Manager

0000891092-17-000724.txt : 20170131 0000891092-17-000724.hdr.sgml : 20170131 20170131091636 ACCESSION NUMBER: 0000891092-17-000724 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170131 DATE AS OF CHANGE: 20170131 EFFECTIVENESS DATE: 20170131 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: 17559543 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 12-31-2016 12-31-2016 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 01-26-2017 5 658 4646632 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 31842 178319 SH DFND 1,2 138902 0 39417 A O SMITH COM 831865209 3763 79462 SH DFND 1 0 0 79462 ABBOTT LABORATORIES COM 002824100 12636 328990 SH DFND 1,2 223123 0 105867 ABBVIE INC COM 00287Y109 26103 416857 SH DFND 1,2 290438 0 126419 ABERDEEN GREATER CHINA COM 003031101 131 15131 SH DFND 1 0 0 15131 ABIOMED INC COM 003654100 3213 28512 SH DFND 1 26427 0 2085 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 9898 84503 SH DFND 1,2 71695 0 12808 ACTIVISION BLIZZARD INC COM 00507V109 755 20909 SH DFND 1 0 0 20909 ADAMS NATURAL RESOURCES COM 00548F105 893 44249 SH DFND 1 0 0 44249 ADOBE SYSTEMS INC COM 00724F101 342 3319 SH DFND 1 0 0 3319 ADVISORSHARES PERITUS PERITUS HG YLD 00768Y503 312 8750 SH DFND 1 0 0 8750 AEGION CORP COM 00770F104 806 34007 SH DFND 1 0 0 34007 AETNA INC NEW COM 00817Y108 635 5122 SH DFND 1 0 0 5122 AFFILIATED MANAGERS COM 008252108 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41872 SH DFND 1,2 350 0 41522 HENRY JACK & ASSOC INC COM 426281101 1765 19875 SH DFND 1,2 19307 0 568 HERSHEY COMPANY COM 427866108 2293 22171 SH DFND 1,2 16405 0 5766 HILLENBRAND INC COM 431571108 1169 30472 SH DFND 1,2 900 0 29572 HOLLYFRONTIER CORP COM 436106108 622 18981 SH DFND 1 0 0 18981 HOME DEPOT INC COM 437076102 198179 1478055 SH DFND 1,2 1180014 400 297641 HONEYWELL INTL INC COM 438516106 6855 59166 SH DFND 1,2 34524 0 24642 HORIZON PHARMA PLC SHS G4617B105 338 20900 SH DFND 1 0 0 20900 HORMEL FOODS CORP COM 440452100 560 16091 SH DFND 1 0 0 16091 HUBBELL INC COM 443510607 962 8243 SH DFND 1,2 8093 0 150 HUMANA INC COM 444859102 2221 10884 SH DFND 1,2 6316 0 4568 ILLINOIS TOOL WORKS INC COM 452308109 7916 64641 SH DFND 1,2 51085 0 13556 INGERSOLL RAND PLC SHS G47791101 3259 43425 SH DFND 1,2 4000 0 39425 INGREDION INC COM 457187102 345 2762 SH DFND 1,2 1285 0 1477 INTEL CORP COM 458140100 11204 308893 SH DFND 1,2 143208 0 165685 INTELLIPHARMACEUTICS INTL INC COM COM 458173101 94 33000 SH DFND 2 33000 0 0 INTERCONTINENTAL COM 45866F104 1305 23134 SH DFND 1,2 1440 0 21694 INTERDIGITAL INC COM 45867G101 203 2221 SH DFND 1 0 0 2221 INTERNATIONAL PAPER COM 460146103 2378 44819 SH DFND 1,2 375 0 44444 INTERPUBLIC GROUP COM 460690100 566 24197 SH DFND 1 0 0 24197 INTL BUSINESS MACHINES COM 459200101 68946 415358 SH DFND 1,2 335719 0 79639 INTUIT INC COM 461202103 429 3744 SH DFND 1,2 1221 0 2523 IONIS PHARMACEUTICALS COM 462222100 311 6500 SH DFND 1 0 0 6500 ISHARES MIN VOL EMRG MKT 464286533 501 10238 SH DFND 1 0 0 10238 ISHARES TIPS BD ETF 464287176 2399 21199 SH DFND 1,2 17502 0 3697 ISHARES 20 YR TR BD ETF 464287432 769 6456 SH DFND 1 0 0 6456 ISHARES 7-10 Y TR BD ETF 464287440 1412 13467 SH DFND 1 0 0 13467 ISHARES 1-3 YR TR BD ETF 464287457 3681 43586 SH DFND 1,2 4675 0 38911 ISHARES U.S. TECH ETF 464287721 223 1853 SH DFND 1 0 0 1853 ISHARES U.S. ENERGY ETF 464287796 208 5000 SH DFND 1 0 0 5000 ISHARES EUROPE ETF 464287861 478 12320 SH DFND 1 0 0 12320 ISHARES INTL SEL DIV ETF 464288448 487 16487 SH DFND 1 0 0 16487 ISHARES INTERM CR BD ETF 464288638 919 8490 SH DFND 1,2 5055 0 3435 ISHARES 1-3 YR CR BD ETF 464288646 8097 77141 SH DFND 1,2 30623 410 46108 ISHARES U.S. PFD STK ETF 464288687 1510 40587 SH DFND 1,2 1260 0 39327 ISHARES MIN VOL USA ETF 46429B697 3650 80710 SH DFND 1 0 0 80710 ISHARES 0-5YR INVT GR CP 46434V100 878 17499 SH DFND 1 0 0 17499 ISHARES COHEN & STEERS COHEN&STEER REIT 464287564 3102 31132 SH DFND 1 0 0 31132 ISHARES CORE CORE HIGH DV ETF 46429B663 321 3899 SH DFND 1 0 0 3899 ISHARES CORE MSCI CORE MSCI EAFE 46432F842 9230 172098 SH DFND 1 0 0 172098 ISHARES CORE S&P CORE S&P SCP ETF 464287804 3507 25504 SH DFND 1,2 1436 0 24068 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 45130 200579 SH DFND 1,2 45537 0 155042 ISHARES CORE S&P MID CORE S&P MCP ETF 464287507 1047 6334 SH DFND 1,2 1785 0 4549 ISHARES CORE U S CORE US AGGBD ET 464287226 17788 164612 SH DFND 1,2 4080 0 160532 ISHARES EMERGING MARKETS EM HGHYL BD ETF 464286285 270 5551 SH DFND 1 0 0 5551 ISHARES FLOATING FLTG RATE BD ETF 46429B655 710 14001 SH DFND 1 0 0 14001 ISHARES GLOBAL HIGH GLB HGH YLD ETF 464286178 267 5517 SH DFND 1 0 0 5517 ISHARES GOLD TR ISHARES 464285105 380 34280 SH DFND 2 34280 0 0 ISHARES IBOXX IBOXX INV CP ETF 464287242 252 2153 SH DFND 1,2 109 0 2044 ISHARES IBOXX $ IBOXX HI YD ETF 464288513 493 5691 SH DFND 1,2 100 0 5591 ISHARES INTL TREASURY INTL TREA BD ETF 464288117 454 5049 SH DFND 1 0 0 5049 ISHARES LATIN LATN AMER 40 ETF 464287390 212 7695 SH DFND 1 0 0 7695 ISHARES MSCI MSCI EAFE ETF 464287465 12711 220183 SH DFND 1,2 111139 0 109044 ISHARES MSCI BRAZIL MSCI BRZ CAP ETF 464286400 200 5986 SH DFND 1 0 0 5986 ISHARES MSCI EAFE EAFE VALUE ETF 464288877 552 11686 SH DFND 1,2 1998 0 9688 ISHARES MSCI EAFE EAFE GRWTH ETF 464288885 726 11399 SH DFND 1,2 607 0 10792 ISHARES MSCI EMERGING MSCI EMG MKT ETF 464287234 1459 41674 SH DFND 1,2 21864 0 19810 ISHARES NATIONAL NATIONAL MUN ETF 464288414 347 3209 SH DFND 1,2 600 0 2609 ISHARES NORTH NA NAT RES 464287374 3957 110070 SH DFND 1 0 0 110070 ISHARES RUSSELL 1000 RUS 1000 VAL ETF 464287598 6163 55015 SH DFND 1,2 25998 0 29017 ISHARES RUSSELL 1000 RUS 1000 GRW ETF 464287614 6937 66126 SH DFND 1,2 28519 0 37607 ISHARES RUSSELL 1000 RUS 1000 ETF 464287622 1002 8053 SH DFND 1,2 285 0 7768 ISHARES RUSSELL 2000 RUS 2000 VAL ETF 464287630 823 6922 SH DFND 1,2 6038 0 884 ISHARES RUSSELL 2000 RUS 2000 GRW ETF 464287648 422 2740 SH DFND 1,2 1779 0 961 ISHARES RUSSELL 2000 RUSSELL 2000 ETF 464287655 9311 69049 SH DFND 1,2 40210 0 28839 ISHARES RUSSELL MID CAP RUS MDCP VAL ETF 464287473 3056 37997 SH DFND 1,2 11514 0 26483 ISHARES RUSSELL MID CAP RUS MD CP GR ETF 464287481 1736 17829 SH DFND 1,2 4523 0 13306 ISHARES RUSSELL MID CAP RUS MID-CAP ETF 464287499 24175 135157 SH DFND 1,2 103377 0 31780 ISHARES S&P 500 S&P 500 GRWT ETF 464287309 1240 10185 SH DFND 1,2 1079 0 9106 ISHARES S&P 500 S&P 500 VAL ETF 464287408 456 4500 SH DFND 1,2 3446 0 1054 ISHARES S&P MID CAP S&P MC 400GR ETF 464287606 1808 9926 SH DFND 1,2 3539 0 6387 ISHARES S&P MID CAP S&P MC 400VL ETF 464287705 712 4904 SH DFND 1,2 4622 0 282 ISHARES S&P SMALL CAP SP SMCP600VL ETF 464287879 267 1907 SH DFND 1,2 1578 0 329 ISHARES S&P SMALL CAP SP SMCP600GR ETF 464287887 545 3634 SH DFND 1,2 1234 0 2400 ISHARES SELECT SELECT DIVID ETF 464287168 1060 11964 SH DFND 1,2 2400 0 9564 ISHARES U S US OIL EQ&SV ETF 464288844 227 5000 SH DFND 1 0 0 5000 ITT INC COM 45073V108 267 6923 SH DFND 1 147 0 6776 JACK IN THE BOX INC COM 466367109 240 2150 SH DFND 1 0 0 2150 JOHNSON & JOHNSON COM 478160104 177688 1542296 SH DFND 1,2 1217061 400 324835 JOHNSON CONTROLS INTL SHS G51502105 835 20283 SH DFND 1,2 3314 0 16969 JONES LANG LASALLE INC COM 48020Q107 335 3318 SH DFND 1 0 0 3318 JPMORGAN CHASE & COM 46625H100 206855 2397208 SH DFND 1,2 1884991 350 511867 JUNIPER NETWORKS INC COM 48203R104 293 10375 SH DFND 1 0 0 10375 KAYNE ANDERSON MLP COM 486606106 1030 52616 SH DFND 1 0 0 52616 KB HOME COM 48666K109 5929 375020 SH DFND 1 155268 0 219752 KELLOGG COMPANY COM 487836108 1376 18664 SH DFND 1,2 3090 0 15574 KEYCORP NEW COM 493267108 243 13324 SH DFND 1,2 2406 0 10918 KIMBERLY CLARK CORP COM 494368103 4369 38288 SH DFND 1,2 22905 0 15383 KINDER MORGAN INC DE COM 49456B101 1757 84847 SH DFND 1,2 4888 0 79959 KKR & COMPANY DEL COM UNITS 48248M102 537 34865 SH DFND 1 0 0 34865 KLA-TENCOR CORP COM 482480100 215 2737 SH DFND 1,2 700 0 2037 KRAFT HEINZ CO COM 500754106 6690 76615 SH DFND 1,2 26218 0 50397 KROGER COMPANY COM 501044101 5438 157587 SH DFND 1,2 14244 0 143343 LABORATORY CORP OF AMER COM NEW 50540R409 455 3546 SH DFND 1,2 83 0 3463 LAM RESEARCH CORP COM 512807108 5629 53235 SH DFND 1,2 385 0 52850 LANCASTER COLONY CORP COM 513847103 604 4275 SH DFND 1 0 0 4275 LANDSTAR SYSTEM INC COM 515098101 285 3338 SH DFND 1 0 0 3338 LEAR CORP NEW COM NEW 521865204 475 3590 SH DFND 1 101 0 3489 LEGGETT & PLATT INC COM 524660107 242 4943 SH DFND 1,2 1465 0 3478 LILLY ELI & COMPANY COM 532457108 5923 80537 SH DFND 1,2 32496 0 48041 LINCOLN ELECTRIC COM 533900106 279 3645 SH DFND 1 0 0 3645 LINCOLN NATIONAL CORP COM 534187109 373 5627 SH DFND 1,2 550 0 5077 LINEAR TECHNOLOGY CORP COM 535678106 262 4200 SH DFND 1,2 0 0 4200 LOCKHEED MARTIN CORP COM 539830109 2350 9395 SH DFND 1,2 6609 0 2786 LOEWS CORP COM 540424108 524 11197 SH DFND 1,2 10155 0 1042 LOUISIANA PACIFIC CORP COM 546347105 189 10000 SH DFND 1 0 0 10000 LOWES COMPANIES INC COM 548661107 3081 43317 SH DFND 1,2 16582 0 26735 LTC PROPERTIES INC COM 502175102 320 6806 SH DFND 1,2 4100 0 2706 LYDALL INC COM 550819106 3170 51260 SH DFND 1 0 0 51260 MAIN STREET CAP CORP COM 56035L104 1233 33530 SH DFND 1 0 0 33530 MARATHON OIL CORP COM 565849106 1507 87060 SH DFND 1,2 5347 0 81713 MARATHON PETROLEUM CORP COM 56585A102 789 15678 SH DFND 1,2 9066 0 6612 MARRIOTT INTL INC NEW CL A 571903202 1457 17619 SH DFND 1 0 0 17619 MARSH & MCLENNAN COS INC COM 571748102 519 7682 SH DFND 1,2 2300 0 5382 MASTERCARD INC CL A 57636Q104 1242 12032 SH DFND 1,2 300 0 11732 MATADOR RESOURCES COM 576485205 455 17680 SH DFND 1 0 0 17680 MATTEL INC COM 577081102 52502 1905709 SH DFND 1,2 1565283 0 340426 MCDONALDS CORP COM 580135101 12711 104426 SH DFND 1,2 63638 0 40788 MEAD JOHNSON NUTRITION COM 582839106 455 6427 SH DFND 1 0 0 6427 MEDIFAST INC COM 58470H101 332 7969 SH DFND 1 0 0 7969 MEDLEY CAPITAL CORP COM 58503F106 201 26747 SH DFND 1 0 0 26747 MEDTRONIC PLC SHS G5960L103 627 8808 SH DFND 1,2 3299 0 5509 MERCK & COMPANY INC NEW COM 58933Y105 12572 213554 SH DFND 1,2 138865 0 74689 MERIDIAN BIOSCIENCE INC COM 589584101 286 16178 SH DFND 1,2 0 0 16178 METLIFE INC COM 59156R108 387 7188 SH DFND 1,2 596 0 6592 MICRON TECHNOLOGY INC COM 595112103 203 9240 SH DFND 1 0 0 9240 MICROSOFT CORP COM 594918104 152422 2452877 SH DFND 1,2 1924138 1240 527499 MID-AMERICA APT CMNTYS COM 59522J103 311 3175 SH DFND 1,2 2711 0 464 MONDELEZ INTERNATIONAL CL A 609207105 7256 163687 SH DFND 1,2 64794 0 98893 MONOLITHIC POWER SYSTEM COM 609839105 3828 46714 SH DFND 1 39824 0 6890 MONRO MUFFLER BRAKE INC COM 610236101 229 3999 SH DFND 1 0 0 3999 MONSANTO COMPANY NEW COM 61166W101 657 6243 SH DFND 1,2 650 0 5593 MONSTER BEVERAGE CORP COM 61174X109 463 10438 SH DFND 1 0 0 10438 MOTOROLA SOLUTIONS INC COM NEW 620076307 253 3049 SH DFND 1 0 0 3049 MSCI INC CLASS A COM 55354G100 3562 45213 SH DFND 1 36881 0 8332 MULTI-COLOR CORP COM 625383104 749 9655 SH DFND 1 0 0 9655 NATIONAL FUEL GAS COM 636180101 245 4318 SH DFND 1 62 0 4256 NATIONAL HLTH INVS INC COM 63633D104 676 9111 SH DFND 1 0 0 9111 NAUTILUS INC COM 63910B102 1930 104318 SH DFND 1 93592 0 10726 NEW YORK COMMUNITY COM 649445103 1233 77487 SH DFND 1 0 0 77487 NEWMONT MINING CORP HLDG COM 651639106 249 7322 SH DFND 1,2 6823 0 499 NEXTERA ENERGY INC COM 65339F101 5473 45816 SH DFND 1,2 12018 0 33798 NIELSEN HLDGS PLC SHS EUR G6518L108 473 11268 SH DFND 1 0 0 11268 NIKE INC CL B 654106103 6598 129810 SH DFND 1,2 109546 0 20264 NORDSON CORP COM 655663102 528 4711 SH DFND 1 0 0 4711 NORFOLK SOUTHERN CORP COM 655844108 1759 16270 SH DFND 1,2 8712 0 7558 NORTHERN DYNASTY MINERALS LTD COM COM NEW 66510M204 52 25000 SH DFND 2 25000 0 0 NORTHERN TRUST CORP COM 665859104 60280 676919 SH DFND 1,2 555586 175 121158 NORTHROP GRUMMAN CORP COM 666807102 330 1418 SH DFND 1,2 1343 0 75 NORTHWEST BANCSHARES INC COM 667340103 1143 63376 SH DFND 1 0 0 63376 NORTHWEST NATURAL GAS COM 667655104 449 7506 SH DFND 1 0 0 7506 NOVARTIS AG SPONSORED ADR 66987V109 1530 21002 SH DFND 1,2 7629 0 13373 NOVO NORDISK AS ADR ADR 670100205 964 26873 SH DFND 1,2 7400 0 19473 NUCOR CORP COM 670346105 219 3674 SH DFND 1,2 1875 0 1799 NUVEEN COM 67071L106 199 13785 SH DFND 1,2 12341 0 1444 NUVEEN S&P 500 BUY COM 6706ER101 210 16471 SH DFND 1 0 0 16471 NUVEEN TAX ADVANTAGED COM 67090H102 452 39900 SH DFND 1 0 0 39900 NVIDIA CORP COM 67066G104 6976 65356 SH DFND 1 0 0 65356 NVR INC COM 62944T105 215 129 SH DFND 1 6 0 123 NXP SEMICONDUCTORS N V COM N6596X109 332 3389 SH DFND 1,2 371 0 3018 O REILLY AUTOMOTIVE INC COM 67103H107 747 2683 SH DFND 1,2 500 0 2183 OAKTREE CAPITAL GROUP UNIT CL A 674001201 506 13499 SH DFND 1 0 0 13499 OCCIDENTAL PETROLEUM COM 674599105 955 13405 SH DFND 1,2 4420 0 8985 OLD DOMINION FREIGHT COM 679580100 3193 37216 SH DFND 1 0 0 37216 OLD NATL BANCORP IND COM 680033107 308 16954 SH DFND 1,2 2220 0 14734 OMEGA HEALTHCARE COM 681936100 8717 278857 SH DFND 1,2 5300 0 273557 OMNICOM GROUP INC COM 681919106 92827 1090667 SH DFND 1,2 898843 0 191824 ONEMAIN HLDGS INC COM 68268W103 215 9700 SH DFND 1 0 0 9700 ONEOK INC NEW COM 682680103 455 7929 SH DFND 1,2 1100 0 6829 ORACLE CORP COM 68389X105 1370 35632 SH DFND 1,2 19738 0 15894 PACKAGING CORP OF COM 695156109 3337 39347 SH DFND 1 0 0 39347 PAPA JOHNS INTL INC COM 698813102 685 8007 SH DFND 1,2 4100 0 3907 PARKER-HANNIFIN CORP COM 701094104 485 3465 SH DFND 1 0 0 3465 PAYCHEX INC COM 704326107 6802 111720 SH DFND 1,2 105446 250 6024 PEPSICO INC COM 713448108 37712 360430 SH DFND 1,2 280465 250 79715 PFIZER INC COM 717081103 100020 3079423 SH DFND 1,2 2354689 525 724210 PHILIP MORRIS INTL INC COM 718172109 11840 129411 SH DFND 1,2 81690 0 47721 PHILLIPS 66 COM 718546104 1743 20168 SH DFND 1,2 6274 0 13894 PIMCO 0-5 YR HIGH YIELD 0-5 HIGH YIELD 72201R783 496 4972 SH DFND 1 0 0 4972 PIMCO INVESTMENT GRADE INV GRD CRP BD 72201R817 4120 40270 SH DFND 1 0 0 40270 PIMCO TOTAL RETURN TTL RTN ACTV ETF 72201R775 4158 39935 SH DFND 1 0 0 39935 PNC FINANCIAL SERVICES COM 693475105 17700 151331 SH DFND 1,2 134907 0 16424 PNM RESOURCES INC COM 69349H107 834 24315 SH DFND 1 0 0 24315 POLARIS INDUSTRIES INC COM 731068102 588 7141 SH DFND 1,2 1290 0 5851 POLYONE CORP COM 73179P106 487 15200 SH DFND 1 0 0 15200 POOL CORP COM 73278L105 1078 10332 SH DFND 1 0 0 10332 POWERSHARES DWA TACT MLT 73937B399 1031 37685 SH DFND 1 0 0 37685 POWERSHARES DB U S DOLL INDX BULL 73936D107 253 9551 SH DFND 1 0 0 9551 POWERSHARES DWA DWA MOMENTUM PTF 73935X153 354 8429 SH DFND 1 0 0 8429 POWERSHARES DYNAMIC DYNA BUYBK ACH 73935X286 851 16867 SH DFND 1 0 0 16867 POWERSHARES ETF VAR RATE PFD POR 73937B597 1165 47325 SH DFND 1 0 0 47325 POWERSHARES FTSE FTSE RAFI 1000 73935X583 10971 110210 SH DFND 1 0 0 110210 POWERSHARES QQQ ETF UNIT SER 1 73935A104 3444 29072 SH DFND 1,2 10950 0 18122 POWERSHARES S&P 500 PWRSHS SP500 LOW 73937B654 216 5513 SH DFND 1 0 0 5513 POWERSHARES S&P 500 S&P500 LOW VOL 73937B779 2228 53576 SH DFND 1 0 0 53576 POWERSHARES S&P SMALL S&P SMCP HC PO 73937B886 301 4125 SH DFND 1 0 0 4125 PPG INDUSTRIES INC COM 693506107 2610 27542 SH DFND 1,2 22985 0 4557 PPL CORP COM 69351T106 849 24933 SH DFND 1,2 2882 0 22051 PRAXAIR INC COM 74005P104 301 2570 SH DFND 1,2 1550 0 1020 PRICE T ROWE GRP INC COM 74144T108 938 12465 SH DFND 1,2 4280 0 8185 PRICELINE GROUP INC COM NEW 741503403 564 385 SH DFND 1,2 113 0 272 PRIMO WATER CORP COM 74165N105 464 37806 SH DFND 1 0 0 37806 PRINCIPAL FINANCIAL COM 74251V102 225 3881 SH DFND 1,2 770 0 3111 PROCTER & GAMBLE COMPANY COM 742718109 62964 748855 SH DFND 1,2 554898 700 193257 PROGRESS SOFTWARE CORP COM 743312100 3184 99724 SH DFND 1 83953 0 15771 PROGRESSIVE CORP OH COM 743315103 67736 1908051 SH DFND 1,2 1487402 675 419974 PROSHARES TRUST S&P 500 DV ARIST 74348A467 779 14454 SH DFND 1 0 0 14454 PROSPECT CAPITAL CORP COM 74348T102 1963 235054 SH DFND 1 0 0 235054 PRUDENTIAL FINANCIAL INC COM 744320102 351 3371 SH DFND 1,2 36 0 3335 PUBLIC SERVICE COM 744573106 271 6180 SH DFND 1,2 3000 0 3180 PULTEGROUP INC COM 745867101 2662 144826 SH DFND 1 108687 0 36139 PVH CORP COM 693656100 520 5765 SH DFND 1 0 0 5765 QUALCOMM INC COM 747525103 5059 77591 SH DFND 1,2 41869 0 35722 QUEST DIAGNOSTICS INC COM 74834L100 430 4674 SH DFND 1 0 0 4674 RAYMOND JAMES COM 754730109 506 7300 SH DFND 1,2 4500 0 2800 RAYTHEON COMPANY NEW COM NEW 755111507 916 6453 SH DFND 1,2 608 0 5845 REALTY INCOME CORP COM 756109104 757 13175 SH DFND 1,2 318 0 12857 REGAL ENTERTAINMENT GRP CL A 758766109 1593 77334 SH DFND 1 0 0 77334 REGENERON COM 75886F107 271 738 SH DFND 1 18 0 720 REGIONS FINANCIAL COM 7591EP100 3439 239508 SH DFND 1,2 750 0 238758 REPUBLIC BANCORP INC KY CL A 760281204 442 11190 SH DFND 1,2 3780 0 7410 REPUBLIC SERVICES INC COM 760759100 445 7803 SH DFND 1 0 0 7803 REYNOLDS AMERICAN INC COM 761713106 598 10665 SH DFND 1,2 5110 0 5555 ROBERT HALF INTL INC COM 770323103 1666 34161 SH DFND 1 0 0 34161 ROSS STORES INC COM 778296103 204 3108 SH DFND 1,2 778 0 2330 ROYAL BANK CANADA COM 780087102 230 3401 SH DFND 1 3201 0 200 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1846 33956 SH DFND 1,2 24761 0 9195 ROYAL GOLD INC COM 780287108 4716 74446 SH DFND 1,2 8285 0 66161 ROYCE MICRO-CAP TRUST INC COM COM 780915104 207 25349 SH DFND 2 25349 0 0 ROYCE VALUE TRUST INC COM 780910105 197 14685 SH DFND 1 0 0 14685 RYDEX GUGGENHEIM S&P 500 GUG S&P500 EQ WT 78355W106 14267 164669 SH DFND 1 0 0 164669 S&P GLOBAL INC COM 78409V104 286 2661 SH DFND 1,2 169 0 2492 SAIA INC COM 78709Y105 3213 72767 SH DFND 1 67127 0 5640 SANDERSON FARMS INC COM 800013104 259 2749 SH DFND 1 0 0 2749 SANOFI SPON ADR SPONSORED ADR 80105N105 475 11738 SH DFND 1,2 764 0 10974 SCANA CORP NEW COM 80589M102 451 6162 SH DFND 1,2 675 0 5487 SCHLUMBERGER LTD COM 806857108 5656 67377 SH DFND 1,2 60965 0 6412 SCHWAB CHARLES CORP NEW COM 808513105 3053 77355 SH DFND 1,2 250 0 77105 SCHWAB U S SMALL CAP ETF US SML CAP ETF 808524607 330 5364 SH DFND 1 3300 0 2064 SCRIPPS NETWORKS CL A COM 811065101 779 10905 SH DFND 1 0 0 10905 SEALED AIR CORP NEW COM 81211K100 211 4647 SH DFND 1 0 0 4647 SECTOR CONSUMER STAPLES SBI CONS STPLS 81369Y308 370 7150 SH DFND 1,2 177 0 6973 SECTOR ENERGY SELECT SBI INT-ENERGY 81369Y506 1958 25999 SH DFND 1 250 0 25749 SECTOR FINANCIAL SELECT SBI INT-FINL 81369Y605 4650 199992 SH DFND 1 0 0 199992 SECTOR INDUSTRIAL SBI INT-INDS 81369Y704 4751 76354 SH DFND 1,2 53 0 76301 SECTOR TECHNOLOGY TECHNOLOGY 81369Y803 5108 105623 SH DFND 1,2 1234 0 104389 SEI INVESTMENTS COMPANY COM 784117103 313 6331 SH DFND 1 0 0 6331 SHERWIN WILLIAMS CO COM 824348106 11793 43880 SH DFND 1,2 36120 0 7760 SHIRE PLC SPONSORED ADR 82481R106 357 2096 SH DFND 1,2 1127 0 969 SHOPIFY INC CL A 82509L107 538 12555 SH DFND 1 0 0 12555 SIMON PROPERTY GROUP COM 828806109 583 3282 SH DFND 1 0 0 3282 SIX FLAGS ENTERTAINMENT COM 83001A102 470 7843 SH DFND 1 0 0 7843 SKECHERS USA INC CLASS A CL A 830566105 1947 79204 SH DFND 1 74232 0 4972 SKYWORKS SOLUTIONS INC COM 83088M102 930 12460 SH DFND 1 0 0 12460 SMITH & WESSON HOLDING COM 831756101 590 27992 SH DFND 1 0 0 27992 SMUCKER JM COMPANY NEW COM NEW 832696405 1694 13231 SH DFND 1,2 3562 0 9669 SNAP ON INC COM 833034101 1834 10706 SH DFND 1 250 0 10456 SONIC CORP COM 835451105 2664 100486 SH DFND 1 89463 0 11023 SOURCE CAPITAL INC COM 836144105 229 6370 SH DFND 1,2 6370 0 0 SOUTHERN COMPANY COM 842587107 10039 204075 SH DFND 1,2 141580 0 62495 SOUTHWEST AIRLINES COM 844741108 4116 82576 SH DFND 1 51786 0 30790 SPDR SPDR TR TACTIC 78467V848 814 16813 SH DFND 1 0 0 16813 SPDR BLOOMBERG BARCLAYS BLOOMBERG BRCLYS 78464A417 695 19072 SH DFND 1 0 0 19072 SPDR BLOOMBERG BARCLAYS BLOMBERG BRC SRT 78464A474 5310 173913 SH DFND 1 0 0 173913 SPDR BLOOMBERG BARCLAYS BLOMBERG BRC INV 78468R200 612 19975 SH DFND 1 0 0 19975 SPDR DOW JONES UT SER 1 78467X109 427 2161 SH DFND 1,2 1900 0 261 SPDR DOW JONES GLOBAL DJ GLB RL ES ETF 78463X749 220 4699 SH DFND 1 0 0 4699 SPDR DOW JONES INTL DJ INTL RL ETF 78463X863 2728 75619 SH DFND 1,2 82 0 75537 SPDR DOW JONES REIT ETF DJ REIT ETF 78464A607 638 6835 SH DFND 2 6835 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 431 3934 SH DFND 1,2 2063 0 1871 SPDR NUVEEN S&P HIGH NUV HGHYLD MUN 78464A284 274 4888 SH DFND 1 0 0 4888 SPDR S&P 500 ETF TR UNIT 78462F103 7166 32056 SH DFND 1,2 2937 0 29119 SPDR S&P BANK ETF S&P BK ETF 78464A797 1154 26557 SH DFND 1 0 0 26557 SPDR S&P INTL S&P INTL ETF 78463X772 288 7988 SH DFND 1 0 0 7988 SPDR S&P MID CAP 400 ETF UTSER1 S&PDCRP 78467Y107 3022 10016 SH DFND 1,2 1585 0 8431 SPDR S&P REGIONAL S&P REGL BKG 78464A698 1082 19463 SH DFND 1 0 0 19463 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 395 9531 SH DFND 1 0 0 9531 SPDR SERIES TRUST S&P BIOTECH 78464A870 691 11671 SH DFND 1 0 0 11671 SPECTRA ENERGY CORP COM 847560109 1903 46316 SH DFND 1,2 25067 0 21249 SPROTT FOCUS TRUST INC COM 85208J109 116 16710 SH DFND 1,2 11989 0 4721 STAPLES INC COM 855030102 16711 1846466 SH DFND 1,2 1374192 0 472274 STARBUCKS CORP COM 855244109 5435 97893 SH DFND 1,2 8019 0 89874 STERICYCLE INC COM 858912108 283 3667 SH DFND 1 0 0 3667 STMICROELECTRONICS N V NY REGISTRY 861012102 297 26152 SH DFND 1 0 0 26152 STOCK YARDS BANCORP INC COM 861025104 2272 48385 SH DFND 1,2 12454 0 35931 STRYKER CORP COM 863667101 2029 16937 SH DFND 1,2 7810 0 9127 SUNTRUST BANKS INC COM 867914103 1285 23434 SH DFND 1,2 8175 0 15259 SYNCHRONOSS TECHNOLOGIES COM 87157B103 502 13100 SH DFND 1 0 0 13100 SYNNEX CORP COM 87162W100 3531 29178 SH DFND 1 27233 0 1945 SYSCO CORP COM 871829107 13010 234958 SH DFND 1,2 204247 0 30711 TARGET CORP COM 87612E106 883 12225 SH DFND 1,2 6616 0 5609 TE CONNECTIVITY LTD REG SHS H84989104 98424 1420675 SH DFND 1,2 1117837 0 302838 TEKLA HEALTHCARE INV SBI SH BEN INT 87911J103 2127 100681 SH DFND 1 0 0 100681 TEMPLETON EMERGING COM 880192109 415 38019 SH DFND 1 0 0 38019 TEMPLETON GLOBAL INCOME COM 880198106 857 132207 SH DFND 1,2 14857 0 117350 TESLA MOTORS INC COM 88160R101 218 1021 SH DFND 1,2 11 0 1010 TEVA PHARMACEUTICAL INDS ADR 881624209 571 15740 SH DFND 1,2 960 0 14780 TEXAS INSTRUMENTS INC COM 882508104 2127 29151 SH DFND 1,2 9345 0 19806 THERMO FISHER COM 883556102 506 3587 SH DFND 1,2 1580 0 2007 THOR INDUSTRIES INC COM 885160101 3374 33719 SH DFND 1 0 0 33719 TIFFANY AND COMPANY NEW COM 886547108 405 5231 SH DFND 1 0 0 5231 TJX COMPANIES INC NEW COM 872540109 85557 1138786 SH DFND 1,2 959749 0 179037 TOOTSIE ROLL INDS INC COM 890516107 512 12873 SH DFND 1,2 8480 0 4393 TORTOISE ENERGY COM 89147L100 746 24313 SH DFND 1 0 0 24313 TOTAL S A SPONSORED ADR 89151E109 424 8309 SH DFND 1,2 41 0 8268 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 646 5511 SH DFND 1,2 372 0 5139 TRACTOR SUPPLY COMPANY COM 892356106 1519 20037 SH DFND 1,2 10072 0 9965 TRANSDIGM GROUP INC COM 893641100 305 1227 SH DFND 1,2 41 0 1186 TRAVELERS COMPANIES INC COM 89417E109 1308 10681 SH DFND 1,2 8623 0 2058 TREX COMPANY INC COM 89531P105 3175 49304 SH DFND 1 45237 0 4067 TRIANGLE CAPITAL CORP COM 895848109 203 11050 SH DFND 1 0 0 11050 TRINITY INDUSTRIES INC COM 896522109 2688 96819 SH DFND 1 88656 0 8163 TWENTY FIRST CENTURY FOX CL A 90130A101 2521 89920 SH DFND 1 72266 0 17654 TWENTY FIRST CENTURY FOX CL B 90130A200 463 17000 SH DFND 1 0 0 17000 TWO HARBORS INVT CORP COM 90187B101 977 112082 SH DFND 1 0 0 112082 U S BANCORP DE NEW COM NEW 902973304 126897 2470246 SH DFND 1,2 1958658 500 511088 U S SILICA HLDGS INC COM 90346E103 677 11937 SH DFND 1 0 0 11937 UBS AG LONDON VELOCITYSHS TAIL 90274D168 381 16900 SH DFND 1 0 0 16900 UNILEVER N V N Y SHS NEW 904784709 425 10348 SH DFND 1,2 7595 0 2753 UNILEVER PLC SPON ADR NEW 904767704 923 22679 SH DFND 1,2 4460 0 18219 UNION PACIFIC CORP COM 907818108 75562 728798 SH DFND 1,2 593336 210 135252 UNITED BANKSHARES INC WV COM 909907107 950 20543 SH DFND 1 0 0 20543 UNITED CONTINENTAL HLDGS COM 910047109 3137 43042 SH DFND 1 0 0 43042 UNITED PARCEL SERVICE CL B 911312106 1892 16503 SH DFND 1,2 3962 0 12541 UNITED STATES STEEL CORP COM 912909108 719 21775 SH DFND 1,2 150 0 21625 UNITED TECHNOLOGIES CORP COM 913017109 3274 29870 SH DFND 1,2 14615 0 15255 UNITED THERAPEUTICS CORP COM 91307C102 507 3535 SH DFND 1 0 0 3535 UNITEDHEALTH GROUP INC COM 91324P102 2225 13903 SH DFND 1,2 1094 0 12809 URSTADT BIDDLE CL A 917286205 235 9737 SH DFND 1 1500 0 8237 V F CORP COM 918204108 365 6839 SH DFND 1,2 970 0 5869 VALERO ENERGY CORP COM 91913Y100 3106 45466 SH DFND 1,2 37416 0 8050 VANECK VECTORS GOLD MINERS ETF 92189F106 943 45055 SH DFND 1,2 5400 0 39655 VANECK VECTORS JR GOLD MINERS E 92189F791 278 8800 SH DFND 1,2 2300 0 6500 VANGUARD ALLWRLD EX US 922042775 4544 102861 SH DFND 1,2 100083 0 2778 VANGUARD DIVIDEND DIV APP ETF 921908844 3087 36241 SH DFND 1,2 17391 0 18850 VANGUARD FTSE DEVELOPED FTSE DEV MKT ETF 921943858 38559 1055243 SH DFND 1,2 580589 0 474654 VANGUARD FTSE EMERGING FTSE EMR MKT ETF 922042858 15400 430401 SH DFND 1,2 283347 0 147054 VANGUARD HEALTH CARE ETF HEALTH CAR ETF 92204A504 880 6938 SH DFND 1 0 0 6938 VANGUARD HIGH DIVIDEND HIGH DIV YLD 921946406 860 11348 SH DFND 1 0 0 11348 VANGUARD INTERMEDIATE INTERMED TERM 921937819 430 5174 SH DFND 1 0 0 5174 VANGUARD INTERMEDIATE INT-TERM CORP 92206C870 5258 61350 SH DFND 1 0 0 61350 VANGUARD LARGE CAP ETF LARGE CAP ETF 922908637 481 4695 SH DFND 1,2 3267 0 1428 VANGUARD LONG TERM LONG TERM BOND 921937793 410 4603 SH DFND 1 0 0 4603 VANGUARD MID CAP MCAP VL IDXVIP 922908512 290 2982 SH DFND 1,2 770 0 2212 VANGUARD MID CAP MCAP GR IDXVIP 922908538 235 2225 SH DFND 1 0 0 2225 VANGUARD MID CAP ETF MID CAP ETF 922908629 9736 73961 SH DFND 1,2 62389 0 11572 VANGUARD REIT INDEX ETF REIT ETF 922908553 28877 349894 SH DFND 1,2 297781 0 52113 VANGUARD S&P 500 500 GRTH IDX F 921932505 916 8384 SH DFND 1 0 0 8384 VANGUARD S&P 500 S&P 500 ETF SHS 922908363 13347 65007 SH DFND 1,2 2562 0 62445 VANGUARD SHORT TERM SHORT TRM BOND 921937827 9832 123733 SH DFND 1,2 79881 0 43852 VANGUARD SHORT TERM STRM INFPROIDX 922020805 400 8132 SH DFND 1 0 0 8132 VANGUARD SHORT TERM CORP SHRT TRM CORP BD 92206C409 7737 97480 SH DFND 1 0 0 97480 VANGUARD SMALL CAP SML CP GRW ETF 922908595 1493 11211 SH DFND 1,2 2504 0 8707 VANGUARD SMALL CAP ETF SMALL CP ETF 922908751 11753 91140 SH DFND 1,2 76266 0 14874 VANGUARD SMALL CAP VALUE SM CP VAL ETF 922908611 1247 10304 SH DFND 1,2 2844 0 7460 VANGUARD TOTAL BOND TOTAL BND MRKT 921937835 245 3030 SH DFND 1,2 2671 0 359 VANGUARD TOTAL STOCK TOTAL STK MKT 922908769 394 3415 SH DFND 1,2 685 0 2730 VANGUARD VALUE ETF VALUE ETF 922908744 247 2654 SH DFND 1,2 596 0 2058 VECTREN CORP COM 92240G101 1367 26223 SH DFND 1,2 7825 0 18398 VENTAS INC COM 92276F100 786 12570 SH DFND 1,2 7939 0 4631 VERIZON COMMUNICATIONS COM 92343V104 16092 301463 SH DFND 1,2 112416 0 189047 VERTEX PHARMACEUTICALS COM 92532F100 224 3035 SH DFND 1,2 480 0 2555 VISA INC CLASS A COM CL A 92826C839 3246 41607 SH DFND 1,2 8044 0 33563 VISTA OUTDOOR INC COM 928377100 200 5430 SH DFND 1 0 0 5430 VMWARE INC CLASS A CL A COM 928563402 312 3963 SH DFND 1 0 0 3963 VULCAN MATERIALS COMPANY COM 929160109 366 2922 SH DFND 1,2 1250 0 1672 WABASH NATIONAL CORP COM 929566107 3222 203675 SH DFND 1 175078 0 28597 WADDELL & REED FINANCIAL CL A 930059100 840 43050 SH DFND 1 0 0 43050 WALGREENS BOOTS ALLIANCE COM 931427108 25174 304176 SH DFND 1,2 265030 0 39146 WAL-MART STORES INC COM 931142103 9592 138774 SH DFND 1,2 100249 0 38525 WALT DISNEY CO COM DISNEY 254687106 173503 1664777 SH DFND 1,2 1306116 425 358236 WASTE MANAGEMENT INC DEL COM 94106L109 218 3070 SH DFND 1,2 1700 0 1370 WATERS CORP COM 941848103 5505 40966 SH DFND 1,2 35239 0 5727 WEC ENERGY GROUP INC COM 92939U106 756 12886 SH DFND 1,2 3861 0 9025 WELLS FARGO & CO NEW COM 949746101 114749 2082174 SH DFND 1,2 1678807 575 402792 WELLS FARGO & COMPANY PERP PFD CNV A 949746804 1510 1269 SH DFND 1,2 155 0 1114 WELLTOWER INC COM 95040Q104 510 7619 SH DFND 1,2 1742 0 5877 WESTERN ASSET CLAYMORE COM SH BEN INT 95766Q106 2373 206734 SH DFND 1 0 0 206734 WESTERN ASSET GLOBAL COM 95790C107 907 53004 SH DFND 1 0 0 53004 WESTERN ASSET/CLAYMORE COM 95766R104 2824 253512 SH DFND 1 0 0 253512 WESTLAKE CHEMICAL CORP COM 960413102 334 5969 SH DFND 1 0 0 5969 WEYERHAEUSER COMPANY COM 962166104 1346 44731 SH DFND 1,2 3475 0 41256 WGL HOLDINGS INC COM 92924F106 470 6157 SH DFND 1,2 650 0 5507 WHITESTONE REIT COM 966084204 399 27757 SH DFND 1 0 0 27757 WHITING PETROLEUM COM 966387102 539 44835 SH DFND 1 0 0 44835 WHOLE FOODS MARKET INC COM 966837106 357 11621 SH DFND 1 0 0 11621 WILLIAMS COS INC DEL COM 969457100 393 12633 SH DFND 1 0 0 12633 WILLIAMS SONOMA INC COM 969904101 270 5567 SH DFND 1 0 0 5567 WINNEBAGO INDUSTRIES INC COM 974637100 6057 191386 SH DFND 1 92523 0 98863 WISDOMTREE INVESTMENTS COM 97717P104 3095 277867 SH DFND 1 255576 0 22291 WISDOMTREE MID CAP MIDCAP DIVI FD 97717W505 1229 13022 SH DFND 1 0 0 13022 WISDOMTREE SMALL CAP SMALLCAP DIVID 97717W604 885 10705 SH DFND 1 0 0 10705 WISDOMTREE TR LARGECAP DIVID FD LARGECAP DIVID 97717W307 321 4016 SH DFND 2 4016 0 0 WISDOMTREE TREE WSDM EMKTBD FD 97717X784 270 3877 SH DFND 1 0 0 3877 WORTHINGTON COM 981811102 2332 49159 SH DFND 1 0 0 49159 YUM BRANDS INC COM 988498101 1417 22381 SH DFND 1,2 14334 0 8047 YUM CHINA HOLDINGS INC COM 98850P109 521 19943 SH DFND 1,2 14334 0 5609 ZIMMER BIOMET HOLDINGS COM 98956P102 1308 12673 SH DFND 1,2 11213 0 1460 ZOETIS INC CL A CL A 98978V103 2167 40474 SH DFND 1,2 1475 0 38999