorox Co CS 189054109 754 5658 SH SOLE 0 0 5658 The Walt Disney Co CS 254687106 4068 38287 SH SOLE 3333 0 34954 Thermo Fisher Scientific Inc CS 883556102 269 1541 SH SOLE 0 0 1541 Time Warner Inc CS 887317303 263 2620 SH SOLE 319 0 2301 TJX Companies CS 872540109 215 2975 SH SOLE 0 0 2975 TowneBank CS 89214P109 5363 174128 SH SOLE 0 0 174128 Trevali Mining Corp CS 89531J109 10 10000 SH SOLE 0 0 10000 TriplePoint Venture Gr BDC CS 89677Y100 253 19000 SH SOLE 0 0 19000 Twenty First Century Fox B CS 90130A200 382 13710 SH SOLE 1215 0 12495 Tyson Foods Inc -A CS 902494103 210 3355 SH SOLE 260 0 3095 UDR Inc. CS 902653104 253 6494 SH SOLE 0 0 6494 Umpqua Holdings Corporation CS 904214103 269 14675 SH SOLE 850 0 13825 Union Pacific CS 907818108 604 5549 SH SOLE 0 0 5549 United Parcel Service CL B CS 911312106 957 8658 SH SOLE 160 0 8498 United Technologies CS 913017109 1027 8410 SH SOLE 394 0 8016 UnitedHealthcare Group Inc CS 91324P102 464 2502 SH SOLE 80 0 2422 US Bancorp CS 902973304 1123 21624 SH SOLE 0 0 21624 Valero Energy CS 91913Y100 217 3210 SH SOLE 0 0 3210 Verizon Communications Inc CS 92343V104 4321 96752 SH SOLE 6911 0 89841 Vertex Pharmaceuticals CS 92532F100 363 2815 SH SOLE 0 0 2815 Visa Inc Cl A CS 92826C839 1248 13312 SH SOLE 142 0 13170 Vulcan Materials Co CS 929160109 810 6396 SH SOLE 0 0 6396 Wal-Mart Stores CS 931142103 1398 18471 SH SOLE 1331 0 17140 Walgreens Boots Alliance CS 931427108 717 9160 SH SOLE 0 0 9160 Waste Management, Inc CS 94106L109 1282 17473 SH SOLE 500 0 16973 Wells Fargo & Co CS 949746101 3671 66255 SH SOLE 5664 0 60591 Westar Energy Inc CS 95709T100 284 5360 SH SOLE 0 0 5360 WestRock Co CS 96145D105 330 5822 SH SOLE 0 0 5822 Weyerhaeuser Company CS 962166104 282 8416 SH SOLE 0 0 8416 Willis Towers Watson PLC CS G96629103 997 6852 SH SOLE 216 0 6636 WP Carey Inc CS 92936U109 220 3330 SH SOLE 0 0 3330 Xcel Energy Inc CS 98389B100 267 5816 SH SOLE 0 0 5816 YUM Brands Inc CS 988498101 281 3807 SH SOLE 392 0 3415 Zimmer Biomet Holdings Inc CS 98956P102 2819 21956 SH SOLE 2437 0 19519 Zoetis Inc CS 98978V103 354 5682 SH SOLE 98 0 5584 Eaton Vance TM Glbl BR Opp FS 27829C105 148 13034 SH SOLE 0 0 13034 First Tr Multi Gr AlphaDEX FS 33733F101 216 3700 SH SOLE 0 0 3700 Flexshares Disc Dur Mbs FS 33939L779 286 11930 SH SOLE 5020 0 6910 GS ActiveBeta Emerging FS 381430206 207 6630 SH SOLE 0 0 6630 Guggenheim Defensive Eqty FS 18383M878 203 4760 SH SOLE 0 0 4760 Guggenheim S&P 500 EW FS 78355W106 4089 44123 SH SOLE 42445 0 1678 Guggenheim S&P 500 Pure Gr FS 78355W403 9370 99531 SH SOLE 57800 0 41731 Guggenheim S&P 500 Top 50 FS 78355W205 9894 57803 SH SOLE 2180 0 55623 Guggenheim S&P EW Cons Stap FS 78355W874 418 3353 SH SOLE 2983 0 370 Guggenheim S&P EW Financials FS 78355W858 10892 275750 SH SOLE 64570 0 211180 Guggenheim S&P EW Health FS 78355W841 53079 304999 SH SOLE 72355 0 232644 Guggenheim S&P EW Ind FS 78355W833 12197 112835 SH SOLE 28095 0 84740 Guggenheim S&P EW Tech FS 78355W817 13724 109969 SH SOLE 34150 0 75819 Guggenheim S&P EW Utilities FS 78355W791 11258 132851 SH SOLE 34240 0 98611 HSBC S&P 500 Note Due 06/30/21 FS 40433C742 248 10000 SH SOLE 0 0 10000 Industrial Select Sector SPDR FS 81369Y704 483 7095 SH SOLE 0 0 7095 IQ Hedge Multi Str Tracker FS 45409B107 3857 131147 SH SOLE 5270 0 125877 IQ Merger Arbitrage FS 45409B800 724 23565 SH SOLE 2650 0 20915 iShares C&S Realty Index FS 464287564 225 2227 SH SOLE 0 0 2227 iShares Comex Gold Trust FS 464285105 922 77240 SH SOLE 790 0 76450 iShares Core MSCI Emg Mkts FS 46434G103 261 5220 SH SOLE 1000 0 4220 iShares Curr Hdg MSCI EAFE FS 46434V803 235 8265 SH SOLE 0 0 8265 iShares DJ US Home Constr FS 464288752 322 9490 SH SOLE 0 0 9490 iShares Financials FS 464287788 462 4300 SH SOLE 0 0 4300 iShares MSCI ACWI Index FS 464288257 1139 17398 SH SOLE 15 0 17383 iShares MSCI ACWI Min Vol FS 464286525 897 11341 SH SOLE 0 0 11341 iShares MSCI EAFE Index FS 464287465 54040 828829 SH SOLE 170556 0 658273 iShares MSCI EAFE Min Vol FS 46429B689 4931 71215 SH SOLE 0 0 71215 iShares MSCI EAFE SC Index FS 464288273 6973 120560 SH SOLE 53280 0 67280 iShares MSCI EAFE Value Index FS 464288877 22747 439973 SH SOLE 27204 0 412769 iShares MSCI Emerg Mkts FS 464287234 8133 196488 SH SOLE 64580 0 131908 iShares MSCI USA Min Vol FS 46429B697 1200 24520 SH SOLE 3400 0 21120 iShares Russell 1000 Growth FS 464287614 53036 445602 SH SOLE 26537 0 419065 iShares Russell 1000 Index FS 464287622 1673 12370 SH SOLE 0 0 12370 iShares Russell 1000 Value FS 464287598 3820 32807 SH SOLE 1726 0 31081 iShares Russell 2000 Growth FS 464287648 812 4810 SH SOLE 82 0 4728 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