0001078013-18-000005.txt : 20181115 0001078013-18-000005.hdr.sgml : 20181115 20181115153837 ACCESSION NUMBER: 0001078013-18-000005 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181115 DATE AS OF CHANGE: 20181115 EFFECTIVENESS DATE: 20181115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GREAT LAKES ADVISORS, LLC CENTRAL INDEX KEY: 0001078013 IRS NUMBER: 363153396 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-05229 FILM NUMBER: 181187169 BUSINESS ADDRESS: STREET 1: 231 S. LASALLE STREET STREET 2: 4TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3124311700 MAIL ADDRESS: STREET 1: 231 S. LASALLE STREET STREET 2: 4TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 FORMER COMPANY: FORMER CONFORMED NAME: WAYNE HUMMER ASSET MANAGEMENT CO DATE OF NAME CHANGE: 20030303 FORMER COMPANY: FORMER CONFORMED NAME: WAYNE HUMMER MANAGEMENT CO DATE OF NAME CHANGE: 19990201 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001078013 XXXXXXXX 09-30-2018 09-30-2018 true 1 RESTATEMENT GREAT LAKES ADVISORS, LLC

231 S. LASALLE STREET 4TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-05229 N James Sommerfield 312-373-1167 James Sommerfield Chicago IL 11-15-2018 0 604 4536061 false INFORMATION TABLE 2 LST13FREPORTQ32018.xml GLA13FQ32018A 3M CO COM 88579Y101 477 2262 SH SOLE 0 0 2262 ABBOTT LABORATORIES COM 002824100 1066 14526 SH SOLE 0 0 14526 ABBVIE INC COM 00287Y109 1256 13281 SH SOLE 0 0 13281 ACCENTURE PLC IRELANDSHARES CLASS A COM G1151C101 270 1586 SH SOLE 0 0 1586 AETNA INC NEW COM 00817Y108 333 1640 SH SOLE 0 0 1640 ALLERGAN PLC COM G0177J108 1564 8213 SH SOLE 0 0 8213 ALPHABET INC VOTINGCAP STK CL A COM 02079K305 939 778 SH SOLE 0 0 778 ALPHABET INC NON VOTINGCAP STK CL C COM 02079K107 13808 11570 SH SOLE 0 0 11570 ALTRIA GROUP INC COM 02209S103 1773 29400 SH SOLE 0 0 29400 AMAZON COM INC COM 023135106 2025 1011 SH SOLE 0 0 1011 AMERICAN EXPRESS COMPANY COM 025816109 616 5780 SH SOLE 0 0 5780 AMERICAN FIN TR INCCOM CL A COM 02607T109 501 32804 SH SOLE 0 0 32804 AMERICAN INTL GROUP INC COM 026874784 261 4894 SH SOLE 0 0 4894 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PACER FDS TR ETFTRENDPILOT US MID CAPETF ETF 69374H204 248 7425 SH SOLE 0 0 7425 PACER TRENDPILOT ETFEUROPEAN INDEX ETF 69374H808 205 7740 SH SOLE 0 0 7740 PATTERSON COMPANIES INC COM 703395103 590 24150 SH SOLE 0 0 24150 PAYPAL HOLDINGS INC COM 70450Y103 1753 19958 SH SOLE 0 0 19958 PBF ENERGY INCCLASS A COM 69318G106 221 4426 SH SOLE 0 0 4426 PEPSICO INCORPORATED COM 713448108 421 3762 SH SOLE 0 0 3762 PFIZER INCORPORATED COM 717081103 1011 22939 SH SOLE 0 0 22939 PHILIP MORRISINTERNATIONAL INC COM 718172109 1225 15021 SH SOLE 0 0 15021 PHILLIPS 66 COM 718546104 814 7217 SH SOLE 0 0 7217 PIMCO MUNICIPAL INCOMEFUND II ETF 72200W106 250 18900 SH SOLE 0 0 18900 PNC FINANCIAL SERVICESGROUP COM 693475105 357 2623 SH SOLE 0 0 2623 PROCTER GAMBLE CO COM 742718109 713 8569 SH SOLE 0 0 8569 QUALCOMM INC COM 747525103 796 11048 SH SOLE 0 0 11048 QUALCOMM INC COM 747525903 300 5000 SH SOLE 0 0 5000 QURATE RETAIL INCSER A COM 74915M100 679 30556 SH SOLE 0 0 30556 REALPAGE INC COM 75606N109 1054 16000 SH SOLE 0 0 16000 REALTY INCOME CORPREIT COM 756109104 387 6810 SH SOLE 0 0 6810 RED HAT INC COM 756577102 931 6831 SH SOLE 0 0 6831 RED HAT INC COM 756577902 1155 7500 SH SOLE 0 0 7500 REPUBLIC SVCS INC COM 760759100 3593 49450 SH SOLE 0 0 49450 RIO TINTO PLCSPONSORED ADR ADR 767204100 388 7600 SH SOLE 0 0 7600 ROYAL DUTCH SHELL PLCADR B ADR 780259107 219 3081 SH SOLE 0 0 3081 ROYCE VALUE TRUST INC ETF 780910105 189 11554 SH SOLE 0 0 11554 RYMAN HOSPITALITY PPTYS COM 78377T107 626 7262 SH SOLE 0 0 7262 SALESFORCE COM COM 79466L302 204 1285 SH SOLE 0 0 1285 SCHWAB STRATEGIC TR ETFUS SMALL CAP ETF ETF 808524607 1490 19558 SH SOLE 0 0 19558 SCHWAB U S MID CAP ETF ETF 808524508 1437 24841 SH SOLE 0 0 24841 SCHWAB US LARGE CAP ETFVALUE ETF 808524409 1626 29002 SH SOLE 0 0 29002 SELECT SECTOR SPDR ETFTR FINANCIAL ETF 81369Y605 1264 45843 SH SOLE 0 0 45843 SELECT SECTOR SPDR ETFTR REAL ESTATE SELECTSECTOR SPDR FD ETF 81369Y860 392 12007 SH SOLE 0 0 12007 SELECT SECTOR SPDR F ETFHEALTH CARE ETF 81369Y209 699 7343 SH SOLE 0 0 7343 SELECT SECTOR SPDR F ETFMATERIALS ETF 81369Y100 330 5700 SH SOLE 0 0 5700 SELECT SECTOR SPDR T ETFCONSUMER STAPLES ETF 81369Y308 412 7643 SH SOLE 0 0 7643 SELECT SECTOR SPDR T ETFUTILITIES SELECT SECTOR ETF 81369Y886 750 14250 SH SOLE 0 0 14250 SEMPRA ENERGY COM 816851109 386 3393 SH SOLE 0 0 3393 SILICON MOTIONTECHNOLOGY ADR ADR 82706C108 362 6739 SH SOLE 0 0 6739 SPDR DOW JONES INDL ETFAVERAGE ETF TR ETF 78467X109 218 825 SH SOLE 0 0 825 SPDR S P 500 TRUST ETF ETF 78462F103 7261 24975 SH SOLE 0 0 24975 SPDR S P 500 TRUST ETF ETF 78462F903 18125 72500 SH SOLE 0 0 72500 SPDR S P BANK ETF ETF 78464A797 674 14469 SH SOLE 0 0 14469 SPDR S P DIVIDEND ETF ETF 78464A763 225 2299 SH SOLE 0 0 2299 SPDR S P MIDCAP 400 ETFTRUST SERIES N ETF 78467Y107 601 1636 SH SOLE 0 0 1636 SPDR SER TR ETFSPDR BLOOMBERG BARCLAYS1 3 MNTH T BILL ETF NEW ETF 78468R663 1068 11663 SH SOLE 0 0 11663 STARBUCKS CORP COM 855244109 759 13345 SH SOLE 0 0 13345 SYSCO CORPORATION COM 871829107 250 3407 SH SOLE 0 0 3407 TARGET CORP COM 87612E106 214 2431 SH SOLE 0 0 2431 TE CONNECTIVITY LTD COM H84989104 671 7628 SH SOLE 0 0 7628 TETRA TECH INC NEW COM 88162G903 315 4500 SH SOLE 0 0 4500 TEXAS INSTRUMENTS INC COM 882508104 372 3470 SH SOLE 0 0 3470 TEXAS ROADHOUSE INC COM COM 882681109 872 12581 SH SOLE 0 0 12581 THERMO FISHER SCIENTIFICINC COM 883556102 485 1987 SH SOLE 0 0 1987 TRAVELERS COS INC/ THE COM 89417E109 201 1553 SH SOLE 0 0 1553 TWITTER INC COM 90184L102 268 9430 SH SOLE 0 0 9430 UGI CORP NEW COM 902681105 370 6667 SH SOLE 0 0 6667 ULTA BEAUTY INC COM 90384S303 328 1164 SH SOLE 0 0 1164 UNION PACIFIC CORP COM 907818108 642 3940 SH SOLE 0 0 3940 UNITED STATES STEEL CORPNEW COM 912909108 305 10000 SH SOLE 0 0 10000 UNITED TECHNOLOGIES CORP COM 913017109 841 6014 SH SOLE 0 0 6014 UNITEDHEALTH GROUPINC COM 91324P102 254 954 SH SOLE 0 0 954 UNIVERSAL CORP VIRGINIA COM 913456109 2608 40125 SH SOLE 0 0 40125 US BANCORP NEW COM 902973304 335 6343 SH SOLE 0 0 6343 V F CORPORATION COM 918204108 1662 17782 SH SOLE 0 0 17782 VALERO ENERGY CORP NEW VALERO REFNG MKTING COM 91913Y100 1044 9181 SH SOLE 0 0 9181 VANECK VECTORS ETF TRETFJP MORGAN EMERGING MKTSLOC CURRENCY BD ETF ETF 92189F494 660 40100 SH SOLE 0 0 40100 VANECK VECTORS TR ETFMORNINGSTAR WIDE MOATETF ETF 92189F643 516 11047 SH SOLE 0 0 11047 VANECK VECTORS TR ETFPFD SECS EX FINL ETF ETF 92189F429 642 33050 SH SOLE 0 0 33050 VANECK VECTORS TR ETFPHARMACEUTICAL ETF ETF 92189F692 653 10150 SH SOLE 0 0 10150 VANGUARD CONSUMER ST ETFETF ETF 92204A207 4215 30081 SH SOLE 0 0 30081 VANGUARD DIVIDEND ETFAPPRECIATION ETF 921908844 5512 49791 SH SOLE 0 0 49791 VANGUARD EXTENDED ETFMARKET ETF 922908652 1184 9654 SH SOLE 0 0 9654 VANGUARD FINANCIALS ETF ETF 92204A405 523 7545 SH SOLE 0 0 7545 VANGUARD FTSE ETFDEVELOPED MARKETS ETF ETF 921943858 25371 586351 SH SOLE 0 0 586351 VANGUARD GLOBAL ETFEX U S REAL ESTATE ETF 922042676 307 5460 SH SOLE 0 0 5460 VANGUARD GROWTH ETF ETF 922908736 345 2142 SH SOLE 0 0 2142 VANGUARD HEALTH CARE ETF ETF 92204A504 2620 14520 SH SOLE 0 0 14520 VANGUARD INDEX FDS ETFREAL ESTATE INDEX FD ETF 922908553 1079 13373 SH SOLE 0 0 13373 VANGUARD INDEX FDS ETFS P 500 ETF SHS NEW ETF 922908363 7266 27207 SH SOLE 0 0 27207 VANGUARD INTL EQTY ETFINDEX FDS FTSE ALL WORLDEX US ETF 922042775 4909 94314 SH SOLE 0 0 94314 VANGUARD INTL EQUITY ETFINDEX FDS FTSE EMERGINGMKTS ETF ETF 922042858 25599 624356 SH SOLE 0 0 624356 VANGUARD INTL EQUITY ETFINDEX FDS FTSE EMERGINGMKTS ETF ETF 922042908 220 5000 SH SOLE 0 0 5000 VANGUARD MID CAP ETF ETF 922908629 312 1903 SH SOLE 0 0 1903 VANGUARD MID CAP ETFGROWTH FUND ETF 922908538 327 2298 SH SOLE 0 0 2298 VANGUARD S P 500 ETFGROWTH ETF 921932505 635 4001 SH SOLE 0 0 4001 VANGUARD SHORT TERM ETFCORP BD ETF 92206C409 3065 39217 SH SOLE 0 0 39217 VANGUARD SHORT TERM ETFTREASURY INDEX ETF 92206C102 482 8069 SH SOLE 0 0 8069 VANGUARD SMALL CAP ETF ETF 922908751 4293 26402 SH SOLE 0 0 26402 VANGUARD SMALL CAP ETFGROWTH ETF 922908595 2912 15545 SH SOLE 0 0 15545 VANGUARD SMALL CAP V ETFETF ETF 922908611 262 1880 SH SOLE 0 0 1880 VANGUARD TOTAL STOCK ETFMARKET ETF ETF 922908769 1279 8545 SH SOLE 0 0 8545 VERIZON COMMUNICATIONSCOM COM 92343V104 511 9575 SH SOLE 0 0 9575 VIACOM INC CL B COM 92553P201 437 12930 SH SOLE 0 0 12930 VISA INC CLASS A COM 92826C839 2837 18899 SH SOLE 0 0 18899 WALGREENS BOOTSALLIANCE INC COM 931427108 2196 30126 SH SOLE 0 0 30126 WALMART INC COM 931142103 1047 11154 SH SOLE 0 0 11154 WATERS CORPORATION COM 941848103 465 2386 SH SOLE 0 0 2386 WEC ENERGY GROUP INC COM 92939U106 310 4637 SH SOLE 0 0 4637 WELLS FARGO CO NEW COM 949746101 284 5395 SH SOLE 0 0 5395 WINTRUST FINL CORP COM 97650W108 278 3273 SH SOLE 0 0 3273 WISDOMTREE EMERGING ETFMARKETS HIGH DIVIDEND FD ETF 97717W315 243 5564 SH SOLE 0 0 5564 WISDOMTREE US MIDCAP ETFDIVIDEND FUND ETF 97717W505 513 13913 SH SOLE 0 0 13913 WORLDPAY INCCLASS A COM 981558109 232 2295 SH SOLE 0 0 2295 XTRACKERS MSCI EAFE ETFEQUITY ETF 233051200 219 6773 SH SOLE 0 0 6773 YUM BRANDS INC COM 988498101 223 2456 SH SOLE 0 0 2456