Manager

0000891092-14-005798.txt : 20140801 0000891092-14-005798.hdr.sgml : 20140801 20140801093212 ACCESSION NUMBER: 0000891092-14-005798 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140801 DATE AS OF CHANGE: 20140801 EFFECTIVENESS DATE: 20140801 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HL FINANCIAL SERVICES LLC CENTRAL INDEX KEY: 0001430233 IRS NUMBER: 300450751 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13165 FILM NUMBER: 141008322 BUSINESS ADDRESS: STREET 1: 500 WEST JEFFERSON STREET STREET 2: SUITE 700 CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 8004441854 MAIL ADDRESS: STREET 1: 500 WEST JEFFERSON STREET STREET 2: SUITE 700 CITY: LOUISVILLE STATE: KY ZIP: 40202 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001430233 XXXXXXXX 06-30-2014 06-30-2014 false HL FINANCIAL SERVICES LLC

500 West Jefferson Street Suite 700 Louisville KY 40202

13F HOLDINGS REPORT 028-13165 Y Houchens Industries and Houchens Industries Employee Stock Ownership Trust are included solely because they are a controlling entity of HL Financial Services, LLC. James R. Allen Manager 502-588-8400 /s/ James R. Allen Louisville KY 07-28-2014 4 667 3430717 1 0001442175 028-13163 J.J.B. Hilliard, W.L. Lyons, LLC 2 0001442181 028-13162 Hilliard Lyons Trust Company, LLC 3 0000910676 028-13166 HOUCHENS INDUSTRIES INC /KY/ 4 0001442827 028-13164 Houchens Industries, Inc. 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DFND 1,2 9025 0 200 HUBBELL INC CLASS B CL B 443510201 238 1932 SH DFND 1,2 1760 0 172 HUMANA INC COM 444859102 929 7275 SH DFND 1,2 5425 0 1850 IAC / INTERACTIVECORP COM PAR $.001 44919P508 434 6275 SH DFND 1 0 0 6275 IGATE CORP COM 45169U105 350 9623 SH DFND 1 0 0 9623 ILLINOIS TOOL WORKS INC COM 452308109 4538 51824 SH DFND 1,2 46444 0 5380 INTEGRYS ENERGY GROUP COM 45822P105 337 4741 SH DFND 1,2 1150 0 3591 INTEL CORP COM 458140100 20967 678542 SH DFND 1,2 503389 0 175153 INTERCONTINENTAL COM 45866F104 632 3344 SH DFND 1 0 0 3344 INTERDIGITAL INC COM 45867G101 414 8665 SH DFND 1 0 0 8665 INTERNATIONAL BUSINESS COM 459200101 62654 345638 SH DFND 1,2 270595 0 75043 ISHARES TIPS BD ETF 464287176 3393 29412 SH DFND 1,2 22645 0 6767 ISHARES 20+ YR TR BD ETF 464287432 1027 9046 SH DFND 1 0 0 9046 ISHARES 7-10 Y TR BD ETF 464287440 5849 56460 SH DFND 1,2 450 0 56010 ISHARES 1-3 YR TR BD ETF 464287457 25008 295748 SH DFND 1,2 67528 0 228220 ISHARES U.S. REAL ES ETF 464287739 1395 19435 SH DFND 1,2 900 0 18535 ISHARES EUROPE ETF 464287861 281 5795 SH DFND 1 0 0 5795 ISHARES INTL SEL DIV ETF 464288448 775 19424 SH DFND 1 0 0 19424 ISHARES MBS ETF 464288588 1420 13125 SH DFND 1 0 0 13125 ISHARES INTERM CR BD ETF 464288638 1515 13749 SH DFND 1,2 10519 0 3230 ISHARES 1-3 YR CR BD ETF 464288646 12337 116739 SH DFND 1,2 43521 0 73218 ISHARES U.S. PFD STK ETF 464288687 631 15807 SH DFND 1,2 4907 0 10900 ISHARES 0-5 YR TIPS ETF 46429B747 252 2460 SH DFND 1 0 0 2460 ISHARES 3-7 YEAR TREASURY BOND ETF 3-7 YR TR BD ETF 464288661 280 2300 SH DFND 2 2300 0 0 ISHARES COHEN & STEERS COHEN&STEER REIT 464287564 3113 35648 SH DFND 1 0 0 35648 ISHARES CORE S&P CORE S&P SCP ETF 464287804 593 5286 SH DFND 1,2 529 0 4757 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 35115 178251 SH DFND 1,2 37599 0 140652 ISHARES CORE S&P MID CORE S&P MCP ETF 464287507 8809 61563 SH DFND 1,2 1888 0 59675 ISHARES CORE U S CORE TOTUSBD ETF 464287226 10379 94876 SH DFND 1,2 8139 0 86737 ISHARES CORE U S CREDIT BD ETF 464288620 917 8226 SH DFND 1 0 0 8226 ISHARES GOLD TRUST ISHARES 464285105 705 54715 SH DFND 1,2 34280 0 20435 ISHARES IBOXX IBOXX INV CP ETF 464287242 475 3980 SH DFND 1 1516 0 2464 ISHARES IBOXX $ IBOXX HI YD ETF 464288513 2122 22294 SH DFND 1,2 19400 0 2894 ISHARES JPMORGAN USD JP MOR EM MK ETF 464288281 3774 32737 SH DFND 1,2 18850 0 13887 ISHARES MSCI MSCI JAPAN ETF 464286848 245 20337 SH DFND 1 9425 0 10912 ISHARES MSCI MSCI EAFE ETF 464287465 21007 307256 SH DFND 1,2 173278 0 133978 ISHARES MSCI BRAZIL MSCI BRZ CAP ETF 464286400 718 15020 SH DFND 1 0 0 15020 ISHARES MSCI EAFE EAFE VALUE ETF 464288877 596 10161 SH DFND 1,2 1248 0 8913 ISHARES MSCI EAFE EAFE GRWTH ETF 464288885 329 4542 SH DFND 1 0 0 4542 ISHARES MSCI EAFE MIN EAFE MIN VOL ETF 46429B689 265 4050 SH DFND 1 0 0 4050 ISHARES MSCI EMERGING MSCI EMG MKT ETF 464287234 7749 179245 SH DFND 1,2 136598 0 42647 ISHARES NORTH NA NAT RES 464287374 3735 74776 SH DFND 1 0 0 74776 ISHARES RUSSELL 1000 RUS 1000 VAL ETF 464287598 6876 67897 SH DFND 1,2 38675 0 29222 ISHARES RUSSELL 1000 RUS 1000 GRW ETF 464287614 7611 83700 SH DFND 1,2 45746 0 37954 ISHARES RUSSELL 1000 RUS 1000 ETF 464287622 1647 14957 SH DFND 1 0 0 14957 ISHARES RUSSELL 2000 RUS 2000 VAL ETF 464287630 1207 11688 SH DFND 1,2 9698 0 1990 ISHARES RUSSELL 2000 RUS 2000 GRW ETF 464287648 1663 12013 SH DFND 1,2 9857 0 2156 ISHARES RUSSELL 2000 RUSSELL 2000 ETF 464287655 16223 136549 SH DFND 1,2 55394 0 81155 ISHARES RUSSELL 3000 ETF RUSSELL 3000 ETF 464287689 235 2000 SH DFND 2 2000 0 0 ISHARES RUSSELL MID CAP RUS MDCP VAL ETF 464287473 3790 52205 SH DFND 1,2 13922 0 38283 ISHARES RUSSELL MID CAP RUS MD CP GR ETF 464287481 7973 89023 SH DFND 1,2 6277 0 82746 ISHARES RUSSELL MID CAP RUS MID-CAP ETF 464287499 25100 154401 SH DFND 1,2 139593 0 14808 ISHARES S&P 500 S&P 500 GRWT ETF 464287309 934 8881 SH DFND 1 0 0 8881 ISHARES S&P 500 S&P 500 VAL ETF 464287408 219 2431 SH DFND 1,2 318 0 2113 ISHARES S&P MID CAP S&P MC 400GR ETF 464287606 3262 20766 SH DFND 1,2 14738 0 6028 ISHARES S&P MID CAP S&P MC 400VL ETF 464287705 1718 13534 SH DFND 1,2 13334 0 200 ISHARES SELECT SELECT DIVID ETF 464287168 5923 76943 SH DFND 1,2 5500 0 71443 ISHARES SHORT TERM SHT NTLAMTFR ETF 464288158 3237 30462 SH DFND 1 0 0 30462 ISHARES U S OIL & GAS US OIL&GS EX ETF 464288851 357 3675 SH DFND 1,2 3525 0 150 JACK IN THE BOX INC COM 466367109 1008 16851 SH DFND 1 0 0 16851 JACOBS ENGINEERNG GROUP COM 469814107 12386 232479 SH DFND 1,2 149195 0 83284 JOHNSON & JOHNSON COM 478160104 139801 1336274 SH DFND 1,2 1013056 0 323218 JOHNSON CONTROLS INC COM 478366107 1041 20850 SH DFND 1,2 3104 0 17746 JOY GLOBAL INC COM 481165108 604 9805 SH DFND 1 0 0 9805 JPMORGAN CHASE & COM 46625H100 112623 1954572 SH DFND 1,2 1556804 0 397768 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 239 4567 SH DFND 1 0 0 4567 KANSAS CITY SOUTHERN NEW COM NEW 485170302 606 5640 SH DFND 1 0 0 5640 KAYNE ANDERSON MLP COM 486606106 5086 129049 SH DFND 1,2 130 0 128919 KELLOGG COMPANY COM 487836108 578 8798 SH DFND 1,2 1997 0 6801 KEURIG GREEN MOUNTAIN COM 49271M100 1329 10661 SH DFND 1 0 0 10661 KIMBERLY CLARK CORP COM 494368103 2845 25576 SH DFND 1,2 13867 0 11709 KINDER MORGAN ENERGY UT LTD PARTNER 494550106 3411 41492 SH DFND 1,2 4135 0 37357 KINDER MORGAN INC DE COM 49456B101 6534 180186 SH DFND 1,2 146519 0 33667 KINDER MORGAN MGMT LLC SHS 49455U100 347 4400 SH DFND 1 0 0 4400 KINDRED HEALTHCARE INC COM 494580103 789 34143 SH DFND 1,2 2008 0 32135 KIRBY CORP COM 497266106 348 2969 SH DFND 1 0 0 2969 KNIGHT COM 499064103 2446 102886 SH DFND 1 0 0 102886 KNOWLES CORP COM 49926D109 1128 36699 SH DFND 1,2 29947 0 6752 KOHL'S CORP COM 500255104 285 5402 SH DFND 1,2 2865 0 2537 KORN/FERRY INTL NEW COM NEW 500643200 2338 79590 SH DFND 1 0 0 79590 KRAFT FOODS GRP INC COM 50076Q106 3817 63676 SH DFND 1,2 25156 0 38520 KROGER COMPANY COM 501044101 1254 25376 SH DFND 1,2 2470 0 22906 LAM RESEARCH CORP COM 512807108 1567 23185 SH DFND 1 0 0 23185 LAMAR ADVERTISING CL A 512815101 723 13646 SH DFND 1 0 0 13646 LANDAUER INC COM 51476K103 241 5735 SH DFND 1 0 0 5735 LEGGETT & PLATT INC COM 524660107 329 9584 SH DFND 1,2 2525 0 7059 LEXMARK INTERNATIONAL CL A 529771107 2861 59407 SH DFND 1 0 0 59407 LILLY ELI & COMPANY COM 532457108 2743 44125 SH DFND 1,2 27751 0 16374 LINCOLN NATIONAL CORP COM 534187109 251 4880 SH DFND 1,2 600 0 4280 LOCKHEED MARTIN CORP COM 539830109 2700 16797 SH DFND 1,2 425 0 16372 LORILLARD INC COM 544147101 385 6320 SH DFND 1 0 0 6320 LOWES COMPANIES INC COM 548661107 484 10078 SH DFND 1,2 4623 0 5455 LTC PROPERTIES INC * COM 502175102 271 6950 SH DFND 1,2 4150 0 2800 LYONDELLBASELL SHS - A - N53745100 278 2845 SH DFND 1,2 270 0 2575 M&T BANK CORP COM 55261F104 241 1946 SH DFND 1,2 359 0 1587 MACYS INC COM 55616P104 206 3553 SH DFND 1,2 378 0 3175 MAGELLAN MIDSTREAM COM UNIT RP LP 559080106 284 3385 SH DFND 1,2 1600 0 1785 MAIN STREET CAP CORP COM 56035L104 671 20385 SH DFND 1 0 0 20385 MANHATTAN COM 562750109 453 13150 SH DFND 1 0 0 13150 MARATHON OIL CORP COM 565849106 1119 28028 SH DFND 1,2 6049 0 21979 MARATHON PETROLEUM CORP COM 56585A102 316 4044 SH DFND 1,2 1931 0 2113 MARKET VECTORS GOLD MINER ETF 57060U100 1133 42827 SH DFND 1 2000 0 40827 MARKET VECTORS COAL ETF COAL ETF 57060U837 501 26740 SH DFND 1 0 0 26740 MARRIOTT INTL INC NEW CL A 571903202 737 11490 SH DFND 1 0 0 11490 MARSH & MCLENNAN COS INC COM 571748102 2783 53703 SH DFND 1,2 2300 0 51403 MASTERCARD INC CLASS A CL A 57636Q104 379 5157 SH DFND 1 0 0 5157 MATTEL INC COM 577081102 63591 1631782 SH DFND 1,2 1269100 0 362682 MATTHEWS INTL CORP CL A CL A 577128101 535 12880 SH DFND 1 0 0 12880 MCDONALDS CORP COM 580135101 13283 131854 SH DFND 1,2 89218 0 42636 MCKESSON CORP COM 58155Q103 557 2991 SH DFND 1 407 0 2584 MDU RESOURCES GROUP INC COM 552690109 365 10395 SH DFND 1,2 5062 0 5333 MEDLEY CAPITAL CORP COM 58503F106 339 25956 SH DFND 1 0 0 25956 MEDTRONIC INC COM 585055106 757 11871 SH DFND 1,2 3899 0 7972 MERCK & COMPANY INC NEW COM 58933Y105 10249 177167 SH DFND 1,2 117951 0 59216 METLIFE INC COM 59156R108 489 8799 SH DFND 1 0 0 8799 MICHAEL KORS HOLDINGS SHS G60754101 583 6574 SH DFND 1 0 0 6574 MICRON TECHNOLOGY INC COM 595112103 387 11738 SH DFND 1 0 0 11738 MICROSOFT CORP COM 594918104 86664 2078264 SH DFND 1,2 1583711 0 494553 MOBILE MINI INC COM 60740F105 918 19165 SH DFND 1 0 0 19165 MOHAWK INDUSTRIES INC COM 608190104 516 3733 SH DFND 1 0 0 3733 MONDELEZ INTERNATIONAL CL A 609207105 3408 90620 SH DFND 1,2 46218 0 44402 MONOLITHIC POWER SYSTEM COM 609839105 645 15227 SH DFND 1 0 0 15227 MONOTYPE IMAGING COM 61022P100 374 13263 SH DFND 1 0 0 13263 MONSANTO COMPANY NEW COM 61166W101 669 5367 SH DFND 1,2 4200 0 1167 MORGAN STANLEY COM NEW 617446448 202 6235 SH DFND 1,2 1412 0 4823 MOVADO GROUP INC COM 624580106 269 6454 SH DFND 1 0 0 6454 MUELLER INDUSTRIES INC COM 624756102 264 8964 SH DFND 1 0 0 8964 MULTI-COLOR CORP COM 625383104 384 9589 SH DFND 1 0 0 9589 MURPHY OIL CORP COM 626717102 208 3129 SH DFND 1,2 975 0 2154 NASDAQ OMX GROUP INC COM 631103108 432 11184 SH DFND 1 0 0 11184 NATIONAL FUEL GAS COM 636180101 335 4276 SH DFND 1 0 0 4276 NATIONAL OILWELL COM 637071101 868 10536 SH DFND 1,2 950 0 9586 NETAPP INC COM 64110D104 464 12699 SH DFND 1 0 0 12699 NEW SOURCE ENERGY CM UNT LTD PRT 64881E109 333 13928 SH DFND 1 0 0 13928 NEXTERA ENERGY INC COM 65339F101 2677 26125 SH DFND 1,2 5650 0 20475 NIKE INC CL B 654106103 4268 55034 SH DFND 1,2 46848 0 8186 NISOURCE INC COM 65473P105 205 5210 SH DFND 1,2 4410 0 800 NORFOLK SOUTHERN CORP COM 655844108 1071 10391 SH DFND 1,2 4555 0 5836 NORTHEAST UTILITIES COM 664397106 296 6252 SH DFND 1,2 150 0 6102 NORTHERN DYNASTY MINERALS LTD COM COM NEW 66510M204 21 25000 SH DFND 2 25000 0 0 NORTHERN TRUST CORP COM 665859104 33417 520432 SH DFND 1,2 401546 0 118886 NOVARTIS AG SPONSORED ADR 66987V109 1268 14003 SH DFND 1,2 5373 0 8630 NOVO NORDISK AS ADR ADR 670100205 499 10795 SH DFND 1,2 10000 0 795 NUCOR CORP COM 670346105 1270 25780 SH DFND 1,2 3875 0 21905 NUVEEN MUNICIPAL OPPTY COM 670984103 222 15730 SH DFND 1,2 14230 0 1500 NUVEEN PFD INCM OPPTY COM 67073B106 681 70238 SH DFND 1 0 0 70238 NUVEEN QUALITY PREFERRED COM 67072C105 114 12606 SH DFND 1,2 12600 0 6 NVIDIA CORP COM 67066G104 558 30110 SH DFND 1 0 0 30110 OAKTREE CAPITAL GROUP UNIT CL A 674001201 357 7150 SH DFND 1 0 0 7150 OCCIDENTAL PETROLEUM COM 674599105 1056 10289 SH DFND 1,2 4825 0 5464 OCEANEERING INTL INC COM 675232102 399 5105 SH DFND 1 0 0 5105 OCWEN FINANCIAL CORP COM NEW 675746309 263 7100 SH DFND 1 0 0 7100 OLD DOMINION FREIGHT COM 679580100 265 4156 SH DFND 1 0 0 4156 OLD NATL BANCORP IND COM 680033107 371 26006 SH DFND 1,2 21477 0 4529 OMEGA HEALTHCARE * COM 681936100 2390 64834 SH DFND 1,2 3500 0 61334 OMNICOM GROUP INC COM 681919106 62534 878033 SH DFND 1,2 691231 0 186802 ONE GAS INC COM 68235P108 229 6075 SH DFND 1,2 5050 0 1025 ONEOK INC NEW COM 682680103 269 3957 SH DFND 1 0 0 3957 ORACLE CORP COM 68389X105 2578 63602 SH DFND 1,2 23053 0 40549 PACIRA PHARMACEUTICALS COM 695127100 637 6934 SH DFND 1 0 0 6934 PACKAGING CORP OF COM 695156109 2745 38396 SH DFND 1 0 0 38396 PALL CORP COM 696429307 352 4125 SH DFND 1 0 0 4125 PAPA JOHNS INTL INC COM 698813102 946 22318 SH DFND 1,2 4000 0 18318 PARAMOUNT GOLD & SILVER COM 69924P102 25 25850 SH DFND 1 0 0 25850 PAYCHEX INC COM 704326107 5630 135467 SH DFND 1,2 126981 0 8486 PDL BIOPHARMA INC COM 69329Y104 418 43142 SH DFND 1 0 0 43142 PEABODY ENERGY CORP COM 704549104 344 21064 SH DFND 1,2 167 0 20897 PENNANTPARK INVESTMENT COM 708062104 201 17562 SH DFND 1 0 0 17562 PENSKE AUTOMOTIVE GROUP COM 70959W103 735 14849 SH DFND 1 0 0 14849 PEPSICO INC COM 713448108 36824 412179 SH DFND 1,2 336902 0 75277 PERRIGO COMPANY PLC SHS G97822103 260 1783 SH DFND 1 0 0 1783 PETSMART INC COM 716768106 949 15877 SH DFND 1 0 0 15877 PFIZER INC COM 717081103 72546 2444271 SH DFND 1,2 1848332 0 595939 PHILIP MORRIS INTL INC COM 718172109 10274 121862 SH DFND 1,2 69723 0 52139 PHILLIPS 66 COM 718546104 1005 12501 SH DFND 1,2 5906 0 6595 PHYSICIANS REALTY TR * COM 71943U104 687 47771 SH DFND 1 0 0 47771 PIMCO 0-5 YR HIGH YIELD 0-5 HIGH YIELD 72201R783 1580 14785 SH DFND 1 0 0 14785 PIMCO ENHANCED SHORT ENHAN SHRT MAT 72201R833 4030 39743 SH DFND 1 0 0 39743 PIMCO INVESTMENT GRADE INV GRD CRP BD 72201R817 3986 38622 SH DFND 1 0 0 38622 PIMCO TOTAL RETURN ETF TOTL RETN ETF 72201R775 4534 41597 SH DFND 1 0 0 41597 PLAINS ALL AMERICAN UNIT LTD PARTN 726503105 208 3468 SH DFND 1 66 0 3402 PNC FINANCIAL SERVICES COM 693475105 14872 167003 SH DFND 1,2 146695 0 20308 PNM RESOURCES INC COM 69349H107 831 28327 SH DFND 1 0 0 28327 POLARIS INDUSTRIES INC COM 731068102 824 6324 SH DFND 1 0 0 6324 POLYONE CORP COM 73179P106 687 16300 SH DFND 1 0 0 16300 POOL CORP COM 73278L105 711 12569 SH DFND 1 0 0 12569 POSCO SPONSORED ADR SPONSORED ADR 693483109 497 6673 SH DFND 1 0 0 6673 POTASH CORP COM 73755L107 1125 29624 SH DFND 1 150 0 29474 POWELL INDUSTRIES INC COM 739128106 617 9432 SH DFND 1 0 0 9432 POWERSHARES DB UNIT BEN INT 73935S105 3990 150110 SH DFND 1,2 130695 0 19415 POWERSHARES DWA DWA MOMENTUM PTF 73935X153 987 25303 SH DFND 1 0 0 25303 POWERSHARES DWA DWA DEVMKTMOM PT 73936Q108 419 15886 SH DFND 1 0 0 15886 POWERSHARES DWA DWA EMKT MOM PTF 73936Q207 407 21861 SH DFND 1 0 0 21861 POWERSHARES DWA SMALL DWA SC MOMNT PTF 73936Q744 741 18903 SH DFND 1 0 0 18903 POWERSHARES EMERGING SOVEREIGN DEBT 73936T573 229 7841 SH DFND 1 0 0 7841 POWERSHARES QQQ ETF UNIT SER 1 73935A104 1291 13745 SH DFND 1,2 12390 0 1355 POWERSHARES S&P 500 S&P500 DWNHDGE 73935B805 360 12672 SH DFND 1 0 0 12672 POWERSHARES S&P 500 S&P500 LOW VOL 73937B779 626 17578 SH DFND 1 0 0 17578 POWERSHARES S&P SMALL S&P SMCP HC PO 73937B886 289 5118 SH DFND 1 0 0 5118 POWERSHARES SENIOR LOAN SENIOR LN PORT 73936Q769 579 23283 SH DFND 1 0 0 23283 POWERSHARES WATER WATER RESOURCE 73935X575 231 8690 SH DFND 1 0 0 8690 PPG INDUSTRIES INC COM 693506107 2818 13408 SH DFND 1,2 9179 0 4229 PPL CORP COM 69351T106 279 7844 SH DFND 1,2 2875 0 4969 PRAXAIR INC COM 74005P104 443 3336 SH DFND 1,2 200 0 3136 PRECISION CASTPARTS CORP COM 740189105 646 2560 SH DFND 1 513 0 2047 PRICE T ROWE GRP INC COM 74144T108 795 9421 SH DFND 1,2 6821 0 2600 PRICELINE GROUP INC COM NEW 741503403 2780 2311 SH DFND 1 0 0 2311 PROCTER & GAMBLE COMPANY COM 742718109 62264 792263 SH DFND 1,2 615617 0 176646 PROGRESSIVE CORP OH COM 743315103 24202 954334 SH DFND 1,2 676019 0 278315 PROSHARES ULTRA PSHS ULT S&P 500 74347R107 1228 10613 SH DFND 1 0 0 10613 PROSHARES ULTRA ULTR 7-10 TREA 74347R180 1231 22879 SH DFND 1 0 0 22879 PROSHARES ULTRA PSHS ULT MCAP400 74347R404 1116 15506 SH DFND 1 0 0 15506 PROSHARES ULTRA PSHS ULTRUSS2000 74347R842 1118 12538 SH DFND 1 0 0 12538 PUBLIC SERVICE COM 744573106 492 12066 SH DFND 1 0 0 12066 PULTEGROUP INC COM 745867101 384 19040 SH DFND 1 0 0 19040 QUALCOMM INC COM 747525103 7518 94924 SH DFND 1,2 63606 0 31318 QUEST DIAGNOSTICS INC COM 74834L100 260 4427 SH DFND 1 0 0 4427 QUESTCOR PHARMACEUTICAL COM 74835Y101 439 4746 SH DFND 1 0 0 4746 RAYMOND JAMES COM 754730109 243 4800 SH DFND 1,2 4500 0 300 RAYTHEON COMPANY NEW COM NEW 755111507 1209 13108 SH DFND 1,2 13048 0 60 REALTY INCOME CORP * COM 756109104 1094 24630 SH DFND 1,2 300 0 24330 REGAL ENTERTAINMENT GRP CL A 758766109 1675 79374 SH DFND 1,2 400 0 78974 REGIONS FINANCIAL COM 7591EP100 408 38427 SH DFND 1,2 2902 0 35525 REPUBLIC AWYS HOLDINGS COM 760276105 474 43702 SH DFND 1 0 0 43702 REPUBLIC SERVICES INC COM 760759100 214 5625 SH DFND 1 478 0 5147 RESMED INC COM 761152107 346 6827 SH DFND 1 0 0 6827 ROCK TENN CO CL A CL A 772739207 212 2009 SH DFND 1,2 301 0 1708 ROCKWOOD HOLDINGS INC COM 774415103 414 5452 SH DFND 1 0 0 5452 ROSS STORES INC COM 778296103 486 7344 SH DFND 1 0 0 7344 ROYAL BANK CANADA COM 780087102 515 7206 SH DFND 1 0 0 7206 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 1221 14037 SH DFND 1,2 6360 0 7677 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 3286 39898 SH DFND 1,2 29071 0 10827 ROYAL GOLD INC COM 780287108 5118 67231 SH DFND 1,2 4400 0 62831 ROYCE FOCUS TRUST INC COM 78080N108 294 34410 SH DFND 1,2 11989 0 22421 ROYCE MICRO-CAP TRUST INC COM COM 780915104 366 28987 SH DFND 2 28987 0 0 ROYCE VALUE TRUST INC COM 780910105 365 22828 SH DFND 1,2 2662 0 20166 RUTHS HOSPITALITY GROUP COM 783332109 321 26030 SH DFND 1 0 0 26030 RYDEX GUGGENHEIM S&P 500 GUG S&P500 EQ WT 78355W106 5109 66604 SH DFND 1 0 0 66604 SAINT JUDE MEDICAL INC COM 790849103 747 10782 SH DFND 1,2 600 0 10182 SANDISK CORP COM 80004C101 5361 51334 SH DFND 1 0 0 51334 SANOFI SPON ADR SPONSORED ADR 80105N105 356 6700 SH DFND 1 1250 0 5450 SCANA CORP NEW COM 80589M102 636 11830 SH DFND 1,2 1350 0 10480 SCHLUMBERGER LTD COM 806857108 7551 64017 SH DFND 1,2 57260 0 6757 SCHWAB U S LARGE CAP ETF US LRG CAP ETF 808524201 295 6290 SH DFND 1 6290 0 0 SCHWAB U S SMALL CAP ETF US SML CAP ETF 808524607 243 4437 SH DFND 1 4437 0 0 SCRIPPS NETWORKS CL A COM 811065101 231 2841 SH DFND 1 0 0 2841 SEADRILL LTD SHS G7945E105 228 5703 SH DFND 1 0 0 5703 SEAGATE TECHNOLOGY PLC SHS G7945M107 449 7904 SH DFND 1 0 0 7904 SEALED AIR CORP NEW COM 81211K100 609 17831 SH DFND 1 0 0 17831 SEARS HOLDINGS CORP COM 812350106 352 8807 SH DFND 1,2 157 0 8650 SECTOR CONSUMER STAPLES SBI CONS STPLS 81369Y308 334 7483 SH DFND 1 0 0 7483 SECTOR ENERGY SELECT SBI INT-ENERGY 81369Y506 247 2468 SH DFND 1 250 0 2218 SECTOR FINANCIAL SELECT SBI INT-FINL 81369Y605 484 21291 SH DFND 1 0 0 21291 SECTOR HEALTHCARE SBI HEALTHCARE 81369Y209 256 4211 SH DFND 1 0 0 4211 SECTOR INDUSTRIAL SBI INT-INDS 81369Y704 1109 20512 SH DFND 1 0 0 20512 SECTOR MATERIALS SELECT SBI MATERIALS 81369Y100 912 18365 SH DFND 1 0 0 18365 SECTOR TECHNOLOGY TECHNOLOGY 81369Y803 384 10019 SH DFND 1 200 0 9819 SEMPRA ENERGY COM 816851109 220 2099 SH DFND 1 0 0 2099 SHAW COMMUNICATIONS INC CL B CONV 82028K200 340 13231 SH DFND 1,2 715 0 12516 SHERWIN WILLIAMS CO COM 824348106 10181 49205 SH DFND 1,2 36525 0 12680 SHIRE PLC SPONSORED ADR 82481R106 279 1186 SH DFND 1,2 933 0 253 SIEMENS A G SPONS ADR SPONSORED ADR 826197501 236 1788 SH DFND 1,2 88 0 1700 SIGMA ALDRICH CORP COM 826552101 1024 10095 SH DFND 1,2 2000 0 8095 SIMON PROPERTY GROUP * COM 828806109 219 1320 SH DFND 1 0 0 1320 SKYWORKS SOLUTIONS INC COM 83088M102 1115 23745 SH DFND 1 0 0 23745 SM ENERGY COMPANY COM 78454L100 379 4510 SH DFND 1 0 0 4510 SMITH & WESSON HOLDING COM 831756101 518 35641 SH DFND 1 0 0 35641 SMUCKER JM COMPANY NEW COM NEW 832696405 795 7462 SH DFND 1,2 2292 0 5170 SNAP ON INC COM 833034101 1400 11816 SH DFND 1 250 0 11566 SOURCE CAPITAL INC COM 836144105 712 10180 SH DFND 1,2 10180 0 0 SOUTHERN COMPANY COM 842587107 14049 309591 SH DFND 1,2 232894 0 76697 SOUTHWEST AIRLINES COM 844741108 2643 98401 SH DFND 1 0 0 98401 SPDR BARCLAYS CAP INVEST INV GRD FLT RT 78468R200 555 18106 SH DFND 1 0 0 18106 SPDR BARCLAYS CAPITAL BRC HGH YLD BD 78464A417 2638 63205 SH DFND 1 0 0 63205 SPDR BARCLAYS CAPITAL NUVN BR SHT MUNI 78464A425 757 31118 SH DFND 1 0 0 31118 SPDR BARCLAYS CAPITAL BARC SHT TR CP 78464A474 4201 136343 SH DFND 1 0 0 136343 SPDR BARCLAYS INTL BRCLYS INTL ETF 78464A516 470 7723 SH DFND 1 0 0 7723 SPDR DOW JONES INTL DJ INTL RL ETF 78463X863 3000 67811 SH DFND 1,2 123 0 67688 SPDR GOLD TRUST GOLD SHS 78463V107 3685 28781 SH DFND 1,2 8707 0 20074 SPDR S&P 500 ETF TR UNIT 78462F103 7703 39354 SH DFND 1,2 1050 0 38304 SPDR S&P EMRG MKTS SMALL S&P EMKTSC ETF 78463X756 300 5959 SH DFND 1 0 0 5959 SPDR S&P INTL S&P INTL ETF 78463X772 749 14606 SH DFND 1 0 0 14606 SPDR S&P MID CAP 400 ETF UTSER1 S&PDCRP 78467Y107 910 3495 SH DFND 1,2 1264 0 2231 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 278 3060 SH DFND 1 0 0 3060 SPDR SERIES TRUST OILGAS EQUIP 78464A748 740 15010 SH DFND 1 0 0 15010 SPDR SERIES TRUST S&P BIOTECH 78464A870 484 3140 SH DFND 1 0 0 3140 SPECTRA ENERGY CORP COM 847560109 1262 29711 SH DFND 1,2 13711 0 16000 SPECTRA ENERGY PARTNERS COM 84756N109 331 6206 SH DFND 1 0 0 6206 STANDEX INTL CORP COM COM 854231107 298 4000 SH DFND 2 4000 0 0 STAPLES INC COM 855030102 24668 2275657 SH DFND 1,2 1759682 0 515975 STARBUCKS CORP COM 855244109 2237 28913 SH DFND 1 855 0 28058 STOCK YARDS BANCORP INC COM 861025104 1000 33445 SH DFND 1,2 12525 0 20920 STRYKER CORP COM 863667101 1440 17080 SH DFND 1,2 7934 0 9146 SUN LIFE FINANCIAL INC COM 866796105 227 6196 SH DFND 1,2 6196 0 0 SUNCOR ENERGY INC NEW COM 867224107 301 7057 SH DFND 1,2 6826 0 231 SUNTRUST BANKS INC COM 867914103 903 22546 SH DFND 1,2 1926 0 20620 SUPERIOR ENERGY COM 868157108 989 27370 SH DFND 1 0 0 27370 SWIFT ENERGY COMPANY COM 870738101 267 20555 SH DFND 1 0 0 20555 SYMANTEC CORP COM 871503108 409 17878 SH DFND 1 0 0 17878 SYNCHRONOSS TECHNOLOGIES COM 87157B103 649 18555 SH DFND 1 0 0 18555 SYNNEX CORP COM 87162W100 450 6182 SH DFND 1 0 0 6182 SYNTEL INC COM 87162H103 365 4249 SH DFND 1 0 0 4249 SYSCO CORP COM 871829107 12531 334605 SH DFND 1,2 274118 0 60487 TAL INTERNATIONAL GROUP COM 874083108 339 7632 SH DFND 1 0 0 7632 TARGET CORP COM 87612E106 825 14243 SH DFND 1,2 6492 0 7751 TE CONNECTIVITY LTD REG SHS H84989104 61296 991204 SH DFND 1,2 753670 0 237534 TELEFONICA S A SPONSORED ADR 879382208 269 15680 SH DFND 1 0 0 15680 TEMPLETON DRAGON COM 88018T101 490 18964 SH DFND 1 0 0 18964 TEMPLETON GLOBAL INCOME COM 880198106 805 97473 SH DFND 1,2 14857 0 82616 TERADYNE INC COM 880770102 664 33896 SH DFND 1 0 0 33896 TEREX CORP NEW COM 880779103 405 9858 SH DFND 1 0 0 9858 TESCO CORP COM 88157K101 785 36786 SH DFND 1 0 0 36786 TESORO CORP COM 881609101 349 5955 SH DFND 1 0 0 5955 TETRA TECH INC NEW COM 88162G103 456 16593 SH DFND 1 0 0 16593 TEVA PHARMACEUTICAL INDS ADR 881624209 377 7200 SH DFND 1,2 3855 0 3345 TEXAS INSTRUMENTS INC COM 882508104 914 19124 SH DFND 1,2 13102 0 6022 THERMO FISHER COM 883556102 536 4542 SH DFND 1 0 0 4542 TIFFANY AND COMPANY NEW COM 886547108 503 5018 SH DFND 1 0 0 5018 TJX COMPANIES INC NEW COM 872540109 50237 945179 SH DFND 1,2 748404 0 196775 TOOTSIE ROLL INDS INC COM COM 890516107 492 16718 SH DFND 2 16718 0 0 TORTOISE ENERGY * COM 89147L100 9005 182098 SH DFND 1,2 100 0 181998 TOTAL S A SPONSORED ADR 89151E109 653 9038 SH DFND 1,2 300 0 8738 TRANSCANADA CORP COM 89353D107 465 9744 SH DFND 1,2 200 0 9544 TRANSOCEAN LIMITED REG SHS H8817H100 963 21381 SH DFND 1,2 200 0 21181 TRAVELERS COMPANIES INC COM 89417E109 1877 19950 SH DFND 1,2 18051 0 1899 TRINITY INDUSTRIES INC COM 896522109 3096 70815 SH DFND 1 0 0 70815 TRIUMPH GROUP INC COM 896818101 208 2981 SH DFND 1 0 0 2981 TWENTY FIRST CENTURY FOX CL B 90130A200 685 20000 SH DFND 1 0 0 20000 U S BANCORP DE NEW COM NEW 902973304 82783 1910954 SH DFND 1,2 1419402 0 491552 UNDER ARMOUR INC CL A 904311107 256 4305 SH DFND 1 0 0 4305 UNIFIRST CORP COM 904708104 466 4396 SH DFND 1 0 0 4396 UNILEVER N V N Y SHS NEW 904784709 442 10099 SH DFND 1,2 150 0 9949 UNILEVER PLC SPON ADR NEW 904767704 964 21270 SH DFND 1,2 3000 0 18270 UNION PACIFIC CORP COM 907818108 3266 32739 SH DFND 1,2 22368 0 10371 UNITED PARCEL SERVICE CL B 911312106 1252 12197 SH DFND 1,2 1400 0 10797 UNITED RENTALS INC COM 911363109 694 6624 SH DFND 1 0 0 6624 UNITED STATES STEEL CORP COM 912909108 503 19320 SH DFND 1 0 0 19320 UNITED STATIONERS INC COM 913004107 604 14565 SH DFND 1 0 0 14565 UNITED TECHNOLOGIES CORP COM 913017109 2517 21804 SH DFND 1,2 8797 0 13007 UNITEDHEALTH GROUP INC COM 91324P102 674 8239 SH DFND 1 0 0 8239 URS CORP NEW COM 903236107 250 5443 SH DFND 1 0 0 5443 V F CORP COM 918204108 907 14391 SH DFND 1 720 0 13671 VALERO ENERGY CORP COM 91913Y100 2196 43834 SH DFND 1,2 300 0 43534 VALERO ENERGY PARTNERS COM UNT REP LP 91914J102 291 5785 SH DFND 1 0 0 5785 VANGUARD ALLWRLD EX US 922042775 6157 117739 SH DFND 1,2 100806 0 16933 VANGUARD DIVIDEND DIV APP ETF 921908844 3189 40917 SH DFND 1,2 29971 0 10946 VANGUARD FTSE DEVELOPED FTSE DEV MKT ETF 921943858 38031 892956 SH DFND 1,2 635234 0 257722 VANGUARD FTSE EMERGING FTSE EMR MKT ETF 922042858 28231 654565 SH DFND 1,2 291084 0 363481 VANGUARD GROWTH ETF GROWTH ETF 922908736 468 4728 SH DFND 1,2 4175 0 553 VANGUARD HEALTH CARE ETF HEALTH CAR ETF 92204A504 267 2395 SH DFND 1 0 0 2395 VANGUARD INDEX FDS VANGUARD LARGE LARGE CAP ETF 922908637 644 7150 SH DFND 2 7150 0 0 VANGUARD INTERMEDIATE INTERMED TERM 921937819 394 4650 SH DFND 1 0 0 4650 VANGUARD LONG TERM LONG TERM BOND 921937793 264 2937 SH DFND 1 0 0 2937 VANGUARD MEGA CAP ETF MEGA CAP INDEX 921910873 1233 18415 SH DFND 2 18415 0 0 VANGUARD MID CAP ETF MID CAP ETF 922908629 9250 77947 SH DFND 1,2 75606 0 2341 VANGUARD NATURAL RES COM UNIT 92205F106 445 13825 SH DFND 1,2 175 0 13650 VANGUARD REIT INDEX ETF REIT ETF 922908553 7028 93905 SH DFND 1,2 41812 0 52093 VANGUARD S&P 500 S&P 500 ETF SHS 922908363 728 4057 SH DFND 1,2 3284 0 773 VANGUARD SCOTTSDALE FDS LG TERM COR LG-TERM COR BD 92206C813 7455 82600 SH DFND 2 82600 0 0 VANGUARD SHORT TERM SHORT TRM BOND 921937827 41491 516442 SH DFND 1,2 383068 0 133374 VANGUARD SHORT TERM CORP SHRT TRM CORP BD 92206C409 7147 88921 SH DFND 1 0 0 88921 VANGUARD SMALL CAP SML CP GRW ETF 922908595 7957 62462 SH DFND 1,2 4220 0 58242 VANGUARD SMALL CAP ETF SMALL CP ETF 922908751 8703 74308 SH DFND 1,2 72146 0 2162 VANGUARD SMALL CAP VALUE SM CP VAL ETF 922908611 1118 10599 SH DFND 1,2 3302 0 7297 VANGUARD TOTAL BOND TOTAL BND MRKT 921937835 459 5578 SH DFND 1,2 3806 0 1772 VANGUARD TOTAL STOCK TOTAL STK MKT 922908769 991 9742 SH DFND 1,2 436 0 9306 VANGUARD TOTAL WORLD TT WRLD ST ETF 922042742 263 4230 SH DFND 1 0 0 4230 VANGUARD VALUE ETF VALUE ETF 922908744 426 5261 SH DFND 1,2 4950 0 311 VECTREN CORP COM 92240G101 846 19899 SH DFND 1,2 7108 0 12791 VENTAS INC * COM 92276F100 913 14250 SH DFND 1,2 7750 0 6500 VERISIGN INC COM 92343E102 2232 45722 SH DFND 1 0 0 45722 VERIZON COMMUNICATIONS COM 92343V104 10105 206514 SH DFND 1,2 91706 0 114808 VIACOM INC CL B NEW CL B 92553P201 633 7303 SH DFND 1,2 969 0 6334 VIAD CORP NEW COM NEW 92552R406 366 15356 SH DFND 1 0 0 15356 VISA INC CLASS A COM CL A 92826C839 1381 6554 SH DFND 1,2 1070 0 5484 VISHAY INTERTECHNOLOGY COM 928298108 822 53063 SH DFND 1 0 0 53063 VMWARE INC CLASS A CL A COM 928563402 437 4517 SH DFND 1 0 0 4517 WABCO HOLDINGS INC COM 92927K102 362 3392 SH DFND 1 0 0 3392 WADDELL & REED FINANCIAL CL A 930059100 281 4492 SH DFND 1 0 0 4492 WALGREEN COMPANY COM 931422109 24191 326333 SH DFND 1,2 277706 0 48627 WAL-MART STORES INC COM 931142103 48322 643697 SH DFND 1,2 508284 0 135413 WATERS CORP COM 941848103 4664 44654 SH DFND 1,2 35882 0 8772 WELLPOINT INC COM 94973V107 834 7746 SH DFND 1,2 2568 0 5178 WELLS FARGO & CO NEW COM 949746101 81291 1546640 SH DFND 1,2 1189947 0 356693 WELLS FARGO & COMPANY PERP PFD CNV A 949746804 1074 884 SH DFND 1,2 155 0 729 WESTERN ASSET CLAYMORE * COM SH BEN INT 95766Q106 1360 111210 SH DFND 1 0 0 111210 WESTERN ASSET GLOBAL COM 95790C107 878 46953 SH DFND 1 0 0 46953 WESTERN ASSET/CLAYMORE COM 95766R104 1355 110063 SH DFND 1 0 0 110063 WESTERN DIGITAL CORP COM 958102105 843 9131 SH DFND 1 0 0 9131 WESTERN UNION COMPANY COM 959802109 321 18518 SH DFND 1,2 1650 0 16868 WESTPAC BANKING CORP SPONSORED ADR 961214301 324 10088 SH DFND 1 0 0 10088 WEYERHAEUSER COMPANY COM 962166104 234 7071 SH DFND 1,2 5876 0 1195 WGL HOLDINGS INC COM 92924F106 306 7110 SH DFND 1,2 650 0 6460 WHITESTONE REIT * COM 966084204 260 17432 SH DFND 1 0 0 17432 WILLIAMS COS INC DEL COM 969457100 239 4102 SH DFND 1 0 0 4102 WINDSTREAM HOLDINGS INC COM 97382A101 138 13842 SH DFND 1,2 2036 0 11806 WISDOMTREE EUROPE EUROPE SMCP DV 97717W869 609 10068 SH DFND 1 0 0 10068 WISDOMTREE MID CAP MDCP EARN FUND 97717W570 319 3452 SH DFND 1 0 0 3452 WORTHINGTON COM 981811102 2538 58974 SH DFND 1 0 0 58974 YAHOO INC COM 984332106 1008 28684 SH DFND 1,2 260 0 28424 YUM BRANDS INC COM 988498101 1157 14252 SH DFND 1,2 11145 0 3107 ZIMMER HOLDINGS INC COM 98956P102 1613 15528 SH DFND 1,2 11329 0 4199 ZOETIS INC CL A CL A 98978V103 306 9473 SH DFND 1,2 239 0 9234