0001442055-14-000005.txt : 20140721
0001442055-14-000005.hdr.sgml : 20140721
20140721151640
ACCESSION NUMBER: 0001442055-14-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140630
FILED AS OF DATE: 20140721
DATE AS OF CHANGE: 20140721
EFFECTIVENESS DATE: 20140721
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CONFLUENCE INVESTMENT MANAGEMENT LLC
CENTRAL INDEX KEY: 0001442056
IRS NUMBER: 261764456
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13334
FILM NUMBER: 14984614
BUSINESS ADDRESS:
STREET 1: 20 ALLEN AVENUE, SUITE 300
CITY: ST. LOUIS
STATE: MO
ZIP: 63119
BUSINESS PHONE: 314-743-5090
MAIL ADDRESS:
STREET 1: 20 ALLEN AVENUE, SUITE 300
CITY: ST. LOUIS
STATE: MO
ZIP: 63119
13F-HR
1
primary_doc.xml
13F-HR
LIVE
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0001442056
XXXXXXXX
06-30-2014
06-30-2014
CONFLUENCE INVESTMENT MANAGEMENT LLC
20 ALLEN AVENUE, SUITE 300
ST. LOUIS
MO
63119
13F COMBINATION REPORT
028-13334
028-06487
First Trust Advisors L.P.
N
Joseph Hanzlik
SVP
314-743-5096
Joseph Hanzlik
Saint Louis
MO
07-21-2014
1
257
2185752
false
1
028-06487
First Trust Advisors L.P.
INFORMATION TABLE
2
June14sec13frevised3.xml
Vanguard Equity-Income Admiral
MFUND
921921300
277
4176
SH
SOLE
4176
0
0
3M Company
COM
88579Y101
40065
279708
SH
SOLE
279708
0
0
ACE Limited
COM
h0023r105
6141
59215
SH
SOLE
59215
0
0
Air Products & Chemicals Inc.
COM
009158106
5809
45164
SH
SOLE
45164
0
0
American Capital Ltd.
COM
02503Y103
3895
254756
SH
DFND
0
254756
0
American Capital Senior Floati
COM
02504D108
675
48218
SH
SOLE
48218
0
0
American Express Company
COM
025816109
21684
228566
SH
SOLE
228566
0
0
Analog Devices, Inc.
COM
032654105
5564
102906
SH
SOLE
102906
0
0
Annaly Capital Management Inc.
COM
035710409
4203
367717
SH
DFND
0
367717
0
Apollo Investment Corp.
COM
03761U106
5807
674495
SH
DFND
0
674495
0
Ares Capital Corp.
COM
04010L103
45499
2547524
SH
DFND
0
2547524
0
Ares Commercial Real Estate
COM
04013V108
248
20000
SH
DFND
0
20000
0
Bank of Marin (CA)
COM
063425102
1522
33374
SH
DFND
0
33374
0
Barclays 20+ Year Treasury Bon
COM
464287432
421
3713
SH
SOLE
3713
0
0
Barclays 3-7 Year Treasury Bon
COM
464288661
1217
9994
SH
SOLE
9994
0
0
Barclays Capital High Yield Bo
COM
78464A417
3439
82413
SH
SOLE
82413
0
0
Baxter International Inc
COM
071813109
331
4578
SH
SOLE
4578
0
0
Becton, Dickinson and Company
COM
075887109
5549
46904
SH
SOLE
46904
0
0
Bed Bath & Beyond Inc
COM
075896100
14101
245743
SH
SOLE
245743
0
0
Berkshire Hathaway Inc. - B
COM
084670702
14644
115705
SH
SOLE
115705
0
0
Berkshire Hathaway Inc. - Clas
COM
084670108
950
5
SH
SOLE
5
0
0
BHP Billiton Limited - ADR
COM
088606108
373
5454
SH
SOLE
5454
0
0
BlackRock Kelso Capital Corp.
COM
092533108
3106
340915
SH
DFND
0
340915
0
Broadridge Financial Solutions
COM
11133T103
31595
758754
SH
SOLE
758754
0
0
Brown-Forman Corp. - B
COM
115637209
5698
60505
SH
SOLE
60505
0
0
Brown & Brown Inc.
COM
115236101
10744
349848
SH
DFND
0
349848
0
C & J Energy Services Inc
COM
12467B304
1946
57615
SH
DFND
0
57615
0
C.H. Robinson Worldwide Inc.
COM
12541W209
34521
541168
SH
SOLE
541168
0
0
CABOT OIL & GAS CORP.
COM
127097103
288
8444
SH
SOLE
8444
0
0
Cameco Corp.
COM
13321L108
362
18474
SH
SOLE
18474
0
0
CF Industries Holdings Inc.
COM
125269100
504
2096
SH
SOLE
2096
0
0
Chevron Corp.
COM
166764100
51512
394579
SH
SOLE
394579
0
0
Cimarex Energy Co.
COM
171798101
371
2587
SH
SOLE
2587
0
0
Cloud Peak Energy Inc
COM
18911Q102
336
18229
SH
SOLE
18229
0
0
CM Finance Inc
COM
12574Q103
1170
80329
SH
DFND
0
80329
0
Colgate-Palmolive Co.
COM
194162103
21611
316966
SH
SOLE
316966
0
0
Commerce Bancshares, Inc.
COM
200525103
5719
122984
SH
SOLE
122984
0
0
Compass Diversified Holdings
COM
20451Q104
3396
187109
SH
DFND
0
187109
0
Compass Minerals International
COM
20451N101
359
3753
SH
SOLE
3753
0
0
Concho Resources, Inc.
COM
20605P101
447
3094
SH
SOLE
3094
0
0
ConocoPhillips
COM
20825C104
6632
77355
SH
SOLE
77355
0
0
Consumer Discret Select Sector
COM
81369Y407
7300
109381
SH
SOLE
109381
0
0
Consumer Staples Select Sector
COM
81369Y308
4336
97170
SH
SOLE
97170
0
0
Continental Resources, Inc.
COM
212015101
457
2890
SH
SOLE
2890
0
0
Cubic Corp
COM
229669106
1173
26363
SH
SOLE
26363
0
0
Cullen Frost Bankers, Inc.
COM
229899109
5504
69299
SH
SOLE
69299
0
0
Culp Inc.
COM
230215105
1340
76961
SH
DFND
0
76961
0
CYS Investments Inc
COM
12673A108
6286
696880
SH
DFND
0
696880
0
Diageo (Adr 1:4)
COM
25243Q205
43155
339080
SH
SOLE
339080
0
0
Digital Realty Trust Inc.
COM
253868103
32528
557759
SH
SOLE
557759
0
0
Discovery Communications, Inc.
COM
25470F302
14526
200114
SH
SOLE
200114
0
0
Donaldson Inc
COM
257651109
5131
121247
SH
SOLE
121247
0
0
Douglas Dynamics, Inc.
COM
25960R105
1687
95744
SH
DFND
0
95744
0
Dow Jones U.S. Oil Equipment &
COM
464288844
3497
45106
SH
SOLE
45106
0
0
Dow Jones US Financial Sector
COM
464287788
5399
64937
SH
SOLE
64937
0
0
Dow Jones US Technology - iSha
COM
464287721
10771
111183
SH
SOLE
111183
0
0
Dow Jones US Utilities - iShar
COM
464287697
563
5054
SH
SOLE
5054
0
0
Du Pont E.I. De Nemours & Com
COM
263534109
32022
489336
SH
SOLE
489336
0
0
Emerson Electric Company
COM
291011104
43059
648863
SH
SOLE
648863
0
0
Energy Select Sector - SPDR
COM
81369Y506
3406
34030
SH
SOLE
34030
0
0
Energy XXI Limited - (Bermuda
COM
G10082140
327
13819
SH
SOLE
13819
0
0
ENI S.p.A. ADS
COM
26874R108
391
7130
SH
SOLE
7130
0
0
Enterprise Products Partner
COM
293792107
213
2720
SH
SOLE
2720
0
0
EOG Resources
COM
26875P101
447
3824
SH
SOLE
3824
0
0
ETFs Platinum Trust
COM
26922v101
351
2428
SH
SOLE
2428
0
0
European ETF - Vanguard
COM
922042874
1860
31031
SH
SOLE
31031
0
0
Expeditors International of Wa
COM
302130109
18540
419826
SH
SOLE
419826
0
0
Exponent Inc.
COM
30214U102
1570
21190
SH
DFND
0
21190
0
Express Scripts Inc.
COM
30219G108
16414
236754
SH
SOLE
236754
0
0
Exxon Mobil Corp.
COM
30231G102
5499
54616
SH
SOLE
54616
0
0
FEI Company
COM
30241L109
1125
12403
SH
SOLE
12403
0
0
Fidelity National Financial In
COM
31620R303
27978
854020
SH
SOLE
854020
0
0
Fifth Street Finance Corp.
COM
31678A103
1246
126760
SH
DFND
0
126760
0
FMC Corp.
COM
302491303
341
4783
SH
SOLE
4783
0
0
Forward Air Corp.
COM
349853101
1688
35273
SH
DFND
0
35273
0
Franco-Nevada Corp.
COM
351858105
402
7003
SH
SOLE
7003
0
0
Franklin Electric Co. Inc.
COM
353514102
1672
41463
SH
DFND
0
41463
0
Franklin Street Properties Cor
COM
35471R106
132
10500
SH
SOLE
10500
0
0
Freeport-McMoRan Copper & Gold
COM
35671D857
374
10241
SH
SOLE
10241
0
0
FS Investment Corp.
COM
302635107
552
51872
SH
DFND
0
51872
0
General Dynamics Corp.
COM
369550108
5982
51322
SH
SOLE
51322
0
0
Gilead Sciences, Inc.
COM
375558103
2682
32354
SH
SOLE
32354
0
0
Gladstone Capital Corporation
COM
376535100
3116
309784
SH
DFND
0
309784
0
Gladstone Commercial Corp.
COM
376536108
1413
79051
SH
DFND
0
79051
0
Gladstone Investment Corp.
COM
376546107
2287
309093
SH
DFND
0
309093
0
GlaxoSmithKline Plc (Adr 1:2)
COM
37733W105
34988
654219
SH
SOLE
654219
0
0
Glencore Xstrata plc
COM
37827X100
356
31918
SH
SOLE
31918
0
0
Gold Trust - iShares
COM
464285105
3696
286976
SH
SOLE
286976
0
0
Golub Capital BDC Inc
COM
38173M102
19320
1091497
SH
DFND
0
1091497
0
Google Class A
COM
38259P508
7030
12024
SH
SOLE
12024
0
0
Google Inc. - C
COM
38259P706
8963
15580
SH
SOLE
15580
0
0
Graco inc.
COM
384109104
30333
388483
SH
DFND
0
388483
0
Guggenheim BulletShares Corpor
COM
18383M563
1465
66910
SH
SOLE
66910
0
0
Guggenheim BulletShares Corpor
COM
18383M555
1531
68414
SH
SOLE
68414
0
0
Guggenheim BulletShares Corpor
COM
18383M548
2216
96738
SH
SOLE
96738
0
0
Guggenheim BulletShares Corpor
COM
18383M530
2201
103481
SH
SOLE
103481
0
0
Guggenheim BulletShares Corpor
COM
18383M522
2206
104173
SH
SOLE
104173
0
0
Guggenheim BulletShares Corpor
COM
18383M514
2209
103922
SH
SOLE
103922
0
0
Guggenheim BulletShares Invest
COM
18383M266
2297
109268
SH
SOLE
109268
0
0
Guggenheim BulletShares Invest
COM
18383M258
2295
109963
SH
SOLE
109963
0
0
Gulf Coast Ultra Deep Royalty
COM
40222T104
489
167026
SH
SOLE
167026
0
0
Haemonetics Corporation
COM
405024100
1645
46621
SH
DFND
0
46621
0
Hallador Energy Company
COM
40609P105
400
42164
SH
SOLE
42164
0
0
Halliburton Co.
COM
406216101
17447
245695
SH
SOLE
245695
0
0
Harvest Capital Credit Corp
COM
41753F109
297
20000
SH
SOLE
20000
0
0
Hatteras Financial Corp.
COM
41902R103
3849
194282
SH
DFND
0
194282
0
Health Care Select Sector - SP
COM
81369Y209
4392
72205
SH
SOLE
72205
0
0
Hercules Technology Growth Cap
COM
427096508
8960
554460
SH
DFND
0
554460
0
Hess Corp.
COM
42809H107
424
4283
SH
SOLE
4283
0
0
High Yield Corporate Bond Fund
COM
464288513
3427
35994
SH
SOLE
35994
0
0
Hittite Microwave Corp
COM
43365Y104
1374
17627
SH
SOLE
17627
0
0
Home Depot Inc.
COM
437076102
10246
126555
SH
SOLE
126555
0
0
Horizon Technology
COM
44045A102
4857
332190
SH
DFND
0
332190
0
Illinois Tool Works Inc.
COM
452308109
17638
201443
SH
SOLE
201443
0
0
Industrial Select Sector - SPD
COM
81369Y704
6570
121538
SH
SOLE
121538
0
0
Iron Mountain
COM
462846106
39849
1124096
SH
SOLE
1124096
0
0
iShares 10+ Year Credit Bond E
COM
464289511
9775
161437
SH
SOLE
161437
0
0
iShares 7-10 Year Treasury Bon
COM
464287440
5057
48825
SH
SOLE
48825
0
0
iShares Barclays 1-3 Year Inve
COM
464288646
226
2136
SH
SOLE
2136
0
0
iShares CMBS Bond ETF
COM
46429B366
2180
42164
SH
SOLE
42164
0
0
iShares Corporate Bond ETF 202
COM
46432FAZ0
3763
35614
SH
SOLE
35614
0
0
iShares Corporate ex Financial
COM
46432FAD9
2166
21640
SH
SOLE
21640
0
0
iShares Corporate ex Financial
COM
46432FAG2
5821
58613
SH
SOLE
58613
0
0
iShares Corporate ex Financial
COM
46432FAK3
3644
36931
SH
SOLE
36931
0
0
iShares Corporate ex Financial
COM
46432FAN7
3653
37808
SH
SOLE
37808
0
0
iShares GNMA Bond ETF
COM
46429B333
2209
44274
SH
SOLE
44274
0
0
iShares iBoxx Corporate Bond E
COM
464287242
27716
232400
SH
SOLE
232400
0
0
iShares Interm. Term Corporate
COM
464288638
3180
28858
SH
SOLE
28858
0
0
iShares MBS Bond ETF
COM
464288588
2320
21435
SH
SOLE
21435
0
0
iShares National AMT-Free Muni
COM
464288414
986
9074
SH
SOLE
9074
0
0
iShares Residential Real Estat
COM
464288562
5081
95267
SH
SOLE
95267
0
0
iShares S&P AMT-Free Municipal
COM
464289339
960
18091
SH
SOLE
18091
0
0
iShares S&P AMT-Free Municipal
COM
464289313
960
17936
SH
SOLE
17936
0
0
iShares S&P AMT-Free Municipal
COM
464289271
1448
26182
SH
SOLE
26182
0
0
iShares S&P AMT-Free Municipal
COM
46429B580
1463
57168
SH
SOLE
57168
0
0
Johnson & Johnson
COM
478160104
54676
522613
SH
SOLE
522613
0
0
KCAP Financial Inc
COM
48668E101
5026
591994
SH
DFND
0
591994
0
Kinder Morgan Inc.
COM
49456B101
34939
963575
SH
SOLE
963575
0
0
Kohl's Corp.
COM
500255104
29608
562035
SH
SOLE
562035
0
0
Kraft Foods Group, Inc.
COM
50076Q106
31980
533450
SH
SOLE
533450
0
0
Landstar System Inc.
COM
515098101
4766
74475
SH
DFND
0
74475
0
Linear Technology Corp
COM
535678106
31138
661531
SH
SOLE
661531
0
0
Lockheed Martin Corp
COM
539830109
38148
237340
SH
SOLE
237340
0
0
Lowe's Companies Inc.
COM
548661107
16746
348946
SH
SOLE
348946
0
0
M&T Bank Corp.
COM
55261F104
5460
44014
SH
SOLE
44014
0
0
Main Street Capital Corp.
COM
56035L104
2769
84098
SH
DFND
0
84098
0
Manatuck Hill Mariner Offshore
COM
562996983
427
3182
SH
SOLE
3182
0
0
Marathon Oil Corp.
COM
565849106
5741
143801
SH
SOLE
143801
0
0
Markel Corp.
COM
570535104
19218
29312
SH
SOLE
29312
0
0
Martin Marietta Materials Inc.
COM
573284106
33403
252960
SH
SOLE
252960
0
0
Mastercard Inc. - A
COM
57636Q104
13875
188855
SH
SOLE
188855
0
0
Materials Select Sector - SPDR
COM
81369Y100
1932
38923
SH
SOLE
38923
0
0
Mattel Inc
COM
577081102
30544
783776
SH
SOLE
783776
0
0
McDonald's Corp.
COM
580135101
5325
52862
SH
SOLE
52862
0
0
MCG Capital Corp.
COM
58047P107
2460
627656
SH
DFND
0
627656
0
MDU Resources Group Inc.
COM
552690109
5844
166482
SH
SOLE
166482
0
0
Medallion Financial Corp
COM
583928106
3927
315143
SH
DFND
0
315143
0
Medley Capital Corp.
COM
58503F106
10287
787707
SH
DFND
0
787707
0
Microsoft Corp.
COM
594918104
40726
976648
SH
SOLE
976648
0
0
Mohawk Industries Inc.
COM
608190104
857
6197
SH
SOLE
6197
0
0
Monroe Capital Corp.
COM
610335101
617
46496
SH
SOLE
46496
0
0
Morningstar Inc.
COM
617700109
1437
20005
SH
DFND
0
20005
0
MSC Industrial Direct Co. Inc
COM
553530106
1064
11130
SH
SOLE
11130
0
0
MSCI All Country World Index F
COM
464288257
3749
62210
SH
SOLE
62210
0
0
Mueller Industries Inc.
COM
624756102
1510
51340
SH
DFND
0
51340
0
MVC Capital, Inc.
COM
553829102
3405
262912
SH
DFND
0
262912
0
New Gold, Inc.
COM
644535106
392
61572
SH
SOLE
61572
0
0
New Jersey Resources Corp.
COM
646025106
5747
100535
SH
SOLE
100535
0
0
New Mountain Finance Corp.
COM
647551100
11922
802269
SH
DFND
0
802269
0
NGP Capital Ressources Company
COM
62912R107
2357
378341
SH
DFND
0
378341
0
Nike Inc. - B
COM
654106103
5520
71185
SH
SOLE
71185
0
0
Nordstrom Inc.
COM
655664100
5659
83311
SH
SOLE
83311
0
0
Northern Trust Corporation
COM
665859104
37329
581352
SH
SOLE
581352
0
0
Novartis AG - ADR
COM
66987V109
5807
64149
SH
SOLE
64149
0
0
NXP Semiconductors
COM
N6596X109
23557
355960
SH
SOLE
355960
0
0
Occidental Petroleum Corp
COM
674599105
5842
56921
SH
SOLE
56921
0
0
OFS Capital Corp.
COM
67103B100
4290
329987
SH
DFND
0
329987
0
Onebeacon Insurance Group Ltd
COM
G67742109
1434
92300
SH
DFND
0
92300
0
Patterson Companies, Inc.
COM
703395103
2319
58706
SH
DFND
0
58706
0
Paychex, Inc.
COM
704326107
17631
424235
SH
SOLE
424235
0
0
Peabody Energy Corp.
COM
704549104
302
18488
SH
SOLE
18488
0
0
PennantPark Floating Rate Capi
COM
70806A106
3279
229467
SH
DFND
0
229467
0
PennantPark Investment Corp.
COM
708062104
10380
905800
SH
DFND
0
905800
0
Pepco Holdings, Inc.
COM
713291102
35465
1290582
SH
SOLE
1290582
0
0
Pepsico, Inc
COM
713448108
50333
563389
SH
SOLE
563389
0
0
Pfizer Inc.
COM
717081103
29302
987273
SH
SOLE
987273
0
0
Piedmont Natural Gas Co. Inc.
COM
720186105
5231
139822
SH
SOLE
139822
0
0
PIMCO Intermediate Muni Bond E
COM
72201R866
688
12926
SH
SOLE
12926
0
0
Pioneer Natural Resources Co.
COM
723787107
413
1796
SH
SOLE
1796
0
0
Plum Creek Timber Co. Inc.
COM
729251108
31495
698348
SH
SOLE
698348
0
0
Potash Corp. of Saskatchewan I
COM
73755L107
377
9943
SH
SOLE
9943
0
0
Potbelly Corp
COM
73754Y100
1493
93530
SH
DFND
0
93530
0
Praxair Inc.
COM
74005P104
36274
273064
SH
SOLE
273064
0
0
Procter & Gamble Company
COM
742718109
5977
76058
SH
SOLE
76058
0
0
Progressive Corp.
COM
743315103
29767
1173795
SH
SOLE
1173795
0
0
Range Resources Corporation
COM
75281A109
387
4448
SH
SOLE
4448
0
0
Rayonier Advanced Materials
COM
75508B104
9217
237852
SH
DFND
0
237852
0
Rayonier Inc.
COM
754907103
25480
716730
SH
DFND
0
716730
0
RE/Max Holdings
COM
75524W108
1538
51988
SH
DFND
0
51988
0
REIT ETF- DJ Wilshire
COM
78464A607
8141
98082
SH
SOLE
98082
0
0
REIT Index - Vanguard
COM
922908553
8253
110279
SH
SOLE
110279
0
0
Ritchie Brothers Auctioneers I
COM
767744105
2642
107165
SH
DFND
0
107165
0
RLI Corp.
COM
749607107
1579
34486
SH
DFND
0
34486
0
Rockwood Holdings Inc
COM
774415103
371
4888
SH
SOLE
4888
0
0
Royal Gold, Inc.
COM
780287108
419
5502
SH
SOLE
5502
0
0
Russell 2000 Growth Index - iS
COM
464287648
418
3020
SH
SOLE
3020
0
0
Russell 2000 Value Index - iSh
COM
464287630
428
4149
SH
SOLE
4149
0
0
S&P 500 - SPDR
COM
78462F103
1252
6398
SH
SOLE
6398
0
0
S&P 500 Growth Index - iShares
COM
464287309
489
4651
SH
SOLE
4651
0
0
S&P 500 Value Index - iShares
COM
464287408
505
5588
SH
SOLE
5588
0
0
S&P MidCap 400 Growth Index Fu
COM
464287606
20516
130611
SH
SOLE
130611
0
0
S&P MidCap 400 Value Index Fun
COM
464287705
20721
163258
SH
SOLE
163258
0
0
Safeguard Scientifics New
COM
786449207
1692
81367
SH
DFND
0
81367
0
Saratoga Investment Corporatio
COM
80349A208
235
14936
SH
DFND
0
14936
0
Select Comfort Corporation
COM
81616X103
3595
174030
SH
DFND
0
174030
0
Sigma-Aldrich Corp
COM
826552101
14263
140552
SH
SOLE
140552
0
0
Silver Wheaton Corp.
COM
828336107
444
16890
SH
SOLE
16890
0
0
Snyders-Lance Inc
COM
833551104
1306
49376
SH
DFND
0
49376
0
Solar Capital, LTD.
COM
83413U100
9622
452179
SH
DFND
0
452179
0
Solar Senior Capital Ltd.
COM
83416M105
1916
113509
SH
DFND
0
113509
0
Southern Company
COM
842587107
35161
774809
SH
SOLE
774809
0
0
SPDR Interm. Term Corporate Bo
COM
78464A375
5776
167629
SH
SOLE
167629
0
0
SPDR Nuveen Barclays Capital M
COM
78464A458
3943
166515
SH
SOLE
166515
0
0
SPDR Nuveen Barclays Capital S
COM
78464A425
2984
122629
SH
SOLE
122629
0
0
Statoil ASA ADS
COM
85771p102
446
14468
SH
SOLE
14468
0
0
Stellus Capital Investment
COM
858568108
4125
280821
SH
DFND
0
280821
0
Stonecastle Financial Corporat
COM
861780104
4493
177025
SH
DFND
0
177025
0
Stryker Corp.
COM
863667101
9747
115594
SH
SOLE
115594
0
0
T. Rowe Price Group, Inc.
COM
74144T108
5453
64605
SH
SOLE
64605
0
0
Taminco Corp
COM
87509U106
848
36453
SH
DFND
0
36453
0
TCP Capital Corp
COM
87238Q103
10465
574682
SH
DFND
0
574682
0
Techne Corp.
COM
878377100
1663
17970
SH
DFND
0
17970
0
The Clorox Company
COM
189054109
5229
57205
SH
SOLE
57205
0
0
The Coca-Cola Company
COM
191216100
214
5048
SH
SOLE
5048
0
0
Thermo Fisher Scientific, Inc.
COM
883556102
13822
117133
SH
SOLE
117133
0
0
Thermon Group Holdings Inc
COM
88362T103
1692
64304
SH
DFND
0
64304
0
THL Credit
COM
872438106
10489
749225
SH
DFND
0
749225
0
TICC Capital Corp.
COM
87244T109
1039
104903
SH
DFND
0
104903
0
TJX Companies
COM
872540109
18664
351161
SH
SOLE
351161
0
0
Total SA - ADR
COM
89151E109
368
5097
SH
SOLE
5097
0
0
Triangle Capital Corp
COM
895848109
6258
220590
SH
DFND
0
220590
0
Triplepoint Venture Growth BDC
COM
89677Y100
4493
274299
SH
DFND
0
274299
0
United Technologies Corp.
COM
913017109
19117
165586
SH
SOLE
165586
0
0
Vanguard Interm. Term Corporat
COM
92206C870
5916
68347
SH
SOLE
68347
0
0
Vanguard Long Term Corporate B
COM
92206C813
2320
25701
SH
SOLE
25701
0
0
Varian Medical Systems Inc.
COM
92220P105
998
12006
SH
SOLE
12006
0
0
VCA Antech Inc.
COM
918194101
1771
50456
SH
DFND
0
50456
0
Vocera Communications Inc.
COM
92857F107
1233
93407
SH
DFND
0
93407
0
W.R. Berkley Corp
COM
084423102
14561
314429
SH
SOLE
314429
0
0
W.W. Grainger, Inc.
COM
384802104
5206
20474
SH
SOLE
20474
0
0
Waters Corp.
COM
941848103
12494
119626
SH
SOLE
119626
0
0
Wells Fargo & Company
COM
949746101
15057
286464
SH
SOLE
286464
0
0
West Pharmaceutical Services,
COM
955306105
1303
30894
SH
DFND
0
30894
0
Weyerhaeuser Co.
COM
962166104
383
11583
SH
SOLE
11583
0
0
Whiting Petroleum Corp.
COM
966387102
416
5182
SH
SOLE
5182
0
0
Yamana Gold, Inc.
COM
98462Y100
308
37515
SH
SOLE
37515
0
0
Zebra Technologies Corp.
COM
989207105
2631
31965
SH
DFND
0
31965
0