Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q2 2013 (Next →)

Filing Date: Aug 12, 2013

Total Value: $257M (100.0% shares, 0.0% debt)

Holdings (19)

— WELLS FARGO & CO NEW 17.1%

Value $44M Shares 36,977 Share Price $1190.01 Est. Cost/Share $1190.01 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.8%

Value $32.93M Shares 1,323,738 Share Price $24.88 Est. Cost/Share $24.88 Unrealized @ Report Date —

— BANK OF AMERICA CORPORATION 12.3%

Value $31.6M Shares 28,372 Share Price $1113.74 Est. Cost/Share $1113.74 Unrealized @ Report Date —

— BARCLAYS BANK PLC 11.3%

Value $28.93M Shares 1,156,719 Share Price $25.01 Est. Cost/Share $25.01 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 11.1%

Value $28.43M Shares 1,389,011 Share Price $20.47 Est. Cost/Share $20.47 Unrealized @ Report Date —

— BARCLAYS BANK PLC 9.8%

Value $25.23M Shares 996,266 Share Price $25.33 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BARCLAYS BANK PLC 7.8%

Value $20.12M Shares 796,716 Share Price $25.25 Est. Cost/Share $25.25 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 6.2%

Value $15.9M Shares 1,224,706 Share Price $12.98 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.8%

Value $12.33M Shares 677,144 Share Price $18.21 Est. Cost/Share $18.21 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 2.6%

Value $6.753M Shares 302,681 Share Price $22.31 Est. Cost/Share $22.31 Unrealized @ Report Date —

— COMMONWEALTH REIT 1.1%

Value $2.907M Shares 125,781 Share Price $23.11 Est. Cost/Share $23.11 Unrealized @ Report Date —

— BARCLAYS BK PLC 0.8%

Value $1.996M Shares 80,773 Share Price $24.71 Est. Cost/Share $24.71 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $1.676M Shares 79,655 Share Price $21.04 Est. Cost/Share $21.04 Unrealized @ Report Date —

— BB&T CORP 0.5%

Value $1.202M Shares 52,525 Share Price $22.88 Est. Cost/Share $22.88 Unrealized @ Report Date —

— KEYCORP NEW 0.5%

Value $1.166M Shares 9,362 Share Price $124.55 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $604K Shares 28,459 Share Price $21.22 Est. Cost/Share $21.22 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $517K Shares 25,033 Share Price $20.65 Est. Cost/Share $20.65 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $360K Shares 16,482 Share Price $21.84 Est. Cost/Share $21.84 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $267K Shares 10,623 Share Price $25.13 Est. Cost/Share $25.13 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO & CO NEW	36,977	$44M	17.1%	$1190.01	$1190.01	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,323,738	$32.93M	12.8%	$24.88	$24.88	—	ADR A 1/40PF A	404280604
—	BANK OF AMERICA CORPORATION	28,372	$31.6M	12.3%	$1113.74	$1113.74	—	7.25%CNV PFD L	060505682
—	BARCLAYS BANK PLC	1,156,719	$28.93M	11.3%	$25.01	$25.01	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	1,389,011	$28.43M	11.1%	$20.47	$20.47	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	996,266	$25.23M	9.8%	$25.33	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BANK PLC	796,716	$20.12M	7.8%	$25.25	$25.25	—	ADS7.75%PFD S4	06739H511
—	BLACKROCK CR ALLCTN INC TR	1,224,706	$15.9M	6.2%	$12.98	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	677,144	$12.33M	4.8%	$18.21	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	302,681	$6.753M	2.6%	$22.31	$22.31	—	ADR PREF SHS Q	780097754
—	COMMONWEALTH REIT	125,781	$2.907M	1.1%	$23.11	$23.11	—	6.50% PFD CUM CO	203233408
—	BARCLAYS BK PLC	80,773	$1.996M	0.8%	$24.71	$24.71	—	ADR 2 PREF 2	06739F390
—	ROYAL BK SCOTLAND GROUP PLC	79,655	$1.676M	0.7%	$21.04	$21.04	—	ADR PREF SER N	780097770
—	BB&T CORP	52,525	$1.202M	0.5%	$22.88	$22.88	—	DP SHS RP PF G	054937800
—	KEYCORP NEW	9,362	$1.166M	0.5%	$124.55	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	28,459	$604K	0.2%	$21.22	$21.22	—	SP ADR PREF M	780097796
—	ROYAL BK SCOTLAND GROUP PLC	25,033	$517K	0.2%	$20.65	$20.65	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	16,482	$360K	0.1%	$21.84	$21.84	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$267K	0.1%	$25.13	$25.13	—	SPON ADR C	638539882