Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q2 2014 (← Previous) (Next →)

Filing Date: Aug 12, 2014

Total Value: $259M (100.0% shares, 0.0% debt)

Holdings (16)

— WELLS FARGO & CO NEW 22.7%

Value $58.78M Shares 48,393 Share Price $1214.64 Est. Cost/Share $1174.55 Unrealized @ Report Date —

— HSBC HLDGS PLC 15.3%

Value $39.77M Shares 1,569,321 Share Price $25.34 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 12.1%

Value $31.28M Shares 1,357,416 Share Price $23.05 Est. Cost/Share $20.66 Unrealized @ Report Date —

— BARCLAYS BANK PLC 11.5%

Value $29.88M Shares 1,166,703 Share Price $25.61 Est. Cost/Share $25.02 Unrealized @ Report Date —

— BARCLAYS BANK PLC 7.8%

Value $20.18M Shares 783,182 Share Price $25.77 Est. Cost/Share $25.27 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 7.7%

Value $19.96M Shares 801,200 Share Price $24.91 Est. Cost/Share $23.93 Unrealized @ Report Date —

— BARCLAYS BANK PLC 7.5%

Value $19.43M Shares 751,392 Share Price $25.86 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 5.9%

Value $15.31M Shares 1,113,585 Share Price $13.75 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.6%

Value $12.01M Shares 670,344 Share Price $17.91 Est. Cost/Share $18.21 Unrealized @ Report Date —

— BARCLAYS BK PLC 2.6%

Value $6.686M Shares 263,733 Share Price $25.35 Est. Cost/Share $25.15 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $1.876M Shares 74,104 Share Price $25.32 Est. Cost/Share $25.09 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $1.857M Shares 78,239 Share Price $23.73 Est. Cost/Share $21.43 Unrealized @ Report Date —

— KEYCORP NEW 0.5%

Value $1.182M Shares 9,025 Share Price $130.97 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $390K Shares 16,498 Share Price $23.64 Est. Cost/Share $20.83 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $316K Shares 12,013 Share Price $26.30 Est. Cost/Share $25.27 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $276K Shares 11,929 Share Price $23.14 Est. Cost/Share $21.82 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO & CO NEW	48,393	$58.78M	22.7%	$1214.64	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,569,321	$39.77M	15.3%	$25.34	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,357,416	$31.28M	12.1%	$23.05	$20.66	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,166,703	$29.88M	11.5%	$25.61	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	783,182	$20.18M	7.8%	$25.77	$25.27	—	ADS7.75%PFD S4	06739H511
—	ROYAL BK SCOTLAND GROUP PLC	801,200	$19.96M	7.7%	$24.91	$23.93	—	ADR PREF SHS Q	780097754
—	BARCLAYS BANK PLC	751,392	$19.43M	7.5%	$25.86	$25.33	—	ADR PFD SR 5	06739H362
—	BLACKROCK CR ALLCTN INC TR	1,113,585	$15.31M	5.9%	$13.75	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	670,344	$12.01M	4.6%	$17.91	$18.21	—	COM	41021P103
—	BARCLAYS BK PLC	263,733	$6.686M	2.6%	$25.35	$25.15	—	ADR 2 PREF 2	06739F390
—	ROYAL BK SCOTLAND GROUP PLC	74,104	$1.876M	0.7%	$25.32	$25.09	—	SPON ADR SER H	780097879
—	ROYAL BK SCOTLAND GROUP PLC	78,239	$1.857M	0.7%	$23.73	$21.43	—	ADR PREF SER N	780097770
—	KEYCORP NEW	9,025	$1.182M	0.5%	$130.97	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	16,498	$390K	0.2%	$23.64	$20.83	—	ADR PREF SHS R	780097747
—	NATIONAL WESTMINSTER BK PLC	12,013	$316K	0.1%	$26.30	$25.27	—	SPON ADR C	638539882
—	ROYAL BK SCOTLAND GROUP PLC	11,929	$276K	0.1%	$23.14	$21.82	—	SP ADR PREF S	780097739