Spectrum Asset Management, Inc. Concentrated Active

CIK: 0001318293 · Show all filings

Period: Q2 2014 (← Previous) (Next →)

Filing Date: Aug 12, 2014

Total Value ($000): $259,187 (100.0% shares, 0.0% debt)

Holdings (16)

— WELLS FARGO & CO NEW 22.7%

Value ($000) $58,780 Shares 48,393 Est. Cost $1174.55 Unrealized —

— HSBC HLDGS PLC 15.3%

Value ($000) $39,768 Shares 1,569,321 Est. Cost $24.92 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 12.1%

Value ($000) $31,284 Shares 1,357,416 Est. Cost $20.66 Unrealized —

— BARCLAYS BANK PLC 11.5%

Value ($000) $29,880 Shares 1,166,703 Est. Cost $25.02 Unrealized —

— BARCLAYS BANK PLC 7.8%

Value ($000) $20,185 Shares 783,182 Est. Cost $25.27 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 7.7%

Value ($000) $19,958 Shares 801,200 Est. Cost $23.93 Unrealized —

— BARCLAYS BANK PLC 7.5%

Value ($000) $19,431 Shares 751,392 Est. Cost $25.33 Unrealized —

— BLACKROCK CR ALLCTN INC TR 5.9%

Value ($000) $15,312 Shares 1,113,585 Est. Cost $12.98 Unrealized —

— HANCOCK JOHN PFD INCOME FD I 4.6%

Value ($000) $12,006 Shares 670,344 Est. Cost $18.21 Unrealized —

— BARCLAYS BK PLC 2.6%

Value ($000) $6,686 Shares 263,733 Est. Cost $25.15 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value ($000) $1,876 Shares 74,104 Est. Cost $25.09 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value ($000) $1,857 Shares 78,239 Est. Cost $21.43 Unrealized —

— KEYCORP NEW 0.5%

Value ($000) $1,182 Shares 9,025 Est. Cost $124.55 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value ($000) $390 Shares 16,498 Est. Cost $20.83 Unrealized —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value ($000) $316 Shares 12,013 Est. Cost $25.27 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $276 Shares 11,929 Est. Cost $21.82 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	WELLS FARGO & CO NEW	48,393	$58,780	22.7%	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,569,321	$39,768	15.3%	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,357,416	$31,284	12.1%	$20.66	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,166,703	$29,880	11.5%	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	783,182	$20,185	7.8%	$25.27	—	ADS7.75%PFD S4	06739H511
—	ROYAL BK SCOTLAND GROUP PLC	801,200	$19,958	7.7%	$23.93	—	ADR PREF SHS Q	780097754
—	BARCLAYS BANK PLC	751,392	$19,431	7.5%	$25.33	—	ADR PFD SR 5	06739H362
—	BLACKROCK CR ALLCTN INC TR	1,113,585	$15,312	5.9%	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	670,344	$12,006	4.6%	$18.21	—	COM	41021P103
—	BARCLAYS BK PLC	263,733	$6,686	2.6%	$25.15	—	ADR 2 PREF 2	06739F390
—	ROYAL BK SCOTLAND GROUP PLC	74,104	$1,876	0.7%	$25.09	—	SPON ADR SER H	780097879
—	ROYAL BK SCOTLAND GROUP PLC	78,239	$1,857	0.7%	$21.43	—	ADR PREF SER N	780097770
—	KEYCORP NEW	9,025	$1,182	0.5%	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	16,498	$390	0.2%	$20.83	—	ADR PREF SHS R	780097747
—	NATIONAL WESTMINSTER BK PLC	12,013	$316	0.1%	$25.27	—	SPON ADR C	638539882
—	ROYAL BK SCOTLAND GROUP PLC	11,929	$276	0.1%	$21.82	—	SP ADR PREF S	780097739