Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q4 2013 (← Previous) (Next →)

Filing Date: Feb 12, 2014

Total Value: $228M (100.0% shares, 0.0% debt)

Holdings (16)

— WELLS FARGO & CO NEW 24.9%

Value $56.85M Shares 51,213 Share Price $1109.99 Est. Cost/Share $1174.55 Unrealized @ Report Date —

— HSBC HLDGS PLC 15.3%

Value $34.91M Shares 1,413,239 Share Price $24.70 Est. Cost/Share $24.87 Unrealized @ Report Date —

— BARCLAYS BANK PLC 12.7%

Value $28.84M Shares 1,145,942 Share Price $25.17 Est. Cost/Share $25.01 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 12.1%

Value $27.56M Shares 1,410,956 Share Price $19.53 Est. Cost/Share $20.44 Unrealized @ Report Date —

— BARCLAYS BANK PLC 9.3%

Value $21.26M Shares 838,063 Share Price $25.37 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BARCLAYS BANK PLC 8.4%

Value $19.26M Shares 760,266 Share Price $25.33 Est. Cost/Share $25.25 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 7.0%

Value $15.99M Shares 1,224,706 Share Price $13.06 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.6%

Value $10.6M Shares 679,727 Share Price $15.59 Est. Cost/Share $18.21 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 2.9%

Value $6.527M Shares 301,200 Share Price $21.67 Est. Cost/Share $22.31 Unrealized @ Report Date —

— BARCLAYS BK PLC 0.8%

Value $1.863M Shares 77,201 Share Price $24.13 Est. Cost/Share $24.71 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.6%

Value $1.412M Shares 69,042 Share Price $20.45 Est. Cost/Share $21.00 Unrealized @ Report Date —

— KEYCORP NEW 0.5%

Value $1.21M Shares 9,362 Share Price $129.25 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.3%

Value $619K Shares 29,608 Share Price $20.91 Est. Cost/Share $21.19 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $435K Shares 21,811 Share Price $19.94 Est. Cost/Share $20.65 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $336K Shares 15,631 Share Price $21.50 Est. Cost/Share $21.82 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	51,213	$56.85M	24.9%	$1109.99	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,413,239	$34.91M	15.3%	$24.70	$24.87	—	ADR A 1/40PF A	404280604
—	BARCLAYS BANK PLC	1,145,942	$28.84M	12.7%	$25.17	$25.01	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	1,410,956	$27.56M	12.1%	$19.53	$20.44	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	838,063	$21.26M	9.3%	$25.37	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BANK PLC	760,266	$19.26M	8.4%	$25.33	$25.25	—	ADS7.75%PFD S4	06739H511
—	BLACKROCK CR ALLCTN INC TR	1,224,706	$15.99M	7.0%	$13.06	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	679,727	$10.6M	4.6%	$15.59	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	301,200	$6.527M	2.9%	$21.67	$22.31	—	ADR PREF SHS Q	780097754
—	BARCLAYS BK PLC	77,201	$1.863M	0.8%	$24.13	$24.71	—	ADR 2 PREF 2	06739F390
—	ROYAL BK SCOTLAND GROUP PLC	69,042	$1.412M	0.6%	$20.45	$21.00	—	ADR PREF SER N	780097770
—	KEYCORP NEW	9,362	$1.21M	0.5%	$129.25	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	29,608	$619K	0.3%	$20.91	$21.19	—	SP ADR PREF M	780097796
—	ROYAL BK SCOTLAND GROUP PLC	21,811	$435K	0.2%	$19.94	$20.65	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	15,631	$336K	0.1%	$21.50	$21.82	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$267K	0.1%	$25.13	$25.13	—	SPON ADR C	638539882