0000920112-17-000080.txt : 20170208 0000920112-17-000080.hdr.sgml : 20170208 20170208114202 ACCESSION NUMBER: 0000920112-17-000080 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170208 DATE AS OF CHANGE: 20170208 EFFECTIVENESS DATE: 20170208 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: 17581478 BUSINESS ADDRESS: STREET 1: 1398 CENTRAL AVE. CITY: DUBUQUE STATE: IA ZIP: 52001 BUSINESS PHONE: 5635874197 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 12-31-2016 12-31-2016 DUBUQUE BANK & TRUST CO

1398 CENTRAL DUBUQUE IA 52001

13F HOLDINGS REPORT 028-10581 N Bruce C. Rehmke 5635892000 Bruce C. Rehmke Dubuque IA 02-08-2017 0 551 564009 false INFORMATION TABLE 2 q42016form13-fhrinformatio.xml INFORMATION TABLE 3M Co COM 88579Y101 4664 26120 SH DFND 24680 0 1440 ABB Ltd SPONSORED ADR 000375204 3 160 SH DFND 0 0 160 ALLERGAN PLC PFD CONV SER A G0177J116 1281 1680 SH DFND 1680 0 0 ALPS Advisors Inc SECTR DIV DOGS 00162Q858 0 1 SH DFND 1 0 0 AO Smith Corp COM 831865209 14 300 SH DFND 300 0 0 AT&T Inc COM 00206R102 1246 29287 SH DFND 29287 0 0 AZZ Inc COM 002474104 380 5945 SH DFND 5945 0 0 AbbVie Inc COM 00287Y109 402 6414 SH DFND 6259 0 155 Abbott Laboratories COM 002824100 2895 75377 SH DFND 69662 0 5715 Accenture PLC SHS CLASS A G1151C101 159 1355 SH DFND 1355 0 0 Adams Express Co/Closed-end/US COM 00548F105 4 207 SH DFND 207 0 0 Adams Funds Advisers LLC COM 006212104 5654 444861 SH DFND 444861 0 0 Adobe Systems Inc COM 00724F101 39 380 SH DFND 380 0 0 AdvanSix Inc None 00773T101 10 456 SH DFND 215 0 241 Advance Auto Parts Inc COM 00751Y106 24 143 SH DFND 143 0 0 Advisorshares 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674599105 3145 44155 SH DFND 43480 0 675 Omnicom Group Inc COM 681919106 14 170 SH DFND 170 0 0 Oracle Corp COM 68389X105 5846 152045 SH DFND 150050 0 1995 Orbital ATK Inc COM 68557N103 50 575 SH DFND 0 0 575 PACCAR Inc COM 693718108 12 185 SH DFND 185 0 0 PDR Services LLC UT SER 1 78467X109 75 380 SH DFND 380 0 0 PG&E Corp COM 69331C108 16 260 SH DFND 260 0 0 PNC Financial Services Group I COM 693475105 2591 22152 SH DFND 20517 0 1635 PPG Industries Inc COM 693506107 11 120 SH DFND 120 0 0 PVH Corp COM 693656100 4 39 SH DFND 39 0 0 Pacific Investment Management Co LLC COM SHS 72202D106 3053 151002 SH DFND 151002 0 0 Palo Alto Networks Inc COM 697435105 340 2715 SH DFND 2715 0 0 Pandora Media Inc COM 698354107 1 79 SH DFND 79 0 0 Parker-Hannifin Corp COM 701094104 60 430 SH DFND 430 0 0 Patterson Cos Inc COM 703395103 288 7025 SH DFND 7025 0 0 Paychex Inc COM 704326107 12 199 SH DFND 199 0 0 Pembina Pipeline Corp COM 706327103 55 1750 SH DFND 1750 0 0 Pentair PLC SHS G7S00T104 19 335 SH DFND 335 0 0 PepsiCo Inc COM 713448108 1027 9811 SH DFND 9756 0 55 PerkinElmer Inc COM 714046109 6 111 SH DFND 111 0 0 Perrigo Co PLC SHS G97822103 4 44 SH DFND 44 0 0 Pfizer Inc COM 717081103 1209 37237 SH DFND 18787 0 18450 Philip Morris International In COM 718172109 168 1836 SH DFND 1761 0 75 Phillips 66 COM 718546104 170 1964 SH DFND 1964 0 0 Physicians Realty Trust COM 71943U104 16 852 SH DFND 852 0 0 Pinnacle West Capital Corp COM 723484101 101 1300 SH DFND 1300 0 0 Plains All American Pipeline L UNIT LTD PARTN 726503105 6 200 SH DFND 200 0 0 Polaris Industries Inc COM 731068102 18 221 SH DFND 221 0 0 PowerShares ETFs/USA DB OPT YLD DIV 73937V106 5 288 SH DFND 288 0 0 Praxair Inc COM 74005P104 66 560 SH DFND 525 0 35 Priceline Group Inc/The COM NEW 741503403 82 56 SH DFND 56 0 0 Principal Financial Group Inc COM 74251V102 28 479 SH DFND 479 0 0 ProShare Advisors LLC ULTRAPRO SHORT S 74348A442 24 1191 SH DFND 1191 0 0 ProShares ETFs/USA PSHS ULTSH 20YRS 74347B201 2 50 SH DFND 50 0 0 Procter & Gamble Co/The COM 742718109 3134 37278 SH DFND 34978 0 2300 Prudential Financial Inc COM 744320102 10 95 SH DFND 95 0 0 Public Service Enterprise Grou COM 744573106 65 1489 SH DFND 1489 0 0 Pure Cycle Corp COM NEW 746228303 20 3605 SH DFND 3605 0 0 QUALCOMM Inc COM 747525103 236 3620 SH DFND 3505 0 115 ROYAL BK SCOTLND GRP PLC SP ADR PREF S 780097739 50 2000 SH DFND 2000 0 0 RPM International Inc COM 749685103 9 166 SH DFND 166 0 0 Raytheon Co COM NEW 755111507 1227 8640 SH DFND 8640 0 0 Republic Services Inc COM 760759100 34 600 SH DFND 600 0 0 Reynolds American Inc COM 761713106 13 232 SH DFND 0 0 232 Ritchie Bros Auctioneers Inc COM 767744105 9 261 SH DFND 261 0 0 Robert Half International Inc COM 770323103 1951 40000 SH DFND 40000 0 0 Rockwell Automation Inc COM 773903109 81 600 SH DFND 600 0 0 Rockwell Collins Inc COM 774341101 56 600 SH DFND 600 0 0 Rollins Inc COM 775711104 23 675 SH DFND 675 0 0 Ross Stores Inc COM 778296103 11 170 SH DFND 170 0 0 Royal Dutch Shell PLC SPONS ADR A 780259206 34 620 SH DFND 500 0 120 S&P Global Inc COM 78409V104 43 400 SH DFND 400 0 0 SBA Communications Corp COM 78388J106 9 87 SH DFND 87 0 0 SCANA Corp COM 80589M102 4 55 SH DFND 0 0 55 SSgA Funds Management Inc TR UNIT 78462F103 2726 12197 SH DFND 12197 0 0 SSgA Funds Management Inc S&P INTL SMLCP 78463X871 203 7000 SH DFND 7000 0 0 SSgA Funds Management Inc BRC HGH YLD BD 78464A417 10 287 SH DFND 287 0 0 SSgA Funds Management Inc DJ REIT ETF 78464A607 38 402 SH DFND 402 0 0 SSgA Funds Management Inc S&P DIVID ETF 78464A763 262 3063 SH DFND 3063 0 0 SSgA Funds Management Inc SBI MATERIALS 81369Y100 1 14 SH DFND 14 0 0 SSgA Funds Management Inc SBI INT-ENERGY 81369Y506 12 157 SH DFND 157 0 0 Schlumberger Ltd COM 806857108 6846 81545 SH DFND 77591 0 3954 Scripps Networks Interactive I CL A COM 811065101 63 883 SH DFND 883 0 0 Sealed Air Corp COM 81211K100 22 485 SH DFND 345 0 140 ServiceMaster Global Holdings COM 81761R109 22 589 SH DFND 589 0 0 Shire PLC SPONSORED ADR 82481R106 131 770 SH DFND 760 0 10 Silicon Motion Technology Corp SPONSORED ADR 82706C108 54 1282 SH DFND 1282 0 0 Silver Wheaton Corp COM 828336107 2 100 SH DFND 100 0 0 Smith & Wesson Holding Corp COM 831756101 6 300 SH DFND 300 0 0 Snap-on Inc COM 833034101 10 61 SH DFND 61 0 0 Southern Co/The COM 842587107 99 2004 SH DFND 1844 0 160 Southwest Airlines Co COM 844741108 73 1459 SH DFND 1459 0 0 Spectra Energy Corp COM 847560109 30 732 SH DFND 732 0 0 Stanley Black & Decker Inc COM 854502101 3317 28920 SH DFND 28588 0 332 Starbucks Corp COM 855244109 3969 71486 SH DFND 70744 0 742 State Street Corp COM 857477103 3 45 SH DFND 0 0 45 State Street ETF/USA UTSER1 S&PDCRP 78467Y107 75 250 SH DFND 250 0 0 Stericycle Inc COM 858912108 41 528 SH DFND 528 0 0 Stillwater Mining Co COM 86074Q102 60 3700 SH DFND 3700 0 0 SunTrust Banks Inc COM 867914103 72 1309 SH DFND 1309 0 0 Sunoco Logistics Partners LP COM UNITS 86764L108 9 375 SH DFND 375 0 0 Super Micro Computer Inc COM 86800U104 9 308 SH DFND 308 0 0 T Rowe Price Group Inc COM 74144T108 5870 78002 SH DFND 75696 0 2306 TJX Cos Inc/The COM 872540109 43 573 SH DFND 573 0 0 TOTAL SA SPONSORED ADR 89151E109 3 65 SH DFND 0 0 65 Tanzanian Royalty Exploration COM 87600U104 1 3000 SH DFND 0 0 3000 Target Corp COM 87612E106 929 12864 SH DFND 10974 0 1890 Tech Data Corp COM 878237106 17 196 SH DFND 196 0 0 Teleflex Inc COM 879369106 11 68 SH DFND 68 0 0 Tennant Co COM 880345103 415 5835 SH DFND 5835 0 0 Tesoro Corp COM 881609101 2 20 SH DFND 0 0 20 Tetra Tech Inc COM 88162G103 437 10130 SH DFND 10130 0 0 Teva Pharmaceutical Industries ADR 881624209 3 90 SH DFND 0 0 90 Texas Instruments Inc COM 882508104 37 509 SH DFND 509 0 0 Thermo Fisher Scientific Inc COM 883556102 47 330 SH DFND 330 0 0 Time Warner Inc COM NEW 887317303 68 700 SH DFND 655 0 45 Tortoise Capital Advisors LLC COM 89147L100 20 653 SH DFND 653 0 0 Tractor Supply Co COM 892356106 2801 36942 SH DFND 36587 0 355 TransCanada Corp COM 89353D107 59 1300 SH DFND 1300 0 0 Travelers Cos Inc/The COM 89417E109 483 3947 SH DFND 3947 0 0 Tupperware Brands Corp COM 899896104 8 150 SH DFND 0 0 150 Tyson Foods Inc CL A 902494103 18 290 SH DFND 290 0 0 UGI Corp COM 902681105 14 294 SH DFND 294 0 0 UMH PROPERTIES INC CV RED PFD-A 903002202 22 865 SH DFND 865 0 0 US Bancorp COM NEW 902973304 460 8949 SH DFND 8949 0 0 Ulta Salon Cosmetics & Fragran COM 90384S303 13 52 SH DFND 52 0 0 Under Armour Inc CL A 904311107 8 280 SH DFND 280 0 0 Under Armour Inc CL C 904311206 7 281 SH DFND 281 0 0 Unilever NV N Y SHS NEW 904784709 126 3071 SH DFND 3071 0 0 Unilever PLC SPON ADR NEW 904767704 3 70 SH DFND 0 0 70 Union Pacific Corp COM 907818108 141 1360 SH DFND 1360 0 0 United Continental Holdings In COM 910047109 22 300 SH DFND 300 0 0 United Parcel Service Inc CL B 911312106 1710 14919 SH DFND 14404 0 515 United Rentals Inc COM 911363109 58 553 SH DFND 553 0 0 United Technologies Corp COM 913017109 3670 33481 SH DFND 31861 0 1620 UnitedHealth Group Inc COM 91324P102 101 634 SH DFND 634 0 0 Unum Group COM 91529Y106 4927 112153 SH DFND 111165 0 988 VF Corp COM 918204108 208 3892 SH DFND 3892 0 0 Valero Energy Corp COM 91913Y100 70 1029 SH DFND 1029 0 0 VanEck Vectors ETFs/USA GOLD MINERS ETF 92189F106 61 2900 SH DFND 100 0 2800 VanEck Vectors ETFs/USA JR GOLD MINERS E 92189F791 55 1750 SH DFND 50 0 1700 Vanguard ETF/USA DIV APP ETF 921908844 367 4313 SH DFND 4313 0 0 Vanguard ETF/USA VG TL INTL STK F 921909768 11 237 SH DFND 237 0 0 Vanguard ETF/USA LONG TERM BOND 921937793 11 123 SH DFND 123 0 0 Vanguard ETF/USA INTERMED TERM 921937819 25 306 SH DFND 306 0 0 Vanguard ETF/USA SHORT TRM BOND 921937827 23 286 SH DFND 286 0 0 Vanguard ETF/USA TOTAL BND MRKT 921937835 10 123 SH DFND 123 0 0 Vanguard ETF/USA FTSE DEV MKT ETF 921943858 44505 1217972 SH DFND 1179368 0 38604 Vanguard ETF/USA FTSE SMCAP ETF 922042718 30 321 SH DFND 321 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 10643 297456 SH DFND 288966 0 8490 Vanguard ETF/USA CONSUM DIS ETF 92204A108 38 295 SH DFND 295 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 1119 8355 SH DFND 8355 0 0 Vanguard ETF/USA ENERGY ETF 92204A306 531 5074 SH DFND 5074 0 0 Vanguard ETF/USA FINANCIALS ETF 92204A405 763 12853 SH DFND 12853 0 0 Vanguard ETF/USA HEALTH CAR ETF 92204A504 1874 14780 SH DFND 14780 0 0 Vanguard ETF/USA INDUSTRIAL ETF 92204A603 875 7335 SH DFND 7335 0 0 Vanguard ETF/USA INF TECH ETF 92204A702 3658 30103 SH DFND 30103 0 0 Vanguard ETF/USA VNG RUS2000IDX 92206C664 95 880 SH DFND 0 0 880 Vanguard ETF/USA S&P 500 ETF SHS 922908363 76 368 SH DFND 368 0 0 Vanguard ETF/USA MCAP GR IDXVIP 922908538 5 48 SH DFND 48 0 0 Vanguard ETF/USA REIT ETF 922908553 68 823 SH DFND 823 0 0 Vanguard ETF/USA SML CP GRW ETF 922908595 3 25 SH DFND 25 0 0 Vanguard ETF/USA MID CAP ETF 922908629 298 2265 SH DFND 1575 0 690 Vanguard ETF/USA GROWTH ETF 922908736 100 900 SH DFND 900 0 0 Vanguard ETF/USA VALUE ETF 922908744 87 938 SH DFND 938 0 0 Vanguard ETF/USA SMALL CP ETF 922908751 39 300 SH DFND 300 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 20034 173724 SH DFND 173724 0 0 Varian Medical Systems Inc COM 92220P105 328 3650 SH DFND 3650 0 0 Vectren Corp COM 92240G101 12 234 SH DFND 234 0 0 Ventas Inc COM 92276F100 5 78 SH DFND 78 0 0 Verizon Communications Inc COM 92343V104 953 17854 SH DFND 16226 0 1628 Versum Materials Inc None 92532W103 3 100 SH DFND 100 0 0 Viacom Inc CL B 92553P201 15 418 SH DFND 358 0 60 Visa Inc COM CL A 92826C839 167 2138 SH DFND 2138 0 0 Vista Outdoor Inc COM 928377100 42 1150 SH DFND 0 0 1150 WEC Energy Group Inc COM 92939U106 79 1350 SH DFND 0 0 1350 WP Carey Inc COM 92936U109 18 305 SH DFND 305 0 0 Wabtec Corp/DE COM 929740108 23 283 SH DFND 283 0 0 Wal-Mart Stores Inc COM 931142103 10759 155654 SH DFND 150828 0 4826 Walgreens Boots Alliance Inc COM 931427108 567 6855 SH DFND 6760 0 95 Walt Disney Co/The COM DISNEY 254687106 845 8106 SH DFND 8006 0 100 Waste Management Inc COM 94106L109 32 450 SH DFND 450 0 0 Watsco Inc COM 942622200 14 93 SH DFND 93 0 0 Wells Fargo & Co COM 949746101 5961 108165 SH DFND 104828 0 3337 Wendy's Co/The COM 95058W100 1 105 SH DFND 0 0 105 West Pharmaceutical Services I COM 955306105 18 207 SH DFND 207 0 0 Westar Energy Inc COM 95709T100 9 166 SH DFND 166 0 0 Weyerhaeuser Co COM 962166104 296 9828 SH DFND 9828 0 0 Whitestone REIT COM 966084204 2 114 SH DFND 114 0 0 Whole Foods Market Inc COM 966837106 3966 128926 SH DFND 127556 0 1370 Williams Cos Inc/The COM 969457100 25 815 SH DFND 815 0 0 Williams-Sonoma Inc COM 969904101 287 5921 SH DFND 5921 0 0 WisdomTree Asset Management Inc TOTAL DIVID FD 97717W109 70 858 SH DFND 858 0 0 WisdomTree Asset Management Inc EMG MKTS SMCAP 97717W281 0 1 SH DFND 1 0 0 WisdomTree Asset Management Inc JAPN HEDGE EQT 97717W851 106 2138 SH DFND 2138 0 0 Woodbridge Co Ltd/The COM 884903105 3 65 SH DFND 65 0 0 Woodward Inc COM 980745103 606 8770 SH DFND 8770 0 0 Workday Inc CL A 98138H101 2 32 SH DFND 32 0 0 World Gold Trust Services LLC/USA GOLD SHS 78463V107 172 1566 SH DFND 1566 0 0 XL Group Ltd None G98294104 17 463 SH DFND 463 0 0 Xenia Hotels & Resorts Inc COM 984017103 211 10867 SH DFND 10867 0 0 Xilinx Inc COM 983919101 6 98 SH DFND 98 0 0 Yahoo! Inc COM 984332106 4 95 SH DFND 95 0 0 Yum! Brands Inc COM 988498101 58 920 SH DFND 720 0 200 Zimmer Biomet Holdings Inc COM 98956P102 16 158 SH DFND 158 0 0 Zoetis Inc CL A 98978V103 42 789 SH DFND 789 0 0 eBay Inc COM 278642103 5640 189961 SH DFND 187785 0 2176 iShares ETFs/USA ISHARES 464285105 11 1000 SH DFND 1000 0 0 iShares ETFs/USA MSCI EURZONE ETF 464286608 6892 199188 SH DFND 193778 0 5410 iShares ETFs/USA INTL TREA BD ETF 464288117 8 85 SH DFND 85 0 0 iShares ETFs/USA ISHARES 46428Q109 48 3167 SH DFND 3167 0 0 salesforce.com Inc COM 79466L302 23 333 SH DFND 333 0 0