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Form 13F-HR DUBUQUE BANK & TRUST CO For: Mar 31

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May 14, 2021 1:03 PM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 03-31-2021
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Mark Stevens
Address: 1398 Central Avenue
Dubuque , IA52001
Form 13F File Number: 028-10581

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Mark Stevens
Title: Private Client Services Chief Investment Officer, SVP
Phone: 563-587-4079
Signature, Place, and Date of Signing:
Mark Stevens Dubuque , IA 05-14-2021
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 405
Form 13F Information Table Value Total: 878,379
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
3M Co COM 88579Y101 8 40 SH DFND 25 0 15
3M Co COM 88579Y101 5,867 30,449 SH SOLE 28,423 0 2,026
ACCENTURE SHS CLASS A G1151C101 387 1,400 SH DFND 1,400 0 0
ACCENTURE SHS CLASS A G1151C101 309 1,118 SH SOLE 1,118 0 0
ADAMS EXPRESS COMPANY COM 006212104 11,345 621,304 SH SOLE 621,304 0 0
ALEXCO RESOURCE CO COM 01535P106 44 17,600 SH SOLE 17,600 0 0
ALPHABET INC CAP STK CL A 02079K305 499 242 SH DFND 242 0 0
ALPHABET INC CAP STK CL A 02079K305 13,136 6,369 SH SOLE 6,199 0 170
AMER EXPRESS CO COM 025816109 245 1,730 SH DFND 1,730 0 0
AMER EXPRESS CO COM 025816109 603 4,263 SH SOLE 4,263 0 0
ANALOG DEVICES INC COM 032654105 285 1,840 SH SOLE 1,840 0 0
APPLIED MATERIALS COM 038222105 669 5,010 SH SOLE 5,010 0 0
ASML HOLDING NV N Y REGISTRY SHS N07059210 1,981 3,209 SH SOLE 2,969 0 240
AT&T INC COM 00206R102 711 23,500 SH DFND 23,500 0 0
AT&T INC COM 00206R102 1,025 33,869 SH SOLE 33,869 0 0
AVERY DENNISON CORP COM 053611109 328 1,788 SH SOLE 1,788 0 0
AbbVie Inc COM 00287Y109 57 524 SH DFND 424 0 100
AbbVie Inc COM 00287Y109 6,891 63,679 SH SOLE 61,182 0 2,497
Abbott Laboratories COM 002824100 3 24 SH DFND 24 0 0
Abbott Laboratories COM 002824100 3,691 30,800 SH SOLE 28,668 0 2,132
Activision Blizzard Inc COM 00507V109 212 2,275 SH SOLE 2,275 0 0
Adobe Inc COM 00724F101 477 1,004 SH SOLE 1,004 0 0
Agree Realty Corp COM 008492100 1,292 19,201 SH SOLE 19,201 0 0
Alexion Pharmaceuticals Inc COM 015351109 216 1,413 SH SOLE 1,413 0 0
Alibaba Group Holding Ltd SPONSORED ADS 01609W102 56 246 SH DFND 246 0 0
Alibaba Group Holding Ltd SPONSORED ADS 01609W102 963 4,246 SH SOLE 4,000 0 246
Alliant Energy Corp COM 018802108 5 100 SH DFND 0 0 100
Alliant Energy Corp COM 018802108 271 5,001 SH SOLE 5,001 0 0
Alphabet Inc CAP STK CL C 02079K107 147 71 SH DFND 71 0 0
Alphabet Inc CAP STK CL C 02079K107 2,619 1,266 SH SOLE 1,266 0 0
Altria Group Inc COM 02209S103 17 325 SH DFND 250 0 75
Altria Group Inc COM 02209S103 295 5,766 SH SOLE 5,766 0 0
Amazon.com Inc COM 023135106 848 274 SH DFND 274 0 0
Amazon.com Inc COM 023135106 2,717 878 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 3,187 SH SOLE 3,187 0 0
American Tower Corp COM 03027X100 231 967 SH SOLE 967 0 0
Americas Gold & Silver Corp COM 03062D100 45 20,000 SH SOLE 20,000 0 0
Ameriprise Financial Inc COM 03076C106 80 346 SH DFND 346 0 0
Ameriprise Financial Inc COM 03076C106 705 3,032 SH SOLE 3,032 0 0
Amgen Inc COM 031162100 67 271 SH DFND 251 0 20
Amgen Inc COM 031162100 12,836 51,588 SH SOLE 49,388 0 2,200
Apple Inc COM 037833100 1,650 13,508 SH DFND 13,488 0 20
Apple Inc COM 037833100 25,407 207,995 SH SOLE 202,595 0 5,400
Aptiv PLC SHS G6095L109 570 4,133 SH SOLE 4,133 0 0
Ashland Global Holdings Inc COM 044186104 277 3,126 SH SOLE 3,126 0 0
BAXTER INTL INC COM 071813109 260 3,078 SH SOLE 3,078 0 0
BECTON DICKINSON COM 075887109 342 1,406 SH SOLE 1,406 0 0
BK OF AMERICA CORP COM 060505104 185 4,770 SH DFND 4,550 0 220
BK OF AMERICA CORP COM 060505104 831 21,485 SH SOLE 21,485 0 0
BOEING CO COM 097023105 9 35 SH DFND 0 0 35
BOEING CO COM 097023105 646 2,538 SH SOLE 2,504 0 34
BRISTOL-MYRS SQUIB COM 110122108 82 1,301 SH DFND 1,178 0 123
BRISTOL-MYRS SQUIB COM 110122108 857 13,579 SH SOLE 13,579 0 0
Bank OZK COM 06417N103 230 5,629 SH SOLE 5,629 0 0
Berkshire Hathaway Inc CL B NEW 084670702 46 182 SH DFND 182 0 0
Berkshire Hathaway Inc CL B NEW 084670702 7,249 28,377 SH SOLE 28,292 0 85
Black Hills Corp COM 092113109 5 69 SH DFND 69 0 0
Black Hills Corp COM 092113109 5,926 88,747 SH SOLE 82,897 0 5,850
BlackRock Fund Advisors CORE US AGGBD ET 464287226 729 6,400 SH SOLE 6,400 0 0
BlackRock Fund Advisors MSCI EAFE ETF 464287465 4,073 53,682 SH SOLE 49,821 0 3,861
BlackRock Fund Advisors RUS MID CAP ETF 464287499 902 12,204 SH SOLE 12,204 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 3,395 SH SOLE 3,395 0 0
BlackRock Fund Advisors S&P MC 400GR ETF 464287606 629 8,026 SH SOLE 8,026 0 0
BlackRock Fund Advisors RUS 1000 ETF 464287622 436 1,948 SH SOLE 1,948 0 0
BlackRock Fund Advisors RUS 2000 GRW ETF 464287648 558 1,855 SH SOLE 1,855 0 0
BlackRock Fund Advisors S&P MC 400VL ETF 464287705 563 5,528 SH SOLE 5,528 0 0
BlackRock Fund Advisors CORE S&P SCP ETF 464287804 1,245 11,472 SH SOLE 11,472 0 0
BlackRock Fund Advisors SHRT NAT MUN ETF 464288158 1,780 16,510 SH SOLE 16,510 0 0
BlackRock Fund Advisors MSCI ACWI EX US 464288240 117 2,115 SH DFND 2,115 0 0
BlackRock Fund Advisors MSCI ACWI EX US 464288240 1,758 31,862 SH SOLE 31,862 0 0
BlackRock Fund Advisors JPMORGAN USD EMG 464288281 7 65 SH DFND 65 0 0
BlackRock Fund Advisors JPMORGAN USD EMG 464288281 2,107 19,348 SH SOLE 19,348 0 0
BlackRock Fund Advisors MBS ETF 464288588 27 252 SH DFND 252 0 0
BlackRock Fund Advisors MBS ETF 464288588 7,265 67,005 SH SOLE 64,390 0 2,615
BlackRock Fund Advisors INTRM GOV CR ETF 464288612 431 3,753 SH SOLE 3,753 0 0
BlackRock Fund Advisors PFD AND INCM SEC 464288687 510 13,292 SH SOLE 13,292 0 0
BlackRock Fund Advisors EAFE GRWTH ETF 464288885 226 2,245 SH DFND 2,245 0 0
BlackRock Fund Advisors EAFE GRWTH ETF 464288885 18,025 179,427 SH SOLE 179,427 0 0
BlackRock Fund Advisors CORE MSCI EMKT 46434G103 492 7,641 SH SOLE 7,641 0 0
BlackRock Inc COM 09247X101 57 76 SH DFND 76 0 0
BlackRock Inc COM 09247X101 11,018 14,614 SH SOLE 14,068 0 546
Broadcom Inc COM 11135F101 36 77 SH DFND 77 0 0
Broadcom Inc COM 11135F101 9,162 19,761 SH SOLE 18,775 0 986
Brunswick Corp/DE COM 117043109 250 2,620 SH SOLE 2,620 0 0
Bunge Ltd COM G16962105 265 3,345 SH SOLE 3,345 0 0
CARRIER GLOBAL CORP COM 14448C104 180 4,254 SH DFND 4,254 0 0
CARRIER GLOBAL CORP COM 14448C104 51 1,205 SH SOLE 1,205 0 0
CDW Corp/DE COM 12514G108 666 4,018 SH SOLE 4,018 0 0
CISCO SYSTEMS COM 17275R102 75 1,454 SH DFND 1,279 0 175
CISCO SYSTEMS COM 17275R102 12,558 242,849 SH SOLE 233,506 0 9,343
CITRIX SYSTEMS INC COM 177376100 288 2,050 SH SOLE 2,050 0 0
COLGATE-PALMOLIVE COM 194162103 315 4,002 SH SOLE 4,002 0 0
CONOCOPHILLIPS COM 20825C104 37 701 SH DFND 701 0 0
CONOCOPHILLIPS COM 20825C104 498 9,408 SH SOLE 9,408 0 0
CRISPR Therapeutics AG NAMEN AKT H17182108 350 2,873 SH SOLE 2,873 0 0
CVS Health Corp COM 126650100 7 90 SH DFND 0 0 90
CVS Health Corp COM 126650100 511 6,798 SH SOLE 6,798 0 0
Caterpillar Inc COM 149123101 23 100 SH DFND 0 0 100
Caterpillar Inc COM 149123101 441 1,903 SH SOLE 1,903 0 0
Charles Schwab Investment Management Inc INTRM TRM TRES 808524854 355 6,298 SH SOLE 6,298 0 0
Chevron Corp COM 166764100 216 2,059 SH DFND 2,009 0 50
Chevron Corp COM 166764100 7,854 74,952 SH SOLE 72,018 0 2,934
Citigroup Inc COM NEW 172967424 11 147 SH DFND 27 0 120
Citigroup Inc COM NEW 172967424 294 4,039 SH SOLE 4,039 0 0
Cloudflare Inc CL A COM 18915M107 723 10,290 SH DFND 10,290 0 0
Cloudflare Inc CL A COM 18915M107 1 15 SH SOLE 15 0 0
Coca-Cola Co/The COM 191216100 80 1,520 SH DFND 1,520 0 0
Coca-Cola Co/The COM 191216100 5,394 102,341 SH SOLE 92,671 0 9,670
Cohen & Steers Capital Management Inc COM 19247X100 3,728 152,863 SH SOLE 152,863 0 0
Comcast Corp CL A 20030N101 1,157 21,375 SH SOLE 21,375 0 0
Costco Wholesale Corp COM 22160K105 61 173 SH DFND 173 0 0
Costco Wholesale Corp COM 22160K105 5,907 16,759 SH SOLE 16,697 0 62
Credit Suisse AG/Nassau X LINK SILVER SH 22542D449 1,152 189,500 SH SOLE 189,500 0 0
DIAGEO SPON ADR NEW 25243Q205 267 1,629 SH SOLE 1,629 0 0
DOMINION RES(VIR) COM 25746U109 1 16 SH DFND 0 0 16
DOMINION RES(VIR) COM 25746U109 257 3,378 SH SOLE 3,378 0 0
DUKE ENERGY CORP COM NEW 26441C204 44 451 SH DFND 451 0 0
DUKE ENERGY CORP COM NEW 26441C204 300 3,109 SH SOLE 3,109 0 0
Danaher Corp COM 235851102 585 2,601 SH SOLE 2,601 0 0
Deere & Co COM 244199105 667 1,784 SH SOLE 1,784 0 0
Denison Mines Corp None 248356107 89 82,000 SH SOLE 82,000 0 0
DocuSign Inc COM 256163106 694 3,430 SH DFND 3,430 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 1,463 SH SOLE 1,463 0 0
Doubleline Capital LP COM 258622109 1,310 72,145 SH SOLE 72,145 0 0
DuPont de Nemours Inc COM 26614N102 226 2,921 SH SOLE 2,888 0 33
Duff & Phelps Closed-End Funds COM 23325P104 159 16,050 SH SOLE 16,050 0 0
ECOLAB INC COM 278865100 343 1,600 SH DFND 1,600 0 0
ECOLAB INC COM 278865100 234 1,091 SH SOLE 1,091 0 0
ETF Managers Group LLC PRIME JUNIR SLVR 26924G102 820 56,834 SH SOLE 56,834 0 0
Easterly Government Properties COM 27616P103 4 170 SH DFND 170 0 0
Easterly Government Properties COM 27616P103 5,336 257,393 SH SOLE 244,047 0 13,346
Eaton Corp PLC SHS G29183103 116 836 SH DFND 836 0 0
Eaton Corp PLC SHS G29183103 138 1,001 SH SOLE 1,001 0 0
Eli Lilly and Co COM 532457108 440 2,357 SH SOLE 2,357 0 0
Emergent BioSolutions Inc COM 29089Q105 3,414 36,749 SH SOLE 36,749 0 0
Endeavour Silver Corp COM 29258Y103 64 13,000 SH SOLE 13,000 0 0
Energy Transfer LP COM UT LTD PTN 29273V100 110 14,361 SH SOLE 14,361 0 0
Everbridge Inc COM 29978A104 306 2,525 SH DFND 2,525 0 0
Exxon Mobil Corp COM 30231G102 548 9,814 SH DFND 9,600 0 214
Exxon Mobil Corp COM 30231G102 1,316 23,572 SH SOLE 23,507 0 65
FLEXSHARES TR MORNSTAR USMKT 33939L100 517 3,245 SH SOLE 3,245 0 0
Facebook Inc CL A 30303M102 55 188 SH DFND 188 0 0
Facebook Inc CL A 30303M102 6,706 22,769 SH SOLE 22,662 0 107
Fifth Third Bancorp COM 316773100 262 7,000 SH SOLE 7,000 0 0
FirstEnergy Corp COM 337932107 692 19,944 SH SOLE 19,944 0 0
Fortinet Inc COM 34959E109 208 1,129 SH SOLE 1,129 0 0
Fortuna Silver Mines Inc COM 349915108 91 14,000 SH SOLE 14,000 0 0
GOLDMAN SACHS GRP COM 38141G104 109 333 SH DFND 333 0 0
GOLDMAN SACHS GRP COM 38141G104 5,127 15,678 SH SOLE 15,612 0 66
General Electric Co COM 369604103 28 2,100 SH DFND 2,100 0 0
General Electric Co COM 369604103 442 33,693 SH SOLE 33,263 0 430
General Mills Inc COM 370334104 252 4,107 SH SOLE 4,107 0 0
Genmab A/S SPONSORED ADS 372303206 1,275 38,837 SH SOLE 35,908 0 2,929
Gilead Sciences Inc COM 375558103 329 5,098 SH SOLE 5,098 0 0
Global Payments Inc COM 37940X102 535 2,655 SH DFND 2,655 0 0
Global Payments Inc COM 37940X102 73 364 SH SOLE 364 0 0
Goosehead Insurance Inc COM CL A 38267D109 422 3,941 SH DFND 3,941 0 0
GrowGeneration Corp COM 39986L109 336 6,770 SH DFND 6,770 0 0
HDFC BANK SPONSORED ADS 40415F101 1,132 14,570 SH SOLE 13,778 0 792
Hannon Armstrong Sustainable I COM 41068X100 265 4,719 SH SOLE 4,719 0 0
Heartland Financial USA Inc COM 42234Q102 7,760 154,398 SH DFND 147,510 0 6,888
Heartland Financial USA Inc COM 42234Q102 75,370 1,499,595 SH SOLE 580,431 0 919,164
Home Depot Inc/The COM 437076102 191 625 SH DFND 625 0 0
Home Depot Inc/The COM 437076102 7,547 24,725 SH SOLE 22,763 0 1,962
Honeywell International Inc COM 438516106 1,579 7,276 SH SOLE 7,276 0 0
Hubbell Inc COM 443510607 561 3,000 SH SOLE 3,000 0 0
INDEXIQ ETF TRUST/USA HEDGE MLTI ETF 45409B107 194 6,091 SH DFND 6,091 0 0
INDEXIQ ETF TRUST/USA HEDGE MLTI ETF 45409B107 10,947 344,244 SH SOLE 342,171 0 2,073
INTERCONTINENTAL EXCHANGE COM 45866F104 420 3,764 SH SOLE 3,764 0 0
INTL BUSINESS MCHN COM 459200101 526 3,949 SH SOLE 3,849 0 100
ISHARES S&P 100 ETF 464287101 206 1,145 SH SOLE 1,145 0 0
ISHARES SELECT DIVID ETF 464287168 479 4,200 SH SOLE 4,200 0 0
ISHARES CORE S&P500 ETF 464287200 341 857 SH DFND 857 0 0
ISHARES CORE S&P500 ETF 464287200 11,658 29,304 SH SOLE 29,304 0 0
ISHARES S&P 500 GRWT ETF 464287309 1,213 18,636 SH SOLE 18,636 0 0
ISHARES NASDAQ BIOTECH 464287556 221 1,470 SH DFND 1,470 0 0
ISHARES RUSSELL 2000 ETF 464287655 253 1,145 SH DFND 1,145 0 0
ISHARES RUSSELL 2000 ETF 464287655 1,151 5,208 SH SOLE 5,208 0 0
ISHARES EAFE VALUE ETF 464288877 235 4,618 SH DFND 4,618 0 0
ISHARES EAFE VALUE ETF 464288877 17,643 346,142 SH SOLE 346,142 0 0
ISHARES ISHARES 46428Q109 217 9,549 SH DFND 9,549 0 0
ISHARES CORE MSCI EAFE 46432F842 231 3,201 SH SOLE 3,201 0 0
ISHARES GOLD TRUST ISHARES 464285105 289 17,745 SH SOLE 17,745 0 0
ISHARES TR MSCI EMG MKT ETF 464287234 288 5,402 SH SOLE 5,402 0 0
ISHARES TR BARCLAYS 7 10 YR 464287440 252 2,228 SH SOLE 1,793 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 8,808 102,126 SH SOLE 98,225 0 3,901
ISHARES TRUST RUS 1000 VAL ETF 464287598 656 4,330 SH SOLE 4,330 0 0
ISHARES/USA RUS 1000 GRW ETF 464287614 144 592 SH DFND 592 0 0
ISHARES/USA RUS 1000 GRW ETF 464287614 311 1,280 SH SOLE 1,280 0 0
ISHARES/USA NATIONAL MUN ETF 464288414 290 2,500 SH SOLE 2,500 0 0
Innovative Industrial Properti COM 45781V101 1,324 7,350 SH DFND 7,350 0 0
Innovative Industrial Properti COM 45781V101 27 150 SH SOLE 150 0 0
Inphi Corp COM 45772F107 506 2,835 SH DFND 2,835 0 0
Intel Corp COM 458140100 14 226 SH DFND 171 0 55
Intel Corp COM 458140100 6,298 98,404 SH SOLE 91,967 0 6,437
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 16,000 SH SOLE 16,000 0 0
Invesco Capital Management LLC INTL DIVI ACHI 46137V548 244 14,600 SH SOLE 14,600 0 0
Invesco Capital Management LLC S&P INTL LOW 46138E230 71 2,350 SH DFND 2,350 0 0
Invesco Capital Management LLC S&P INTL LOW 46138E230 5,054 166,259 SH SOLE 165,628 0 631
Invesco Capital Management LLC S&P500 LOW VOL 46138E354 130 2,241 SH DFND 2,241 0 0
Invesco Capital Management LLC S&P500 LOW VOL 46138E354 9,925 170,678 SH SOLE 169,456 0 1,222
Invesco Capital Management LLC PFD ETF 46138E511 201 13,410 SH SOLE 13,410 0 0
Invesco Capital Management LLC TREAS COLATERL 46138G888 11 107 SH DFND 107 0 0
Invesco Capital Management LLC TREAS COLATERL 46138G888 3,026 28,632 SH SOLE 28,432 0 200
JPMorgan Chase & Co COM 46625H100 414 2,720 SH DFND 2,665 0 55
JPMorgan Chase & Co COM 46625H100 11,693 76,814 SH SOLE 73,548 0 3,266
Johnson & Johnson COM 478160104 162 984 SH DFND 949 0 35
Johnson & Johnson COM 478160104 14,180 86,279 SH SOLE 83,139 0 3,140
KIMBERLY-CLARK CP COM 494368103 72 520 SH DFND 500 0 20
KIMBERLY-CLARK CP COM 494368103 437 3,140 SH SOLE 3,140 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 10,122 SH SOLE 10,122 0 0
LOWE'S COS INC COM 548661107 448 2,354 SH DFND 2,354 0 0
LOWE'S COS INC COM 548661107 8,664 45,557 SH SOLE 45,370 0 187
Lam Research Corp COM 512807108 279 468 SH SOLE 468 0 0
Linde PLC SHS G5494J103 280 1,000 SH DFND 1,000 0 0
Linde PLC SHS G5494J103 264 942 SH SOLE 942 0 0
Lumentum Holdings Inc COM 55024U109 206 2,250 SH SOLE 2,250 0 0
MAG Silver Corp COM 55903Q104 195 13,000 SH SOLE 13,000 0 0
MASTERCARD INC CL A 57636Q104 561 1,575 SH DFND 1,575 0 0
MASTERCARD INC CL A 57636Q104 880 2,471 SH SOLE 2,471 0 0
MCDONALD'S CORP COM 580135101 13 60 SH DFND 25 0 35
MCDONALD'S CORP COM 580135101 5,918 26,405 SH SOLE 24,363 0 2,042
MICROSOFT CORP COM 594918104 873 3,701 SH DFND 3,666 0 35
MICROSOFT CORP COM 594918104 22,591 95,817 SH SOLE 92,833 0 2,984
MOODYS CORP COM 615369105 461 1,545 SH SOLE 1,545 0 0
MORGAN STANLEY COM NEW 617446448 4 47 SH DFND 47 0 0
MORGAN STANLEY COM NEW 617446448 4,525 58,273 SH SOLE 53,907 0 4,366
Medtronic PLC SHS G5960L103 61 514 SH DFND 514 0 0
Medtronic PLC SHS G5960L103 11,187 94,704 SH SOLE 90,931 0 3,773
Merck & Co Inc COM 58933Y105 196 2,543 SH DFND 2,488 0 55
Merck & Co Inc COM 58933Y105 703 9,115 SH SOLE 9,015 0 100
MetLife Inc COM 59156R108 442 7,264 SH SOLE 7,264 0 0
NEXTERA ENERGY COM 65339F101 227 3,000 SH DFND 3,000 0 0
NEXTERA ENERGY COM 65339F101 201 2,652 SH SOLE 2,652 0 0
NIKE INC CL B 654106103 400 3,008 SH SOLE 3,008 0 0
NORDIC AMER TANKER COM G65773106 164 50,500 SH SOLE 50,500 0 0
NORTHROP GRUMMAN COM 666807102 6 20 SH DFND 0 0 20
NORTHROP GRUMMAN COM 666807102 468 1,447 SH SOLE 1,447 0 0
NOVAGOLD RESOURCES COM NEW 66987E206 175 20,000 SH DFND 20,000 0 0
NXP Semiconductors NV COM N6596X109 5 25 SH DFND 0 0 25
NXP Semiconductors NV COM N6596X109 247 1,225 SH SOLE 1,225 0 0
Norfolk Southern Corp COM 655844108 445 1,656 SH DFND 1,656 0 0
Norfolk Southern Corp COM 655844108 459 1,710 SH SOLE 1,710 0 0
Nucor Corp COM 670346105 223 2,773 SH SOLE 2,773 0 0
Nuveen Closed-End Funds/USA COM 6706ER101 161 11,972 SH DFND 11,972 0 0
Nuveen Closed-End Funds/USA COM 6706ER101 7,874 584,127 SH SOLE 567,875 0 16,252
Nuveen Closed-End Funds/USA COM 67072C105 144 14,825 SH SOLE 14,825 0 0
Nuveen Closed-End Funds/USA COM 67074Y105 5,037 342,214 SH SOLE 342,214 0 0
ORACLE CORP COM 68389X105 52 742 SH DFND 672 0 70
ORACLE CORP COM 68389X105 5,930 84,514 SH SOLE 84,122 0 392
Okta Inc CL A 679295105 787 3,570 SH DFND 3,570 0 0
PEPSICO INC COM 713448108 71 499 SH DFND 469 0 30
PEPSICO INC COM 713448108 4,067 28,751 SH SOLE 28,635 0 116
PNC Financial Services Group I COM 693475105 179 1,020 SH DFND 1,000 0 20
PNC Financial Services Group I COM 693475105 566 3,227 SH SOLE 3,227 0 0
PROSHARES ETFS/USA SHORT QQQ NEW 74347B714 348 25,000 SH SOLE 25,000 0 0
PROSHARES TRUST PSHS ULTRA QQQ 74347R206 260 2,221 SH DFND 2,221 0 0
Palo Alto Networks Inc COM 697435105 235 730 SH SOLE 730 0 0
PayPal Holdings Inc COM 70450Y103 290 1,195 SH SOLE 1,195 0 0
Pegasystems Inc COM 705573103 373 3,265 SH DFND 3,265 0 0
PetSmart Inc CL A 16679L109 572 6,750 SH DFND 6,750 0 0
Pfizer Inc COM 717081103 173 4,775 SH DFND 4,600 0 175
Pfizer Inc COM 717081103 1,634 45,098 SH SOLE 44,998 0 100
Pfizer Inc CL A 98978V103 227 1,440 SH SOLE 1,440 0 0
Physicians Realty Trust COM 71943U104 1,028 58,172 SH SOLE 58,172 0 0
Postal Realty Trust Inc CL A 73757R102 1,204 70,080 SH SOLE 70,080 0 0
Procter & Gamble Co/The COM 742718109 106 782 SH DFND 757 0 25
Procter & Gamble Co/The COM 742718109 4,018 29,666 SH SOLE 27,380 0 2,286
Proshare Capital Management LLC ULTRA SILVER NEW 74347W353 399 9,713 SH SOLE 9,713 0 0
Putnam Investment Management LLC COM 746823103 91 11,200 SH SOLE 11,200 0 0
Putnam Investment Management LLC SH BEN INT 746853100 59 12,170 SH SOLE 12,170 0 0
QCR Holdings Inc COM 74727A104 472 10,000 SH SOLE 10,000 0 0
QUALCOMM INC COM 747525103 150 1,134 SH DFND 1,094 0 40
QUALCOMM INC COM 747525103 348 2,623 SH SOLE 2,623 0 0
Qorvo Inc COM 74736K101 508 2,780 SH DFND 2,780 0 0
ROPER INDUSTRIES INC COM 776696106 403 1,000 SH SOLE 1,000 0 0
Raytheon Technologies Corp COM 75513E101 108 1,397 SH DFND 1,397 0 0
Raytheon Technologies Corp COM 75513E101 13,897 179,853 SH SOLE 173,399 0 6,454
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 3,172 SH DFND 3,172 0 0
SALESFORCE.COM INC COM 79466L302 3,923 18,514 SH SOLE 18,441 0 73
SAP SE SPON ADR 803054204 926 7,545 SH SOLE 6,983 0 562
SELECT SECTOR SPDR TECHNOLOGY 81369Y803 13 95 SH DFND 95 0 0
SELECT SECTOR SPDR TECHNOLOGY 81369Y803 216 1,630 SH SOLE 1,630 0 0
SHOPIFY INC CL A 82509L107 1,422 1,285 SH DFND 1,285 0 0
SHOPIFY INC CL A 82509L107 1 1 SH SOLE 1 0 0
SOUTHWEST AIRLINES COM 844741108 324 5,302 SH SOLE 5,302 0 0
SSGA FUNDS MANAGEMENT PORTFOLIO SHORT 78464A474 261 8,339 SH SOLE 8,339 0 0
SSgA Funds Management Inc TR UNIT 78462F103 42 105 SH DFND 105 0 0
SSgA Funds Management Inc TR UNIT 78462F103 6,818 17,202 SH SOLE 17,202 0 0
SSgA Funds Management Inc BLOOMBERG BRCLYS 78468R622 7 65 SH DFND 65 0 0
SSgA Funds Management Inc BLOOMBERG BRCLYS 78468R622 2,614 24,029 SH SOLE 24,029 0 0
SSgA Funds Management Inc NUVEEN BLMBRG SR 78468R739 66 1,323 SH DFND 1,323 0 0
SSgA Funds Management Inc NUVEEN BLMBRG SR 78468R739 4,510 90,998 SH SOLE 90,998 0 0
STARBUCKS CORP COM 855244109 453 4,142 SH DFND 4,142 0 0
STARBUCKS CORP COM 855244109 13,788 126,184 SH SOLE 121,259 0 4,925
STATE STREET ETF/USA NUVEEN BBG BRCLY 78464A284 105 1,763 SH DFND 1,763 0 0
STATE STREET ETF/USA NUVEEN BBG BRCLY 78464A284 3,068 51,709 SH SOLE 51,709 0 0
STATE STREET ETF/USA UTSER1 S&PDCRP 78467Y107 205 430 SH SOLE 430 0 0
Seligman Funds/Closed-end/USA COM 895436103 10,099 311,407 SH SOLE 311,407 0 0
ServiceNow Inc COM 81762P102 653 1,305 SH DFND 1,305 0 0
ServiceNow Inc COM 81762P102 1 2 SH SOLE 2 0 0
Shenandoah Telecommunications COM 82312B106 459 9,400 SH DFND 9,400 0 0
Splunk Inc COM 848637104 24 174 SH DFND 174 0 0
Splunk Inc COM 848637104 2,826 20,857 SH SOLE 20,756 0 101
Sprott Asset Management CEFs TR UNIT 85207K107 878 100,000 SH SOLE 100,000 0 0
Starwood Property Trust Inc COM 85571B105 1,169 47,245 SH SOLE 47,245 0 0
Stryker Corp COM 863667101 243 999 SH SOLE 999 0 0
TE Connectivity Ltd REG SHS H84989104 270 2,092 SH SOLE 2,092 0 0
TEXAS INSTRUMENTS COM 882508104 53 280 SH DFND 280 0 0
TEXAS INSTRUMENTS COM 882508104 13,190 69,793 SH SOLE 66,361 0 3,432
TRAVELERS CO INC COM 89417E109 448 2,979 SH SOLE 2,979 0 0
Target Corp COM 87612E106 56 281 SH DFND 256 0 25
Target Corp COM 87612E106 6,289 31,749 SH SOLE 31,615 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 1,340 SH DFND 1,340 0 0
Thermo Fisher Scientific Inc COM 883556102 1,078 2,363 SH SOLE 2,363 0 0
Tyson Foods Inc CL A 902494103 3 45 SH DFND 0 0 45
Tyson Foods Inc CL A 902494103 201 2,700 SH SOLE 2,700 0 0
US BANCORP COM NEW 902973304 353 6,375 SH DFND 6,375 0 0
US BANCORP COM NEW 902973304 210 3,802 SH SOLE 3,802 0 0
Union Pacific Corp COM 907818108 441 2,000 SH DFND 2,000 0 0
Union Pacific Corp COM 907818108 456 2,067 SH SOLE 2,067 0 0
United Parcel Service Inc CL B 911312106 61 358 SH DFND 358 0 0
United Parcel Service Inc CL B 911312106 11,969 70,409 SH SOLE 67,311 0 3,098
United Rentals Inc COM 911363109 555 1,684 SH SOLE 1,684 0 0
UnitedHealth Group Inc COM 91324P102 571 1,535 SH DFND 1,525 0 10
UnitedHealth Group Inc COM 91324P102 540 1,452 SH SOLE 1,452 0 0
Uranium Energy Corp COM 916896103 51 18,000 SH SOLE 18,000 0 0
VANGUARD FINANCIALS ETF 92204A405 15 177 SH DFND 177 0 0
VANGUARD FINANCIALS ETF 92204A405 773 9,152 SH SOLE 9,152 0 0
VANGUARD S&P 500 ETF SHS 922908363 393 1,080 SH SOLE 1,080 0 0
VANGUARD REAL ESTATE ETF 922908553 4 42 SH DFND 42 0 0
VANGUARD REAL ESTATE ETF 922908553 371 4,042 SH SOLE 4,042 0 0
VANGUARD ETF/USA DIV APP ETF 921908844 624 4,242 SH SOLE 4,242 0 0
VANGUARD ETF/USA COMM SRVC ETF 92204A884 16 126 SH DFND 126 0 0
VANGUARD ETF/USA COMM SRVC ETF 92204A884 5,869 45,146 SH SOLE 41,793 0 3,353
VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 31 374 SH DFND 374 0 0
VANGUARD ETF/USA SHRT TRM CORP BD 92206C409 8,948 108,463 SH SOLE 108,463 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 7,288 44,004 SH SOLE 44,004 0 0
VANGUARD GROUP INC/THE INTL BD IDX ETF 92203J407 1,008 17,655 SH SOLE 17,655 0 0
VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 12 61 SH DFND 61 0 0
VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 667 3,524 SH SOLE 3,524 0 0
VERIZON COMMUN COM 92343V104 107 1,845 SH DFND 1,717 0 128
VERIZON COMMUN COM 92343V104 3,862 66,411 SH SOLE 61,104 0 5,307
VIATRIS INC None 92556V106 46 3,293 SH DFND 3,272 0 21
VIATRIS INC None 92556V106 110 7,845 SH SOLE 7,833 0 12
VISA INC COM CL A 92826C839 754 3,560 SH DFND 3,560 0 0
VISA INC COM CL A 92826C839 6,141 29,005 SH SOLE 28,891 0 114
Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 967 18,861 SH DFND 18,861 0 0
Van Eck Associates Corp INTRMDT MUNI ETF 92189H201 30,823 601,430 SH SOLE 601,430 0 0
Vanguard ETF/USA 500 GRTH IDX F 921932505 1,412 6,010 SH SOLE 6,010 0 0
Vanguard ETF/USA INTERMED TERM 921937819 350 3,945 SH SOLE 3,945 0 0
Vanguard ETF/USA FTSE DEV MKT ETF 921943858 283 5,755 SH SOLE 5,755 0 0
Vanguard ETF/USA FTSE EMR MKT ETF 922042858 104 1,991 SH DFND 1,991 0 0
Vanguard ETF/USA FTSE EMR MKT ETF 922042858 7,176 137,870 SH SOLE 137,870 0 0
Vanguard ETF/USA CONSUM DIS ETF 92204A108 11 37 SH DFND 37 0 0
Vanguard ETF/USA CONSUM DIS ETF 92204A108 771 2,610 SH SOLE 2,610 0 0
Vanguard ETF/USA CONSUM STP ETF 92204A207 16 88 SH DFND 88 0 0
Vanguard ETF/USA CONSUM STP ETF 92204A207 645 3,618 SH SOLE 3,618 0 0
Vanguard ETF/USA HEALTH CAR ETF 92204A504 18 80 SH DFND 80 0 0
Vanguard ETF/USA HEALTH CAR ETF 92204A504 1,118 4,886 SH SOLE 4,886 0 0
Vanguard ETF/USA INF TECH ETF 92204A702 29 80 SH DFND 80 0 0
Vanguard ETF/USA INF TECH ETF 92204A702 1,824 5,089 SH SOLE 5,089 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 6,624 24,117 SH SOLE 24,117 0 0
Vanguard ETF/USA GROWTH ETF 922908736 566 2,202 SH DFND 2,202 0 0
Vanguard ETF/USA GROWTH ETF 922908736 33,249 129,355 SH SOLE 129,355 0 0
Vanguard ETF/USA VALUE ETF 922908744 594 4,521 SH DFND 4,521 0 0
Vanguard ETF/USA VALUE ETF 922908744 34,072 259,178 SH SOLE 259,178 0 0
Vanguard ETF/USA TOTAL STK MKT 922908769 1,167 5,644 SH DFND 5,644 0 0
Vanguard ETF/USA TOTAL STK MKT 922908769 8,496 41,105 SH SOLE 41,105 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 7,509 88,634 SH SOLE 87,781 0 853
Vanguard Group Inc/The FTSE SMCAP ETF 922042718 242 1,889 SH SOLE 1,889 0 0
Veeva Systems Inc CL A COM 922475108 1,080 4,135 SH DFND 4,135 0 0
Veeva Systems Inc CL A COM 922475108 174 665 SH SOLE 665 0 0
Voya Financial Inc COM 929089100 346 5,435 SH DFND 5,435 0 0
WASTE MANAGEMENT COM 94106L109 484 3,749 SH SOLE 3,749 0 0
WEC Energy Group Inc COM 92939U106 187 2,000 SH DFND 2,000 0 0
WEC Energy Group Inc COM 92939U106 162 1,727 SH SOLE 1,727 0 0
Walmart Inc COM 931142103 188 1,385 SH DFND 1,240 0 145
Walmart Inc COM 931142103 12,493 91,974 SH SOLE 87,904 0 4,070
Walt Disney Co/The COM 254687106 180 974 SH DFND 879 0 95
Walt Disney Co/The COM 254687106 7,434 40,286 SH SOLE 40,118 0 168
Wells Fargo & Co COM 949746101 8 194 SH DFND 99 0 95
Wells Fargo & Co COM 949746101 1,082 27,690 SH SOLE 27,690 0 0
Woodward Inc COM 980745103 265 2,200 SH SOLE 2,200 0 0
YAMANA GOLD INC COM 98462Y100 87 20,000 SH DFND 20,000 0 0
YAMANA GOLD INC COM 98462Y100 43 10,020 SH SOLE 10,020 0 0
Yum China Holdings Inc COM 98850P109 1,136 19,184 SH SOLE 18,105 0 1,079
iShares ETFs/USA BLACKROCK ULTRA 46434V878 17 339 SH DFND 339 0 0
iShares ETFs/USA BLACKROCK ULTRA 46434V878 3,827 75,756 SH SOLE 72,934 0 2,822

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