0000920112-14-000010.txt : 20140207
0000920112-14-000010.hdr.sgml : 20140207
20140207114842
ACCESSION NUMBER: 0000920112-14-000010
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140207
DATE AS OF CHANGE: 20140207
EFFECTIVENESS DATE: 20140207
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DUBUQUE BANK & TRUST CO
CENTRAL INDEX KEY: 0000933482
IRS NUMBER: 420223620
STATE OF INCORPORATION: IA
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10581
FILM NUMBER: 14582805
BUSINESS ADDRESS:
STREET 1: 1398 CENTRAL AVE.
CITY: DUBUQUE
STATE: IA
ZIP: 52001
BUSINESS PHONE: 3195892000
MAIL ADDRESS:
STREET 1: 1398 CENTRAL
CITY: DUBUQUE
STATE: IA
ZIP: 52001
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0000933482
XXXXXXXX
12-31-2013
12-31-2013
DUBUQUE BANK & TRUST CO
1398 CENTRAL
DUBUQUE
IA
52001
13F HOLDINGS REPORT
028-10581
N
Bruce C. Rehmke
Executive Vice President, Wealth Management Group
563-589-2000
Bruce C. Rehmke
Dubuque
IA
02-07-2014
0
509
568617
false
INFORMATION TABLE
2
form13fhr2013q4information.xml
INFORMATION TABLE
ABB Limited - ADR
Com
000375204
4
160
SH
DFND
0
0
160
Aflac Inc.
Com
001055102
3
50
SH
DFND
0
0
50
Alerian MLP ETF
Com
00162Q866
4
230
SH
SOLE
230
0
0
AT&T Inc
Com
00206R102
398
11330
SH
SOLE
11330
0
0
AZZ Incorporated
Com
002474104
401
8205
SH
SOLE
8205
0
0
AZZ Incorporated
Com
002474104
11
220
SH
DFND
220
0
0
Abbott Laboratories
Com
002824100
9
245
SH
SOLE
145
0
100
Abbvie Inc
Com
00287Y109
24
450
SH
SOLE
350
0
100
Air Products & Chemicals Inc.
Com
009158106
45
400
SH
SOLE
400
0
0
Alcoa Inc
Com
013817101
2487
233990
SH
SOLE
229875
0
4115
Alere Inc Perp Pfd Conv Ser B
Pfd Stk
01449J204
4134
14440
SH
SOLE
14176
0
264
Allergan Inc
Com
018490102
7
63
SH
SOLE
63
0
0
Alliant Energy Corp
Com
018802108
100
1934
SH
SOLE
1934
0
0
Allstate Corporation
Com
020002101
25
458
SH
SOLE
458
0
0
Altria Group Inc
Com
02209S103
127
3309
SH
SOLE
3309
0
0
Altria Group Inc
Com
02209S103
19
500
SH
DFND
500
0
0
Amazon.Com Inc.
Com
023135106
12
30
SH
SOLE
30
0
0
Ameren Corp
Com
023608102
41
1147
SH
SOLE
1047
0
100
American Electric Power
Com
025537101
9
182
SH
SOLE
182
0
0
American Express
Com
025816109
8066
88905
SH
SOLE
87435
0
1470
American International Group,
Com
026874784
8152
159687
SH
SOLE
156487
0
3200
American Water Works Co., Inc.
Com
030420103
124
2925
SH
SOLE
2925
0
0
American Water Works Co., Inc.
Com
030420103
12
275
SH
DFND
275
0
0
Ameriprise Financial Inc
Com
03076C106
341
2961
SH
SOLE
2961
0
0
Amgen Inc
Com
031162100
85
748
SH
SOLE
748
0
0
Amgen Inc
Com
031162100
228
2000
SH
DFND
2000
0
0
Anadarko Petroleum Corp.
Com
032511107
37
469
SH
SOLE
469
0
0
Analog Devices
Com
032654105
24
477
SH
SOLE
477
0
0
Anheuser-Busch InBev SPN ADR
Com
03524A108
15
142
SH
SOLE
142
0
0
Apache Corporation
Com
037411105
6925
80576
SH
SOLE
79026
0
1550
Apache Corporation
Com
037411105
2
25
SH
DFND
0
0
25
Apple Computer Inc.
Com
037833100
8332
14852
SH
SOLE
14487
0
365
Arlington Asset Investment
Com
041356205
92
3475
SH
SOLE
3475
0
0
ARM Holdings plc - Spon ADR
Com
042068106
19
350
SH
SOLE
350
0
0
Ashland Inc
Com
044209104
22
225
SH
SOLE
225
0
0
Astrazeneca PLC Sponsored ADR
Com
046353108
59
1000
SH
SOLE
1000
0
0
Atmos Energy Corp
Com
049560105
12
260
SH
SOLE
260
0
0
Autodesk,Inc.
Com
052769106
25
490
SH
SOLE
490
0
0
BB&T Corporation Series G Prfd
Pfd Stk
054937800
56
3000
SH
SOLE
3000
0
0
BP PLC Sponsored ADR
Com
055622104
37
753
SH
SOLE
253
0
500
BT Group PLC - Spon ADR
Com
05577E101
19
294
SH
SOLE
294
0
0
Baidu Inc. - Spon ADR
Com
056752108
4
21
SH
SOLE
21
0
0
Baker Hughes Inc.
Com
057224107
11
200
SH
SOLE
200
0
0
Bank Of America Corporation
Com
060505104
8778
563774
SH
SOLE
552044
0
11730
Bank of Hawaii Corp
Com
062540109
13
216
SH
SOLE
216
0
0
iPATH Dow Jones AIG Commodity
Com
06738C778
96
2600
SH
SOLE
2600
0
0
iPath DJ-UBS Coffee ETN
Com
06739H297
15
680
SH
SOLE
680
0
0
iPath U.S. Treasury Steepener
Com
06740L477
59
1400
SH
SOLE
1400
0
0
Baxter International Inc
Com
071813109
3929
56494
SH
SOLE
55354
0
1140
Baxter International Inc
Com
071813109
5
70
SH
DFND
0
0
70
Becton Dickinson & Co
Com
075887109
322
2910
SH
SOLE
2910
0
0
Bed Bath & Beyond Inc.
Com
075896100
4
45
SH
DFND
0
0
45
Berkshire Hathaway Inc. CL B
Com
084670702
12
100
SH
SOLE
100
0
0
BlackRock High Yield Bond Inst
Com
091929638
0
26
SH
SOLE
0
0
26
BlackRock, Inc.
Com
09247X101
11
36
SH
SOLE
36
0
0
Blackrock Real Asset Equity Tr
Com
09254B109
12
1375
SH
SOLE
1375
0
0
Boardwalk Pipeline Partners, L
Com
096627104
34
1350
SH
DFND
1350
0
0
Boeing Company
Com
097023105
31
229
SH
SOLE
129
0
100
Borgwarner Inc
Com
099724106
18
314
SH
SOLE
314
0
0
Boston Scientific Corp
Com
101137107
2
156
SH
SOLE
156
0
0
Bristol Myers Squibb Co
Com
110122108
691
13000
SH
SOLE
13000
0
0
Broadcom Corp. - Cl A
Com
111320107
7956
268365
SH
SOLE
263315
0
5050
Brookfield Total Return Fund
Com
11283U108
5
212
SH
SOLE
212
0
0
CBS Corp - Class B
Com
124857202
61
963
SH
SOLE
963
0
0
C.H. Robinson Worldwide, Inc.
Com
12541W209
12
200
SH
SOLE
200
0
0
Cigna Corp
Com
125509109
3635
41555
SH
SOLE
39710
0
1845
Chicago Mercantile Exchange
Com
12572Q105
2186
27865
SH
SOLE
27395
0
470
CVS/Caremark Corp
Com
126650100
5010
69995
SH
SOLE
68770
0
1225
Cameron Intl Corp
Com
13342B105
12
200
SH
SOLE
200
0
0
CatchMark Timber Trust, Inc A
Com
14912Y202
2
107
SH
SOLE
107
0
0
Celgene Corp
Com
151020104
92
543
SH
SOLE
543
0
0
Cerner Corp
Com
156782104
35
628
SH
SOLE
628
0
0
ChevronTexaco Corp
Com
166764100
580
4643
SH
SOLE
4643
0
0
ChevronTexaco Corp
Com
166764100
17
135
SH
DFND
0
0
135
Chicago Bridge & Iron Co. - AD
Com
167250109
50
600
SH
SOLE
600
0
0
Chubb Corp
Com
171232101
14
150
SH
SOLE
150
0
0
Cisco Systems Inc.
Com
17275R102
2065
92067
SH
SOLE
90307
0
1760
Cisco Systems Inc.
Com
17275R102
11
500
SH
DFND
0
0
500
Citigroup Inc.
Com
172967424
7
135
SH
SOLE
135
0
0
Citrix Systems Inc
Com
177376100
19
304
SH
SOLE
304
0
0
Guggenheim Bulletshares 2015
Com
18383M423
2050
76555
SH
SOLE
74355
0
2200
Guggenheim Bulletshares 2014
Com
18383M431
144
5385
SH
SOLE
5385
0
0
Clean Harbors, Inc.
Com
184496107
392
6545
SH
SOLE
6545
0
0
Clean Harbors, Inc.
Com
184496107
9
150
SH
DFND
150
0
0
Clean Energy Fuels Corp.
Com
184499101
216
16800
SH
SOLE
16800
0
0
Clean Energy Fuels Corp.
Com
184499101
10
800
SH
DFND
800
0
0
Cliffs Natural Resources Inc.
Com
18683K101
2263
86360
SH
SOLE
84985
0
1375
Coca Cola Co
Com
191216100
287
6950
SH
SOLE
6750
0
200
Coca Cola Co
Com
191216100
8
200
SH
DFND
0
0
200
Comcast Corp Cl A
Com
20030N101
51
975
SH
SOLE
975
0
0
Comcast Corp - Special Cl A
Com
20030N200
5
100
SH
SOLE
100
0
0
Comerica Inc
Com
200340107
2271
47765
SH
SOLE
46965
0
800
Community Health Systems Inc
Com
203668108
8
200
SH
SOLE
200
0
0
Computer Programs & Systems, I
Com
205306103
401
6480
SH
SOLE
6480
0
0
Computer Programs & Systems, I
Com
205306103
12
200
SH
DFND
200
0
0
Conagra Inc
Com
205887102
258
7670
SH
SOLE
7670
0
0
ConocoPhillips
Com
20825C104
405
5736
SH
SOLE
5736
0
0
ConocoPhillips
Com
20825C104
7
100
SH
DFND
0
0
100
Consolidated Edison Inc
Com
209115104
44
800
SH
SOLE
800
0
0
Corning Inc.
Com
219350105
432
24250
SH
SOLE
24250
0
0
Corning Inc.
Com
219350105
13
750
SH
DFND
750
0
0
Corrections Corp Of America
Com
22025Y407
11
337
SH
SOLE
0
0
337
Costco Wholesale Corp
Com
22160K105
64
535
SH
SOLE
535
0
0
Crown Castle International Cor
Com
228227104
2127
28960
SH
SOLE
28510
0
450
Cummins Inc.
Com
231021106
400
2835
SH
SOLE
2835
0
0
Danaher Corp
Com
235851102
85
1097
SH
SOLE
1097
0
0
Darden Restaurants Inc
Com
237194105
260
4775
SH
SOLE
4775
0
0
Darden Restaurants Inc
Com
237194105
2
45
SH
DFND
0
0
45
Deere & Company
Com
244199105
5187
56799
SH
SOLE
55904
0
895
Deluxe Check Printer
Com
248019101
418
8015
SH
SOLE
8015
0
0
Deluxe Check Printer
Com
248019101
10
200
SH
DFND
200
0
0
Deutsch Bank Cont Capital Trus
Pfd Stk
25150L108
20
750
SH
SOLE
750
0
0
PowerShares DB Gold Short ETN
Com
25154H731
61
3855
SH
SOLE
3855
0
0
Devon Energy Corp
Com
25179M103
3
50
SH
DFND
0
0
50
Diageo PLC - ADR
Com
25243Q205
80
605
SH
SOLE
605
0
0
DiamondRock Hospitality Co
Com
252784301
2
200
SH
DFND
0
0
200
DineEquity Inc.
Com
254423106
3
31
SH
SOLE
0
0
31
Disney
Com
254687106
117
1531
SH
SOLE
1531
0
0
Disney
Com
254687106
4
55
SH
DFND
0
0
55
Discover Financial Services
Com
254709108
104
1850
SH
SOLE
1850
0
0
DIRECTV
Com
25490A309
3184
46100
SH
SOLE
45185
0
915
Dollar General
Com
256677105
7
115
SH
SOLE
115
0
0
Dominion Resources Inc/VA New
Com
25746U109
10
152
SH
SOLE
152
0
0
Donaldson Company, Inc.
Com
257651109
417
9585
SH
SOLE
9585
0
0
Donaldson Company, Inc.
Com
257651109
11
250
SH
DFND
250
0
0
DoubleLine Total Return Bond F
Com
258620103
13961
1295038
SH
SOLE
1262302
0
32736
DoubleLine Total Return Bond F
Com
258620103
43
3952
SH
DFND
3952
0
0
Dow Chemical
Com
260543103
4
100
SH
SOLE
0
0
100
Dow Chemical
Com
260543103
3
70
SH
DFND
0
0
70
Dupont, E.I. De Nemours & Co.
Com
263534109
35
540
SH
DFND
500
0
40
Duke Energy Corp
Com
26441C204
22
320
SH
SOLE
320
0
0
DuPont Fabros Technology
Com
26613Q106
4
160
SH
SOLE
160
0
0
EMC Corporation
Com
268648102
460
18301
SH
SOLE
18301
0
0
ETFS Physical Palladium Shares
Com
26923A106
55
790
SH
SOLE
790
0
0
Eastman Kodak Company
Com
277461406
3
74
SH
SOLE
74
0
0
Eaton Vance Corporation
Com
278265103
4
100
SH
DFND
0
0
100
Eaton Vance Short Duration Div
Com
27828V104
46
3000
SH
SOLE
3000
0
0
Ebay Inc
Com
278642103
41
741
SH
SOLE
741
0
0
Ecolab Inc
Com
278865100
21
200
SH
SOLE
200
0
0
Edwards Lifesciences Corp
Com
28176E108
7
100
SH
SOLE
100
0
0
EMCORE Corporation
Com
290846203
41
8000
SH
SOLE
0
0
8000
Emerson Electric Co.
Com
291011104
63
900
SH
SOLE
900
0
0
Endo Pharmaceuticals Holdings
Com
29264F205
50
747
SH
SOLE
747
0
0
Energizer Holdings, Inc.
Com
29266R108
1
12
SH
SOLE
12
0
0
Ennis Inc
Com
293389102
31
1750
SH
SOLE
1750
0
0
Entergy Corp.
Com
29364G103
4
65
SH
SOLE
65
0
0
Entergy Corp.
Com
29364G103
63
1000
SH
DFND
1000
0
0
Equinix, Inc.
Com
29444U502
14
81
SH
SOLE
81
0
0
Exelon Corp
Com
30161N101
2966
108295
SH
SOLE
106615
0
1680
Express Scripts Holding Co
Com
30219G108
125
1774
SH
SOLE
1774
0
0
Express Scripts Holding Co
Com
30219G108
19
269
SH
DFND
194
0
75
Exxon Mobil Corp
Com
30231G102
918
9073
SH
SOLE
8573
0
500
Exxon Mobil Corp
Com
30231G102
425
4200
SH
DFND
4000
0
200
Facebook Inc A Shares
Com
30303M102
14
250
SH
SOLE
250
0
0
Fastenal Co.
Com
311900104
5
100
SH
SOLE
100
0
0
Fidelity High Income Fund #455
Com
316146406
75
7956
SH
SOLE
7956
0
0
First Solar Inc
Com
336433107
16
300
SH
SOLE
300
0
0
NASDAQ Auto Index ETF
Com
33734X309
2452
61765
SH
SOLE
60530
0
1235
Firstenergy Corp
Com
337932107
15
468
SH
SOLE
468
0
0
Flexshares Morningstar Global
Com
33939L407
16
452
SH
SOLE
452
0
0
FlexShares iBoxx 3-Yr Target D
Com
33939L506
26
1040
SH
SOLE
1040
0
0
Flowserve Corporation
Com
34354P105
18
225
SH
SOLE
225
0
0
Ford Motor Company
Com
345370860
42
2700
SH
SOLE
2700
0
0
Forest Laboratories Inc
Com
345838106
57
946
SH
SOLE
946
0
0
Franklin Resources Inc
Com
354613101
19
333
SH
SOLE
333
0
0
Freeport-McMoran Copper & Gold
Com
35671D857
15
400
SH
SOLE
400
0
0
Fusion-io Inc
Com
36112J107
0
50
SH
SOLE
50
0
0
General Electric
Com
369604103
898
32030
SH
SOLE
31410
0
620
General Electric
Com
369604103
168
6000
SH
DFND
5500
0
500
General Mills
Com
370334104
57
1147
SH
SOLE
1147
0
0
General Motors Co.
Com
37045V100
8622
210962
SH
SOLE
208307
0
2655
Gentex Corp
Com
371901109
11
346
SH
SOLE
346
0
0
Gilead Sciences Inc
Com
375558103
64
854
SH
SOLE
854
0
0
GlaxoSmithKline PLC - ADR
Com
37733W105
19
351
SH
SOLE
351
0
0
Goldman Sachs Group Inc.
Com
38141G104
11
62
SH
SOLE
62
0
0
Goldman Sachs Strategic Income
Com
38145C646
12248
1148995
SH
SOLE
1113136
0
35859
Goldman Sachs Strategic Income
Com
38145C646
34
3193
SH
DFND
3193
0
0
Google Inc - Cl A
Com
38259P508
3516
3137
SH
SOLE
3071
0
66
Green Mountain Coffee Roasters
Com
393122106
23
300
SH
SOLE
300
0
0
Gulfport Energy Corp
Com
402635304
5040
79835
SH
SOLE
78900
0
935
HCA Holdings Inc
Com
40412C101
3167
66370
SH
SOLE
65190
0
1180
HCP Inc
Com
40414L109
308
8475
SH
SOLE
8475
0
0
HCP Inc
Com
40414L109
9
250
SH
DFND
250
0
0
Hain Celestial Group Inc
Com
405217100
10
106
SH
SOLE
106
0
0
Halliburton Co
Com
406216101
10
200
SH
SOLE
0
0
200
Hanesbrands Inc.
Com
410345102
1
12
SH
SOLE
12
0
0
Harris Corp Del
Com
413875105
286
4095
SH
SOLE
4095
0
0
Hasbro Inc
Com
418056107
102
1860
SH
SOLE
1760
0
100
Hawaiian Electric
Com
419870100
149
5710
SH
SOLE
5710
0
0
Healthcare Services Group, Inc
Com
421906108
396
13950
SH
SOLE
13950
0
0
Healthcare Services Group, Inc
Com
421906108
10
350
SH
DFND
350
0
0
Heartland Financial USA Inc.
Com
42234Q102
41427
1438928
SH
SOLE
1400916
0
38012
Heartland Financial USA Inc.
Com
42234Q102
8385
291233
SH
DFND
291233
0
0
Helmerich & Payne Inc
Com
423452101
398
4730
SH
SOLE
4730
0
0
Helmerich & Payne Inc
Com
423452101
13
150
SH
DFND
150
0
0
Hess Corporation
Com
42809H107
67
810
SH
SOLE
810
0
0
Home Depot Inc
Com
437076102
71
866
SH
SOLE
866
0
0
Honeywell Intl Inc
Com
438516106
262
2866
SH
SOLE
2216
0
650
Hospitality Properties Trust
Com
44106M102
2
90
SH
DFND
0
0
90
Hubbell Inc., Class B
Com
443510201
15
134
SH
SOLE
134
0
0
Hyatt Hotels Corp - Cl A
Com
448579102
5
100
SH
SOLE
0
0
100
ING Prime Rate Trust
Com
44977W106
37
6400
SH
SOLE
6400
0
0
ING Global Real Estate
Com
44980R326
389
21224
SH
SOLE
21224
0
0
Illinois Tool Works Inc.
Com
452308109
8
100
SH
SOLE
100
0
0
Illinois Tool Works Inc.
Com
452308109
5
60
SH
DFND
0
0
60
Intel Corp
Com
458140100
323
12434
SH
SOLE
12434
0
0
Intel Corp
Com
458140100
8
300
SH
DFND
0
0
300
IntercontinentalExchange Group
Com
45866F104
15
65
SH
SOLE
65
0
0
IBM
Com
459200101
5757
30692
SH
SOLE
30112
0
580
International Paper
Com
460146103
14
292
SH
SOLE
292
0
0
Invesco Quality Municipal Inco
Com
46133G107
4
317
SH
SOLE
317
0
0
iShares MSCI Mexico Investable
Com
464286822
59
865
SH
SOLE
865
0
0
iShares S&P 100 Index Fund
Com
464287101
243
2955
SH
SOLE
2955
0
0
iShares Dow Jones Select Divid
Com
464287168
28
390
SH
SOLE
390
0
0
iShares S&P 500 Index Fund
Com
464287200
337
1813
SH
SOLE
1813
0
0
iShares MSCI Emerging Markets
Com
464287234
88
2100
SH
SOLE
2100
0
0
iShares Russell MidCap Index F
Com
464287499
64
425
SH
SOLE
425
0
0
iShares Russell 2000
Com
464287655
45
390
SH
SOLE
390
0
0
iShares MSCI Asia Ex-Japan Ind
Com
464288182
121
2000
SH
DFND
2000
0
0
iShares S&P National Municipal
Com
464288414
4819
46451
SH
SOLE
46451
0
0
iShares Barclays 1-3 Year Cred
Com
464288646
341
3230
SH
SOLE
2285
0
945
iShares Barclays 3-7 Treasury
Com
464288661
314
2615
SH
SOLE
2615
0
0
iShares S&P U.S. Preferred Sto
Com
464288687
113
3060
SH
SOLE
3060
0
0
iShares DJ US Home Constructio
Com
464288752
4
170
SH
SOLE
170
0
0
iShares Silver Trust
Com
46428Q109
2
100
SH
SOLE
100
0
0
iShares Floating Rate Bond ETF
Com
46429B655
72
1420
SH
SOLE
1420
0
0
ITC Holdings Corporation
Com
465685105
3509
36625
SH
SOLE
36100
0
525
ITC Holdings Corporation
Com
465685105
10
100
SH
DFND
100
0
0
JP Morgan Chase & Co
Com
46625H100
7607
130075
SH
SOLE
127900
0
2175
JP Morgan Chase & Co
Com
46625H100
6
100
SH
DFND
0
0
100
Jabil Circuit Inc
Com
466313103
24
1386
SH
SOLE
1386
0
0
Johnson & Johnson
Com
478160104
3399
37107
SH
SOLE
36462
0
645
Johnson & Johnson
Com
478160104
9
100
SH
DFND
0
0
100
JPMorgan Strategic Income Opp
Com
4812A4351
25807
2170443
SH
SOLE
2127539
0
42904
JPMorgan Strategic Income Opp
Com
4812A4351
56
4737
SH
DFND
4737
0
0
Juniper Networks Inc.
Com
48203R104
30
1330
SH
SOLE
1330
0
0
KBR Inc.
Com
48242W106
4135
129655
SH
SOLE
127240
0
2415
KLA-Tencor Corporation
Com
482480100
13
196
SH
SOLE
196
0
0
KMG Chemical Inc
Com
482564101
1
30
SH
SOLE
30
0
0
K12 Inc.
Com
48273U102
22
1000
SH
SOLE
1000
0
0
K12 Inc.
Com
48273U102
9
400
SH
DFND
400
0
0
Kimberly-Clark Corp
Com
494368103
13
126
SH
SOLE
126
0
0
Kimberly-Clark Corp
Com
494368103
4
35
SH
DFND
0
0
35
Kinder Morgan Energy Partners
Com
494550106
8
100
SH
SOLE
100
0
0
Kohl's Corporation
Com
500255104
261
4595
SH
SOLE
4595
0
0
Kohl's Corporation
Com
500255104
3
60
SH
DFND
0
0
60
Kraft Foods Group Inc
Com
50076Q106
44
807
SH
SOLE
807
0
0
Kraft Foods Group Inc
Com
50076Q106
2
41
SH
DFND
0
0
41
LSI Logic Corp
Com
502161102
11
1000
SH
SOLE
1000
0
0
Las Vegas Sands Corp
Com
517834107
6
80
SH
SOLE
80
0
0
Estee Lauder Companies-Cl A
Com
518439104
10
128
SH
SOLE
128
0
0
Liberty Media Corporation
Com
531229102
38
258
SH
SOLE
258
0
0
Lihua International Inc.
Com
532352101
3118
545103
SH
SOLE
534793
0
10310
Eli Lilly & Co.
Com
532457108
157
3075
SH
SOLE
3075
0
0
Linear Technology Corp.
Com
535678106
9
200
SH
DFND
0
0
200
Natixis Loomis Sayles Investme
Com
543487144
13
1093
SH
SOLE
1093
0
0
Lord Abbett Short Duration Inc
Com
543916688
25260
5551570
SH
SOLE
5486284
0
65286
Lord Abbett Short Duration Inc
Com
543916688
100
21970
SH
DFND
21970
0
0
Lowes Companies Inc.
Com
548661107
61
1231
SH
SOLE
1231
0
0
William Lyon Homes
Com
552074700
11
500
SH
SOLE
500
0
0
MDU Resources Group Inc
Com
552690109
254
8330
SH
SOLE
8330
0
0
MGE Energy, Inc.
Com
55277P104
39
670
SH
SOLE
670
0
0
Macy's Inc
Com
55616P104
7023
131513
SH
SOLE
129118
0
2395
MainStay High Yield Corporate
Com
56062F772
42
6948
SH
SOLE
6948
0
0
ManpowerGroup Inc.
Com
56418H100
9
100
SH
SOLE
100
0
0
Manulife Financial Corporation
Com
56501R106
32
1600
SH
DFND
1600
0
0
Marathon Oil Corp.
Com
565849106
11
318
SH
SOLE
318
0
0
Market Vectors Steel Index Fun
Com
57060U308
31
625
SH
SOLE
625
0
0
Market Vectors High Yield Muni
Com
57060U878
386
13665
SH
SOLE
13665
0
0
MasterCard Inc - Cl A
Com
57636Q104
87
104
SH
SOLE
104
0
0
Maxim Integrated Products
Com
57772K101
1
39
SH
SOLE
39
0
0
Maxim Integrated Products
Com
57772K101
3
100
SH
DFND
0
0
100
McDonalds Corp
Com
580135101
85
873
SH
SOLE
773
0
100
McDonalds Corp
Com
580135101
10
100
SH
DFND
0
0
100
McGraw Hill Financial Inc
Com
580645109
31
400
SH
SOLE
400
0
0
Medtronic Inc
Com
585055106
19
336
SH
SOLE
336
0
0
Medtronic Inc
Com
585055106
6
100
SH
DFND
0
0
100
Merck & Company Inc.
Com
58933Y105
308
6160
SH
SOLE
6060
0
100
Merck & Company Inc.
Com
58933Y105
50
1000
SH
DFND
1000
0
0
Merge Healthcare Inc
Com
589499102
2
1000
SH
SOLE
1000
0
0
Metlife Inc
Com
59156R108
407
7557
SH
SOLE
7557
0
0
Microsoft Corporation
Com
594918104
293
7839
SH
SOLE
7689
0
150
Microsoft Corporation
Com
594918104
759
20300
SH
DFND
20000
0
300
Mondelez International Inc
Com
609207105
80
2256
SH
SOLE
2256
0
0
Mondelez International Inc
Com
609207105
4
125
SH
DFND
0
0
125
Monsanto Co.
Com
61166W101
37
316
SH
SOLE
316
0
0
Moody's Corporation
Com
615369105
19
240
SH
SOLE
240
0
0
Mylan Laboratories
Com
628530107
4050
93321
SH
SOLE
91556
0
1765
NCR Corp
Com
62886E108
4
110
SH
SOLE
110
0
0
National Fuel Gas Company
Com
636180101
11
150
SH
SOLE
150
0
0
National Oilwell Varco Inc.
Com
637071101
10
120
SH
SOLE
120
0
0
Nat'l Westminster Bk PLC Ser C
Pfd Stk
638539882
25
1000
SH
SOLE
1000
0
0
Newell Rubbermaid Inc
Com
651229106
65
2000
SH
SOLE
2000
0
0
News Corp - Class A
Com
65249B109
2
110
SH
SOLE
110
0
0
Nextera Energy Inc
Com
65339F101
33
390
SH
SOLE
390
0
0
Nike Inc. - Class B
Com
654106103
75
952
SH
SOLE
952
0
0
Noble Energy Inc.
Com
655044105
8
120
SH
SOLE
120
0
0
Nordstrom Inc.
Com
655664100
42
675
SH
SOLE
675
0
0
Norfolk Southern Corp
Com
655844108
311
3355
SH
SOLE
3355
0
0
Northeast Utilities
Com
664397106
32
751
SH
SOLE
300
0
451
Northern Ultra-Short Fixed Inc
Com
665162467
99
9681
SH
SOLE
9681
0
0
Northern Global Real Estate In
Com
665162541
75
8254
SH
SOLE
8254
0
0
Northern High Yield Fixed Inco
Com
665162699
73
9716
SH
SOLE
9716
0
0
Northern Funds Fixed Income Fu
Com
665162806
221
21869
SH
SOLE
21869
0
0
Northern Trust Corporation
Com
665859104
6
100
SH
SOLE
100
0
0
Northern Trust Corporation
Com
665859104
4
60
SH
DFND
0
0
60
Northrop Grumman Corp.
Com
666807102
43
374
SH
SOLE
374
0
0
Northrop Grumman Corp.
Com
666807102
123
1070
SH
DFND
1070
0
0
Novartis AG - ADR
Com
66987V109
182
2265
SH
SOLE
2265
0
0
Novartis AG - ADR
Com
66987V109
6
75
SH
DFND
0
0
75
Novo Nordisk A/S - Spons ADR
Com
670100205
9
50
SH
SOLE
50
0
0
MFC Nuveen Preferred and Conv
Com
67073D102
1237
127110
SH
SOLE
127110
0
0
Occidental Petroleum Corporati
Com
674599105
38
400
SH
SOLE
400
0
0
Ocwen Financial Corp
Com
675746309
60
1079
SH
SOLE
1079
0
0
Omnicom Group
Com
681919106
13
170
SH
SOLE
170
0
0
Oppenheimer Int'l Bond Fund
Com
68380T301
41
6803
SH
SOLE
6803
0
0
Oppenheimer Senior Floating Ra
Com
68381K408
0
0
SH
SOLE
0
0
0
Oracle Corporation
Com
68389X105
63
1647
SH
SOLE
1647
0
0
Oracle Corporation
Com
68389X105
3
75
SH
DFND
0
0
75
PIMCO Real Return Fund
Com
693391120
19
1694
SH
SOLE
1694
0
0
PNC Financial Services Group
Com
693475105
246
3175
SH
SOLE
3175
0
0
PPG Industries Inc.
Com
693506107
18
94
SH
SOLE
94
0
0
PPL Corporation
Com
69351T106
241
8000
SH
DFND
8000
0
0
Pall Corp
Com
696429307
15
170
SH
SOLE
170
0
0
People's United Financial
Com
712704105
2021
133675
SH
SOLE
131415
0
2260
Pepsico Incorporated
Com
713448108
168
2025
SH
SOLE
2000
0
25
Pepsico Incorporated
Com
713448108
8
100
SH
DFND
0
0
100
Petroleo Brasileiro - ADR
Com
71654V101
6
400
SH
SOLE
400
0
0
Pfizer Inc
Com
717081103
607
19828
SH
SOLE
10728
0
9100
Philip Morris International In
Com
718172109
261
2997
SH
SOLE
2997
0
0
Philip Morris International In
Com
718172109
44
500
SH
DFND
500
0
0
Phillips 66
Com
718546104
39
512
SH
SOLE
512
0
0
Physicians Realty Trust
Com
71943U104
548
43000
SH
SOLE
43000
0
0
PIMCO Investment Grade Corp Bo
Com
722005816
7091
692434
SH
SOLE
665622
0
26812
PIMCO Emerging Local Bond Inst
Com
72201F516
4795
513965
SH
SOLE
507792
0
6174
PIMCO Emerging Local Bond Inst
Com
72201F516
29
3134
SH
DFND
3134
0
0
PIMCO Enhanced Short Maturity
Com
72201R833
357
3525
SH
SOLE
3525
0
0
PIMCO Dynamic Credit Income Fu
Com
72202D106
1142
50800
SH
SOLE
50800
0
0
Pioneer Natural Resources Co.
Com
723787107
17
90
SH
SOLE
90
0
0
Plum Creek Timber Co. Inc.
Com
729251108
403
8658
SH
SOLE
8658
0
0
Plum Creek Timber Co. Inc.
Com
729251108
12
250
SH
DFND
250
0
0
Post Holdings Inc.
Com
737446104
40
814
SH
SOLE
814
0
0
Potash Corp. Of Saskatchewan -
Com
73755L107
2
75
SH
SOLE
75
0
0
PowerShares International Divi
Com
73935X716
269
14600
SH
SOLE
14600
0
0
PowerShares Dividend Achievers
Com
73935X732
319
16000
SH
SOLE
16000
0
0
PowerShares Senior Loan Portfo
Com
73936Q769
143
5760
SH
SOLE
5760
0
0
Praxair Inc.
Com
74005P104
5
35
SH
DFND
0
0
35
Precision Castparts Corp
Com
740189105
17
62
SH
SOLE
62
0
0
Preferred Apartment Communitie
Com
74039L103
2791
347110
SH
SOLE
347110
0
0
Priceline.com Inc.
Com
741503403
24
21
SH
SOLE
21
0
0
Principal Diversified Real Ass
Com
74254V166
37257
3097035
SH
SOLE
3042792
0
54243
Principal Diversified Real Ass
Com
74254V166
102
8510
SH
DFND
8510
0
0
Procter & Gamble
Com
742718109
290
3564
SH
SOLE
3564
0
0
Procter & Gamble
Com
742718109
8
100
SH
DFND
0
0
100
MFC Proshares TR Proshares Sho
Com
74347R503
240
9505
SH
SOLE
9505
0
0
ProShares Ultra Short Basic Ma
Com
74347X138
10
285
SH
SOLE
285
0
0
ProShares Short 20+ Year Treas
Com
74347X849
1070
32532
SH
SOLE
31610
0
922
Prudential Financial Inc.
Com
744320102
21
227
SH
SOLE
227
0
0
Public Service Enterprises
Com
744573106
152
4740
SH
SOLE
4740
0
0
Pure Cycle Corp
Com
746228303
2866
452810
SH
SOLE
445295
0
7515
MFC Putnam Master Intermediate
Com
746909100
10
1900
SH
SOLE
1900
0
0
Qualcomm Inc
Com
747525103
6354
85572
SH
SOLE
84017
0
1555
Qualcomm Inc
Com
747525103
5
65
SH
DFND
0
0
65
Ralph Lauren Corporation
Com
751212101
9
51
SH
SOLE
51
0
0
Range Resources Corp
Com
75281A109
10
120
SH
SOLE
120
0
0
Raytheon Co New
Com
755111507
1001
11041
SH
SOLE
11041
0
0
Regions Financial Corp
Com
7591EP100
30
3067
SH
SOLE
3067
0
0
Republic Services Inc
Com
760759100
4989
150273
SH
SOLE
147568
0
2705
Retail Properties of America,
Com
76131V202
305
24004
SH
SOLE
24004
0
0
Rockwell Automation Inc.
Com
773903109
173
1466
SH
SOLE
1466
0
0
Rockwell Collins Inc
Com
774341101
104
1408
SH
SOLE
1408
0
0
Rogers Communications - ADR
Com
775109200
158
3500
SH
SOLE
3500
0
0
Roundy's Inc
Com
779268101
1
100
SH
SOLE
100
0
0
Royal Bank of Canada - ADR
Com
780087102
12
176
SH
SOLE
176
0
0
Royal Bk Scotland Group Ser F
Pfd Stk
780097739
43
2000
SH
SOLE
2000
0
0
Royal Bk Scotland Grp Ser P 6.
Pfd Stk
780097762
57
2800
SH
SOLE
2800
0
0
Royal Dutch Shell PLC A - ADR
Com
780259206
84
1182
SH
SOLE
1182
0
0
Royal Dutch Shell PLC A - ADR
Com
780259206
5
65
SH
DFND
0
0
65
SLM Corp
Com
78442P106
2
71
SH
SOLE
71
0
0
SPDR S&P 500 ETF Trust
Com
78462F103
12931
70014
SH
SOLE
68599
0
1415
SPDR Gold Trust
Com
78463V107
12
100
SH
SOLE
100
0
0
SPDR Euro Stoxx 50 ETF
Com
78463X202
1328
31465
SH
SOLE
25165
0
6300
SPDR DB Int'l Govt Inflation P
Com
78464A490
25
400
SH
SOLE
400
0
0
SPDR S&P Dividend ETF
Com
78464A763
941
12960
SH
SOLE
12960
0
0
SPDR Barclays Cap Short Term H
Com
78468R408
1107
35885
SH
SOLE
34885
0
1000
SCANA Corporation
Com
80589M102
3
55
SH
DFND
0
0
55
Henry Schein Inc
Com
806407102
21
182
SH
SOLE
182
0
0
Schlumberger Ltd. - ADR
Com
806857108
109
1205
SH
SOLE
865
0
340
The Charles Schwab Corporation
Com
808513105
8
300
SH
SOLE
300
0
0
Sealed Air Corp
Com
81211K100
2799
82205
SH
SOLE
80950
0
1255
Sealed Air Corp
Com
81211K100
5
140
SH
DFND
0
0
140
Health Care Select Sector SPDR
Com
81369Y209
88
1595
SH
SOLE
1595
0
0
Energy Select Sector Spdr
Com
81369Y506
23
260
SH
SOLE
260
0
0
MFC Financial Select Sector SP
Com
81369Y605
81
3705
SH
SOLE
3705
0
0
Industrial Select Sector SPDR
Com
81369Y704
83
1585
SH
SOLE
1585
0
0
Technology Select Sector SPDR
Com
81369Y803
276
7715
SH
SOLE
7715
0
0
Shire PLC - ADR
Com
82481R106
9
62
SH
SOLE
62
0
0
Sigma Aldrich Corp
Com
826552101
299
3185
SH
SOLE
3185
0
0
Skyworks Solutions Inc
Com
83088M102
8843
309624
SH
SOLE
303774
0
5850
Southern Companies
Com
842587107
78
1900
SH
SOLE
1900
0
0
Southwest Airlines Co.
Com
844741108
45
2410
SH
SOLE
2410
0
0
Spectra Energy Corp
Com
847560109
8
228
SH
SOLE
228
0
0
Sprint Corp
Com
85207U105
5011
466125
SH
SOLE
457465
0
8660
Staples Inc.
Com
855030102
5
300
SH
SOLE
300
0
0
Starbucks Corp
Com
855244109
71
900
SH
SOLE
900
0
0
Starwood Hotels & Resorts Worl
Com
85590A401
1
15
SH
SOLE
15
0
0
State Street Corp
Com
857477103
6
85
SH
SOLE
85
0
0
Oppenheimer SteelPath MLP Sele
Com
858268204
4168
339450
SH
SOLE
333933
0
5517
Oppenheimer SteelPath MLP Sele
Com
858268204
32
2637
SH
DFND
2637
0
0
Stone Ridge Reinsurance Risk P
Com
861728103
17532
1717092
SH
SOLE
1687982
0
29110
Stone Ridge Reinsurance Risk P
Com
861728103
46
4484
SH
DFND
4484
0
0
Stone Ridge High Yield Reins R
Com
861728400
7007
685574
SH
SOLE
673920
0
11655
Stone Ridge High Yield Reins R
Com
861728400
19
1865
SH
DFND
1865
0
0
Stryker Corp
Com
863667101
75
1000
SH
SOLE
1000
0
0
Suncor Energy - ADR
Com
867224107
14
400
SH
SOLE
400
0
0
Sunoco Logistic Partners LP
Com
86764L108
31
410
SH
SOLE
410
0
0
Sun Trust Banks,Inc
Com
867914103
48
1309
SH
SOLE
1309
0
0
Swiss Helvetia Fund
Com
870875101
17
1211
SH
SOLE
1211
0
0
Sysco Corp.
Com
871829107
12
338
SH
SOLE
338
0
0
TCW Emerging Markets Income Fu
Com
87234N765
4942
588355
SH
SOLE
580076
0
8279
TCW Emerging Markets Income Fu
Com
87234N765
17
1981
SH
DFND
1981
0
0
Target Corp
Com
87612E106
3361
53125
SH
SOLE
53025
0
100
Target Corp
Com
87612E106
2
30
SH
DFND
0
0
30
Tennant Company
Com
880345103
434
6395
SH
SOLE
6395
0
0
Tennant Company
Com
880345103
12
170
SH
DFND
170
0
0
Teradata Corp.
Com
88076W103
0
10
SH
SOLE
10
0
0
Tetra Tech, Inc.
Com
88162G103
410
14665
SH
SOLE
14665
0
0
Tetra Tech, Inc.
Com
88162G103
10
370
SH
DFND
370
0
0
Texas Instruments Inc.
Com
882508104
7
150
SH
SOLE
150
0
0
Thermo Electron Corp
Com
883556102
3727
33469
SH
SOLE
32699
0
770
3M Company
Com
88579Y101
181
1293
SH
SOLE
1293
0
0
3M Company
Com
88579Y101
14
100
SH
DFND
0
0
100
Time Warner, Inc.
Com
887317303
26
380
SH
SOLE
380
0
0
Timken Company
Com
887389104
1
20
SH
SOLE
20
0
0
Total SA-Spon ADR
Com
89151E109
4
65
SH
DFND
0
0
65
Travelers Companies Inc
Com
89417E109
269
2976
SH
SOLE
2976
0
0
Twenty-First Century Fox Inc
Com
90130A101
15
440
SH
SOLE
440
0
0
Tyson Foods Inc - Cl A
Com
902494103
90
2700
SH
SOLE
2700
0
0
ETRACS Aleriean MLP Infrastruc
Com
902641646
10916
276835
SH
SOLE
271740
0
5095
ETRACS Aleriean MLP Infrastruc
Com
902641646
11
280
SH
DFND
280
0
0
UGI Corporation
Com
902681105
241
5815
SH
SOLE
5815
0
0
US Bancorp New
Com
902973304
68
1689
SH
SOLE
1689
0
0
UMH Properties Inc 8.25%
Pfd Stk
903002202
1569
62260
SH
SOLE
62260
0
0
Under Armour, Inc.
Com
904311107
7
78
SH
SOLE
78
0
0
Unilever PLC - ADR
Com
904767704
18
440
SH
SOLE
440
0
0
Unilever PLC - ADR
Com
904767704
3
70
SH
DFND
0
0
70
Union Pacific Corp
Com
907818108
151
896
SH
SOLE
896
0
0
Unisys Corp.
Com
909214306
8781
261581
SH
SOLE
258026
0
3555
Unisys Corp 6.25% Conv Preferr
Pfd Stk
909214405
1781
19950
SH
SOLE
19950
0
0
United Natural Foods Inc.
Com
911163103
167
2220
SH
SOLE
2220
0
0
United Natural Foods Inc.
Com
911163103
11
150
SH
DFND
150
0
0
United Parcel Service - Class
Com
911312106
34
328
SH
SOLE
328
0
0
United States Steel Corp.
Com
912909108
2997
101585
SH
SOLE
99790
0
1795
United Technologies Corporatio
Com
913017109
99
867
SH
SOLE
867
0
0
United Health Group Inc.
Com
91324P102
15
202
SH
SOLE
202
0
0
Universal Health Services Inc.
Com
913903100
14
170
SH
SOLE
170
0
0
Urban Outfitters, Inc
Com
917047102
34
925
SH
SOLE
925
0
0
VF Corporation
Com
918204108
86
1372
SH
SOLE
1372
0
0
Valeant Pharmaceuticals Int'l
Com
91911K102
11
97
SH
SOLE
97
0
0
Valero Energy Corporation
Com
91913Y100
18
350
SH
SOLE
350
0
0
Vanguard Dividend Appreciation
Com
921908844
316
4200
SH
SOLE
4200
0
0
Vanguard Wellesley Income Fund
Com
921938205
4
67
SH
SOLE
0
0
67
Vanguard Intermediate Term Tre
Com
922031828
35
3110
SH
SOLE
3110
0
0
Vanguard Short-Term Investment
Com
922031836
18391
1718749
SH
SOLE
1697107
0
21641
Vanguard Short-Term Investment
Com
922031836
66
6204
SH
DFND
6204
0
0
Vanguard Emerging Market ETF
Com
922042858
48
1165
SH
SOLE
0
0
1165
Vanguard European ETF
Com
922042874
7228
122930
SH
SOLE
121140
0
1790
Vanguard European ETF
Com
922042874
5
85
SH
DFND
85
0
0
Vanguard Industrials VIPERs Fu
Com
92204A603
10083
100800
SH
SOLE
98915
0
1885
Vanguard Info Tech Vipers
Com
92204A702
286
3195
SH
SOLE
3195
0
0
Varian Medical Systems Inc
Com
92220P105
366
4715
SH
SOLE
4715
0
0
Varian Medical Systems Inc
Com
92220P105
9
120
SH
DFND
120
0
0
Vectren Corporation
Com
92240G101
152
4275
SH
SOLE
4275
0
0
Vectren Corporation
Com
92240G101
71
2000
SH
DFND
2000
0
0
Vanguard REIT ETF
Com
922908553
32
500
SH
SOLE
500
0
0
Verizon Communications
Com
92343V104
255
5194
SH
SOLE
5194
0
0
Verizon Communications
Com
92343V104
5
100
SH
DFND
0
0
100
Visa Inc. - Class A
Com
92826C839
16
72
SH
SOLE
72
0
0
Visa Inc. - Class A
Com
92826C839
12
55
SH
DFND
0
0
55
Vodafone Group PLC - ADR
Com
92857W209
13
339
SH
SOLE
339
0
0
Vodafone Group PLC - ADR
Com
92857W209
12
300
SH
DFND
0
0
300
Volcano Corporation
Com
928645100
9
400
SH
SOLE
400
0
0
Vornado Rlty Tr Sh Ben Int
Com
929042109
64
724
SH
DFND
724
0
0
Walmart
Com
931142103
7270
92388
SH
SOLE
90672
0
1716
Walmart
Com
931142103
2
30
SH
DFND
0
0
30
Walgreen Co
Com
931422109
667
11611
SH
SOLE
11586
0
25
Walgreen Co
Com
931422109
17
295
SH
DFND
200
0
95
Waste Management Inc
Com
94106L109
27
592
SH
SOLE
592
0
0
Waters Corporation
Com
941848103
85
850
SH
SOLE
850
0
0
Wells Fargo & Co New
Com
949746101
143
3139
SH
SOLE
3139
0
0
Western Union Company
Com
959802109
15
860
SH
SOLE
860
0
0
Whitestone REIT
Com
966084204
758
56670
SH
SOLE
56670
0
0
Whole Foods Market Inc.
Com
966837106
13
220
SH
SOLE
220
0
0
Williams Sonoma Inc
Com
969904101
41
705
SH
SOLE
705
0
0
Wisdom Tree Japan Hedged Equit
Com
97717W851
17311
340500
SH
SOLE
334900
0
5600
Wisdom Tree Japan Hedged Equit
Com
97717W851
11
215
SH
DFND
215
0
0
WisdomTree Europe Hedged Equit
Com
97717X701
79
1405
SH
SOLE
1405
0
0
Yum Brands Inc
Com
988498101
15
200
SH
SOLE
0
0
200
Zimmer Hldgs Inc
Com
98956P102
90
965
SH
SOLE
965
0
0
Accenture PLC - Cl A - ADR
Com
G1151C101
190
2306
SH
SOLE
2306
0
0
Bunge Limited
Com
G16962105
6495
79105
SH
SOLE
77700
0
1405
Covidien PLC - ADR
Com
G2554F113
3826
56179
SH
SOLE
55049
0
1130
Eaton Corp PLC - ADR
Com
G29183103
258
3384
SH
SOLE
3384
0
0
Everest Reinsurance Group Limi
Com
G3223R108
3
19
SH
SOLE
19
0
0
Michael Kors Holdings Ltd
Com
G60754101
18
225
SH
SOLE
225
0
0
Nabors Industries Ltd - ADR
Com
G6359F103
3
200
SH
SOLE
200
0
0
ACE Limited - ADR
Com
H0023R105
15
144
SH
SOLE
144
0
0
Transocean LTD - ADR
Com
H8817H100
1
27
SH
SOLE
27
0
0
LyondellBasell Industries NV -
Com
N53745100
2746
34204
SH
SOLE
33644
0
560