0000950123-15-006261.txt : 20150515 0000950123-15-006261.hdr.sgml : 20150515 20150515111928 ACCESSION NUMBER: 0000950123-15-006261 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150515 EFFECTIVENESS DATE: 20150515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Asset Management, LLC CENTRAL INDEX KEY: 0001521019 IRS NUMBER: 274357327 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14498 FILM NUMBER: 15866608 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 917-7700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001521019 XXXXXXXX 03-31-2015 03-31-2015 Nuveen Asset Management, LLC
c/o Nuveen Investments 333 W. Wacker Drive Chicago IL 60606
13F HOLDINGS REPORT 028-14498 N
Diane S. Meggs Chief Compliance Officer 312-917-7700 /s/ Diane S. Meggs Chicago IL 05-14-2015 2 1586 18246141 false 1 028-11405 Nuveen Investments, Inc. 2 028-11710 Nuveen Fund Advisors, LLC
INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F 3D Systems Corp COM 88554D205 1152 42016 SH DFND 1,2 42016 0 0 3M Co COM 88579Y101 56019 339612 SH DFND 1,2 334464 0 5148 3M Co COM 88579Y101 3464 21000 SH Call DFND 1,2 21000 0 0 Aaron's Inc COM 002535300 826 29177 SH DFND 1,2 29177 0 0 Abbott Laboratories COM 002824100 8755 188964 SH DFND 1,2 188964 0 0 AbbVie Inc COM 00287Y109 44091 753171 SH DFND 1,2 736043 0 17128 Abercrombie & Fitch Co COM 002896207 654 29696 SH DFND 1,2 29696 0 0 ABIOMED Inc COM 003654100 19505 272499 SH DFND 1,2 272369 0 130 Acadia Healthcare Co Inc COM 00404A109 401 5601 SH DFND 1,2 5601 0 0 Acadia Realty Trust REIT 004239109 52618 1508535 SH DFND 1,2 1508535 0 0 Accenture PLC COM G1151C101 20006 213539 SH DFND 1,2 211030 0 2509 ACE Ltd COM H0023R105 2573 23075 SH DFND 1,2 22291 0 784 ACI Worldwide Inc COM 004498101 1196 55212 SH DFND 1,2 55212 0 0 Actavis plc COM G0083B108 47529 159698 SH DFND 1,2 154883 0 4815 Activision Blizzard Inc COM 00507V109 25105 1104750 SH DFND 1,2 1074111 0 30639 Acuity Brands Inc COM 00508Y102 15691 93309 SH DFND 1,2 92284 0 1025 Acxiom Corp COM 005125109 685 37054 SH DFND 1,2 37054 0 0 Adams Natural Resources Fund Inc Closed-End Fund 00548F105 1285 55500 SH DFND 1,2 55500 0 0 Adobe Systems Inc COM 00724F101 2342 31674 SH DFND 1,2 31674 0 0 ADT Corp/The COM 00101J106 514 12385 SH DFND 1,2 12385 0 0 Advance Auto Parts Inc COM 00751Y106 30020 200550 SH DFND 1,2 198347 0 2203 Advanced Micro Devices Inc COM 007903107 705 263080 SH DFND 1,2 263080 0 0 Advent Software Inc COM 007974108 1185 26869 SH DFND 1,2 26869 0 0 AECOM COM 00766T100 1506 48862 SH DFND 1,2 48862 0 0 AES Corp/VA COM 00130H105 2520 196106 SH DFND 1,2 196106 0 0 Aetna Inc COM 00817Y108 38790 364120 SH DFND 1,2 361951 0 2169 Affiliated Managers Group Inc COM 008252108 800 3727 SH DFND 1,2 3727 0 0 Aflac Inc COM 001055102 1980 30925 SH DFND 1,2 30925 0 0 AGCO Corp COM 001084102 1688 35424 SH DFND 1,2 35424 0 0 Agilent Technologies Inc COM 00846U101 3068 73840 SH DFND 1,2 73840 0 0 Agios Pharmaceuticals Inc COM 00847X104 1050 11134 SH DFND 1,2 11134 0 0 AGL Resources Inc COM 001204106 1927 38810 SH DFND 1,2 38810 0 0 Agree Realty Corp REIT 008492100 8694 263699 SH DFND 1,2 263699 0 0 Air Products & Chemicals Inc COM 009158106 2532 16734 SH DFND 1,2 16734 0 0 Airgas Inc COM 009363102 476 4485 SH DFND 1,2 4485 0 0 AK Steel Holding Corp COM 001547108 61 13731 SH DFND 1,2 13731 0 0 Akamai Technologies Inc COM 00971T101 2610 36744 SH DFND 1,2 36744 0 0 Akorn Inc COM 009728106 1640 34516 SH DFND 1,2 34516 0 0 Alaska Air Group Inc COM 011659109 3688 55729 SH DFND 1,2 55729 0 0 Albemarle Corp COM 012653101 9758 184669 SH DFND 1,2 182908 0 1761 Alcoa Inc COM 013817101 1222 94576 SH DFND 1,2 94576 0 0 Alexander & Baldwin Inc COM 014491104 911 21100 SH DFND 1,2 21100 0 0 Alexander's Inc REIT 014752109 1960 4292 SH DFND 1,2 4292 0 0 Alexandria Real Estate Equities Inc REIT 015271109 2861 29177 SH DFND 1,2 29177 0 0 Alexion Pharmaceuticals Inc COM 015351109 22480 129717 SH DFND 1,2 126619 0 3098 Align Technology Inc COM 016255101 1573 29250 SH DFND 1,2 29250 0 0 Alkermes PLC COM G01767105 369 6047 SH DFND 1,2 6047 0 0 Alleghany Corp COM 017175100 3211 6594 SH DFND 1,2 6594 0 0 Allegheny Technologies Inc COM 01741R102 222 7410 SH DFND 1,2 7410 0 0 Allegiant Travel Co COM 01748X102 206 1071 SH DFND 1,2 1071 0 0 Allegion PLC COM G0176J109 389 6355 SH DFND 1,2 6355 0 0 Alliance Data Systems Corp COM 018581108 25156 84916 SH DFND 1,2 83833 0 1083 Alliant Energy Corp COM 018802108 34988 555362 SH DFND 1,2 380360 0 175002 Alliant Energy Corp COM 018802108 1638 26000 SH Call DFND 1,2 26000 0 0 Allison Transmission Holdings Inc COM 01973R101 8734 273442 SH DFND 1,2 273442 0 0 Allscripts Healthcare Solutions Inc COM 01988P108 780 65207 SH DFND 1,2 65207 0 0 Allstate Corp/The COM 020002101 2112 29681 SH DFND 1,2 29681 0 0 Alpha Natural Resources Inc COM 02076X102 17 17168 SH DFND 1,2 17168 0 0 Alphatec Holdings Inc COM 02081G102 1459 1005899 SH DFND 1,2 1005899 0 0 Altera Corp COM 021441100 2654 61843 SH DFND 1,2 61843 0 0 Altra Industrial Motion Corp COM 02208R106 5546 200636 SH DFND 1,2 200313 0 323 Altria Group Inc COM 02209S103 32260 644935 SH DFND 1,2 639634 0 5301 Amazon.com Inc COM 023135106 51338 137967 SH DFND 1,2 135563 0 2404 Ambarella Inc COM G037AX101 266 3515 SH DFND 1,2 3515 0 0 AMC Networks Inc COM 00164V103 1837 23975 SH DFND 1,2 23975 0 0 Ameren Corp COM 023608102 1077 25520 SH DFND 1,2 25520 0 0 American Airlines Group Inc COM 02376R102 214345 4061098 SH DFND 1,2 4061098 0 0 American Assets Trust Inc REIT 024013104 3730 86174 SH DFND 1,2 86174 0 0 American Axle & Manufacturing Holdings Inc COM 024061103 396 15350 SH DFND 1,2 15350 0 0 American Campus Communities Inc REIT 024835100 38429 896415 SH DFND 1,2 896415 0 0 American Eagle Outfitters Inc COM 02553E106 1438 84181 SH DFND 1,2 84181 0 0 American Electric Power Co Inc COM 025537101 1557 27686 SH DFND 1,2 27686 0 0 American Equity Investment Life Holding Co COM 025676206 4073 139829 SH DFND 1,2 139551 0 278 American Express Co COM 025816109 24030 307607 SH DFND 1,2 307607 0 0 American Express Co COM 025816109 1641 21000 SH Call DFND 1,2 21000 0 0 American Financial Group Inc/OH COM 025932104 1873 29198 SH DFND 1,2 29198 0 0 American Homes 4 Rent REIT 02665T306 16836 1017306 SH DFND 1,2 1017306 0 0 American International Group Inc COM 026874784 7136 130251 SH DFND 1,2 130251 0 0 American Realty Capital Properties Inc REIT 02917T104 11291 1146248 SH DFND 1,2 1146248 0 0 American Tower Corp REIT 03027X100 161106 1711167 SH DFND 1,2 1459563 0 251604 American Tower Corp REIT 03027X100 3578 38000 SH Call DFND 1,2 38000 0 0 American Water Works Co Inc COM 030420103 26196 483240 SH DFND 1,2 319196 0 164044 American Water Works Co Inc COM 030420103 1355 25000 SH Call DFND 1,2 25000 0 0 AmeriGas Partners LP MLP 030975106 5185 108600 SH DFND 1,2 108600 0 0 Ameriprise Financial Inc COM 03076C106 12354 94423 SH DFND 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Inc COM 039380100 16 16464 SH DFND 1,2 16464 0 0 Archer-Daniels-Midland Co COM 039483102 33506 706878 SH DFND 1,2 703378 0 3500 Arena Pharmaceuticals Inc COM 040047102 82 18682 SH DFND 1,2 18682 0 0 Ares Commercial Real Estate Corp REIT 04013V108 3710 335762 SH DFND 1,2 335762 0 0 ARIAD Pharmaceuticals Inc COM 04033A100 105 12784 SH DFND 1,2 12784 0 0 Armada Hoffler Properties Inc REIT 04208T108 13491 1265559 SH DFND 1,2 1265559 0 0 ARMOUR Residential REIT Inc REIT 042315101 88 27697 SH DFND 1,2 27697 0 0 Array BioPharma Inc COM 04269X105 80 10802 SH DFND 1,2 10802 0 0 ARRIS Group Inc COM 04270V106 1545 53471 SH DFND 1,2 53471 0 0 Arrow Electronics Inc COM 042735100 12134 198424 SH DFND 1,2 198424 0 0 Arthur J Gallagher & Co COM 363576109 3731 79817 SH DFND 1,2 79817 0 0 Artisan Partners Asset Management Inc COM 04316A108 391 8600 SH DFND 1,2 8600 0 0 Aruba Networks Inc COM 043176106 203 8281 SH DFND 1,2 8281 0 0 Ascena Retail Group Inc COM 04351G101 1037 71502 SH DFND 1,2 71502 0 0 Ashland Inc COM 044209104 3701 29070 SH DFND 1,2 29070 0 0 Aspen Insurance Holdings Ltd COM G05384105 6718 142233 SH DFND 1,2 142233 0 0 Aspen Technology Inc COM 045327103 275 7140 SH DFND 1,2 7140 0 0 Associated Banc-Corp COM 045487105 1211 65082 SH DFND 1,2 65082 0 0 Associated Estates Realty Corp REIT 045604105 1658 67165 SH DFND 1,2 67165 0 0 Assurant Inc COM 04621X108 294 4794 SH DFND 1,2 4794 0 0 Assured Guaranty Ltd COM G0585R106 7738 293236 SH DFND 1,2 293236 0 0 AT&T Inc COM 00206R102 17555 537666 SH DFND 1,2 537666 0 0 Atmel Corp COM 049513104 1799 218615 SH DFND 1,2 218615 0 0 Atmos Energy Corp COM 049560105 2240 40503 SH DFND 1,2 40468 0 35 Atwood Oceanics Inc COM 050095108 1055 37517 SH DFND 1,2 37517 0 0 Autodesk Inc COM 052769106 2955 50393 SH DFND 1,2 50393 0 0 Automatic Data Processing Inc COM 053015103 2775 32408 SH DFND 1,2 32408 0 0 AutoNation Inc COM 05329W102 1153 17929 SH DFND 1,2 17929 0 0 AutoZone Inc COM 053332102 2373 3479 SH DFND 1,2 3479 0 0 Avago Technologies Ltd COM Y0486S104 2340 18428 SH DFND 1,2 18428 0 0 AvalonBay Communities Inc REIT 053484101 281029 1612793 SH DFND 1,2 1612793 0 0 Avery Dennison Corp COM 053611109 639 12068 SH DFND 1,2 12068 0 0 Avnet Inc COM 053807103 12997 292064 SH DFND 1,2 292064 0 0 Avon Products Inc COM 054303102 3626 453865 SH DFND 1,2 453865 0 0 Axiall Corp COM 05463D100 255 5424 SH DFND 1,2 5424 0 0 Axis Capital Holdings Ltd COM G0692U109 8099 157015 SH DFND 1,2 157015 0 0 B/E Aerospace Inc COM 073302101 2564 40306 SH DFND 1,2 40306 0 0 Babcock & Wilcox Co/The COM 05615F102 1320 41146 SH DFND 1,2 41146 0 0 Baidu Inc ADR 056752108 15257 73212 SH DFND 1,2 73212 0 0 Baker Hughes Inc COM 057224107 20671 325115 SH DFND 1,2 316409 0 8706 Ball Corp COM 058498106 7758 109823 SH DFND 1,2 108287 0 1536 BancorpSouth Inc COM 059692103 966 41584 SH DFND 1,2 41584 0 0 Bank of America Corp COM 060505104 95614 6212735 SH DFND 1,2 6169574 0 43161 Bank of America Corp Preferred-Cnv 060505682 550 475 SH DFND 1,2 475 0 0 Bank of Hawaii Corp COM 062540109 1102 18007 SH DFND 1,2 18007 0 0 Bank of New York Mellon Corp/The COM 064058100 3369 83723 SH DFND 1,2 83723 0 0 Bank of the Ozarks Inc COM 063904106 228 6178 SH DFND 1,2 6178 0 0 BankUnited Inc COM 06652K103 11119 339607 SH DFND 1,2 335491 0 4116 Banner Corp COM 06652V208 6113 133172 SH DFND 1,2 132919 0 253 Barclays Bank PLC PUBLIC 06739H511 289 11099 SH DFND 1,2 10221 0 878 Barracuda Networks Inc COM 068323104 1750 45478 SH DFND 1,2 45478 0 0 Baxter International Inc COM 071813109 3027 44196 SH DFND 1,2 44196 0 0 BB&T Corp COM 054937107 1860 47712 SH DFND 1,2 47712 0 0 Becton Dickinson and Co COM 075887109 2459 17125 SH DFND 1,2 17125 0 0 Bed Bath & Beyond Inc COM 075896100 992 12927 SH DFND 1,2 12927 0 0 Belden Inc COM 077454106 1964 20993 SH DFND 1,2 20993 0 0 Bemis Co Inc COM 081437105 1140 24623 SH DFND 1,2 24623 0 0 Berkshire Hathaway Inc COM 084670702 21484 148867 SH DFND 1,2 148867 0 0 Berry Plastics Group Inc COM 08579W103 3912 108108 SH DFND 1,2 107778 0 330 Best Buy Co Inc COM 086516101 64624 1710092 SH DFND 1,2 1683453 0 26639 BGC Partners Inc COM 05541T101 128 13514 SH DFND 1,2 13514 0 0 Big Lots Inc COM 089302103 12154 253054 SH DFND 1,2 253054 0 0 Biogen Inc COM 09062X103 21897 51858 SH DFND 1,2 50122 0 1736 BioMarin Pharmaceutical Inc COM 09061G101 1512 12134 SH DFND 1,2 12134 0 0 BioMed Realty Trust Inc REIT 09063H107 3497 154313 SH DFND 1,2 154313 0 0 Bio-Rad Laboratories Inc COM 090572207 1102 8149 SH DFND 1,2 8149 0 0 Bio-Techne Corp COM 09073M104 3411 34015 SH DFND 1,2 34015 0 0 Black Hills Corp COM 092113109 1084 21489 SH DFND 1,2 21489 0 0 BlackRock Credit Allocation Income Trust Closed-End Fund 092508100 2906 215900 SH DFND 1,2 215900 0 0 BlackRock Inc COM 09247X101 17362 47457 SH DFND 1,2 47020 0 437 BlackRock Long-Term Municipal Advantage Trust Closed-End Fund 09250B103 420 36581 SH DFND 1,2 36581 0 0 BlackRock Municipal Bond Trust Closed-End Fund 09249H104 389 23435 SH DFND 1,2 23435 0 0 BlackRock Municipal Income Trust Closed-End Fund 09248F109 547 37345 SH DFND 1,2 37345 0 0 BlackRock Municipal Income Trust II Closed-End Fund 09249N101 163 10771 SH DFND 1,2 10771 0 0 BlackRock MuniEnhanced Fund Inc Closed-End Fund 09253Y100 1120 96151 SH DFND 1,2 96151 0 0 BlackRock MuniHoldings Fund Inc Closed-End Fund 09253N104 405 23212 SH DFND 1,2 23212 0 0 BlackRock MuniHoldings Quality Fund Inc Closed-End Fund 09254A101 773 57356 SH DFND 1,2 57356 0 0 BlackRock MuniVest Fund Inc Closed-End Fund 09253R105 546 53753 SH DFND 1,2 53753 0 0 BlackRock MuniYield Investment Fund Closed-End Fund 09254R104 513 33129 SH DFND 1,2 33129 0 0 BlackRock MuniYield Quality Fund II Inc Closed-End Fund 09254G108 516 38483 SH DFND 1,2 38483 0 0 BlackRock MuniYield Quality Fund III Inc Closed-End Fund 09254E103 779 54883 SH DFND 1,2 54883 0 0 BlackRock MuniYield Quality Fund Inc Closed-End Fund 09254F100 1139 74026 SH DFND 1,2 74026 0 0 Blackstone Mortgage Trust Inc REIT 09257W100 15663 552099 SH DFND 1,2 552099 0 0 Bluebird Bio Inc COM 09609G100 14211 117668 SH DFND 1,2 115500 0 2168 Blueknight Energy Partners LP MLP 09625U109 4394 564760 SH DFND 1,2 564760 0 0 Boardwalk Pipeline Partners LP MLP 096627104 404 25115 SH DFND 1,2 25115 0 0 Boeing Co/The COM 097023105 89845 598646 SH DFND 1,2 592444 0 6202 Boeing Co/The COM 097023105 3152 21000 SH Call DFND 1,2 21000 0 0 BofI Holding Inc COM 05566U108 12335 132575 SH DFND 1,2 130828 0 1747 Booz Allen Hamilton Holding Corp COM 099502106 6903 238526 SH DFND 1,2 238526 0 0 BorgWarner Inc COM 099724106 995 16453 SH DFND 1,2 16453 0 0 Boston Beer Co Inc/The COM 100557107 915 3423 SH DFND 1,2 3423 0 0 Boston Properties Inc REIT 101121101 97490 693979 SH DFND 1,2 693979 0 0 Boston Scientific Corp COM 101137107 36685 2066760 SH DFND 1,2 2012129 0 54631 Bottomline Technologies de Inc COM 101388106 722 26379 SH DFND 1,2 26379 0 0 Brandywine Realty Trust REIT 105368203 67238 4207634 SH DFND 1,2 4207634 0 0 Brinker International Inc COM 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DFND 1,2 26023 0 0 Buffalo Wild Wings Inc COM 119848109 1591 8778 SH DFND 1,2 8778 0 0 Bunge Ltd COM G16962105 1412 17149 SH DFND 1,2 17149 0 0 CA Inc COM 12673P105 29855 915505 SH DFND 1,2 904820 0 10685 Cabela's Inc COM 126804301 1064 19012 SH DFND 1,2 19012 0 0 Cablevision Systems Corp COM 12686C109 7266 397022 SH DFND 1,2 397022 0 0 Cabot Corp COM 127055101 8860 196896 SH DFND 1,2 196896 0 0 Cabot Oil & Gas Corp COM 127097103 1109 37563 SH DFND 1,2 37563 0 0 Cadence Design Systems Inc COM 127387108 4745 257303 SH DFND 1,2 257303 0 0 Caesarstone Sdot-Yam Ltd COM M20598104 2925 48182 SH DFND 1,2 48182 0 0 California Resources Corp COM 13057Q107 947 124489 SH DFND 1,2 124489 0 0 Callon Petroleum Co COM 13123X102 4304 576214 SH DFND 1,2 575204 0 1010 Camden Property Trust REIT 133131102 82853 1060445 SH DFND 1,2 1060445 0 0 Cameron International Corp COM 13342B105 18070 400481 SH DFND 1,2 395595 0 4886 Campbell Soup Co COM 134429109 564 12125 SH DFND 1,2 12125 0 0 Capella Education Co COM 139594105 5966 91947 SH DFND 1,2 91741 0 206 Capital One Financial Corp COM 14040H105 25827 327670 SH DFND 1,2 324070 0 3600 Capital Senior Living Corp COM 140475104 12046 464396 SH DFND 1,2 464396 0 0 Capitol Federal Financial Inc COM 14057J101 139 11100 SH DFND 1,2 11100 0 0 Capstone Turbine Corp COM 14067D102 17 25503 SH DFND 1,2 25503 0 0 Cardinal Health Inc COM 14149Y108 18456 204458 SH DFND 1,2 204458 0 0 Carlisle Cos Inc COM 142339100 4157 44873 SH DFND 1,2 44873 0 0 CarMax Inc COM 143130102 6036 87468 SH DFND 1,2 81980 0 5488 Carnival Corp COM 143658300 24631 514858 SH DFND 1,2 508767 0 6091 Carpenter Technology Corp COM 144285103 834 21446 SH DFND 1,2 21446 0 0 Carrizo Oil & Gas Inc COM 144577103 1857 37402 SH DFND 1,2 37290 0 112 Carter's Inc COM 146229109 2015 21786 SH DFND 1,2 21786 0 0 Casey's General Stores Inc COM 147528103 490 5438 SH DFND 1,2 5438 0 0 Catamaran Corp COM 148887102 28173 473180 SH DFND 1,2 466825 0 6355 Caterpillar Inc COM 149123101 47145 589086 SH DFND 1,2 587478 0 1608 Caterpillar Inc COM 149123101 1681 21000 SH Call DFND 1,2 21000 0 0 Cathay General Bancorp COM 149150104 2794 98196 SH DFND 1,2 98196 0 0 Cavium Inc COM 14964U108 1692 23894 SH DFND 1,2 23894 0 0 CBIZ Inc COM 124805102 2398 257032 SH DFND 1,2 256189 0 843 CBL & Associates Properties Inc REIT 124830100 40288 2034750 SH DFND 1,2 2034750 0 0 CBOE Holdings Inc COM 12503M108 13066 227606 SH DFND 1,2 225013 0 2593 CBRE Clarion Global Real Estate Income Fund Closed-End Fund 12504G100 396 44300 SH DFND 1,2 44300 0 0 CBRE Group Inc COM 12504L109 891 23022 SH DFND 1,2 23022 0 0 CBS Corp COM 124857202 4061 66982 SH DFND 1,2 66982 0 0 CDK Global Inc COM 12508E101 3760 80404 SH DFND 1,2 80404 0 0 Cedar Realty Trust Inc REIT 150602209 7616 1016855 SH DFND 1,2 1016855 0 0 Celadon Group Inc COM 150838100 443 16288 SH DFND 1,2 16288 0 0 Celgene Corp COM 151020104 49208 426860 SH DFND 1,2 419656 0 7204 Celldex Therapeutics Inc COM 15117B103 211 7583 SH DFND 1,2 7583 0 0 Cempra Inc 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165240102 15487 457784 SH DFND 1,2 457784 0 0 Chevron Corp COM 166764100 77447 737734 SH DFND 1,2 733463 0 4271 Chevron Corp COM 166764100 2205 21000 SH Call DFND 1,2 21000 0 0 Chico's FAS Inc COM 168615102 7594 429305 SH DFND 1,2 429305 0 0 Children's Place Inc/The COM 168905107 1174 18284 SH DFND 1,2 18284 0 0 Chimera Investment Corp REIT 16934Q109 150 47676 SH DFND 1,2 47676 0 0 Chimerix Inc COM 16934W106 4403 2341 SH DFND 1,2 2341 0 0 Chipotle Mexican Grill Inc COM 169656105 108 51409 SH DFND 1,2 49973 0 1436 Choice Hotels International Inc COM 169905106 2694 13878 SH DFND 1,2 13878 0 0 Chubb Corp/The COM 171232101 45 16417 SH DFND 1,2 16417 0 0 Church & Dwight Co Inc COM 171340102 4581 53626 SH DFND 1,2 53626 0 0 Churchill Downs Inc COM 171484108 879 7642 SH DFND 1,2 7642 0 0 Ciena Corp COM 171779309 976 50568 SH DFND 1,2 50568 0 0 Cigna Corp COM 125509109 44769 345863 SH DFND 1,2 341498 0 4365 Cimarex Energy Co COM 171798101 1374 11940 SH DFND 1,2 11940 0 0 Cimpress NV COM 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63938C108 1646 80977 SH DFND 1,2 80977 0 0 NCR Corp COM 62886E108 2012 68183 SH DFND 1,2 68183 0 0 Neff Corp COM 640094207 3519 333833 SH DFND 1,2 333340 0 493 NetApp Inc COM 64110D104 6573 185367 SH DFND 1,2 185367 0 0 NetEase Inc ADR 64110W102 791 7516 SH DFND 1,2 7516 0 0 Netflix Inc COM 64110L106 5724 13737 SH DFND 1,2 12929 0 808 NETGEAR Inc COM 64111Q104 5590 170012 SH DFND 1,2 169680 0 332 Neuberger Berman Intermediate Municipal Fund Inc Closed-End Fund 64124P101 756 48591 SH DFND 1,2 48591 0 0 Neurocrine Biosciences Inc COM 64125C109 1417 35672 SH DFND 1,2 35619 0 53 NeuStar Inc COM 64126X201 665 27009 SH DFND 1,2 27009 0 0 New Jersey Resources Corp COM 646025106 203 6534 SH DFND 1,2 6534 0 0 New Residential Investment Corp REIT 64828T201 164 10933 SH DFND 1,2 10933 0 0 New York Community Bancorp Inc COM 649445103 3022 180657 SH DFND 1,2 180657 0 0 New York REIT Inc REIT 64976L109 132 12578 SH DFND 1,2 12578 0 0 New York Times Co/The COM 650111107 850 61737 SH DFND 1,2 61737 0 0 Newell Rubbermaid Inc COM 651229106 3012 77095 SH DFND 1,2 77095 0 0 Newfield Exploration Co COM 651290108 1364 38866 SH DFND 1,2 38866 0 0 NewMarket Corp COM 651587107 2144 4487 SH DFND 1,2 4487 0 0 Newmont Mining Corp COM 651639106 814 37497 SH DFND 1,2 37497 0 0 News Corp COM 65249B109 2130 133071 SH DFND 1,2 133071 0 0 News Corp COM 65249B208 205 12888 SH DFND 1,2 12888 0 0 NextEra Energy Inc COM 65339F101 83585 803320 SH DFND 1,2 543282 0 260038 NextEra Energy Inc Convertible 65339F861 1194 21417 PRN DFND 1,2 21417 0 0 NextEra Energy Partners LP Ltd Part 65341B106 10907 248914 SH DFND 1,2 163772 0 85142 NextEra Energy Partners LP Ltd Part 65341B106 570 13000 SH Call DFND 1,2 13000 0 0 Nielsen NV COM N63218106 752 16876 SH DFND 1,2 16876 0 0 NIKE Inc COM 654106103 41324 411879 SH DFND 1,2 403720 0 8159 NIKE Inc COM 654106103 2107 21000 SH Call DFND 1,2 21000 0 0 NiSource Inc COM 65473P105 6495 147087 SH DFND 1,2 112913 0 34174 NiSource Inc COM 65473P105 221 5000 SH Call DFND 1,2 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