Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q3 2013 (← Previous) (Next →)

Filing Date: Nov 6, 2013

Total Value: $246M (100.0% shares, 0.0% debt)

Holdings (18)

— WELLS FARGO & CO NEW 24.2%

Value $59.62M Shares 52,413 Share Price $1137.50 Est. Cost/Share $1174.55 Unrealized @ Report Date —

— HSBC HLDGS PLC 13.0%

Value $32.14M Shares 1,303,978 Share Price $24.65 Est. Cost/Share $24.88 Unrealized @ Report Date —

— BARCLAYS BANK PLC 11.7%

Value $28.85M Shares 1,154,125 Share Price $25.00 Est. Cost/Share $25.01 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 11.1%

Value $27.23M Shares 1,373,182 Share Price $19.83 Est. Cost/Share $20.47 Unrealized @ Report Date —

— BARCLAYS BANK PLC 8.9%

Value $21.82M Shares 857,737 Share Price $25.44 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BARCLAYS BANK PLC 8.1%

Value $20.03M Shares 793,441 Share Price $25.25 Est. Cost/Share $25.25 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 6.5%

Value $15.97M Shares 1,224,706 Share Price $13.04 Est. Cost/Share $12.98 Unrealized @ Report Date —

— BANK OF AMERICA CORPORATION 5.8%

Value $14.39M Shares 13,306 Share Price $1081.24 Est. Cost/Share $1113.74 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.6%

Value $11.34M Shares 677,144 Share Price $16.75 Est. Cost/Share $18.21 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 2.7%

Value $6.593M Shares 301,200 Share Price $21.89 Est. Cost/Share $22.31 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.8%

Value $1.973M Shares 95,022 Share Price $20.76 Est. Cost/Share $21.00 Unrealized @ Report Date —

— BARCLAYS BK PLC 0.8%

Value $1.919M Shares 78,538 Share Price $24.43 Est. Cost/Share $24.71 Unrealized @ Report Date —

— BB&T CORP 0.7%

Value $1.687M Shares 85,605 Share Price $19.71 Est. Cost/Share $21.66 Unrealized @ Report Date —

— KEYCORP NEW 0.5%

Value $1.169M Shares 9,362 Share Price $124.87 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $564K Shares 26,903 Share Price $20.96 Est. Cost/Share $21.22 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $486K Shares 24,140 Share Price $20.13 Est. Cost/Share $20.65 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $315K Shares 14,694 Share Price $21.44 Est. Cost/Share $21.84 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $266K Shares 10,623 Share Price $25.04 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	52,413	$59.62M	24.2%	$1137.50	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,303,978	$32.14M	13.0%	$24.65	$24.88	—	ADR A 1/40PF A	404280604
—	BARCLAYS BANK PLC	1,154,125	$28.85M	11.7%	$25.00	$25.01	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	1,373,182	$27.23M	11.1%	$19.83	$20.47	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	857,737	$21.82M	8.9%	$25.44	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BANK PLC	793,441	$20.03M	8.1%	$25.25	$25.25	—	ADS7.75%PFD S4	06739H511
—	BLACKROCK CR ALLCTN INC TR	1,224,706	$15.97M	6.5%	$13.04	$12.98	—	COM	092508100
—	BANK OF AMERICA CORPORATION	13,306	$14.39M	5.8%	$1081.24	$1113.74	—	7.25%CNV PFD L	060505682
—	HANCOCK JOHN PFD INCOME FD I	677,144	$11.34M	4.6%	$16.75	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	301,200	$6.593M	2.7%	$21.89	$22.31	—	ADR PREF SHS Q	780097754
—	ROYAL BK SCOTLAND GROUP PLC	95,022	$1.973M	0.8%	$20.76	$21.00	—	ADR PREF SER N	780097770
—	BARCLAYS BK PLC	78,538	$1.919M	0.8%	$24.43	$24.71	—	ADR 2 PREF 2	06739F390
—	BB&T CORP	85,605	$1.687M	0.7%	$19.71	$21.66	—	DP SHS RP PF G	054937800
—	KEYCORP NEW	9,362	$1.169M	0.5%	$124.87	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	26,903	$564K	0.2%	$20.96	$21.22	—	SP ADR PREF M	780097796
—	ROYAL BK SCOTLAND GROUP PLC	24,140	$486K	0.2%	$20.13	$20.65	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	14,694	$315K	0.1%	$21.44	$21.84	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$266K	0.1%	$25.04	$25.13	—	SPON ADR C	638539882