0000902584-17-000032.txt : 20171114
0000902584-17-000032.hdr.sgml : 20171114
20171114093204
ACCESSION NUMBER: 0000902584-17-000032
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171114
DATE AS OF CHANGE: 20171114
EFFECTIVENESS DATE: 20171114
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05637
FILM NUMBER: 171198770
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
1
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0000902584
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09-30-2017
09-30-2017
ADVISORY RESEARCH INC
180 N. STETSON STREET
SUITE 5500
CHICAGO
IL
60601
13F HOLDINGS REPORT
028-05637
N
Susan L. Steiner
Chief Compliance Officer
314-446-6745
Susan L. Steiner
St. Louis
MO
11-14-2017
2
501
6283501
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
INFORMATION TABLE
2
arithirdqtr2017.xml
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A T & T Inc New
COM
00206R102
1462
37317
SH
SOLE
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Au Optronics Corporation Spon
SPONSORED ADR
002255107
1462
362000
SH
SOLE
362000
0
0
Abbvie Incorporated
COM
00287Y109
11874
133625
SH
SOLE
132881
0
744
Abiomed
COM
003654100
2144
12719
SH
SOLE
5528
0
7191
Addus Homecare Corp.
COM
006739106
421
11925
SH
SOLE
5875
0
6050
Advanced Semiconductor E-ADR
SPONSORED ADR
00756M404
3109
503140
SH
SOLE
503140
0
0
Advantage Oil & Gas Ltd Com
COM
00765F952
130
20750
SH
SOLE
20750
0
0
Advanced Disposal Services Inc
COM
00790X101
837
33229
SH
SOLE
33229
0
0
Albemarle Corp
COM
012653101
2909
21342
SH
SOLE
9445
0
11897
Alexander & Baldwin Holdings I
COM
014491104
37262
804263
SH
SOLE
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0
198390
Alexander & Baldwin Holdings I
COM
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110229
SH
DFND
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Alibaba Group Holding-SP ADR
SPONSORED ADR
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AllianceBernstein Hldg LP
COM
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273
11220
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Allison Transmission Holding
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Allison Transmission Holding
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Alphabet Inc-Cl A
COM
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Altria Group Inc
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Amazon.com Inc
COM
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Ambev SA-ADR
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American Express Company
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Amerisourcebergen Corp
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AmeriGas Partners, L.P.
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COM
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Andarko Pete Corp
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Analog Devices
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Analogic
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Analogic
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Andeavor Logistics LP
COM
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Antero Resources Corporation
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SH
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Anthem Incorporated
COM
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4422
SH
SOLE
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Antero Midstream GP LP
COM
03675Y103
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SH
SOLE
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Apollo Investment Corporation
COM
03761U106
5948
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SH
SOLE
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Apple Inc
COM
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SOLE
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Arc Logistics Partners LP
COM
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SOLE
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Archrock Partners, L.P.
COM
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Archrock Partners, L.P.
COM
03957U100
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Ares Capital Corporation
COM
04010L103
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Arista Networks Inc
COM
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SH
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Armstrong World Industries
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Armstrong World Industries
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Artisan Partners Asset Managem
COM
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Ashland Inc
COM
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SH
SOLE
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Ashland Inc
COM
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SH
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Avexis Incorporated
COM
05366U100
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13398
SH
SOLE
13398
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Avnet Incorporated
COM
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SOLE
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Avnet Incorporated
COM
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SH
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BCE
COM
05534B760
379
8084
SH
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Banco Bilbao Vizcaya-SP ADR
SPONSORED ADR
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Bancolombia S.A. Sponsored ADR
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Banc of California Incorporate
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Banc of California Incorporate
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Bank Of America
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Bankunited Inc Com
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Bankunited Inc Com
COM
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128770
SH
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Beacon Roofing Supply Inc
COM
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9746
SH
SOLE
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0
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Bemis Company
COM
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698
15312
SH
SOLE
15312
0
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Berkshire Hathaway Inc Del Cl
COM
084670702
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14877
SH
SOLE
5353
0
9524
Berry Plastics Group Inc
COM
08579W103
1140
20130
SH
SOLE
20130
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BlackLine Incorporated
COM
09239B109
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42646
SH
SOLE
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Blackrock Inc
COM
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311
696
SH
SOLE
585
0
111
The Blackstone Group LP
COM
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32843
SH
SOLE
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30175
Blue Buffalo Pet Products Inco
COM
09531U102
669
23582
SH
SOLE
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Bluebird Bio Inc
COM
09609G100
2575
18748
SH
SOLE
14962
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3786
Blueprint Medicines Corp.
COM
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17065
SH
SOLE
17065
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Boingo Wireless Incorporated
COM
09739C102
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SH
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Box Incorporated
COM
10316T104
2332
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SH
SOLE
120728
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Bright Horizons Family Solut
COM
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SH
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The Brink's Company
COM
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The Brink's Company
COM
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British American Tob-SP ADR
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110448107
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SH
SOLE
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Brown Forman Corporation Class
COM
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Buckeye Partners, L.P.
COM
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Buckeye Partners, L.P.
COM
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CBOE Global Markets Incorporat
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CDW Corporation
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CDW Corporation
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CVS Health Corporation
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Cabot Oil & Gas
COM
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SH
SOLE
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Callaway Golf Company
COM
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Callon Petroleum Company
COM
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Capital Bank Financial Corpora
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SH
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Carrizo Oil & Gas Incorporated
COM
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SH
SOLE
431795
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Carter's Inc.
COM
146229109
1328
13448
SH
SOLE
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Caseys General Stores
COM
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Caseys General Stores
COM
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Cavco Industries Inc
COM
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SH
SOLE
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Cavium Inc
COM
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SH
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Celgene Corp
COM
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Centene Corp
COM
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Centerstate Bank Corporation
COM
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Cerner
COM
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SH
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Ceva Inc
COM
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Chegg Incorporated
COM
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Chemical Financial Group
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Chesapeake Energy
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Chevron Corporation New
COM
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The Children's Place Incorpora
COM
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China Mobile Ltd -Spon ADR
SPONSORED ADR
16941M109
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SOLE
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Chipmos Technologies
SPONSORED ADR
16965P103
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SOLE
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Chunghwa Telecom LT-Spon ADR
SPONSORED ADR
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SOLE
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331
Cisco Systems Inc
COM
17275R102
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Citizens Financial Group
COM
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Claymore Exchange Trd Fd Tr Gu
GUGG S&P SPINOFF
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18579
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SOLE
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10780
Cognex
COM
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Cognizant Technology Solutions
COM
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308
4241
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Coherent Inc
COM
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3339
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SH
SOLE
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Comcast Corporation New Class
COM
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SOLE
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CIA Saneamento Basico DE-ADR
SPN ADR PFD CL A
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Controladora Vuela CIA-ADR
SPON ADR RP 10
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0
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Corcept Therapeutics Incorpora
COM
218352102
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SOLE
51025
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Core Mark Holding Company Inco
COM
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27042
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SH
SOLE
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CoreSite Realty Corp
COM
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1031
9212
SH
SOLE
5037
0
4175
CoStar Group Inc
COM
22160N109
1571
5858
SH
SOLE
2609
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Crestwood Equity Partners LP
COM
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27429
1124123
SH
SOLE
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Ctrip.com International-ADR
AMERICAN DEP SHS
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839
15911
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SOLE
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10112
DCP Midstream, LP
COM
23311P100
234577
6771858
SH
SOLE
6702953
0
68905
DCP Midstream, LP
COM
23311P100
62761
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01
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0
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COM
24664T103
37728
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SH
SOLE
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Delek Logistics Partners, LP
COM
24664T103
12196
390285
SH
DFND
01
390285
0
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Delta Air Lines
COM
247361702
415
8613
SH
SOLE
3866
0
4747
Diageo PLC - SPONS ADR
SPON ADR NEW
25243Q205
327
2473
SH
SOLE
1359
0
1114
Walt Disney
COM
254687106
273
2774
SH
SOLE
2312
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462
Discover Financial Services
COM
254709108
10087
156444
SH
SOLE
129018
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27426
Discover Financial Services
COM
254709108
4294
66590
SH
DFND
02
0
0
66590
Dr Pepper Snapple Group Inc
COM
26138E109
682
7713
SH
SOLE
7199
0
514
Duke Energy Corp New
COM
26441C204
454
5406
SH
SOLE
0
0
5406
EQT Corporation
COM
26884L109
25233
386767
SH
SOLE
386016
0
751
EQT Midstream Partners, LP
COM
26885B100
54943
732866
SH
SOLE
729286
0
3580
E Trade Financial Corp
COM
269246401
2090
47929
SH
SOLE
17709
0
30220
Eagle Materials Incorporated
COM
26969P108
12650
118556
SH
SOLE
90939
0
27617
Eagle Materials Incorporated
COM
26969P108
1528
14324
SH
DFND
02
0
0
14324
Eastman Chemical
COM
277432100
472
5212
SH
SOLE
4669
0
543
Edwards Lifesciences Corp
COM
28176E108
690
6312
SH
SOLE
2490
0
3822
Electronic Arts Inc
COM
285512109
828
7013
SH
SOLE
2734
0
4279
Enable Midstream Partners, LP
COM
292480100
103604
6483342
SH
SOLE
6476657
0
6685
Enable Midstream Partners, LP
COM
292480100
31970
2000610
SH
DFND
01
2000610
0
0
Enbridge Incorporated
COM
29250N105
67117
1604125
SH
SOLE
1604125
0
0
Enbridge Energy Partners, L.P.
COM
29250R106
49590
3103260
SH
SOLE
3009610
0
93650
Enbridge Energy Partners, L.P.
COM
29250R106
35005
2190530
SH
DFND
01
2190530
0
0
Enbridge Energy Management, L.
COM
29250X103
78561
5081564
SH
SOLE
5068045
0
13519
Enbridge Energy Management, L.
COM
29250X103
14688
950092
SH
DFND
01
950092
0
0
Encore Wire Corporation
COM
292562105
9309
207900
SH
SOLE
166704
0
41196
Encore Wire Corporation
COM
292562105
1573
35123
SH
DFND
02
0
0
35123
Energen Corporation
COM
29265N108
33788
617926
SH
SOLE
567466
0
50460
Energy Transfer Equity, L.P.
COM
29273V100
14473
832765
SH
SOLE
732181
0
100584
Energy Transfer Partners, L.P.
COM
29278N103
173772
9500905
SH
SOLE
9371459
0
129446
Energy Transfer Partners, L.P.
COM
29278N103
57161
3125286
SH
DFND
01
3125286
0
0
EnLink Midstream, LLC
COM
29336T100
74156
4298906
SH
SOLE
4298906
0
0
EnLink Midstream, LLC
COM
29336T100
6084
352710
SH
DFND
01
352710
0
0
EnLink Midstream Partners, LP
COM
29336U107
105477
6293395
SH
SOLE
6285460
0
7935
EnLink Midstream Partners, LP
COM
29336U107
45202
2697025
SH
DFND
01
2697025
0
0
Enpro Industries
COM
29355X107
36547
453832
SH
SOLE
335307
0
118525
Enpro Industries
COM
29355X107
4972
61735
SH
DFND
02
0
0
61735
Enterprise Products Partners L
COM
293792107
29662
1137781
SH
SOLE
1011646
0
126135
Enterprise Products Partners L
COM
293792107
21283
816369
SH
DFND
01
816369
0
0
Envestnet Incorporated
COM
29404K106
2053
40256
SH
SOLE
40256
0
0
Equity Commonwealth
COM
294628102
35713
1174754
SH
SOLE
857997
0
316757
Equity Commonwealth
COM
294628102
4733
155680
SH
DFND
02
0
0
155680
Equity Commonwealth
CUM PFD S D 6.5%
294628201
612
23000
SH
SOLE
0
0
23000
Esterline Technologies Corp
COM
297425100
18364
203703
SH
SOLE
138296
0
65407
Evercore Incorporated
COM
29977A105
1932
24079
SH
SOLE
24079
0
0
Evolution Petroleum Corp
COM
30049A107
18264
2536688
SH
SOLE
2536688
0
0
Exact Sciences Corp
COM
30063P105
5365
113862
SH
SOLE
89299
0
24563
Exxon Mobil Corporation
COM
30231G102
214
2607
SH
SOLE
1994
0
613
FNB Corporation
COM
302520101
20929
1491764
SH
SOLE
1017409
0
474355
FSI Corporation
COM
302635107
9367
1108486
SH
SOLE
1108486
0
0
Facebook Inc-A
COM
30303M102
599
3503
SH
SOLE
3230
0
273
Federal Agricultural Mortgage
COM
313148306
611
8396
SH
SOLE
4046
0
4350
FibroGen Incorporated
COM
31572Q808
1290
23976
SH
SOLE
23976
0
0
Fidelity National Financial In
COM
31620R303
10109
213000
SH
SOLE
176118
0
36882
Fidelity National Financial In
COM
31620R303
4837
101925
SH
DFND
02
0
0
101925
FNFV Group
COM
31620R402
5456
318105
SH
SOLE
238865
0
79240
FNFV Group
COM
31620R402
774
45120
SH
DFND
02
0
0
45120
Fidus Invt Corp Com
COM
316500107
4780
297260
SH
SOLE
297260
0
0
Fifth Third Bancorp
COM
316773100
438
15654
SH
SOLE
0
0
15654
Five9 Inc
COM
338307101
1156
48375
SH
SOLE
48375
0
0
Floor & Decor Holdings Incorpo
COM
339750101
783
20107
SH
SOLE
7175
0
12932
Flowers Foods Inc
COM
343498101
33837
1798875
SH
SOLE
1347682
0
451193
Flowers Foods Inc
COM
343498101
4342
230845
SH
DFND
02
0
0
230845
FormFactor Inc
COM
346375108
2228
132239
SH
SOLE
132239
0
0
Fortive Corporation
COM
34959J108
261
3689
SH
SOLE
2969
0
720
Foundation Medicine Inc
COM
350465100
1131
28131
SH
SOLE
28131
0
0
Four Corners Property Trust
COM
35086T109
874
35081
SH
SOLE
35081
0
0
Freeport Mcmoran Copper
COM
35671D857
342
24380
SH
SOLE
7574
0
16806
Gap
COM
364760108
1100
37239
SH
SOLE
13983
0
23256
General Dynamics
COM
369550108
18051
87804
SH
SOLE
87500
0
304
Genesis Energy LP
COM
371927104
55438
2103921
SH
SOLE
2097636
0
6285
Genesis Energy LP
COM
371927104
22648
859510
SH
DFND
01
859510
0
0
Gilead Sciences Incorporated
COM
375558103
222
2741
SH
SOLE
2177
0
564
Glaukos Corp
COM
377322102
595
18028
SH
SOLE
18028
0
0
Global Payments Inc
COM
37940X102
1219
12826
SH
SOLE
4405
0
8421
Global Partners LP
COM
37946R109
3938
226344
SH
SOLE
222949
0
3395
Gold Fields LTD
SPONSORED ADR
38059T106
1014
235235
SH
SOLE
235235
0
0
Goldman Sachs BDC Inc.
COM
38147U107
6191
271280
SH
SOLE
271280
0
0
Golub Cap Bdc Inc Com
COM
38173M102
6360
337948
SH
SOLE
337948
0
0
Grubhub Incorporated
COM
400110102
3812
72392
SH
SOLE
68093
0
4299
Harley Davidson Incorporated
COM
412822108
3597
74609
SH
SOLE
63212
0
11397
Harley Davidson Incorporated
COM
412822108
1766
36635
SH
DFND
02
0
0
36635
Hasbro
COM
418056107
811
8305
SH
SOLE
7826
0
479
Healthcare Services Group Inc
COM
421906108
1643
30446
SH
SOLE
23776
0
6670
Hercules Technology Growth Cap
COM
427096508
9670
749625
SH
SOLE
749625
0
0
Hexcel Corporation
COM
428291108
1345
23432
SH
SOLE
8267
0
15165
Himax Technologies Incorporate
SPONSORED ADR
43289P106
848
77556
SH
SOLE
77556
0
0
Holly Energy Partners, L.P.
COM
435763107
5161
154535
SH
SOLE
154535
0
0
Home BancShares Inc
COM
436893200
1889
74912
SH
SOLE
74912
0
0
Honeywell International Inc
COM
438516106
45670
322211
SH
SOLE
321598
0
613
Horizon Bancorp Indiana
COM
440407104
17165
588455
SH
SOLE
406506
0
181949
Hormel Foods Corp
COM
440452100
366
11379
SH
SOLE
4958
0
6421
Hostess Brands Incorporated
COM
44109J106
1006
73671
SH
SOLE
73671
0
0
Howard Hughes Corp/The
COM
44267D107
29614
251118
SH
SOLE
173565
0
77553
HubSpot Inc
COM
443573100
7463
88795
SH
SOLE
78788
0
10007
Huntington Bancshares
COM
446150104
639
45782
SH
SOLE
42070
0
3712
IAC/Interactive Corporation
COM
44919P508
1448
12318
SH
SOLE
4728
0
7590
iRhythm Technologies Incorpora
COM
450056106
4387
84568
SH
SOLE
84568
0
0
Illumina Incorporated
COM
452327109
1012
5078
SH
SOLE
1951
0
3127
Impinj Inc
COM
453204109
2815
67640
SH
SOLE
67640
0
0
Insulet Corporation
COM
45784P101
3758
68232
SH
SOLE
53481
0
14751
Intl Flavor & Fragrance
COM
459506101
1004
7022
SH
SOLE
6679
0
343
Intersect ENT Incorporated
COM
46071F103
1453
46632
SH
SOLE
46632
0
0
Investors Bancorp Incorporated
COM
46146L101
21565
1580976
SH
SOLE
1180716
0
400260
Investors Bancorp Incorporated
COM
46146L101
2972
217870
SH
DFND
02
0
0
217870
iRobot Corp
COM
462726100
1542
20006
SH
SOLE
20006
0
0
iShares Inc MSCI Australia
MSCI AUST ETF
464286103
2356
105000
SH
SOLE
105000
0
0
iShares Select Dividend ETF
SELECT DIVID ETF
464287168
3943
42100
SH
SOLE
0
0
42100
IShares Trust Russell 2000
RUSSELL 2000 ETF
464287655
274
1850
SH
SOLE
1850
0
0
iShares Intermediate Credit Bo
INTERM CR BD ETF
464288638
956
8676
SH
SOLE
0
0
8676
iShares S&P US Pfd Stock Index
U.S. PFD STK ETF
464288687
372
9598
SH
SOLE
3860
0
5738
iShares MSCI Indonesia ETF
MSCI INDONIA ETF
46429B309
2229
83520
SH
SOLE
83520
0
0
Itron Incorporated
COM
465741106
2078
26833
SH
SOLE
26833
0
0
JPMorgan Chase & Co
COM
46625H100
54953
575359
SH
SOLE
560216
0
15143
JPMorgan Chase & Co
ALERIAN ML ETN
46625H365
366
12980
SH
SOLE
12980
0
0
Jack In The Box Incorporated
COM
466367109
41351
405721
SH
SOLE
300678
0
105043
Jack In The Box Incorporated
COM
466367109
5196
50985
SH
DFND
02
0
0
50985
JD.COM Inc. ADR
SPON ADR CL A
47215P106
536
14021
SH
SOLE
14021
0
0
Johnson & Johnson
COM
478160104
48395
372240
SH
SOLE
366095
0
6145
KB Financial Group Incorporate
SPONSORED ADR
48241A105
1618
33000
SH
SOLE
33000
0
0
K12 Inc.
COM
48273U102
178
10000
SH
SOLE
0
0
10000
Kemet Corporation
COM
488360207
767
36314
SH
SOLE
36314
0
0
Kennedy-Wilson Holdings Incorp
COM
489398107
13783
743041
SH
SOLE
542294
0
200747
Kennedy-Wilson Holdings Incorp
COM
489398107
1362
73426
SH
DFND
02
0
0
73426
Kinder Morgan, Inc
COM
49456B101
71386
3721922
SH
SOLE
3604504
0
117418
Korea Electric Power Corporat
SPONSORED ADR
500631106
1296
77330
SH
SOLE
77330
0
0
Korn Ferry Intl
COM
500643200
2260
57323
SH
SOLE
57323
0
0
The Kraft Heinz Company
COM
500754106
224
2893
SH
SOLE
621
0
2272
Kratos Defense and Security
COM
50077B207
2199
168102
SH
SOLE
168102
0
0
LG Display Company LTD
SPONSORED ADR
50186V102
1382
103000
SH
SOLE
103000
0
0
Leggett & Platt
COM
524660107
490
10257
SH
SOLE
9242
0
1015
LegacyTexas Financial Group
COM
52471Y106
21750
544845
SH
SOLE
403803
0
141042
LegacyTexas Financial Group
COM
52471Y106
2403
60190
SH
DFND
02
0
0
60190
Leucadia Natl Corp
COM
527288104
4081
161622
SH
SOLE
146854
0
14768
Leucadia Natl Corp
COM
527288104
2155
85343
SH
DFND
02
0
0
85343
Littelfuse Incorporated
COM
537008104
5629
28739
SH
SOLE
22744
0
5995
Live Nation Entertainment Inco
COM
538034109
1178
27042
SH
SOLE
9641
0
17401
Loxo Oncology Inc
COM
548862101
2760
29961
SH
SOLE
24373
0
5588
Lydall Inc.
COM
550819106
24364
425205
SH
SOLE
280893
0
144312
MPLX LP
COM
55336V100
175687
5018202
SH
SOLE
4965407
0
52795
MPLX LP
COM
55336V100
30700
876899
SH
DFND
01
876899
0
0
Macom Technology Solutions H
COM
55405Y100
1614
36173
SH
SOLE
36173
0
0
Madison Square Garden CO- A
COM
55825T103
1078
5034
SH
SOLE
1794
0
3240
Magellan Midstream Partners, L
COM
559080106
49165
691887
SH
SOLE
655236
0
36651
Magellan Midstream Partners, L
COM
559080106
61245
861877
SH
DFND
01
861877
0
0
Main Street Capital Corp Com
COM
56035L104
7374
185510
SH
SOLE
185510
0
0
Martin Midstream Partners LP
COM
573331105
5072
326195
SH
SOLE
326195
0
0
Martin Midstream Partners LP
COM
573331105
3402
218800
SH
DFND
01
218800
0
0
Masonite International Corp
COM
575385109
54205
783308
SH
SOLE
576540
0
206768
Masonite International Corp
COM
575385109
7355
106285
SH
DFND
02
0
0
106285
Materialise NV-ADR
SPONSORED ADR
57667T100
639
43908
SH
SOLE
43908
0
0
Matson Inc.
COM
57686G105
9524
337976
SH
SOLE
258895
0
79081
Matson Inc.
COM
57686G105
1579
56020
SH
DFND
02
0
0
56020
Medley Cap Corporation
COM
58503F106
3548
594232
SH
SOLE
594232
0
0
Mercadolibre Inc
COM
58733R102
773
2985
SH
SOLE
1063
0
1922
Microsoft Corp
COM
594918104
20854
279951
SH
SOLE
259485
0
20466
Microchip Technology
COM
595017104
647
7211
SH
SOLE
2445
0
4766
Mondelez International Incorpo
COM
609207105
1824
44848
SH
SOLE
15705
0
29143
Monroe Cap Corp Com
COM
610335101
6862
479550
SH
SOLE
479550
0
0
NGL Energy Partners LP
COM
62913M107
19740
1709109
SH
SOLE
1706783
0
2326
NGL Energy Partners LP
COM
62913M107
6714
581306
SH
DFND
01
581306
0
0
NRG Yield, Inc. Class C
COM
62942X405
12385
641703
SH
SOLE
641703
0
0
Natera Incorporated
COM
632307104
1187
92107
SH
SOLE
92107
0
0
National Fuel Gas
COM
636180101
256
4530
SH
SOLE
4530
0
0
Navigators Group Inc
COM
638904102
40253
689858
SH
SOLE
499000
0
190858
Navigators Group Inc
COM
638904102
4881
83645
SH
DFND
02
0
0
83645
Nektar Therapeutics
COM
640268108
1116
46480
SH
SOLE
46480
0
0
Netflix Inc
COM
64110L106
366
2018
SH
SOLE
1749
0
269
Netease Inc
SPONSORED ADR
64110W102
1682
6377
SH
SOLE
6377
0
0
Neurocrine Biosciences Inc
COM
64125C109
918
14975
SH
SOLE
6386
0
8589
New Mtn Fin Corp Com
COM
647551100
8489
595754
SH
SOLE
595754
0
0
New Relic Inc
COM
64829B100
6774
136022
SH
SOLE
120505
0
15517
NextEra Energy Partners, LP
COM
65341B106
12460
309268
SH
SOLE
309268
0
0
Nike Inc Class B
COM
654106103
231
4459
SH
SOLE
3571
0
888
Nokia Corporation Spon ADR
SPONSORED ADR
654902204
151
25247
SH
SOLE
25247
0
0
Noble Midstream Partners LP
COM
65506L105
1615
31133
SH
SOLE
31133
0
0
Noble Midstream Partners LP
COM
65506L105
2073
39965
SH
DFND
01
39965
0
0
Novartis AG-Sponsored ADR
SPONSORED ADR
66987V109
22987
267763
SH
SOLE
267442
0
321
NuStar Energy L.P.
COM
67058H102
1966
48440
SH
SOLE
47800
0
640
NuStar Energy L.P.
COM
67058H102
1921
47335
SH
DFND
01
47335
0
0
Nutanix Inc - A
COM
67059N108
2529
112967
SH
SOLE
102675
0
10292
Nvidia Corp
COM
67066G104
1884
10536
SH
SOLE
4612
0
5924
Oaktree Capital Group
COM
674001201
883
18774
SH
SOLE
1404
0
17370
OASIS Midstream Partners LP
COM
67420T206
3392
200000
SH
SOLE
200000
0
0
Oclaro Inc
COM
67555N206
830
96222
SH
SOLE
96222
0
0
Omnicell Incorporated
COM
68213N109
1665
32618
SH
SOLE
32618
0
0
ONEOK, Inc.
COM
682680103
107795
1945404
SH
SOLE
1909445
0
35959
PBF Logistics LP
COM
69318Q104
17692
842471
SH
SOLE
839001
0
3470
PBF Logistics LP
COM
69318Q104
1619
77085
SH
DFND
01
77085
0
0
PDC Energy Incorporated
COM
69327R101
215
4380
SH
SOLE
4380
0
0
Posco Sponsored ADR
SPONSORED ADR
693483109
1112
16017
SH
SOLE
16017
0
0
Phillips-Van Heusen
COM
693656100
1205
9555
SH
SOLE
3504
0
6051
PTC Incorporated
COM
69370C100
1167
20733
SH
SOLE
7486
0
13247
Park Sterling Corp
COM
70086Y105
14019
1128713
SH
SOLE
757912
0
370801
Parsley Energy Incorporated Cl
COM
701877102
19598
744040
SH
SOLE
744040
0
0
Pattern Energy Group Inc.
COM
70338P100
11880
492963
SH
SOLE
492963
0
0
Patterson Companies Inc
COM
703395103
575
14869
SH
SOLE
13648
0
1221
Paycom Software Inc
COM
70432V102
1940
25876
SH
SOLE
25876
0
0
Penumbra Incorporated
COM
70975L107
1122
12429
SH
SOLE
12429
0
0
Pepsico Incorporated
COM
713448108
338
3033
SH
SOLE
1319
0
1714
Telekomunik Indonesia-SP ADR
SPONSORED ADR
715684106
631
18400
SH
SOLE
18400
0
0
Phillips 66 Partners LP
COM
718549207
72299
1375551
SH
SOLE
1362216
0
13335
Pimco Corp & Income Strategy F
COM
72200U100
1656
94980
SH
SOLE
0
0
94980
Pioneer Natural Resources Comp
COM
723787107
17701
119972
SH
SOLE
116937
0
3035
Pioneer Natural Resources Comp
COM
723787107
1386
9395
SH
DFND
02
0
0
9395
Plains All American Pipeline,
COM
726503105
92352
4358285
SH
SOLE
4270122
0
88163
Plains All American Pipeline,
COM
726503105
35936
1695898
SH
DFND
01
1695898
0
0
Plains GP Holdings LP
COM
72651A207
30339
1387255
SH
SOLE
1387255
0
0
Plains GP Holdings LP
COM
72651A207
7826
357830
SH
DFND
01
357830
0
0
T. Rowe Price Group
COM
74144T108
1307
14413
SH
SOLE
5048
0
9365
Proofpoint Inc
COM
743424103
1796
20588
SH
SOLE
20588
0
0
Proshares S & P 500 Dividend A
S&P 500 DV ARIST
74348A467
1723
28985
SH
SOLE
2500
0
26485
Proto Labs Inc
COM
743713109
2628
32728
SH
SOLE
32728
0
0
Pulte
COM
745867101
1054
38581
SH
SOLE
13121
0
25460
Pure Storage Incorporated Clas
COM
74624M102
1969
123124
SH
SOLE
123124
0
0
Pzena Investment Management Cl
COM
74731Q103
1606
147492
SH
SOLE
147492
0
0
QEP Resources Incorporated
COM
74733V100
121
14084
SH
SOLE
14084
0
0
RSTK RMR Industrials - Class B
RES
74967B507
600
3000000
SH
SOLE
0
0
3000000
RSP Permian Incorporated
COM
74978Q105
46076
1332075
SH
SOLE
1208430
0
123645
RSP Permian Incorporated
COM
74978Q105
2620
75755
SH
DFND
02
0
0
75755
Ralph Lauren Corporation
COM
751212101
4075
46156
SH
SOLE
38829
0
7327
Ralph Lauren Corporation
COM
751212101
2355
26670
SH
DFND
02
0
0
26670
Range Resources
COM
75281A109
30853
1576534
SH
SOLE
1347263
0
229271
Range Resources
COM
75281A109
2662
136030
SH
DFND
02
0
0
136030
Raymond James Fin.
COM
754730109
1023
12127
SH
SOLE
4109
0
8018
Raytheon
COM
755111507
23168
124174
SH
SOLE
123814
0
360
Restaurant Brands Internationa
COM
76131D103
959
15015
SH
SOLE
5855
0
9160
Rice Energy Incorporated
COM
762760106
257
8883
SH
SOLE
8883
0
0
Ringcentral Incorporated Class
COM
76680R206
2501
59893
SH
SOLE
57468
0
2425
Rockwell Automation Inc
COM
773903109
1136
6376
SH
SOLE
2256
0
4120
Roper Industries
COM
776696106
1068
4387
SH
SOLE
1529
0
2858
Guggenheim ETF Trust S&P 500 E
GUG S&P500
78355W106
2731
28581
SH
SOLE
18910
0
9671
S&P Global Inc.
COM
78409V104
204
1305
SH
SOLE
1001
0
304
SM Energy Company
COM
78454L100
7833
441534
SH
SOLE
441534
0
0
SPDR S&P Oil & Gas Exp
S&P OILGAS EXP
78464A730
673
19740
SH
SOLE
0
0
19740
SS&C Technology Holdings
COM
78467J100
237
5900
SH
SOLE
5900
0
0
SVB Financial Group
COM
78486Q101
1182
6316
SH
SOLE
2251
0
4065
Sanofi-Aventis ADR
SPONSORED ADR
80105N105
14126
283704
SH
SOLE
283355
0
349
SAP SE-Sponsored ADR
SPON ADR
803054204
378
3445
SH
SOLE
3445
0
0
Schlumberger NV
COM
806857108
226
3237
SH
SOLE
2500
0
737
Scholastic Corporation
COM
807066105
439
11800
SH
SOLE
5510
0
6290
Charles Schwab Corp.
COM
808513105
234
5353
SH
SOLE
4183
0
1170
Energy Select Sector SPDR Fund
ENERGY
81369Y506
403
5880
SH
SOLE
0
0
5880
Semtech Corporation
COM
816850101
2302
61308
SH
SOLE
61308
0
0
ServiceNow Inc
COM
81762P102
3310
28164
SH
SOLE
12718
0
15446
Shell Midstream Partners, L.P.
COM
822634101
5504
197685
SH
SOLE
195605
0
2080
Shinhan Financial Group- ADR
SPN ADR RESTRD
824596100
1352
30521
SH
SOLE
30521
0
0
Shopify Inc - Class A
COM
82509L107
1506
12932
SH
SOLE
5769
0
7163
Silicon Motion Technology Corp
SPONSORED ADR
82706C108
1239
25805
SH
SOLE
25805
0
0
Snap On Incorporated
COM
833034101
9576
64262
SH
SOLE
53038
0
11224
Snap On Incorporated
COM
833034101
4867
32665
SH
DFND
02
0
0
32665
Solar Cap LTD Com
COM
83413U100
9782
452055
SH
SOLE
452055
0
0
Sonoco Products Company
COM
835495102
13792
273384
SH
SOLE
273153
0
231
Southwestern Energy Company
COM
845467109
131
21406
SH
SOLE
21406
0
0
Summit Midstream Partners, LP
COM
866142102
35187
1759373
SH
SOLE
1755613
0
3760
Summit Midstream Partners, LP
COM
866142102
21744
1087206
SH
DFND
01
1087206
0
0
Summit Materials Inc -Cl A
COM
86614U100
3384
105657
SH
SOLE
85799
0
19858
Sunoco LP
COM
86765K109
5031
161770
SH
SOLE
161770
0
0
Sunoco LP
COM
86765K109
4137
133015
SH
DFND
01
133015
0
0
Suntrust Bank
COM
867914103
262
4387
SH
SOLE
3536
0
851
Sysco
COM
871829107
1056
19575
SH
SOLE
18688
0
887
TCG BDC Incorporated
COM
872280102
3770
200341
SH
SOLE
200341
0
0
TC PipeLines, LP
COM
87233Q108
88464
1690833
SH
SOLE
1651703
0
39130
TC PipeLines, LP
COM
87233Q108
32791
626740
SH
DFND
01
626740
0
0
Tcp Cap Corp Com
COM
87238Q103
7205
436915
SH
SOLE
436915
0
0
THL Credit Inc Com
COM
872438106
2389
256066
SH
SOLE
256066
0
0
TJX Companies
COM
872540109
299
4054
SH
SOLE
1724
0
2330
TPG Specialty Lending Inc.
COM
87265K102
7952
379366
SH
SOLE
379366
0
0
Taiwan Semiconductor-SP ADR
SPONSORED ADR
874039100
34131
908953
SH
SOLE
908155
0
798
Take Two Interactive Software
COM
874054109
4384
42887
SH
SOLE
32884
0
10003
Tallgrass Energy GP, LP
COM
874696107
68719
2432516
SH
SOLE
2432516
0
0
Tallgrass Energy Partners, LP
COM
874697105
59654
1245636
SH
SOLE
1236041
0
9595
Tallgrass Energy Partners, LP
COM
874697105
25621
534995
SH
DFND
01
534995
0
0
Target Corp
COM
87612E106
14025
237666
SH
SOLE
236598
0
1068
Targa Resources Corp.
COM
87612G101
105634
2233276
SH
SOLE
2207940
0
25336
Targa Resources Corp.
COM
87612G101
7849
165950
SH
DFND
01
165950
0
0
Tata Motors Limited- Spon ADR
SPONSORED ADR
876568502
1665
53246
SH
SOLE
53246
0
0
Teladoc Incorporated
COM
87918A105
4519
136317
SH
SOLE
136317
0
0
Teletech Holdings Inc Com
COM
879939106
608
14556
SH
SOLE
7676
0
6880
Teradyne Incorporated
COM
880770102
1006
26983
SH
SOLE
9628
0
17355
Tesla Motors Inc
COM
88160R101
302
885
SH
SOLE
885
0
0
Tetra Tech Incorporated
COM
88162G103
596
12807
SH
SOLE
4656
0
8151
Texas Capital Bancshares Inc
COM
88224Q107
42847
499388
SH
SOLE
374533
0
124855
Texas Capital Bancshares Inc
COM
88224Q107
6242
72750
SH
DFND
02
0
0
72750
Thomson Reuters Corp
COM
884903105
599
13054
SH
SOLE
13054
0
0
Tivity Health Incorporated
COM
88870R102
3049
74723
SH
SOLE
74723
0
0
TransMontaigne Partners L.P.
COM
89376V100
534
12495
SH
SOLE
11620
0
875
Travelers Companies
COM
89417E109
15415
125813
SH
SOLE
125318
0
495
Triangle Cap Corp Com
COM
895848109
6086
426208
SH
SOLE
426208
0
0
Trimas Corporation
COM
896215209
35481
1314124
SH
SOLE
946424
0
367700
Trimas Corporation
COM
896215209
2964
109760
SH
DFND
02
0
0
109760
Tropicana Entertainment
COM
89708X105
1057
22500
SH
SOLE
11540
0
10960
Twenty First Centy Fox Inc Cl
COM
90130A200
2621
101623
SH
SOLE
37003
0
64620
II-VI Inc
COM
902104108
2257
54853
SH
SOLE
54853
0
0
2U Inc
COM
90214J101
4764
85013
SH
SOLE
85013
0
0
USD Partners LP
COM
903318103
26520
2410864
SH
SOLE
2404854
0
6010
USD Partners LP
COM
903318103
6255
568625
SH
DFND
01
568625
0
0
US Concrete Incorporated
COM
90333L201
1437
18832
SH
SOLE
18832
0
0
Unilever Plc Adr (New)
SPON ADR NEW
904767704
18037
311206
SH
SOLE
310874
0
332
Union Pacific Corporation
COM
907818108
2085
17975
SH
SOLE
6429
0
11546
United Rentals
COM
911363109
1076
7757
SH
SOLE
2751
0
5006
United Technologies
COM
913017109
417
3590
SH
SOLE
3199
0
391
UnitedHealth Group Inc
COM
91324P102
22981
117341
SH
SOLE
109359
0
7982
Universal Display Corp
COM
91347P105
3814
29598
SH
SOLE
21275
0
8323
Vail Resorts Inc
COM
91879Q109
809
3547
SH
SOLE
1287
0
2260
Vale S.A. Sponsored Pref ADR
ADR
91912E204
944
100997
SH
SOLE
100997
0
0
Valvoline Incorporated
COM
92047W101
2498
106534
SH
SOLE
96187
0
10347
Valvoline Incorporated
COM
92047W101
1655
70591
SH
DFND
02
0
0
70591
Vaneck Vectors Oil Services
OIL SVCS ETF
92189F718
339
12990
SH
SOLE
0
0
12990
Vanguard S/T Corp Bond ETF
SHRT TRM CORP BD
92206C409
9321
116325
SH
SOLE
2640
0
113685
Vanguard Intermediate-Term Cor
INT-TERM CORP
92206C870
1300
14766
SH
SOLE
2688
0
12078
Veeva Systems Inc-Class A
COM
922475108
935
16581
SH
SOLE
7523
0
9058
Ventas Inc.
COM
92276F100
1001
15367
SH
SOLE
879
0
14488
Verizon Communications
COM
92343V104
44403
897207
SH
SOLE
877752
0
19455
Vertex Pharmaceuticals Inc
COM
92532F100
343
2254
SH
SOLE
1960
0
294
Visa Inc-Class A Shares
COM
92826C839
394
3747
SH
SOLE
3294
0
453
Visteon Corporation
COM
92839U206
3329
26899
SH
SOLE
20581
0
6318
Vocera Communications Incorpor
COM
92857F107
682
21752
SH
SOLE
21752
0
0
Voya Financial Incorporated
COM
929089100
7704
193131
SH
SOLE
190601
0
2530
Voya Financial Incorporated
COM
929089100
4848
121536
SH
DFND
02
0
0
121536
Wayfair Inc
COM
94419L101
849
12597
SH
SOLE
4767
0
7830
Wells Fargo
COM
949746101
22913
415468
SH
SOLE
414186
0
1282
Western Gas Partners LP
COM
958254104
1813
35360
SH
SOLE
11080
0
24280
Western Gas Equity Partners, L
COM
95825R103
54965
1334761
SH
SOLE
1328057
0
6704
The Williams Companies, Inc.
COM
969457100
70143
2337333
SH
SOLE
2314254
0
23079
Williams Partners LP
COM
96949L105
127443
3276166
SH
SOLE
3223947
0
52219
Williams Partners LP
COM
96949L105
66940
1720831
SH
DFND
01
1720831
0
0
Wisdomtree Largecap Div Largec
US LARGECAP DIVD
97717W307
603
6940
SH
SOLE
6940
0
0
Wisdom Tree Intl LV DVD Fund
INTL LRGCAP DV
97717W794
2278
46010
SH
SOLE
0
0
46010
Woodward Governor
COM
980745103
3256
41953
SH
SOLE
33946
0
8007
Woori Bank Sponsored ADR
ADR
98105T104
1295
27779
SH
SOLE
27779
0
0
Workday Inc-Class A
COM
98138H101
1994
18923
SH
SOLE
7640
0
11283
WPX Energy Incorporated
COM
98212B103
38863
3379371
SH
SOLE
3379371
0
0
Wynn Resorts Ltd
COM
983134107
1240
8324
SH
SOLE
2899
0
5425
XPO Logistics Inc
COM
983793100
4139
61065
SH
SOLE
45791
0
15274
Allianz SE-REG
COM
D03080112
1837
8275
SH
SOLE
8275
0
0
BASF SE
COM
D06216317
388
3631
SH
SOLE
3631
0
0
Siemens AG
COM
D69671218
325
2302
SH
SOLE
2302
0
0
Red Electrica Corporation SA
COM
E42807110
1416
64202
SH
SOLE
64202
0
0
AXA SA
COM
F06106102
1646
54965
SH
SOLE
54965
0
0
Safran SA
COM
F4035A557
313
3108
SH
SOLE
3108
0
0
Sanofi
COM
F5548N101
376
3819
SH
SOLE
3819
0
0
LVMH Moet Hennessy Louis Vuitt
COM
F58485115
1307
4720
SH
SOLE
4720
0
0
Adient PLC
COM
G0084W101
54178
645048
SH
SOLE
462121
0
182927
Adient PLC
COM
G0084W101
7181
85500
SH
DFND
02
0
0
85500
Arcos Dorados Holdings Incorpo
COM
G0457F107
1684
167553
SH
SOLE
167553
0
0
Aviva PLC
COM
G0683Q109
117
16823
SH
SOLE
16823
0
0
Axalta Coating Systems LTD
COM
G0750C108
4948
171096
SH
SOLE
168881
0
2215
Axalta Coating Systems LTD
COM
G0750C108
3105
107375
SH
DFND
02
0
0
107375
Accenture Plc
COM
G1151C101
25902
191770
SH
SOLE
189934
0
1836
Belmond Ltd-Class A
COM
G1154H107
1351
99001
SH
SOLE
99001
0
0
China Cord Blood Corporation
COM
G21107100
283
25468
SH
SOLE
25468
0
0
Cosan LTD-Class A
COM
G25343107
555
68245
SH
SOLE
68245
0
0
Delphi Automotive PLC
COM
G27823106
1083
11006
SH
SOLE
3885
0
7121
Eaton Corp Plc
COM
G29183103
11451
149119
SH
SOLE
148345
0
774
Enstar Group Limited Shs
COM
G3075P101
32502
146176
SH
SOLE
96108
0
50068
Imperial Brands PLC
COM
G4720C107
307
7289
SH
SOLE
7289
0
0
Ingersoll Rand LTD
COM
G47791101
759
8515
SH
SOLE
2843
0
5672
Medtronic PLC Shares
COM
G5960L103
16103
207063
SH
SOLE
185761
0
21302
Nomad Foods Ltd
COM
G6564A105
185
12730
SH
SOLE
12730
0
0
Novocure LTD
COM
G6674U108
2209
111309
SH
SOLE
111309
0
0
Novartis AG-Reg
COM
H5820Q150
418
4847
SH
SOLE
4847
0
0
Roche Holdings AG
COM
H69293217
389
1528
SH
SOLE
1528
0
0
TE Connectivity Ltd Reg Shs
COM
H84989104
2518
30317
SH
SOLE
10411
0
19906
Kornit Digital Limited
COM
M6372Q113
907
59303
SH
SOLE
59303
0
0
Orbotech Ltd
COM
M75253100
2526
59832
SH
SOLE
59832
0
0
Silicom LTD
COM
M84116108
1195
20416
SH
SOLE
20416
0
0
Walmart De Mexico SAB DE CV
COM
P98180188
369
161135
SH
SOLE
161135
0
0
Broadcom LTD
COM
Y09827109
2741
11303
SH
SOLE
11117
0
186
China Mobile LTD
COM
Y14965100
523
52380
SH
SOLE
52380
0
0
GasLog Partners LP
COM
Y2687W108
6503
279685
SH
SOLE
279685
0
0
Golar LNG Partners LP
COM
Y2745C102
16512
710820
SH
SOLE
710820
0
0
Golar LNG Partners LP
COM
Y2745C102
11138
479475
SH
DFND
01
479475
0
0
Hoegh LNG Partners LP
COM
Y3262R100
4216
227270
SH
SOLE
227270
0
0
KNOT Offshore Partners LP
COM
Y48125101
22799
970190
SH
SOLE
970190
0
0
KNOT Offshore Partners LP
COM
Y48125101
14395
612535
SH
DFND
01
612535
0
0
Navios Maritime Midstream Part
COM
Y62134104
6842
918380
SH
SOLE
918380
0
0
Navios Maritime Midstream Part
COM
Y62134104
5369
720620
SH
DFND
01
720620
0
0
Teekay Offshore Partners L.P.
COM
Y8565J101
18555
7796127
SH
SOLE
7770377
0
25750
Teekay Offshore Partners L.P.
COM
Y8565J101
2745
1153387
SH
DFND
01
1153387
0
0