The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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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 |
AFLAC INC | COM | 001055102 | 230 | 3,446 | SH | DFND | 0 | 0 | 3,446 | ||
AT&T INC | COM | 00206R102 | 3,272 | 93,050 | SH | DFND | 11,685 | 0 | 81,365 | ||
ABBOTT LABORATORIES | COM | 002824100 | 1,533 | 39,990 | SH | DFND | 2,050 | 0 | 37,940 | ||
ABBVIE INC | COM | 00287Y109 | 3,620 | 68,550 | SH | DFND | 7,800 | 0 | 60,750 | ||
AGILENT TECHNOLOGIES INC | COM | 00846U101 | 7,352 | 128,560 | SH | DFND | 4,100 | 0 | 124,460 | ||
AIR LEASE CORP CL A | COM | 00912X302 | 6,618 | 212,950 | SH | DFND | 13,200 | 0 | 199,750 | ||
ALTRIA GROUP INC | COM | 02209S103 | 322 | 8,400 | SH | DFND | 0 | 0 | 8,400 | ||
AMERICAN EXPRESS CO | COM | 025816109 | 277 | 3,055 | SH | DFND | 400 | 0 | 2,655 | ||
AMERICAN WATER WORKS CO | COM | 030420103 | 673 | 15,925 | SH | DFND | 0 | 0 | 15,925 | ||
AMGEN INC | COM | 031162100 | 245 | 2,150 | SH | DFND | 1,000 | 0 | 1,150 | ||
APPLE INC | COM | 037833100 | 5,684 | 10,131 | SH | DFND | 370 | 0 | 9,761 | ||
AUTOMATIC DATA PROCESSING INC | COM | 053015103 | 726 | 8,981 | SH | DFND | 6,550 | 0 | 2,431 | ||
BECTON DICKINSON& CO | COM | 075887109 | 453 | 4,100 | SH | DFND | 350 | 0 | 3,750 | ||
BERKSHIRE HATHAWAY INC CLASS B | COM | 084670702 | 1,497 | 12,626 | SH | DFND | 850 | 0 | 11,776 | ||
BIOGEN IDEC INC | COM | 09062X103 | 257 | 920 | SH | DFND | 0 | 0 | 920 | ||
THE BLACKSTONE GROUP LP | COM | 09253U108 | 2,335 | 74,125 | SH | DFND | 5,000 | 0 | 69,125 | ||
BOEING COMPANY | COM | 097023105 | 218 | 1,600 | SH | DFND | 0 | 0 | 1,600 | ||
BRISTOL-MYERS SQUIBB CO | COM | 110122108 | 454 | 8,548 | SH | DFND | 1,600 | 0 | 6,948 | ||
CVS CAREMARK CORP | COM | 126650100 | 3,282 | 45,858 | SH | DFND | 2,050 | 0 | 43,808 | ||
CATERPILLAR INC | COM | 149123101 | 202 | 2,225 | SH | DFND | 0 | 0 | 2,225 | ||
CENTURYLINK, INC. | COM | 156700106 | 1,367 | 42,908 | SH | DFND | 2,145 | 0 | 40,763 | ||
CHEVRON CORP | COM | 166764100 | 8,887 | 71,145 | SH | DFND | 12,060 | 0 | 59,085 | ||
CHUBB CORP | COM | 171232101 | 316 | 3,267 | SH | DFND | 0 | 0 | 3,267 | ||
CINEMARK HOLDINGS INC | COM | 17243V102 | 6,611 | 198,363 | SH | DFND | 16,550 | 0 | 181,813 | ||
CISCO SYSTEMS INC | COM | 17275R102 | 799 | 35,603 | SH | DFND | 7,100 | 0 | 28,503 | ||
COCA-COLA COMPANY | COM | 191216100 | 1,352 | 32,720 | SH | DFND | 1,900 | 0 | 30,820 | ||
COGNIZANT TECH SOL CL A | COM | 192446102 | 1,886 | 18,680 | SH | DFND | 1,675 | 0 | 17,005 | ||
COLGATE-PALMOLIVE CO. | COM | 194162103 | 588 | 9,024 | SH | DFND | 4,100 | 0 | 4,924 | ||
CONOCOPHILLIPS | COM | 20825C104 | 517 | 7,317 | SH | DFND | 0 | 0 | 7,317 | ||
COSTCO WHSL CORP (NEW) | COM | 22160K105 | 985 | 8,277 | SH | DFND | 1,910 | 0 | 6,367 | ||
CUMMINS ENGINE INC | COM | 231021106 | 211 | 1,500 | SH | DFND | 0 | 0 | 1,500 | ||
DEERE& CO | COM | 244199105 | 321 | 3,516 | SH | DFND | 0 | 0 | 3,516 | ||
DEVON ENERGY CORP (NEW) | COM | 25179M103 | 2,609 | 42,174 | SH | DFND | 1,900 | 0 | 40,274 | ||
AAM/DFA US HIGH BOOK TO | MARKET PORTFOLIO | 25434D880 | 190 | 10,052 | SH | DFND | 0 | 0 | 10,052 | ||
DISNEY CO. (WALT) | COM | 254687106 | 4,092 | 53,564 | SH | DFND | 10,100 | 0 | 43,464 | ||
DU PONT (E.I.) DE NEMOURS | COM | 263534109 | 6,733 | 103,634 | SH | DFND | 5,450 | 0 | 98,184 | ||
DUKE ENERGY CORP | COM | 26441C204 | 5,940 | 86,071 | SH | DFND | 10,486 | 0 | 75,585 | ||
EMC CORP/MASS | COM | 268648102 | 8,026 | 319,108 | SH | DFND | 15,800 | 0 | 303,308 | ||
EMERSON ELECTRIC COMPANY | COM | 291011104 | 1,814 | 25,853 | SH | DFND | 0 | 0 | 25,853 | ||
ENTERPRISE PRD PRTNRS LP | COM | 293792107 | 380 | 5,738 | SH | DFND | 0 | 0 | 5,738 | ||
EXPRESS SCRIPTS HOLDING CO | COM | 30219G108 | 6,695 | 95,319 | SH | DFND | 4,125 | 0 | 91,194 | ||
EXXON MOBIL CORP | COM | 30231G102 | 6,475 | 63,980 | SH | DFND | 9,330 | 0 | 54,650 | ||
FEDEX CORPORATION | COM | 31428X106 | 1,382 | 9,610 | SH | DFND | 215 | 0 | 9,395 | ||
GENERAL ELECTRIC COMPANY | COM | 369604103 | 2,102 | 75,000 | SH | DFND | 19,610 | 0 | 55,390 | ||
GENERAL MILLS INCORPORATED | COM | 370334104 | 256 | 5,120 | SH | DFND | 0 | 0 | 5,120 | ||
GENUINE PARTS CO | COM | 372460105 | 499 | 6,000 | SH | DFND | 5,600 | 0 | 400 | ||
GILEAD SCIENCES INC | COM | 375558103 | 2,122 | 28,255 | SH | DFND | 2,380 | 0 | 25,875 | ||
HCP INC | COM | 40414L109 | 989 | 27,225 | SH | DFND | 3,025 | 0 | 24,200 | ||
HEALTH CARE REIT INC | COM | 42217K106 | 3,608 | 67,344 | SH | DFND | 8,620 | 0 | 58,724 | ||
HOME DEPOT INC | COM | 437076102 | 957 | 11,625 | SH | DFND | 500 | 0 | 11,125 | ||
HONEYWELL INTERNATIONAL INC | COM | 438516106 | 661 | 7,235 | SH | DFND | 2,580 | 0 | 4,655 | ||
INTEL CORPORATION | COM | 458140100 | 1,004 | 38,677 | SH | DFND | 6,000 | 0 | 32,677 | ||
INTERNATIONAL BUSINESS MACHINE | COM | 459200101 | 3,225 | 17,194 | SH | DFND | 1,990 | 0 | 15,204 | ||
ISHARES TR DJ SEL DVI INX | COM | 464287168 | 410 | 5,750 | SH | DFND | 0 | 0 | 5,750 | ||
ISHARES TRUST INDEX FUND | FTSE XINHUA HK CH | 464287184 | 217 | 5,650 | SH | DFND | 0 | 0 | 5,650 | ||
ISHARES TR NASDAQ BIO FD | NASDAQ BIOTECH IN | 464287556 | 1,945 | 8,565 | SH | DFND | 500 | 0 | 8,065 | ||
ISHARES DJ US REGIONAL BANKS | COM | 464288778 | 2,911 | 88,060 | SH | DFND | 9,000 | 0 | 79,060 | ||
ISHARES US MEDICAL DEVICES ETF | COM | 464288810 | 6,706 | 72,255 | SH | DFND | 2,750 | 0 | 69,505 | ||
JPMORGAN CHASE& CO | COM | 46625H100 | 8,195 | 140,128 | SH | DFND | 16,625 | 0 | 123,503 | ||
JACOBS ENGINEERING GROUP INC | COM | 469814107 | 3,502 | 55,604 | SH | DFND | 1,600 | 0 | 54,004 | ||
JOHNSON& JOHNSON | COM | 478160104 | 8,752 | 95,551 | SH | DFND | 11,195 | 0 | 84,356 | ||
KAYNE ANDERSON MLP INVESTMENT | COM | 486606106 | 7,239 | 181,667 | SH | DFND | 21,245 | 0 | 160,422 | ||
KIMBERLY CLARK | COM | 494368103 | 551 | 5,270 | SH | DFND | 4,170 | 0 | 1,100 | ||
KINDER MORGAN ENERGY PTNRS | COM | 494550106 | 289 | 3,581 | SH | DFND | 0 | 0 | 3,581 | ||
KRAFT FOODS GROUP INC | COM | 50076Q106 | 5,958 | 110,520 | SH | DFND | 8,535 | 0 | 101,985 | ||
LITMAN GREGORY MASTERS INTL FD | INSTITUTIONAL CLA | 53700T207 | 189 | 10,455 | SH | SOLE | 10,455 | 0 | 0 | ||
LOWES CO INC | COM | 548661107 | 2,729 | 55,066 | SH | DFND | 675 | 0 | 54,391 | ||
MARKET VECTORS ETF TR OIL SVCS | COM | 57060U191 | 260 | 5,400 | SH | DFND | 2,400 | 0 | 3,000 | ||
MATTHEWS ASIA DIVIDEND FUND | FUND | 577125107 | 3,590 | 230,100 | SH | DFND | 4,793 | 0 | 225,306 | ||
MATTHEWS PACIFIC TIGER FUND | FUND | 577130107 | 5,400 | 216,089 | SH | DFND | 13,148 | 0 | 202,940 | ||
MATTHEWS ASIAN GROWTH& | INCOME FUND | 577130206 | 297 | 15,719 | SH | DFND | 4,012 | 0 | 11,706 | ||
MCDONALDS CORP | COM | 580135101 | 441 | 4,550 | SH | DFND | 3,450 | 0 | 1,100 | ||
MERCK& CO. INC. | COM | 58933Y105 | 4,565 | 91,204 | SH | DFND | 2,160 | 0 | 89,044 | ||
MESABI TRUST CTF BEN INT | ROYALTY TRUST | 590672101 | 220 | 9,900 | SH | DFND | 0 | 0 | 9,900 | ||
METLIFE INC | COM | 59156R108 | 7,978 | 147,952 | SH | DFND | 10,280 | 0 | 137,672 | ||
MICROSOFT CORP | COM | 594918104 | 10,042 | 268,433 | SH | DFND | 19,800 | 0 | 248,633 | ||
MID AMERICA APARTMENT COM. | COM | 59522J103 | 800 | 13,175 | SH | DFND | 1,575 | 0 | 11,600 | ||
MONDELEZ INTERNATIONAL INC | COM | 609207105 | 304 | 8,603 | SH | DFND | 1,200 | 0 | 7,403 | ||
MONSANTO COMPANY | COM | 61166W101 | 214 | 1,833 | SH | DFND | 0 | 0 | 1,833 | ||
NATIONAL RETAIL PROPERTIES INC | COM | 637417106 | 956 | 31,525 | SH | DFND | 1,050 | 0 | 30,475 | ||
NESTLE SA SPNSRD ADR REP RG SH | COM | 641069406 | 256 | 3,485 | SH | DFND | 2,100 | 0 | 1,385 | ||
NEXTERA ENERGY INC | COM | 65339F101 | 749 | 8,750 | SH | DFND | 3,500 | 0 | 5,250 | ||
NORTHEAST UTILITIES | COM | 664397106 | 1,002 | 23,635 | SH | DFND | 0 | 0 | 23,635 | ||
NOVO-NORDISK A-S ADR F | 1 ADR REP 1 ORD | 670100205 | 417 | 2,259 | SH | DFND | 1,795 | 0 | 464 | ||
OCCIDENTAL PETROLEUM | COM | 674599105 | 7,648 | 80,418 | SH | DFND | 4,715 | 0 | 75,703 | ||
ORACLE CORP | COM | 68389X105 | 10,404 | 271,916 | SH | DFND | 20,375 | 0 | 251,541 | ||
PPG INDUSTRIES | COM | 693506107 | 247 | 1,300 | SH | DFND | 200 | 0 | 1,100 | ||
PPL CORP | COM | 69351T106 | 1,106 | 36,740 | SH | DFND | 800 | 0 | 35,940 | ||
DREYFUS MID CAP INDEX FUND | FUND | 712223106 | 234 | 6,375 | SH | SOLE | 6,375 | 0 | 0 | ||
PEPSICO INCORPORATED | COM | 713448108 | 5,470 | 65,948 | SH | DFND | 5,900 | 0 | 60,048 | ||
PFIZER INC | COM | 717081103 | 433 | 14,132 | SH | DFND | 2,683 | 0 | 11,449 | ||
PHILIP MORRIS INTL INC | COM | 718172109 | 356 | 4,081 | SH | DFND | 0 | 0 | 4,081 | ||
PHILLIPS 66 | COM | 718546104 | 282 | 3,658 | SH | DFND | 0 | 0 | 3,658 | ||
POWERSHARES ETF TRUST | WATER RESOURCE | 73935X575 | 1,943 | 74,100 | SH | DFND | 8,800 | 0 | 65,300 | ||
POWERSHARES DYNAMIC | PHARMACEUTICALS | 73935X799 | 778 | 14,550 | SH | DFND | 0 | 0 | 14,550 | ||
PRICE T ROWE GROWTH STOCK FD | FUND | 741479109 | 263 | 5,006 | SH | SOLE | 5,006 | 0 | 0 | ||
PROCTER AND GAMBLE COMPANY | COM | 742718109 | 3,555 | 43,666 | SH | DFND | 4,750 | 0 | 38,916 | ||
QUALCOMM INC. | COM | 747525103 | 6,588 | 88,731 | SH | DFND | 3,455 | 0 | 85,276 | ||
T ROWE PRICE EQUITY INCOME FD | FUND | 779547108 | 212 | 6,450 | SH | DFND | 4,750 | 0 | 1,700 | ||
T ROWE PRICE INTL STOCK FUND | FUND | 77956H203 | 188 | 11,555 | SH | DFND | 9,119 | 0 | 2,435 | ||
ROYAL BANK CANADA MONTREAL QUE | COM | 780087102 | 336 | 5,000 | SH | DFND | 0 | 0 | 5,000 | ||
GUGGENHEIM S&P 500 EQUAL | WEIGHT | 78355W106 | 328 | 4,600 | SH | DFND | 0 | 0 | 4,600 | ||
S&P 500 DEPOSITARY RECEIPTS | COM | 78462F103 | 866 | 4,687 | SH | DFND | 850 | 0 | 3,837 | ||
SPDR GOLD TRUST | COM | 78463V107 | 255 | 2,200 | SH | DFND | 1,400 | 0 | 800 | ||
SPDR SERIES TRUST S&P BIOTECH | COM | 78464A870 | 3,382 | 25,978 | SH | DFND | 3,065 | 0 | 22,913 | ||
SCHLUMBERGER LIMITED | COM | 806857108 | 9,518 | 105,627 | SH | DFND | 9,200 | 0 | 96,427 | ||
SCHWAB INTL INDEX FUND | SELECT SHARES | 808509830 | 208 | 10,461 | SH | DFND | 0 | 0 | 10,461 | ||
SCHWAB S&P 500 INDEX FUN | D - SELECT SHARES | 808509855 | 687 | 23,809 | SH | DFND | 0 | 0 | 23,809 | ||
SCHWAB 1000 FUND | FUND | 808517106 | 771 | 15,847 | SH | DFND | 860 | 0 | 14,986 | ||
SCHWAB US LARGE CAP | COM | 808524201 | 1,133 | 25,700 | SH | DFND | 800 | 0 | 24,900 | ||
SECT SPDR MATERIALS FUND | COM | 81369Y100 | 220 | 4,750 | SH | DFND | 3,800 | 0 | 950 | ||
SECT SPDR CONS DISCR SELECT | COM | 81369Y407 | 354 | 5,300 | SH | DFND | 0 | 0 | 5,300 | ||
AMEX FINANCIAL SELECT SPDR | COM | 81369Y605 | 261 | 11,950 | SH | DFND | 400 | 0 | 11,550 | ||
AMEX INDUSTRIAL SELECT SPDR | COM | 81369Y704 | 251 | 4,805 | SH | DFND | 0 | 0 | 4,805 | ||
SECT SPDR THE UTILITES SEL FD | COM | 81369Y886 | 1,077 | 28,353 | SH | DFND | 6,623 | 0 | 21,730 | ||
STARWOOD PROPERTY TRUST, INC. | COM | 85571B105 | 10,280 | 371,135 | SH | DFND | 31,400 | 0 | 339,735 | ||
SYNGENTA AG SPONSORED ADR'S | COM | 87160A100 | 1,256 | 15,717 | SH | DFND | 1,600 | 0 | 14,117 | ||
TARGET CORP | COM | 87612E106 | 4,260 | 67,334 | SH | DFND | 2,250 | 0 | 65,084 | ||
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 8,941 | 80,298 | SH | DFND | 3,125 | 0 | 77,173 | ||
3M CO | COM | 88579Y101 | 1,201 | 8,560 | SH | DFND | 4,160 | 0 | 4,400 | ||
TORCHMARK CORP | COM | 891027104 | 315 | 4,025 | SH | DFND | 0 | 0 | 4,025 | ||
TORTOISE ENERGY INFRSTRC | COM | 89147L100 | 510 | 10,700 | SH | DFND | 0 | 0 | 10,700 | ||
TORTOISE MLP FUND, INC. | COM | 89148B101 | 3,612 | 132,061 | SH | DFND | 9,275 | 0 | 122,786 | ||
UNION PACIFIC CORPORATION | COM | 907818108 | 332 | 1,976 | SH | DFND | 400 | 0 | 1,576 | ||
UNITED PARCEL SERVICE -CL B | COM | 911312106 | 6,749 | 64,231 | SH | DFND | 3,925 | 0 | 60,306 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 6,075 | 53,379 | SH | DFND | 6,805 | 0 | 46,574 | ||
VANGUARD EQUITY INCOME FUND | FUND | 921921102 | 201 | 6,766 | SH | DFND | 540 | 0 | 6,225 | ||
VANGUARD INFORMATION TECH ETF | COM | 92204A702 | 2,104 | 23,500 | SH | DFND | 0 | 0 | 23,500 | ||
VENTAS INC | COM | 92276F100 | 1,329 | 23,198 | SH | DFND | 0 | 0 | 23,198 | ||
VANGUARD 500 INDEX FUND | FUND | 922908108 | 1,132 | 6,645 | SH | DFND | 1,982 | 0 | 4,663 | ||
VANGUARD TOTAL STOCK MKT | COM | 922908769 | 384 | 4,000 | SH | DFND | 0 | 0 | 4,000 | ||
VERIZON COMMUNICATIONS | COM | 92343V104 | 608 | 12,378 | SH | DFND | 5,691 | 0 | 6,687 | ||
VISA INC-CLASS A SHRS | COM | 92826C839 | 3,884 | 17,440 | SH | DFND | 800 | 0 | 16,640 | ||
VODAFONE GROUP PLC-AP ADR | COM | 92857W209 | 203 | 5,165 | SH | DFND | 1,793 | 0 | 3,372 | ||
WALGREEN CO | COM | 931422109 | 365 | 6,350 | SH | DFND | 0 | 0 | 6,350 | ||
WASTE MANAGEMENT INC. | COM | 94106L109 | 741 | 16,524 | SH | DFND | 0 | 0 | 16,524 | ||
WELLS FARGO& CO (NEW) | COM | 949746101 | 1,399 | 30,820 | SH | DFND | 8,276 | 0 | 22,544 | ||
ENSCO PLC CLASS A | COM | G3157S106 | 1,957 | 34,220 | SH | DFND | 1,150 | 0 | 33,070 | ||
GOLAR LNG LTD BERMUDA | COM | G9456A100 | 4,217 | 116,210 | SH | DFND | 6,375 | 0 | 109,835 | ||
WEATHERFORD INTERNATIONAL LTD | COM | H27013103 | 871 | 56,230 | SH | DFND | 4,000 | 0 | 52,230 | ||
PENTAIR LTD | COM | H6169Q108 | 7,414 | 95,457 | SH | DFND | 5,278 | 0 | 90,179 | ||
TYCO INTERNATIONAL LTD | COM | H89128104 | 5,728 | 139,569 | SH | DFND | 6,950 | 0 | 132,619 | ||
UBS AG-NEW | COM | H89231338 | 5,164 | 268,250 | SH | DFND | 5,225 | 0 | 263,025 |