0001020918-16-000016.txt : 20161018 0001020918-16-000016.hdr.sgml : 20161018 20161018125056 ACCESSION NUMBER: 0001020918-16-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161018 DATE AS OF CHANGE: 20161018 EFFECTIVENESS DATE: 20161018 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROTHSCHILD INVESTMENT CORP /IL CENTRAL INDEX KEY: 0001020918 IRS NUMBER: 362708660 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05772 FILM NUMBER: 161940397 BUSINESS ADDRESS: STREET 1: 311 SOUTH WACKER DRIVE STREET 2: SUITE 6500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129838900 MAIL ADDRESS: STREET 1: 311 S WACKER DR STREET 2: SUITE 6500 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001020918 XXXXXXXX 09-30-2016 09-30-2016 ROTHSCHILD INVESTMENT CORP /IL

311 S WACKER DR SUITE 6500 CHICAGO IL 60606

13F HOLDINGS REPORT 028-05772 N Bradley C. Drake 312-983-8956 Bradley C. Drake Chicago IL 10-18-2016 0 480 816536 false INFORMATION TABLE 2 inftable.xml 100,000THS CEF COHEN & STEERS COM bkc47l109 0 87208 SH DFND 0 0 87208 3M CO COM COM 88579Y101 3356 19042 SH DFND 0 0 19042 ABBOTT LABS COM 002824100 2887 68268 SH DFND 0 0 68268 ABBVIE INC COM COM 00287Y109 12187 193228 SH DFND 0 0 193228 ABEONA THERAPEUTICS IN COM COM 00289y107 84 14000 SH DFND 0 0 14000 ABRAXAS PETE CORP COM COM 003830106 34 20000 SH DFND 0 0 20000 ADVANCE AUTO PARTS INC COM COM 00751Y106 322 2157 SH DFND 0 0 2157 ADVANTAGE OIL & GAS LTD COM COM 00765F101 77 11000 SH DFND 0 0 11000 AEGON N V ORD AMER REG COM 007924103 243 62846 SH DFND 0 0 62846 AFLAC INC COM COM 001055102 262 3643 SH DFND 0 0 3643 AIR PRODUCTS & CHEMICALS COM 009158106 316 2100 SH DFND 0 0 2100 ALASKA AIR GROUP INC COM 011659109 1012 15373 SH DFND 0 0 15373 ALBEMARLE CORP COM COM 012653101 427 5000 SH DFND 0 0 5000 ALCOA INC. COM 013817507 266 26232 SH DFND 0 0 26232 ALLERGAN PLC SHS COM g0177j108 2972 12904 SH DFND 0 0 12904 ALLSTATE CORP COM COM 020002101 945 13657 SH DFND 0 0 13657 ALPHABET CLASS-C SHARE COM 02079k107 9534 12265 SH DFND 0 0 12265 ALPHABET INC CL A COM 02079k305 9834 12230 SH DFND 0 0 12230 ALTRIA GROUP INC COM 02209S103 820 12964 SH DFND 0 0 12964 AMAZON COM INC COM COM 023135106 1901 2270 SH DFND 0 0 2270 AMBIT BIOSCIENCE CONT VAL-POSS COM 023cvr996 0 30630 SH DFND 0 0 30630 AMEREN CORP COM COM 023608102 838 17032 SH DFND 0 0 17032 AMERICAN AIRLS GROUP INC COM COM 02376r102 229 6251 SH DFND 0 0 6251 AMERICAN ELECTRIC POWER COM 025537101 600 9341 SH DFND 0 0 9341 AMERICAN EXPRESS CO COM 025816109 331 5173 SH DFND 0 0 5173 AMERICAN INTL GROUP INC COM NE COM 026874784 4729 79699 SH DFND 0 0 79699 AMGEN INC COM 031162100 10581 63431 SH DFND 0 0 63431 ANNALY CAP MGMT INC COM COM 035710409 557 53056 SH DFND 0 0 53056 AON PLC SHS CL A COM g0408v102 1176 10456 SH DFND 0 0 10456 APACHE CORP COM 037411105 818 12814 SH DFND 0 0 12814 APOLLO EDUCATION GROUP INC CL COM 037604105 336 42325 SH DFND 0 0 42325 APPLE COMPUTER INC COM 037833100 27704 245060 SH DFND 0 0 245060 AQUA AMERICA INC COM COM 03836W103 780 25581 SH DFND 0 0 25581 ARCOS DORADOS HLDNG IN SHS CLA COM g0457f107 102 19400 SH DFND 0 0 19400 ARES CAP CORP COM COM 04010l103 2313 149194 SH DFND 0 0 149194 ASSOCIATED BANCORP COM 045487105 539 27500 SH DFND 0 0 27500 AT&T INC COM COM 00206r102 9410 231708 SH DFND 0 0 231708 AUTODESK INC COM 052769106 742 10254 SH DFND 0 0 10254 AUTOLIV INC COM COM 052800109 288 2700 SH DFND 0 0 2700 AVERY DENNISON CORP COM 053611109 381 4900 SH DFND 0 0 4900 AVON PRODS INC COM COM 054303102 192 33935 SH DFND 0 0 33935 AXA SA SPONS ADR COM 054536107 289 13663 SH DFND 0 0 13663 BANK AMER CORP RTN DJI NT18 COM 06053f174 122 10000 SH DFND 0 0 10000 BANK OF AMER CORP COM 060505104 5798 370451 SH DFND 0 0 370451 BARRICK GOLD CORP COM 067901108 616 34755 SH DFND 0 0 34755 BAXTER INTERNATIONAL INC COM 071813109 948 19912 SH DFND 0 0 19912 BECTON DICKINSON & CO COM 075887109 495 2753 SH DFND 0 0 2753 BED BATH & BEYOND INC COM COM 075896100 422 9785 SH DFND 0 0 9785 BEMIS INC COM COM 081437105 741 14525 SH DFND 0 0 14525 BERKSHIRE HATHAWAY INC CL B COM 084670702 9762 67569 SH DFND 0 0 67569 BERKSHIRE HATHAWAY INC DEL COM 084670108 432 2 SH DFND 0 0 2 BJS RESTAURANTS INC COM COM 09180c106 2960 83265 SH DFND 0 0 83265 BLACKSTONE GROUP L P COM UNIT COM 09253u108 3265 127898 SH DFND 0 0 127898 BOEING COMPANY COM 097023105 12556 95306 SH DFND 0 0 95306 BP PLC SPONSORED ADR COM 055622104 2303 65502 SH DFND 0 0 65502 BRISTOL MYERS SQUIBB CO COM 110122108 3935 72970 SH DFND 0 0 72970 CABELAS INC COM COM 126804301 1171 21310 SH DFND 0 0 21310 CALFRAC WELL SRVCS LTD COM COM 129584108 23 10300 SH DFND 0 0 10300 CANADIAN NATL RY CO COM COM 136375102 2613 39959 SH DFND 0 0 39959 CANADIAN ZINC CORP COM COM 136802105 2 10000 SH DFND 0 0 10000 CAPITAL ONE FINL CORP COM COM 14040H105 714 9942 SH DFND 0 0 9942 CARDINAL HEALTH INC COM COM 14149Y108 573 7378 SH DFND 0 0 7378 CARNIVAL CORP COM 143658300 1007 20622 SH DFND 0 0 20622 CATERPILLAR TRACTOR COM 149123101 486 5474 SH DFND 0 0 5474 CBS CORP CL B COM NEW COM 124857202 421 7692 SH DFND 0 0 7692 CELGENE CORP COM COM 151020104 9027 86355 SH DFND 0 0 86355 CHEVRON TEXACO CORP COM COM 166764100 4259 41382 SH DFND 0 0 41382 CHICAGO BRIDGE & IRON NY REGIS COM 167250109 629 22425 SH DFND 0 0 22425 CISCO SYS INC COM 17275R102 11348 357742 SH DFND 0 0 357742 CITIGROUP INC COM COM 172967424 1178 24939 SH DFND 0 0 24939 CLAYMORE EXCHANGE TRD GUGG ENH COM 18383m654 434 8654 SH DFND 0 0 8654 COACH INC COM COM 189754104 367 10048 SH DFND 0 0 10048 COBALT INTL ENERGY INC COM COM 19075f106 18 14520 SH DFND 0 0 14520 COCA COLA COMPANY COM 191216100 2183 51593 SH DFND 0 0 51593 COHEN & STEERS QTY RLY COM COM 19247L106 3009 225750 SH DFND 0 0 225750 COLGATE PALMOLIVE COMPANY COM 194162103 235 3163 SH DFND 0 0 3163 COMCAST CORPORATION CLASS A COM 20030n101 725 10929 SH DFND 0 0 10929 COMPUGEN LTD ORD COM m25722105 2755 437230 SH DFND 0 0 437230 CONAGRA INC COM 205887102 431 9150 SH DFND 0 0 9150 CONOCOPHILLIPS COM 20825C104 5350 123080 SH DFND 0 0 123080 CONSOLIDATED EDISON NEW YORK COM 209115104 1653 21955 SH DFND 0 0 21955 COPPER MOUNTAIN MINING COM COM 21750u101 4 10000 SH DFND 0 0 10000 CORNING INC COM 219350105 2830 119669 SH DFND 0 0 119669 COSTCO WHOLESALE CORP-NEW COM 22160K105 1814 11896 SH DFND 0 0 11896 COVANTA HOLDINGS CP COM 22282e102 721 46850 SH DFND 0 0 46850 CREDIT SUISSE NASSAU BRH GOLD COM 22542d480 104 10045 SH DFND 0 0 10045 CUMMINS ENGINE CO INC COM 231021106 1410 11006 SH DFND 0 0 11006 CVS HEALTH CORPORATION COM 126650100 2420 27195 SH DFND 0 0 27195 DANAHER CORP DEL COM COM 235851102 768 9802 SH DFND 0 0 9802 DARDEN RESTAURANTS, INC. COM 237194105 308 5020 SH DFND 0 0 5020 DEAN FOODS CO NEW COM COM 242370203 2345 143005 SH DFND 0 0 143005 DEERE & COMPANY COM 244199105 2050 24013 SH DFND 0 0 24013 DEL TACO RESTAURANTS COM 245496104 1283 107616 SH DFND 0 0 107616 DELPHI AUTOMOTIVE PLC SHS COM g27823106 719 10086 SH DFND 0 0 10086 DELTA AIR LINES DEL COM NEW COM 247361702 1408 35765 SH DFND 0 0 35765 DIEBOLD INC COM COM 253651103 489 19715 SH DFND 0 0 19715 DIREXION SHS ETF TR ALL CP INS COM 25459y769 333 4482 SH DFND 0 0 4482 DISCOVER FINL SVCS INC COM 254709108 6194 109525 SH DFND 0 0 109525 DISCOVERY COMMUNICATIONS INC C COM 25470f104 265 9850 SH DFND 0 0 9850 DOLLAR GENERAL CORP COM 256677105 617 8819 SH DFND 0 0 8819 DOLLAR TREE INC COM COM 256746108 474 6000 SH DFND 0 0 6000 DOMINOS PIZZA INC COM COM 25754a201 569 3750 SH DFND 0 0 3750 DOMTAR CORP COM NEW COM 257559203 1184 31900 SH DFND 0 0 31900 DONNELLEY R R & SONS CO NEW COM 257867200 862 54825 SH DFND 0 0 54825 DOW CHEMICAL CORPORATION COM 260543103 10179 196384 SH DFND 0 0 196384 DUKE ENERGY COMPANY COM 26441C204 3817 47684 SH DFND 0 0 47684 E I DU PONT DE NEMOURS & CO COM 263534109 5472 81706 SH DFND 0 0 81706 EDWARDS LIFESCIENCES COM COM 28176e108 494 4100 SH DFND 0 0 4100 EMERSON ELECTRIC CO COM 291011104 729 13368 SH DFND 0 0 13368 EOG RES INC COM COM 26875P101 336 3475 SH DFND 0 0 3475 EQUINIX INC COM NEW COM 29444U700 253 703 SH DFND 0 0 703 EQUITY COMWLTH COM SH BEN INT COM 294628102 459 15200 SH DFND 0 0 15200 ETF MANAGERS TR PUREFUNDS ISE COM 26924g201 5600 200700 SH DFND 0 0 200700 EVERCORE PARTNERS INC CLASS A COM 29977a105 319 6200 SH DFND 0 0 6200 EXELON CORP COM 30161N101 1679 50444 SH DFND 0 0 50444 EXPRESS SCRIPTS HOLDING CO. COM 30219g108 202 2867 SH DFND 0 0 2867 EXXON MOBIL CORP COM COM 30231G102 5725 65598 SH DFND 0 0 65598 EZCHIP SEMICONDUCTOR LTD CP COM m4146y108 235 9200 SH DFND 0 0 9200 FACEBOOK INC CL A COM 30303m102 5378 41929 SH DFND 0 0 41929 FAMOUS DAVES AMER INC COM COM 307068106 960 175234 SH DFND 0 0 175234 FEDEX CORP COM 31428X106 1803 10320 SH DFND 0 0 10320 FIRST MIDWEST BANCORP INC COM 320867104 277 14321 SH DFND 0 0 14321 FIRST N B ANCHRAG ALAS COM COM 32112j106 530 312 SH DFND 0 0 312 FIRST TR EXCH TRADE FD NASD TE COM 33738r118 539 18387 SH DFND 0 0 18387 FIRST TRUST ETF II HLTH CARE A COM 33734x143 788 12950 SH DFND 0 0 12950 FLUOR CORP NEW COM 343412102 251 4883 SH DFND 0 0 4883 FOOT LOCKER INC COM COM 344849104 1395 20600 SH DFND 0 0 20600 FORD MOTOR COMPANY COM 345370860 3511 290898 SH DFND 0 0 290898 FREEPORT-MCMORAN, INC COM 35671D857 124 11387 SH DFND 0 0 11387 FRONTIER COMMUNICATIONS CORP C COM 35906a108 441 105902 SH DFND 0 0 105902 GAMESTOP CORP NEW CL A COM 36467w109 290 10498 SH DFND 0 0 10498 GAP INC COM 364760108 632 28406 SH DFND 0 0 28406 GENERAL DYNAMICS COM 369550108 508 3274 SH DFND 0 0 3274 GENERAL ELECTRIC CO COM 369604103 14943 504506 SH DFND 0 0 504506 GENERAL MILLS INC COM 370334104 245 3830 SH DFND 0 0 3830 GENERAL MTRS CO COM COM 37045v100 7791 245244 SH DFND 0 0 245244 GILEAD SCIENCES INC COM COM 375558103 2942 37189 SH DFND 0 0 37189 GLAXO SMITHKLINE PLC SPONS ADR COM 37733w105 1447 33544 SH DFND 0 0 33544 GOLAR LNG LTD BERMUDA SHS COM g9456a100 523 24650 SH DFND 0 0 24650 GOLDMAN SACHS BDC INC SHS COM 38147u107 263 12093 SH DFND 0 0 12093 GOLDMAN SACHS GROUP COM COM 38141G104 6503 40322 SH DFND 0 0 40322 GW PHARMACEUTICALS PLC ADS COM 36197T103 520 3915 SH DFND 0 0 3915 HAIN CELESTIAL GROUP INC COM COM 405217100 639 17970 SH DFND 0 0 17970 HALLIBURTON COMPANY COM 406216101 6790 151290 SH DFND 0 0 151290 HCA HOLDINGS INC COM COM 40412c101 3302 43665 SH DFND 0 0 43665 HERSHEY FOODS CORP COM 427866108 288 3010 SH DFND 0 0 3010 HOLOGIC INC COM COM 436440101 836 21535 SH DFND 0 0 21535 HOME DEPOT INC COM 437076102 2767 21506 SH DFND 0 0 21506 HONEYWELL INTL COM 438516106 2004 17191 SH DFND 0 0 17191 HOST HOTELS AND RESORTS INC COM 44107P104 926 59468 SH DFND 0 0 59468 HUNTSMAN CORP COM COM 447011107 340 20871 SH DFND 0 0 20871 ILLINOIS TOOL WORKS COM 452308109 3105 25906 SH DFND 0 0 25906 IMS HEALTH HLDGS INC COM COM 44970b109 767 24459 SH DFND 0 0 24459 INCYTE PHARMACEUTICALS COM COM 45337C102 219 2320 SH DFND 0 0 2320 ING GROEP N V SPONSORED ADR COM 456837103 315 25522 SH DFND 0 0 25522 INPHI CORP COM COM 45772f107 1838 42250 SH DFND 0 0 42250 INTEL CORPORATION COM 458140100 4162 110254 SH DFND 0 0 110254 INTERCEPT PHARMACEUTIC COM COM 45845p108 436 2652 SH DFND 0 0 2652 INTERNATIONAL BUSINESS MACHINE COM 459200101 4023 25326 SH DFND 0 0 25326 INTERNATIONAL PAPER CO COM 460146103 2137 44546 SH DFND 0 0 44546 INTUITIVE SURGICAL INC COM NEW COM 46120e602 290 400 SH DFND 0 0 400 INVESCO LTD SHS COM g491bt108 1347 43065 SH DFND 0 0 43065 ISHARES INC MSCI JAPAN COM 464286848 349 27800 SH DFND 0 0 27800 ISHARES MSCI SPAN CP ETF COM 464286764 386 14394 SH DFND 0 0 14394 ISHARES MSCI UK ETF (DE) SHARE COM 46434v548 302 19069 SH DFND 0 0 19069 ISHARES TR MSCI ACWI ETF COM 464288257 1324 22400 SH DFND 0 0 22400 ISHARES TR MSCI EAFE IDX COM 464287465 4366 73832 SH DFND 0 0 73832 ISHARES TR MSCI EMERG MKT COM 464287234 1376 36750 SH DFND 0 0 36750 ISHARES TR RUSL 2000 GROW COM 464287648 2353 15800 SH DFND 0 0 15800 ISHARES TR RUSSELL 2000 COM 464287655 4101 33016 SH DFND 0 0 33016 ISHARES TR RUSSELL1000GRW COM 464287614 3417 32801 SH DFND 0 0 32801 ISHARES TR RUSSELL1000VAL COM 464287598 305 2890 SH DFND 0 0 2890 J P MORGAN CHASE & CO COM COM 46625h100 17371 260868 SH DFND 0 0 260868 JETBLUE AWYS CORP COM COM 477143101 489 28375 SH DFND 0 0 28375 JOHNSON & JOHNSON COM 478160104 6943 58775 SH DFND 0 0 58775 KCG HLDGS INC CL A COM 48244b100 192 12390 SH DFND 0 0 12390 KIMBERLY CLARK CORP COM 494368103 337 2674 SH DFND 0 0 2674 KIMBERLY CLARK DEMEXICO COM p60694117 184 81000 SH DFND 0 0 81000 KINDER MORGAN INC DEL COM COM 49456b101 3209 138731 SH DFND 0 0 138731 KOHLS CORP COM 500255104 4098 93680 SH DFND 0 0 93680 KRAFT HEINZ CO COM COM 500754106 3532 39456 SH DFND 0 0 39456 KROGER CO COM 501044101 7015 236350 SH DFND 0 0 236350 LAS VEGAS SANDS CORP COM COM 517834107 10102 175571 SH DFND 0 0 175571 LILLY ELI & COMPANY COM 532457108 2039 25411 SH DFND 0 0 25411 LINCOLN NATL CORP IND COM COM 534187109 550 11710 SH DFND 0 0 11710 LINKEDIN CORP COM CL A COM 53578a108 382 2001 SH DFND 0 0 2001 LOCKHEED MARTIN CORP COM 539830109 1247 5203 SH DFND 0 0 5203 LOWES COS INC COM COM 548661107 1916 26532 SH DFND 0 0 26532 LULULEMON ATHLETICA IN COM COM 550021109 299 4900 SH DFND 0 0 4900 LYONDELLBASELL INDUSTR SHS - A COM N53745100 1327 16457 SH DFND 0 0 16457 MACYS INC COM COM 55616p104 1467 39605 SH DFND 0 0 39605 MARRIOTT INTL INC COM COM 571903202 362 5381 SH DFND 0 0 5381 MASTERCARD INC COM COM 57636q104 509 4999 SH DFND 0 0 4999 MB FINL INC COM COM 55264u108 628 16511 SH DFND 0 0 16511 MCDONALDS CORPORATION COM 580135101 4344 37658 SH DFND 0 0 37658 MEDICAL PPTYS TR INC COM COM 58463j304 1676 113500 SH DFND 0 0 113500 MEDTRONIC PLC SHS COM g5960l103 1136 13146 SH DFND 0 0 13146 MELLANOX TECH LTD SHS COM m51363113 1627 37620 SH DFND 0 0 37620 MERCK & COMPANY INC. COM 58933y105 3787 60673 SH DFND 0 0 60673 METLIFE INC COM COM 59156r108 11085 249504 SH DFND 0 0 249504 MICRON TECHNOLOGY INC COM 595112103 198 11159 SH DFND 0 0 11159 MICROSOFT CORP COM 594918104 8242 143097 SH DFND 0 0 143097 MILLER INDS COM 600551204 1649 72365 SH DFND 0 0 72365 MONDELEZ INTL INC CL A COM 609207105 915 20837 SH DFND 0 0 20837 MONROE CAP CORP COM COM 610335101 438 27850 SH DFND 0 0 27850 MONSANTO CO NEW COM COM 61166W101 6211 60775 SH DFND 0 0 60775 MORGAN STANLEY COM NEW COM 617446448 1103 34396 SH DFND 0 0 34396 MYLAN N V SHS EURO COM n59465109 211 5542 SH DFND 0 0 5542 NESTLE S A REP RG SH ADR COM 641069406 430 5446 SH DFND 0 0 5446 NETEASE INC SPONSORED ADR COM 64110w102 285 1184 SH DFND 0 0 1184 NEVSUN RESOURCES LTD COM 64156l101 70 23000 SH DFND 0 0 23000 NEW MTN FIN CORP COM COM 647551100 482 35044 SH DFND 0 0 35044 NEWELL BRAND INC. COM 651229106 3219 61123 SH DFND 0 0 61123 NEXTERA ENERGY INC COM COM 65339F101 631 5160 SH DFND 0 0 5160 NIELSEN HOLDINGS PLC ORD COM g6518l108 784 14643 SH DFND 0 0 14643 NISOURCE INC. COM COM 65473p105 610 25319 SH DFND 0 0 25319 NOBLE CORP PLC SHS COM g65431101 90 14160 SH DFND 0 0 14160 NORDSTROM INC COM 655664100 286 5510 SH DFND 0 0 5510 NORFOLK SOUTHERN CORP COM 655844108 1136 11708 SH DFND 0 0 11708 NORTHERN TRUST CORPORATION COM 665859104 784 11530 SH DFND 0 0 11530 NOVARTIS A G SPONSORED ADR COM 66987V109 1766 22368 SH DFND 0 0 22368 NUCOR CORP COM 670346105 1137 22995 SH DFND 0 0 22995 OGE ENERGY CP-FORMERLY OK GAS COM 670837103 332 10500 SH DFND 0 0 10500 OLD REP INTL CORP COM 680223104 300 17050 SH DFND 0 0 17050 OLD SECOND BANCORP INC COM COM 680277100 475 57202 SH DFND 0 0 57202 OPPENHEIMER REV WEIGHTED ETF T COM 68386c302 349 5867 SH DFND 0 0 5867 ORACLE SYS CORP COM 68389X105 2732 69540 SH DFND 0 0 69540 ORBITAL ATK IN COM COM 68557n103 320 4200 SH DFND 0 0 4200 PALO ALTO NETWORKS INC COM COM 697435105 6286 39455 SH DFND 0 0 39455 PEPSICO INC COM 713448108 1304 11987 SH DFND 0 0 11987 PETMED EXPRESS INC COM COM 716382106 1455 71736 SH DFND 0 0 71736 PFIZER INC COM 717081103 9843 290601 SH DFND 0 0 290601 PHILIP MORRIS INTL INC COM COM 718172109 1072 11023 SH DFND 0 0 11023 PHILLIPS 66 COM COM 718546104 1653 20526 SH DFND 0 0 20526 PINNACLE WEST CAPITAL CORP USD COM 723484101 1014 13340 SH DFND 0 0 13340 PITNEY BOWES INC COM 724479100 705 38829 SH DFND 0 0 38829 PORTOLA PHARMACEUTICAL COM COM 737010108 562 24740 SH DFND 0 0 24740 POTBELLY CORP COM COM 73754y100 2618 210655 SH DFND 0 0 210655 POWERSHARES ETF TR II 1000 EQ COM 73937b571 268 10230 SH DFND 0 0 10230 POWERSHARES ETF TRUST FTSE RAF COM 73935x583 1417 15139 SH DFND 0 0 15139 POWERSHARES ETF TRUST PRVT EQT COM 73935x195 152 14000 SH DFND 0 0 14000 POWERSHARES QQQ TR UNIT SER 1 COM 73935A104 1035 8720 SH DFND 0 0 8720 PPG INDS INC COM COM 693506107 1072 10375 SH DFND 0 0 10375 PRAXAIR INC COM 74005P104 991 8202 SH DFND 0 0 8202 PRICE T ROWE GROUP INC COM COM 74144t108 402 6050 SH DFND 0 0 6050 PROCTER & GAMBLE CO COM 742718109 3768 41978 SH DFND 0 0 41978 PROSHARES TR PSHS LC COR PLUS COM 74347r248 832 15750 SH DFND 0 0 15750 PROSHARES TR SHORT S&P 500 COM 74347b425 324 8500 SH DFND 0 0 8500 QRS MUSIC TECHNOLOGIES COM COM 74726W107 2 15000 SH DFND 0 0 15000 QUALCOMM INC COM 747525103 15673 228805 SH DFND 0 0 228805 RAYTHEON CO COM 755111507 2205 16196 SH DFND 0 0 16196 RITE AID CORP COM COM 767754104 119 15500 SH DFND 0 0 15500 ROYAL CARIBBEAN CRUISE COM COM V7780T103 7302 97425 SH DFND 0 0 97425 RSTK STD BANCSHARES INC HICKOR COM 853993442 0 104086 SH DFND 0 0 104086 RUSHNET INC COM COM 782074108 0 4000000 SH DFND 0 0 4000000 SCHLUMBERGER COM 806857108 1895 24098 SH DFND 0 0 24098 SEAGATE TECHNOLOGY SHS COM g7945j104 1304 33825 SH DFND 0 0 33825 SECTOR SPIDER TR TECHNOLOGY COM 81369Y803 218 4554 SH DFND 0 0 4554 SELECT SECTOR SPDR TR REAL EST COM 81369y860 659 20102 SH DFND 0 0 20102 SELECT SECTOR SPDR TR SBI INT- COM 81369y605 2811 145625 SH DFND 0 0 145625 SEMPRA ENERGY COM COM 816851109 245 2283 SH DFND 0 0 2283 SENSIENT TECH CORP COM COM 81725T100 251 3308 SH DFND 0 0 3308 SHERWIN WILLIAMS CO COM 824348106 234 844 SH DFND 0 0 844 SHIRE LTD SHS COM g8124v108 255 3935 SH DFND 0 0 3935 SKECHERS U S A INC CL A COM 830566105 225 9840 SH DFND 0 0 9840 SOUTHERN COMPANY COM 842587107 2684 52322 SH DFND 0 0 52322 SPDR INDEX SHS FDS DJ EURSTX50 COM 78463x202 277 8450 SH DFND 0 0 8450 SPDR S&P 500 ETF TR UNIT SER 1 COM 78462F103 1943 8985 SH DFND 0 0 8985 SPDR S&P MIDCAP 400 ETF TR UNI COM 78467y107 11807 41827 SH DFND 0 0 41827 SPDR SER TR S&P HOMEBUILDERS E COM 78464a888 658 19400 SH DFND 0 0 19400 SPDR SERIES TRUST S&P REGL BKG COM 78464a698 772 18275 SH DFND 0 0 18275 SPIDER GOLD TR SHS COM 78463V107 382 3040 SH DFND 0 0 3040 SPROTT FOCUS TR INC COM COM 85208j109 166 24010 SH DFND 0 0 24010 STANLEY BLACK & DECKER COM COM 854502101 4853 39461 SH DFND 0 0 39461 STAPLES INC COM COM 855030102 380 44475 SH DFND 0 0 44475 STARBUCKS CORP COM COM 855244109 1091 20145 SH DFND 0 0 20145 STARWOOD PPTY TR INC COM COM 85571b105 5846 259610 SH DFND 0 0 259610 STATE STREET BOSTON CORP COM 857477103 562 8071 SH DFND 0 0 8071 STERICYCLE INC COM COM 858912108 492 6135 SH DFND 0 0 6135 STRYKER CORP COM 863667101 437 3750 SH DFND 0 0 3750 SYSCO CORP COM 871829107 719 14661 SH DFND 0 0 14661 TARGET CORP COM COM 87612E106 959 13960 SH DFND 0 0 13960 TE CONNECTIVITY LTD COM H84989104 707 10989 SH DFND 0 0 10989 TEGNA INC COM 87901j105 1127 51556 SH DFND 0 0 51556 TEREX CORP NEW COM COM 880779103 985 38751 SH DFND 0 0 38751 TESLA MTRS INC COM COM 88160R101 4879 23914 SH DFND 0 0 23914 TEVA PHARMACEUTICAL COM 881624209 800 17393 SH DFND 0 0 17393 THERMO FISHER SCIENTIFIC COM 883556102 5258 33057 SH DFND 0 0 33057 TIFFANY & CO COM 886547108 1418 19525 SH DFND 0 0 19525 TILLYS INC CL A COM 886885102 2722 289852 SH DFND 0 0 289852 TIME WARNER INC COM 887317303 2189 27498 SH DFND 0 0 27498 TITAN MACHY INC COM COM 88830r101 208 20000 SH DFND 0 0 20000 TOLL BROTHERS INC COM COM 889478103 7784 260695 SH DFND 0 0 260695 TOWN SPORTS INTL HLDGS COM COM 89214a102 1492 483000 SH DFND 0 0 483000 TRAVELERS COS INC COM COM 89417E109 536 4676 SH DFND 0 0 4676 UNDER ARMOUR INC CL A COM 904311107 607 15685 SH DFND 0 0 15685 UNDER ARMOUR INC CL C COM 904311206 361 10652 SH DFND 0 0 10652 UNION PACIFIC CORPORATION COM 907818108 360 3687 SH DFND 0 0 3687 UNITED PARCEL SERVICE CL B COM 911312106 8390 76717 SH DFND 0 0 76717 UNITED TECHNOLOGIES CORP COM 913017109 2003 19714 SH DFND 0 0 19714 UNIVERSAL DISPLAY CORP COM COM 91347P105 1109 19975 SH DFND 0 0 19975 UNIVERSAL HEALTH RLTY INCOME S COM 91359E105 397 6300 SH DFND 0 0 6300 UNIVERSAL HLTH SVCS CL B COM 913903100 2464 20000 SH DFND 0 0 20000 US BANCORP DEL COM COM 902973304 1553 36199 SH DFND 0 0 36199 V F CORP COM COM 918204108 224 4000 SH DFND 0 0 4000 VALMONT INDS INC COM COM 920253101 284 2110 SH DFND 0 0 2110 VANGUARD INDEX FDS EXTEND MKT COM 922908652 429 4695 SH DFND 0 0 4695 VANGUARD INDEX TR STK MRK VIPE COM 922908769 270 2428 SH DFND 0 0 2428 VANGUARD INTL EQTY IDX ALLWRLD COM 922042775 1035 22791 SH DFND 0 0 22791 VANGUARD INTL EQTY IDX GLB EX COM 922042676 367 6527 SH DFND 0 0 6527 VANGUARD INTL EQUITY I TT WRLD COM 922042742 484 7950 SH DFND 0 0 7950 VANGUARD SCOTTSDALE FD INT-TER COM 92206c870 386 4310 SH DFND 0 0 4310 VANGUARD SPECIALIZED DIV APP E COM 921908844 3492 41610 SH DFND 0 0 41610 VANTAGE DRILLING COMPA ORD SHS COM g93205113 0 15000 SH DFND 0 0 15000 VECTOR GROUP LTD COM COM 92240M108 845 39254 SH DFND 0 0 39254 VENTAS INC COM COM 92276F100 623 8815 SH DFND 0 0 8815 VERIZON COMMUNICATIONS COM COM 92343v104 10412 200306 SH DFND 0 0 200306 VIACOM INC CLASS B COM NEW COM 92553p201 1079 28333 SH DFND 0 0 28333 VISA INC COM CL A COM 92826c839 5424 65583 SH DFND 0 0 65583 VISHAY INTERTECHNOLOGY COM 928298108 531 37660 SH DFND 0 0 37660 VODAFONE GROUP PLC NEW COM 92857w308 1154 39600 SH DFND 0 0 39600 W P CAREY, INC COM 92936u109 340 5266 SH DFND 0 0 5266 WAL MART STORES INC COM 931142103 3798 52660 SH DFND 0 0 52660 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 3382 41954 SH DFND 0 0 41954 WALT DISNEY PRODUCTIONS COM 254687106 2387 25705 SH DFND 0 0 25705 WASHINGTON PRIME GROUP NEW COM COM 93964w108 402 32502 SH DFND 0 0 32502 WASTE MGMT INC COM COM 94106L109 1297 20338 SH DFND 0 0 20338 WEC ENERGY GROUP INC COM COM 92939u106 1677 28009 SH DFND 0 0 28009 WELLS FARGO & COMPANY COM 949746101 730 16496 SH DFND 0 0 16496 WEST CORP COM COM 952355204 1462 66200 SH DFND 0 0 66200 WESTERN DIGITAL CORP COM 958102105 672 11493 SH DFND 0 0 11493 WEYERHAEUSER CO COM 962166104 262 8217 SH DFND 0 0 8217 WHOLE FOODS MKT INC COM COM 966837106 440 15525 SH DFND 0 0 15525 WILLIAMS COS INC DEL COM COM 969457100 234 7614 SH DFND 0 0 7614 WILLIAMS SONOMA INC COM COM 969904101 399 7820 SH DFND 0 0 7820 WILLIS TWRS WATSON PLC LKD TO COM g96629103 609 4584 SH DFND 0 0 4584 WISDOMTREE INVTS INC COM COM 97717p104 2046 198831 SH DFND 0 0 198831 WISDOMTREE TR EMERGING MKTS YL COM 97717w315 1202 31992 SH DFND 0 0 31992 WISDOMTREE TR EUROPE HEDGED EQ COM 97717x701 2076 38632 SH DFND 0 0 38632 WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 290 6954 SH DFND 0 0 6954 WISDOMTREE TRUST JAPN HEDGE EQ COM 97717W851 4067 94780 SH DFND 0 0 94780 WOOLWORTHS HLDGS LTD SPON GDR COM 98088r505 83 14867 SH DFND 0 0 14867 ZEBRA TECHNOLOGIES CP CL A COM 989207105 216 3100 SH DFND 0 0 3100 ZIMMER BIOMET HOLDINGS INC COM 98956P102 7539 57984 SH DFND 0 0 57984 AIA GROUP LTD SPONSORED ADR ADR 001317205 386 14309 SH DFND 0 0 14309 AIR LIQUIDE ADR ADR 009126202 223 10125 SH DFND 0 0 10125 AKBANK TURK ANONM SIRK ADR ADR 009719501 89 16743 SH DFND 0 0 16743 ALLIANZ SE SP ADR 1/10 SH ADR 018805101 579 39032 SH DFND 0 0 39032 AMBEV S A SPONSORED ADR ADR 02319v103 166 27292 SH DFND 0 0 27292 AMERICA MOVIL SA DE CV SPON AD ADR 02364w105 151 13174 SH DFND 0 0 13174 ANHEUSER BUSCH INBEV SPONSORED ADR 03524a108 652 4962 SH DFND 0 0 4962 BAIDU COM INC SPON ADR REP A ADR 056752108 1000 5490 SH DFND 0 0 5490 BANCO BILBAO VIZ ARGNT SPONSOR ADR 05946K101 84 14147 SH DFND 0 0 14147 BANCO DO BRASIL S A SPONSORED ADR 059578104 145 20762 SH DFND 0 0 20762 BAYER A G SPONSORED ADR ADR 072730302 284 2828 SH DFND 0 0 2828 BB SEGURIDADE PARTICIP SPONSOR ADR 05541j103 106 11466 SH DFND 0 0 11466 CANON INC ADR ADR 138006309 574 19765 SH DFND 0 0 19765 CHINA CONSTR BK CORP ADR ADR 168919108 295 19650 SH DFND 0 0 19650 CHINA MOBILE HONG KONG SPONSOR ADR 16941m109 220 3584 SH DFND 0 0 3584 CIELO S A SPONSORED ADR ADR 171778202 145 14410 SH DFND 0 0 14410 COLOPLAST A/S ADR ADR 19624y101 92 11769 SH DFND 0 0 11769 COMMERCIAL INTL BK EGY SPONSOR ADR 201712304 89 21889 SH DFND 0 0 21889 DASSAULT SYS S A SPONSORED ADR ADR 237545108 399 4618 SH DFND 0 0 4618 DEUTSCHE LUFTHANSA A G SPONSOR ADR 251561304 1168 105278 SH DFND 0 0 105278 FANUC CORPORATION ADR ADR 307305102 421 14978 SH DFND 0 0 14978 FRESENIUS MED CARE AG SPONSORE ADR 358029106 222 5067 SH DFND 0 0 5067 FUCHS PETROLUB SE ADR ADR 35952q106 119 10434 SH DFND 0 0 10434 GAZPROM PJSC SPON ADR ADR 368287207 84 19764 SH DFND 0 0 19764 ITAU UNIBANCO BANCO MU SPONS A ADR 465562106 155 14177 SH DFND 0 0 14177 LOCALIZA RENT A CAR SPONSORED ADR 53956w300 177 14474 SH DFND 0 0 14474 LOREAL CO ADR ADR 502117203 255 6757 SH DFND 0 0 6757 MITSUBISHI UFJ FNL GP SPONSORE ADR 606822104 50 10000 SH DFND 0 0 10000 MOBILE TELESYS OJSC SPONSORED ADR 607409109 117 15395 SH DFND 0 0 15395 MS&AD INS GROUP HLDGS ADR ADR 553491101 1800 129215 SH DFND 0 0 129215 NASPERS LTD SPON ADR N SHS ADR 631512100 256 14660 SH DFND 0 0 14660 NATIONAL BK GREECE SA SPN ADR ADR 633643804 30 145245 SH DFND 0 0 145245 P T TELEKOM INDONESIA SPONSORE ADR 715684106 207 3136 SH DFND 0 0 3136 PPC LTD ADR ADR 69354a203 21 16151 SH DFND 0 0 16151 PT ASTRA INTL TBK ADR ADR 69367x109 179 13918 SH DFND 0 0 13918 PT BK MANDIRI PERSERO ADR ADR 69367u105 170 19876 SH DFND 0 0 19876 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 400 12929 SH DFND 0 0 12929 ROYAL DUTCH SHELL B ADR 780259107 416 7868 SH DFND 0 0 7868 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 258 5144 SH DFND 0 0 5144 SAFRAN S A SPON ADR ADR 786584102 554 30930 SH DFND 0 0 30930 SANOFI SPONSORED ADR ADR 80105n105 293 7666 SH DFND 0 0 7666 SAP AE SPONSORED ADR ADR 803054204 342 3743 SH DFND 0 0 3743 SBERBANK OF RUSSIA SPONS ADR ADR 80585y308 228 24215 SH DFND 0 0 24215 SHIRE PHARMCTL GRP PLC SPONSOR ADR 82481r106 2016 10399 SH DFND 0 0 10399 STANDARD BK GROUP LTD SPONSORE ADR 853118206 108 10512 SH DFND 0 0 10512 SYSMEX CORP ADR ADR 87184p109 221 5983 SH DFND 0 0 5983 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 1280 41847 SH DFND 0 0 41847 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 435 3751 SH DFND 0 0 3751 TURK TELEKOMUNIKASYON ADR ADR 90011q100 42 11616 SH DFND 0 0 11616 TURKIYE GARANTI BK AS SPONSORE ADR 900148701 102 37547 SH DFND 0 0 37547 UNILEVER PLC SPON ADR NEW ADR 904767704 430 9066 SH DFND 0 0 9066 WEICHAI PWR CO LTD ADR ADR 948597109 127 11732 SH DFND 0 0 11732 WOODSIDE PETE LTD SPONSORED AD ADR 980228308 319 14400 SH DFND 0 0 14400 WPP PLC NEW ADR ADR 92937a102 297 2523 SH DFND 0 0 2523 ADVISORS SER TR POPLAR FRST CO MF 00770x535 5087 198015 SH DFND 0 0 198015 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 622 21166 SH DFND 0 0 21166 AMERICAN BALANCED FD CL F MF 024071409 1492 59794 SH DFND 0 0 59794 AMERICAN BALANCED FD COM MF 024071102 585 23420 SH DFND 0 0 23420 AMERICAN BALANCED FD SHS F-2 C MF 024071821 265 10618 SH DFND 0 0 10618 AMERICAN DEV WRLD GRWTH & INC MF 02630f100 241 25618 SH DFND 0 0 25618 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 6188 657582 SH DFND 0 0 657582 AMERICAN FDS MONEY MKT CL F-1 MF 02630u404 41 40535 SH DFND 0 0 40535 AMERICAN FUNDS INC CL F-1 MF 02630f407 423 44987 SH DFND 0 0 44987 AMERICAN HIGH-INCOME M SHS CL MF 026545608 220 13623 SH DFND 0 0 13623 BRANDES INVT TR EMRGN MKT VAL MF 105262752 632 79610 SH DFND 0 0 79610 CAPITAL INCOME BLDR FD CL F MF 140193400 4073 69116 SH DFND 0 0 69116 CAPITAL INCOME BLDR IN SHS CL MF 140194101 697 11834 SH DFND 0 0 11834 CAPITAL INCOME BUILDERS FD SH MF 140193103 535 9073 SH DFND 0 0 9073 CAPITAL WORLD GRW&INCM CL F MF 140543406 1361 29977 SH DFND 0 0 29977 CLAYMORE ETF TR ZACKS MDCAP CR MF 18383m720 571 10700 SH DFND 0 0 10700 DE GRP GLOBL & INTL FD EMER MK MF 245914841 189 12356 SH DFND 0 0 12356 DFA INVT DIMENSION GRP INTL SM MF 233203736 252 12939 SH DFND 0 0 12939 DFA INVT DIMENSION GRP US CORE MF 233203397 2611 148422 SH DFND 0 0 148422 DFA INVT DIMENSIONS GR TX MNG MF 233203561 303 11534 SH DFND 0 0 11534 DFA INVT DIMENSIONS GR WRUS CR MF 25239y592 173 17195 SH DFND 0 0 17195 DIMENSIONAL INVT GROUP GL ALL MF 25434d633 272 20929 SH DFND 0 0 20929 DOUBLELINE FDS TR FLEX INCME I MF 258620798 374 38107 SH DFND 0 0 38107 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 209 4386 SH DFND 0 0 4386 EUROPACIFIC GROWTH FUND CLASS MF 298706102 574 12038 SH DFND 0 0 12038 FEDERATED EQUITY FDS KAUFMANN MF 314172644 70 12601 SH DFND 0 0 12601 FIDELITY ADVISOR SER I LEV CO MF 315805424 664 12578 SH DFND 0 0 12578 FIDELITY ADVISOR VII HEALTH CA MF 315918847 1456 38849 SH DFND 0 0 38849 FRANKLIN INCOME FD CLASS A MF 353496300 71 31752 SH DFND 0 0 31752 FUNDAMENTAL INVS INC CL F MF 360802409 321 5952 SH DFND 0 0 5952 FUNDVANTAGE TR GTM ENRT INSTL MF 360873129 708 60078 SH DFND 0 0 60078 GABELLI ASSET FD SH BEN INT MF 362395105 340 5772 SH DFND 0 0 5772 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1407 129416 SH DFND 0 0 129416 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4874 1495148 SH DFND 0 0 1495148 GROWTH FD AMER INC MF 399874106 275 6231 SH DFND 0 0 6231 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 301 10253 SH DFND 0 0 10253 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 288 8042 SH DFND 0 0 8042 INVESCO TREASURERS SER TR PREM MF 00142W868 12 11604 SH DFND 0 0 11604 INVESTMENT CO AMER CL F MF 461308405 395 10791 SH DFND 0 0 10791 LATEEF FUND CLASS I MF 360873301 296 25774 SH DFND 0 0 25774 MARKETFIELD FUND CLASS I MF 89834e245 3071 214137 SH DFND 0 0 214137 MASSACHUSETTS INVS TR SH BEN I MF 575736103 354 12373 SH DFND 0 0 12373 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 259 22991 SH DFND 0 0 22991 NEW PERSPECTIVE FD INC COM MF 648018109 404 10802 SH DFND 0 0 10802 NICHOLAS FD INC COM MF 653735100 276 4414 SH DFND 0 0 4414 NORTHERN LTS FD TR II PCS COMD MF 66538f868 198 26473 SH DFND 0 0 26473 NUVEEN INVT TR NWQ MULTI VL R MF 67064y768 501 19757 SH DFND 0 0 19757 OPPENHEIMER INTL S CO CL A MF 68380u100 2051 52365 SH DFND 0 0 52365 OPPENHEIMER STEELPATH MLP INC MF 858268600 175 22703 SH DFND 0 0 22703 OPPENHEIMER STEELPTH MLP SELEC MF 858268105 1395 147353 SH DFND 0 0 147353 OPPENHEIMER STRATEG FD INCOME MF 68380K102 86 21874 SH DFND 0 0 21874 PIMCO SMALL CAPS STKSPL AR STG MF 72201f698 424 48627 SH DFND 0 0 48627 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 251 25050 SH DFND 0 0 25050 POPLAR FOREST OUTLIERS FD INST MF 00770x550 295 13055 SH DFND 0 0 13055 POPLAR FOREST PARTNERS FD CL A MF 00768D814 1005 21571 SH DFND 0 0 21571 POPLAR FOREST PARTNERS INSTITU MF 00768d798 11225 239637 SH DFND 0 0 239637 PRUDENTIAL SHRT TRM CP BD FD C MF 74441r508 116 10329 SH DFND 0 0 10329 ROWE PRICE NEW HORI FD COM MF 779562107 716 15530 SH DFND 0 0 15530 ROWE PRICE NEW INCM FD COM MF 779570100 105 10782 SH DFND 0 0 10782 ROWE T PRICE DIVID GRW COM MF 779546100 243 6549 SH DFND 0 0 6549 ROYCE FD VALUE FD INVT MF 780905220 99 10526 SH DFND 0 0 10526 SUNAMERICA SERIES INC FCUSD DI MF 86704f203 181 10633 SH DFND 0 0 10633 T ROWE PRICE MEDIA & TELECOMMU MF 741454102 410 5233 SH DFND 0 0 5233 VANGUARD INDEX FDS TOT STKIDX MF 922908728 535 9865 SH DFND 0 0 9865 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 270 3075 SH DFND 0 0 3075 WASHINGTON MUT INVS FD CL F MF 939330403 205 5052 SH DFND 0 0 5052 ISHARES INC CORE MSCI EMKT EXCH 46434G103 203 4448 SH DFND 0 0 4448 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 650 34718 SH DFND 0 0 34718 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 437 39692 SH DFND 0 0 39692 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 170 20883 SH DFND 0 0 20883 ROYCE VALUE TR INC COM CLE FDS 780910105 2536 200350 SH DFND 0 0 200350 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1872 82110 SH DFND 0 0 82110 DISCOVERY GLOBAL OPPORTUNITY P LP 254lp3798 1318 1317888 SH DFND 0 0 1317888 ENBRIDGE ENERGY PRTNRS COM LP 29250r106 1717 67500 SH DFND 0 0 67500 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1968 71218 SH DFND 0 0 71218 JPMORGAN CHASE & CO ALERIAN ML LP 46625h365 810 25700 SH DFND 0 0 25700 KKR & CO LP DEL COM UNITS LP 48248m102 2000 140275 SH DFND 0 0 140275 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 1454 20550 SH DFND 0 0 20550 MEMORIAL PRODTN PAR LP COM U R LP 586048100 85 47650 SH DFND 0 0 47650 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 3055 97275 SH DFND 0 0 97275 SKYBRIDGE MULTI-ADV HEDGE FD L LP 830lp0011 265 240 SH DFND 0 0 240 SANOFI CONTINGENT VALUE RT EXP RGHTS 80105n113 4 15000 SH DFND 0 0 15000