# EDGAR Filing Document

**Accession Number:** 0001010873
**File Stem:** 0001010873-23-000001
**Filing Date:** 2023-2
**Character Count:** 17826
**Document Hash:** 15fcc6b7a579b6e40a0c9d9b2c3a2028
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001010873-23-000001.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0001010873-23-000001

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230207

**DATE AS OF CHANGE**: 20230207

**EFFECTIVENESS DATE**: 20230207

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FRANKLIN STREET ADVISORS INC /NC
- **CENTRAL INDEX KEY:** 0001010873
- **IRS NUMBER:** 561749652
- **STATE OF INCORPORATION:** NC
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-05428
- **FILM NUMBER:** 23593743

**BUSINESS ADDRESS:**
- **STREET 1:** 1450 RALEIGH RD
- **STREET 2:** SUITE 300
- **CITY:** CHAPEL HILL
- **STATE:** NC
- **ZIP:** 27517
- **BUSINESS PHONE:** 9194892600

**MAIL ADDRESS:**
- **STREET 1:** 1450 RALEIGH RD
- **STREET 2:** STE 300
- **CITY:** CHAPEL HILL
- **STATE:** NC
- **ZIP:** 27517

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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:** FRANKLIN STREET ADVISORS INC /NC<br>**Address:** 1450 RALEIGH RD<br>STE 300<br>CHAPEL HILL, NC 27517

**Form 13F File Number:** 028-05428

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:** Diana H. Inman<br>**Title:** Assistant Vice President<br>**Phone:** 919-403-3011

**Signature, Place, and Date of Signing:**

Diana H. Inman  Chapel Hill, NC  02-07-2023<br>[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 are reported 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:** 150

**Form 13F Information Table Value Total:** $1053100

      (round to nearest dollar)

**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.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 3M CO COM | COM | 88579Y101 |  | 8413 | 70154 | SH |  | DFND |  | 69393 | 0 | 761 |
| ABBOTT LABORATORIES | COM | 002824100 |  | 294 | 2680 | SH |  | DFND |  | 2479 | 0 | 201 |
| ABBVIE INC COM | COM | 00287Y109 |  | 37164 | 229963 | SH |  | DFND |  | 225529 | 0 | 4434 |
| ACCENTURE PLC | COM | g1151c101 |  | 18681 | 70007 | SH |  | DFND |  | 68765 | 0 | 1242 |
| ACTIVISION BLIZZARD INC | COM | 00507v109 |  | 601 | 7851 | SH |  | DFND |  | 7043 | 0 | 808 |
| AEGLEA BIOTHERAPEUTICS INC | COM | 00773j103 |  | 48 | 105800 | SH |  | DFND |  | 105300 | 0 | 500 |
| AEGON NV - AMER REG SHS | COM | 007924103 |  | 230 | 45710 | SH |  | DFND |  | 45710 | 0 | 0 |
| AFLAC INC COM | COM | 001055102 |  | 21060 | 292740 | SH |  | DFND |  | 287325 | 0 | 5415 |
| ALPHABET INC CAP STK CL A | COM | 02079k305 |  | 3039 | 34447 | SH |  | DFND |  | 34447 | 0 | 0 |
| ALPHABET INC CAP STK CL C | COM | 02079k107 |  | 30357 | 342133 | SH |  | DFND |  | 338168 | 0 | 3965 |
| ALTRIA GROUP INC | COM | 02209s103 |  | 883 | 19319 | SH |  | DFND |  | 19319 | 0 | 0 |
| AMAZON.COM INC | COM | 023135106 |  | 20926 | 249115 | SH |  | DFND |  | 246835 | 0 | 2280 |
| AMER ELEC PWR INC COM | COM | 025537101 |  | 702 | 7390 | SH |  | DFND |  | 7390 | 0 | 0 |
| AMERICAN EXPRESS CO COM | COM | 025816109 |  | 23734 | 160634 | SH |  | DFND |  | 158646 | 0 | 1988 |
| AMGEN INC COM | COM | 031162100 |  | 10101 | 38461 | SH |  | DFND |  | 36986 | 0 | 1475 |
| APPLE INC COM | COM | 037833100 |  | 58626 | 451214 | SH |  | DFND |  | 443082 | 0 | 8131 |
| APPLIED MATERIALS INC | COM | 038222105 |  | 349 | 3580 | SH |  | DFND |  | 3580 | 0 | 0 |
| AT INC. | COM | 00206r102 |  | 8480 | 460640 | SH |  | DFND |  | 443191 | 0 | 17450 |
| AVERY-DENNISON | COM | 053611109 |  | 203 | 1121 | SH |  | DFND |  | 1121 | 0 | 0 |
| AXION INTERNATIONAL HOLDINGS I | COM | 05462d101 |  | 0 | 95714 | SH |  | DFND |  | 95714 | 0 | 0 |
| BANK OF AMERICA CORP | COM | 060505104 |  | 348 | 10498 | SH |  | DFND |  | 10498 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL CL | COM | 084670702 |  | 5794 | 18756 | SH |  | DFND |  | 18657 | 0 | 99 |
| BIOCRYST PHARMACEUTICALS | COM | 09058v103 |  | 574 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| BIOSIGNIA INC | COM | 090998345 |  | 0 | 130000 | SH |  | DFND |  | 130000 | 0 | 0 |
| BLACK STONE MINERALS LP | COM | 09225m101 |  | 337 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| BLACKROCK INC COM | COM | 09247X101 |  | 34045 | 48044 | SH |  | DFND |  | 47241 | 0 | 803 |
| BOOKING HOLDINGS INC | COM | 09857l108 |  | 280 | 139 | SH |  | DFND |  | 139 | 0 | 0 |
| BRISTOLMYERS SQUIBB | COM | 110122108 |  | 759 | 10546 | SH |  | DFND |  | 9677 | 0 | 869 |
| CANO HEALTH INC CL A | COM | 13781y103 |  | 69 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| CAPITAL ONE FINANCIAL | COM | 14040h105 |  | 402 | 4324 | SH |  | DFND |  | 4324 | 0 | 0 |
| CATERPILLAR INC | COM | 149123101 |  | 1677 | 7000 | SH |  | DFND |  | 7000 | 0 | 0 |
| CDW CORP COM USD0.01 | COM | 12514g108 |  | 237 | 1326 | SH |  | DFND |  | 1326 | 0 | 0 |
| CHEVRON CORPORATION | COM | 166764100 |  | 14431 | 80399 | SH |  | DFND |  | 79144 | 0 | 1255 |
| CISCO SYS INC COM | COM | 17275R102 |  | 18648 | 391428 | SH |  | DFND |  | 382223 | 0 | 9205 |
| CME GROUP INC COM | COM | 12572Q105 |  | 29382 | 174729 | SH |  | DFND |  | 172105 | 0 | 2624 |
| COCA COLA COMPANY | COM | 191216100 |  | 28746 | 451910 | SH |  | DFND |  | 445021 | 0 | 6889 |
| COMCAST CORP NEW CL A | COM | 20030n101 |  | 248 | 7106 | SH |  | DFND |  | 7106 | 0 | 0 |
| COMMONWEALTH BANKSHARES INC (D | COM | 202736104 |  | 0 | 11761 | SH |  | DFND |  | 11761 | 0 | 0 |
| COSTCO WHOLESALE | COM | 22160k105 |  | 920 | 2015 | SH |  | DFND |  | 2015 | 0 | 0 |
| CUMMINS INC | COM | 231021106 |  | 9206 | 37995 | SH |  | DFND |  | 36844 | 0 | 1151 |
| CURIS INC. | COM | 231269200 |  | 56 | 102550 | SH |  | DFND |  | 102550 | 0 | 0 |
| DANAHER CORP COM | COM | 235851102 |  | 21250 | 80060 | SH |  | DFND |  | 79212 | 0 | 848 |
| DISNEY WALT CO | COM | 254687106 |  | 15035 | 173057 | SH |  | DFND |  | 171534 | 0 | 1523 |
| DOLLAR GENERAL CORP | COM | 256677105 |  | 25210 | 102375 | SH |  | DFND |  | 101423 | 0 | 952 |
| DOLLAR TREE STORES INC | COM | 256746108 |  | 217 | 1533 | SH |  | DFND |  | 1533 | 0 | 0 |
| DOMINION RES INC VA NEW | COM | 25746u109 |  | 457 | 7446 | SH |  | DFND |  | 6695 | 0 | 750 |
| DOW INC | COM | 260557103 |  | 436 | 8651 | SH |  | DFND |  | 8651 | 0 | 0 |
| DRAFTKINGS NEW CL A | COM | 26142v105 |  | 228 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| DUKE ENERGY CORPORATION NEW | COM | 26441c204 |  | 2050 | 19901 | SH |  | DFND |  | 19516 | 0 | 385 |
| DUPONT DE NEMOURS INC. | COM | 26614n102 |  | 418 | 6085 | SH |  | DFND |  | 6085 | 0 | 0 |
| EATON CORP | COM | g29183103 |  | 225 | 1433 | SH |  | DFND |  | 1433 | 0 | 0 |
| ENBRIDGE INC | COM | 29250n105 |  | 299 | 7642 | SH |  | DFND |  | 7642 | 0 | 0 |
| EXXON MOBIL CORP COM | COM | 30231G102 |  | 46222 | 419053 | SH |  | DFND |  | 412211 | 0 | 6842 |
| FERGUSON PLC | COM | g3421j106 |  | 270 | 2125 | SH |  | DFND |  | 2125 | 0 | 0 |
| FIBROGEN INC | COM | 31572q808 |  | 160 | 10000 | SH |  | DFND |  | 10000 | 0 | 0 |
| FIRST BANCORP NORTH CAROLINA | COM | 318910106 |  | 345 | 8055 | SH |  | DFND |  | 8055 | 0 | 0 |
| FIRST HORIZON NATIONAL CORP | COM | 320517105 |  | 389 | 15883 | SH |  | DFND |  | 15883 | 0 | 0 |
| FIVE BELOW | COM | 33829m101 |  | 8048 | 45500 | SH |  | DFND |  | 45249 | 0 | 251 |
| FNB CORP PA | COM | 302520101 |  | 7011 | 537219 | SH |  | DFND |  | 537219 | 0 | 0 |
| FORTUNE BRANDS INNOVATIONS INC | COM | 34964c106 |  | 310 | 5433 | SH |  | DFND |  | 5433 | 0 | 0 |
| G1 THERAPEUTICS INC | COM | 3621lq109 |  | 126 | 23160 | SH |  | DFND |  | 23160 | 0 | 0 |
| GENERAL DYNAMICS CRP | COM | 369550108 |  | 1451 | 5850 | SH |  | DFND |  | 5850 | 0 | 0 |
| GENERAL MILLS INC | COM | 370334104 |  | 7048 | 84051 | SH |  | DFND |  | 80661 | 0 | 3390 |
| GILEAD SCIENCES INC COM | COM | 375558103 |  | 650 | 7573 | SH |  | DFND |  | 7573 | 0 | 0 |
| GOLDMAN SACHS BDC INC | COM | 38147u107 |  | 298 | 21729 | SH |  | DFND |  | 21729 | 0 | 0 |
| GOLDMAN SACHS GROUP INC | COM | 38141g104 |  | 330 | 960 | SH |  | DFND |  | 960 | 0 | 0 |
| HERSHEY FOODS | COM | 427866108 |  | 933 | 4030 | SH |  | DFND |  | 4030 | 0 | 0 |
| HOME DEPOT INC COM | COM | 437076102 |  | 3189 | 10097 | SH |  | DFND |  | 9892 | 0 | 205 |
| HONEYWELL INTERNATIONAL INC CO | COM | 438516106 |  | 13719 | 64018 | SH |  | DFND |  | 63515 | 0 | 503 |
| IDEX CORPORATION | COM | 45167r104 |  | 5508 | 24125 | SH |  | DFND |  | 24125 | 0 | 0 |
| IDEXX LABORATORIES | COM | 45168d104 |  | 5491 | 13460 | SH |  | DFND |  | 13460 | 0 | 0 |
| ILLINOIS TOOL WORKS | COM | 452308109 |  | 930 | 4220 | SH |  | DFND |  | 4220 | 0 | 0 |
| INFLARX NV | COM | n44821101 |  | 233 | 75100 | SH |  | DFND |  | 75100 | 0 | 0 |
| INTEL CORP | COM | 458140100 |  | 458 | 17339 | SH |  | DFND |  | 17339 | 0 | 0 |
| INTL BUSINESS MACHINES | COM | 459200101 |  | 10117 | 71811 | SH |  | DFND |  | 68666 | 0 | 3145 |
| INTRA CELLULAR THERAPIES INC | COM | 46116x101 |  | 741 | 14008 | SH |  | DFND |  | 13983 | 0 | 25 |
| ISHARES COMEX GOLD TR | COM | 464285204 |  | 211 | 6090 | SH |  | DFND |  | 6090 | 0 | 0 |
| ISHARES TR DOW JONES SEL DIVID | COM | 464287168 |  | 1930 | 16000 | SH |  | DFND |  | 16000 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 21591 | 122222 | SH |  | DFND |  | 119914 | 0 | 2308 |
| JPMORGAN CHASE  CO | COM | 46625h100 |  | 25367 | 189167 | SH |  | DFND |  | 186217 | 0 | 2950 |
| KIMBERLY CLARK CORP | COM | 494368103 |  | 204 | 1500 | SH |  | DFND |  | 1500 | 0 | 0 |
| KKR  CO INC | COM | 48251w104 |  | 807 | 17375 | SH |  | DFND |  | 17375 | 0 | 0 |
| KROGER CO | COM | 501044101 |  | 330 | 7400 | SH |  | DFND |  | 7400 | 0 | 0 |
| LABORATORY CRP OF AMER HLDGS | COM | 50540r409 |  | 6028 | 25598 | SH |  | DFND |  | 25035 | 0 | 563 |
| LAUDER ESTEE COS INC CL A | COM | 518439104 |  | 14965 | 60314 | SH |  | DFND |  | 59725 | 0 | 589 |
| LILLY ELI  CO | COM | 532457108 |  | 352 | 962 | SH |  | DFND |  | 760 | 0 | 202 |
| LINDE PLC COM | COM | g5494j103 |  | 20986 | 64339 | SH |  | DFND |  | 63122 | 0 | 1217 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 16294 | 33492 | SH |  | DFND |  | 32817 | 0 | 675 |
| LOWE'S COS | COM | 548661107 |  | 10509 | 52745 | SH |  | DFND |  | 27610 | 0 | 25135 |
| MARRIOTT INTL NEW | COM | 571903202 |  | 331 | 2221 | SH |  | DFND |  | 2221 | 0 | 0 |
| MARTIN MARIETTA MATERIALS INC | COM | 573284106 |  | 339 | 1004 | SH |  | DFND |  | 1004 | 0 | 0 |
| MASCO CORP | COM | 574599106 |  | 218 | 4669 | SH |  | DFND |  | 4669 | 0 | 0 |
| MC DONALDS CORP | COM | 580135101 |  | 10041 | 38102 | SH |  | DFND |  | 36595 | 0 | 1507 |
| MERCK  CO INC NEW | COM | 58933y105 |  | 1650 | 14874 | SH |  | DFND |  | 14874 | 0 | 0 |
| META PLATFORMS INC. CL A | COM | 30303m102 |  | 10450 | 86841 | SH |  | DFND |  | 86297 | 0 | 544 |
| MICRONTECHNOLOGY | COM | 595112103 |  | 248 | 4955 | SH |  | DFND |  | 4955 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 53394 | 222642 | SH |  | DFND |  | 219287 | 0 | 3355 |
| MONDELEZ INTL INC COM | COM | 609207105 |  | 16504 | 247615 | SH |  | DFND |  | 245244 | 0 | 2371 |
| NEKTAR THERAPEUTICS | COM | 640268108 |  | 35 | 15500 | SH |  | DFND |  | 15500 | 0 | 0 |
| NEXTERA ENERGY INC | COM | 65339f101 |  | 1276 | 15264 | SH |  | DFND |  | 14862 | 0 | 402 |
| NIKE INC CL B | COM | 654106103 |  | 15528 | 132708 | SH |  | DFND |  | 131423 | 0 | 1285 |
| NORFOLK SOUTHERN CORP | COM | 655844108 |  | 3403 | 13810 | SH |  | DFND |  | 13810 | 0 | 0 |
| NORTHROP GRUMMAN CORP | COM | 666807102 |  | 426 | 780 | SH |  | DFND |  | 780 | 0 | 0 |
| NVIDIA CORP | COM | 67066g104 |  | 19315 | 132168 | SH |  | DFND |  | 130951 | 0 | 1217 |
| NXP SEMICONDUCTORS NV | COM | n6596x109 |  | 8310 | 52587 | SH |  | DFND |  | 52117 | 0 | 470 |
| ORACLE CORP COM | COM | 68389X105 |  | 2707 | 33121 | SH |  | DFND |  | 32887 | 0 | 234 |
| PAYCHEX INC | COM | 704326107 |  | 9313 | 80593 | SH |  | DFND |  | 77220 | 0 | 3373 |
| PAYPAL HOLDINGS INC | COM | 70450y103 |  | 16184 | 227241 | SH |  | DFND |  | 226152 | 0 | 1089 |
| PEPSICO INCORPORATED | COM | 713448108 |  | 1041 | 5764 | SH |  | DFND |  | 5764 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 1941 | 37875 | SH |  | DFND |  | 35132 | 0 | 2743 |
| PHILIP MORRIS INTL INC | COM | 718172109 |  | 905 | 8938 | SH |  | DFND |  | 8938 | 0 | 0 |
| PNC BK CORP COM | COM | 693475105 |  | 268 | 1700 | SH |  | DFND |  | 1700 | 0 | 0 |
| PROCTER  GAMBLE | COM | 742718109 |  | 9797 | 64641 | SH |  | DFND |  | 63122 | 0 | 1519 |
| PROQR THERAPEUTICS N.V. | COM | n71542109 |  | 555 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| PROTAGONIST THERAPEUTICS INC | COM | 74366E102 |  | 461 | 42220 | SH |  | DFND |  | 42000 | 0 | 220 |
| QUALCOMM INC COM | COM | 747525103 |  | 649 | 5900 | SH |  | DFND |  | 5900 | 0 | 0 |
| RAYONIER INC COM | COM | 754907103 |  | 247 | 7500 | SH |  | DFND |  | 7500 | 0 | 0 |
| RAYTHEON TECHNOLOGIES CORP COM | COM | 75513e101 |  | 21824 | 216248 | SH |  | DFND |  | 213272 | 0 | 2976 |
| ROCKWELL INTERNATIONAL | COM | 773903109 |  | 2017 | 7830 | SH |  | DFND |  | 7741 | 0 | 89 |
| ROYAL BANK OF CANADA | COM | 780087102 |  | 1167 | 12409 | SH |  | DFND |  | 12409 | 0 | 0 |
| SABINE ROYALTY TRUST UBI | COM | 785688102 |  | 861 | 10081 | SH |  | DFND |  | 10081 | 0 | 0 |
| SALESFORCE INC | COM | 79466l302 |  | 8746 | 65959 | SH |  | DFND |  | 65629 | 0 | 330 |
| SAVI MEDIA GROUP INC (NO VALUE | COM | 80517r207 |  | 0 | 294999 | SH |  | DFND |  | 294999 | 0 | 0 |
| SCHWAB (CHARLES) CORP | COM | 808513105 |  | 1531 | 18383 | SH |  | DFND |  | 17878 | 0 | 505 |
| SELECT SECTOR SPDR AMEX UTILIT | COM | 81369y886 |  | 7391 | 104838 | SH |  | DFND |  | 101841 | 0 | 2997 |
| SHERWIN WILLIAMS CO | COM | 824348106 |  | 322 | 1356 | SH |  | DFND |  | 1356 | 0 | 0 |
| SONY GROUP CORP | COM | 835699307 |  | 245 | 3211 | SH |  | DFND |  | 3211 | 0 | 0 |
| SOUTHERN CO | COM | 842587107 |  | 712 | 9977 | SH |  | DFND |  | 9977 | 0 | 0 |
| STARBUCKS CORP | COM | 855244109 |  | 23503 | 236924 | SH |  | DFND |  | 233254 | 0 | 3670 |
| STRYKER CORP | COM | 863667101 |  | 777 | 3180 | SH |  | DFND |  | 3180 | 0 | 0 |
| SUPERNUS PHARMACEUTICALS INC | COM | 868459108 |  | 713 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| TARGET CORPORATION | COM | 87612e106 |  | 1265 | 8490 | SH |  | DFND |  | 8490 | 0 | 0 |
| TESLA MOTORS INC | COM | 88160r101 |  | 351 | 2846 | SH |  | DFND |  | 2846 | 0 | 0 |
| TEXAS INSTRUMENTS | COM | 882508104 |  | 8130 | 49207 | SH |  | DFND |  | 47588 | 0 | 1619 |
| THERMO FISHER CORP COM | COM | 883556102 |  | 26069 | 47338 | SH |  | DFND |  | 46976 | 0 | 362 |
| TJX COMPANIES | COM | 872540109 |  | 22663 | 284709 | SH |  | DFND |  | 279795 | 0 | 4914 |
| TRUIST FINANCIAL CORP | COM | 89832q109 |  | 822 | 19108 | SH |  | DFND |  | 19108 | 0 | 0 |
| UNILEVER PLC-SPONSORED ADR | COM | 904767704 |  | 231 | 4581 | SH |  | DFND |  | 4581 | 0 | 0 |
| UNIONPACIFIC CORP | COM | 907818108 |  | 207 | 999 | SH |  | DFND |  | 999 | 0 | 0 |
| UNITED HEALTHCARE CORP | COM | 91324p102 |  | 1130 | 2131 | SH |  | DFND |  | 2131 | 0 | 0 |
| UNITED PARCEL SERVICE - CL B | COM | 911312106 |  | 14415 | 82922 | SH |  | DFND |  | 80802 | 0 | 2120 |
| VERIZON COMMUNICATIONS | COM | 92343v104 |  | 1507 | 38245 | SH |  | DFND |  | 38245 | 0 | 0 |
| VIBE RECORDS INC NEW COM (DELI | COM | 925563108 |  | 0 | 11000 | SH |  | DFND |  | 11000 | 0 | 0 |
| WALMART INC. | COM | 931142103 |  | 8873 | 62580 | SH |  | DFND |  | 60188 | 0 | 2392 |
| WASTE MANAGEMENT INC DEL | COM | 94106l109 |  | 9500 | 60557 | SH |  | DFND |  | 58971 | 0 | 1586 |
| WELLS FARGO  CO NEW | COM | 949746101 |  | 1836 | 44460 | SH |  | DFND |  | 44460 | 0 | 0 |
| ZOETIS INC | COM | 98978v103 |  | 10625 | 72499 | SH |  | DFND |  | 71801 | 0 | 698 |
| iSHARE MSCI TAIWAN CAPPED ETF | ADR | 46434g772 |  | 402 | 10000 | SH |  | DFND |  | 10000 | 0 | 0 |
| CALL (NUE) NUCOR CORP COM JAN | CALL | 5512959cu |  | 303 | 100 | SH |  | DFND |  | 100 | 0 | 0 |
| FOREST LABORATORIES CONTINGENT | WT | 187cvr907 |  | 0 | 45000 | SH |  | DFND |  | 45000 | 0 | 0 |

---