0000902584-16-000050.txt : 20161114
0000902584-16-000050.hdr.sgml : 20161111
20161114130946
ACCESSION NUMBER: 0000902584-16-000050
CONFORMED SUBMISSION TYPE: 13F-HR/A
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: ADVISORY RESEARCH INC
CENTRAL INDEX KEY: 0000902584
IRS NUMBER: 362831881
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05637
FILM NUMBER: 161993059
BUSINESS ADDRESS:
STREET 1: 180 N. STETSON STREET
STREET 2: STE 5500
CITY: CHICAGO
STATE: IL
ZIP: 60601
BUSINESS PHONE: 3125651414
MAIL ADDRESS:
STREET 1: 180 N. STETSON STREET
STREET 2: SUITE 5500
CITY: CHICAGO
STATE: IL
ZIP: 60601
13F-HR/A
1
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RESTATEMENT
ADVISORY RESEARCH INC
180 N. STETSON STREET
SUITE 5500
CHICAGO
IL
60601
13F HOLDINGS REPORT
028-05637
N
Susan Steiner
Chief Compliance Officer
314-446-6745
Susan Steiner
St. Louis
MO
11-14-2016
3
328
6147589
false
1
0001280782
028-11097
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
2
0001352022
028-11783
General Board of Pension & Health Benefits of The United Methodist Church, INC in Missouri
3
0001524828
028-16461
Acuitas Investments, LLC
INFORMATION TABLE
2
arithrdqtr2016a.xml
3M CO
COM
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479
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SOLE
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A T & T INC NEW
COM
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SH
SOLE
0
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ACCENTURE PLC
COM
G1151C101
499
4081
SH
SOLE
1711
0
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ADDUS HOMECARE CORP.
COM
006739106
9886
377904
SH
SOLE
240880
0
137024
AIR METHODS CORP
COM
009128307
383
12155
SH
SOLE
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0
ALEXANDER & BALDWIN HOLDINGS I
COM
014491104
54669
1422936
SH
SOLE
1182244
0
240692
ALEXANDER & BALDWIN HOLDINGS I
COM
014491104
4960
129109
SH
DFND
02
0
0
129109
ALLIANCEBERNSTEIN HLDG UNIT LT
COM
01881G106
558
24460
SH
SOLE
0
0
24460
ALLIED WORLD ASSURANCE CO
COM
H01531104
57716
1427919
SH
SOLE
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0
267879
ALLIED WORLD ASSURANCE CO
COM
H01531104
4800
118745
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02
0
0
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ALLISON TRANSMISSION HOLDING
COM
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0
260229
ALLISON TRANSMISSION HOLDING
COM
01973R101
4942
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SH
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02
0
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ALTRIA GROUP INC
COM
02209S103
1312
20743
SH
SOLE
1087
0
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AMERCO INCORPORATED
COM
023586100
381
1176
SH
SOLE
1176
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AMERICAN EXPRESS COMPANY
COM
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55364
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AMERICAN INTERNATIONAL GROUP I
COM
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COM
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AMERIGAS PARTNERS, L.P.
COM
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ANALOGIC
COM
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COM
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APOLLO INVESTMENT CORPORATION
COM
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APPLE INC
COM
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1000
8847
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591
ARC LOGISTICS PARTNERS LP
COM
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COM
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COM
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COM
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COM
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ARMSTRONG WORLD INDUSTRIES
COM
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ATENTO SA
COM
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ATLAS AIR WORLDWIDE HOLDINGS I
COM
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ATN INTERNATIONAL INC
COM
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AVALON HLDGS CORP CL A
COM
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AVNET INCORPORATED
COM
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AVNET INCORPORATED
COM
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67305
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COM
G0750C108
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COM
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BANKUNITED INC COM
COM
06652K103
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BANKUNITED INC COM
COM
06652K103
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BCE
COM
05534B760
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BEACON ROOFING SUPPLY INC
COM
073685109
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BERKSHIRE HATHAWAY INC DEL CL
COM
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4947
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23662
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BILOXI MARSH LDS CORP COM
COM
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66239
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BLACKROCK KELSO CAPITAL CORPCO
COM
092533108
525
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63447
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COM
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BROOKDALE SENIOR LIVING INCORP
COM
112463104
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02
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BUCKEYE PARTNERS, L.P.
COM
118230101
171142
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SH
SOLE
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BUCKEYE PARTNERS, L.P.
COM
118230101
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SH
DFND
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CABOT OIL & GAS
COM
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CAPITAL BANK FINANCIAL CORPORA
COM
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CAPITAL SENIOR LIVING CORPORAT
COM
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COM
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COM
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COM
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CARRIZO OIL & GAS INCORPORATED
COM
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CASEYS GENERAL STORES
COM
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COM
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COM
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CDW CORPORATION
COM
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CENTURY CASINOS INC.
COM
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COM
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COM
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CHICAGO RIVET & MACHINE COMPAN
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COM
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COM
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COM
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CRESTWOOD EQUITY PARTNERS LP
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COM
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COM
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COM
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COM
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DCP MIDSTREAM PARTNERS, LP
COM
23311P100
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COM
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COM
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COM
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DUKE ENERGY CORP NEW
COM
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COM
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EAGLE MATERIALS INCORPORATED
COM
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EARTHSTONE ENERGY INC.
COM
27032D205
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ECLIPSE RESOURCES CORP
COM
27890G100
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COM
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ENABLE MIDSTREAM PARTNERS, LP
COM
292480100
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COM
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COM
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COM
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COM
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COM
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COM
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ENERGY TRANSFER PARTNERS, L.P.
COM
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COM
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COM
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COM
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COM
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COM
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COM
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ENTERPRISE PRODUCTS PARTNERS L
COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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4500
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COM
427096508
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HEXCEL CORPORATION
COM
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35109
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COM
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139535
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COM
44267D107
17144
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COM
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24590
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COM
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COM
448579102
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IGNITE RESTAURANT GROUP INC CO
COM
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246637
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INVESTORS BANCORP INCORPORATED
COM
46146L101
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INVESTORS BANCORP INCORPORATED
COM
46146L101
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COM
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JACK IN THE BOX INCORPORATED
COM
466367109
3416
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02
0
0
35605
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COM
478160104
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JP ENERGY PARTNERS LP
COM
46643C109
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597135
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SOLE
597135
0
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JP ENERGY PARTNERS LP
COM
46643C109
3932
531345
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01
531345
0
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JPMORGAN CHASE & CO
COM
46625H100
3495
52485
SH
SOLE
35297
0
17188
K12 INC.
COM
48273U102
143
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SH
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COM
48244B100
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94880
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COM
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KENNEDY-WILSON HOLDINGS INCORP
COM
489398107
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02
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COM
49456B101
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KNOT OFFSHORE PARTNERS LP
COM
Y48125101
18350
878390
SH
SOLE
878390
0
0
KNOT OFFSHORE PARTNERS LP
COM
Y48125101
12796
612535
SH
DFND
01
612535
0
0
LAYNE CHRISTENSEN CO
COM
521050104
1269
149148
SH
SOLE
149148
0
0
LEUCADIA NATL CORP
COM
527288104
5626
295465
SH
SOLE
272897
0
22568
LEUCADIA NATL CORP
COM
527288104
993
52163
SH
DFND
02
0
0
52163
LYDALL INC.
COM
550819106
16981
332115
SH
SOLE
214513
0
117602
MADISON SQUARE GARDEN CO- A
COM
55825T103
595
3512
SH
SOLE
3512
0
0
MAGELLAN MIDSTREAM PARTNERS, L
COM
559080106
104628
1479052
SH
SOLE
1442241
0
36811
MAGELLAN MIDSTREAM PARTNERS, L
COM
559080106
54811
774827
SH
DFND
01
774827
0
0
MAIN STREET CAPITAL CORP COM
COM
56035L104
988
28775
SH
SOLE
28775
0
0
MARTIN MARIETTA MATERIALS
COM
573284106
205
1144
SH
SOLE
800
0
344
MASONITE INTERNATIONAL CORP
COM
575385109
44742
719678
SH
SOLE
594528
0
125150
MASONITE INTERNATIONAL CORP
COM
575385109
4131
66450
SH
DFND
02
0
0
66450
MATSON INC.
COM
57686G105
28132
705424
SH
SOLE
562239
0
143185
MATSON INC.
COM
57686G105
3139
78710
SH
DFND
02
0
0
78710
MCRAE INDS INC CL A
COM
582757209
1098
44084
SH
SOLE
44084
0
0
MEDLEY CAP CORPORATION
COM
58503F106
751
98389
SH
SOLE
98389
0
0
MEDTRONIC PLC SHARES
COM
G5960L103
3748
43378
SH
SOLE
28817
0
14561
MERCK & CO INC NEW
COM
58933Y105
355
5684
SH
SOLE
0
0
5684
MGP INGREDIENTS INCORPORATED
COM
55303J106
261
6443
SH
SOLE
6443
0
0
MICROSOFT CORP
COM
594918104
3966
68852
SH
SOLE
45422
0
23430
MONDELEZ INTERNATIONAL INCORPO
COM
609207105
3779
86086
SH
SOLE
58585
0
27501
MONROE CAP CORP COM
COM
610335101
1408
89492
SH
SOLE
89492
0
0
MPLX LP
COM
55336V100
170576
5037691
SH
SOLE
4994436
0
43255
MPLX LP
COM
55336V100
23537
695114
SH
DFND
01
695114
0
0
NATIONAL FUEL GAS
COM
636180101
245
4530
SH
SOLE
4530
0
0
NAVIGATORS GROUP INC
COM
638904102
21565
222502
SH
SOLE
149093
0
73409
NAVIOS MARITIME MIDSTREAM PART
COM
Y62134104
9707
918380
SH
SOLE
918380
0
0
NAVIOS MARITIME MIDSTREAM PART
COM
Y62134104
7406
700620
SH
DFND
01
700620
0
0
NEW MTN FIN CORP COM
COM
647551100
1251
90894
SH
SOLE
90894
0
0
NEXTERA ENERGY PARTNERS, LP
COM
65341B106
9681
346135
SH
SOLE
346135
0
0
NGL ENERGY PARTNERS LP
COM
62913M107
28704
1523583
SH
SOLE
1519693
0
3890
NGL ENERGY PARTNERS LP
COM
62913M107
7627
404810
SH
DFND
01
404810
0
0
NOBLE MIDSTREAM PARTNERS LP
COM
65506L105
5565
199460
SH
SOLE
199090
0
370
NOBLE MIDSTREAM PARTNERS LP
COM
65506L105
1395
50000
SH
DFND
01
50000
0
0
NRG YIELD INC
COM
62942X405
23251
1370946
SH
SOLE
1370946
0
0
NUSTAR ENERGY L.P.
COM
67058H102
335
6765
SH
SOLE
6195
0
570
OAKTREE CAPITAL GROUP
COM
674001201
1122
26456
SH
SOLE
1556
0
24900
OMNOVA SOLUTIONS
COM
682129101
441
52300
SH
SOLE
52300
0
0
ONEOK PARTNERS, L.P.
COM
68268N103
41484
1038408
SH
SOLE
1000840
0
37568
ONEOK PARTNERS, L.P.
COM
68268N103
9271
232060
SH
DFND
01
232060
0
0
ONEOK, INC.
COM
682680103
63445
1234571
SH
SOLE
1233225
0
1346
OPUS BANK
COM
684000102
484
13680
SH
SOLE
13680
0
0
PARK STERLING CORP
COM
70086Y105
6097
750919
SH
SOLE
503161
0
247758
PATRICK INDUSTRIES
COM
703343103
373
6026
SH
SOLE
6026
0
0
PATTERN ENERGY GROUP INC.
COM
70338P100
23586
1048745
SH
SOLE
1048745
0
0
PBF LOGISTICS LP
COM
69318Q104
13030
657400
SH
SOLE
654100
0
3300
PBF LOGISTICS LP
COM
69318Q104
1528
77085
SH
DFND
01
77085
0
0
PDC ENERGY INCORPORATED
COM
69327R101
294
4380
SH
SOLE
4380
0
0
PENNTEX MIDSTREAM PARTNERS, LP
COM
709311104
6449
371500
SH
SOLE
371500
0
0
PEPSICO INCORPORATED
COM
713448108
2326
21382
SH
SOLE
13886
0
7496
PHILLIPS 66 PARTNERS LP
COM
718549207
52604
1082384
SH
SOLE
1079709
0
2675
PIONEER NATURAL RESOURCES COMP
COM
723787107
54299
292481
SH
SOLE
282425
0
10056
PIONEER NATURAL RESOURCES COMP
COM
723787107
3215
17320
SH
DFND
02
0
0
17320
PLAINS ALL AMERICAN PIPELINE,
COM
726503105
122682
3905821
SH
SOLE
3791383
0
114438
PLAINS ALL AMERICAN PIPELINE,
COM
726503105
47088
1499132
SH
DFND
01
1499132
0
0
PLAINS GP HOLDINGS, L.P.
COM
72651A108
245
18920
SH
SOLE
18920
0
0
POTBELLY CORP
COM
73754Y100
7955
639979
SH
SOLE
395069
0
244910
PRIMORIS SVCS CORP COM
COM
74164F103
549
26627
SH
SOLE
26627
0
0
QEP RESOURCES INCORPORATED
COM
74733V100
251
12850
SH
SOLE
12850
0
0
RADISYS CORPORATION
COM
750459109
577
107949
SH
SOLE
107949
0
0
RANGE RESOURCES
COM
75281A109
47572
1227659
SH
SOLE
1124997
0
102662
RANGE RESOURCES
COM
75281A109
1994
51450
SH
DFND
02
0
0
51450
REGENCY AFFILIATES INC COM PAR
COM
758847404
820
85455
SH
SOLE
85455
0
0
RICE ENERGY INCORPORATED
COM
762760106
472
18080
SH
SOLE
18080
0
0
RICE MIDSTREAM PARTNERS LP
COM
762819100
6942
286130
SH
SOLE
286130
0
0
RYMAN HOSPITALITY PROPERTIES I
COM
78377T107
20248
420429
SH
SOLE
346529
0
73900
RYMAN HOSPITALITY PROPERTIES I
COM
78377T107
1744
36203
SH
DFND
02
0
0
36203
SALLY BEAUTY HOLDINGS INC
COM
79546E104
43330
1687300
SH
SOLE
1396969
0
290331
SALLY BEAUTY HOLDINGS INC
COM
79546E104
4354
169535
SH
DFND
02
0
0
169535
SCHEID VINEYARDS INC CL A
COM
806403200
753
25870
SH
SOLE
25870
0
0
SCHOLASTIC CORPORATION
COM
807066105
18654
473938
SH
SOLE
365117
0
108821
SCHOLASTIC CORPORATION
COM
807066105
1285
32660
SH
DFND
02
0
0
32660
SEMGROUP CORP
COM
81663A105
439
12428
SH
SOLE
11639
0
789
SEMGROUP CORP
COM
81663A105
1606
45423
SH
DFND
01
45423
0
0
SM ENERGY COMPANY
COM
78454L100
32375
839178
SH
SOLE
839178
0
0
SMUCKER J M COMPANY NEW
COM
832696405
473
3492
SH
SOLE
1494
0
1998
SNAP ON INCORPORATED
COM
833034101
14247
93753
SH
SOLE
88051
0
5702
SNAP ON INCORPORATED
COM
833034101
2124
13980
SH
DFND
02
0
0
13980
SOLAR CAP LTD COM
COM
83413U100
2280
111124
SH
SOLE
111124
0
0
SOUTHWESTERN ENERGY COMPANY
COM
845467109
265
19113
SH
SOLE
14560
0
4553
SPECTRA ENERGY CORP
COM
847560109
43803
1024643
SH
SOLE
1022865
0
1778
STERLING CONSTRUCTION CO
COM
859241101
297
38400
SH
SOLE
38400
0
0
SUMMIT MIDSTREAM PARTNERS, LP
COM
866142102
41435
1806251
SH
SOLE
1802676
0
3575
SUMMIT MIDSTREAM PARTNERS, LP
COM
866142102
19247
839021
SH
DFND
01
839021
0
0
SUNOCO LOGISTICS PARTNERS L.P.
COM
86764L108
25168
885880
SH
SOLE
833680
0
52200
SUNOCO LP
COM
86765K109
40896
1409728
SH
SOLE
1408263
0
1465
SUNOCO LP
COM
86765K109
7392
254793
SH
DFND
01
254793
0
0
SUPERIOR UNIFORM GROUP
COM
868358102
736
37206
SH
SOLE
36166
0
1040
SYMPHONY INTERNATIONAL HOLDING
COM
G54812105
370
480502
SH
SOLE
480502
0
0
SYMPHONY INTERNATIONAL HOLDING
COM
G54812105
243
315816
SH
DFND
03
315816
0
0
TALLGRASS ENERGY GP, LP
COM
874696107
26076
1084235
SH
SOLE
1084235
0
0
TALLGRASS ENERGY PARTNERS, LP
COM
874697105
52650
1092333
SH
SOLE
1089543
0
2790
TALLGRASS ENERGY PARTNERS, LP
COM
874697105
24823
514995
SH
DFND
01
514995
0
0
TARGA RESOURCES CORP.
COM
87612G101
129174
2630306
SH
SOLE
2604465
0
25841
TC PIPELINES, LP
COM
87233Q108
107694
1888381
SH
SOLE
1849106
0
39275
TC PIPELINES, LP
COM
87233Q108
35743
626740
SH
DFND
01
626740
0
0
TCP CAP CORP COM
COM
87238Q103
1257
76749
SH
SOLE
76749
0
0
TE CONNECTIVITY LTD REG SHS
COM
H84989104
4432
68837
SH
SOLE
46016
0
22821
TEEKAY LNG PARTNERS LP
COM
Y8564M105
1210
80000
SH
DFND
01
80000
0
0
TEEKAY OFFSHORE PARTNERS L.P.
COM
Y8565J101
90462
14313685
SH
SOLE
14289060
0
24625
TEEKAY OFFSHORE PARTNERS L.P.
COM
Y8565J101
22105
3497582
SH
DFND
01
3497582
0
0
TELETECH HOLDINGS INC COM
COM
879939106
21890
755074
SH
SOLE
487017
0
268057
TESORO LOGISTICS LP
COM
88160T107
99446
2052967
SH
SOLE
2040672
0
12295
TESORO LOGISTICS LP
COM
88160T107
26329
543530
SH
DFND
01
543530
0
0
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
24409
444455
SH
SOLE
366725
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77730
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
2223
40475
SH
DFND
02
0
0
40475
THE BLACKSTONE GROUP LP
COM
09253U108
1045
40922
SH
SOLE
2747
0
38175
THE BRINK'S COMPANY
COM
109696104
65851
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SH
SOLE
1459261
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316665
THE BRINK'S COMPANY
COM
109696104
5850
157764
SH
DFND
02
0
0
157764
THE KRAFT HEINZ COMPANY
COM
500754106
355
3966
SH
SOLE
819
0
3147
THE WILLIAMS COMPANIES, INC.
COM
969457100
75215
2447613
SH
SOLE
2423849
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23764
THL CREDIT INC COM
COM
872438106
492
51678
SH
SOLE
51678
0
0
TPG SPECIALTY LENDING INC.
COM
87265K102
981
54177
SH
SOLE
54177
0
0
TRANSMONTAIGNE PARTNERS L.P.
COM
89376V100
2030
49208
SH
SOLE
49208
0
0
TREEHOUSE FOODS INC
COM
89469A104
357
4100
SH
SOLE
4100
0
0
TRIANGLE CAP CORP COM
COM
895848109
1904
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SH
SOLE
96668
0
0
TRIBUNE MEDIA COMPANY CLASS A
COM
896047503
45875
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SH
SOLE
1049512
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206650
TRIBUNE MEDIA COMPANY CLASS A
COM
896047503
3691
101068
SH
DFND
02
0
0
101068
TROPICANA ENTERTAINMENT
COM
89708X105
1188
50040
SH
SOLE
36180
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13860
TWENTY FIRST CENTY FOX INC CL
COM
90130A200
3021
122090
SH
SOLE
84780
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37310
UNION PACIFIC CORPORATION
COM
907818108
3923
40221
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SOLE
24936
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15285
UNITEDHEALTH GROUP INC
COM
91324P102
4416
31542
SH
SOLE
20257
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11285
USD PARTNERS LP
COM
903318103
32361
2613992
SH
SOLE
2608277
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5715
USD PARTNERS LP
COM
903318103
6978
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SH
DFND
01
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0
0
VALVOLINE INC
COM
92047W101
1303
55490
SH
SOLE
55490
0
0
VENTAS INC.
COM
92276F100
1195
16924
SH
SOLE
1040
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15884
VERITIV CORP
COM
923454102
5283
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SH
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73887
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31421
VERIZON COMMUNICATIONS
COM
92343V104
1555
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SOLE
3693
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26213
VIAD CORP NEW
COM
92552R406
738
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SH
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VISTA OUTDOOR INC.
COM
928377100
522
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SH
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13100
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VISTEON CORPORATION
COM
92839U206
249
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SH
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3480
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VOYA FINANCIAL INCORPORATED
COM
929089100
27206
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VOYA FINANCIAL INCORPORATED
COM
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02
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0
160796
WELLS FARGO
COM
949746101
2126
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30491
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17515
WENDYS
COM
95058W100
4118
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SH
SOLE
373713
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WENDYS
COM
95058W100
859
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SH
DFND
02
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0
79524
WESTERN GAS EQUITY PARTNERS, L
COM
95825R103
68879
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SH
SOLE
1614688
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6374
WESTERN GAS PARTNERS LP
COM
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2023
36757
SH
SOLE
12207
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24550
WESTROCK COMPANY
COM
96145D105
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SH
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WESTROCK COMPANY
COM
96145D105
3385
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SH
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02
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0
69825
WILLIAMS PARTNERS LP
COM
96949L105
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SOLE
3916972
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53775
WILLIAMS PARTNERS LP
COM
96949L105
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DFND
01
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0
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WORLD POINT TERMINALS, LP
COM
98159G107
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627307
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0
WORLD POINT TERMINALS, LP
COM
98159G107
2519
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DFND
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0
0
WPX ENERGY INCORPORATED
COM
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46100
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COM
984305102
10545
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SH
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259420
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141670
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PRD
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148950
0
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BANK OF AMERICA CORPORATION 7.
CNV
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427
350
SH
SOLE
350
0
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CNV
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18383M605
797
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464288638
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13000
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COM
464288687
227
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COM
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3608
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COM
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5320
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19740
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COM
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534
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6940
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DIAGEO PLC - SPONS ADR
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1378