Private Client Services Chief Investment Officer, SVP

0000920112-21-000280.txt : 20211109 0000920112-21-000280.hdr.sgml : 20211109 20211108182546 ACCESSION NUMBER: 0000920112-21-000280 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211109 DATE AS OF CHANGE: 20211108 EFFECTIVENESS DATE: 20211109 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: 211389271 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 09-30-2021 09-30-2021 DUBUQUE BANK & TRUST CO

1398 CENTRAL 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 11-08-2021 0 416 893802 false INFORMATION TABLE 2 information_table.xml INFORMATION TABLE 3M Co COM 88579Y101 460 2620 SH DFND 2605 0 15 3M Co COM 88579Y101 4997 28484 SH SOLE 26568 0 1916 ACCENTURE SHS CLASS A G1151C101 448 1400 SH DFND 1400 0 0 ACCENTURE SHS CLASS A G1151C101 314 980 SH SOLE 980 0 0 ADAMS EXPRESS COMPANY COM 006212104 54 2710 SH DFND 2710 0 0 ADAMS EXPRESS COMPANY COM 006212104 11343 572858 SH SOLE 572858 0 0 ALEXCO RESOURCE CO COM 01535P106 26 17600 SH SOLE 17600 0 0 ALPHABET INC CAP STK CL A 02079K305 655 245 SH DFND 243 0 2 ALPHABET INC CAP STK CL A 02079K305 14862 5559 SH SOLE 5407 0 152 AMBEV SA SPONSORED ADR 02319V103 30 10874 SH SOLE 10874 0 0 AMER EXPRESS CO COM 025816109 290 1730 SH DFND 1730 0 0 AMER EXPRESS CO COM 025816109 886 5286 SH SOLE 5286 0 0 ANALOG DEVICES INC COM 032654105 4 22 SH DFND 0 0 22 ANALOG DEVICES INC 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DFND 600 0 45 Sysco Corp COM 871829107 189 2410 SH SOLE 2410 0 0 TE Connectivity Ltd REG SHS H84989104 206 1504 SH SOLE 1504 0 0 TEXAS INSTRUMENTS COM 882508104 61 317 SH DFND 317 0 0 TEXAS INSTRUMENTS COM 882508104 11268 58623 SH SOLE 55317 0 3306 TRAVELERS CO INC COM 89417E109 464 3050 SH SOLE 3050 0 0 TSMC SPONSORED ADS 874039100 201 1802 SH SOLE 1802 0 0 Target Corp COM 87612E106 73 320 SH DFND 310 0 10 Target Corp COM 87612E106 6386 27913 SH SOLE 27825 0 88 Tesla Inc COM 88160R101 154 198 SH DFND 198 0 0 Tesla Inc COM 88160R101 451 582 SH SOLE 582 0 0 Tetra Tech Inc COM 88162G103 224 1501 SH SOLE 1501 0 0 Thermo Fisher Scientific Inc COM 883556102 766 1340 SH DFND 1340 0 0 Thermo Fisher Scientific Inc COM 883556102 1155 2022 SH SOLE 2022 0 0 Tyson Foods Inc CL A 902494103 4 45 SH DFND 0 0 45 Tyson Foods Inc CL A 902494103 285 3607 SH SOLE 3607 0 0 US BANCORP COM NEW 902973304 379 6375 SH DFND 6375 0 0 US BANCORP COM NEW 902973304 226 3802 SH SOLE 3802 0 0 UTD PARCEL SERV CL B 911312106 77 425 SH DFND 425 0 0 UTD PARCEL SERV CL B 911312106 11495 63122 SH SOLE 60509 0 2613 Union Pacific Corp COM 907818108 392 2000 SH DFND 2000 0 0 Union Pacific Corp COM 907818108 329 1679 SH SOLE 1679 0 0 United Rentals Inc COM 911363109 489 1393 SH SOLE 1393 0 0 UnitedHealth Group Inc COM 91324P102 252 644 SH DFND 637 0 7 UnitedHealth Group Inc COM 91324P102 655 1676 SH SOLE 1676 0 0 Uranium Energy Corp COM 916896103 165 54000 SH SOLE 54000 0 0 VANGUARD FINANCIALS ETF 92204A405 16 177 SH DFND 177 0 0 VANGUARD FINANCIALS ETF 92204A405 746 8048 SH SOLE 8048 0 0 VANGUARD S&P 500 ETF SHS 922908363 206 522 SH DFND 522 0 0 VANGUARD S&P 500 ETF SHS 922908363 465 1180 SH SOLE 1180 0 0 VANGUARD REAL ESTATE ETF 922908553 4 42 SH DFND 42 0 0 VANGUARD REAL ESTATE ETF 922908553 397 3900 SH SOLE 3900 0 0 VANGUARD ETF/USA DIV APP ETF 921908844 645 4200 SH SOLE 4200 0 0 VANGUARD ETF/USA COMM SRVC ETF 92204A884 16 112 SH DFND 112 0 0 VANGUARD ETF/USA COMM SRVC ETF 92204A884 5766 40958 SH SOLE 37680 0 3278 VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 31 374 SH DFND 374 0 0 VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 10121 122815 SH SOLE 122815 0 0 VANGUARD ETF/USA SM CP VAL ETF 922908611 268 1585 SH DFND 1585 0 0 VANGUARD ETF/USA SM CP VAL ETF 922908611 7965 47059 SH SOLE 47059 0 0 VANGUARD GROUP INC/THE INTL BD IDX ETF 92203J407 1006 17655 SH SOLE 17655 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 11 61 SH DFND 61 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 582 3098 SH SOLE 3098 0 0 VERIZON COMMUN COM 92343V104 98 1808 SH DFND 1700 0 108 VERIZON COMMUN COM 92343V104 3443 63751 SH SOLE 58444 0 5307 VISA INC COM CL A 92826C839 623 2799 SH DFND 2799 0 0 VISA INC COM CL A 92826C839 5822 26135 SH SOLE 26021 0 114 Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 1693 33047 SH DFND 33047 0 0 Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 33072 645434 SH SOLE 645434 0 0 Vanguard ETF/USA 500 GRTH IDX F 921932505 1603 6010 SH SOLE 6010 0 0 Vanguard ETF/USA INTERMED TERM 921937819 363 4055 SH SOLE 4055 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 226 4516 SH DFND 4516 0 0 Vanguard ETF/USA FTSE EMR MKT ETF 922042858 7844 156851 SH SOLE 156851 0 0 Vanguard ETF/USA CONSUM DIS ETF 92204A108 11 37 SH DFND 37 0 0 Vanguard ETF/USA CONSUM DIS ETF 92204A108 708 2284 SH SOLE 2284 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 16 88 SH DFND 88 0 0 Vanguard ETF/USA CONSUM STP ETF 92204A207 576 3214 SH SOLE 3214 0 0 Vanguard ETF/USA HEALTH CAR ETF 92204A504 20 80 SH DFND 80 0 0 Vanguard ETF/USA HEALTH CAR ETF 92204A504 1058 4279 SH SOLE 4279 0 0 Vanguard ETF/USA INF TECH ETF 92204A702 32 80 SH DFND 80 0 0 Vanguard ETF/USA INF TECH ETF 92204A702 1767 4403 SH SOLE 4403 0 0 Vanguard ETF/USA SML CP GRW ETF 922908595 255 911 SH DFND 911 0 0 Vanguard ETF/USA SML CP GRW ETF 922908595 7548 26943 SH SOLE 26943 0 0 Vanguard ETF/USA GROWTH ETF 922908736 1355 4670 SH DFND 4670 0 0 Vanguard ETF/USA GROWTH ETF 922908736 42411 146158 SH SOLE 146158 0 0 Vanguard ETF/USA VALUE ETF 922908744 1297 9582 SH DFND 9582 0 0 Vanguard ETF/USA VALUE ETF 922908744 39921 294902 SH SOLE 294902 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 1280 5764 SH DFND 5764 0 0 Vanguard ETF/USA TOTAL STK MKT 922908769 8212 36979 SH SOLE 36979 0 0 Vanguard Group Inc/The TOTAL BND MRKT 921937835 90 1048 SH DFND 1048 0 0 Vanguard Group Inc/The TOTAL BND MRKT 921937835 8034 94020 SH SOLE 93167 0 853 Vanguard Group Inc/The FTSE DEV MKT ETF 921943858 331 6563 SH SOLE 6563 0 0 Vanguard Group Inc/The FTSE SMCAP ETF 922042718 13 100 SH DFND 100 0 0 Vanguard Group Inc/The FTSE SMCAP ETF 922042718 253 1889 SH SOLE 1889 0 0 Veeva Systems Inc CL A COM 922475108 1046 3630 SH DFND 3630 0 0 Veeva Systems Inc CL A COM 922475108 192 665 SH SOLE 665 0 0 Voya Investments LLC CORE S&P MCP ETF 464287507 57 215 SH DFND 0 0 215 Voya Investments LLC CORE S&P MCP ETF 464287507 971 3691 SH SOLE 3691 0 0 Voya Investments LLC CORE S&P SCP ETF 464287804 1105 10116 SH SOLE 10116 0 0 Voya Investments LLC INTRM GOV CR ETF 464288612 422 3668 SH SOLE 3668 0 0 WASTE MANAGEMENT COM 94106L109 648 4339 SH SOLE 4339 0 0 WEC Energy Group Inc COM 92939U106 176 2000 SH DFND 2000 0 0 WEC Energy Group Inc COM 92939U106 111 1255 SH SOLE 1255 0 0 WELLS FARGO & CO COM 949746101 10 219 SH DFND 99 0 120 WELLS FARGO & CO COM 949746101 2075 44717 SH SOLE 44717 0 0 Walmart Inc COM 931142103 192 1375 SH DFND 1230 0 145 Walmart Inc COM 931142103 11882 85251 SH SOLE 81006 0 4245 Walt Disney Co/The COM 254687106 167 986 SH DFND 941 0 45 Walt Disney Co/The COM 254687106 6136 36271 SH SOLE 36103 0 168 Woodward Inc COM 980745103 249 2200 SH SOLE 2200 0 0 YAMANA GOLD INC COM 98462Y100 79 20000 SH DFND 20000 0 0 YAMANA GOLD INC COM 98462Y100 40 10020 SH SOLE 10020 0 0 Yum China Holdings Inc COM 98850P109 1050 18065 SH SOLE 16561 0 1504 iShares ETFs/USA MSCI ACWI EX US 464288240 117 2115 SH DFND 2115 0 0 iShares ETFs/USA MSCI ACWI EX US 464288240 1559 28139 SH SOLE 28139 0 0 iShares ETFs/USA JPMORGAN USD EMG 464288281 7 65 SH DFND 65 0 0 iShares ETFs/USA JPMORGAN USD EMG 464288281 3050 27710 SH SOLE 27710 0 0 iShares ETFs/USA CORE MSCI EMKT 46434G103 473 7663 SH SOLE 7663 0 0 iShares ETFs/USA BLACKROCK ULTRA 46434V878 156 3091 SH DFND 3091 0 0 iShares ETFs/USA BLACKROCK ULTRA 46434V878 3903 77282 SH SOLE 74460 0 2822