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
COM
00206R102
711
23500
SH
DFND
23500
0
0
AT&T INC
COM
00206R102
1025
33869
SH
SOLE
33869
0
0
AVERY DENNISON CORP
COM
053611109
328
1788
SH
SOLE
1788
0
0
AbbVie Inc
COM
00287Y109
57
524
SH
DFND
424
0
100
AbbVie Inc
COM
00287Y109
6891
63679
SH
SOLE
61182
0
2497
Abbott Laboratories
COM
002824100
3
24
SH
DFND
24
0
0
Abbott Laboratories
COM
002824100
3691
30800
SH
SOLE
28668
0
2132
Activision Blizzard Inc
COM
00507V109
212
2275
SH
SOLE
2275
0
0
Adobe Inc
COM
00724F101
477
1004
SH
SOLE
1004
0
0
Agree Realty Corp
COM
008492100
1292
19201
SH
SOLE
19201
0
0
Alexion Pharmaceuticals Inc
COM
015351109
216
1413
SH
SOLE
1413
0
0
Alibaba Group Holding Ltd
SPONSORED ADS
01609W102
56
246
SH
DFND
246
0
0
Alibaba Group Holding Ltd
SPONSORED ADS
01609W102
963
4246
SH
SOLE
4000
0
246
Alliant Energy Corp
COM
018802108
5
100
SH
DFND
0
0
100
Alliant Energy Corp
COM
018802108
271
5001
SH
SOLE
5001
0
0
Alphabet Inc
CAP STK CL C
02079K107
147
71
SH
DFND
71
0
0
Alphabet Inc
CAP STK CL C
02079K107
2619
1266
SH
SOLE
1266
0
0
Altria Group Inc
COM
02209S103
17
325
SH
DFND
250
0
75
Altria Group Inc
COM
02209S103
295
5766
SH
SOLE
5766
0
0
Amazon.com Inc
COM
023135106
848
274
SH
DFND
274
0
0
Amazon.com Inc
COM
023135106
2717
878
SH
SOLE
878
0
0
American Electric Power Co Inc
COM
025537101
34
400
SH
DFND
400
0
0
American Electric Power Co Inc
COM
025537101
270
3187
SH
SOLE
3187
0
0
American Tower Corp
COM
03027X100
231
967
SH
SOLE
967
0
0
Americas Gold & Silver Corp
COM
03062D100
45
20000
SH
SOLE
20000
0
0
Ameriprise Financial Inc
COM
03076C106
80
346
SH
DFND
346
0
0
Ameriprise Financial Inc
COM
03076C106
705
3032
SH
SOLE
3032
0
0
Amgen Inc
COM
031162100
67
271
SH
DFND
251
0
20
Amgen Inc
COM
031162100
12836
51588
SH
SOLE
49388
0
2200
Apple Inc
COM
037833100
1650
13508
SH
DFND
13488
0
20
Apple Inc
COM
037833100
25407
207995
SH
SOLE
202595
0
5400
Aptiv PLC
SHS
G6095L109
570
4133
SH
SOLE
4133
0
0
Ashland Global Holdings Inc
COM
044186104
277
3126
SH
SOLE
3126
0
0
BAXTER INTL INC
COM
071813109
260
3078
SH
SOLE
3078
0
0
BECTON DICKINSON
COM
075887109
342
1406
SH
SOLE
1406
0
0
BK OF AMERICA CORP
COM
060505104
185
4770
SH
DFND
4550
0
220
BK OF AMERICA CORP
COM
060505104
831
21485
SH
SOLE
21485
0
0
BOEING CO
COM
097023105
9
35
SH
DFND
0
0
35
BOEING CO
COM
097023105
646
2538
SH
SOLE
2504
0
34
BRISTOL-MYRS SQUIB
COM
110122108
82
1301
SH
DFND
1178
0
123
BRISTOL-MYRS SQUIB
COM
110122108
857
13579
SH
SOLE
13579
0
0
Bank OZK
COM
06417N103
230
5629
SH
SOLE
5629
0
0
Berkshire Hathaway Inc
CL B NEW
084670702
46
182
SH
DFND
182
0
0
Berkshire Hathaway Inc
CL B NEW
084670702
7249
28377
SH
SOLE
28292
0
85
Black Hills Corp
COM
092113109
5
69
SH
DFND
69
0
0
Black Hills Corp
COM
092113109
5926
88747
SH
SOLE
82897
0
5850
BlackRock Fund Advisors
CORE US AGGBD ET
464287226
729
6400
SH
SOLE
6400
0
0
BlackRock Fund Advisors
MSCI EAFE ETF
464287465
4073
53682
SH
SOLE
49821
0
3861
BlackRock Fund Advisors
RUS MID CAP ETF
464287499
902
12204
SH
SOLE
12204
0
0
BlackRock Fund Advisors
CORE S&P MCP ETF
464287507
56
215
SH
DFND
0
0
215
BlackRock Fund Advisors
CORE S&P MCP ETF
464287507
884
3395
SH
SOLE
3395
0
0
BlackRock Fund Advisors
S&P MC 400GR ETF
464287606
629
8026
SH
SOLE
8026
0
0
BlackRock Fund Advisors
RUS 1000 ETF
464287622
436
1948
SH
SOLE
1948
0
0
BlackRock Fund Advisors
RUS 2000 GRW ETF
464287648
558
1855
SH
SOLE
1855
0
0
BlackRock Fund Advisors
S&P MC 400VL ETF
464287705
563
5528
SH
SOLE
5528
0
0
BlackRock Fund Advisors
CORE S&P SCP ETF
464287804
1245
11472
SH
SOLE
11472
0
0
BlackRock Fund Advisors
SHRT NAT MUN ETF
464288158
1780
16510
SH
SOLE
16510
0
0
BlackRock Fund Advisors
MSCI ACWI EX US
464288240
117
2115
SH
DFND
2115
0
0
BlackRock Fund Advisors
MSCI ACWI EX US
464288240
1758
31862
SH
SOLE
31862
0
0
BlackRock Fund Advisors
JPMORGAN USD EMG
464288281
7
65
SH
DFND
65
0
0
BlackRock Fund Advisors
JPMORGAN USD EMG
464288281
2107
19348
SH
SOLE
19348
0
0
BlackRock Fund Advisors
MBS ETF
464288588
27
252
SH
DFND
252
0
0
BlackRock Fund Advisors
MBS ETF
464288588
7265
67005
SH
SOLE
64390
0
2615
BlackRock Fund Advisors
INTRM GOV CR ETF
464288612
431
3753
SH
SOLE
3753
0
0
BlackRock Fund Advisors
PFD AND INCM SEC
464288687
510
13292
SH
SOLE
13292
0
0
BlackRock Fund Advisors
EAFE GRWTH ETF
464288885
226
2245
SH
DFND
2245
0
0
BlackRock Fund Advisors
EAFE GRWTH ETF
464288885
18025
179427
SH
SOLE
179427
0
0
BlackRock Fund Advisors
CORE MSCI EMKT
46434G103
492
7641
SH
SOLE
7641
0
0
BlackRock Inc
COM
09247X101
57
76
SH
DFND
76
0
0
BlackRock Inc
COM
09247X101
11018
14614
SH
SOLE
14068
0
546
Broadcom Inc
COM
11135F101
36
77
SH
DFND
77
0
0
Broadcom Inc
COM
11135F101
9162
19761
SH
SOLE
18775
0
986
Brunswick Corp/DE
COM
117043109
250
2620
SH
SOLE
2620
0
0
Bunge Ltd
COM
G16962105
265
3345
SH
SOLE
3345
0
0
CARRIER GLOBAL CORP
COM
14448C104
180
4254
SH
DFND
4254
0
0
CARRIER GLOBAL CORP
COM
14448C104
51
1205
SH
SOLE
1205
0
0
CDW Corp/DE
COM
12514G108
666
4018
SH
SOLE
4018
0
0
CISCO SYSTEMS
COM
17275R102
75
1454
SH
DFND
1279
0
175
CISCO SYSTEMS
COM
17275R102
12558
242849
SH
SOLE
233506
0
9343
CITRIX SYSTEMS INC
COM
177376100
288
2050
SH
SOLE
2050
0
0
COLGATE-PALMOLIVE
COM
194162103
315
4002
SH
SOLE
4002
0
0
CONOCOPHILLIPS
COM
20825C104
37
701
SH
DFND
701
0
0
CONOCOPHILLIPS
COM
20825C104
498
9408
SH
SOLE
9408
0
0
CRISPR Therapeutics AG
NAMEN AKT
H17182108
350
2873
SH
SOLE
2873
0
0
CVS Health Corp
COM
126650100
7
90
SH
DFND
0
0
90
CVS Health Corp
COM
126650100
511
6798
SH
SOLE
6798
0
0
Caterpillar Inc
COM
149123101
23
100
SH
DFND
0
0
100
Caterpillar Inc
COM
149123101
441
1903
SH
SOLE
1903
0
0
Charles Schwab Investment Management Inc
INTRM TRM TRES
808524854
355
6298
SH
SOLE
6298
0
0
Chevron Corp
COM
166764100
216
2059
SH
DFND
2009
0
50
Chevron Corp
COM
166764100
7854
74952
SH
SOLE
72018
0
2934
Citigroup Inc
COM NEW
172967424
11
147
SH
DFND
27
0
120
Citigroup Inc
COM NEW
172967424
294
4039
SH
SOLE
4039
0
0
Cloudflare Inc
CL A COM
18915M107
723
10290
SH
DFND
10290
0
0
Cloudflare Inc
CL A COM
18915M107
1
15
SH
SOLE
15
0
0
Coca-Cola Co/The
COM
191216100
80
1520
SH
DFND
1520
0
0
Coca-Cola Co/The
COM
191216100
5394
102341
SH
SOLE
92671
0
9670
Cohen & Steers Capital Management Inc
COM
19247X100
3728
152863
SH
SOLE
152863
0
0
Comcast Corp
CL A
20030N101
1157
21375
SH
SOLE
21375
0
0
Costco Wholesale Corp
COM
22160K105
61
173
SH
DFND
173
0
0
Costco Wholesale Corp
COM
22160K105
5907
16759
SH
SOLE
16697
0
62
Credit Suisse AG/Nassau
X LINK SILVER SH
22542D449
1152
189500
SH
SOLE
189500
0
0
DIAGEO
SPON ADR NEW
25243Q205
267
1629
SH
SOLE
1629
0
0
DOMINION RES(VIR)
COM
25746U109
1
16
SH
DFND
0
0
16
DOMINION RES(VIR)
COM
25746U109
257
3378
SH
SOLE
3378
0
0
DUKE ENERGY CORP
COM NEW
26441C204
44
451
SH
DFND
451
0
0
DUKE ENERGY CORP
COM NEW
26441C204
300
3109
SH
SOLE
3109
0
0
Danaher Corp
COM
235851102
585
2601
SH
SOLE
2601
0
0
Deere & Co
COM
244199105
667
1784
SH
SOLE
1784
0
0
Denison Mines Corp
None
248356107
89
82000
SH
SOLE
82000
0
0
DocuSign Inc
COM
256163106
694
3430
SH
DFND
3430
0
0
DocuSign Inc
COM
256163106
52
256
SH
SOLE
256
0
0
Dollar Tree Inc
COM
256746108
57
494
SH
DFND
494
0
0
Dollar Tree Inc
COM
256746108
167
1463
SH
SOLE
1463
0
0
Doubleline Capital LP
COM
258622109
1310
72145
SH
SOLE
72145
0
0
DuPont de Nemours Inc
COM
26614N102
226
2921
SH
SOLE
2888
0
33
Duff & Phelps Closed-End Funds
COM
23325P104
159
16050
SH
SOLE
16050
0
0
ECOLAB INC
COM
278865100
343
1600
SH
DFND
1600
0
0
ECOLAB INC
COM
278865100
234
1091
SH
SOLE
1091
0
0
ETF Managers Group LLC
PRIME JUNIR SLVR
26924G102
820
56834
SH
SOLE
56834
0
0
Easterly Government Properties
COM
27616P103
4
170
SH
DFND
170
0
0
Easterly Government Properties
COM
27616P103
5336
257393
SH
SOLE
244047
0
13346
Eaton Corp PLC
SHS
G29183103
116
836
SH
DFND
836
0
0
Eaton Corp PLC
SHS
G29183103
138
1001
SH
SOLE
1001
0
0
Eli Lilly and Co
COM
532457108
440
2357
SH
SOLE
2357
0
0
Emergent BioSolutions Inc
COM
29089Q105
3414
36749
SH
SOLE
36749
0
0
Endeavour Silver Corp
COM
29258Y103
64
13000
SH
SOLE
13000
0
0
Energy Transfer LP
COM UT LTD PTN
29273V100
110
14361
SH
SOLE
14361
0
0
Everbridge Inc
COM
29978A104
306
2525
SH
DFND
2525
0
0
Exxon Mobil Corp
COM
30231G102
548
9814
SH
DFND
9600
0
214
Exxon Mobil Corp
COM
30231G102
1316
23572
SH
SOLE
23507
0
65
FLEXSHARES TR
MORNSTAR USMKT
33939L100
517
3245
SH
SOLE
3245
0
0
Facebook Inc
CL A
30303M102
55
188
SH
DFND
188
0
0
Facebook Inc
CL A
30303M102
6706
22769
SH
SOLE
22662
0
107
Fifth Third Bancorp
COM
316773100
262
7000
SH
SOLE
7000
0
0
FirstEnergy Corp
COM
337932107
692
19944
SH
SOLE
19944
0
0
Fortinet Inc
COM
34959E109
208
1129
SH
SOLE
1129
0
0
Fortuna Silver Mines Inc
COM
349915108
91
14000
SH
SOLE
14000
0
0
GOLDMAN SACHS GRP
COM
38141G104
109
333
SH
DFND
333
0
0
GOLDMAN SACHS GRP
COM
38141G104
5127
15678
SH
SOLE
15612
0
66
General Electric Co
COM
369604103
28
2100
SH
DFND
2100
0
0
General Electric Co
COM
369604103
442
33693
SH
SOLE
33263
0
430
General Mills Inc
COM
370334104
252
4107
SH
SOLE
4107
0
0
Genmab A/S
SPONSORED ADS
372303206
1275
38837
SH
SOLE
35908
0
2929
Gilead Sciences Inc
COM
375558103
329
5098
SH
SOLE
5098
0
0
Global Payments Inc
COM
37940X102
535
2655
SH
DFND
2655
0
0
Global Payments Inc
COM
37940X102
73
364
SH
SOLE
364
0
0
Goosehead Insurance Inc
COM CL A
38267D109
422
3941
SH
DFND
3941
0
0
GrowGeneration Corp
COM
39986L109
336
6770
SH
DFND
6770
0
0
HDFC BANK
SPONSORED ADS
40415F101
1132
14570
SH
SOLE
13778
0
792
Hannon Armstrong Sustainable I
COM
41068X100
265
4719
SH
SOLE
4719
0
0
Heartland Financial USA Inc
COM
42234Q102
7760
154398
SH
DFND
147510
0
6888
Heartland Financial USA Inc
COM
42234Q102
75370
1499595
SH
SOLE
580431
0
919164
Home Depot Inc/The
COM
437076102
191
625
SH
DFND
625
0
0
Home Depot Inc/The
COM
437076102
7547
24725
SH
SOLE
22763
0
1962
Honeywell International Inc
COM
438516106
1579
7276
SH
SOLE
7276
0
0
Hubbell Inc
COM
443510607
561
3000
SH
SOLE
3000
0
0
INDEXIQ ETF TRUST/USA
HEDGE MLTI ETF
45409B107
194
6091
SH
DFND
6091
0
0
INDEXIQ ETF TRUST/USA
HEDGE MLTI ETF
45409B107
10947
344244
SH
SOLE
342171
0
2073
INTERCONTINENTAL EXCHANGE
COM
45866F104
420
3764
SH
SOLE
3764
0
0
INTL BUSINESS MCHN
COM
459200101
526
3949
SH
SOLE
3849
0
100
ISHARES
S&P 100 ETF
464287101
206
1145
SH
SOLE
1145
0
0
ISHARES
SELECT DIVID ETF
464287168
479
4200
SH
SOLE
4200
0
0
ISHARES
CORE S&P500 ETF
464287200
341
857
SH
DFND
857
0
0
ISHARES
CORE S&P500 ETF
464287200
11658
29304
SH
SOLE
29304
0
0
ISHARES
S&P 500 GRWT ETF
464287309
1213
18636
SH
SOLE
18636
0
0
ISHARES
NASDAQ BIOTECH
464287556
221
1470
SH
DFND
1470
0
0
ISHARES
RUSSELL 2000 ETF
464287655
253
1145
SH
DFND
1145
0
0
ISHARES
RUSSELL 2000 ETF
464287655
1151
5208
SH
SOLE
5208
0
0
ISHARES
EAFE VALUE ETF
464288877
235
4618
SH
DFND
4618
0
0
ISHARES
EAFE VALUE ETF
464288877
17643
346142
SH
SOLE
346142
0
0
ISHARES
ISHARES
46428Q109
217
9549
SH
DFND
9549
0
0
ISHARES
CORE MSCI EAFE
46432F842
231
3201
SH
SOLE
3201
0
0
ISHARES GOLD TRUST
ISHARES
464285105
289
17745
SH
SOLE
17745
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
288
5402
SH
SOLE
5402
0
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
252
2228
SH
SOLE
1793
0
435
ISHARES TRUST
1 3 YR TREAS BD
464287457
38
436
SH
DFND
436
0
0
ISHARES TRUST
1 3 YR TREAS BD
464287457
8808
102126
SH
SOLE
98225
0
3901
ISHARES TRUST
RUS 1000 VAL ETF
464287598
656
4330
SH
SOLE
4330
0
0
ISHARES/USA
RUS 1000 GRW ETF
464287614
144
592
SH
DFND
592
0
0
ISHARES/USA
RUS 1000 GRW ETF
464287614
311
1280
SH
SOLE
1280
0
0
ISHARES/USA
NATIONAL MUN ETF
464288414
290
2500
SH
SOLE
2500
0
0
Innovative Industrial Properti
COM
45781V101
1324
7350
SH
DFND
7350
0
0
Innovative Industrial Properti
COM
45781V101
27
150
SH
SOLE
150
0
0
Inphi Corp
COM
45772F107
506
2835
SH
DFND
2835
0
0
Intel Corp
COM
458140100
14
226
SH
DFND
171
0
55
Intel Corp
COM
458140100
6298
98404
SH
SOLE
91967
0
6437
Intuitive Surgical Inc
COM NEW
46120E602
589
797
SH
DFND
797
0
0
Intuitive Surgical Inc
COM NEW
46120E602
2
3
SH
SOLE
3
0
0
Invesco Capital Management LLC
DIVID ACHIEVEV
46137V506
553
16000
SH
SOLE
16000
0
0
Invesco Capital Management LLC
INTL DIVI ACHI
46137V548
244
14600
SH
SOLE
14600
0
0
Invesco Capital Management LLC
S&P INTL LOW
46138E230
71
2350
SH
DFND
2350
0
0
Invesco Capital Management LLC
S&P INTL LOW
46138E230
5054
166259
SH
SOLE
165628
0
631
Invesco Capital Management LLC
S&P500 LOW VOL
46138E354
130
2241
SH
DFND
2241
0
0
Invesco Capital Management LLC
S&P500 LOW VOL
46138E354
9925
170678
SH
SOLE
169456
0
1222
Invesco Capital Management LLC
PFD ETF
46138E511
201
13410
SH
SOLE
13410
0
0
Invesco Capital Management LLC
TREAS COLATERL
46138G888
11
107
SH
DFND
107
0
0
Invesco Capital Management LLC
TREAS COLATERL
46138G888
3026
28632
SH
SOLE
28432
0
200
JPMorgan Chase & Co
COM
46625H100
414
2720
SH
DFND
2665
0
55
JPMorgan Chase & Co
COM
46625H100
11693
76814
SH
SOLE
73548
0
3266
Johnson & Johnson
COM
478160104
162
984
SH
DFND
949
0
35
Johnson & Johnson
COM
478160104
14180
86279
SH
SOLE
83139
0
3140
KIMBERLY-CLARK CP
COM
494368103
72
520
SH
DFND
500
0
20
KIMBERLY-CLARK CP
COM
494368103
437
3140
SH
SOLE
3140
0
0
KLA Corp
COM NEW
482480100
286
866
SH
SOLE
866
0
0
Kraft Foods Inc
CL A
609207105
10
173
SH
DFND
173
0
0
Kraft Foods Inc
CL A
609207105
592
10122
SH
SOLE
10122
0
0
LOWE'S COS INC
COM
548661107
448
2354
SH
DFND
2354
0
0
LOWE'S COS INC
COM
548661107
8664
45557
SH
SOLE
45370
0
187
Lam Research Corp
COM
512807108
279
468
SH
SOLE
468
0
0
Linde PLC
SHS
G5494J103
280
1000
SH
DFND
1000
0
0
Linde PLC
SHS
G5494J103
264
942
SH
SOLE
942
0
0
Lumentum Holdings Inc
COM
55024U109
206
2250
SH
SOLE
2250
0
0
MAG Silver Corp
COM
55903Q104
195
13000
SH
SOLE
13000
0
0
MASTERCARD INC
CL A
57636Q104
561
1575
SH
DFND
1575
0
0
MASTERCARD INC
CL A
57636Q104
880
2471
SH
SOLE
2471
0
0
MCDONALD'S CORP
COM
580135101
13
60
SH
DFND
25
0
35
MCDONALD'S CORP
COM
580135101
5918
26405
SH
SOLE
24363
0
2042
MICROSOFT CORP
COM
594918104
873
3701
SH
DFND
3666
0
35
MICROSOFT CORP
COM
594918104
22591
95817
SH
SOLE
92833
0
2984
MOODYS CORP
COM
615369105
461
1545
SH
SOLE
1545
0
0
MORGAN STANLEY
COM NEW
617446448
4
47
SH
DFND
47
0
0
MORGAN STANLEY
COM NEW
617446448
4525
58273
SH
SOLE
53907
0
4366
Medtronic PLC
SHS
G5960L103
61
514
SH
DFND
514
0
0
Medtronic PLC
SHS
G5960L103
11187
94704
SH
SOLE
90931
0
3773
Merck & Co Inc
COM
58933Y105
196
2543
SH
DFND
2488
0
55
Merck & Co Inc
COM
58933Y105
703
9115
SH
SOLE
9015
0
100
MetLife Inc
COM
59156R108
442
7264
SH
SOLE
7264
0
0
NEXTERA ENERGY
COM
65339F101
227
3000
SH
DFND
3000
0
0
NEXTERA ENERGY
COM
65339F101
201
2652
SH
SOLE
2652
0
0
NIKE INC
CL B
654106103
400
3008
SH
SOLE
3008
0
0
NORDIC AMER TANKER
COM
G65773106
164
50500
SH
SOLE
50500
0
0
NORTHROP GRUMMAN
COM
666807102
6
20
SH
DFND
0
0
20
NORTHROP GRUMMAN
COM
666807102
468
1447
SH
SOLE
1447
0
0
NOVAGOLD RESOURCES
COM NEW
66987E206
175
20000
SH
DFND
20000
0
0
NXP Semiconductors NV
COM
N6596X109
5
25
SH
DFND
0
0
25
NXP Semiconductors NV
COM
N6596X109
247
1225
SH
SOLE
1225
0
0
Norfolk Southern Corp
COM
655844108
445
1656
SH
DFND
1656
0
0
Norfolk Southern Corp
COM
655844108
459
1710
SH
SOLE
1710
0
0
Nucor Corp
COM
670346105
223
2773
SH
SOLE
2773
0
0
Nuveen Closed-End Funds/USA
COM
6706ER101
161
11972
SH
DFND
11972
0
0
Nuveen Closed-End Funds/USA
COM
6706ER101
7874
584127
SH
SOLE
567875
0
16252
Nuveen Closed-End Funds/USA
COM
67072C105
144
14825
SH
SOLE
14825
0
0
Nuveen Closed-End Funds/USA
COM
67074Y105
5037
342214
SH
SOLE
342214
0
0
ORACLE CORP
COM
68389X105
52
742
SH
DFND
672
0
70
ORACLE CORP
COM
68389X105
5930
84514
SH
SOLE
84122
0
392
Okta Inc
CL A
679295105
787
3570
SH
DFND
3570
0
0
PEPSICO INC
COM
713448108
71
499
SH
DFND
469
0
30
PEPSICO INC
COM
713448108
4067
28751
SH
SOLE
28635
0
116
PNC Financial Services Group I
COM
693475105
179
1020
SH
DFND
1000
0
20
PNC Financial Services Group I
COM
693475105
566
3227
SH
SOLE
3227
0
0
PROSHARES ETFS/USA
SHORT QQQ NEW
74347B714
348
25000
SH
SOLE
25000
0
0
PROSHARES TRUST
PSHS ULTRA QQQ
74347R206
260
2221
SH
DFND
2221
0
0
Palo Alto Networks Inc
COM
697435105
235
730
SH
SOLE
730
0
0
PayPal Holdings Inc
COM
70450Y103
290
1195
SH
SOLE
1195
0
0
Pegasystems Inc
COM
705573103
373
3265
SH
DFND
3265
0
0
PetSmart Inc
CL A
16679L109
572
6750
SH
DFND
6750
0
0
Pfizer Inc
COM
717081103
173
4775
SH
DFND
4600
0
175
Pfizer Inc
COM
717081103
1634
45098
SH
SOLE
44998
0
100
Pfizer Inc
CL A
98978V103
227
1440
SH
SOLE
1440
0
0
Physicians Realty Trust
COM
71943U104
1028
58172
SH
SOLE
58172
0
0
Postal Realty Trust Inc
CL A
73757R102
1204
70080
SH
SOLE
70080
0
0
Procter & Gamble Co/The
COM
742718109
106
782
SH
DFND
757
0
25
Procter & Gamble Co/The
COM
742718109
4018
29666
SH
SOLE
27380
0
2286
Proshare Capital Management LLC
ULTRA SILVER NEW
74347W353
399
9713
SH
SOLE
9713
0
0
Putnam Investment Management LLC
COM
746823103
91
11200
SH
SOLE
11200
0
0
Putnam Investment Management LLC
SH BEN INT
746853100
59
12170
SH
SOLE
12170
0
0
QCR Holdings Inc
COM
74727A104
472
10000
SH
SOLE
10000
0
0
QUALCOMM INC
COM
747525103
150
1134
SH
DFND
1094
0
40
QUALCOMM INC
COM
747525103
348
2623
SH
SOLE
2623
0
0
Qorvo Inc
COM
74736K101
508
2780
SH
DFND
2780
0
0
ROPER INDUSTRIES INC
COM
776696106
403
1000
SH
SOLE
1000
0
0
Raytheon Technologies Corp
COM
75513E101
108
1397
SH
DFND
1397
0
0
Raytheon Technologies Corp
COM
75513E101
13897
179853
SH
SOLE
173399
0
6454
RingCentral Inc
CL A
76680R206
213
715
SH
DFND
715
0
0
RingCentral Inc
CL A
76680R206
3
11
SH
SOLE
11
0
0
SALESFORCE.COM INC
COM
79466L302
672
3172
SH
DFND
3172
0
0
SALESFORCE.COM INC
COM
79466L302
3923
18514
SH
SOLE
18441
0
73
SAP SE
SPON ADR
803054204
926
7545
SH
SOLE
6983
0
562
SELECT SECTOR SPDR
TECHNOLOGY
81369Y803
13
95
SH
DFND
95
0
0
SELECT SECTOR SPDR
TECHNOLOGY
81369Y803
216
1630
SH
SOLE
1630
0
0
SHOPIFY INC
CL A
82509L107
1422
1285
SH
DFND
1285
0
0
SHOPIFY INC
CL A
82509L107
1
1
SH
SOLE
1
0
0
SOUTHWEST AIRLINES
COM
844741108
324
5302
SH
SOLE
5302
0
0
SSGA FUNDS MANAGEMENT
PORTFOLIO SHORT
78464A474
261
8339
SH
SOLE
8339
0
0
SSgA Funds Management Inc
TR UNIT
78462F103
42
105
SH
DFND
105
0
0
SSgA Funds Management Inc
TR UNIT
78462F103
6818
17202
SH
SOLE
17202
0
0
SSgA Funds Management Inc
BLOOMBERG BRCLYS
78468R622
7
65
SH
DFND
65
0
0
SSgA Funds Management Inc
BLOOMBERG BRCLYS
78468R622
2614
24029
SH
SOLE
24029
0
0
SSgA Funds Management Inc
NUVEEN BLMBRG SR
78468R739
66
1323
SH
DFND
1323
0
0
SSgA Funds Management Inc
NUVEEN BLMBRG SR
78468R739
4510
90998
SH
SOLE
90998
0
0
STARBUCKS CORP
COM
855244109
453
4142
SH
DFND
4142
0
0
STARBUCKS CORP
COM
855244109
13788
126184
SH
SOLE
121259
0
4925
STATE STREET ETF/USA
NUVEEN BBG BRCLY
78464A284
105
1763
SH
DFND
1763
0
0
STATE STREET ETF/USA
NUVEEN BBG BRCLY
78464A284
3068
51709
SH
SOLE
51709
0
0
STATE STREET ETF/USA
UTSER1 S&PDCRP
78467Y107
205
430
SH
SOLE
430
0
0
Seligman Funds/Closed-end/USA
COM
895436103
10099
311407
SH
SOLE
311407
0
0
ServiceNow Inc
COM
81762P102
653
1305
SH
DFND
1305
0
0
ServiceNow Inc
COM
81762P102
1
2
SH
SOLE
2
0
0
Shenandoah Telecommunications
COM
82312B106
459
9400
SH
DFND
9400
0
0
Splunk Inc
COM
848637104
24
174
SH
DFND
174
0
0
Splunk Inc
COM
848637104
2826
20857
SH
SOLE
20756
0
101
Sprott Asset Management CEFs
TR UNIT
85207K107
878
100000
SH
SOLE
100000
0
0
Starwood Property Trust Inc
COM
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