0000950123-16-022338.txt : 20161114 0000950123-16-022338.hdr.sgml : 20161111 20161114155034 ACCESSION NUMBER: 0000950123-16-022338 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Asset Management, LLC CENTRAL INDEX KEY: 0001521019 IRS NUMBER: 274357327 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14498 FILM NUMBER: 161994514 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 917-7700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001521019 XXXXXXXX 09-30-2016 09-30-2016 Nuveen Asset Management, LLC

c/o Nuveen Investments 333 W. Wacker Drive Chicago IL 60606

13F HOLDINGS REPORT 028-14498 N Diane S. Meggs 312-917-7700 /s/ Diane S. Meggs Chicago IL 11-11-2016 2 1404 17122635 false 1 028-11405 Nuveen Investments, Inc. 2 028-11710 Nuveen Fund Advisors, LLC INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F 3D Systems Corp COM 88554D205 875 48766 SH DFND 1,2 48766 0 0 3M Co COM 88579Y101 58786 333574 SH DFND 1,2 327476 0 6098 Aaron's Inc COM 002535300 1805 71010 SH DFND 1,2 70958 0 52 Abbott Laboratories COM 002824100 8167 193126 SH DFND 1,2 192949 0 177 AbbVie Inc COM 00287Y109 34166 541713 SH DFND 1,2 526080 0 15633 Abercrombie & Fitch Co COM 002896207 269 16898 SH DFND 1,2 16898 0 0 ABIOMED Inc COM 003654100 12442 96766 SH DFND 1,2 95353 0 1413 Acadia Healthcare Co Inc COM 00404A109 11035 222713 SH DFND 1,2 218842 0 3871 Acadia Realty Trust REIT 004239109 27964 771623 SH DFND 1,2 771623 0 0 Accelerate Diagnostics Inc COM 00430H102 19107 700923 SH DFND 1,2 690056 0 10867 Accenture PLC COM G1151C101 11093 90797 SH DFND 1,2 86012 0 4785 Aceto Corp COM 004446100 370 19495 SH DFND 1,2 19440 0 55 ACI Worldwide Inc COM 004498101 1045 53939 SH DFND 1,2 53939 0 0 Activision Blizzard Inc COM 00507V109 25209 569050 SH DFND 1,2 547460 0 21590 Acuity Brands Inc COM 00508Y102 17217 65069 SH DFND 1,2 63938 0 1131 Acxiom Corp COM 005125109 963 36141 SH DFND 1,2 36141 0 0 Adams Natural Resources Fund Inc Closed-End Fund 00548F105 638 32000 SH DFND 1,2 32000 0 0 Adobe Systems Inc COM 00724F101 14361 132310 SH DFND 1,2 124103 0 8207 Advanced Micro Devices Inc COM 007903107 2378 344168 SH DFND 1,2 344168 0 0 Advanced Semiconductor Engineering Inc ADR 00756M404 213 36120 SH DFND 1,2 31723 0 4397 AECOM COM 00766T100 11835 398090 SH DFND 1,2 398090 0 0 Aerie Pharmaceuticals Inc COM 00771V108 585 15502 SH DFND 1,2 15502 0 0 AES Corp/VA COM 00130H105 2482 193153 SH DFND 1,2 193023 0 130 Aetna Inc COM 00817Y108 37527 325051 SH DFND 1,2 313022 0 12029 Aflac Inc COM 001055102 9388 130620 SH DFND 1,2 130544 0 76 AGCO Corp COM 001084102 1461 29628 SH DFND 1,2 29628 0 0 Agilent Technologies Inc COM 00846U101 4579 97247 SH DFND 1,2 97247 0 0 Agios Pharmaceuticals Inc COM 00847X104 647 12250 SH DFND 1,2 12250 0 0 Agree Realty Corp REIT 008492100 3526 71310 SH DFND 1,2 71310 0 0 Air Products & Chemicals Inc COM 009158106 1734 12476 SH DFND 1,2 12476 0 0 AK Steel Holding Corp COM 001547108 76 15699 SH DFND 1,2 15699 0 0 Akamai Technologies Inc COM 00971T101 1128 21281 SH DFND 1,2 21281 0 0 Akorn Inc COM 009728106 1064 39038 SH DFND 1,2 39038 0 0 Alaska Air Group Inc COM 011659109 14914 226450 SH DFND 1,2 225001 0 1449 Alcoa Inc COM 013817101 868 85647 SH DFND 1,2 85647 0 0 Alder Biopharmaceuticals Inc COM 014339105 1314 40086 SH DFND 1,2 40082 0 4 Alexander & Baldwin Inc COM 014491104 837 21782 SH DFND 1,2 21782 0 0 Alexander's Inc REIT 014752109 4275 10189 SH DFND 1,2 10189 0 0 Alexandria Real Estate Preferred-Cnv 015271505 13860 389552 SH DFND 1,2 389552 0 0 Alexandria Real Estate Equities Inc REIT 015271109 82298 756623 SH DFND 1,2 756623 0 0 Alexion Pharmaceuticals Inc COM 015351109 12441 101523 SH DFND 1,2 97660 0 3863 Alibaba Group Holding Ltd ADR 01609W102 13925 131629 SH DFND 1,2 131583 0 46 Align Technology Inc COM 016255101 2880 30724 SH DFND 1,2 30724 0 0 Alkermes PLC COM G01767105 702 14922 SH DFND 1,2 14922 0 0 Allegheny Technologies Inc COM 01741R102 916 50674 SH DFND 1,2 50674 0 0 Allergan plc COM G0177J108 13405 58205 SH DFND 1,2 55687 0 2518 ALLETE Inc COM 018522300 1942 32576 SH DFND 1,2 32559 0 17 Alliance Data Systems Corp COM 018581108 16390 76401 SH DFND 1,2 75284 0 1117 Alliant Energy Corp COM 018802108 3485 90970 SH DFND 1,2 90970 0 0 AllianzGI Convertible & Income Fund II Closed-End Fund 018825109 71 12047 SH DFND 1,2 11650 0 397 Allison Transmission Holdings Inc COM 01973R101 9062 315982 SH DFND 1,2 315982 0 0 Allscripts Healthcare Solutions Inc COM 01988P108 2571 195237 SH DFND 1,2 195237 0 0 Allstate Corp/The COM 020002101 1859 26867 SH DFND 1,2 26698 0 169 Alphabet Inc COM 02079K305 116750 145200 SH DFND 1,2 141277 0 3923 Alphabet Inc COM 02079K107 57379 73819 SH DFND 1,2 73819 0 0 Altra Industrial Motion Corp COM 02208R106 7712 266202 SH DFND 1,2 266202 0 0 Altria Group Inc COM 02209S103 41833 661603 SH DFND 1,2 655518 0 6085 Amazon.com Inc COM 023135106 114022 136177 SH DFND 1,2 133188 0 2989 AMC Networks Inc COM 00164V103 1243 23975 SH DFND 1,2 23975 0 0 Amedisys Inc COM 023436108 1237 26080 SH DFND 1,2 26080 0 0 Ameren Corp COM 023608102 508 10333 SH DFND 1,2 10333 0 0 American Airlines Group Inc COM 02376R102 134757 3680881 SH DFND 1,2 3680881 0 0 American Axle & Manufacturing Holdings Inc COM 024061103 546 31679 SH DFND 1,2 31679 0 0 American Campus Communities Inc REIT 024835100 46792 919840 SH DFND 1,2 919840 0 0 American Eagle Outfitters Inc COM 02553E106 1431 80132 SH DFND 1,2 80132 0 0 American Electric Power Co Inc COM 025537101 1519 23659 SH DFND 1,2 23529 0 130 American Equity Investment Life Holding Co COM 025676206 8743 493146 SH DFND 1,2 493114 0 32 American Express Co COM 025816109 23746 370807 SH DFND 1,2 370807 0 0 American Financial Group Inc/OH COM 025932104 2171 28941 SH DFND 1,2 28928 0 13 American Homes 4 Rent REIT 02665T306 49614 2292717 SH DFND 1,2 2292717 0 0 American International Group Inc COM 026874784 6426 108296 SH DFND 1,2 108296 0 0 American Tower Corp Convertible 03027X407 27 248889 PRN DFND 1,2 248889 0 0 American Tower Corp REIT 03027X100 9271 81804 SH DFND 1,2 55652 0 26152 American Water Works Co Inc COM 030420103 524 7000 SH Call DFND 1,2 7000 0 0 American Water Works Co Inc COM 030420103 17389 232355 SH DFND 1,2 118547 0 113808 AmeriGas Partners LP MLP 030975106 2938 64354 SH DFND 1,2 64354 0 0 Ameriprise Financial Inc COM 03076C106 29729 297980 SH DFND 1,2 291131 0 6849 AMERISAFE Inc COM 03071H100 9621 163675 SH DFND 1,2 163668 0 7 AmerisourceBergen Corp COM 03073E105 23650 292773 SH DFND 1,2 275519 0 17254 AMETEK Inc COM 031100100 783 16388 SH DFND 1,2 16388 0 0 Amgen Inc COM 031162100 70891 424982 SH DFND 1,2 414400 0 10582 AMN Healthcare Services Inc COM 001744101 5651 177302 SH DFND 1,2 177261 0 41 Amphenol Corp COM 032095101 21629 333165 SH DFND 1,2 327841 0 5324 Amsurg Corp COM 03232P405 1467 21877 SH DFND 1,2 21877 0 0 Anadarko Petroleum Corp COM 032511107 31758 501225 SH DFND 1,2 495955 0 5270 Anadarko Petroleum Corp Convertible 032511404 9 223266 PRN DFND 1,2 223266 0 0 Analog Devices Inc COM 032654105 8088 125495 SH DFND 1,2 125495 0 0 ANSYS Inc COM 03662Q105 5159 55707 SH DFND 1,2 55707 0 0 Antero Midstream Partners LP MLP 03673L103 755 28287 SH DFND 1,2 28287 0 0 Anthem Inc COM 036752103 23634 188604 SH DFND 1,2 187737 0 867 AO Smith Corp COM 831865209 17891 181105 SH DFND 1,2 178533 0 2572 Aon PLC COM G0408V102 2082 18504 SH DFND 1,2 18504 0 0 Apache Corp COM 037411105 1561 24437 SH DFND 1,2 24437 0 0 Apartment Investment & Management Co REIT 03748R101 1304 28405 SH DFND 1,2 28405 0 0 Apple Hospitality REIT Inc REIT 03784Y200 350 18900 SH DFND 1,2 18900 0 0 Apple Inc COM 037833100 263384 2329800 SH 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532 95110 SH DFND 1,2 95110 0 0 Ashland Global Holdings Inc COM 044186104 2991 25798 SH DFND 1,2 25798 0 0 Aspen Insurance Holdings Ltd COM G05384105 1232 26433 SH DFND 1,2 26433 0 0 Associated Banc-Corp COM 045487105 1275 65082 SH DFND 1,2 65082 0 0 Assured Guaranty Ltd COM G0585R106 4299 154907 SH DFND 1,2 154907 0 0 AT&T Inc COM 00206R102 81978 2018662 SH DFND 1,2 1999223 0 19439 Atmos Energy Corp COM 049560105 1117 15000 SH Call DFND 1,2 15000 0 0 Atmos Energy Corp COM 049560105 35892 481960 SH DFND 1,2 254581 0 227379 AtriCure Inc COM 04963C209 1210 76502 SH DFND 1,2 76471 0 31 Atwood Oceanics Inc COM 050095108 1961 225632 SH DFND 1,2 225632 0 0 Autodesk Inc COM 052769106 5638 77942 SH DFND 1,2 77942 0 0 Automatic Data Processing Inc COM 053015103 2610 29596 SH DFND 1,2 29596 0 0 AvalonBay Communities Inc REIT 053484101 115485 649375 SH DFND 1,2 649375 0 0 Avangrid Inc COM 05351W103 1400 33510 SH DFND 1,2 16084 0 17426 Avery Dennison Corp COM 053611109 2176 27976 SH DFND 1,2 27976 0 0 Avis Budget Group Inc COM 053774105 1314 38421 SH DFND 1,2 38421 0 0 Avnet Inc COM 053807103 5386 131185 SH DFND 1,2 131164 0 21 Avon Products Inc COM 054303102 1396 246600 SH DFND 1,2 246600 0 0 B/E Aerospace Inc COM 073302101 2112 40874 SH DFND 1,2 40874 0 0 Babcock & Wilcox Enterprises Inc COM 05614L100 6550 396955 SH DFND 1,2 396955 0 0 Baidu Inc ADR 056752108 7917 43486 SH DFND 1,2 43476 0 10 Baker Hughes Inc COM 057224107 1697 33616 SH DFND 1,2 33616 0 0 Banc of California Inc COM 05990K106 256 14664 SH DFND 1,2 14629 0 35 BancorpSouth Inc COM 059692103 937 40381 SH DFND 1,2 40381 0 0 Bank of America Corp COM 060505104 82347 5261820 SH DFND 1,2 5218676 0 43144 Bank of Hawaii Corp COM 062540109 1308 18007 SH DFND 1,2 18007 0 0 Bank of New York Mellon Corp/The COM 064058100 2429 60916 SH DFND 1,2 60803 0 113 Bank of the Ozarks Inc COM 063904106 14010 364833 SH DFND 1,2 364819 0 14 BankUnited Inc COM 06652K103 14279 472803 SH DFND 1,2 466756 0 6047 Banner Corp COM 06652V208 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Inc COM 09061G101 7401 79994 SH DFND 1,2 78628 0 1366 Bio-Techne Corp COM 09073M104 1756 16040 SH DFND 1,2 16040 0 0 BJ's Restaurants Inc COM 09180C106 2574 72410 SH DFND 1,2 72398 0 12 Black Hills Corp Convertible 092113125 7 99828 PRN DFND 1,2 99828 0 0 Black Hills Corp COM 092113109 1468 23980 SH DFND 1,2 23980 0 0 BlackRock Credit Allocation Income Trust Closed-End Fund 092508100 1949 146000 SH DFND 1,2 146000 0 0 BlackRock Long-Term Municipal Advantage Trust Closed-End Fund 09250B103 216 17081 SH DFND 1,2 17081 0 0 BlackRock Municipal Bond Trust Closed-End Fund 09249H104 277 15435 SH DFND 1,2 15435 0 0 BlackRock Municipal Income Trust Closed-End Fund 09248F109 448 28345 SH DFND 1,2 28345 0 0 BlackRock MuniEnhanced Fund Inc Closed-End Fund 09253Y100 737 58051 SH DFND 1,2 58051 0 0 BlackRock MuniHoldings Fund Inc Closed-End Fund 09253N104 278 15078 SH DFND 1,2 15078 0 0 BlackRock MuniHoldings Quality Fund Inc Closed-End Fund 09254A101 506 34869 SH DFND 1,2 34869 0 0 BlackRock 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BofI Holding Inc COM 05566U108 12521 558970 SH DFND 1,2 549943 0 9027 Boise Cascade Co COM 09739D100 312 12282 SH DFND 1,2 12252 0 30 BorgWarner Inc COM 099724106 494 14035 SH DFND 1,2 14035 0 0 Boston Properties Inc REIT 101121101 100717 738994 SH DFND 1,2 738994 0 0 Boston Scientific Corp COM 101137107 12831 539112 SH DFND 1,2 511659 0 27453 Brandywine Realty Trust REIT 105368203 58223 3727487 SH DFND 1,2 3727456 0 31 Brinker International Inc COM 109641100 11196 222001 SH DFND 1,2 220749 0 1252 Bristol-Myers Squibb Co COM 110122108 10962 203297 SH DFND 1,2 195714 0 7583 Brixmor Property Group Inc REIT 11120U105 63895 2299210 SH DFND 1,2 2299210 0 0 Broadcom Ltd COM Y09827109 4076 23625 SH DFND 1,2 23605 0 20 Broadridge Financial Solutions Inc COM 11133T103 3338 49238 SH DFND 1,2 49238 0 0 BroadSoft Inc COM 11133B409 2995 64335 SH DFND 1,2 64325 0 10 Brocade Communications Systems Inc COM 111621306 8699 942469 SH DFND 1,2 942469 0 0 Brookdale Senior Living Inc COM 112463104 244 13973 SH DFND 1,2 13973 0 0 Brookfield Asset Management Inc COM 112585104 7143 154843 SH DFND 1,2 154843 0 0 Brookfield Infrastructure Partners LP Ltd Part G16252101 17082 493138 SH DFND 1,2 444809 0 48329 Brookfield Renewable Partners LP MLP G16258108 3443 111920 SH DFND 1,2 111920 0 0 BROOKFIELD RNWBLE PRTNR OCT16 42.0315 C PARTNERSHIP UNIT G16258108 646 21000 SH Call DFND 1,2 21000 0 0 Brown & Brown Inc COM 115236101 1815 48119 SH DFND 1,2 48119 0 0 Brown-Forman Corp COM 115637209 1089 22964 SH DFND 1,2 22964 0 0 Brunswick Corp/DE COM 117043109 10673 218796 SH DFND 1,2 218782 0 14 Buckeye Partners LP MLP 118230101 2393 33425 SH DFND 1,2 33425 0 0 BUCKEYE PARTNERS LP OCT16 73.185 CALL UNIT LTD PARTN 118230101 859 12000 SH Call DFND 1,2 12000 0 0 Buffalo Wild Wings Inc COM 119848109 4190 29770 SH DFND 1,2 29767 0 3 Burlington Stores Inc COM 122017106 2204 27200 SH DFND 1,2 27200 0 0 BWX Technologies Inc COM 05605H100 7139 186055 SH DFND 1,2 186055 0 0 CA Inc COM 12673P105 17514 529440 SH DFND 1,2 523018 0 6422 Cabela's Inc COM 126804301 1044 19012 SH DFND 1,2 19012 0 0 Cabot Corp COM 127055101 11537 220125 SH DFND 1,2 220125 0 0 Cabot Oil & Gas Corp COM 127097103 739 28662 SH DFND 1,2 28662 0 0 Cadence Design Systems Inc COM 127387108 4323 169340 SH DFND 1,2 169296 0 44 Calamos Strategic Total Return Fund Closed-End Fund 128125101 132 12841 SH DFND 1,2 12416 0 425 CalAtlantic Group Inc COM 128195104 6874 205561 SH DFND 1,2 205561 0 0 California Water Service Group COM 130788102 8466 263833 SH DFND 1,2 263816 0 17 Callon Petroleum Co COM 13123X102 10502 668904 SH DFND 1,2 668857 0 47 Cambrex Corp COM 132011107 2384 53628 SH DFND 1,2 53585 0 43 Camden Property Trust REIT 133131102 76862 917866 SH DFND 1,2 917866 0 0 Cameco Corp COM 13321L108 171 19940 SH DFND 1,2 18276 0 1664 Campbell Soup Co COM 134429109 675 12344 SH DFND 1,2 12344 0 0 Canadian Natural Resources Ltd COM 136385101 7105 169412 SH DFND 1,2 169412 0 0 Capella Education Co COM 139594105 1081 18622 SH DFND 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COM 149150104 2330 75695 SH DFND 1,2 75695 0 0 CBL & Associates Properties Inc REIT 124830100 136 11172 SH DFND 1,2 11172 0 0 CBOE Holdings Inc COM 12503M108 16463 253867 SH DFND 1,2 250041 0 3826 CBRE Clarion Global Real Estate Income Fund Closed-End Fund 12504G100 134 15933 SH DFND 1,2 15408 0 525 CBRE Group Inc COM 12504L109 556 19859 SH DFND 1,2 19859 0 0 CBS Corp COM 124857202 17405 317951 SH DFND 1,2 292977 0 24974 CDK Global Inc COM 12508E101 4742 82667 SH DFND 1,2 82667 0 0 CEB Inc COM 125134106 862 15817 SH DFND 1,2 15817 0 0 Cedar Realty Trust Inc REIT 150602209 8957 1244052 SH DFND 1,2 1244052 0 0 Celanese Corp COM 150870103 15819 237672 SH DFND 1,2 235280 0 2392 Celgene Corp COM 151020104 32423 310180 SH DFND 1,2 304850 0 5330 Centene Corp COM 15135B101 16020 239246 SH DFND 1,2 231879 0 7367 CenterPoint Energy Inc COM 15189T107 1394 60000 SH Call DFND 1,2 60000 0 0 CenterPoint Energy Inc COM 15189T107 30043 1293276 SH DFND 1,2 1084295 0 208981 CenturyLink Inc COM 156700106 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Cisco Systems Inc COM 17275R102 111466 3514067 SH DFND 1,2 3496359 0 17708 CIT Group Inc COM 125581801 21490 592019 SH DFND 1,2 586375 0 5644 Citigroup Inc COM 172967424 21639 458155 SH DFND 1,2 457720 0 435 Citizens Financial Group Inc COM 174610105 534 21622 SH DFND 1,2 21622 0 0 Citrix Systems Inc COM 177376100 24443 286823 SH DFND 1,2 283671 0 3152 City Office REIT Inc REIT 178587101 11818 928380 SH DFND 1,2 928380 0 0 Civitas Solutions Inc COM 17887R102 7269 398084 SH DFND 1,2 398056 0 28 CLARCOR Inc COM 179895107 5019 77221 SH DFND 1,2 77211 0 10 Clean Harbors Inc COM 184496107 1077 22445 SH DFND 1,2 22445 0 0 Cliffs Natural Resources Inc COM 18683K101 85 14598 SH DFND 1,2 14598 0 0 Clorox Co/The COM 189054109 12012 95960 SH DFND 1,2 90661 0 5299 CME Group Inc COM 12572Q105 3472 33214 SH DFND 1,2 33214 0 0 CMS Energy Corp COM 125896100 420 10000 SH Call DFND 1,2 10000 0 0 CMS Energy Corp COM 125896100 35074 834905 SH DFND 1,2 602361 0 232544 CNO Financial Group Inc COM 12621E103 12512 819362 SH DFND 1,2 819326 0 36 Coach Inc COM 189754104 1225 33500 SH DFND 1,2 33500 0 0 Cobalt International Energy Inc COM 19075F106 33 27007 SH DFND 1,2 27007 0 0 Coca-Cola Co/The COM 191216100 29147 688735 SH DFND 1,2 686749 0 1986 Coeur Mining Inc COM 192108504 127 10697 SH DFND 1,2 10697 0 0 Cogent Communications Holdings Inc COM 19239V302 1393 37832 SH DFND 1,2 37832 0 0 Cognex Corp COM 192422103 1691 31999 SH DFND 1,2 31999 0 0 Cognizant Technology Solutions Corp COM 192446102 1846 38690 SH DFND 1,2 38690 0 0 Colgate-Palmolive Co COM 194162103 13965 188354 SH DFND 1,2 176998 0 11356 Colony Capital Inc PUBLIC 19624R403 14008 565310 SH DFND 1,2 565310 0 0 Columbia Pipeline Partners LP MLP 198281107 1942 120312 SH DFND 1,2 120312 0 0 COLUMBIA PIPELN PRTNRS LP NOV16 17.01 C COM UT REPSTG 198281107 646 40000 SH Call DFND 1,2 40000 0 0 Comcast Corp COM 20030N101 69521 1047957 SH DFND 1,2 1028467 0 19490 Comerica Inc COM 200340107 1143 24154 SH DFND 1,2 24154 0 0 Commerce 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0 0 Darling Ingredients Inc COM 237266101 147 10872 SH DFND 1,2 10872 0 0 DaVita Inc COM 23918K108 1559 23593 SH DFND 1,2 23593 0 0 DCP MIDSTRM PRTNS LP APR16 25.389 CALL MLP 23311P100 1639 46397 SH DFND 1,2 46397 0 0 DCT Industrial Trust Inc REIT 233153204 89317 1839696 SH DFND 1,2 1839696 0 0 DDR Corp REIT 23317H102 63362 3635206 SH DFND 1,2 3635206 0 0 Dean Foods Co COM 242370203 719 43816 SH DFND 1,2 43816 0 0 Deckers Outdoor Corp COM 243537107 4176 70118 SH DFND 1,2 70108 0 10 Deere & Co COM 244199105 3295 38611 SH DFND 1,2 38611 0 0 Delaware Investments National Municipal Income Fund Closed-End Fund 24610T108 478 33958 SH DFND 1,2 33958 0 0 Delek US Holdings Inc COM 246647101 385 22275 SH DFND 1,2 22221 0 54 Delphi Automotive PLC COM G27823106 1352 18961 SH DFND 1,2 18878 0 83 Delta Air Lines Inc COM 247361702 38148 969205 SH DFND 1,2 927688 0 41517 Deluxe Corp COM 248019101 2553 38210 SH DFND 1,2 38165 0 45 Denbury Resources Inc COM 247916208 595 184078 SH DFND 1,2 184078 0 0 DENTSPLY SIRONA Inc COM 24906P109 751 12637 SH DFND 1,2 12637 0 0 Deutsche Municipal Income Trust Closed-End Fund 25160C106 4106 291446 SH DFND 1,2 291446 0 0 Devon Energy Corp COM 25179M103 1460 33097 SH DFND 1,2 33097 0 0 DeVry Education Group Inc COM 251893103 627 27204 SH DFND 1,2 27204 0 0 DexCom Inc COM 252131107 12527 142902 SH DFND 1,2 140507 0 2395 DHT Holdings Inc COM Y2065G121 215 51232 SH DFND 1,2 51090 0 142 Diamond Offshore Drilling Inc COM 25271C102 401 22777 SH DFND 1,2 22777 0 0 DiamondRock Hospitality Co REIT 252784301 25578 2810765 SH DFND 1,2 2810765 0 0 Dick's Sporting Goods Inc COM 253393102 3390 59770 SH DFND 1,2 59770 0 0 Diebold Inc COM 253651103 757 30555 SH DFND 1,2 30555 0 0 DIGITAL REALTY TRT INC MAY16 92.86 CALL REIT 253868103 163751 1686071 SH DFND 1,2 1582217 0 103854 Diplomat Pharmacy Inc COM 25456K101 2057 73432 SH DFND 1,2 73425 0 7 Discover Financial Services COM 254709108 48904 864798 SH DFND 1,2 835446 0 29352 Discovery Communications Inc COM 25470F104 27186 1009869 SH DFND 1,2 999233 0 10636 Discovery Communications Inc COM 25470F302 376 14283 SH DFND 1,2 14283 0 0 Dollar General Corp COM 256677105 10789 154152 SH DFND 1,2 153070 0 1082 Dollar Tree Inc COM 256746108 17653 223649 SH DFND 1,2 219982 0 3667 Dominion Midstream Partners LP MLP 257454108 2926 122387 SH DFND 1,2 122387 0 0 Dominion Resources Inc/VA COM 25746U109 743 10000 SH Call DFND 1,2 10000 0 0 Dominion Resources Inc/VA Convertible 25746U836 31 621565 PRN DFND 1,2 621565 0 0 Dominion Resources Inc/VA COM 25746U109 26185 352563 SH DFND 1,2 193899 0 158664 Dominion Resources Inc/VA Convertible 25746U869 15 309545 PRN DFND 1,2 309545 0 0 Domino's Pizza Inc COM 25754A201 12502 82330 SH DFND 1,2 81841 0 489 Domtar Corp COM 257559203 982 26440 SH DFND 1,2 26440 0 0 Donaldson Co Inc COM 257651109 1997 53484 SH DFND 1,2 53484 0 0 Douglas Emmett Inc REIT 25960P109 3126 85343 SH DFND 1,2 85343 0 0 Dover Corp COM 260003108 1950 26474 SH DFND 1,2 26474 0 0 Dow Chemical 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0 67 Entergy Corp COM 29364G103 1000 13035 SH DFND 1,2 13035 0 0 ENTERPRISE PROD PRTNS NOV16 28.875 CALL COM 293792107 1105 40000 SH Call DFND 1,2 40000 0 0 Enterprise Products Partners LP MLP 293792107 79893 2891531 SH DFND 1,2 2245601 0 645930 Envestnet Inc COM 29404K106 1507 41342 SH DFND 1,2 41342 0 0 EOG Resources Inc COM 26875P101 4477 46293 SH DFND 1,2 46293 0 0 Epiq Systems Inc COM 26882D109 2788 169059 SH DFND 1,2 169059 0 0 EPR Properties Convertible 26884U307 12 334155 PRN DFND 1,2 334155 0 0 EPR Properties REIT 26884U109 18482 234719 SH DFND 1,2 234714 0 5 EPR Properties Convertible 26884U208 1 21698 PRN DFND 1,2 21698 0 0 EQT Corp COM 26884L109 762 10487 SH DFND 1,2 10487 0 0 EQT GP Holdings LP MLP 26885J103 1353 53982 SH DFND 1,2 53982 0 0 EQT GP HOLDINGS LP OCT16 26.7855 CALL COM UNIT REP 26885J103 301 12000 SH Call DFND 1,2 12000 0 0 EQT Midstream Partners LP MLP 26885B100 1769 23214 SH DFND 1,2 23214 0 0 EQT MIDSTRM PRTNRS LP OCT16 83.265 CALL UNIT LTD PARTN 26885B100 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0 Gannett Co Inc COM 36473H104 6489 557443 SH DFND 1,2 557443 0 0 Gap Inc/The COM 364760108 1434 64469 SH DFND 1,2 64469 0 0 Gartner Inc COM 366651107 21238 240118 SH DFND 1,2 236515 0 3603 GasLog Ltd COM G37585109 292 20085 SH DFND 1,2 20032 0 53 GATX Corp COM 361448103 949 21305 SH DFND 1,2 21305 0 0 Generac Holdings Inc COM 368736104 3739 103000 SH DFND 1,2 102982 0 18 General Dynamics Corp COM 369550108 25643 165270 SH DFND 1,2 163494 0 1776 General Electric Co COM 369604103 42960 1450373 SH DFND 1,2 1442381 0 7992 General Growth Properties Inc REIT 370023103 126207 4572704 SH DFND 1,2 4572704 0 0 General Mills Inc COM 370334104 2462 38536 SH DFND 1,2 38536 0 0 General Motors Co COM 37045V100 14512 456790 SH DFND 1,2 455973 0 817 Genesee & Wyoming Inc COM 371559105 1590 23062 SH DFND 1,2 23062 0 0 Genpact Ltd COM G3922B107 460 19208 SH DFND 1,2 19208 0 0 Gentex Corp COM 371901109 2468 140520 SH DFND 1,2 140520 0 0 Genuine Parts Co COM 372460105 2336 23255 SH DFND 1,2 23255 0 0 Genworth Financial Inc COM 37247D106 1158 233478 SH DFND 1,2 233478 0 0 Geron Corp COM 374163103 23 10224 SH DFND 1,2 10224 0 0 Gilead Sciences Inc COM 375558103 52289 660882 SH DFND 1,2 642454 0 18428 Glacier Bancorp Inc COM 37637Q105 1768 62002 SH DFND 1,2 61985 0 17 Glaukos Corp COM 377322102 2779 73629 SH DFND 1,2 73620 0 9 GlaxoSmithKline PLC ADR 37733W105 9476 219712 SH DFND 1,2 215598 0 4114 Global Net Lease Inc REIT 379378102 92 11291 SH DFND 1,2 11291 0 0 Global Payments Inc COM 37940X102 1790 23325 SH DFND 1,2 23325 0 0 Globalstar Inc COM 378973408 30 24688 SH DFND 1,2 24688 0 0 Goldman Sachs Group Inc/The COM 38141G104 39400 244312 SH DFND 1,2 244312 0 0 Goodyear Tire & Rubber Co/The COM 382550101 526 16281 SH DFND 1,2 16281 0 0 Graco Inc COM 384109104 1670 22572 SH DFND 1,2 22572 0 0 Gramercy Property Trust REIT 385002100 270 27966 SH DFND 1,2 27966 0 0 Grand Canyon Education Inc COM 38526M106 442 10953 SH DFND 1,2 10930 0 23 Granite Construction Inc COM 387328107 861 17305 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