Private Client Services Chief Investment Officer, SVP

0000920112-21-000140.txt : 20210514 0000920112-21-000140.hdr.sgml : 20210514 20210514130303 ACCESSION NUMBER: 0000920112-21-000140 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210514 EFFECTIVENESS DATE: 20210514 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: 21923306 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 03-31-2021 03-31-2021 Mark Stevens

1398 Central Avenue Dubuque IA 52001

13F HOLDINGS REPORT 028-10581 N Mark Stevens Private Client Services Chief Investment Officer, SVP 563-587-4079 Mark Stevens Dubuque IA 05-14-2021 0 405 878379 false INFORMATION TABLE 2 information_table.xml INFORMATION TABLE 3M Co COM 88579Y101 8 40 SH DFND 25 0 15 3M Co COM 88579Y101 5867 30449 SH SOLE 28423 0 2026 ACCENTURE SHS CLASS A G1151C101 387 1400 SH DFND 1400 0 0 ACCENTURE SHS CLASS A G1151C101 309 1118 SH SOLE 1118 0 0 ADAMS EXPRESS COMPANY COM 006212104 11345 621304 SH SOLE 621304 0 0 ALEXCO RESOURCE CO COM 01535P106 44 17600 SH SOLE 17600 0 0 ALPHABET INC CAP STK CL A 02079K305 499 242 SH DFND 242 0 0 ALPHABET INC CAP STK CL A 02079K305 13136 6369 SH SOLE 6199 0 170 AMER EXPRESS CO COM 025816109 245 1730 SH DFND 1730 0 0 AMER EXPRESS CO COM 025816109 603 4263 SH SOLE 4263 0 0 ANALOG DEVICES INC COM 032654105 285 1840 SH SOLE 1840 0 0 APPLIED MATERIALS COM 038222105 669 5010 SH SOLE 5010 0 0 ASML HOLDING NV N Y REGISTRY SHS N07059210 1981 3209 SH SOLE 2969 0 240 AT&T INC 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85571B105 1169 47245 SH SOLE 47245 0 0 Stryker Corp COM 863667101 243 999 SH SOLE 999 0 0 TE Connectivity Ltd REG SHS H84989104 270 2092 SH SOLE 2092 0 0 TEXAS INSTRUMENTS COM 882508104 53 280 SH DFND 280 0 0 TEXAS INSTRUMENTS COM 882508104 13190 69793 SH SOLE 66361 0 3432 TRAVELERS CO INC COM 89417E109 448 2979 SH SOLE 2979 0 0 Target Corp COM 87612E106 56 281 SH DFND 256 0 25 Target Corp COM 87612E106 6289 31749 SH SOLE 31615 0 134 Tesla Inc COM 88160R101 132 198 SH DFND 198 0 0 Tesla Inc COM 88160R101 387 580 SH SOLE 580 0 0 Thermo Fisher Scientific Inc COM 883556102 612 1340 SH DFND 1340 0 0 Thermo Fisher Scientific Inc COM 883556102 1078 2363 SH SOLE 2363 0 0 Tyson Foods Inc CL A 902494103 3 45 SH DFND 0 0 45 Tyson Foods Inc CL A 902494103 201 2700 SH SOLE 2700 0 0 US BANCORP COM NEW 902973304 353 6375 SH DFND 6375 0 0 US BANCORP COM NEW 902973304 210 3802 SH SOLE 3802 0 0 Union Pacific Corp COM 907818108 441 2000 SH DFND 2000 0 0 Union Pacific Corp COM 907818108 456 2067 SH SOLE 2067 0 0 United Parcel Service Inc CL B 911312106 61 358 SH DFND 358 0 0 United Parcel Service Inc CL B 911312106 11969 70409 SH SOLE 67311 0 3098 United Rentals Inc COM 911363109 555 1684 SH SOLE 1684 0 0 UnitedHealth Group Inc COM 91324P102 571 1535 SH DFND 1525 0 10 UnitedHealth Group Inc COM 91324P102 540 1452 SH SOLE 1452 0 0 Uranium Energy Corp COM 916896103 51 18000 SH SOLE 18000 0 0 VANGUARD FINANCIALS ETF 92204A405 15 177 SH DFND 177 0 0 VANGUARD FINANCIALS ETF 92204A405 773 9152 SH SOLE 9152 0 0 VANGUARD S&P 500 ETF SHS 922908363 393 1080 SH SOLE 1080 0 0 VANGUARD REAL ESTATE ETF 922908553 4 42 SH DFND 42 0 0 VANGUARD REAL ESTATE ETF 922908553 371 4042 SH SOLE 4042 0 0 VANGUARD ETF/USA DIV APP ETF 921908844 624 4242 SH SOLE 4242 0 0 VANGUARD ETF/USA COMM SRVC ETF 92204A884 16 126 SH DFND 126 0 0 VANGUARD ETF/USA COMM SRVC ETF 92204A884 5869 45146 SH SOLE 41793 0 3353 VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 31 374 SH DFND 374 0 0 VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 8948 108463 SH SOLE 108463 0 0 VANGUARD ETF/USA SM CP VAL ETF 922908611 119 716 SH DFND 716 0 0 VANGUARD ETF/USA SM CP VAL ETF 922908611 7288 44004 SH SOLE 44004 0 0 VANGUARD GROUP INC/THE INTL BD IDX ETF 92203J407 1008 17655 SH SOLE 17655 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 12 61 SH DFND 61 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 667 3524 SH SOLE 3524 0 0 VERIZON COMMUN COM 92343V104 107 1845 SH DFND 1717 0 128 VERIZON COMMUN COM 92343V104 3862 66411 SH SOLE 61104 0 5307 VIATRIS INC None 92556V106 46 3293 SH DFND 3272 0 21 VIATRIS INC None 92556V106 110 7845 SH SOLE 7833 0 12 VISA INC COM CL A 92826C839 754 3560 SH DFND 3560 0 0 VISA INC COM CL A 92826C839 6141 29005 SH SOLE 28891 0 114 Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 967 18861 SH DFND 18861 0 0 Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 30823 601430 SH SOLE 601430 0 0 Vanguard ETF/USA 500 GRTH IDX F 921932505 1412 6010 SH SOLE 6010 0 0 Vanguard ETF/USA INTERMED TERM 921937819 350 3945 SH SOLE 3945 0 0 Vanguard ETF/USA FTSE DEV MKT ETF 921943858 283 5755 SH SOLE 5755 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 104 1991 SH DFND 1991 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 7176 137870 SH SOLE 137870 0 0 Vanguard ETF/USA CONSUM DIS ETF 92204A108 11 37 SH DFND 37 0 0 Vanguard ETF/USA CONSUM DIS ETF 92204A108 771 2610 SH SOLE 2610 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 16 88 SH DFND 88 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 645 3618 SH SOLE 3618 0 0 Vanguard ETF/USA HEALTH CAR ETF 92204A504 18 80 SH DFND 80 0 0 Vanguard ETF/USA HEALTH CAR ETF 92204A504 1118 4886 SH SOLE 4886 0 0 Vanguard ETF/USA INF TECH ETF 92204A702 29 80 SH DFND 80 0 0 Vanguard ETF/USA INF TECH ETF 92204A702 1824 5089 SH SOLE 5089 0 0 Vanguard ETF/USA SML CP GRW ETF 922908595 111 403 SH DFND 403 0 0 Vanguard ETF/USA SML CP GRW ETF 922908595 6624 24117 SH SOLE 24117 0 0 Vanguard ETF/USA GROWTH ETF 922908736 566 2202 SH DFND 2202 0 0 Vanguard ETF/USA GROWTH ETF 922908736 33249 129355 SH SOLE 129355 0 0 Vanguard ETF/USA VALUE ETF 922908744 594 4521 SH DFND 4521 0 0 Vanguard ETF/USA VALUE ETF 922908744 34072 259178 SH SOLE 259178 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 1167 5644 SH DFND 5644 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 8496 41105 SH SOLE 41105 0 0 Vanguard Group Inc/The TOTAL BND MRKT 921937835 21 242 SH DFND 242 0 0 Vanguard Group Inc/The TOTAL BND MRKT 921937835 7509 88634 SH SOLE 87781 0 853 Vanguard Group Inc/The FTSE SMCAP ETF 922042718 242 1889 SH SOLE 1889 0 0 Veeva Systems Inc CL A COM 922475108 1080 4135 SH DFND 4135 0 0 Veeva Systems Inc CL A COM 922475108 174 665 SH SOLE 665 0 0 Voya Financial Inc COM 929089100 346 5435 SH DFND 5435 0 0 WASTE MANAGEMENT COM 94106L109 484 3749 SH SOLE 3749 0 0 WEC Energy Group Inc COM 92939U106 187 2000 SH DFND 2000 0 0 WEC Energy Group Inc COM 92939U106 162 1727 SH SOLE 1727 0 0 Walmart Inc COM 931142103 188 1385 SH DFND 1240 0 145 Walmart Inc COM 931142103 12493 91974 SH SOLE 87904 0 4070 Walt Disney Co/The COM 254687106 180 974 SH DFND 879 0 95 Walt Disney Co/The COM 254687106 7434 40286 SH SOLE 40118 0 168 Wells Fargo & Co COM 949746101 8 194 SH DFND 99 0 95 Wells Fargo & Co COM 949746101 1082 27690 SH SOLE 27690 0 0 Woodward Inc COM 980745103 265 2200 SH SOLE 2200 0 0 YAMANA GOLD INC COM 98462Y100 87 20000 SH DFND 20000 0 0 YAMANA GOLD INC COM 98462Y100 43 10020 SH SOLE 10020 0 0 Yum China Holdings Inc COM 98850P109 1136 19184 SH SOLE 18105 0 1079 iShares ETFs/USA BLACKROCK ULTRA 46434V878 17 339 SH DFND 339 0 0 iShares ETFs/USA BLACKROCK ULTRA 46434V878 3827 75756 SH SOLE 72934 0 2822