DUBUQUE BANK & TRUST CO

PrivateCIK: 933482

Location

DUBUQUE, IA

245

Positions

$748.42M

Total AUM (reported)

13.96M

Total Shares

Allocation by class

COM$283.37M37.9%

VALUE ETF$49.90M6.7%

GROWTH ETF$47.26M6.3%

INTRMDT MUNI ETF$36.98M4.9%

EAFE VALUE ETF$31.05M4.1%

EAFE GRWTH ETF$28.84M3.9%

NUVEEN BLMBRG SH$18.04M2.4%

Portfolio Concentration

Top 3$144.82M19.4%

4–10$172.05M23.0%

11–25$153.06M20.5%

Rest$278.50M37.2%

Top 3 weight

19.4%

Top 10 weight

42.3%

Voting Authority Distribution

Total shares with voting rights: 13.96M

Sole

Full voting authority

12.23M

% of voting shares87.6%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

1.73M

% of voting shares12.4%

Investment Discretion (by position count)

Sole137

Shared0

Other108

Dominant voting typeSole · 87.6% of voting shares

Institutional Holdings245

Rows:

Vanguard ETF/USA

DFND

VALUE ETF

Shares361.75K

TypeSH

Market value$49.90M

6.67%

Sole

361.75K

Shared

0.00

None

0.00

Heartland Financial USA Inc

DFND

COM

Shares1.62M

TypeSH

Market value$47.67M

6.37%

Sole

47.52K

Shared

0.00

None

1.57M

Vanguard ETF/USA

DFND

GROWTH ETF

Shares173.56K

TypeSH

Market value$47.26M

6.31%

Sole

173.56K

Shared

0.00

None

0.00

Van Eck Associates Corp

DFND

INTRMDT MUNI ETF

Shares838.58K

TypeSH

Market value$36.98M

4.94%

Sole

838.58K

Shared

0.00

None

0.00

ISHARES

DFND

EAFE VALUE ETF

Shares634.50K

TypeSH

Market value$31.05M

4.15%

Sole

611.62K

Shared

0.00

None

22.88K

BlackRock Fund Advisors

DFND

EAFE GRWTH ETF

Shares334.19K

TypeSH

Market value$28.84M

3.85%

Sole

321.82K

Shared

0.00

None

12.37K

Apple Inc

DFND

COM

Shares122.72K

TypeSH

Market value$21.01M

2.81%

Sole

117.87K

Shared

0.00

None

4.85K

MICROSOFT CORP

DFND

COM

Shares58.96K

TypeSH

Market value$18.62M

2.49%

Sole

56.32K

Shared

0.00

None

2.64K

Nuveen Asset Management LLC

DFND

NUVEEN BLMBRG SH

Shares390.31K

TypeSH

Market value$18.04M

2.41%

Sole

390.31K

Shared

0.00

None

0.00

INDEXIQ ETF TRUST/USA

DFND

HEDGE MLTI ETF

Shares582.89K

TypeSH

Market value$17.50M

2.34%

Sole

582.89K

Shared

0.00

None

0.00

JP Morgan ETFs/USA

DFND

EQUITY PREMIUM

Shares287.30K

TypeSH

Market value$15.39M

2.06%

Sole

282.30K

Shared

0.00

None

ISHARES TRUST

DFND

1 3 YR TREAS BD

Shares165.44K

TypeSH

Market value$13.40M

1.79%

Sole

153.58K

Shared

0.00

None

11.86K

ALPHABET INC

DFND

CAP STK CL A

Shares98.44K

TypeSH

Market value$12.88M

1.72%

Sole

92.11K

Shared

0.00

None

6.33K

VANGUARD ETF/USA

DFND

FTSE EMR MKT ETF

Shares308.98K

TypeSH

Market value$12.11M

1.62%

Sole

298.07K

Shared

0.00

None

10.90K

Franklin LibertyShares ETFs/US

DFND

US LOW VOLATILIT

Shares255.09K

TypeSH

Market value$12.10M

1.62%

Sole

255.09K

Shared

0.00

None

0.00

Vanguard Group Inc/The

DFND

TOTAL BND MRKT

Shares137.41K

TypeSH

Market value$9.59M

1.28%

Sole

137.41K

Shared

0.00

None

0.00

Broadcom Inc

DFND

COM

Shares11.06K

TypeSH

Market value$9.18M

1.23%

Sole

10.34K

Shared

0.00

None

720.00

VANGUARD ETF/USA

DFND

SM CP VAL ETF

Shares57.57K

TypeSH

Market value$9.18M

1.23%

Sole

56.57K

Shared

0.00

None

Johnson & Johnson

DFND

COM

Shares57.66K

TypeSH

Market value$8.98M

1.20%

Sole

54.60K

Shared

0.00

None

3.06K

Vanguard ETF/USA

DFND

SML CP GRW ETF

Shares41.58K

TypeSH

Market value$8.91M

1.19%

Sole

40.87K

Shared

0.00

None

710.00

JPMorgan Chase & Co

DFND

COM

Shares59.63K

TypeSH

Market value$8.65M

1.16%

Sole

56.55K

Shared

0.00

None

3.09K

Amgen Inc

DFND

COM

Shares32.09K

TypeSH

Market value$8.63M

1.15%

Sole

30.04K

Shared

0.00

None

2.05K

VANGUARD ETF/USA

DFND

SHRT TRM CORP BD

Shares110.72K

TypeSH

Market value$8.32M

1.11%

Sole

110.72K

Shared

0.00

None

0.00

Chevron Corp

DFND

COM

Shares47.67K

TypeSH

Market value$8.04M

1.07%

Sole

45.81K

Shared

0.00

None

1.86K

CISCO SYSTEMS

DFND

COM

Shares143.28K

TypeSH

Market value$7.70M

1.03%

Sole

134.01K

Shared

0.00

None

9.28K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
Vanguard ETF/USADFND	VALUE ETF	361.75K	SH	$49.90M 6.67%	361.75K	0.00
Heartland Financial USA IncDFND	COM	1.62M	SH	$47.67M 6.37%	47.52K	1.57M
Vanguard ETF/USADFND	GROWTH ETF	173.56K	SH	$47.26M 6.31%	173.56K	0.00
Van Eck Associates CorpDFND	INTRMDT MUNI ETF	838.58K	SH	$36.98M 4.94%	838.58K	0.00
ISHARESDFND	EAFE VALUE ETF	634.50K	SH	$31.05M 4.15%	611.62K	22.88K
BlackRock Fund AdvisorsDFND	EAFE GRWTH ETF	334.19K	SH	$28.84M 3.85%	321.82K	12.37K
Apple IncDFND	COM	122.72K	SH	$21.01M 2.81%	117.87K	4.85K
MICROSOFT CORPDFND	COM	58.96K	SH	$18.62M 2.49%	56.32K	2.64K
Nuveen Asset Management LLCDFND	NUVEEN BLMBRG SH	390.31K	SH	$18.04M 2.41%	390.31K	0.00
INDEXIQ ETF TRUST/USADFND	HEDGE MLTI ETF	582.89K	SH	$17.50M 2.34%	582.89K	0.00
JP Morgan ETFs/USADFND	EQUITY PREMIUM	287.30K	SH	$15.39M 2.06%	282.30K	5K
ISHARES TRUSTDFND	1 3 YR TREAS BD	165.44K	SH	$13.40M 1.79%	153.58K	11.86K
ALPHABET INCDFND	CAP STK CL A	98.44K	SH	$12.88M 1.72%	92.11K	6.33K
VANGUARD ETF/USADFND	FTSE EMR MKT ETF	308.98K	SH	$12.11M 1.62%	298.07K	10.90K
Franklin LibertyShares ETFs/USDFND	US LOW VOLATILIT	255.09K	SH	$12.10M 1.62%	255.09K	0.00
Vanguard Group Inc/TheDFND	TOTAL BND MRKT	137.41K	SH	$9.59M 1.28%	137.41K	0.00
Broadcom IncDFND	COM	11.06K	SH	$9.18M 1.23%	10.34K	720.00
VANGUARD ETF/USADFND	SM CP VAL ETF	57.57K	SH	$9.18M 1.23%	56.57K	1K
Johnson & JohnsonDFND	COM	57.66K	SH	$8.98M 1.20%	54.60K	3.06K
Vanguard ETF/USADFND	SML CP GRW ETF	41.58K	SH	$8.91M 1.19%	40.87K	710.00
JPMorgan Chase & CoDFND	COM	59.63K	SH	$8.65M 1.16%	56.55K	3.09K
Amgen IncDFND	COM	32.09K	SH	$8.63M 1.15%	30.04K	2.05K
VANGUARD ETF/USADFND	SHRT TRM CORP BD	110.72K	SH	$8.32M 1.11%	110.72K	0.00
Chevron CorpDFND	COM	47.67K	SH	$8.04M 1.07%	45.81K	1.86K
CISCO SYSTEMSDFND	COM	143.28K	SH	$7.70M 1.03%	134.01K	9.28K

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