Executive Vice President, General Counsel and Secretary

0001104659-18-068468.txt : 20181114 0001104659-18-068468.hdr.sgml : 20181114 20181114163128 ACCESSION NUMBER: 0001104659-18-068468 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hilltop Holdings Inc. CENTRAL INDEX KEY: 0001265131 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 841477939 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15359 FILM NUMBER: 181184409 BUSINESS ADDRESS: STREET 1: 2323 VICTORY AVENUE STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75219 BUSINESS PHONE: 214.855.2177 MAIL ADDRESS: STREET 1: 2323 VICTORY AVENUE STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75219 FORMER COMPANY: FORMER CONFORMED NAME: AFFORDABLE RESIDENTIAL COMMUNITIES INC DATE OF NAME CHANGE: 20030929 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001265131 XXXXXXXX 09-30-2018 09-30-2018 false Hilltop Holdings Inc.

2323 Victory Avenue Suite 1400 Dallas TX 75219

13F HOLDINGS REPORT 028-15359 N Corey G. Prestidge Executive Vice President, General Counsel and Secretary 214-855-2177 /s/ Corey G. Prestidge Dallas TX 11-14-2018 4 661 476497 false 1 0001569620 028-15365 PlainsCapital Corp 2 0001534401 028-15369 PlainsCapital Bank 3 0000878520 028-18782 Hilltop Securities Holdings LLC 4 0000891055 028-18780 HILLTOP SECURITIES INC. 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DFND 1,2 11601 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 908 4886 SH DFND 3,4 0 0 4886 INVESCO QQQ TR UNIT SER 1 46090E103 3530 19000 SH Put DFND 3,4 0 0 19000 INVESCO QQQ TR UNIT SER 1 46090E103 5705 30708 SH DFND 1,2 30708 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 885 14692 SH DFND 1,2 14602 0 90 ISHARES SILVER TRUST ISHARES 46428Q109 430 31301 SH DFND 3,4 0 0 31301 ISHARES TR 1 3 YR TREAS BD 464287457 158 1905 SH DFND 3,4 0 0 1905 ISHARES TR 20 YR TR BD ETF 464287432 299 2549 SH DFND 3,4 0 0 2549 ISHARES TR 20 YR TR BD ETF 464287432 2111 18000 SH Put DFND 3,4 0 0 18000 ISHARES TR CHINA LG-CAP ETF 464287184 825 19275 SH DFND 3,4 0 0 19275 ISHARES TR CORE MSCI TOTAL 46432F834 422 7000 SH DFND 3,4 0 0 7000 ISHARES TR CORE S&P MCP ETF 464287507 2179 10827 SH DFND 3,4 0 0 10827 ISHARES TR CORE S&P SCP ETF 464287804 1323 15166 SH DFND 3,4 0 0 15166 ISHARES TR CORE S&P TTL STK 464287150 938 14075 SH DFND 3,4 0 0 14075 ISHARES TR CORE S&P500 ETF 464287200 1016 3472 SH DFND 3,4 0 0 3472 ISHARES TR FLTG RATE NT ETF 46429B655 556 10894 SH DFND 3,4 0 0 10894 ISHARES TR GLB CNSM STP ETF 464288737 400 7952 SH DFND 3,4 0 0 7952 ISHARES TR IBONDS DEC22 ETF 46434VBA7 777 31935 SH DFND 3,4 0 0 31935 ISHARES TR IBONDS DEC24 ETF 46434VBG4 983 40780 SH DFND 3,4 0 0 40780 ISHARES TR IBOXX HI YD ETF 464288513 165 1910 SH DFND 3,4 0 0 1910 ISHARES TR IBOXX INV CP ETF 464287242 2 18 SH DFND 3,4 0 0 18 ISHARES TR INTL MOMENTUM FT 46434V449 2152 70661 SH DFND 3,4 0 0 70661 ISHARES TR INTL SEL DIV ETF 464288448 104 3200 SH DFND 3,4 0 0 3200 ISHARES TR MSCI EAFE ETF 464287465 293 4309 SH DFND 3,4 0 0 4309 ISHARES TR MSCI EMG MKT ETF 464287234 30 710 SH DFND 3,4 0 0 710 ISHARES TR RUS 2000 GRW ETF 464287648 10 45 SH DFND 3,4 0 0 45 ISHARES TR RUSSELL 2000 ETF 464287655 649 3849 SH DFND 3,4 0 0 3849 ISHARES TR S&P MC 400GR ETF 464287606 6 24 SH DFND 3,4 0 0 24 ISHARES TR S&P US PFD STK 464288687 15 400 SH DFND 3,4 0 0 400 ISHARES TR SELECT DIVID ETF 464287168 682 6833 SH DFND 3,4 0 0 6833 ISHARES TR SH TR CRPORT ETF 464288646 364 7022 SH DFND 3,4 0 0 7022 ISHARES TR SHORT TREAS BD 464288679 2185 19780 SH DFND 3,4 0 0 19780 ISHARES TR SHRT NAT MUN ETF 464288158 554 5291 SH DFND 3,4 0 0 5291 ISHARES TR TIPS BD ETF 464287176 1168 10562 SH DFND 3,4 0 0 10562 ISHARES TR US AER DEF ETF 464288760 1871 8646 SH DFND 3,4 0 0 8646 ISHARES TR USA MOMENTUM FCT 46432F396 3550 29831 SH DFND 3,4 0 0 29831 ISHARES TR 1 3 YR TREAS BD 464287457 8382 100880 SH DFND 1,2 100552 21 307 ISHARES TR 20 YR TR BD ETF 464287432 10729 91491 SH DFND 1,2 91431 0 60 ISHARES TR 3 7 YR TREAS BD 464288661 4714 39590 SH DFND 1,2 38925 30 635 ISHARES TR CORE 1 5 YR USD 46432F859 3040 62031 SH DFND 1,2 61901 0 130 ISHARES TR CORE S&P MCP ETF 464287507 1478 7341 SH DFND 1,2 7341 0 0 ISHARES TR CORE S&P SCP ETF 464287804 6216 71260 SH DFND 1,2 71260 0 0 ISHARES TR CORE S&P500 ETF 464287200 427 1458 SH DFND 1,2 1458 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 12344 241956 SH DFND 1,2 237711 192 4053 ISHARES TR IBOXX HI YD ETF 464288513 107 1233 SH DFND 1,2 1233 0 0 ISHARES TR IBOXX INV CP ETF 464287242 4553 39619 SH DFND 1,2 39347 19 253 ISHARES TR INTL SEL DIV ETF 464288448 3398 104160 SH DFND 1,2 103969 0 191 ISHARES TR INTRM TR CRP ETF 464288638 1081 20361 SH DFND 1,2 19699 0 662 ISHARES TR JPMORGAN USD EMG 464288281 1450 13452 SH DFND 1,2 13255 17 180 ISHARES TR MBS ETF 464288588 10538 101992 SH DFND 1,2 100184 77 1731 ISHARES TR MSCI EAFE ETF 464287465 2020 29707 SH DFND 1,2 29707 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 304 7075 SH DFND 1,2 4407 0 2668 ISHARES TR MSCI EURO FL ETF 464289180 264 13002 SH DFND 1,2 13002 0 0 ISHARES TR MSCI KLD400 SOC 464288570 616 5770 SH DFND 1,2 5770 0 0 ISHARES TR RUS 1000 ETF 464287622 1331 8228 SH DFND 1,2 8228 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 333 2133 SH DFND 1,2 2133 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 340 1583 SH DFND 1,2 1583 0 0 ISHARES TR RUS MID CAP ETF 464287499 944 4282 SH DFND 1,2 4282 0 0 ISHARES TR RUS TOP 200 ETF 464289446 7838 115975 SH DFND 1,2 115571 0 404 ISHARES TR RUSSELL 2000 ETF 464287655 1910 11334 SH DFND 1,2 11334 0 0 ISHARES TR S&P MC 400GR ETF 464287606 359 1540 SH DFND 1,2 1540 0 0 ISHARES TR S&P MC 400VL ETF 464287705 234 1400 SH DFND 1,2 1400 0 0 ISHARES TR S&P US PFD STK 464288687 4630 124720 SH DFND 1,2 124018 525 177 ISHARES TR SELECT DIVID ETF 464287168 247 2472 SH DFND 1,2 2472 0 0 ISHARES TR SH TR CRPORT ETF 464288646 5770 111316 SH DFND 1,2 110886 0 430 ISHARES TR SHORT TREAS BD 464288679 54 485 SH DFND 1,2 485 0 0 JOHNSON & JOHNSON COM 478160104 1162 8411 SH DFND 3,4 0 0 8411 JOHNSON & JOHNSON COM 478160104 1745 12628 SH DFND 1,2 12544 78 6 JPMORGAN CHASE & CO COM 46625H100 3079 27284 SH DFND 3,4 0 0 27284 JPMORGAN CHASE & CO COM 46625H100 1055 9345 SH DFND 1,2 9340 0 5 KAYNE ANDERSN MLP MIDS INVT COM 486606106 1326 74331 SH DFND 1,2 74331 0 0 KIMBERLY CLARK CORP COM 494368103 130 1146 SH DFND 3,4 0 0 1146 KIMBERLY CLARK CORP COM 494368103 980 8623 SH DFND 1,2 8436 187 0 KNOWLES CORP COM 49926D109 453 27249 SH DFND 1,2 27147 0 102 KRAFT HEINZ CO COM 500754106 22 394 SH DFND 3,4 0 0 394 KRAFT HEINZ CO COM 500754106 304 5505 SH DFND 1,2 5300 205 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 356 2049 SH DFND 3,4 0 0 2049 LABORATORY CORP AMER HLDGS COM NEW 50540R409 127 728 SH DFND 1,2 728 0 0 LAM RESEARCH CORP COM 512807108 256 1688 SH DFND 1,2 1688 0 0 LAS VEGAS SANDS CORP COM 517834107 77 1290 SH DFND 3,4 0 0 1290 LAS VEGAS SANDS CORP COM 517834107 265 4462 SH DFND 1,2 4455 0 7 LEGGETT & PLATT INC COM 524660107 40 913 SH DFND 3,4 0 0 913 LEGGETT & PLATT INC COM 524660107 167 3807 SH DFND 1,2 3768 35 4 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 79 26140 SH DFND 1,2 26140 0 0 LOCKHEED MARTIN CORP COM 539830109 1746 5046 SH DFND 3,4 0 0 5046 LOCKHEED MARTIN CORP COM 539830109 851 2460 SH DFND 1,2 2432 27 1 LOWES COS INC COM 548661107 190 1651 SH DFND 3,4 0 0 1651 LOWES COS INC COM 548661107 211 1836 SH DFND 1,2 1836 0 0 M D C HLDGS INC COM 552676108 219 7400 SH DFND 3,4 0 0 7400 MARATHON PETE CORP COM 56585A102 241 3014 SH DFND 3,4 0 0 3014 MARATHON PETE CORP COM 56585A102 138 1721 SH DFND 1,2 1721 0 0 MARSH & MCLENNAN COS INC COM 571748102 346 4184 SH DFND 3,4 0 0 4184 MARSH & MCLENNAN COS INC COM 571748102 61 743 SH DFND 1,2 743 0 0 MASTERCARD INCORPORATED CL A 57636Q104 1207 5421 SH DFND 3,4 0 0 5421 MASTERCARD INCORPORATED CL A 57636Q104 1029 4622 SH DFND 1,2 4500 0 122 MAXIM INTEGRATED PRODS INC COM 57772K101 12 216 SH DFND 3,4 0 0 216 MAXIM INTEGRATED PRODS INC COM 57772K101 251 4450 SH DFND 1,2 4444 0 6 MCCORMICK & CO INC COM NON VTG 579780206 231 1754 SH DFND 3,4 0 0 1754 MCCORMICK & CO INC COM NON VTG 579780206 115 874 SH DFND 1,2 874 0 0 MCDONALDS CORP COM 580135101 498 2978 SH DFND 3,4 0 0 2978 MCDONALDS CORP COM 580135101 1143 6836 SH DFND 1,2 6833 0 3 MEDTRONIC PLC SHS G5960L103 146 1480 SH DFND 3,4 0 0 1480 MEDTRONIC PLC SHS G5960L103 131 1336 SH DFND 1,2 1336 0 0 MERCADOLIBRE INC COM 58733R102 460 1350 SH DFND 3,4 0 0 1350 MERCK & CO INC COM 58933Y105 240 3385 SH DFND 3,4 0 0 3385 MERCK & CO INC COM 58933Y105 842 11873 SH DFND 1,2 11868 0 5 MICRON TECHNOLOGY INC COM 595112103 183 4045 SH DFND 3,4 0 0 4045 MICRON TECHNOLOGY INC COM 595112103 40 874 SH DFND 1,2 874 0 0 MICROSOFT CORP COM 594918104 4546 39747 SH DFND 3,4 0 0 39747 MICROSOFT CORP COM 594918104 2145 18760 SH DFND 1,2 18664 46 50 MIDDLEBY CORP COM 596278101 320 2473 SH DFND 1,2 2345 0 128 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 167 26980 SH DFND 1,2 26980 0 0 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 49 13985 SH DFND 1,2 13985 0 0 MORGAN STANLEY COM NEW 617446448 29 625 SH DFND 3,4 0 0 625 MORGAN STANLEY COM NEW 617446448 180 3863 SH DFND 1,2 3863 0 0 MOTUS GI HLDGS INC COM 62014P108 618 121100 SH DFND 3,4 0 0 121100 MURPHY USA INC COM 626755102 835 9771 SH DFND 1,2 9643 0 128 NATIONAL GRID PLC SPONSORED ADR NE 636274409 6 114 SH DFND 3,4 0 0 114 NATIONAL GRID PLC SPONSORED ADR NE 636274409 806 15539 SH DFND 1,2 14990 549 0 NETFLIX INC COM 64110L106 1679 4489 SH DFND 3,4 0 0 4489 NETFLIX INC COM 64110L106 718 1918 SH DFND 1,2 1918 0 0 NEWFIELD EXPL CO COM 651290108 667 23171 SH DFND 1,2 22809 0 362 NEXTERA ENERGY INC COM 65339F101 108 643 SH DFND 3,4 0 0 643 NEXTERA ENERGY INC COM 65339F101 524 3130 SH DFND 1,2 3128 0 2 NGL ENERGY PARTNERS LP COM UNIT REPST 62913M107 139 12000 SH DFND 3,4 0 0 12000 NIKE INC CL B 654106103 117 1382 SH DFND 3,4 0 0 1382 NIKE INC CL B 654106103 137 1615 SH DFND 1,2 1615 0 0 NORFOLK SOUTHERN CORP COM 655844108 339 1880 SH DFND 3,4 0 0 1880 NORFOLK SOUTHERN CORP COM 655844108 215 1194 SH DFND 1,2 1194 0 0 NORTHROP GRUMMAN CORP COM 666807102 559 1762 SH DFND 3,4 0 0 1762 NORTHROP GRUMMAN CORP COM 666807102 253 797 SH DFND 1,2 797 0 0 NOVARTIS A G SPONSORED ADR 66987V109 14 167 SH DFND 3,4 0 0 167 NOVARTIS A G SPONSORED ADR 66987V109 430 4993 SH DFND 1,2 4993 0 0 NOVO-NORDISK A S ADR 670100205 371 7869 SH DFND 1,2 7855 0 14 NUVEEN MUN VALUE FD INC COM 670928100 224 23914 SH DFND 3,4 0 0 23914 NUVEEN MUN VALUE FD INC COM 670928100 121 12879 SH DFND 1,2 12879 0 0 NUVEEN SELECT MAT MUN FD SH BEN INT 67061T101 119 12371 SH DFND 3,4 0 0 12371 NUVEEN SR INCOME FD COM 67067Y104 95 15500 SH DFND 3,4 0 0 15500 NVENT ELECTRIC PLC SHS G6700G107 213 7867 SH DFND 1,2 7691 0 176 NVIDIA CORP COM 67066G104 170 605 SH DFND 3,4 0 0 605 NVIDIA CORP COM 67066G104 273 972 SH DFND 1,2 972 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 303 3683 SH DFND 3,4 0 0 3683 OCCIDENTAL PETE CORP DEL COM 674599105 1173 14276 SH DFND 1,2 13797 479 0 OGE ENERGY CORP COM 670837103 153 4200 SH DFND 3,4 0 0 4200 OGE ENERGY CORP COM 670837103 372 10240 SH DFND 1,2 9935 0 305 OLLIES BARGAIN OUTLT HLDGS I COM 681116109 538 5603 SH DFND 3,4 0 0 5603 OLLIES BARGAIN OUTLT HLDGS I COM 681116109 10 109 SH DFND 1,2 109 0 0 ONEOK INC NEW COM 682680103 98 1451 SH DFND 3,4 0 0 1451 ONEOK INC NEW COM 682680103 344 5063 SH DFND 1,2 5056 0 7 ORACLE CORP COM 68389X105 20 387 SH DFND 3,4 0 0 387 ORACLE CORP COM 68389X105 272 5274 SH DFND 1,2 5274 0 0 ORGANOVO HLDGS INC COM 68620A104 25 21367 SH DFND 3,4 0 0 21367 PACER FDS TR TRENDP US LAR CP 69374H105 542 17218 SH DFND 3,4 0 0 17218 PACER FDS TR TRENDPILOT EUR 69374H808 255 9616 SH DFND 3,4 0 0 9616 PAGSEGURO DIGITAL LTD COM CL A G68707101 469 16960 SH DFND 3,4 0 0 16960 PARATEK PHARMACEUTICALS INC COM 699374302 318 32800 SH DFND 3,4 0 0 32800 PAYCHEX INC COM 704326107 38 510 SH DFND 3,4 0 0 510 PAYCHEX INC COM 704326107 455 6181 SH DFND 1,2 6170 0 11 PAYPAL HLDGS INC COM 70450Y103 377 4295 SH DFND 3,4 0 0 4295 PAYPAL HLDGS INC COM 70450Y103 292 3327 SH DFND 1,2 3327 0 0 PBF ENERGY INC CL A 69318G106 309 6185 SH DFND 3,4 0 0 6185 PENTAIR PLC SHS G7S00T104 397 9154 SH DFND 1,2 8978 0 176 PEOPLES UNITED FINANCIAL INC COM 712704105 7 390 SH DFND 3,4 0 0 390 PEOPLES UNITED FINANCIAL INC COM 712704105 541 31625 SH DFND 1,2 31158 450 17 PEPSICO INC COM 713448108 614 5493 SH DFND 3,4 0 0 5493 PEPSICO INC COM 713448108 936 8373 SH DFND 1,2 8002 113 258 PERMIAN BASIN RTY TR UNIT BEN INT 714236106 21 2600 SH DFND 3,4 0 0 2600 PERMIAN BASIN RTY TR UNIT BEN INT 714236106 210 26430 SH DFND 1,2 26430 0 0 PFIZER INC COM 717081103 422 9584 SH DFND 3,4 0 0 9584 PFIZER INC COM 717081103 1269 28818 SH DFND 1,2 28625 184 9 PHILIP MORRIS INTL INC COM 718172109 379 4652 SH DFND 3,4 0 0 4652 PHILIP MORRIS INTL INC COM 718172109 2131 26131 SH DFND 1,2 25805 321 5 PHILLIPS 66 COM 718546104 274 2433 SH DFND 3,4 0 0 2433 PHILLIPS 66 COM 718546104 570 5056 SH DFND 1,2 4898 0 158 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 513 5053 SH DFND 3,4 0 0 5053 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 882 8672 SH DFND 1,2 8653 0 19 PIMCO INCOME STRATEGY FUND I COM 72201J104 145 13750 SH DFND 3,4 0 0 13750 PLAYAGS INC COM 72814N104 631 21400 SH DFND 3,4 0 0 21400 POLARIS INDS INC COM 731068102 815 8068 SH DFND 1,2 7978 0 90 PPL CORP COM 69351T106 12 396 SH DFND 3,4 0 0 396 PPL CORP COM 69351T106 739 25270 SH DFND 1,2 24758 512 0 PROCTER AND GAMBLE CO COM 742718109 528 6344 SH DFND 3,4 0 0 6344 PROCTER AND GAMBLE CO COM 742718109 1268 15239 SH DFND 1,2 14862 371 6 PRUDENTIAL FINL INC COM 744320102 515 5087 SH DFND 1,2 5034 51 2 PUBLIC STORAGE COM 74460D109 654 3244 SH DFND 1,2 3129 115 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 511 9681 SH DFND 1,2 9418 263 0 PVH CORP COM 693656100 324 2243 SH DFND 3,4 0 0 2243 PVH CORP COM 693656100 271 1877 SH DFND 1,2 1877 0 0 QUALCOMM INC COM 747525103 2 21 SH DFND 3,4 0 0 21 QUALCOMM INC COM 747525103 338 4689 SH DFND 1,2 4686 0 3 RAYTHEON CO COM NEW 755111507 474 2293 SH DFND 3,4 0 0 2293 RAYTHEON CO COM NEW 755111507 126 610 SH DFND 1,2 610 0 0 REALTY INCOME CORP COM 756109104 57 998 SH DFND 3,4 0 0 998 REALTY INCOME CORP COM 756109104 401 7048 SH DFND 1,2 6871 177 0 RIO TINTO PLC SPONSORED ADR 767204100 171 3360 SH DFND 3,4 0 0 3360 RIO TINTO PLC SPONSORED ADR 767204100 229 4489 SH DFND 1,2 4489 0 0 ROCKWELL COLLINS INC COM 774341101 308 2193 SH DFND 3,4 0 0 2193 ROCKWELL COLLINS INC COM 774341101 18 131 SH DFND 1,2 131 0 0 ROSS STORES INC COM 778296103 368 3710 SH DFND 3,4 0 0 3710 ROSS STORES INC COM 778296103 55 557 SH DFND 1,2 557 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 137 1710 SH DFND 3,4 0 0 1710 ROYAL BK CDA MONTREAL QUE COM 780087102 132 1643 SH DFND 1,2 1643 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 15 205 SH DFND 3,4 0 0 205 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 317 4469 SH DFND 1,2 4469 0 0 RUMBLEON INC CL B 781386206 682 65100 SH DFND 3,4 0 0 65100 SABINE ROYALTY TR UNIT BEN INT 785688102 422 10000 SH DFND 1,2 10000 0 0 SALESFORCE COM INC COM 79466L302 339 2131 SH DFND 1,2 2131 0 0 SANOFI SPONSORED ADR 80105N105 7 155 SH DFND 3,4 0 0 155 SANOFI SPONSORED ADR 80105N105 476 10658 SH DFND 1,2 10458 200 0 SAP SE SPON ADR 803054204 1 9 SH DFND 3,4 0 0 9 SAP SE SPON ADR 803054204 267 2168 SH DFND 1,2 2168 0 0 SCHLUMBERGER LTD COM 806857108 110 1805 SH DFND 3,4 0 0 1805 SCHLUMBERGER LTD COM 806857108 218 3581 SH DFND 1,2 3528 50 3 SCHWAB CHARLES CORP NEW COM 808513105 276 5622 SH DFND 3,4 0 0 5622 SCHWAB CHARLES CORP NEW COM 808513105 73 1480 SH DFND 1,2 1480 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 2500 33000 SH DFND 33000 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 206 2715 SH DFND 3,4 0 0 2715 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 186 1589 SH DFND 3,4 0 0 1589 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 475 8812 SH DFND 3,4 0 0 8812 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 25 265 SH DFND 3,4 0 0 265 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2252 81645 SH DFND 3,4 0 0 81645 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 204 2608 SH DFND 3,4 0 0 2608 SELECT SECTOR SPDR TR ENERGY 81369Y506 15 202 SH DFND 1,2 202 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 214 1829 SH DFND 1,2 1829 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 738 13687 SH DFND 1,2 13687 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 620 6518 SH DFND 1,2 6518 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 10 380 SH DFND 1,2 380 0 0 SENSEONICS HLDGS INC COM 81727U105 68 14225 SH DFND 3,4 0 0 14225 SHERWIN WILLIAMS CO COM 824348106 56 122 SH DFND 3,4 0 0 122 SHERWIN WILLIAMS CO COM 824348106 523 1150 SH DFND 1,2 1100 0 50 SHOPIFY INC CL A 82509L107 255 1550 SH DFND 1,2 1550 0 0 SHOTSPOTTER INC COM 82536T107 380 6200 SH DFND 3,4 0 0 6200 SIMON PPTY GROUP INC NEW COM 828806109 15 86 SH DFND 3,4 0 0 86 SIMON PPTY GROUP INC NEW COM 828806109 229 1294 SH DFND 1,2 1292 0 2 SONY CORP SPONSORED ADR 835699307 265 4376 SH DFND 1,2 4376 0 0 SOUTHERN CO COM 842587107 29 659 SH DFND 3,4 0 0 659 SOUTHERN CO COM 842587107 840 19286 SH DFND 1,2 18780 506 0 SOUTHWEST AIRLS CO COM 844741108 438 7021 SH DFND 3,4 0 0 7021 SOUTHWEST AIRLS CO COM 844741108 436 6986 SH DFND 1,2 6986 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 331 1251 SH DFND 3,4 0 0 1251 SPDR GOLD TRUST GOLD SHS 78463V107 2746 24356 SH DFND 3,4 0 0 24356 SPDR GOLD TRUST GOLD SHS 78463V107 358 3169 SH DFND 1,2 3169 0 0 SPDR INDEX SHS FDS S&P NORTH AMER 78463X152 1583 46144 SH DFND 3,4 0 0 46144 SPDR S&P 500 ETF TR TR UNIT 78462F103 3053 10500 SH DFND 10500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1399 4813 SH DFND 3,4 0 0 4813 SPDR S&P 500 ETF TR TR UNIT 78462F103 581 2000 SH Put DFND 3,4 0 0 2000 SPDR S&P 500 ETF TR TR UNIT 78462F103 7352 25289 SH DFND 1,2 25289 0 0 SPDR SER TR BLOMBERG BRC INV 78468R200 2516 81730 SH DFND 3,4 0 0 81730 SPDR SER TR SPDR BLOOMBERG 78468R663 1945 21239 SH DFND 3,4 0 0 21239 SPDR SER TR BLOOMBERG SRT TR 78468R408 3755 136124 SH DFND 1,2 135964 0 160 SPDR SERIES TRUST AEROSPACE DEF 78464A631 200 2009 SH DFND 3,4 0 0 2009 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 283 5241 SH DFND 3,4 0 0 5241 SPDR SERIES TRUST BLOMBRG BRC MRTG 78464A383 433 17164 SH DFND 3,4 0 0 17164 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 308 9262 SH DFND 3,4 0 0 9262 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 1621 44839 SH DFND 3,4 0 0 44839 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 276 6376 SH DFND 3,4 0 0 6376 SPDR SERIES TRUST S&P REGL BKG 78464A698 2336 39307 SH DFND 3,4 0 0 39307 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 3290 61002 SH DFND 1,2 60345 295 362 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1385 38437 SH DFND 1,2 38437 0 0 SQUARE INC CL A 852234103 758 7655 SH DFND 3,4 0 0 7655 SQUARE INC CL A 852234103 3 28 SH DFND 1,2 28 0 0 STARBUCKS CORP COM 855244109 32 567 SH DFND 3,4 0 0 567 STARBUCKS CORP COM 855244109 558 9815 SH DFND 1,2 9616 0 199 STARWOOD PPTY TR INC COM 85571B105 107 4950 SH DFND 3,4 0 0 4950 STARWOOD PPTY TR INC COM 85571B105 127 5903 SH DFND 1,2 5903 0 0 STRYKER CORP COM 863667101 108 608 SH DFND 3,4 0 0 608 STRYKER CORP COM 863667101 161 903 SH DFND 1,2 903 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 120 14951 SH DFND 1,2 14951 0 0 SYSCO CORP COM 871829107 110 1500 SH DFND 3,4 0 0 1500 SYSCO CORP COM 871829107 173 2355 SH DFND 1,2 2355 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 256 5793 SH DFND 1,2 5793 0 0 TARGET CORP COM 87612E106 129 1464 SH DFND 3,4 0 0 1464 TARGET CORP COM 87612E106 277 3133 SH DFND 1,2 3090 41 2 TEXAS INSTRS INC COM 882508104 143 1335 SH DFND 3,4 0 0 1335 TEXAS INSTRS INC COM 882508104 508 4734 SH DFND 1,2 4683 51 0 THERMO FISHER SCIENTIFIC INC COM 883556102 100 411 SH DFND 3,4 0 0 411 THERMO FISHER SCIENTIFIC INC COM 883556102 722 2957 SH DFND 1,2 2838 0 119 THOR INDS INC COM 885160101 839 10025 SH DFND 1,2 9861 0 164 TIMKEN CO COM 887389104 795 15962 SH DFND 1,2 15794 0 168 TJX COS INC NEW COM 872540109 540 4819 SH DFND 3,4 0 0 4819 TJX COS INC NEW COM 872540109 621 5548 SH DFND 1,2 5344 0 204 TORONTO DOMINION BK ONT COM NEW 891160509 240 3948 SH DFND 1,2 3948 0 0 TOTAL S A SPONSORED ADR 89151E109 13 200 SH DFND 3,4 0 0 200 TOTAL S A SPONSORED ADR 89151E109 1053 16351 SH DFND 1,2 15956 395 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 255 2049 SH DFND 1,2 2049 0 0 TPI COMPOSITES INC COM 87266J104 271 9476 SH DFND 3,4 0 0 9476 TRINITY INDS INC COM 896522109 43 1185 SH DFND 3,4 0 0 1185 TRINITY INDS INC COM 896522109 642 17524 SH DFND 1,2 17348 0 176 TWITTER INC COM 90184L102 1180 41450 SH DFND 3,4 0 0 41450 TWITTER INC COM 90184L102 427 15000 SH Call DFND 3,4 0 0 0 UBS AG JERSEY BRH ETRAC WELLS BDCI 902641588 580 28008 SH DFND 1,2 28008 0 0 UNILEVER PLC SPON ADR NEW 904767704 29 531 SH DFND 3,4 0 0 531 UNILEVER PLC SPON ADR NEW 904767704 228 4137 SH DFND 1,2 4137 0 0 UNION PAC CORP COM 907818108 997 6125 SH DFND 3,4 0 0 6125 UNION PAC CORP COM 907818108 655 4019 SH DFND 1,2 3852 0 167 UNITED PARCEL SERVICE INC CL B 911312106 10 86 SH DFND 3,4 0 0 86 UNITED PARCEL SERVICE INC CL B 911312106 518 4440 SH DFND 1,2 4289 151 0 UNITED RENTALS INC COM 911363109 475 2903 SH DFND 3,4 0 0 2903 UNITED RENTALS INC COM 911363109 1 6 SH DFND 1,2 6 0 0 UNITED TECHNOLOGIES CORP COM 913017109 151 1083 SH DFND 3,4 0 0 1083 UNITED TECHNOLOGIES CORP COM 913017109 892 6382 SH DFND 1,2 6203 30 149 UNITEDHEALTH GROUP INC COM 91324P102 1527 5741 SH DFND 3,4 0 0 5741 UNITEDHEALTH GROUP INC COM 91324P102 510 1917 SH DFND 1,2 1917 0 0 US BANCORP DEL COM NEW 902973304 125 2364 SH DFND 3,4 0 0 2364 US BANCORP DEL COM NEW 902973304 125 2366 SH DFND 1,2 2366 0 0 UXIN LTD ADS 91818X108 145 21400 SH DFND 3,4 0 0 21400 V F CORP COM 918204108 244 2610 SH DFND 3,4 0 0 2610 V F CORP COM 918204108 29 315 SH DFND 1,2 315 0 0 VALERO ENERGY CORP NEW COM 91913Y100 48 426 SH DFND 3,4 0 0 426 VALERO ENERGY CORP NEW COM 91913Y100 575 5063 SH DFND 1,2 5042 19 2 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 187 10121 SH DFND 3,4 0 0 10121 VANECK VECTORS ETF TR EMERGING MKTS HI 92189F353 3367 147148 SH DFND 1,2 146867 0 281 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 641 4716 SH DFND 3,4 0 0 4716 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1054 13388 SH DFND 3,4 0 0 13388 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 474 6076 SH DFND 1,2 6076 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2 25 SH DFND 1,2 25 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 4387 80452 SH DFND 1,2 80417 0 35 VANGUARD GROUP DIV APP ETF 921908844 71 641 SH DFND 3,4 0 0 641 VANGUARD GROUP DIV APP ETF 921908844 4143 37430 SH DFND 1,2 37430 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1536 19043 SH DFND 3,4 0 0 19043 VANGUARD INDEX FDS SMALL CP ETF 922908751 2542 15635 SH DFND 3,4 0 0 15635 VANGUARD INDEX FDS TOTAL STK MKT 922908769 58 387 SH DFND 3,4 0 0 387 VANGUARD INDEX FDS VALUE ETF 922908744 2836 25624 SH DFND 3,4 0 0 25624 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 587 7274 SH DFND 1,2 7274 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4970 33211 SH DFND 1,2 32835 0 376 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 642 8210 SH DFND 3,4 0 0 8210 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1678 21479 SH DFND 1,2 21463 0 16 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 460 5277 SH DFND 3,4 0 0 5277 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 201 2900 SH DFND 3,4 0 0 2900 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 2419 13409 SH DFND 3,4 0 0 13409 VEEVA SYS INC CL A COM 922475108 639 5869 SH DFND 3,4 0 0 5869 VEEVA SYS INC CL A COM 922475108 63 582 SH DFND 1,2 582 0 0 VENTAS INC COM 92276F100 587 10797 SH DFND 1,2 10495 302 0 VERIZON COMMUNICATIONS INC COM 92343V104 570 10673 SH DFND 3,4 0 0 10673 VERIZON COMMUNICATIONS INC COM 92343V104 2019 37840 SH DFND 1,2 36644 1196 0 VERTEX PHARMACEUTICALS INC COM 92532F100 155 802 SH DFND 3,4 0 0 802 VERTEX PHARMACEUTICALS INC COM 92532F100 141 732 SH DFND 1,2 732 0 0 VIRTUS GLOBAL DIVID INCOME F COM 92835W107 146 13050 SH DFND 3,4 0 0 13050 VISA INC COM CL A 92826C839 2308 15376 SH DFND 3,4 0 0 15376 VISA INC COM CL A 92826C839 1031 6871 SH DFND 1,2 6671 0 200 VMWARE INC CL A COM 928563402 17 112 SH DFND 3,4 0 0 112 VMWARE INC CL A COM 928563402 221 1420 SH DFND 1,2 1420 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 182 8370 SH DFND 3,4 0 0 8370 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1112 51254 SH DFND 1,2 49527 1727 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 176 24000 SH DFND 3,4 0 0 24000 WALGREENS BOOTS ALLIANCE INC COM 931427108 27 375 SH DFND 3,4 0 0 375 WALGREENS BOOTS ALLIANCE INC COM 931427108 331 4539 SH DFND 1,2 4527 0 12 WALMART INC COM 931142103 336 3576 SH DFND 3,4 0 0 3576 WALMART INC COM 931142103 241 2571 SH DFND 1,2 2571 0 0 WASTE MGMT INC DEL COM 94106L109 89 981 SH DFND 3,4 0 0 981 WASTE MGMT INC DEL COM 94106L109 227 2514 SH DFND 1,2 2514 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 27 10000 SH DFND 3,4 0 0 10000 WELLS FARGO CO NEW COM 949746101 333 6330 SH DFND 3,4 0 0 6330 WELLS FARGO CO NEW COM 949746101 904 17202 SH DFND 1,2 16845 30 327 WELLTOWER INC COM 95040Q104 20 316 SH DFND 3,4 0 0 316 WELLTOWER INC COM 95040Q104 612 9512 SH DFND 1,2 9179 333 0 WENDYS CO COM 95058W100 563 32850 SH DFND 3,4 0 0 32850 WESTERN UN CO COM 959802109 781 41040 SH DFND 1,2 40768 0 272 WESTROCK CO COM 96145D105 8 150 SH DFND 3,4 0 0 150 WESTROCK CO COM 96145D105 744 13928 SH DFND 1,2 13737 0 191 WEYERHAEUSER CO COM 962166104 208 6454 SH DFND 3,4 0 0 6454 WEYERHAEUSER CO COM 962166104 17 534 SH DFND 1,2 534 0 0 WISDOMTREE TR INTL EQUITY FD 97717W703 1041 19602 SH DFND 3,4 0 0 19602 XYLEM INC COM 98419M100 420 5259 SH DFND 3,4 0 0 5259 XYLEM INC COM 98419M100 8 99 SH DFND 1,2 99 0 0 YAMANA GOLD INC COM 98462Y100 100 40000 SH DFND 3,4 0 0 40000 YAMANA GOLD INC COM 98462Y100 3 1031 SH DFND 1,2 1031 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 639 4859 SH DFND 3,4 0 0 4859 ZIMMER BIOMET HLDGS INC COM 98956P102 36 271 SH DFND 1,2 271 0 0 ZOETIS INC CL A 98978V103 197 2151 SH DFND 3,4 0 0 2151 ZOETIS INC CL A 98978V103 55 602 SH DFND 1,2 602 0 0