Manager

0000891092-16-016289.txt : 20160726 0000891092-16-016289.hdr.sgml : 20160726 20160726101246 ACCESSION NUMBER: 0000891092-16-016289 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160726 DATE AS OF CHANGE: 20160726 EFFECTIVENESS DATE: 20160726 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HL FINANCIAL SERVICES LLC CENTRAL INDEX KEY: 0001430233 IRS NUMBER: 300450751 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13165 FILM NUMBER: 161783411 BUSINESS ADDRESS: STREET 1: 500 WEST JEFFERSON STREET STREET 2: SUITE 700 CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 8004441854 MAIL ADDRESS: STREET 1: 500 WEST JEFFERSON STREET STREET 2: SUITE 700 CITY: LOUISVILLE STATE: KY ZIP: 40202 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001430233 XXXXXXXX 06-30-2016 06-30-2016 false HL FINANCIAL SERVICES LLC

500 West Jefferson Street Suite 700 Louisville KY 40202

13F HOLDINGS REPORT 028-13165 Y Houchens Industries and Houchens Industries Employee Stock Ownership Trust are included solely because they are a controlling entity of HL Financial Services, LLC. James R. Allen Manager 502-588-8400 /s/ James R. Allen Louisville KY 07-25-2016 5 654 4231004 1 0001442175 028-13163 J.J.B. Hilliard, W.L. Lyons, LLC 2 0001442181 028-13162 Hilliard Lyons Trust Company, LLC 3 0000910676 028-13166 HOUCHENS INDUSTRIES INC /KY/ 4 0001442827 028-13164 Houchens Industries, Inc. Employee Stock Ownership Trust 5 0001125816 028-06487 FIRST TRUST ADVISORS LP INFORMATION TABLE 2 infotable.xml 3M COMPANY COM 88579Y101 31703 181036 SH DFND 1,2 141512 0 39524 A O SMITH COM 831865209 4129 46866 SH DFND 1 0 0 46866 ABAXIS INC COM 2567105 1827 38689 SH DFND 1 34444 0 4245 ABBOTT LABORATORIES COM 2824100 13493 343249 SH DFND 1,2 235834 0 107415 ABBVIE INC COM 00287Y109 26051 420788 SH DFND 1,2 299699 0 121089 ABIOMED INC COM 3654100 3081 28195 SH DFND 1 25910 0 2285 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 9697 85597 SH DFND 1,2 72625 0 12972 ACTIVISION BLIZZARD INC COM 00507V109 454 11447 SH DFND 1 0 0 11447 ADAMS NATURAL RESOURCES COM 00548F105 804 39973 SH DFND 1 0 0 39973 AEGION CORP COM 00770F104 271 13900 SH DFND 1 0 0 13900 AETNA INC NEW COM 00817Y108 599 4907 SH DFND 1 0 0 4907 AFLAC INC COM 1055102 1782 24696 SH DFND 1,2 6984 0 17712 AGILENT TECHNOLOGIES INC COM 00846U101 384 8663 SH DFND 1,2 572 0 8091 AIR PRODUCTS & CHEMICALS COM 9158106 1415 9966 SH DFND 1,2 5657 0 4309 ALASKA AIR GROUP INC COM 11659109 3094 53069 SH DFND 1 0 0 53069 ALCOA INC COM 13817101 134 14500 SH DFND 1 920 0 13580 ALIBABA GROUP HOLDING SPONSORED ADS 01609W102 470 5915 SH DFND 1,2 750 0 5165 ALLERGAN PLC SHS G0177J108 830 3592 SH DFND 1,2 654 0 2938 ALLIANCE RES PARTNER L P UT LTD PART UT LTD PART 01877R108 164 10400 SH DFND 2 10400 0 0 ALLIANCEBERNSTEIN GLOBAL COM 01879R106 399 32465 SH DFND 1,2 2265 0 30200 ALLSTATE CORP COM 20002101 1161 16598 SH DFND 1,2 4456 0 12142 ALPHABET INC CAP STK CL C 02079K107 72246 104387 SH DFND 1,2 80041 0 24346 ALPHABET INC CAP STK CL A 02079K305 2576 3662 SH DFND 1,2 1226 0 2436 ALPS SPROTT GL MINE 00162Q643 1607 61915 SH DFND 1 0 0 61915 ALPS ALERIAN MLP ETF ALERIAN MLP 00162Q866 1579 124110 SH DFND 1 0 0 124110 ALTRIA GROUP INC COM 02209S103 13569 196772 SH DFND 1,2 79442 0 117330 AMAZON.COM INC COM 23135106 2082 2910 SH DFND 1,2 245 0 2665 AMERICAN AIRLINES COM 02376R102 868 30660 SH DFND 1 0 0 30660 AMERICAN ELECTRIC POWER 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COM 410345102 421 16750 SH DFND 1,2 2030 0 14720 HARLEY DAVIDSON INC COM 412822108 47611 1051021 SH DFND 1,2 791439 0 259582 HASBRO INC COM 418056107 267 3174 SH DFND 1,2 948 0 2226 HCP INC COM 40414L109 2684 75875 SH DFND 1,2 1600 0 74275 HENRY JACK & ASSOC INC COM 426281101 1604 18376 SH DFND 1,2 17551 0 825 HERSHEY COMPANY COM 427866108 2486 21901 SH DFND 1,2 16707 0 5194 HESS CORP COM 42809H107 244 4060 SH DFND 1,2 2700 0 1360 HILLENBRAND INC COM 431571108 1056 35155 SH DFND 1,2 900 0 34255 HOME DEPOT INC COM 437076102 183848 1439797 SH DFND 1,2 1126613 480 312704 HONEYWELL INTL INC COM 438516106 9613 82640 SH DFND 1,2 34869 0 47771 HORMEL FOODS CORP COM 440452100 770 21023 SH DFND 1 0 0 21023 HUBBELL INC COM 443510607 885 8393 SH DFND 1,2 8393 0 0 HUMANA INC COM 444859102 1527 8489 SH DFND 1,2 6406 0 2083 ILLINOIS TOOL WORKS INC COM 452308109 6965 66871 SH DFND 1,2 49915 0 16956 INGERSOLL RAND PLC SHS G47791101 326 5112 SH DFND 1,2 4500 0 612 INGRAM MICRO INC CL-A CL A 457153104 2190 62979 SH DFND 1 59466 0 3513 INTEL CORP COM 458140100 11038 336512 SH DFND 1,2 145022 0 191490 INTERCONTINENTAL COM 45866F104 2126 8303 SH DFND 1,2 6570 0 1733 INTERDIGITAL INC COM 45867G101 265 4755 SH DFND 1,2 500 0 4255 INTERNATIONAL PAPER COM 460146103 1370 32330 SH DFND 1 0 0 32330 INTERPUBLIC GROUP COM 460690100 570 24692 SH DFND 1 0 0 24692 INTL BUSINESS MACHINES COM 459200101 61674 406336 SH DFND 1,2 324546 0 81790 INTUIT INC COM 461202103 226 2028 SH DFND 1,2 1221 0 807 ISHARES MIN VOL EMRG MKT 464286533 658 12757 SH DFND 1 0 0 12757 ISHARES TIPS BD ETF 464287176 2181 18694 SH DFND 1,2 12637 0 6057 ISHARES 20 YR TR BD ETF 464287432 6398 46057 SH DFND 1 0 0 46057 ISHARES 7-10 Y TR BD ETF 464287440 2989 26458 SH DFND 1 0 0 26458 ISHARES 1-3 YR TR BD ETF 464287457 3534 41421 SH DFND 1,2 3675 0 37746 ISHARES EUROPE ETF 464287861 881 23313 SH DFND 1 0 0 23313 ISHARES INTL SEL DIV ETF 464288448 422 14738 SH DFND 1 0 0 14738 ISHARES MBS ETF 464288588 326 2964 SH DFND 1 0 0 2964 ISHARES INTERM CR BD ETF 464288638 892 8015 SH DFND 1,2 4559 0 3456 ISHARES 1-3 YR CR BD ETF 464288646 16674 157167 SH DFND 1,2 34058 260 122849 ISHARES 10-20 YR TRS ETF 464288653 506 3451 SH DFND 1 0 0 3451 ISHARES U.S. PFD STK ETF 464288687 1049 26288 SH DFND 1,2 1260 0 25028 ISHARES MIN VOL EAFE ETF 46429B689 5497 82800 SH DFND 1 0 0 82800 ISHARES MIN VOL USA ETF 46429B697 4213 91168 SH DFND 1 0 0 91168 ISHARES HDG MSCI EAFE 46434V803 226 9413 SH DFND 1 0 0 9413 ISHARES COHEN & STEERS COHEN&STEER REIT 464287564 3348 30941 SH DFND 1 0 0 30941 ISHARES CORE MSCI CORE MSCI EAFE 46432F842 410 7903 SH DFND 1,2 423 0 7480 ISHARES CORE S&P CORE S&P SCP ETF 464287804 2690 23149 SH DFND 1,2 1436 0 21713 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 37499 178130 SH DFND 1,2 41252 55 136823 ISHARES CORE S&P MID CORE S&P MCP ETF 464287507 913 6115 SH DFND 1,2 1785 0 4330 ISHARES CORE U S CORE US AGGBD ET 464287226 26906 238916 SH DFND 1,2 3904 0 235012 ISHARES EMERGING MARKETS EM MKTS CURR ETF 464286517 383 8529 SH DFND 1 0 0 8529 ISHARES FLOATING FLTG RATE BD ETF 46429B655 253 5000 SH DFND 1 0 0 5000 ISHARES GOLD TR ISHARES 464285105 437 34280 SH DFND 2 34280 0 0 ISHARES IBOXX IBOXX INV CP ETF 464287242 292 2377 SH DFND 1,2 109 0 2268 ISHARES IBOXX $ IBOXX HI YD ETF 464288513 290 3424 SH DFND 1,2 100 0 3324 ISHARES INTL TREASURY INTL TREA BD ETF 464288117 1251 12565 SH DFND 1 0 0 12565 ISHARES JPMORGAN USD JP MOR EM MK ETF 464288281 301 2614 SH DFND 1 0 0 2614 ISHARES MSCI MSCI EAFE ETF 464287465 12494 223827 SH DFND 1,2 102738 0 121089 ISHARES MSCI AUSTRALIA MSCI AUST ETF 464286103 724 37216 SH DFND 1 0 0 37216 ISHARES MSCI EAFE EAFE VALUE ETF 464288877 911 21219 SH DFND 1,2 1998 0 19221 ISHARES MSCI EAFE EAFE GRWTH ETF 464288885 1101 16828 SH DFND 1,2 607 0 16221 ISHARES MSCI EMERGING MSCI EMG MKT ETF 464287234 1448 42134 SH DFND 1,2 19525 0 22609 ISHARES MSCI MALAYSIA MSCI MALAYSI ETF 464286830 141 17000 SH DFND 1,2 3000 0 14000 ISHARES NATIONAL NATIONAL MUN ETF 464288414 662 5812 SH DFND 1,2 600 0 5212 ISHARES NORTH NA NAT RES 464287374 3737 112480 SH DFND 1 0 0 112480 ISHARES RUSSELL 1000 RUS 1000 VAL ETF 464287598 6029 58404 SH DFND 1,2 25786 0 32618 ISHARES RUSSELL 1000 RUS 1000 GRW ETF 464287614 6575 65513 SH DFND 1,2 25131 0 40382 ISHARES RUSSELL 1000 RUS 1000 ETF 464287622 966 8265 SH DFND 1,2 300 0 7965 ISHARES RUSSELL 2000 RUS 2000 VAL ETF 464287630 843 8663 SH DFND 1,2 6038 0 2625 ISHARES RUSSELL 2000 RUS 2000 GRW ETF 464287648 490 3573 SH DFND 1,2 1797 0 1776 ISHARES RUSSELL 2000 RUSSELL 2000 ETF 464287655 8872 77164 SH DFND 1,2 37180 0 39984 ISHARES RUSSELL MID CAP RUS MDCP VAL ETF 464287473 3047 41015 SH DFND 1,2 11278 0 29737 ISHARES RUSSELL MID CAP RUS MD CP GR ETF 464287481 1668 17820 SH DFND 1,2 3321 0 14499 ISHARES RUSSELL MID CAP RUS MID-CAP ETF 464287499 21088 125373 SH DFND 1,2 96042 0 29331 ISHARES S&P 500 S&P 500 GRWT ETF 464287309 1660 14243 SH DFND 1,2 1079 0 13164 ISHARES S&P 500 S&P 500 VAL ETF 464287408 475 5117 SH DFND 1,2 3794 0 1323 ISHARES S&P MID CAP S&P MC 400GR ETF 464287606 1759 10405 SH DFND 1,2 4389 0 6016 ISHARES S&P MID CAP S&P MC 400VL ETF 464287705 690 5389 SH DFND 1,2 5107 0 282 ISHARES S&P SMALL CAP SP SMCP600VL ETF 464287879 230 1967 SH DFND 1,2 1578 0 389 ISHARES S&P SMALL CAP SP SMCP600GR ETF 464287887 550 4281 SH DFND 1,2 1583 0 2698 ISHARES SELECT SELECT DIVID ETF 464287168 1051 12323 SH DFND 1,2 6600 0 5723 ISHARES SHORT TERM SHRT NAT MUN ETF 464288158 3014 28339 SH DFND 1 0 0 28339 ISHARES SILVER TRUST ISHARES 46428Q109 5747 321714 SH DFND 1,2 750 0 320964 ISHARES U S COMMOD SEL STG 46431W853 214 6510 SH DFND 1 0 0 6510 JACK IN THE BOX INC COM 466367109 2482 28882 SH DFND 1 23491 0 5391 JETBLUE AIRWAYS CORP COM 477143101 286 17269 SH DFND 1 0 0 17269 JOHNSON & JOHNSON COM 478160104 181387 1495357 SH DFND 1,2 1171590 400 323367 JOHNSON CONTROLS INC COM 478366107 833 18820 SH DFND 1,2 4880 0 13940 JONES LANG LASALLE INC COM 48020Q107 334 3425 SH DFND 1 0 0 3425 JPMORGAN CHASE & COM 46625H100 142625 2295225 SH DFND 1,2 1848758 350 446117 JUNIPER NETWORKS INC COM 48203R104 276 12259 SH DFND 1 0 0 12259 KAPSTONE PAPER & COM 48562P103 920 70709 SH DFND 1 61871 0 8838 KAYNE ANDERSON MLP COM 486606106 1847 90754 SH DFND 1 0 0 90754 KB HOME COM 48666K109 2271 149329 SH DFND 1,2 126047 0 23282 KELLOGG COMPANY COM 487836108 760 9305 SH DFND 1,2 2859 0 6446 KEYCORP NEW COM 493267108 128 11574 SH DFND 1,2 2406 0 9168 KIMBERLY CLARK CORP COM 494368103 4010 29170 SH DFND 1,2 14375 0 14795 KINDER MORGAN INC DE COM 49456B101 1866 99661 SH DFND 1,2 3915 0 95746 KKR & COMPANY DEL COM UNITS 48248M102 434 35156 SH DFND 1 0 0 35156 KORN/FERRY INTL NEW COM NEW 500643200 1371 66208 SH DFND 1 52800 0 13408 KRAFT HEINZ CO COM 500754106 6007 67890 SH DFND 1,2 26744 0 41146 KROGER COMPANY COM 501044101 3299 89666 SH DFND 1,2 8161 0 81505 LABORATORY CORP OF AMER COM NEW 50540R409 453 3478 SH DFND 1,2 83 0 3395 LAM RESEARCH CORP COM 512807108 3991 47474 SH DFND 1,2 23342 0 24132 LAMAR ADVERTISING * CL A 512816109 219 3305 SH DFND 1 0 0 3305 LANCASTER COLONY CORP COM 513847103 424 3324 SH DFND 1 0 0 3324 LEAR CORP NEW COM NEW 521865204 377 3708 SH DFND 1 0 0 3708 LEGGETT & PLATT INC COM 524660107 314 6143 SH DFND 1,2 1240 0 4903 LILLY ELI & COMPANY COM 532457108 4049 51421 SH DFND 1,2 30679 0 20742 LINCOLN ELECTRIC COM 533900106 215 3633 SH DFND 1 0 0 3633 LINKEDIN CORP CL A COM CL A 53578A108 501 2648 SH DFND 1 25 0 2623 LITHIA MOTORS INC CL A CL A 536797103 223 3140 SH DFND 1 0 0 3140 LOCKHEED MARTIN CORP COM 539830109 2180 8779 SH DFND 1,2 6372 0 2407 LOEWS CORP COM 540424108 469 11403 SH DFND 1,2 10155 0 1248 LOWES COMPANIES INC COM 548661107 2485 31390 SH DFND 1,2 17227 0 14163 LTC PROPERTIES INC * COM 502175102 308 5962 SH DFND 1,2 4100 0 1862 MACYS INC COM 55616P104 355 10558 SH DFND 1,2 500 0 10058 MAGELLAN MIDSTREAM COM UNIT RP LP 559080106 312 4100 SH DFND 1,2 3100 0 1000 MAIN STREET CAP CORP COM 56035L104 1080 32889 SH DFND 1 0 0 32889 MANHATTAN COM 562750109 348 5428 SH DFND 1 0 0 5428 MARATHON OIL CORP COM 565849106 1205 80283 SH DFND 1,2 9091 0 71192 MARATHON PETROLEUM CORP COM 56585A102 642 16907 SH DFND 1,2 8607 0 8300 MARRIOTT INTL INC NEW CL A 571903202 1210 18204 SH DFND 1 0 0 18204 MARSH & MCLENNAN COS INC COM 571748102 1118 16324 SH DFND 1,2 2300 0 14024 MASTERCARD INC CLASS A CL A 57636Q104 914 10371 SH DFND 1,2 300 0 10071 MATADOR RESOURCES COM 576485205 381 19219 SH DFND 1 0 0 19219 MATTEL INC COM 577081102 56181 1795493 SH DFND 1,2 1456469 0 339024 MC CORMICK & COMPANY COM NON VTG 579780206 224 2100 SH DFND 1,2 200 0 1900 MCDONALDS CORP COM 580135101 11280 93735 SH DFND 1,2 63231 0 30504 MEDIFAST INC COM 58470H101 345 10380 SH DFND 1 0 0 10380 MEDLEY CAPITAL CORP COM 58503F106 189 28177 SH DFND 1 0 0 28177 MEDTRONIC PLC SHS G5960L103 699 8060 SH DFND 1,2 2713 0 5347 MERCK & COMPANY INC NEW COM 58933Y105 11405 197968 SH DFND 1,2 133040 0 64928 MERIDIAN BIOSCIENCE INC COM 589584101 1180 60524 SH DFND 1,2 0 0 60524 METLIFE INC COM 59156R108 263 6604 SH DFND 1 21 0 6583 MICROSOFT CORP COM 594918104 120807 2360897 SH DFND 1,2 1843880 1240 515777 MID-AMERICA APT CMNTYS * COM 59522J103 354 3331 SH DFND 1,2 3000 0 331 MONDELEZ INTERNATIONAL CL A 609207105 7035 154590 SH DFND 1,2 64393 0 90197 MONOLITHIC POWER SYSTEM COM 609839105 2890 42297 SH DFND 1 33968 0 8329 MONSANTO COMPANY NEW COM 61166W101 882 8525 SH DFND 1,2 650 0 7875 MONSTER BEVERAGE CORP COM 61174X109 289 1800 SH DFND 1 0 0 1800 MOTOROLA SOLUTIONS INC COM NEW 620076307 2610 39569 SH DFND 1 0 0 39569 MSCI INC CLASS A COM 55354G100 6415 83178 SH DFND 1 31325 0 51853 MULTI-COLOR CORP COM 625383104 740 11667 SH DFND 1,2 250 0 11417 NATIONAL FUEL GAS COM 636180101 230 4044 SH DFND 1 0 0 4044 NATIONAL HLTH INVS INC * COM 63633D104 759 10111 SH DFND 1 0 0 10111 NETFLIX INC COM 64110L106 257 2813 SH DFND 1,2 535 0 2278 NEW YORK COMMUNITY COM 649445103 223 14906 SH DFND 1 0 0 14906 NEXTERA ENERGY INC COM 65339F101 5890 45170 SH DFND 1,2 10324 0 34846 NIKE INC CL B 654106103 7083 128316 SH DFND 1,2 109806 0 18510 NORDSON CORP COM 655663102 458 5476 SH DFND 1 0 0 5476 NORFOLK SOUTHERN CORP COM 655844108 1318 15487 SH DFND 1,2 8662 0 6825 NORTHERN DYNASTY MINERALS LTD COM COM NEW 66510M204 8 25000 SH DFND 2 25000 0 0 NORTHERN TRUST CORP COM 665859104 42290 638250 SH DFND 1,2 516864 175 121211 NORTHROP GRUMMAN CORP COM 666807102 253 1137 SH DFND 1,2 1107 0 30 NORTHWEST BANCSHARES INC COM 667340103 919 61974 SH DFND 1 0 0 61974 NORTHWEST NATURAL GAS COM 667655104 430 6632 SH DFND 1 0 0 6632 NOVARTIS AG SPONSORED ADR 66987V109 1686 20439 SH DFND 1,2 7588 0 12851 NOVO NORDISK AS ADR ADR 670100205 444 8255 SH DFND 1,2 7720 0 535 NUCOR CORP COM 670346105 253 5116 SH DFND 1,2 2875 0 2241 NUVEEN COM 67071L106 208 12804 SH DFND 1,2 11360 0 1444 NUVEEN S&P 500 BUY * COM 6706ER101 218 16701 SH DFND 1 0 0 16701 NUVEEN TAX ADVANTAGED * COM 67090H102 473 41900 SH DFND 1 0 0 41900 NVIDIA CORP COM 67066G104 5750 122314 SH DFND 1 0 0 122314 NVR INC COM 62944T105 3080 1730 SH DFND 1 6 0 1724 NXP SEMICONDUCTORS N V COM N6596X109 1116 14251 SH DFND 1,2 351 0 13900 O REILLY AUTOMOTIVE INC COM 67103H107 3334 12298 SH DFND 1,2 100 0 12198 OAKTREE CAPITAL GROUP UNIT CL A 674001201 455 10175 SH DFND 1 0 0 10175 OCCIDENTAL PETROLEUM COM 674599105 1026 13582 SH DFND 1,2 4135 0 9447 OLD DOMINION FREIGHT COM 679580100 2583 42836 SH DFND 1 0 0 42836 OLD NATL BANCORP IND COM 680033107 247 19731 SH DFND 1,2 4697 0 15034 OMEGA HEALTHCARE * COM 681936100 5822 171486 SH DFND 1,2 6800 0 164686 OMNICOM GROUP INC COM 681919106 85940 1054609 SH DFND 1,2 863036 0 191573 ONEOK INC NEW COM 682680103 240 5064 SH DFND 1,2 1100 0 3964 ORACLE CORP COM 68389X105 1282 31316 SH DFND 1,2 20583 0 10733 ORBITAL ATK INC COM 68557N103 248 2915 SH DFND 1 0 0 2915 OUTERWALL INC COM 690070107 1439 34258 SH DFND 1 30291 0 3967 PAPA JOHNS INTL INC COM 698813102 627 9213 SH DFND 1,2 4000 0 5213 PARKER-HANNIFIN CORP COM 701094104 417 3853 SH DFND 1 0 0 3853 PAYCHEX INC COM 704326107 10905 183280 SH DFND 1,2 126769 250 56261 PEPSICO INC COM 713448108 37548 354432 SH DFND 1,2 278860 250 75322 PFIZER INC COM 717081103 101597 2885449 SH DFND 1,2 2226715 525 658210 PHILIP MORRIS INTL INC COM 718172109 11694 114967 SH DFND 1,2 76800 0 38167 PHILLIPS 66 COM 718546104 1823 22982 SH DFND 1,2 7525 0 15457 PHYSICIANS REALTY TR * COM 71943U104 291 13847 SH DFND 1 0 0 13847 PIEDMONT NATURAL GAS COM 720186105 201 3337 SH DFND 1 0 0 3337 PIMCO 0-5 YR HIGH YIELD 0-5 HIGH YIELD 72201R783 202 2087 SH DFND 1 0 0 2087 PIMCO INVESTMENT GRADE INV GRD CRP BD 72201R817 4305 40506 SH DFND 1 0 0 40506 PIMCO TOTAL RETURN TTL RTN ACTV ETF 72201R775 4298 40027 SH DFND 1 0 0 40027 PNC FINANCIAL SERVICES COM 693475105 12679 155782 SH DFND 1,2 139322 0 16460 PNM RESOURCES INC COM 69349H107 858 24223 SH DFND 1 0 0 24223 POLARIS INDUSTRIES INC COM 731068102 634 7750 SH DFND 1,2 1208 0 6542 POLYONE CORP COM 73179P106 548 15550 SH DFND 1 0 0 15550 POOL CORP COM 73278L105 980 10417 SH DFND 1 0 0 10417 POTASH CORP COM 73755L107 173 10670 SH DFND 1,2 2180 0 8490 POWERSHARES DB U S DOLL INDX BULL 73936D107 333 13413 SH DFND 1 0 0 13413 POWERSHARES DWA DWA MOMENTUM PTF 73935X153 437 10378 SH DFND 1 0 0 10378 POWERSHARES DWA CON STAPLE SEC 73935X393 222 3794 SH DFND 1 0 0 3794 POWERSHARES DYNAMIC DYNA BUYBK ACH 73935X286 704 15570 SH DFND 1 0 0 15570 POWERSHARES DYNAMIC DYN LSR & ENT 73935X757 238 7084 SH DFND 1 0 0 7084 POWERSHARES ETF VAR RATE PFD POR 73937B597 770 31009 SH DFND 1 0 0 31009 POWERSHARES FTSE FTSE RAFI 1000 73935X583 9423 104097 SH DFND 1 0 0 104097 POWERSHARES NATIONAL INSUR NATL MUN 73936T474 212 7978 SH DFND 1 0 0 7978 POWERSHARES QQQ ETF UNIT SER 1 73935A104 2487 23125 SH DFND 1,2 12590 0 10535 POWERSHARES S&P 500 S&P500 LOW VOL 73937B779 2368 55343 SH DFND 1 0 0 55343 POWERSHARES S&P SMALL S&P SMCP HC PO 73937B886 285 4025 SH DFND 1 0 0 4025 POWERSHARES WATER WATER RESOURCE 73935X575 227 9620 SH DFND 1,2 2500 0 7120 PPG INDUSTRIES INC COM 693506107 3198 30709 SH DFND 1,2 26152 0 4557 PPL CORP COM 69351T106 1540 40807 SH DFND 1,2 6715 0 34092 PRAXAIR INC COM 74005P104 325 2890 SH DFND 1,2 1850 0 1040 PRICE T ROWE GRP INC COM 74144T108 961 13166 SH DFND 1,2 4441 0 8725 PRIMO WATER CORP COM 74165N105 478 40472 SH DFND 1 0 0 40472 PROCTER & GAMBLE COMPANY COM 742718109 63917 754908 SH DFND 1,2 564151 900 189857 PROGRESSIVE CORP OH COM 743315103 59523 1776819 SH DFND 1,2 1357807 675 418337 PROSHARES TRUST S&P 500 DV ARIST 74348A467 540 9934 SH DFND 1 0 0 9934 PROSPECT CAPITAL CORP COM 74348T102 1664 212837 SH DFND 1 0 0 212837 PRUDENTIAL FINANCIAL INC COM 744320102 221 3094 SH DFND 1,2 36 0 3058 PUBLIC SERVICE COM 744573106 291 6238 SH DFND 1,2 3000 0 3238 PUBLIC STORAGE * COM 74460D109 2967 11608 SH DFND 1 0 0 11608 PULTEGROUP INC COM 745867101 2309 118455 SH DFND 1 86596 0 31859 QUALCOMM INC COM 747525103 4531 84583 SH DFND 1,2 41317 0 43266 QUEST DIAGNOSTICS INC COM 74834L100 397 4874 SH DFND 1 0 0 4874 RALPH LAUREN CORP CL A CL A 751212101 451 5028 SH DFND 1 0 0 5028 RAYMOND JAMES COM 754730109 360 7300 SH DFND 1,2 4500 0 2800 RAYTHEON COMPANY NEW COM NEW 755111507 863 6347 SH DFND 1,2 420 0 5927 REALTY INCOME CORP * COM 756109104 949 13681 SH DFND 1,2 1200 0 12481 REGAL ENTERTAINMENT GRP CL A 758766109 1841 83525 SH DFND 1,2 1600 0 81925 REGENERON COM 75886F107 258 738 SH DFND 1 18 0 720 REGIONS FINANCIAL COM 7591EP100 134 15736 SH DFND 1,2 1800 0 13936 REPUBLIC SERVICES INC COM 760759100 446 8699 SH DFND 1 0 0 8699 REYNOLDS AMERICAN INC COM 761713106 612 11339 SH DFND 1,2 5711 0 5628 ROBERT HALF INTL INC COM 770323103 1098 28769 SH DFND 1 0 0 28769 ROYAL BANK CANADA COM 780087102 225 3801 SH DFND 1 3201 0 600 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 247 4406 SH DFND 1,2 1926 0 2480 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1603 29029 SH DFND 1,2 21563 0 7466 ROYAL GOLD INC COM 780287108 5727 79516 SH DFND 1,2 5485 0 74031 ROYCE MICRO-CAP TRUST INC COM COM 780915104 186 25349 SH DFND 2 25349 0 0 ROYCE VALUE TRUST INC COM 780910105 194 16463 SH DFND 1,2 2638 0 13825 RUTHS HOSPITALITY GROUP COM 783332109 194 12150 SH DFND 1 0 0 12150 RYDEX GUGGENHEIM S&P 500 GUG S&P500 EQ WT 78355W106 13247 164854 SH DFND 1 0 0 164854 S&P GLOBAL INC COM 78409V104 535 4985 SH DFND 1,2 169 0 4816 SAIA INC COM 78709Y105 1444 57446 SH DFND 1 50392 0 7054 SANOFI SPON ADR SPONSORED ADR 80105N105 437 10453 SH DFND 1 100 0 10353 SCANA CORP NEW COM 80589M102 476 6298 SH DFND 1,2 1100 0 5198 SCHLUMBERGER LTD COM 806857108 5071 64129 SH DFND 1,2 60246 0 3883 SCHWAB U S SMALL CAP ETF US SML CAP ETF 808524607 240 4437 SH DFND 1 4437 0 0 SCRIPPS NETWORKS CL A COM 811065101 2736 43945 SH DFND 1 0 0 43945 SEAGATE TECHNOLOGY PLC SHS G7945M107 1190 48835 SH DFND 1 0 0 48835 SEALED AIR CORP NEW COM 81211K100 561 12193 SH DFND 1 0 0 12193 SECTOR ENERGY SELECT SBI INT-ENERGY 81369Y506 2344 34348 SH DFND 1 250 0 34098 SECTOR FINANCIAL SELECT SBI INT-FINL 81369Y605 471 20588 SH DFND 1 0 0 20588 SECTOR HEALTHCARE SBI HEALTHCARE 81369Y209 5637 78607 SH DFND 1,2 178 0 78429 SECTOR INDUSTRIAL SBI INT-INDS 81369Y704 5357 95648 SH DFND 1,2 53 0 95595 SECTOR TECHNOLOGY TECHNOLOGY 81369Y803 212 4895 SH DFND 1,2 1234 0 3661 SEI INVESTMENTS COMPANY COM 784117103 276 5727 SH DFND 1 0 0 5727 SELECT UTILITIES SELECT SBI INT-UTILS 81369Y886 7301 139138 SH DFND 1,2 198 0 138940 SHERWIN WILLIAMS CO COM 824348106 17092 58196 SH DFND 1,2 37073 0 21123 SHIRE PLC SPONSORED ADR 82481R106 634 3442 SH DFND 1,2 1845 0 1597 SHOPIFY INC CL A 82509L107 442 14354 SH DFND 1 0 0 14354 SIMON PROPERTY GROUP * COM 828806109 3460 15950 SH DFND 1,2 175 0 15775 SKECHERS USA INC CLASS A CL A 830566105 1833 61684 SH DFND 1 55885 0 5799 SKYWORKS SOLUTIONS INC COM 83088M102 2941 46481 SH DFND 1 30945 0 15536 SMITH & WESSON HOLDING COM 831756101 888 32663 SH DFND 1 0 0 32663 SMUCKER JM COMPANY NEW COM NEW 832696405 2012 13201 SH DFND 1,2 2260 0 10941 SNAP ON INC COM 833034101 2355 14922 SH DFND 1 250 0 14672 SONIC CORP COM 835451105 2306 85249 SH DFND 1 71609 0 13640 SOURCE CAPITAL INC COM 836144105 240 6505 SH DFND 1,2 6505 0 0 SOUTHERN COMPANY COM 842587107 14620 272602 SH DFND 1,2 203557 0 69045 SOUTHWEST AIRLINES COM 844741108 5228 133321 SH DFND 1 39227 0 94094 SPDR SPDR TR TACTIC 78467V848 671 13450 SH DFND 1 0 0 13450 SPDR NUVN BR SHT MUNI 78468R739 511 10416 SH DFND 1 0 0 10416 SPDR BARCLAYS CAP INVEST INV GRD FLT RT 78468R200 669 21975 SH DFND 1 0 0 21975 SPDR BARCLAYS CAPITAL BRC HGH YLD BD 78464A417 1166 32670 SH DFND 1 0 0 32670 SPDR BARCLAYS CAPITAL BARC SHT TR CP 78464A474 5074 164849 SH DFND 1 0 0 164849 SPDR DOW JONES UT SER 1 78467X109 368 2056 SH DFND 1,2 1850 0 206 SPDR DOW JONES INTL DJ INTL RL ETF 78463X863 3107 74958 SH DFND 1,2 82 0 74876 SPDR GOLD TRUST GOLD SHS 78463V107 743 5872 SH DFND 1,2 2903 0 2969 SPDR S&P 500 ETF TR UNIT 78462F103 6469 30879 SH DFND 1,2 3014 0 27865 SPDR S&P BANK ETF S&P BK ETF 78464A797 317 10395 SH DFND 1 0 0 10395 SPDR S&P MID CAP 400 ETF UTSER1 S&PDCRP 78467Y107 1666 6119 SH DFND 1,2 1585 0 4534 SPDR S&P REGIONAL S&P REGL BKG 78464A698 830 21613 SH DFND 1 0 0 21613 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 579 5740 SH DFND 1 0 0 5740 SPDR SERIES TRUST DJ REIT ETF 78464A607 641 6446 SH DFND 1,2 6085 0 361 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 402 11543 SH DFND 1 0 0 11543 SPDR SERIES TRUST S&P METALS MNG 78464A755 400 16375 SH DFND 1 0 0 16375 SPDR SERIES TRUST S&P BIOTECH 78464A870 497 9181 SH DFND 1 0 0 9181 SPECTRA ENERGY CORP COM 847560109 1592 43467 SH DFND 1,2 22869 0 20598 SPROTT FOCUS TRUST INC COM 85208J109 134 20914 SH DFND 1,2 11989 0 8925 SPROUTS FARMERS MARKET COM 85208M102 281 12277 SH DFND 1 0 0 12277 STAPLES INC COM 855030102 21256 2465849 SH DFND 1,2 1955225 0 510624 STARBUCKS CORP COM 855244109 5154 90222 SH DFND 1,2 8223 0 81999 STOCK YARDS BANCORP INC COM 861025104 1605 56849 SH DFND 1,2 21191 0 35658 STRYKER CORP COM 863667101 2007 16750 SH DFND 1,2 7410 0 9340 SUNTRUST BANKS INC COM 867914103 993 24161 SH DFND 1,2 7635 0 16526 SYNCHRONOSS TECHNOLOGIES COM 87157B103 508 15955 SH DFND 1 0 0 15955 SYNNEX CORP COM 87162W100 2419 25507 SH DFND 1 22775 0 2732 SYSCO CORP COM 871829107 12947 255164 SH DFND 1,2 223650 0 31514 TARGET CORP COM 87612E106 906 12974 SH DFND 1,2 6727 0 6247 TE CONNECTIVITY LTD REG SHS H84989104 71807 1257346 SH DFND 1,2 1013129 0 244217 TEAM HEALTH HOLDINGS INC COM 87817A107 215 5285 SH DFND 1 0 0 5285 TECO ENERGY INC COM 872375100 263 9521 SH DFND 1,2 2440 0 7081 TEGNA INC COM 87901J105 411 17734 SH DFND 1,2 540 0 17194 TEKLA HEALTHCARE INV SBI SH BEN INT 87911J103 1421 60639 SH DFND 1 0 0 60639 TEMPLETON EMERGING COM 880192109 380 36340 SH DFND 1,2 2050 0 34290 TEMPLETON GLOBAL INCOME COM 880198106 758 119195 SH DFND 1,2 14857 0 104338 TERADYNE INC COM 880770102 1735 88135 SH DFND 1 74690 0 13445 TEREX CORP NEW COM 880779103 1004 49421 SH DFND 1 48289 0 1132 TESCO CORP COM 88157K101 882 131903 SH DFND 1 116740 0 15163 TESLA MOTORS INC COM 88160R101 253 1190 SH DFND 1 25 0 1165 TEVA PHARMACEUTICAL INDS ADR 881624209 409 8138 SH DFND 1,2 5960 0 2178 TEXAS INSTRUMENTS INC COM 882508104 1538 24542 SH DFND 1,2 8110 0 16432 THERMO FISHER COM 883556102 348 2358 SH DFND 1,2 1580 0 778 TIFFANY AND COMPANY NEW COM 886547108 380 6259 SH DFND 1,2 700 0 5559 TIME WARNER INC NEW COM NEW 887317303 702 9539 SH DFND 1,2 2146 0 7393 TJX COMPANIES INC NEW COM 872540109 84718 1096953 SH DFND 1,2 918273 0 178680 TOOTSIE ROLL INDS INC COM 890516107 442 11471 SH DFND 1,2 8745 0 2726 TORTOISE ENERGY * COM 89147L100 1657 53846 SH DFND 1 387 0 53459 TOTAL S A SPONSORED ADR 89151E109 500 10385 SH DFND 1,2 809 0 9576 TRACTOR SUPPLY COMPANY COM 892356106 366 4019 SH DFND 1,2 40 0 3979 TRAVELERS COMPANIES INC COM 89417E109 1875 15752 SH DFND 1,2 13694 0 2058 TREX COMPANY INC COM 89531P105 1891 42092 SH DFND 1 37095 0 4997 TRINITY INDUSTRIES INC COM 896522109 1544 83160 SH DFND 1 67760 0 15400 TWENTY FIRST CENTURY FOX CL A 90130A101 1983 73300 SH DFND 1 53421 0 19879 TWENTY FIRST CENTURY FOX CL B 90130A200 463 17000 SH DFND 1 0 0 17000 TYCO INTL PLC SHS G91442106 2334 54797 SH DFND 1,2 44306 0 10491 U S BANCORP DE NEW COM NEW 902973304 93357 2314834 SH DFND 1,2 1807381 500 506953 U S SILICA HLDGS INC COM 90346E103 438 12712 SH DFND 1 0 0 12712 UNDER ARMOUR INC CL A 904311107 209 5213 SH DFND 1 100 0 5113 UNILEVER N V N Y SHS NEW 904784709 491 10458 SH DFND 1,2 7705 0 2753 UNILEVER PLC SPON ADR NEW 904767704 1060 22124 SH DFND 1,2 4400 0 17724 UNION PACIFIC CORP COM 907818108 60761 696398 SH DFND 1,2 559823 210 136365 UNITED BANKSHARES INC WV COM 909907107 659 17575 SH DFND 1,2 1250 0 16325 UNITED CONTINENTAL HLDGS COM 910047109 335 8173 SH DFND 1 0 0 8173 UNITED PARCEL SERVICE CL B 911312106 1603 14875 SH DFND 1,2 3417 0 11458 UNITED STATES STEEL CORP COM 912909108 318 18875 SH DFND 1 0 0 18875 UNITED TECHNOLOGIES CORP COM 913017109 3001 29268 SH DFND 1,2 13751 0 15517 UNITED THERAPEUTICS CORP COM 91307C102 424 4000 SH DFND 1 0 0 4000 UNITEDHEALTH GROUP INC COM 91324P102 1822 12905 SH DFND 1 512 0 12393 URSTADT BIDDLE * CL A 917286205 248 10006 SH DFND 1 1500 0 8506 V F CORP COM 918204108 633 10294 SH DFND 1 720 0 9574 VALERO ENERGY CORP COM 91913Y100 2203 43191 SH DFND 1,2 28774 0 14417 VANECK VECTORS GOLD MINERS ETF 92189F106 230 8300 SH DFND 1,2 5400 0 2900 VANECK VECTORS HIGH YLD MUN ETF 92189F361 300 9275 SH DFND 1 0 0 9275 VANGUARD ALLWRLD EX US 922042775 4279 99851 SH DFND 1,2 97073 0 2778 VANGUARD DIVIDEND DIV APP ETF 921908844 3121 37502 SH DFND 1,2 21996 0 15506 VANGUARD FTSE DEVELOPED FTSE DEV MKT ETF 921943858 24368 689133 SH DFND 1,2 486828 0 202305 VANGUARD FTSE EMERGING FTSE EMR MKT ETF 922042858 16860 478560 SH DFND 1,2 249302 0 229258 VANGUARD HEALTH CARE ETF HEALTH CAR ETF 92204A504 205 1572 SH DFND 1 0 0 1572 VANGUARD HIGH DIVIDEND HIGH DIV YLD 921946406 743 10401 SH DFND 1 0 0 10401 VANGUARD INTERMEDIATE INTERMED TERM 921937819 1570 17827 SH DFND 1 0 0 17827 VANGUARD INTERMEDIATE INT-TERM CORP 92206C870 4249 47520 SH DFND 1 0 0 47520 VANGUARD LARGE CAP ETF LARGE CAP ETF 922908637 433 4515 SH DFND 1,2 2600 0 1915 VANGUARD LONG TERM LONG TERM BOND 921937793 460 4695 SH DFND 1 0 0 4695 VANGUARD MID CAP MCAP GR IDXVIP 922908538 245 2405 SH DFND 1 0 0 2405 VANGUARD MID CAP ETF MID CAP ETF 922908629 9145 73972 SH DFND 1,2 63942 0 10030 VANGUARD NATURAL RES COM UNIT 92205F106 32 22635 SH DFND 1 0 0 22635 VANGUARD REIT INDEX ETF REIT ETF 922908553 26273 296305 SH DFND 1,2 245837 0 50468 VANGUARD S&P 500 500 GRTH IDX F 921932505 247 2357 SH DFND 1 0 0 2357 VANGUARD S&P 500 S&P 500 ETF SHS 922908363 10952 56966 SH DFND 1,2 2462 0 54504 VANGUARD SHORT TERM SHORT TRM BOND 921937827 21924 270463 SH DFND 1,2 79105 0 191358 VANGUARD SHORT TERM STRM INFPROIDX 922020805 310 6273 SH DFND 1 0 0 6273 VANGUARD SHORT TERM CORP SHRT TRM CORP BD 92206C409 7642 94533 SH DFND 1 0 0 94533 VANGUARD SMALL CAP SML CP GRW ETF 922908595 1419 11455 SH DFND 1,2 2504 0 8951 VANGUARD SMALL CAP ETF SMALL CP ETF 922908751 9842 85081 SH DFND 1,2 72643 0 12438 VANGUARD SMALL CAP VALUE SM CP VAL ETF 922908611 1336 12691 SH DFND 1,2 2844 0 9847 VANGUARD TOTAL BOND TOTAL BND MRKT 921937835 241 2863 SH DFND 1,2 2821 0 42 VANGUARD TOTAL STOCK TOTAL STK MKT 922908769 402 3751 SH DFND 1,2 685 0 3066 VARIAN MEDICAL COM 92220P105 483 5877 SH DFND 1 0 0 5877 VECTREN CORP COM 92240G101 1329 25241 SH DFND 1,2 6617 0 18624 VENTAS INC * COM 92276F100 899 12342 SH DFND 1,2 6681 0 5661 VERIZON COMMUNICATIONS COM 92343V104 18520 331657 SH DFND 1,2 111236 0 220421 VERTEX PHARMACEUTICALS COM 92532F100 277 3225 SH DFND 1,2 480 0 2745 VISA INC CLASS A COM CL A 92826C839 2532 34141 SH DFND 1,2 6384 0 27757 VISTA OUTDOOR INC COM 928377100 259 5430 SH DFND 1 0 0 5430 VMWARE INC CLASS A CL A COM 928563402 374 6536 SH DFND 1 0 0 6536 WALGREENS BOOTS ALLIANCE COM 931427108 24519 294456 SH DFND 1,2 261067 0 33389 WAL-MART STORES INC COM 931142103 10447 143071 SH DFND 1,2 102776 0 40295 WALT DISNEY CO COM DISNEY 254687106 151463 1548371 SH DFND 1,2 1209428 425 338518 WATERS CORP COM 941848103 6202 44094 SH DFND 1,2 37442 0 6652 WEC ENERGY GROUP INC COM 92939U106 900 13783 SH DFND 1,2 4270 0 9513 WELLS FARGO & CO NEW COM 949746101 90964 1921916 SH DFND 1,2 1547936 575 373405 WELLS FARGO & COMPANY PERP PFD CNV A 949746804 1558 1199 SH DFND 1,2 155 0 1044 WELLTOWER INC * COM 95040Q104 307 4034 SH DFND 1,2 1700 0 2334 WESTERN ASSET CLAYMORE * COM SH BEN INT 95766Q106 2129 185423 SH DFND 1 0 0 185423 WESTERN ASSET GLOBAL COM 95790C107 809 47471 SH DFND 1 0 0 47471 WESTERN ASSET/CLAYMORE COM 95766R104 2564 230784 SH DFND 1 0 0 230784 WESTERN DIGITAL CORP COM 958102105 366 7741 SH DFND 1,2 500 0 7241 WEYERHAEUSER COMPANY COM 962166104 1103 37053 SH DFND 1,2 4435 0 32618 WGL HOLDINGS INC COM 92924F106 441 6226 SH DFND 1,2 650 0 5576 WHITESTONE REIT * COM 966084204 331 21957 SH DFND 1 0 0 21957 WHITING PETROLEUM COM 966387102 111 12010 SH DFND 1 0 0 12010 WILLIAMS COS INC DEL COM 969457100 323 14913 SH DFND 1 0 0 14913 WILLIAMS SONOMA INC COM 969904101 205 3925 SH DFND 1 0 0 3925 WINNEBAGO INDUSTRIES INC COM 974637100 2041 89051 SH DFND 1 79190 0 9861 WISDOMTREE MID CAP MIDCAP DIVI FD 97717W505 906 10125 SH DFND 1 0 0 10125 WISDOMTREE SMALL CAP SMALLCAP DIVID 97717W604 626 8733 SH DFND 1 0 0 8733 WISDOMTREE TR LARGECAP DIVID FD LARGECAP DIVID 97717W307 304 4016 SH DFND 2 4016 0 0 YUM BRANDS INC COM 988498101 2052 24748 SH DFND 1,2 12402 0 12346 ZIMMER BIOMET HOLDINGS COM 98956P102 1497 12432 SH DFND 1,2 10972 0 1460 ZOETIS INC CL A CL A 98978V103 1141 24039 SH DFND 1,2 1725 0 22314