0001104659-16-121364.txt : 20160516
0001104659-16-121364.hdr.sgml : 20160516
20160516160450
ACCESSION NUMBER: 0001104659-16-121364
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160516
DATE AS OF CHANGE: 20160516
EFFECTIVENESS DATE: 20160516
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Hilltop Holdings Inc.
CENTRAL INDEX KEY: 0001265131
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 841477939
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15359
FILM NUMBER: 161653643
BUSINESS ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1330
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214.855.2177
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1330
CITY: DALLAS
STATE: TX
ZIP: 75201
FORMER COMPANY:
FORMER CONFORMED NAME: AFFORDABLE RESIDENTIAL COMMUNITIES INC
DATE OF NAME CHANGE: 20030929
13F-HR
1
primary_doc.xml
13F-HR
LIVE
0001265131
XXXXXXXX
03-31-2016
03-31-2016
false
Hilltop Holdings Inc.
200 Crescent Court
Suite 1330
Dallas
TX
75201
13F HOLDINGS REPORT
028-15359
N
Corey G. Prestidge
Executive Vice President, General Counsel and Secretary
214-855-2177
/s/ Corey G. Prestidge
Dallas
TX
05-16-2016
2
430
319538
false
1
0001569620
028-15365
PlainsCapital Corp
2
0001534401
028-15369
PlainsCapital Bank
INFORMATION TABLE
2
a16-11241_1informationtable.xml
INFORMATION TABLE
3M CO
COM
88579Y101
718
4310
SH
DFND
0
0
4310
3M CO
COM
88579Y101
713
4276
SH
DFND
1,2
3819
109
348
ABBOTT LABS
COM
002824100
192
4600
SH
DFND
0
0
4600
ABBOTT LABS
COM
002824100
27
637
SH
DFND
1,2
377
0
260
ABBVIE INC
COM
00287Y109
17
300
SH
DFND
0
0
300
ABBVIE INC
COM
00287Y109
1039
18203
SH
DFND
1,2
17933
95
175
ADVANCE AUTO PARTS INC
COM
00751Y106
445
2776
SH
DFND
1,2
2771
0
5
AETNA INC NEW
COM
00817Y108
581
5171
SH
DFND
0
0
5171
AETNA INC NEW
COM
00817Y108
283
2512
SH
DFND
1,2
2512
0
0
AGCO CORP
COM
001084102
1212
24390
SH
DFND
1,2
23956
0
434
ALASKA AIR GROUP INC
COM
011659109
311
3793
SH
DFND
1,2
3793
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
520
6575
SH
DFND
0
0
6575
ALLIANCE DATA SYSTEMS CORP
COM
018581108
480
2181
SH
DFND
1,2
2077
50
54
ALLIANCEBERNSTEIN INCOME FUN
COM
01881E101
315
40100
SH
DFND
0
0
40100
ALLISON TRANSMISSION HLDGS I
COM
01973R101
303
11232
SH
DFND
0
0
11232
ALLSTATE CORP
COM
020002101
461
6852
SH
DFND
1,2
6722
0
130
ALPHABET INC
CAP STK CL A
02079K305
695
910
SH
DFND
1,2
853
0
57
ALPINE GLOBAL PREMIER PPTYS
COM SBI
02083A103
251
44835
SH
DFND
0
0
44835
ALPS ETF TR
ALERIAN MLP
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913
83579
SH
DFND
0
0
83579
ALPS ETF TR
ALERIAN MLP
00162Q866
43
3965
SH
DFND
1,2
3965
0
0
ALTRIA GROUP INC
COM
02209S103
1409
22479
SH
DFND
0
0
22479
ALTRIA GROUP INC
COM
02209S103
1952
31152
SH
DFND
1,2
30787
365
0
AMERICAN AIRLS GROUP INC
COM
02376R102
206
5020
SH
DFND
0
0
5020
AMERICAN ELEC PWR INC
COM
025537101
718
10812
SH
DFND
1,2
10732
80
0
AMERICAN FINL GROUP INC OHIO
COM
025932104
439
6237
SH
DFND
1,2
5297
280
660
AMGEN INC
COM
031162100
281
1877
SH
DFND
0
0
1877
AMGEN INC
COM
031162100
141
935
SH
DFND
1,2
935
0
0
AMPHENOL CORP NEW
CL A
032095101
6
100
SH
DFND
0
0
100
AMPHENOL CORP NEW
CL A
032095101
500
8651
SH
DFND
1,2
8242
125
284
APPLE INC
COM
037833100
5699
52289
SH
DFND
0
0
52289
APPLE INC
COM
037833100
1415
12984
SH
DFND
1,2
12524
100
360
AT&T INC
COM
00206R102
2053
52402
SH
DFND
0
0
52402
AT&T INC
COM
00206R102
2644
67506
SH
DFND
1,2
64681
535
2290
AUTOMATIC DATA PROCESSING IN
COM
053015103
45
500
SH
DFND
0
0
500
AUTOMATIC DATA PROCESSING IN
COM
053015103
554
6178
SH
DFND
1,2
5068
310
800
BANK AMER CORP
COM
060505104
343
25400
SH
DFND
0
0
25400
BANK AMER CORP
COM
060505104
171
12614
SH
DFND
1,2
12614
0
0
BAXTER INTL INC
COM
071813109
5
120
SH
DFND
0
0
120
BAXTER INTL INC
COM
071813109
528
12869
SH
DFND
1,2
11374
455
1040
BCE INC
COM NEW
05534B760
1310
28777
SH
DFND
1,2
28377
400
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
213
1
SH
DFND
1,2
1
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
307
2167
SH
DFND
0
0
2167
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
664
4681
SH
DFND
1,2
4321
100
260
BEST BUY INC
COM
086516101
5
150
SH
DFND
0
0
150
BEST BUY INC
COM
086516101
200
6157
SH
DFND
1,2
6037
120
0
BIOAMBER INC
COM
09072Q106
76
18000
SH
DFND
0
0
18000
BIOGEN INC
COM
09062X103
1046
4020
SH
DFND
0
0
4020
BIOGEN INC
COM
09062X103
3
13
SH
DFND
1,2
13
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
1072
38200
SH
DFND
0
0
38200
BOEING CO
COM
097023105
1438
11328
SH
DFND
0
0
11328
BOSTON PROPERTIES INC
COM
101121101
372
2926
SH
DFND
0
0
2926
BOSTON PROPERTIES INC
COM
101121101
6
51
SH
DFND
1,2
51
0
0
BP PLC
SPONSORED ADR
055622104
138
4580
SH
DFND
0
0
4580
BP PLC
SPONSORED ADR
055622104
837
27720
SH
DFND
1,2
27250
470
0
BRISTOL MYERS SQUIBB CO
COM
110122108
1174
18383
SH
DFND
0
0
18383
BRISTOL MYERS SQUIBB CO
COM
110122108
685
10735
SH
DFND
1,2
9587
428
720
BROADRIDGE FINL SOLUTIONS IN
COM
11133T103
1503
25334
SH
DFND
1,2
24838
0
496
CDW CORP
COM
12514G108
304
7324
SH
DFND
1,2
7324
0
0
CELGENE CORP
COM
151020104
303
3026
SH
DFND
0
0
3026
CELGENE CORP
COM
151020104
311
3103
SH
DFND
1,2
3085
0
18
CENTENE CORP DEL
COM
15135B101
1468
23849
SH
DFND
1,2
23497
0
352
CENTURYLINK INC
COM
156700106
1149
35966
SH
DFND
0
0
35966
CHENIERE ENERGY INC
COM NEW
16411R208
232
6850
SH
DFND
0
0
6850
CHEVRON CORP NEW
COM
166764100
148
1547
SH
DFND
0
0
1547
CHEVRON CORP NEW
COM
166764100
1427
14959
SH
DFND
1,2
13851
95
1013
CHICAGO BRIDGE & IRON CO N V
COM
167250109
91
2500
SH
DFND
0
0
2500
CHICAGO BRIDGE & IRON CO N V
COM
167250109
1064
29089
SH
DFND
1,2
28848
0
241
CHUBB LIMITED
COM
H1467J104
574
4814
SH
DFND
1,2
4726
0
88
CINEMARK HOLDINGS INC
COM
17243V102
225
6269
SH
DFND
1,2
6269
0
0
CISCO SYS INC
COM
17275R102
137
4800
SH
DFND
0
0
4800
CISCO SYS INC
COM
17275R102
275
9648
SH
DFND
1,2
9478
0
170
CITIGROUP INC
COM NEW
172967424
798
19123
SH
DFND
3653
0
15470
CITIGROUP INC
COM NEW
172967424
3
66
SH
DFND
1,2
66
0
0
CLEAN HARBORS INC
COM
184496107
1272
25784
SH
DFND
1,2
25784
0
0
CLOROX CO DEL
COM
189054109
92
733
SH
DFND
0
0
733
CLOROX CO DEL
COM
189054109
192
1524
SH
DFND
1,2
1524
0
0
COCA COLA CO
COM
191216100
692
14911
SH
DFND
0
0
14911
COCA COLA CO
COM
191216100
945
20375
SH
DFND
1,2
19905
220
250
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
210
3345
SH
DFND
0
0
3345
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
554
8831
SH
DFND
1,2
8502
130
199
CONOCOPHILLIPS
COM
20825C104
164
4080
SH
DFND
0
0
4080
CONOCOPHILLIPS
COM
20825C104
305
7582
SH
DFND
1,2
7439
125
18
CONSOLIDATED EDISON INC
COM
209115104
400
5220
SH
DFND
1,2
5160
60
0
CONSOLIDATED WATER CO INC
ORD
G23773107
160
13185
SH
DFND
0
0
13185
CVS HEALTH CORP
COM
126650100
183
1765
SH
DFND
0
0
1765
CVS HEALTH CORP
COM
126650100
314
3021
SH
DFND
1,2
3021
0
0
CYRUSONE INC
COM
23283R100
827
18125
SH
DFND
0
0
18125
D R HORTON INC
COM
23331A109
1555
51450
SH
DFND
0
0
51450
D R HORTON INC
COM
23331A109
52
1720
SH
DFND
1,2
1720
0
0
DARDEN RESTAURANTS INC
COM
237194105
68
1030
SH
DFND
0
0
1030
DARDEN RESTAURANTS INC
COM
237194105
208
3130
SH
DFND
1,2
3106
24
0
DARLING INGREDIENTS INC
COM
237266101
1302
98888
SH
DFND
1,2
98888
0
0
DAVITA HEALTHCARE PARTNERS I
COM
23918K108
205
2783
SH
DFND
1,2
2783
0
0
DELUXE CORP
COM
248019101
268
4283
SH
DFND
1,2
4283
0
0
DIAGEO P L C
SPON ADR NEW
25243Q205
1325
12285
SH
DFND
0
0
12285
DIAGEO P L C
SPON ADR NEW
25243Q205
5
49
SH
DFND
1,2
49
0
0
DISCOVER FINL SVCS
COM
254709108
384
7538
SH
DFND
0
0
7538
DISCOVER FINL SVCS
COM
254709108
30
590
SH
DFND
1,2
590
0
0
DISNEY WALT CO
COM DISNEY
254687106
478
4816
SH
DFND
0
0
4816
DISNEY WALT CO
COM DISNEY
254687106
39
395
SH
DFND
1,2
370
0
25
DOLLAR TREE INC
COM
256746108
748
9071
SH
DFND
1,2
8463
225
383
DOMINION RES INC VA NEW
COM
25746U109
784
10431
SH
DFND
1,2
10296
135
0
DST SYS INC DEL
COM
233326107
238
2113
SH
DFND
1,2
2113
0
0
DU PONT E I DE NEMOURS & CO
COM
263534109
267
4223
SH
DFND
0
0
4223
DU PONT E I DE NEMOURS & CO
COM
263534109
11
173
SH
DFND
1,2
135
0
38
DUKE ENERGY CORP NEW
COM NEW
26441C204
755
9356
SH
DFND
0
0
9356
DUKE ENERGY CORP NEW
COM NEW
26441C204
1682
20845
SH
DFND
1,2
20144
331
370
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
416
71840
SH
DFND
0
0
71840
EATON VANCE TAX MNGD GBL DV
COM
27829F108
29
3350
SH
DFND
0
0
3350
EATON VANCE TAX MNGD GBL DV
COM
27829F108
83
9450
SH
DFND
1,2
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0
0
ECOLAB INC
COM
278865100
462
4138
SH
DFND
1,2
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0
133
EMERSON ELEC CO
COM
291011104
59
1082
SH
DFND
0
0
1082
EMERSON ELEC CO
COM
291011104
216
3968
SH
DFND
1,2
3378
130
460
ENDOCYTE INC
COM
29269A102
33
10720
SH
DFND
0
0
10720
ENTERPRISE PRODS PARTNERS L
COM
293792107
318
12898
SH
DFND
0
0
12898
EVOLUTION PETROLEUM CORP
COM
30049A107
374
76900
SH
DFND
0
0
76900
EXPRESS SCRIPTS HLDG CO
COM
30219G108
3
50
SH
DFND
0
0
50
EXPRESS SCRIPTS HLDG CO
COM
30219G108
565
8230
SH
DFND
1,2
7708
100
422
EXXON MOBIL CORP
COM
30231G102
660
7892
SH
DFND
0
0
7892
EXXON MOBIL CORP
COM
30231G102
3182
38070
SH
DFND
1,2
36671
519
880
FACEBOOK INC
CL A
30303M102
2150
18842
SH
DFND
0
0
18842
FACEBOOK INC
CL A
30303M102
25
222
SH
DFND
1,2
142
0
80
FAIRCHILD SEMICONDUCTOR INTL
COM
303726103
2428
121400
SH
DFND
0
0
121400
FASTENAL CO
COM
311900104
431
8788
SH
DFND
1,2
8106
250
432
FIBROGEN INC
COM
31572Q808
768
36075
SH
DFND
0
0
36075
FIRST TR EXCHAN TRADED FD VI
FST TR GLB FD
33739H101
557
27600
SH
DFND
0
0
27600
FIRST TR EXCHANGE TRADED FD
CONSUMR DISCRE
33734X101
964
27412
SH
DFND
0
0
27412
FIRST TR EXCHANGE TRADED FD
CONSUMR STAPLE
33734X119
1078
23369
SH
DFND
0
0
23369
FIRST TR EXCHANGE TRADED FD
DJ INTERNT IDX
33733E302
1071
15688
SH
DFND
0
0
15688
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
947
16983
SH
DFND
0
0
16983
FIRST TR EXCHANGE TRADED FD
NY ARCA BIOTECH
33733E203
950
10846
SH
DFND
0
0
10846
FIRST TR EXCHANGE TRADED FD
SENIOR LN FD
33738D309
495
10406
SH
DFND
0
0
10406
FIRST TR MULTI CP VAL ALPHA
COM SHS
33733C108
1094
25416
SH
DFND
0
0
25416
FLOWSERVE CORP
COM
34354P105
1050
23653
SH
DFND
1,2
23340
0
313
FORD MTR CO DEL
COM PAR $0.01
345370860
782
57958
SH
DFND
0
0
57958
FORD MTR CO DEL
COM PAR $0.01
345370860
67
4945
SH
DFND
1,2
4945
0
0
FRANCO NEVADA CORP
COM
351858105
2399
39090
SH
DFND
0
0
39090
GAMCO GLOBAL GOLD NAT RES &
COM SH BEN INT
36465A109
370
65605
SH
DFND
0
0
65605
GENERAL DYNAMICS CORP
COM
369550108
61
464
SH
DFND
0
0
464
GENERAL DYNAMICS CORP
COM
369550108
320
2435
SH
DFND
1,2
2235
0
200
GENERAL ELECTRIC CO
COM
369604103
976
30707
SH
DFND
0
0
30707
GENERAL ELECTRIC CO
COM
369604103
153
4837
SH
DFND
1,2
4197
0
640
GENERAL MLS INC
COM
370334104
79
1242
SH
DFND
0
0
1242
GENERAL MLS INC
COM
370334104
912
14400
SH
DFND
1,2
14185
215
0
GILEAD SCIENCES INC
COM
375558103
257
2798
SH
DFND
0
0
2798
GILEAD SCIENCES INC
COM
375558103
138
1506
SH
DFND
1,2
1506
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
1791
44160
SH
DFND
0
0
44160
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
1448
35720
SH
DFND
1,2
35220
500
0
GRAHAM CORP
COM
384556106
476
23900
SH
DFND
0
0
23900
GRUBHUB INC
COM
400110102
201
7985
SH
DFND
0
0
7985
HANESBRANDS INC
COM
410345102
3
120
SH
DFND
0
0
120
HANESBRANDS INC
COM
410345102
1612
56877
SH
DFND
1,2
56082
0
795
HARRIS CORP DEL
COM
413875105
8
104
SH
DFND
0
0
104
HARRIS CORP DEL
COM
413875105
200
2573
SH
DFND
1,2
2111
172
290
HILLTOP HOLDINGS INC
COM
432748101
6
324
SH
DFND
0
0
324
HILLTOP HOLDINGS INC
COM
432748101
236
12491
SH
DFND
1,2
12491
0
0
HOME DEPOT INC
COM
437076102
447
3351
SH
DFND
0
0
3351
HOME DEPOT INC
COM
437076102
95
714
SH
DFND
1,2
714
0
0
HONEYWELL INTL INC
COM
438516106
415
3700
SH
DFND
0
0
3700
HONEYWELL INTL INC
COM
438516106
272
2427
SH
DFND
1,2
2311
0
116
IDEX CORP
COM
45167R104
1422
17152
SH
DFND
1,2
16750
0
402
INC RESH HLDGS INC
CL A
45329R109
212
5150
SH
DFND
0
0
5150
INDEXIQ ETF TR
IQ MRGR ARB ETF
45409B800
1514
52469
SH
DFND
0
0
52469
INSTALLED BLDG PRODS INC
COM
45780R101
456
17150
SH
DFND
0
0
17150
INTEL CORP
COM
458140100
611
18902
SH
DFND
0
0
18902
INTEL CORP
COM
458140100
229
7089
SH
DFND
1,2
5189
0
1900
INTERNATIONAL BUSINESS MACHS
COM
459200101
17
112
SH
DFND
0
0
112
INTERNATIONAL BUSINESS MACHS
COM
459200101
351
2319
SH
DFND
1,2
2014
69
236
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
222
1958
SH
DFND
1,2
1958
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
152
10880
SH
DFND
0
0
10880
ISHARES
CNTRY MIN VL ETF
464286525
2514
34206
SH
DFND
0
0
34206
ISHARES
MSCI GERMANY ETF
464286806
1347
52350
SH
DFND
0
0
52350
ISHARES
MSCI JAPAN ETF
464286848
3193
279868
SH
DFND
0
0
279868
ISHARES
MSCI JAPAN ETF
464286848
342
29980
SH
DFND
1,2
29980
0
0
ISHARES TR
1-3 YR CR BD ETF
464288646
18
175
SH
DFND
0
0
175
ISHARES TR
1-3 YR CR BD ETF
464288646
8016
76041
SH
DFND
1,2
65452
0
10589
ISHARES TR
1-3 YR TR BD ETF
464287457
2688
31613
SH
DFND
0
0
31613
ISHARES TR
1-3 YR TR BD ETF
464287457
1156
13595
SH
DFND
1,2
13595
0
0
ISHARES TR
20 YR TR BD ETF
464287432
4582
35081
SH
DFND
0
0
35081
ISHARES TR
20 YR TR BD ETF
464287432
180
1376
SH
DFND
1,2
1376
0
0
ISHARES TR
3-7 YR TR BD ETF
464288661
6
48
SH
DFND
0
0
48
ISHARES TR
3-7 YR TR BD ETF
464288661
844
6700
SH
DFND
1,2
6700
0
0
ISHARES TR
7-10 Y TR BD ETF
464287440
6
55
SH
DFND
0
0
55
ISHARES TR
7-10 Y TR BD ETF
464287440
206
1865
SH
DFND
1,2
1865
0
0
ISHARES TR
CMBS ETF
46429B366
937
18020
SH
DFND
0
0
18020
ISHARES TR
CORE S&P MCP ETF
464287507
112
775
SH
DFND
0
0
775
ISHARES TR
CORE S&P MCP ETF
464287507
1387
9624
SH
DFND
1,2
8824
0
800
ISHARES TR
CORE S&P SCP ETF
464287804
87
775
SH
DFND
0
0
775
ISHARES TR
CORE S&P SCP ETF
464287804
581
5159
SH
DFND
1,2
5159
0
0
ISHARES TR
CORE S&P500 ETF
464287200
788
3812
SH
DFND
0
0
3812
ISHARES TR
CORE S&P500 ETF
464287200
1702
8234
SH
DFND
1,2
8234
0
0
ISHARES TR
CORE US AGGBD ET
464287226
1712
15450
SH
DFND
0
0
15450
ISHARES TR
CORE US AGGBD ET
464287226
124
1120
SH
DFND
1,2
1120
0
0
ISHARES TR
CORE US CR BD
464288620
433
3930
SH
DFND
0
0
3930
ISHARES TR
IBOXX HI YD ETF
464288513
2873
35164
SH
DFND
1,2
30495
0
4669
ISHARES TR
IBOXX INV CP ETF
464287242
1457
12264
SH
DFND
0
0
12264
ISHARES TR
IBOXX INV CP ETF
464287242
1879
15813
SH
DFND
1,2
13513
0
2300
ISHARES TR
INTL SEL DIV ETF
464288448
14
500
SH
DFND
0
0
500
ISHARES TR
INTL SEL DIV ETF
464288448
5086
175505
SH
DFND
1,2
175141
0
364
ISHARES TR
JP MOR EM MK ETF
464288281
6
50
SH
DFND
0
0
50
ISHARES TR
JP MOR EM MK ETF
464288281
2039
18476
SH
DFND
1,2
15960
0
2516
ISHARES TR
MBS ETF
464288588
1466
13394
SH
DFND
0
0
13394
ISHARES TR
MBS ETF
464288588
3016
27552
SH
DFND
1,2
23737
0
3815
ISHARES TR
MICRO-CAP ETF
464288869
1094
16103
SH
DFND
0
0
16103
ISHARES TR
MRG RL ES CP ETF
464288539
1467
151708
SH
DFND
1,2
127852
0
23856
ISHARES TR
MSCI EAFE ETF
464287465
3
50
SH
DFND
0
0
50
ISHARES TR
MSCI EAFE ETF
464287465
1889
33056
SH
DFND
1,2
33056
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
123
3581
SH
DFND
0
0
3581
ISHARES TR
MSCI EMG MKT ETF
464287234
93
2693
SH
DFND
1,2
2693
0
0
ISHARES TR
MSCI KLD400 SOC
464288570
483
6320
SH
DFND
1,2
6320
0
0
ISHARES TR
MSCI USAMOMFCT
46432F396
2056
28129
SH
DFND
0
0
28129
ISHARES TR
RUS 1000 ETF
464287622
971
8516
SH
DFND
1,2
8516
0
0
ISHARES TR
RUS 1000 GRW ETF
464287614
15
150
SH
DFND
0
0
150
ISHARES TR
RUS 1000 GRW ETF
464287614
698
7000
SH
DFND
1,2
7000
0
0
ISHARES TR
RUS 2000 GRW ETF
464287648
287
2165
SH
DFND
1,2
2165
0
0
ISHARES TR
RUS MID-CAP ETF
464287499
888
5450
SH
DFND
1,2
5450
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
4
36
SH
DFND
0
0
36
ISHARES TR
RUSSELL 2000 ETF
464287655
1745
15780
SH
DFND
1,2
15530
0
250
ISHARES TR
S&P MC 400GR ETF
464287606
286
1759
SH
DFND
1,2
1759
0
0
ISHARES TR
SELECT DIVID ETF
464287168
102
1250
SH
DFND
0
0
1250
ISHARES TR
SELECT DIVID ETF
464287168
3207
39272
SH
DFND
1,2
34011
0
5261
ISHARES TR
SHRT NAT MUN ETF
464288158
425
4000
SH
DFND
0
0
4000
ISHARES TR
U.S. ENERGY ETF
464287796
814
23392
SH
DFND
0
0
23392
ISHARES TR
U.S. PFD STK ETF
464288687
1239
31755
SH
DFND
0
0
31755
ISHARES TR
U.S. PFD STK ETF
464288687
3826
98046
SH
DFND
1,2
87491
0
10555
ISHARES TR
U.S. PHARMA ETF
464288836
732
5343
SH
DFND
0
0
5343
JMP GROUP LLC
COM
46629U107
251
47900
SH
DFND
0
0
47900
JOHNSON & JOHNSON
COM
478160104
874
8076
SH
DFND
0
0
8076
JOHNSON & JOHNSON
COM
478160104
1796
16603
SH
DFND
1,2
15220
433
950
JPMORGAN CHASE & CO
COM
46625H100
361
6100
SH
DFND
0
0
6100
JPMORGAN CHASE & CO
COM
46625H100
57
971
SH
DFND
1,2
803
0
168
KAYNE ANDERSON MLP INVT CO
COM
486606106
4030
243344
SH
DFND
1,2
231181
0
12163
KIMBERLY CLARK CORP
COM
494368103
70
524
SH
DFND
0
0
524
KIMBERLY CLARK CORP
COM
494368103
1578
11726
SH
DFND
1,2
11626
100
0
KINDER MORGAN INC DEL
COM
49456B101
240
13440
SH
DFND
0
0
13440
KNOWLES CORP
COM
49926D109
586
44494
SH
DFND
1,2
44494
0
0
KRAFT HEINZ CO
COM
500754106
1770
22533
SH
DFND
1,2
22066
467
0
KROGER CO
COM
501044101
40
1035
SH
DFND
0
0
1035
KROGER CO
COM
501044101
303
7908
SH
DFND
1,2
7908
0
0
LATTICE SEMICONDUCTOR CORP
COM
518415104
1708
300700
SH
DFND
0
0
300700
LINCOLN NATL CORP IND
COM
534187109
238
6058
SH
DFND
1,2
6058
0
0
LMP CORPORATE LN FD INC
COM
50208B100
346
35460
SH
DFND
0
0
35460
LOCKHEED MARTIN CORP
COM
539830109
254
1147
SH
DFND
0
0
1147
LOCKHEED MARTIN CORP
COM
539830109
514
2319
SH
DFND
1,2
1907
104
308
LOWES COS INC
COM
548661107
149
1963
SH
DFND
0
0
1963
LOWES COS INC
COM
548661107
260
3432
SH
DFND
1,2
2907
0
525
MARRIOTT INTL INC NEW
CL A
571903202
532
7476
SH
DFND
0
0
7476
MASTERCARD INC
CL A
57636Q104
521
5509
SH
DFND
1,2
4994
100
415
MAXIMUS INC
COM
577933104
355
6737
SH
DFND
1,2
6598
125
14
MCCORMICK & CO INC
COM NON VTG
579780206
66
660
SH
DFND
0
0
660
MCCORMICK & CO INC
COM NON VTG
579780206
437
4389
SH
DFND
1,2
4195
0
194
MCDONALDS CORP
COM
580135101
461
3671
SH
DFND
0
0
3671
MCDONALDS CORP
COM
580135101
2256
17948
SH
DFND
1,2
16913
335
700
MEDTRONIC PLC
SHS
G5960L103
322
4298
SH
DFND
0
0
4298
MEDTRONIC PLC
SHS
G5960L103
4
47
SH
DFND
1,2
47
0
0
MERCK & CO INC NEW
COM
58933Y105
443
8365
SH
DFND
0
0
8365
MERCK & CO INC NEW
COM
58933Y105
1332
25180
SH
DFND
1,2
24875
305
0
MICROCHIP TECHNOLOGY INC
COM
595017104
308
6377
SH
DFND
1,2
5617
240
520
MICRON TECHNOLOGY INC
COM
595112103
193
18395
SH
DFND
0
0
18395
MICROSEMI CORP
COM
595137100
370
9650
SH
DFND
0
0
9650
MICROSOFT CORP
COM
594918104
832
15059
SH
DFND
0
0
15059
MICROSOFT CORP
COM
594918104
670
12131
SH
DFND
1,2
11611
0
520
MITSUBISHI UFJ FINL GROUP IN
SPONSORED ADR
606822104
2310
503200
SH
DFND
0
0
503200
MITSUBISHI UFJ FINL GROUP IN
SPONSORED ADR
606822104
11
2310
SH
DFND
1,2
2310
0
0
MONDELEZ INTL INC
CL A
609207105
237
5898
SH
DFND
0
0
5898
MONDELEZ INTL INC
CL A
609207105
17
435
SH
DFND
1,2
435
0
0
MURPHY USA INC
COM
626755102
8
125
SH
DFND
0
0
125
MURPHY USA INC
COM
626755102
840
13675
SH
DFND
1,2
13485
0
190
NATIONAL GRID PLC
SPON ADR NEW
636274300
96
1350
SH
DFND
0
0
1350
NATIONAL GRID PLC
SPON ADR NEW
636274300
1735
24304
SH
DFND
1,2
23999
305
0
NEW MEDIA INVT GROUP INC
COM
64704V106
406
24396
SH
DFND
0
0
24396
NEW SR INVT GROUP INC
COM
648691103
145
14125
SH
DFND
0
0
14125
NEWCASTLE INVT CORP NEW
COM PAR $0.01
65105M603
62
14242
SH
DFND
0
0
14242
NEWFIELD EXPL CO
COM
651290108
1250
37581
SH
DFND
1,2
36731
0
850
NEXTERA ENERGY INC
COM
65339F101
434
3670
SH
DFND
0
0
3670
NEXTERA ENERGY INC
COM
65339F101
324
2735
SH
DFND
1,2
2616
0
119
NOMURA HLDGS INC
SPONSORED ADR
65535H208
111
25000
SH
DFND
0
0
25000
NORTHROP GRUMMAN CORP
COM
666807102
36
180
SH
DFND
0
0
180
NORTHROP GRUMMAN CORP
COM
666807102
388
1957
SH
DFND
1,2
1957
0
0
NOVO-NORDISK A S
ADR
670100205
578
10654
SH
DFND
1,2
10085
200
369
NXP SEMICONDUCTORS N V
COM
N6596X109
324
3996
SH
DFND
0
0
3996
NXP SEMICONDUCTORS N V
COM
N6596X109
193
2387
SH
DFND
1,2
2387
0
0
OGE ENERGY CORP
COM
670837103
140
4885
SH
DFND
0
0
4885
OGE ENERGY CORP
COM
670837103
1041
36353
SH
DFND
1,2
35900
0
453
OLD REP INTL CORP
COM
680223104
620
33953
SH
DFND
1,2
30843
160
2950
OMEGA HEALTHCARE INVS INC
COM
681936100
522
14813
SH
DFND
1,2
14548
265
0
ON SEMICONDUCTOR CORP
COM
682189105
165
17235
SH
DFND
1,2
17235
0
0
PALO ALTO NETWORKS INC
COM
697435105
643
3941
SH
DFND
0
0
3941
PAN AMERICAN SILVER CORP
COM
697900108
2708
249100
SH
DFND
0
0
249100
PENTAIR PLC
SHS
G7S00T104
910
16771
SH
DFND
1,2
16539
0
232
PEOPLES UNITED FINANCIAL INC
COM
712704105
16
1012
SH
DFND
0
0
1012
PEOPLES UNITED FINANCIAL INC
COM
712704105
824
51747
SH
DFND
1,2
44307
2280
5160
PEPSICO INC
COM
713448108
256
2495
SH
DFND
0
0
2495
PEPSICO INC
COM
713448108
902
8796
SH
DFND
1,2
8559
55
182
PERRIGO CO PLC
SHS
G97822103
484
3782
SH
DFND
1,2
3705
0
77
PFIZER INC
COM
717081103
95
3210
SH
DFND
1,2
3210
0
0
PFIZER INC
COM
717081103
1458
49192
SH
DFND
0
0
49192
PHILIP MORRIS INTL INC
COM
718172109
671
6838
SH
DFND
0
0
6838
PHILIP MORRIS INTL INC
COM
718172109
2897
29536
SH
DFND
1,2
28295
321
920
PHILLIPS 66
COM
718546104
171
1979
SH
DFND
0
0
1979
PHILLIPS 66
COM
718546104
541
6244
SH
DFND
1,2
5891
100
253
PIMCO ETF TR
0-5 HIGH YIELD
72201R783
1491
16036
SH
DFND
0
0
16036
PIMCO ETF TR
INTER MUN BD ACT
72201R866
303
5578
SH
DFND
0
0
5578
POLARIS INDS INC
COM
731068102
26
264
SH
DFND
0
0
264
POLARIS INDS INC
COM
731068102
935
9490
SH
DFND
1,2
9370
0
120
POWERSHARES DB CMDTY IDX TRA
UNIT BEN INT
73935S105
199
15000
SH
DFND
0
0
15000
POWERSHARES ETF TR II
FND INV GR CP
73937B761
1867
72972
SH
DFND
0
0
72972
POWERSHARES ETF TR II
S&P SMCP C DIS
73937B506
810
16587
SH
DFND
0
0
16587
POWERSHARES ETF TR II
S&P SMCP HC PO
73937B886
1096
16543
SH
DFND
0
0
16543
POWERSHARES ETF TR II
S&P SMCP IT PO
73937B860
1027
18648
SH
DFND
0
0
18648
POWERSHARES ETF TRUST
DYN RETAIL PTF
73935X617
735
19662
SH
DFND
0
0
19662
POWERSHARES ETF TRUST
WATER RESOURCE
73935X575
762
34700
SH
DFND
1,2
34700
0
0
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936Q769
5366
236262
SH
DFND
1,2
201230
0
35032
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
2440
22343
SH
DFND
0
0
22343
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
105
959
SH
DFND
1,2
959
0
0
PPG INDS INC
COM
693506107
309
2777
SH
DFND
1,2
2777
0
0
PPL CORP
COM
69351T106
1056
27751
SH
DFND
1,2
27471
280
0
PRICELINE GRP INC
COM NEW
741503403
813
631
SH
DFND
1,2
610
0
21
PROCTER & GAMBLE CO
COM
742718109
761
9245
SH
DFND
0
0
9245
PROCTER & GAMBLE CO
COM
742718109
1672
20321
SH
DFND
1,2
19696
240
385
PRUDENTIAL FINL INC
COM
744320102
322
4455
SH
DFND
1,2
3816
219
420
QUALCOMM INC
COM
747525103
36
710
SH
DFND
0
0
710
QUALCOMM INC
COM
747525103
526
10285
SH
DFND
1,2
8770
465
1050
RAYTHEON CO
COM NEW
755111507
26
210
SH
DFND
0
0
210
RAYTHEON CO
COM NEW
755111507
305
2482
SH
DFND
1,2
2151
86
245
REALTY INCOME CORP
COM
756109104
755
12081
SH
DFND
1,2
11971
110
0
REGIONS FINL CORP NEW
COM
7591EP100
139
17652
SH
DFND
1,2
17652
0
0
REPUBLIC SVCS INC
COM
760759100
232
4870
SH
DFND
1,2
4320
10
540
REYNOLDS AMERICAN INC
COM
761713106
187
3725
SH
DFND
0
0
3725
REYNOLDS AMERICAN INC
COM
761713106
2536
50393
SH
DFND
1,2
48007
1130
1256
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
173
3520
SH
DFND
0
0
3520
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
224
4557
SH
DFND
1,2
4557
0
0
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
590
7518
SH
DFND
0
0
7518
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
27
340
SH
DFND
1,2
340
0
0
RYDEX ETF TRUST
GUGGENHM S&P 500
78355W205
593
4078
SH
DFND
0
0
4078
SANDISK CORP
COM
80004C101
595
7815
SH
DFND
0
0
7815
SANDISK CORP
COM
80004C101
8
105
SH
DFND
1,2
105
0
0
SANOFI
SPONSORED ADR
80105N105
6
155
SH
DFND
0
0
155
SANOFI
SPONSORED ADR
80105N105
458
11415
SH
DFND
1,2
11220
195
0
SCOTTS MIRACLE GRO CO
CL A
810186106
511
7025
SH
DFND
1,2
6917
108
0
SEALED AIR CORP NEW
COM
81211K100
590
12284
SH
DFND
0
0
12284
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
2044
33025
SH
DFND
33000
0
25
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
3
50
SH
DFND
1,2
50
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
867
17475
SH
DFND
0
0
17475
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
1190
23990
SH
DFND
1,2
20918
0
3072
SEMPRA ENERGY
COM
816851109
200
1924
SH
DFND
1,2
1924
0
0
SHERWIN WILLIAMS CO
COM
824348106
407
1429
SH
DFND
1,2
1364
0
65
SOUTHERN CO
COM
842587107
82
1582
SH
DFND
0
0
1582
SOUTHERN CO
COM
842587107
1461
28251
SH
DFND
1,2
27286
545
420
SOUTHWEST AIRLS CO
COM
844741108
162
3617
SH
DFND
0
0
3617
SOUTHWEST AIRLS CO
COM
844741108
379
8453
SH
DFND
1,2
8453
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
66
563
SH
DFND
0
0
563
SPDR GOLD TRUST
GOLD SHS
78463V107
363
3085
SH
DFND
1,2
3010
0
75
SPDR S&P 500 ETF TR
TR UNIT
78462F103
3930
19123
SH
DFND
10500
0
8623
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1829
8899
SH
DFND
1,2
8899
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
4079
51023
SH
DFND
1,2
43896
0
7127
STARBUCKS CORP
COM
855244109
108
1815
SH
DFND
0
0
1815
STARBUCKS CORP
COM
855244109
661
11073
SH
DFND
1,2
10417
175
481
SUNTRUST BKS INC
COM
867914103
18
500
SH
DFND
0
0
500
SUNTRUST BKS INC
COM
867914103
261
7232
SH
DFND
1,2
7182
0
50
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
212
8103
SH
DFND
0
0
8103
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
111
4230
SH
DFND
1,2
4230
0
0
TARGET CORP
COM
87612E106
12
147
SH
DFND
0
0
147
TARGET CORP
COM
87612E106
566
6881
SH
DFND
1,2
6261
120
500
TAUBMAN CTRS INC
COM
876664103
433
6069
SH
DFND
1,2
5014
275
780
TEXAS INSTRS INC
COM
882508104
57
1000
SH
DFND
0
0
1000
TEXAS INSTRS INC
COM
882508104
320
5578
SH
DFND
1,2
4888
290
400
THE ADT CORPORATION
COM
00101J106
67
1615
SH
DFND
0
0
1615
THE ADT CORPORATION
COM
00101J106
1492
36176
SH
DFND
1,2
35805
0
371
THERMO FISHER SCIENTIFIC INC
COM
883556102
7
50
SH
DFND
0
0
50
THERMO FISHER SCIENTIFIC INC
COM
883556102
616
4350
SH
DFND
1,2
4087
100
163
THOMSON REUTERS CORP
COM
884903105
496
12246
SH
DFND
1,2
10251
555
1440
THOR INDS INC
COM
885160101
1119
17545
SH
DFND
1,2
17240
0
305
TIMKEN CO
COM
887389104
900
26869
SH
DFND
1,2
26619
0
250
TJX COS INC NEW
COM
872540109
624
7964
SH
DFND
1,2
7461
155
348
TORCHMARK CORP
COM
891027104
270
4991
SH
DFND
0
0
4991
TRC COS INC
COM
872625108
174
23966
SH
DFND
0
0
23966
TRINITY INDS INC
COM
896522109
9
500
SH
DFND
0
0
500
TRINITY INDS INC
COM
896522109
703
38417
SH
DFND
1,2
37967
0
450
TWITTER INC
COM
90184L102
1301
78630
SH
DFND
0
0
78630
TWO HBRS INVT CORP
COM
90187B101
200
25195
SH
DFND
0
0
25195
ULTA SALON COSMETCS & FRAG I
COM
90384S303
444
2293
SH
DFND
0
0
2293
UNILEVER PLC
SPON ADR NEW
904767704
1045
23130
SH
DFND
1,2
22885
245
0
UNION PAC CORP
COM
907818108
144
1813
SH
DFND
0
0
1813
UNION PAC CORP
COM
907818108
460
5782
SH
DFND
1,2
5648
125
9
UNITED CONTL HLDGS INC
COM
910047109
278
4640
SH
DFND
0
0
4640
UNITED PARCEL SERVICE INC
CL B
911312106
236
2241
SH
DFND
0
0
2241
UNITED PARCEL SERVICE INC
CL B
911312106
5
50
SH
DFND
1,2
50
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
151
1505
SH
DFND
0
0
1505
UNITED TECHNOLOGIES CORP
COM
913017109
737
7359
SH
DFND
1,2
6703
184
472
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
71
883
SH
DFND
0
0
883
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
619
7678
SH
DFND
1,2
7678
0
0
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
2583
31192
SH
DFND
0
0
31192
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
26
325
SH
DFND
1,2
325
0
0
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
2471
29843
SH
DFND
0
0
29843
VANGUARD INDEX FDS
MID CAP ETF
922908629
409
3370
SH
DFND
0
0
3370
VANGUARD INDEX FDS
REIT ETF
922908553
247
2949
SH
DFND
0
0
2949
VANGUARD INDEX FDS
REIT ETF
922908553
345
4115
SH
DFND
1,2
3515
0
600
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
583
5562
SH
DFND
0
0
5562
VANGUARD INDEX FDS
VALUE ETF
922908744
1668
20246
SH
DFND
0
0
20246
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
1526
35364
SH
DFND
0
0
35364
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
719
20787
SH
DFND
0
0
20787
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
272
7860
SH
DFND
1,2
7860
0
0
VANGUARD SCOTTSDALE FDS
LG-TERM COR BD
92206C813
1406
15722
SH
DFND
0
0
15722
VANGUARD SPECIALIZED PORTFOL
DIV APP ETF
921908844
515
6340
SH
DFND
0
0
6340
VANGUARD WORLD FDS
HEALTH CAR ETF
92204A504
1863
15110
SH
DFND
0
0
15110
VENTAS INC
COM
92276F100
722
11479
SH
DFND
1,2
11349
130
0
VERIZON COMMUNICATIONS INC
COM
92343V104
832
15377
SH
DFND
0
0
15377
VERIZON COMMUNICATIONS INC
COM
92343V104
1918
35479
SH
DFND
1,2
35003
440
36
VISA INC
COM CL A
92826C839
293
3830
SH
DFND
0
0
3830
VISA INC
COM CL A
92826C839
657
8589
SH
DFND
1,2
8287
0
302
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
45
1400
SH
DFND
0
0
1400
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
1117
34882
SH
DFND
1,2
34282
525
75
VOYA FINL INC
COM
929089100
304
10228
SH
DFND
0
0
10228
VOYA FINL INC
COM
929089100
4
150
SH
DFND
1,2
150
0
0
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
505
71295
SH
DFND
0
0
71295
WAL-MART STORES INC
COM
931142103
415
6052
SH
DFND
0
0
6052
WAL-MART STORES INC
COM
931142103
78
1137
SH
DFND
1,2
1057
0
80
WELLS FARGO & CO NEW
COM
949746101
871
18011
SH
DFND
0
0
18011
WELLS FARGO & CO NEW
COM
949746101
824
17039
SH
DFND
1,2
16475
0
564
WELLTOWER INC
COM
95040Q104
703
10149
SH
DFND
1,2
10024
125
0
WESTERN ASSET CLYM INFL OPP
COM
95766R104
115
10415
SH
DFND
0
0
10415
WESTERN ASSET CLYM INFL SEC
COM SH BEN INT
95766Q106
534
46900
SH
DFND
0
0
46900
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
287
19735
SH
DFND
0
0
19735
WESTERN UN CO
COM
959802109
1390
72103
SH
DFND
1,2
70798
0
1305
WESTROCK CO
COM
96145D105
651
16681
SH
DFND
1,2
16388
0
293
WILLIAMS COS INC DEL
COM
969457100
29
1805
SH
DFND
0
0
1805
WILLIAMS COS INC DEL
COM
969457100
161
10041
SH
DFND
1,2
8841
340
860
WISDOMTREE TR
EUROPE HEDGED EQ
97717X701
1429
27519
SH
DFND
0
0
27519
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
1862
42605
SH
DFND
0
0
42605