Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q1 2014 (← Previous) (Next →)

Filing Date: May 13, 2014

Total Value: $240M (100.0% shares, 0.0% debt)

Holdings (17)

— WELLS FARGO & CO NEW 24.9%

Value $59.62M Shares 50,827 Share Price $1173.00 Est. Cost/Share $1174.55 Unrealized @ Report Date —

— HSBC HLDGS PLC 16.6%

Value $39.73M Shares 1,561,210 Share Price $25.45 Est. Cost/Share $24.92 Unrealized @ Report Date —

— BARCLAYS BANK PLC 12.3%

Value $29.56M Shares 1,151,502 Share Price $25.67 Est. Cost/Share $25.01 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 11.2%

Value $26.81M Shares 1,242,368 Share Price $21.58 Est. Cost/Share $20.44 Unrealized @ Report Date —

— BARCLAYS BANK PLC 8.5%

Value $20.3M Shares 780,292 Share Price $26.01 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BARCLAYS BANK PLC 8.2%

Value $19.58M Shares 754,921 Share Price $25.94 Est. Cost/Share $25.25 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 6.9%

Value $16.56M Shares 1,224,706 Share Price $13.52 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.9%

Value $11.77M Shares 679,727 Share Price $17.32 Est. Cost/Share $18.21 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 3.0%

Value $7.108M Shares 301,200 Share Price $23.60 Est. Cost/Share $22.31 Unrealized @ Report Date —

— BARCLAYS BK PLC 1.3%

Value $3.199M Shares 126,583 Share Price $25.27 Est. Cost/Share $24.93 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.6%

Value $1.488M Shares 65,817 Share Price $22.61 Est. Cost/Share $21.00 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.6%

Value $1.354M Shares 54,143 Share Price $25.01 Est. Cost/Share $25.01 Unrealized @ Report Date —

— KEYCORP NEW 0.5%

Value $1.217M Shares 9,362 Share Price $129.99 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $430K Shares 18,843 Share Price $22.82 Est. Cost/Share $21.19 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $342K Shares 15,517 Share Price $22.04 Est. Cost/Share $20.65 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $277K Shares 12,011 Share Price $23.06 Est. Cost/Share $21.82 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $272K Shares 10,623 Share Price $25.60 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	50,827	$59.62M	24.9%	$1173.00	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,561,210	$39.73M	16.6%	$25.45	$24.92	—	ADR A 1/40PF A	404280604
—	BARCLAYS BANK PLC	1,151,502	$29.56M	12.3%	$25.67	$25.01	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	1,242,368	$26.81M	11.2%	$21.58	$20.44	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	780,292	$20.3M	8.5%	$26.01	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BANK PLC	754,921	$19.58M	8.2%	$25.94	$25.25	—	ADS7.75%PFD S4	06739H511
—	BLACKROCK CR ALLCTN INC TR	1,224,706	$16.56M	6.9%	$13.52	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	679,727	$11.77M	4.9%	$17.32	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	301,200	$7.108M	3.0%	$23.60	$22.31	—	ADR PREF SHS Q	780097754
—	BARCLAYS BK PLC	126,583	$3.199M	1.3%	$25.27	$24.93	—	ADR 2 PREF 2	06739F390
—	ROYAL BK SCOTLAND GROUP PLC	65,817	$1.488M	0.6%	$22.61	$21.00	—	ADR PREF SER N	780097770
—	ROYAL BK SCOTLAND GROUP PLC	54,143	$1.354M	0.6%	$25.01	$25.01	—	SPON ADR SER H	780097879
—	KEYCORP NEW	9,362	$1.217M	0.5%	$129.99	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	18,843	$430K	0.2%	$22.82	$21.19	—	SP ADR PREF M	780097796
—	ROYAL BK SCOTLAND GROUP PLC	15,517	$342K	0.1%	$22.04	$20.65	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	12,011	$277K	0.1%	$23.06	$21.82	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$272K	0.1%	$25.60	$25.13	—	SPON ADR C	638539882