Manager

0000891092-17-003789.txt : 20170508 0000891092-17-003789.hdr.sgml : 20170508 20170508144048 ACCESSION NUMBER: 0000891092-17-003789 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170508 DATE AS OF CHANGE: 20170508 EFFECTIVENESS DATE: 20170508 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: 17821745 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 03-31-2017 03-31-2017 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 05-05-2017 5 653 4871662 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. Employee Stock Ownership Trust 5 0001125816 028-06487 FIRST TRUST ADVISORS LP INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 33888 177118 SH DFND 1,2 139282 0 37836 A O SMITH COM 831865209 607 11853 SH DFND 1 0 0 11853 ABBOTT LABORATORIES COM 002824100 13679 308026 SH DFND 1,2 216536 0 91490 ABBVIE INC COM 00287Y109 27262 418383 SH DFND 1,2 286834 0 131549 ABERDEEN GREATER CHINA COM 003031101 158 15131 SH DFND 1 0 0 15131 ABIOMED INC COM 003654100 3439 27469 SH DFND 1 25384 0 2085 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 9841 82094 SH DFND 1,2 69253 0 12841 ACTIVISION BLIZZARD INC COM 00507V109 575 11533 SH DFND 1,2 162 0 11371 ADAMS NATURAL COM 00548F105 931 47948 SH DFND 1 0 0 47948 ADOBE SYSTEMS INC COM 00724F101 425 3264 SH DFND 1 0 0 3264 AEGION CORP COM 00770F104 669 29222 SH DFND 1 0 0 29222 AETNA INC(NEW) COM 00817Y108 668 5240 SH DFND 1 0 0 5240 AFFILIATED MANAGERS COM 008252108 4882 29782 SH DFND 1 16382 0 13400 AFLAC INC COM 001055102 1190 16432 SH DFND 1,2 6265 0 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2005 33970 SH DFND 1,2 23382 0 10588 GENERAL MOTORS CO COM 37045V100 2436 68882 SH DFND 1,2 7666 0 61216 GENERAL MOTORS CO WTS *W EXP 07/10/2019 37045V126 475 26629 SH DFND 1,2 54 0 26575 GENL DYNAMICS CORP COM 369550108 1032 5510 SH DFND 1,2 2787 0 2723 GENUINE PARTS CO COM COM 372460105 1263 13666 SH DFND 1,2 765 0 12901 GERMAN AMERN BANCORP COM 373865104 454 9597 SH DFND 1,2 8674 0 923 GILEAD SCIENCES INC COM 375558103 4133 60857 SH DFND 1,2 22929 0 37928 GLADSTONE CAPITAL CORP COM 376535100 106 11176 SH DFND 1 0 0 11176 GLADSTONE COMMERCIAL COM 376536108 777 37578 SH DFND 1,2 5423 0 32155 GLAXOSMITHKLINE PLC-ADR SPONSORED ADR 37733W105 2684 63651 SH DFND 1,2 20982 0 42669 GLOBAL SOURCES LTD ORD ORD G39300101 1794 217404 SH DFND 2 217404 0 0 GOLAR LNG LTD SHS G9456A100 718 25701 SH DFND 1 0 0 25701 GOLDCORP INC COM 380956409 280 19193 SH DFND 1 200 0 18993 GOLDMAN SACHS GROUP INC COM 38141G104 3756 16351 SH DFND 1,2 228 0 16123 GOODYEAR TIRE & RUBBER COM 382550101 798 22179 SH DFND 1,2 810 0 21369 GRACO INCORPORATED COM COM 384109104 3226 34262 SH DFND 1 27887 0 6375 GUGGENHEIM ETF GUG S&P500 EQ WT 78355W106 3564 39237 SH DFND 1 0 0 39237 GUGGENHEIM S&P 500 ETF GUG S&P500 PU GR 78355W403 2800 31223 SH DFND 1 0 0 31223 HALLIBURTON COMPANY COM 406216101 2392 48618 SH DFND 1,2 1548 0 47070 HANESBRANDS INC COM 410345102 945 45512 SH DFND 1,2 619 0 44893 HARLEY DAVIDSON INC COM 412822108 67020 1107773 SH DFND 1,2 852580 0 255193 HASBRO INC COM 418056107 272 2728 SH DFND 1,2 948 0 1780 HCA HOLDINGS INC COM 40412C101 240 2695 SH DFND 1,2 635 0 2060 HCP INC COM 40414L109 1268 40538 SH DFND 1 100 0 40438 HERSHEY COMPANY COM 427866108 3104 28412 SH DFND 1,2 17947 0 10465 HEWLETT PACKARD COM 42824C109 303 12788 SH DFND 1,2 8646 0 4142 HILLENBRAND INC COM 431571108 935 26081 SH DFND 1,2 1900 0 24181 HOLLYFRONTIER CORP COM 436106108 558 19691 SH DFND 1 0 0 19691 HOME DEPOT INC COM 437076102 219839 1497227 SH DFND 1,2 1200067 400 296760 HONEYWELL INTERNATIONAL COM 438516106 7223 57838 SH DFND 1,2 34983 0 22855 HORIZON PHARMA PLC SHS G4617B105 344 23300 SH DFND 1 0 0 23300 HP INC COM 40434L105 260 14559 SH DFND 1,2 9641 0 4918 HUBBELL INC COM 443510607 1002 8350 SH DFND 1,2 8200 0 150 HUMANA INC COM 444859102 1627 7895 SH DFND 1,2 6316 0 1579 ICON PLC SHS G4705A100 315 3955 SH DFND 1 0 0 3955 ILLINOIS TOOL WORKS INC COM 452308109 8473 63963 SH DFND 1,2 50681 0 13282 INDUSTRIAL SELECT ETF SBI INT-INDS 81369Y704 4508 69298 SH DFND 1 0 0 69298 INGERSOLL-RAND PLC SHS G47791101 3697 45464 SH DFND 1,2 4072 0 41392 INGREDION INCORPORATED COM 457187102 327 2718 SH DFND 1,2 1285 0 1433 INTEL CORP COM 458140100 11329 314076 SH DFND 1,2 148167 0 165909 INTELLIPHARMACEUTICS INTL INC COM COM 458173101 83 33000 SH DFND 2 33000 0 0 INTERCONTINENTAL EXCH COM 45866F104 1394 23287 SH DFND 1,2 1440 0 21847 INTERNATIONAL BUSINESS COM 459200101 73815 423877 SH DFND 1,2 343933 0 79944 INTERNATIONAL PAPER CO COM 460146103 2270 44712 SH DFND 1,2 475 0 44237 INTERPUBLIC GRP CO INC COM 460690100 771 31386 SH DFND 1 0 0 31386 INTUIT INC COM 461202103 947 8169 SH DFND 1,2 1363 0 6806 IONIS PHARMACEUTICALS COM 462222100 261 6500 SH DFND 1 0 0 6500 ISHARES 0-5 YEAR ETF 0-5YR INVT GR CP 46434V100 860 17070 SH DFND 1 0 0 17070 ISHARES 20 YR TR BD ETF 464287432 225 1864 SH DFND 1 0 0 1864 ISHARES COHEN&STEERS ETF COHEN&STEER REIT 464287564 3123 31305 SH DFND 1 0 0 31305 ISHARES CORE MSCI ETF CORE MSCI EAFE 46432F842 270 4667 SH DFND 1 0 0 4667 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 33926 142983 SH DFND 1,2 48660 0 94323 ISHARES CORE S&P ETF CORE S&P SCP ETF 464287804 7515 108662 SH DFND 1,2 4372 0 104290 ISHARES CORE S&P MIDCAP CORE S&P MCP ETF 464287507 3801 22199 SH DFND 1,2 2295 0 19904 ISHARES CORE U.S. ETF CORE US AGGBD ET 464287226 10962 101042 SH DFND 1,2 5685 0 95357 ISHARES EDGE MSCI ETF MIN VOL EMRG MKT 464286533 526 9838 SH DFND 1 0 0 9838 ISHARES EDGE MSCI ETF MIN VOL USA ETF 46429B697 3202 67110 SH DFND 1 0 0 67110 ISHARES ETF GLB HGH YLD ETF 464286178 322 6516 SH DFND 1 0 0 6516 ISHARES ETF EM HGHYL BD ETF 464286285 325 6519 SH DFND 1 0 0 6519 ISHARES ETF NA NAT RES 464287374 3701 107990 SH DFND 1 0 0 107990 ISHARES ETF LATN AMER 40 ETF 464287390 286 9027 SH DFND 1 0 0 9027 ISHARES ETF 7-10YR TR BD ETF 464287440 2133 20195 SH DFND 1 0 0 20195 ISHARES ETF 1-3 YR TR BD ETF 464287457 1693 20025 SH DFND 1,2 4750 0 15275 ISHARES ETF RUS MD CP GR ETF 464287481 1624 15649 SH DFND 1,2 4523 0 11126 ISHARES ETF RUS 1000 VAL ETF 464287598 4741 41251 SH DFND 1,2 17483 0 23768 ISHARES ETF RUS 1000 GRW ETF 464287614 5786 50846 SH DFND 1,2 19994 0 30852 ISHARES ETF RUS 1000 ETF 464287622 1025 7808 SH DFND 1,2 285 0 7523 ISHARES ETF RUS 2000 VAL ETF 464287630 724 6128 SH DFND 1,2 6038 0 90 ISHARES ETF RUSSELL 2000 ETF 464287655 7782 56603 SH DFND 1,2 41309 0 15294 ISHARES ETF U.S. TECH ETF 464287721 250 1853 SH DFND 1 0 0 1853 ISHARES ETF SP SMCP600VL ETF 464287879 289 2085 SH DFND 1,2 1756 0 329 ISHARES ETF SP SMCP600GR ETF 464287887 555 3624 SH DFND 1,2 1224 0 2400 ISHARES ETF INTL TREA BD ETF 464288117 660 7221 SH DFND 1 0 0 7221 ISHARES ETF INTL SEL DIV ETF 464288448 458 14564 SH DFND 1,2 170 0 14394 ISHARES ETF INTERM CR BD ETF 464288638 3434 31519 SH DFND 1,2 5534 0 25985 ISHARES ETF 1-3 YR CR BD ETF 464288646 8795 83576 SH DFND 1,2 24293 410 58873 ISHARES ETF U.S. PFD STK ETF 464288687 1401 36203 SH DFND 1,2 1260 0 34943 ISHARES ETF U.S. AER&DEF ETF 464288760 322 2163 SH DFND 1 0 0 2163 ISHARES ETF EAFE VALUE ETF 464288877 454 9024 SH DFND 1,2 1998 0 7026 ISHARES ETF EAFE GRWTH ETF 464288885 463 6667 SH DFND 1,2 607 0 6060 ISHARES ETF FLTG RATE BD ETF 46429B655 763 15001 SH DFND 1 0 0 15001 ISHARES ETF CORE HIGH DV ETF 46429B663 274 3268 SH DFND 1 0 0 3268 ISHARES GOLD TR ISHARES 464285105 412 34280 SH DFND 2 34280 0 0 ISHARES IBOXX $ ETF IBOXX HI YD ETF 464288513 633 7211 SH DFND 1,2 445 0 6766 ISHARES IBOXX & ETF IBOXX INV CP ETF 464287242 339 2874 SH DFND 1,2 109 0 2765 ISHARES JP MORGAN ETF JP MOR EM MK ETF 464288281 1211 10655 SH DFND 1 0 0 10655 ISHARES MSCI BRAZIL ETF MSCI BRZ CAP ETF 464286400 270 7205 SH DFND 1 0 0 7205 ISHARES MSCI EAFE INDEX MSCI EAFE ETF 464287465 14169 227469 SH DFND 1,2 113571 0 113898 ISHARES MSCI ETF MSCI EURZONE ETF 464286608 1012 26890 SH DFND 1 0 0 26890 ISHARES MSCI ETF MSCI EMG MKT ETF 464287234 1578 40063 SH DFND 1,2 21508 0 18555 ISHARES RUSSELL 2000 GROWTH ETF RUS 2000 GRW ETF 464287648 288 1779 SH DFND 2 1779 0 0 ISHARES RUSSELL ETF RUS MDCP VAL ETF 464287473 2985 35963 SH DFND 1,2 11514 0 24449 ISHARES RUSSELL ETF RUS MID CAP ETF 464287499 23735 126799 SH DFND 1,2 98628 0 28171 ISHARES S&P 500 ETF S&P 500 GRWT ETF 464287309 5439 41351 SH DFND 1,2 982 0 40369 ISHARES S&P MIDCAP ETF S&P MC 400GR ETF 464287606 2456 12867 SH DFND 1,2 3539 0 9328 ISHARES S&P MIDCAP ETF S&P MC 400VL ETF 464287705 1334 8986 SH DFND 1,2 4872 0 4114 ISHARES S&P500 VALUE ETF S&P 500 VAL ETF 464287408 3097 29765 SH DFND 1,2 2839 0 26926 ISHARES SELECT ETF SELECT DIVID ETF 464287168 1159 12722 SH DFND 1,2 2400 0 10322 ISHARES TIP BOND ETF TIPS BD ETF 464287176 2466 21513 SH DFND 1,2 17102 0 4411 J M SMUCKER CO COM NEW 832696405 1671 12745 SH DFND 1,2 3420 0 9325 JACK HENRY & ASSOC INC COM 426281101 1883 20230 SH DFND 1,2 19651 0 579 JACK IN THE BOX INC COM 466367109 229 2250 SH DFND 1 0 0 2250 JACOBS ENGINEERNG GROUP COM 469814107 3947 71409 SH DFND 1,2 45748 0 25661 JOHNSON & JOHNSON COM 478160104 194850 1564427 SH DFND 1,2 1244499 400 319528 JOHNSON CTLS INTL PLC SHS G51502105 1283 30458 SH DFND 1,2 3204 0 27254 JONES LANG LASALLE INC COM 48020Q107 487 4368 SH DFND 1 0 0 4368 JPMORGAN CHASE & CO COM 46625H100 207610 2363510 SH DFND 1,2 1887338 350 475822 JUNIPER NETWORK INC COM 48203R104 289 10375 SH DFND 1 0 0 10375 KAYNE ANDERSON MLP COM 486606106 593 28241 SH DFND 1 0 0 28241 KB HOME COM 48666K109 7548 379691 SH DFND 1 149412 0 230279 KELLOGG COMPANY COM 487836108 1472 20265 SH DFND 1,2 3459 0 16806 KIMBERLY-CLARK CORP COM 494368103 4412 33515 SH DFND 1,2 18098 0 15417 KINDER MORGAN INC DEL COM 49456B101 1538 70766 SH DFND 1,2 3111 0 67655 KKR & CO L P DEL COM UNITS 48248M102 517 28365 SH DFND 1 0 0 28365 KLA-TENCOR CORP COM 482480100 209 2202 SH DFND 1,2 700 0 1502 KRAFT HEINZ CO COM 500754106 7055 77685 SH DFND 1,2 24794 0 52891 KROGER COMPANY COMMON COM 501044101 4625 156823 SH DFND 1,2 9637 0 147186 LABORATORY CORP OF COM NEW 50540R409 482 3360 SH DFND 1 0 0 3360 LAM RESEARCH CORP COM 512807108 6667 51935 SH DFND 1,2 340 0 51595 LAMAR ADVERTISING CO NEW CL A 512816109 217 2905 SH DFND 1 0 0 2905 LEAR CORP COM NEW 521865204 496 3504 SH DFND 1 0 0 3504 LEGGETT & PLATT INC COM 524660107 294 5848 SH DFND 1,2 1665 0 4183 LINCOLN NATL CORP IND COM 534187109 362 5527 SH DFND 1,2 550 0 4977 LOCKHEED MARTIN CORP COM 539830109 2831 10578 SH DFND 1,2 6997 0 3581 LOEWS CORPORATION COM 540424108 489 10447 SH DFND 1,2 10155 0 292 LOUISIANA PACIFIC CORP COM 546347105 248 10000 SH DFND 1 0 0 10000 LOWES COMPANIES INC COM 548661107 3631 44172 SH DFND 1,2 12624 0 31548 LTC PROPERTIES INC COM 502175102 218 4558 SH DFND 1,2 2700 0 1858 MAIN STREET CAPITAL CORP COM 56035L104 1357 35466 SH DFND 1 0 0 35466 MARATHON OIL CORP COM 565849106 1369 86643 SH DFND 1,2 4911 0 81732 MARATHON PETROLEUM CORP COM 56585A102 958 18956 SH DFND 1,2 9987 0 8969 MARRIOTT INTL INC NEW CL A 571903202 1674 17768 SH DFND 1 0 0 17768 MARSH AND MC LENNAN COM 571748102 410 5548 SH DFND 1,2 2300 0 3248 MASTERCARD INC CL A CL A 57636Q104 1711 15215 SH DFND 1,2 950 0 14265 MATADOR RESOURCES CO COM 576485205 423 17767 SH DFND 1 0 0 17767 MATTEL INCORPORATED COM 577081102 53898 2104564 SH DFND 1,2 1761019 0 343545 MCDONALDS CORP COM 580135101 12210 94207 SH DFND 1,2 62547 0 31660 MCKESSON CORPORATION COM 58155Q103 501 3382 SH DFND 1,2 35 0 3347 MEAD JOHNSON COM 582839106 587 6589 SH DFND 1 0 0 6589 MEDIFAST INC COM 58470H101 359 8088 SH DFND 1 0 0 8088 MEDLEY CAPITAL CORP COM 58503F106 190 24647 SH DFND 1 0 0 24647 MEDTRONIC PLC SHS G5960L103 527 6537 SH DFND 1,2 1366 0 5171 MERCK & CO INC NEW COM 58933Y105 14326 225470 SH DFND 1,2 141230 0 84240 MERIDIAN BIOSCIENCE COM 589584101 193 13950 SH DFND 1,2 0 0 13950 METLIFE INC COM 59156R108 378 7158 SH DFND 1,2 596 0 6562 MICRON TECHNOLOGY INC COM 595112103 305 10549 SH DFND 1 0 0 10549 MICROSOFT CORP COM 594918104 163730 2486033 SH DFND 1,2 1961226 1240 523567 MID-AMER APT COMMUNITIES COM 59522J103 323 3175 SH DFND 1,2 2711 0 464 MOHAWK INDS INC COM 608190104 3343 14566 SH DFND 1,2 4 0 14562 MONDELEZ INTL INC CL A 609207105 6814 158175 SH DFND 1,2 58155 0 100020 MONOLITHIC POWER SYSTEMS COM 609839105 7390 80234 SH DFND 1 38784 0 41450 MONSANTO CO NEW COM 61166W101 864 7633 SH DFND 1,2 1650 0 5983 MONSTER BEVERAGE CORP COM 61174X109 289 6266 SH DFND 1 0 0 6266 MSCI INC COM 55354G100 7301 75117 SH DFND 1 36102 0 39015 MULTI-COLOR CORP COM 625383104 539 7594 SH DFND 1 0 0 7594 NACCO INDS INC CL A CL A 629579103 454 6506 SH DFND 2 0 0 6506 NATIONAL FUEL GAS CO COM 636180101 249 4184 SH DFND 1 0 0 4184 NATIONAL HEALTH INVS INC COM 63633D104 480 6611 SH DFND 1 0 0 6611 NAUTILUS INC COM 63910B102 1939 106262 SH DFND 1 94295 0 11967 NEW YORK COMMUNITY COM 649445103 1227 87799 SH DFND 1 0 0 87799 NEWMONT MINING CORP NEW COM 651639106 241 7322 SH DFND 1,2 6823 0 499 NEXTERA ENERGY INC COM 65339F101 5948 46331 SH DFND 1,2 11741 0 34590 NIELSEN HOLDINGS PLC SHS EUR G6518L108 495 11976 SH DFND 1,2 102 0 11874 NIKE INC CLASS B CL B 654106103 7221 129577 SH DFND 1,2 110317 0 19260 NORFOLK SOUTHERN CORP COM 655844108 1869 16687 SH DFND 1,2 8667 0 8020 NORTHERN DYNASTY MINERALS LTD COM COM NEW 66510M204 36 25000 SH DFND 2 25000 0 0 NORTHERN TRUST CORP COM 665859104 59754 690160 SH DFND 1,2 568495 175 121490 NORTHROP GRUMMAN CORP COM 666807102 349 1468 SH DFND 1,2 1409 0 59 NORTHWEST BANCSHARES INC COM 667340103 1160 68894 SH DFND 1 0 0 68894 NOVARTIS AG SPONSORED ADR 66987V109 1478 19894 SH DFND 1,2 7611 0 12283 NOVO NORDISK A S ADR ADR 670100205 856 24979 SH DFND 1,2 5525 0 19454 NUVEEN FLOATING RATE COM 67072T108 784 68100 SH DFND 1 0 0 68100 NUVEEN PREFERRED COM 67072C105 97 10215 SH DFND 1,2 6116 0 4099 NUVEEN S&P 500 COM 6706ER101 218 16471 SH DFND 1 0 0 16471 NUVEEN TAX ADVANTAGED COM 67090H102 488 39900 SH DFND 1 0 0 39900 NVIDIA CORP COM 67066G104 7009 64346 SH DFND 1 0 0 64346 NXP SEMICONDUCTORS NV COM N6596X109 2431 23487 SH DFND 1,2 371 0 23116 OAKTREE CAPITAL GROUP UNIT CL A 674001201 566 12499 SH DFND 1 0 0 12499 OCCIDENTAL PETE CORP COM 674599105 744 11746 SH DFND 1,2 3841 0 7905 OLD DOMINION FREIGHT COM 679580100 2981 34832 SH DFND 1 29709 0 5123 OLD NATL BANCORP IND COM 680033107 294 16954 SH DFND 1,2 2220 0 14734 OMEGA HEALTHCARE COM 681936100 9472 287118 SH DFND 1,2 3850 0 283268 OMNICOM GROUP COM 681919106 95718 1110284 SH DFND 1,2 917942 0 192342 ONEMAIN HLDGS INC COM 68268W103 417 16800 SH DFND 1 0 0 16800 ONEOK INC NEW COM 682680103 279 5035 SH DFND 1 0 0 5035 ORACLE CORPORATION COM 68389X105 1286 28819 SH DFND 1,2 17987 0 10832 O'REILLY AUTOMOTIVE INC COM 67103H107 534 1978 SH DFND 1,2 569 0 1409 P P G INDUSTRIES INC COM 693506107 2801 26654 SH DFND 1,2 22645 0 4009 PACKAGING CORP OF AMER COM 695156109 3625 39563 SH DFND 1 0 0 39563 PAPA JOHNS INTL INC COM 698813102 565 7060 SH DFND 1,2 4000 0 3060 PAYCHEX INC COM 704326107 6349 107799 SH DFND 1,2 104524 250 3025 PEPSICO INCORPORATED COM 713448108 40174 359144 SH DFND 1,2 278158 250 80736 PERITUS HIGH YIELD ETF PERITUS HG YLD 00768Y503 299 8390 SH DFND 1 0 0 8390 PFIZER INCORPORATED COM 717081103 109036 3187241 SH DFND 1,2 2454199 525 732518 PHILIP MORRIS COM 718172109 13848 122653 SH DFND 1,2 80571 0 42082 PHILLIPS 66 COM 718546104 1650 20824 SH DFND 1,2 6273 0 14551 PIMCO 0-5 YEAR HIGH ETF 0-5 HIGH YIELD 72201R783 773 7645 SH DFND 1 0 0 7645 PIMCO INVESTMENT ETF INV GRD CRP BD 72201R817 4122 40015 SH DFND 1 0 0 40015 PIMCO TOTAL RETURN ETF TTL RTN ACTV ETF 72201R775 4344 41248 SH DFND 1 0 0 41248 PLANET FITNESS INC CL A CL A 72703H101 1278 66335 SH DFND 1 0 0 66335 PNC FINANCIAL SERVICES COM 693475105 18818 156503 SH DFND 1,2 140688 0 15815 PNM RESOURCES INC COM 69349H107 909 24578 SH DFND 1 0 0 24578 POLARIS INDS INC COM 731068102 427 5099 SH DFND 1 0 0 5099 POLYONE CORPORATION COM 73179P106 505 14800 SH DFND 1 0 0 14800 POOL CORP COM 73278L105 1185 9932 SH DFND 1 0 0 9932 POWERSHARES DB ETF UNIT BEN INT 73935S105 387 25474 SH DFND 1 0 0 25474 POWERSHARES DWA ETF DWA MOMENTUM PTF 73935X153 349 7714 SH DFND 1 0 0 7714 POWERSHARES DWA TACT ETF DWA TACT MLT 73937B399 1198 42811 SH DFND 1 0 0 42811 POWERSHARES EM MAR ETF SOVEREIGN DEBT 73936T573 343 11804 SH DFND 1 0 0 11804 POWERSHARES FTSE ETF EMER MRKT PORT 73936T763 1111 56001 SH DFND 1 0 0 56001 POWERSHARES HIGH YIELD HI YLD EQ DVDN 73935X302 1243 72809 SH DFND 1 0 0 72809 POWERSHARES INTL DIVD INTL DIV ACHV 73935X716 773 51411 SH DFND 1 0 0 51411 POWERSHARES QQQ TR ETF UNIT SER 1 73935A104 3721 28111 SH DFND 1,2 10900 0 17211 POWERSHARES S&P 500 ETF S&P 500 QLTY PRT 73935X682 1483 54196 SH DFND 1 0 0 54196 POWERSHARES S&P 500 ETF PWRSHS SP500 LOW 73937B654 266 6570 SH DFND 1 0 0 6570 POWERSHARES S&P 500 ETF S&P500 LOW VOL 73937B779 2352 54102 SH DFND 1 1000 0 53102 POWERSHARES S&P ETF S&P SMCP HC PO 73937B886 330 4125 SH DFND 1 0 0 4125 POWERSHARES VAR RATE ETF VAR RATE PFD POR 73937B597 1406 55239 SH DFND 1 0 0 55239 PPL CORPORATION COM 69351T106 955 25543 SH DFND 1,2 3480 0 22063 PRA HEALTH SCIENCES INC COM 69354M108 278 4255 SH DFND 1 0 0 4255 PRAXAIR INC COM 74005P104 311 2625 SH DFND 1,2 1579 0 1046 PRICELINE GROUP INC COM NEW 741503403 790 444 SH DFND 1,2 103 0 341 PRIMO WATER CORP COM 74165N105 515 37947 SH DFND 1 0 0 37947 PRINCIPAL FINANCIAL COM 74251V102 210 3329 SH DFND 1,2 670 0 2659 PROCTER & GAMBLE CO COM 742718109 65646 730615 SH DFND 1,2 543793 700 186122 PROGRESS SOFTWARE CORP COM 743312100 2981 102629 SH DFND 1 85804 0 16825 PROGRESSIVE CORP OHIO COM 743315103 77008 1965499 SH DFND 1,2 1543418 675 421406 PROSHARES S&P 500 ETF S&P 500 DV ARIST 74348A467 335 5964 SH DFND 1 0 0 5964 PROSPECT CAPITAL CORP COM 74348T102 2067 228618 SH DFND 1 0 0 228618 PRUDENTIAL FINANCIAL INC COM 744320102 3483 32653 SH DFND 1,2 344 0 32309 PUBLIC SVC ENTERPRISE COM 744573106 301 6780 SH DFND 1,2 3000 0 3780 PULTE GROUP INC COM 745867101 4172 177166 SH DFND 1 0 0 177166 PVH CORP COM 693656100 700 6763 SH DFND 1 0 0 6763 QUALCOMM INC COM 747525103 3707 64653 SH DFND 1,2 30197 0 34456 QUEST DIAGNOSTICS INC COM 74834L100 457 4650 SH DFND 1 0 0 4650 RAYMOND JAMES FINANCIAL COM 754730109 511 6700 SH DFND 1,2 3900 0 2800 RAYTHEON COMPANY COM NEW 755111507 1172 7681 SH DFND 1,2 1058 0 6623 REALTY INCOME CORP COM 756109104 431 7244 SH DFND 1,2 0 0 7244 REGAL ENTERTAINMENT GRP CL A 758766109 1619 71700 SH DFND 1 0 0 71700 REGIONS FINANCIAL CORP COM 7591EP100 319 21959 SH DFND 1,2 450 0 21509 REPUBLIC BANCORP INC KY CL A 760281204 295 8580 SH DFND 1,2 3780 0 4800 REPUBLIC SVCS INC COM 760759100 338 5381 SH DFND 1 245 0 5136 REYNOLDS AMERICAN INC COM 761713106 471 7478 SH DFND 1,2 3070 0 4408 ROBERT HALF INTL INC COM 770323103 1585 32468 SH DFND 1 0 0 32468 ROYAL BANK CANADA COM 780087102 248 3401 SH DFND 1 3201 0 200 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1591 30164 SH DFND 1,2 23013 0 7151 ROYAL GOLD INC COM 780287108 5152 73552 SH DFND 1,2 7475 0 66077 ROYCE MICRO-CAP TRUST INC COM COM 780915104 213 25349 SH DFND 2 25349 0 0 ROYCE VALUE TRUST INC COM 780910105 222 15845 SH DFND 1 0 0 15845 SAIA INC COM 78709Y105 3161 71349 SH DFND 1 65629 0 5720 SANOFI ADR SPONSORED ADR 80105N105 566 12505 SH DFND 1 0 0 12505 SCANA CORP COM COM 80589M102 383 5857 SH DFND 1,2 525 0 5332 SCHLUMBERGER LTD COM 806857108 5332 68276 SH DFND 1,2 59772 0 8504 SCHWAB CHARLES CORP NEW COM 808513105 3311 81132 SH DFND 1,2 325 0 80807 SCHWAB STRATEGIC TR ETF US SML CAP ETF 808524607 269 4275 SH DFND 1 3300 0 975 SCRIPPS NETWORKS CL A COM 811065101 700 8922 SH DFND 1 0 0 8922 SEALED AIR CORP NEW COM 81211K100 203 4647 SH DFND 1 0 0 4647 SECTOR SPDR TR ETF TECHNOLOGY 81369Y803 5765 108137 SH DFND 1,2 1257 0 106880 SELECT SECTOR SPDR ETF SBI INT-FINL 81369Y605 4402 185483 SH DFND 1 0 0 185483 SELECT SECTOR SPDR FD SBI HEALTHCARE 81369Y209 548 7367 SH DFND 1,2 178 0 7189 SELECT SECTOR SPDR FD SBI CONS DISCR 81369Y407 4496 51121 SH DFND 1,2 127 0 50994 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 418 7658 SH DFND 1 0 0 7658 SHERWIN WILLIAMS CO COM 824348106 13147 42382 SH DFND 1,2 36048 0 6334 SHIRE PLC SPONSORED ADR 82481R106 266 1525 SH DFND 1,2 840 0 685 SHOPIFY INC CL A CL A 82509L107 715 10497 SH DFND 1 0 0 10497 SIMON PROPERTY GROUP COM 828806109 342 1990 SH DFND 1 0 0 1990 SIX FLAGS ENTERTAINMENT COM 83001A102 451 7576 SH DFND 1 0 0 7576 SKECHERS USA INC CL A 830566105 2040 74315 SH DFND 1 69343 0 4972 SKYWORKS SOLUTIONS INC COM 83088M102 4511 46038 SH DFND 1 0 0 46038 SNAP-ON INC COM 833034101 1874 11113 SH DFND 1 250 0 10863 SOURCE CAPITAL INC COM 836144105 208 5530 SH DFND 1,2 5530 0 0 SOUTHERN COMPANY/THE COM 842587107 9931 199494 SH DFND 1,2 140292 0 59202 SOUTHWEST AIRLINES CO COM 844741108 4135 76922 SH DFND 1,2 49465 0 27457 SPDR BLOOMBERG ETF BLOOMBERG BRCLYS 78464A417 1757 47575 SH DFND 1 0 0 47575 SPDR BLOOMBERG ETF BLOMBERG BRC SRT 78464A474 4891 159781 SH DFND 1 0 0 159781 SPDR BLOOMBERG ETF BLOMBERG BRC INV 78468R200 678 22056 SH DFND 1 0 0 22056 SPDR DJ WILSHIRE ETF DJ INTL RL ETF 78463X863 2834 75776 SH DFND 1,2 82 0 75694 SPDR DOW JONES INDL ETF UT SER 1 78467X109 542 2628 SH DFND 1,2 2500 0 128 SPDR DOW JONES REIT ETF DJ REIT ETF 78464A607 1076 11664 SH DFND 2 11664 0 0 SPDR GOLD TRUST ETF GOLD SHS 78463V107 573 4828 SH DFND 1,2 2997 0 1831 SPDR NUVEEN S&P HIGH ETF NUV HGHYLD MUN 78464A284 316 5578 SH DFND 1 0 0 5578 SPDR S&P 500 TRUST ETF TR UNIT 78462F103 8008 33970 SH DFND 1,2 4012 0 29958 SPDR S&P BANK ETF S&P BK ETF 78464A797 1138 26485 SH DFND 1 1000 0 25485 SPDR S&P BIOTECH ETF S&P BIOTECH 78464A870 1272 18351 SH DFND 1 0 0 18351 SPDR S&P INTERNATNL ETF S&P INTL ETF 78463X772 906 23782 SH DFND 1 0 0 23782 SPDR S&P MIDCAP 400 ETF UTSER1 S&PDCRP 78467Y107 3113 9964 SH DFND 1,2 1585 0 8379 SPROTT FOCUS TR INC COM 85208J109 124 16710 SH DFND 1,2 11989 0 4721 SSGA ACTIVE ETF TR ETF SPDR TR TACTIC 78467V848 866 17721 SH DFND 1 0 0 17721 STAPLES INC COM 855030102 15158 1728440 SH DFND 1,2 1256830 0 471610 STARBUCKS CORP COM 855244109 5754 98536 SH DFND 1,2 8653 0 89883 STERICYCLE INC COM 858912108 454 5480 SH DFND 1 0 0 5480 STMICROELECTRONICS N V NY REGISTRY 861012102 406 26281 SH DFND 1 0 0 26281 STOCK YARDS BANCORP INC COM 861025104 2419 59503 SH DFND 1,2 24097 0 35406 STRYKER CORP COM 863667101 2125 16141 SH DFND 1,2 7335 0 8806 SUNTRUST BANKS INC COM 867914103 1149 20785 SH DFND 1,2 8175 0 12610 SYNCHRONOSS TECHNLGS INC COM 87157B103 371 15195 SH DFND 1 0 0 15195 SYNCHRONY FINANCIAL COM 87165B103 306 8925 SH DFND 1 0 0 8925 SYNNEX CORP COM 87162W100 3209 28667 SH DFND 1 26667 0 2000 SYSCO CORPORATION COM 871829107 12134 233707 SH DFND 1,2 204003 0 29704 T ROWE PRICE GROUP INC COM 74144T108 475 6963 SH DFND 1,2 2716 0 4247 TARGET CORP COM 87612E106 609 11032 SH DFND 1,2 5279 0 5753 TE CONNECTIVITY LTD REG SHS H84989104 108298 1452685 SH DFND 1,2 1147025 0 305660 TEKLA HEALTHCARE SH BEN INT 87911J103 1338 55656 SH DFND 1 0 0 55656 TEMPLETON EMERGING COM 880192109 454 40399 SH DFND 1 0 0 40399 TEMPLETON GLOBAL INCOME COM 880198106 932 140216 SH DFND 1,2 14857 0 125359 TESLA INC COM 88160R101 298 1071 SH DFND 1,2 11 0 1060 TEVA PHARMACEUTICAL SPONSORED ADR 881624209 505 15723 SH DFND 1 915 0 14808 TEXAS INSTRUMENTS INC COM 882508104 1898 23557 SH DFND 1,2 8470 0 15087 THERMO FISHER SCIENTIFIC COM 883556102 624 4064 SH DFND 1,2 1580 0 2484 TIFFANY & CO NEW COM 886547108 228 2396 SH DFND 1 0 0 2396 TIME WARNER INC NEW COM NEW 887317303 357 3654 SH DFND 1,2 991 0 2663 TIVO CORP COM 88870P106 2798 149246 SH DFND 1 145507 0 3739 TJX COS INC NEW COM 872540109 92958 1175499 SH DFND 1,2 996038 0 179461 TOLL BROTHERS COM 889478103 2762 76485 SH DFND 1 74496 0 1989 TOOTSIE ROLL IND INC COM 890516107 315 8429 SH DFND 1,2 6820 0 1609 TOTAL S.A. SPONS ADR SPONSORED ADR 89151E109 422 8369 SH DFND 1 0 0 8369 TOYOTA MTR CORP ADR SP ADR REP2COM 892331307 620 5704 SH DFND 1,2 367 0 5337 TRACTOR SUPPLY COMPANY COM 892356106 1406 20386 SH DFND 1,2 10032 0 10354 TRANSDIGM GROUP INC COM 893641100 251 1139 SH DFND 1 0 0 1139 TRAVELERS COS INC/ THE COM 89417E109 1284 10652 SH DFND 1,2 8573 0 2079 TREX COMPANY INC COM 89531P105 3234 46610 SH DFND 1 44134 0 2476 TRIANGLE CAPITAL CORP COM 895848109 217 11350 SH DFND 1 0 0 11350 TRINITY INDUSTRIES INC COM 896522109 2484 93563 SH DFND 1 85264 0 8299 TWENTY-FIRST CENTY CL A 90130A101 2819 87025 SH DFND 1,2 69439 0 17586 TWENTY-FIRST CENTY CL B 90130A200 546 17182 SH DFND 1 0 0 17182 TWO HARBORS INVT CORP COM 90187B101 1128 117574 SH DFND 1 0 0 117574 UBS AG LONDON BRH ETN VELOCITYSHS TAIL 90274D168 342 14927 SH DFND 1 0 0 14927 ULTA BEAUTY INC COM 90384S303 3234 11339 SH DFND 1 0 0 11339 UNILEVER N V N Y SHS NEW 904784709 522 10506 SH DFND 1,2 7495 0 3011 UNILEVER PLC SPONS ADR SPON ADR NEW 904767704 1126 22811 SH DFND 1,2 4451 0 18360 UNION PACIFIC CORP COM 907818108 77575 732395 SH DFND 1,2 603100 210 129085 UNITED BANKSHARES INC COM 909907107 970 22950 SH DFND 1 0 0 22950 UNITED PARCEL SERVICE-B CL B 911312106 1673 15594 SH DFND 1,2 4451 0 11143 UNITED RENTALS INC COM 911363109 3239 25905 SH DFND 1 0 0 25905 UNITED TECHNOLOGIES CORP COM 913017109 3584 31943 SH DFND 1,2 16801 0 15142 UNITEDHEALTH GROUP COM 91324P102 2267 13821 SH DFND 1,2 1499 0 12322 US BANCORP NEW COM NEW 902973304 129358 2511801 SH DFND 1,2 1999153 500 512148 US SILICA HOLDINGS INC COM 90346E103 575 11980 SH DFND 1 0 0 11980 V F CORPORATION COM 918204108 651 11846 SH DFND 1,2 970 0 10876 VALERO ENERGY CORP NEW COM 91913Y100 2874 43358 SH DFND 1 35421 0 7937 VANECK VECTORS ETF TRETF GOLD MINERS ETF 92189F106 1512 66266 SH DFND 1,2 5400 0 60866 VANECK VECTORS TR ETF JR GOLD MINERS E 92189F791 317 8800 SH DFND 1,2 2300 0 6500 VANGUARD DIVIDEND ETF DIV APP ETF 921908844 3300 36691 SH DFND 1,2 20681 0 16010 VANGUARD FTSE ETF FTSE DEV MKT ETF 921943858 38781 986805 SH DFND 1,2 692305 0 294500 VANGUARD GLOBAL ETF GLB EX US ETF 922042676 570 10703 SH DFND 1,2 409 0 10294 VANGUARD GROWTH ETF GROWTH ETF 922908736 223 1837 SH DFND 1,2 200 0 1637 VANGUARD HEALTH CARE ETF HEALTH CAR ETF 92204A504 961 6975 SH DFND 1 0 0 6975 VANGUARD HIGH DIVIDEND HIGH DIV YLD 921946406 830 10688 SH DFND 1 0 0 10688 VANGUARD INDEX FDS ETF S&P 500 ETF SHS 922908363 3312 15310 SH DFND 1,2 2462 0 12848 VANGUARD INFORMATION ETF INF TECH ETF 92204A702 336 2475 SH DFND 1 0 0 2475 VANGUARD INTERMEDIATEETF INT-TERM CORP 92206C870 6694 77495 SH DFND 1 0 0 77495 VANGUARD INTL EQTY ETF ALLWRLD EX US 922042775 5206 108849 SH DFND 1,2 106271 0 2578 VANGUARD INTL EQUITY ETF FTSE EMR MKT ETF 922042858 17813 448463 SH DFND 1,2 315873 0 132590 VANGUARD LRG CAP ETF LARGE CAP ETF 922908637 918 8495 SH DFND 1,2 7067 0 1428 VANGUARD MALVERN FDS ETF STRM INFPROIDX 922020805 241 4876 SH DFND 1,2 600 0 4276 VANGUARD MID CAP ETF MID CAP ETF 922908629 11711 84106 SH DFND 1,2 62694 0 21412 VANGUARD MID-CAP ETF MCAP GR IDXVIP 922908538 240 2123 SH DFND 1 0 0 2123 VANGUARD MID-CAP VALUE MCAP VL IDXVIP 922908512 420 4123 SH DFND 1,2 770 0 3353 VANGUARD REIT ETF REIT ETF 922908553 31039 375824 SH DFND 1,2 309034 0 66790 VANGUARD S&P 500 ETF 500 GRTH IDX F 921932505 1499 12688 SH DFND 1 0 0 12688 VANGUARD SHORT TERM BOND SHORT TRM BOND 921937827 9528 119512 SH DFND 1,2 85345 0 34167 VANGUARD SHORT TERM ETF SHRT TRM CORP BD 92206C409 7857 98531 SH DFND 1 0 0 98531 VANGUARD SMALL CAP ETF SML CP GRW ETF 922908595 991 7046 SH DFND 1,2 2504 0 4542 VANGUARD SMALL CAP ETF SMALL CP ETF 922908751 13264 99523 SH DFND 1,2 79739 0 19784 VANGUARD SMALL CAP VALUE SM CP VAL ETF 922908611 1215 9890 SH DFND 1,2 2844 0 7046 VANGUARD TOTAL BOND ETF TOTAL BND MRKT 921937835 544 6706 SH DFND 1,2 2671 0 4035 VANGUARD TOTAL STOCK TOTAL STK MKT 922908769 633 5219 SH DFND 1,2 685 0 4534 VANGUARD VALUE ETF VALUE ETF 922908744 1498 15712 SH DFND 1,2 596 0 15116 VCA INC COM 918194101 244 2670 SH DFND 1,2 795 0 1875 VECTREN CORP COM 92240G101 1042 17775 SH DFND 1,2 5617 0 12158 VENTAS INC COM 92276F100 811 12462 SH DFND 1,2 7808 0 4654 VERIZON COMMUNICATIONS COM 92343V104 13293 272685 SH DFND 1,2 110687 0 161998 VERTEX PHARMACEUTICALS COM 92532F100 376 3440 SH DFND 1,2 480 0 2960 VISA INC CLASS A COM CL A 92826C839 5064 56984 SH DFND 1,2 7821 0 49163 VMWARE INC CLASS A CL A COM 928563402 359 3899 SH DFND 1 0 0 3899 VULCAN MATERIALS COMPANY COM 929160109 346 2870 SH DFND 1,2 1250 0 1620 WABASH NATL CORP COM 929566107 4186 202325 SH DFND 1 172153 0 30172 WALGREENS BOOTS COM 931427108 25265 304212 SH DFND 1,2 256815 0 47397 WALKER & DUNLOP INC COM 93148P102 3215 77123 SH DFND 1 0 0 77123 WAL-MART STORES INC COM 931142103 9538 132328 SH DFND 1,2 97672 0 34656 WASTE MGMT INC DEL COM 94106L109 207 2841 SH DFND 1,2 1700 0 1141 WATERS CORPORATION COM 941848103 6384 40841 SH DFND 1,2 35114 0 5727 WEC ENERGY GROUP INC COM 92939U106 660 10888 SH DFND 1,2 2919 0 7969 WELLS FARGO & COMPANY PERP PFD CNV A 949746804 1517 1224 SH DFND 1,2 155 0 1069 WELLS FARGO & CO NEW COM 949746101 119916 2154443 SH DFND 1,2 1741410 575 412458 WELLTOWER INC COM 95040Q104 515 7269 SH DFND 1,2 1100 0 6169 WESTERN ASSET GLOBAL CRP COM 95790C107 976 56016 SH DFND 1 0 0 56016 WESTERN ASSET/CLAYMORE COM SH BEN INT 95766Q106 2536 220379 SH DFND 1 0 0 220379 WESTERN ASSET/CLAYMORE COM 95766R104 2993 267984 SH DFND 1 0 0 267984 WEYERHAEUSER CO COM 962166104 1668 49090 SH DFND 1,2 4475 0 44615 WGL HOLDINGS INC COM 92924F106 467 5657 SH DFND 1,2 650 0 5007 WHITESTONE REIT COM 966084204 397 28692 SH DFND 1 0 0 28692 WHITING PETROLEUM CORP COM 966387102 461 48780 SH DFND 1 0 0 48780 WHOLE FOODS MARKET INC COM 966837106 551 18524 SH DFND 1 0 0 18524 WILLIAMS COMPANIES COM 969457100 414 13983 SH DFND 1,2 600 0 13383 WINNEBAGO INDUSTRIES COM 974637100 2928 100094 SH DFND 1 89908 0 10186 WISDOMTREE INVESTMENTS COM 97717P104 2433 267960 SH DFND 1 243853 0 24107 WISDOMTREE MIDCAP DIV FD MIDCAP DIVI FD 97717W505 1367 14017 SH DFND 1 0 0 14017 WISDOMTREE S/C DVD ETF SMALLCAP DIVID 97717W604 976 12105 SH DFND 1 0 0 12105 WISDOMTREE TR LARGECAP DIVID FD LARGECAP DIVID 97717W307 333 4016 SH DFND 2 4016 0 0 WISDOMTREE TRUST ETF WSDM EMKTBD FD 97717X784 325 4542 SH DFND 1 0 0 4542 YUM BRANDS INC COM 988498101 1067 16705 SH DFND 1,2 14426 0 2279 YUM CHINA HOLDINGS COM 98850P109 405 14876 SH DFND 1,2 14076 0 800 ZIMMER BIOMET HOLDINGS COM 98956P102 1611 13197 SH DFND 1,2 11723 0 1474 ZOETIS INC CL A 98978V103 2641 49482 SH DFND 1,2 1450 0 48032