0000837286-15-000001.txt : 20150210
0000837286-15-000001.hdr.sgml : 20150210
20150210094438
ACCESSION NUMBER: 0000837286-15-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150210
DATE AS OF CHANGE: 20150210
EFFECTIVENESS DATE: 20150210
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RAY GERALD L & ASSOCIATES LTD
CENTRAL INDEX KEY: 0000837286
IRS NUMBER: 751567129
STATE OF INCORPORATION: TX
FISCAL YEAR END: 0531
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-02345
FILM NUMBER: 15590691
BUSINESS ADDRESS:
STREET 1: 1445 ROSS AVE
STREET 2: SUITE 5600
CITY: DALLAS
STATE: TX
ZIP: 75202
BUSINESS PHONE: 2149541900
MAIL ADDRESS:
STREET 1: 1445 ROSS AVE
STREET 2: SUITE 5600
CITY: DALLAS
STATE: TX
ZIP: 75202
FORMER COMPANY:
FORMER CONFORMED NAME: RAY GERALD L & ASSOCIATES INC
DATE OF NAME CHANGE: 19990407
13F-HR
1
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0000837286
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12-31-2014
12-31-2014
RAY GERALD L & ASSOCIATES LTD
1445 ROSS AVE
SUITE 5600
DALLAS
TX
75202
13F HOLDINGS REPORT
028-02345
N
Joseph H Ray
President
2149541900
JOSEPH H RAY
DALLAS
TX
02-10-2015
0
462
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SH
DFND
75
0
0
HCA HOLDINGS INC COM
COM
40412C101
661
9000
SH
DFND
9000
0
0
HEALTH CARE REIT INC COM
COM
42217K106
223
2951
SH
SOLE
2951
0
0
HEALTH CARE REIT INC COM
COM
42217K106
378
5000
SH
DFND
5000
0
0
HEALTHSPORTS INC COM
COM
42223C106
0
15000
SH
SOLE
15000
0
0
HERSHEY CO COM
COM
427866108
848
8164
SH
SOLE
2561
0
5603
HERSHEY CO COM
COM
427866108
374
3600
SH
DFND
3600
0
0
HEWLETT PACKARD CO COM
COM
428236103
2688
66994
SH
SOLE
59194
0
7800
HEWLETT PACKARD CO COM
COM
428236103
29
720
SH
DFND
720
0
0
HILLTOP HOLDINGS INC COM
COM
432748101
319
16000
SH
SOLE
1500
0
14500
HOME DEPOT INC
COM
437076102
2425
23101
SH
SOLE
22701
0
400
HOME DEPOT INC
COM
437076102
42
400
SH
DFND
400
0
0
HONEYWELL INTL INC COM
COM
438516106
8777
87841
SH
SOLE
75456
0
12385
HOWARD HUGHES CORP COM
COM
44267D107
321
2465
SH
SOLE
2465
0
0
HOWARD HUGHES CORP COM
COM
44267D107
46
349
SH
DFND
300
0
49
HSBC HLDGS PLC SPON ADR NEW
COM
404280406
269
5701
SH
SOLE
5701
0
0
INTEL CORP
COM
458140100
6990
192606
SH
SOLE
172873
0
19733
INTEL CORP
COM
458140100
1234
34000
SH
DFND
25000
0
9000
INTERNATIONAL BUSINESS M
COM
459200101
3845
23965
SH
SOLE
21302
0
2663
INTERNATIONAL BUSINESS M
COM
459200101
1666
10385
SH
DFND
10385
0
0
J & J SNACK FOODS CORP COM
COM
466032109
326
3000
SH
SOLE
3000
0
0
J P MORGAN CHASE & CO COM
COM
46625H100
11236
179543
SH
SOLE
165441
0
14102
J P MORGAN CHASE & CO COM
COM
46625H100
1675
26762
SH
DFND
24762
0
2000
JOHNSON & JOHNSON
COM
478160104
8252
78910
SH
SOLE
70210
0
8700
JOHNSON & JOHNSON
COM
478160104
1642
15700
SH
DFND
13140
0
2560
KANSAS CITY SOUTHERN COM NEW
COM
485170302
5838
47840
SH
SOLE
45290
0
2550
KELLOGG CO
COM
487836108
234
3575
SH
SOLE
3575
0
0
KELLOGG CO
COM
487836108
563
8600
SH
DFND
6000
0
2600
KIMBERLY CLARK CORP
COM
494368103
1472
12740
SH
SOLE
10590
0
2150
KIMBERLY CLARK CORP
COM
494368103
531
4600
SH
DFND
1600
0
3000
KINDER MORGAN INC DEL COM
COM
49456B101
5356
126588
SH
SOLE
107890
0
18698
KINDER MORGAN INC DEL COM
COM
49456B101
1485
35104
SH
DFND
27252
0
7852
KRAFT FOODS GROUP INC COM
COM
50076q106
1581
25237
SH
SOLE
22987
0
2250
KRAFT FOODS GROUP INC COM
COM
50076q106
529
8439
SH
DFND
6287
0
2152
LAS VEGAS SANDS CORP COM
COM
517834107
2530
43500
SH
SOLE
42050
0
1450
LAUDER ESTEE COS INC CL A
COM
518439104
917
12034
SH
SOLE
12034
0
0
LAUDER ESTEE COS INC CL A
COM
518439104
2530
33200
SH
DFND
27600
0
5600
LIBERTY GLOBAL PLC SHS CL C
COM
G5480U120
302
6252
SH
DFND
3837
0
2415
LIBERTY INTERACTIVE INT COM SE
COM
53071M104
8
260
SH
SOLE
260
0
0
LIBERTY INTERACTIVE INT COM SE
COM
53071M104
351
11938
SH
DFND
7906
0
4032
LIBERTY MEDIA CORP DEL COM SER
COM
531229300
225
6436
SH
DFND
4262
0
2174
LITHIA MTRS INC CL A
COM
536797103
264
3050
SH
SOLE
2150
0
900
LOWES COS INC COM
COM
548661107
2121
30823
SH
SOLE
30823
0
0
MACERICH CO COM
COM
554382101
236
2830
SH
SOLE
2830
0
0
MACERICH CO COM
COM
554382101
1644
19704
SH
DFND
18172
0
1532
MAGELLAN MIDSTREAM PRT COM UNI
COM
559080106
3464
41904
SH
SOLE
33354
0
8550
MAGELLAN MIDSTREAM PRT COM UNI
COM
559080106
3362
40670
SH
DFND
36142
0
4528
MALLINCKRODT PUB LTD C SHS
COM
G5785G107
0
4
SH
SOLE
4
0
0
MALLINCKRODT PUB LTD C SHS
COM
G5785G107
328
3310
SH
DFND
2905
0
405
MANITOWOC INC COM
COM
563571108
1025
46400
SH
SOLE
42400
0
4000
MANPOWERGROUP GROUP INC
COM
56418H100
1104
16200
SH
SOLE
15650
0
550
MARRIOTT INTL
COM
571903202
934
11968
SH
SOLE
11968
0
0
MARRIOTT INTL
COM
571903202
930
11914
SH
DFND
11914
0
0
MASTERCARD INC CL A
COM
57636Q104
608
7059
SH
SOLE
5509
0
1550
MASTERCARD INC CL A
COM
57636Q104
689
8000
SH
DFND
4000
0
4000
MCDONALDS CORP
COM
580135101
469
5005
SH
SOLE
5005
0
0
MCDONALDS CORP
COM
580135101
47
500
SH
DFND
0
0
500
MCGRAW HILL FINL INC COM
COM
580645109
178
2000
SH
SOLE
2000
0
0
MCGRAW HILL FINL INC COM
COM
580645109
53
600
SH
DFND
600
0
0
MEAD JOHNSON NUTRI CO COM CL A
COM
582839106
565
5624
SH
SOLE
4400
0
1224
MEAD JOHNSON NUTRI CO COM CL A
COM
582839106
654
6500
SH
DFND
5750
0
750
MEDTRONIC INC COM
COM
585055106
489
6773
SH
SOLE
6773
0
0
MERCK & CO INC NEW COM
COM
58933Y105
2766
48711
SH
SOLE
41871
0
6840
MERCK & CO INC NEW COM
COM
58933Y105
1691
29779
SH
DFND
24089
0
5690
METLIFE INC COM
COM
59156R108
2539
46949
SH
SOLE
43549
0
3400
METLIFE INC COM
COM
59156R108
346
6400
SH
DFND
4000
0
2400
MGM RESORTS INTERNATIO COM
COM
552953101
1940
90750
SH
SOLE
86950
0
3800
MICHAEL KORS HLDGS LTD SHS
COM
G60754101
207
2750
SH
SOLE
2500
0
250
MICROSOFT CORP COM
COM
594918104
5105
109903
SH
SOLE
102203
0
7700
MICROSOFT CORP COM
COM
594918104
130
2800
SH
DFND
1200
0
1600
MONDELEZ INTL INC CL A
COM
609207105
1055
29056
SH
SOLE
28056
0
1000
MONDELEZ INTL INC CL A
COM
609207105
811
22324
SH
DFND
18866
0
3458
MONSANTO CO NEW COM
COM
61166W101
1849
15480
SH
SOLE
14460
0
1020
MONSANTO CO NEW COM
COM
61166W101
402
3366
SH
DFND
2004
0
1362
MORGAN STANLEY COM NEW
COM
617446448
85
2200
SH
SOLE
2200
0
0
MORGAN STANLEY COM NEW
COM
617446448
257
6616
SH
DFND
5816
0
800
NATIONAL GRID PLC SPON ADR NEW
COM
636274300
294
4154
SH
SOLE
4154
0
0
NATIONAL OILWELL VARCO COM
COM
637071101
229
3500
SH
SOLE
1000
0
2500
NATIONAL OILWELL VARCO COM
COM
637071101
164
2500
SH
DFND
2500
0
0
NEXTERA ENERGY INC COM
COM
65339F101
782
7354
SH
SOLE
6654
0
700
NEXTERA ENERGY INC COM
COM
65339F101
391
3676
SH
DFND
2576
0
1100
NORDSTROM INC COM
COM
655664100
710
8937
SH
SOLE
8937
0
0
NORFOLK SOUTHERN CORP
COM
655844108
909
8292
SH
SOLE
7492
0
800
NORFOLK SOUTHERN CORP
COM
655844108
356
3250
SH
DFND
1950
0
1300
NRG YIELD INC COM CL A
COM
62942X108
341
7225
SH
SOLE
7225
0
0
NVIDIA CORP COM
COM
67066G104
525
26180
SH
SOLE
24180
0
2000
ONEOK PARTNERS LP UNIT LTD PAR
COM
68268N103
1306
32965
SH
SOLE
28965
0
4000
ONEOK PARTNERS LP UNIT LTD PAR
COM
68268N103
630
15900
SH
DFND
13900
0
2000
ORACLE CORP COM
COM
68389X105
543
12066
SH
SOLE
10066
0
2000
ORACLE CORP COM
COM
68389X105
90
2000
SH
DFND
0
0
2000
PENTAIR PLC F SHS
COM
G7S00T104
131
1976
SH
SOLE
1298
0
678
PENTAIR PLC F SHS
COM
G7S00T104
124
1873
SH
DFND
1590
0
283
PEPSICO INC
COM
713448108
8277
87532
SH
SOLE
72582
0
14950
PEPSICO INC
COM
713448108
1742
18420
SH
DFND
15080
0
3340
PETRA DIAMONDS LIMITED SHS
COM
G70278109
30
10000
SH
SOLE
10000
0
0
PFIZER INC
COM
717081103
5192
166678
SH
SOLE
147884
0
18794
PFIZER INC
COM
717081103
636
20420
SH
DFND
18600
0
1820
PHARMACYCLICS INC COM
COM
716933106
888
7260
SH
SOLE
6860
0
400
PHILIP MORRIS INTL INC COM
COM
718172109
3669
45047
SH
SOLE
44822
0
225
PHILIP MORRIS INTL INC COM
COM
718172109
2346
28800
SH
DFND
22800
0
6000
PLAINS ALL AM PIPELINE UNIT LT
COM
726503105
2097
40870
SH
SOLE
37162
0
3708
PLUM CREEK TIMBER CO COM
COM
729251108
237
5534
SH
SOLE
5534
0
0
PNC FINL SVCS GROUP COM
COM
693475105
131
1432
SH
SOLE
1432
0
0
PNC FINL SVCS GROUP COM
COM
693475105
401
4400
SH
DFND
3700
0
700
PPL CORP COM
COM
69351T106
204
5625
SH
SOLE
5625
0
0
PRAXAIR INC COM
COM
74005P104
806
6222
SH
SOLE
6222
0
0
PRAXAIR INC COM
COM
74005P104
220
1700
SH
DFND
1700
0
0
PROCTER & GAMBLE CO
COM
742718109
6426
70543
SH
SOLE
64904
0
5639
PROCTER & GAMBLE CO
COM
742718109
2373
26050
SH
DFND
18210
0
7840
PROLOGIS INC COM
COM
74340W103
151
3500
SH
SOLE
3500
0
0
PROLOGIS INC COM
COM
74340W103
65
1500
SH
DFND
1500
0
0
PULTE GROUP INC COM
COM
745867101
414
19283
SH
SOLE
19283
0
0
QUALCOMM INC COM
COM
747525103
1934
26023
SH
SOLE
19973
0
6050
REGENERON PHARMACEUTICALS
COM
75886F107
26720
65131
SH
SOLE
58561
0
6570
REGENERON PHARMACEUTICALS
COM
75886F107
410
1000
SH
DFND
0
0
1000
REPUBLIC SVCS INC COM
COM
760759100
165
4100
SH
SOLE
4100
0
0
REPUBLIC SVCS INC COM
COM
760759100
40
1000
SH
DFND
0
0
1000
ROYAL DUTCH SHELL PLC SPONS AD
COM
780259206
240
3588
SH
SOLE
3188
0
400
ROYAL DUTCH SHELL PLC SPONS AD
COM
780259206
107
1600
SH
DFND
1600
0
0
SANDISK CORP COM
COM
80004C101
9206
93959
SH
SOLE
85109
0
8850
SANDISK CORP COM
COM
80004C101
196
2000
SH
DFND
2000
0
0
SANOFI AVENTIS SPONSORED ADR
COM
80105N105
756
16577
SH
SOLE
14142
0
2435
SCHLUMBERGER LTD
COM
806857108
2583
30241
SH
SOLE
28241
0
2000
SCHLUMBERGER LTD
COM
806857108
154
1800
SH
DFND
800
0
1000
SCHOLASTIC CORP COM
COM
807066105
357
9800
SH
DFND
7800
0
2000
SEALED AIR CORP NEW COM
COM
81211K100
399
9400
SH
SOLE
9400
0
0
SIERRA GOLD CORP NEW COM
COM
826315103
0
200000
SH
SOLE
200000
0
0
SIMON PPTY GROUP NEW COM
COM
828806109
638
3504
SH
SOLE
3504
0
0
SIMON PPTY GROUP NEW COM
COM
828806109
3808
20908
SH
DFND
17433
0
3475
SONOCO PRODS CO COM
COM
835495102
218
5000
SH
SOLE
5000
0
0
SOUTHERN CO COM
COM
842587107
285
5800
SH
SOLE
5800
0
0
SOUTHERN CO COM
COM
842587107
113
2300
SH
DFND
500
0
1800
SOUTHWEST AIRLS CO
COM
844741108
37377
883209
SH
SOLE
841865
0
41344
SOUTHWEST AIRLS CO
COM
844741108
745
17605
SH
DFND
17605
0
0
SPECTRA ENERGY CORP COM
COM
847560109
296
8146
SH
SOLE
8146
0
0
SPECTRA ENERGY CORP COM
COM
847560109
381
10500
SH
DFND
7000
0
3500
STANLEY BLACK & DECKER COM
COM
854502101
1059
11024
SH
SOLE
11024
0
0
STARBUCKS CORP COM
COM
855244109
1835
22362
SH
SOLE
20912
0
1450
STARWOOD HOTELS&RESORT COM
COM
85590A401
1122
13836
SH
SOLE
11986
0
1850
STATE STR CORP COM
COM
857477103
314
4000
SH
DFND
4000
0
0
SYMANTEC CORP COM
COM
871503108
1327
51740
SH
SOLE
45740
0
6000
TARGET CORP COM
COM
87612E106
785
10336
SH
SOLE
9861
0
475
TARGET CORP COM
COM
87612E106
76
1000
SH
DFND
1000
0
0
TAUBMAN CTRS INC COM
COM
876664103
764
10000
SH
DFND
10000
0
0
TE CONNECTIVITY LTD REG SHS
COM
H84989104
63
1000
SH
SOLE
1000
0
0
TE CONNECTIVITY LTD REG SHS
COM
H84989104
464
7331
SH
DFND
6051
0
1280
TEREX CORP NEW COM
COM
880779103
803
28800
SH
SOLE
26600
0
2200
TEXAS INSTRS INC COM
COM
882508104
676
12639
SH
SOLE
12639
0
0
TEXAS INSTRS INC COM
COM
882508104
94
1750
SH
DFND
1250
0
500
THE ADT CORPORATION COM
COM
00101J106
96
2643
SH
SOLE
231
0
2412
THE ADT CORPORATION COM
COM
00101J106
113
3110
SH
DFND
2470
0
640
THERMO FISHER SCIENTIF COM
COM
883556102
3367
26871
SH
SOLE
24856
0
2015
THERMO FISHER SCIENTIF COM
COM
883556102
861
6875
SH
DFND
5375
0
1500
TIFFANY & CO NEW COM
COM
886547108
160
1500
SH
SOLE
1500
0
0
TIFFANY & CO NEW COM
COM
886547108
214
2000
SH
DFND
2000
0
0
TIME WARNER CABLE INC COM
COM
88732J207
252
1658
SH
SOLE
1658
0
0
TIME WARNER INC COM
COM
887317303
1173
13733
SH
SOLE
11263
0
2470
TIME WARNER INC COM
COM
887317303
103
1200
SH
DFND
1200
0
0
TOYOTA MOTOR CORP SP ADR REP2C
COM
892331307
812
6475
SH
SOLE
6475
0
0
TWENTY FIRST CENTY FOX CL A
COM
90130A101
399
10400
SH
SOLE
10400
0
0
TWENTY FIRST CENTY FOX CL A
COM
90130A101
384
10000
SH
DFND
10000
0
0
TWITTER INC COM
COM
90184L102
602
16795
SH
SOLE
15695
0
1100
TYCO INTL PLC SHS
COM
G91442106
934
21287
SH
SOLE
17462
0
3825
TYCO INTL PLC SHS
COM
G91442106
378
8625
SH
DFND
7345
0
1280
UNDER ARMOUR INC CL A
COM
904311107
8133
119785
SH
SOLE
112585
0
7200
UNDER ARMOUR INC CL A
COM
904311107
54
800
SH
DFND
800
0
0
UNION PAC CORP COM
COM
907818108
612
5136
SH
SOLE
1136
0
4000
UNITED HEALTHCARE CORP
COM
91324P102
2992
29595
SH
SOLE
28645
0
950
UNITED HEALTHCARE CORP
COM
91324P102
3083
30500
SH
DFND
26500
0
4000
UNITED PARCEL SERVICE CL B
COM
911312106
580
5215
SH
SOLE
5215
0
0
UNITED PARCEL SERVICE CL B
COM
911312106
145
1300
SH
DFND
500
0
800
UNITED TECHNOLOGIES CORP
COM
913017109
3058
26588
SH
SOLE
23088
0
3500
UNITED TECHNOLOGIES CORP
COM
913017109
489
4250
SH
DFND
3150
0
1100
US BANCORP DEL COM NEW
COM
902973304
221
4917
SH
SOLE
4917
0
0
VERIZON COMMUNICATIONS COM
COM
92343V104
1699
36329
SH
SOLE
31371
0
4958
VERIZON COMMUNICATIONS COM
COM
92343V104
148
3167
SH
DFND
2469
0
698
VERTEX PHARMACEUTICALS COM
COM
92532F100
5076
42730
SH
SOLE
38730
0
4000
VERTEX PHARMACEUTICALS COM
COM
92532F100
178
1500
SH
DFND
1500
0
0
VIACOM INC CL B
COM
92553P201
672
8928
SH
DFND
6174
0
2754
VISA INC COM CL A
COM
92826C839
5015
19127
SH
SOLE
18977
0
150
VISA INC COM CL A
COM
92826C839
3920
14950
SH
DFND
12150
0
2800
VISEON INC COM
COM
928297100
0
12000
SH
SOLE
12000
0
0
VODAFONE GROUP PLC NEW SPONS A
COM
92857W308
385
11260
SH
SOLE
10660
0
600
VODAFONE GROUP PLC NEW SPONS A
COM
92857W308
225
6573
SH
DFND
5126
0
1447
VORNADO RLTY TR SH BEN INT
COM
929042109
953
8100
SH
DFND
7300
0
800
WABCO HLDGS INC COM
COM
92927K102
210
2000
SH
DFND
2000
0
0
WAL MART STORES INC
COM
931142103
9037
105225
SH
SOLE
93475
0
11750
WAL MART STORES INC
COM
931142103
120
1400
SH
DFND
0
0
1400
WALGREENS BOOTS ALLIAN COM
COM
931427108
590
7743
SH
SOLE
1943
0
5800
WALGREENS BOOTS ALLIAN COM
COM
931427108
244
3200
SH
DFND
3200
0
0
WELLS FARGO & COMPANY
COM
949746101
2336
42604
SH
SOLE
42604
0
0
WELLS FARGO & COMPANY
COM
949746101
876
15984
SH
DFND
13984
0
2000
WEYERHAEUSER CO COM
COM
962166104
813
22654
SH
SOLE
21154
0
1500
WEYERHAEUSER CO COM
COM
962166104
54
1500
SH
DFND
0
0
1500
WILLIAMS COS INC DEL COM
COM
969457100
1484
33025
SH
SOLE
26925
0
6100
WILLIAMS COS INC DEL COM
COM
969457100
476
10600
SH
DFND
8000
0
2600
WILLIAMS PARTNERS L P COM UNIT
COM
96950F104
754
16840
SH
SOLE
13540
0
3300
WINDSTREAM HLDGS INC
COM
97382A101
749
90939
SH
SOLE
0
0
90939
XEROX CORP COM
COM
984121103
1044
75330
SH
SOLE
73830
0
1500
YAHOO INC COM
COM
984332106
1512
29940
SH
SOLE
29840
0
100
YELP INC CL A
COM
985817105
2336
42674
SH
SOLE
40634
0
2040
YUM BRANDS INC
COM
988498101
1571
21560
SH
SOLE
19248
0
2312
YUM BRANDS INC
COM
988498101
7
100
SH
DFND
100
0
0
ZIMMER HLDGS INC COM
COM
98956p102
391
3450
SH
SOLE
3450
0
0
ZIMMER HLDGS INC COM
COM
98956p102
231
2040
SH
DFND
1360
0
680
ISHARES RUS 1000 GRW ETF
ETF
464287614
211
2208
SH
SOLE
2208
0
0
ISHARES TR COHEN&ST RLTY
ETF
464287564
445
4600
SH
SOLE
4500
0
100
ISHARES TR DJ HOME CONSTN
ETF
464288752
843
32575
SH
SOLE
32475
0
100
ISHARES TR DJ OIL&GAS EXP
ETF
464288851
1555
21768
SH
SOLE
21068
0
700
ISHARES TR DJ OIL&GAS EXP
ETF
464288851
21
300
SH
DFND
300
0
0
ISHARES TR DJ US FINL SVC
ETF
464287770
2655
28911
SH
SOLE
28361
0
550
ISHARES TR DJ US FINL SVC
ETF
464287770
18
200
SH
DFND
200
0
0
ISHARES TR EPRA/NAR DEV R/E
ETF
464288489
407
13555
SH
SOLE
13555
0
0
ISHARES TR FTSE XNHUA IDX
ETF
464287184
456
10960
SH
SOLE
10760
0
200
ISHARES TR HGH DIV EQT FD
ETF
46429B663
480
6272
SH
SOLE
6272
0
0
ISHARES TR MSCI EAFE IDX
ETF
464287465
875
14374
SH
SOLE
12474
0
1900
ISHARES TR MSCI EAFE IDX
ETF
464287465
115
1897
SH
DFND
0
0
1897
ISHARES TR MSCI EMERG MKT
ETF
464287234
299
7610
SH
SOLE
7610
0
0
ISHARES TR MSCI EMERG MKT
ETF
464287234
8
200
SH
DFND
200
0
0
ISHARES TR NASDQ BIO INDX
ETF
464287556
2280
7515
SH
SOLE
7155
0
360
ISHARES TR NASDQ BIO INDX
ETF
464287556
258
850
SH
DFND
650
0
200
ISHARES TR PHLX SOX SEMICND
ETF
464287523
361
3890
SH
SOLE
3890
0
0
ISHARES TR RUSSELL MIDCAP
ETF
464287499
792
4741
SH
SOLE
4741
0
0
ISHARES TR S&P LTN AM 40
ETF
464287390
559
17581
SH
SOLE
17581
0
0
ISHARES TR S&P MIDCAP 400
ETF
464287507
218
1508
SH
SOLE
1508
0
0
ISHARES TR S&P500 GRW
ETF
464287309
755
6761
SH
SOLE
6761
0
0
ISHARES TR TRANSP AVE IDX
ETF
464287192
425
2590
SH
SOLE
2590
0
0
MARKET VECTORS ETF TR RETAIL E
ETF
57060U225
287
4000
SH
SOLE
4000
0
0
POWERSHARES ETF TRUST FTSE RAF
ETF
73935X583
475
5195
SH
SOLE
5195
0
0
POWERSHARES ETF TRUST FTSE US1
ETF
73935X567
309
3065
SH
SOLE
3065
0
0
POWERSHARES ETF TRUST WATER RE
ETF
73935X575
560
21763
SH
SOLE
21413
0
350
POWERSHARES INDIA ETF INDIA PO
ETF
73935L100
280
13330
SH
SOLE
12830
0
500
POWERSHARES QQQ TRUST UNIT SER
ETF
73935A104
2952
28592
SH
SOLE
27842
0
750
POWERSHARES QQQ TRUST UNIT SER
ETF
73935A104
217
2100
SH
DFND
1900
0
200
SELECT SECTOR SPDR TR SBI INT-
ETF
81369y605
532
21524
SH
SOLE
21524
0
0
SELECT SECTOR SPDR TR SBI MATE
ETF
81369Y100
397
8174
SH
SOLE
7374
0
800
SPDR GOLD TRUST GOLD SHS
ETF
78463V107
366
3225
SH
SOLE
3225
0
0
SPDR INDEX SHS FDS ASIA PACIF
ETF
78463X301
1172
14046
SH
SOLE
14046
0
0
SPDR INDEX SHS FDS DJWS INTL R
ETF
78463X863
438
10543
SH
SOLE
10543
0
0
SPDR SERIES TRUST S&P BIOTECH
ETF
78464A870
496
2660
SH
SOLE
2510
0
150
SPDR SERIES TRUST S&P BIOTECH
ETF
78464A870
196
1050
SH
DFND
1050
0
0
SPDR SERIES TRUST S&P DIVID ET
ETF
78464A763
305
3872
SH
SOLE
3872
0
0
SPDR SERIES TRUST S&P REGL BKG
ETF
78464A698
815
20035
SH
SOLE
20035
0
0
VANGUARD INDEX FDS MID CAP ETF
ETF
922908629
930
7525
SH
SOLE
7525
0
0
VANGUARD INDEX FDS MID CAP ETF
ETF
922908629
74
600
SH
DFND
0
0
600
VANGUARD INDEX FDS REIT ETF
ETF
922908553
234
2891
SH
SOLE
2891
0
0
VANGUARD INDEX FDS REIT ETF
ETF
922908553
40
500
SH
DFND
0
0
500
VANGUARD INDEX FDS S&P 500 ETF
ETF
922908363
385
2046
SH
SOLE
2046
0
0
VANGUARD INDEX FDS SM CP VAL E
ETF
922908611
463
4378
SH
SOLE
4378
0
0
VANGUARD INDEX FDS SMALL CP ET
ETF
922908751
1035
8872
SH
SOLE
8872
0
0
VANGUARD INDEX FDS SMALL CP ET
ETF
922908751
70
600
SH
DFND
0
0
600
VANGUARD INDEX FDS SML CP GRW
ETF
922908595
869
6899
SH
SOLE
6899
0
0
VANGUARD INDEX FDS STK MRK ETF
ETF
922908769
162
1533
SH
SOLE
1533
0
0
VANGUARD INDEX FDS STK MRK ETF
ETF
922908769
95
900
SH
DFND
900
0
0
VANGUARD INDEX FDS VALUE ETF
ETF
922908744
490
5794
SH
SOLE
5794
0
0
VANGUARD INTL EQTY IDX ALLWRLD
ETF
922042775
110
2348
SH
SOLE
2348
0
0
VANGUARD INTL EQTY IDX ALLWRLD
ETF
922042775
94
2000
SH
DFND
300
0
1700
VANGUARD INTL EQTY IDX EMR MKT
ETF
922042858
2029
50710
SH
SOLE
50160
0
550
VANGUARD INTL EQTY IDX EMR MKT
ETF
922042858
156
3900
SH
DFND
100
0
3800
VANGUARD INTL EQTY IDX GLB EX
ETF
922042676
995
18600
SH
SOLE
18600
0
0
VANGUARD INTL EQTY IDX GLB EX
ETF
922042676
48
900
SH
DFND
0
0
900
VANGUARD SPECIALIZED DIV APP E
ETF
921908844
459
5659
SH
SOLE
5659
0
0
VANGUARD SPECIALIZED DIV APP E
ETF
921908844
341
4200
SH
DFND
4200
0
0
VANGUARD TAX-MANAGED EUROPE PA
ETF
921943858
1543
40725
SH
SOLE
40725
0
0
VANGUARD WORLD FDS FINANCIALS
ETF
92204A405
358
7200
SH
SOLE
7200
0
0
WISDOMTREE TR EUROPE HEDGED EQ
ETF
97717X701
780
14028
SH
SOLE
12878
0
1150
WISDOMTREE TR EUROPE HEDGED EQ
ETF
97717X701
6
100
SH
DFND
100
0
0
WISDOMTREE TRUST DEFA FD
ETF
97717W703
563
11348
SH
SOLE
10648
0
700
WISDOMTREE TRUST EMG MKTS SMCA
ETF
97717W281
396
9178
SH
SOLE
8678
0
500
WISDOMTREE TRUST INDIA ERNGS F
ETF
97717W422
314
14220
SH
SOLE
14020
0
200
WISDOMTREE TRUST MIDCAP DIVI F
ETF
97717W505
502
6000
SH
SOLE
6000
0
0
WISDOMTREE TRUST SMALLCAP DIVI
ETF
97717W604
255
3600
SH
SOLE
3600
0
0
WISDOMTREE TRUST SMLCAP EARN F
ETF
97717W562
277
3350
SH
SOLE
3150
0
200
BANK OF AMERICA CORP PFD 1/120
PFD
060505583
786
39000
SH
SOLE
38400
0
600
BANK OF AMERICA CORP PFD 1/120
PFD
060505583
20
1000
SH
DFND
0
0
1000
BANK OF AMERICA CORP PFD PER1/
PFD
060505815
511
25000
SH
SOLE
25000
0
0
GOLDMAN SACHS GROUP IN PFD 1/1
PFD
38144X609
604
30150
SH
SOLE
29850
0
300
GOLDMAN SACHS GROUP IN SHS D 1
PFD
38144G804
569
28950
SH
SOLE
28950
0
0
GOLDMAN SACHS GROUP PFD A 1/10
PFD
38143Y665
1824
96300
SH
SOLE
93800
0
2500
GOLDMAN SACHS GROUP PFD A 1/10
PFD
38143Y665
73
3842
SH
DFND
0
0
3842
HSBC USA INC NEW PFD DEP 1/40
PFD
40428H888
765
32900
SH
SOLE
32200
0
700
HSBC USA INC NEW PFD DEP 1/40
PFD
40428H888
23
1000
SH
DFND
0
0
1000
METLIFE INC PFD A FLT RATE
PFD
59156R504
962
42000
SH
SOLE
41750
0
250
METLIFE INC PFD A FLT RATE
PFD
59156R504
48
2100
SH
DFND
200
0
1900
MORGAN STANLEY PFD A 1/1000
PFD
61747S504
1248
62550
SH
SOLE
62550
0
0