Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q3 2014 (← Previous) (Next →)

Filing Date: Nov 13, 2014

Total Value: $267M (100.0% shares, 0.0% debt)

Holdings (17)

— WELLS FARGO & CO NEW 21.8%

Value $58.19M Shares 48,393 Share Price $1202.51 Est. Cost/Share $1174.55 Unrealized @ Report Date —

— HSBC HLDGS PLC 14.8%

Value $39.63M Shares 1,575,008 Share Price $25.16 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 12.4%

Value $33.13M Shares 1,429,731 Share Price $23.17 Est. Cost/Share $20.79 Unrealized @ Report Date —

— BARCLAYS BANK PLC 11.3%

Value $30.07M Shares 1,168,201 Share Price $25.74 Est. Cost/Share $25.02 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 7.6%

Value $20.37M Shares 814,423 Share Price $25.01 Est. Cost/Share $23.95 Unrealized @ Report Date —

— BARCLAYS BANK PLC 7.4%

Value $19.76M Shares 764,011 Share Price $25.86 Est. Cost/Share $25.27 Unrealized @ Report Date —

— BARCLAYS BANK PLC 7.2%

Value $19.11M Shares 735,900 Share Price $25.97 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 5.5%

Value $14.71M Shares 1,105,193 Share Price $13.31 Est. Cost/Share $12.98 Unrealized @ Report Date —

— BARCLAYS BK PLC 5.4%

Value $14.31M Shares 564,694 Share Price $25.34 Est. Cost/Share $25.25 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.4%

Value $11.74M Shares 670,344 Share Price $17.51 Est. Cost/Share $18.21 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $1.891M Shares 77,236 Share Price $24.48 Est. Cost/Share $21.43 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $1.754M Shares 69,036 Share Price $25.41 Est. Cost/Share $25.09 Unrealized @ Report Date —

— KEYCORP NEW 0.4%

Value $1.048M Shares 8,000 Share Price $131.00 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $389K Shares 16,306 Share Price $23.86 Est. Cost/Share $20.83 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $368K Shares 14,568 Share Price $25.26 Est. Cost/Share $25.26 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $287K Shares 11,593 Share Price $24.76 Est. Cost/Share $21.82 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $275K Shares 10,623 Share Price $25.89 Est. Cost/Share $25.27 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO & CO NEW	48,393	$58.19M	21.8%	$1202.51	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,575,008	$39.63M	14.8%	$25.16	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,429,731	$33.13M	12.4%	$23.17	$20.79	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,168,201	$30.07M	11.3%	$25.74	$25.02	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	814,423	$20.37M	7.6%	$25.01	$23.95	—	ADR PREF SHS Q	780097754
—	BARCLAYS BANK PLC	764,011	$19.76M	7.4%	$25.86	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BANK PLC	735,900	$19.11M	7.2%	$25.97	$25.33	—	ADR PFD SR 5	06739H362
—	BLACKROCK CR ALLCTN INC TR	1,105,193	$14.71M	5.5%	$13.31	$12.98	—	COM	092508100
—	BARCLAYS BK PLC	564,694	$14.31M	5.4%	$25.34	$25.25	—	ADR 2 PREF 2	06739F390
—	HANCOCK JOHN PFD INCOME FD I	670,344	$11.74M	4.4%	$17.51	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	77,236	$1.891M	0.7%	$24.48	$21.43	—	ADR PREF SER N	780097770
—	ROYAL BK SCOTLAND GROUP PLC	69,036	$1.754M	0.7%	$25.41	$25.09	—	SPON ADR SER H	780097879
—	KEYCORP NEW	8,000	$1.048M	0.4%	$131.00	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	16,306	$389K	0.1%	$23.86	$20.83	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	14,568	$368K	0.1%	$25.26	$25.26	—	SP ADR PREF T	780097713
—	ROYAL BK SCOTLAND GROUP PLC	11,593	$287K	0.1%	$24.76	$21.82	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$275K	0.1%	$25.89	$25.27	—	SPON ADR C	638539882