Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q4 2014 (← Previous) (Next →)

Filing Date: Feb 13, 2015

Total Value: $320M (100.0% shares, 0.0% debt)

Holdings (17)

— ROYAL BK SCOTLAND GROUP PLC 20.9%

Value $66.78M Shares 1,423,743 Share Price $46.90 Est. Cost/Share $20.79 Unrealized @ Report Date —

— WELLS FARGO & CO NEW 18.4%

Value $58.78M Shares 48,393 Share Price $1214.72 Est. Cost/Share $1174.55 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.7%

Value $40.75M Shares 1,586,307 Share Price $25.69 Est. Cost/Share $24.92 Unrealized @ Report Date —

— BARCLAYS BANK PLC 11.5%

Value $36.79M Shares 725,232 Share Price $50.72 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BARCLAYS BANK PLC 9.4%

Value $30.13M Shares 1,167,535 Share Price $25.81 Est. Cost/Share $25.02 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 6.4%

Value $20.61M Shares 812,965 Share Price $25.35 Est. Cost/Share $23.95 Unrealized @ Report Date —

— BARCLAYS BANK PLC 6.2%

Value $19.71M Shares 760,319 Share Price $25.93 Est. Cost/Share $25.27 Unrealized @ Report Date —

— BARCLAYS BK PLC 4.8%

Value $15.23M Shares 597,201 Share Price $25.50 Est. Cost/Share $25.26 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 4.2%

Value $13.41M Shares 1,037,783 Share Price $12.92 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 3.7%

Value $11.98M Shares 670,344 Share Price $17.87 Est. Cost/Share $18.21 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.6%

Value $1.875M Shares 76,282 Share Price $24.58 Est. Cost/Share $21.43 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.5%

Value $1.59M Shares 62,337 Share Price $25.51 Est. Cost/Share $25.09 Unrealized @ Report Date —

— KEYCORP NEW 0.3%

Value $1.025M Shares 7,850 Share Price $130.57 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $443K Shares 17,381 Share Price $25.49 Est. Cost/Share $25.30 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 $288K Shares 11,622 Share Price $24.78 Est. Cost/Share $21.82 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $277K Shares 10,623 Share Price $26.08 Est. Cost/Share $25.27 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	ROYAL BK SCOTLAND GROUP PLC	1,423,743	$66.78M	20.9%	$46.90	$20.79	—	SP ADR L RP PF	780097788
—	WELLS FARGO & CO NEW	48,393	$58.78M	18.4%	$1214.72	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,586,307	$40.75M	12.7%	$25.69	$24.92	—	ADR A 1/40PF A	404280604
—	BARCLAYS BANK PLC	725,232	$36.79M	11.5%	$50.72	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BANK PLC	1,167,535	$30.13M	9.4%	$25.81	$25.02	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	812,965	$20.61M	6.4%	$25.35	$23.95	—	ADR PREF SHS Q	780097754
—	BARCLAYS BANK PLC	760,319	$19.71M	6.2%	$25.93	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BK PLC	597,201	$15.23M	4.8%	$25.50	$25.26	—	ADR 2 PREF 2	06739F390
—	BLACKROCK CR ALLCTN INC TR	1,037,783	$13.41M	4.2%	$12.92	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	670,344	$11.98M	3.7%	$17.87	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	76,282	$1.875M	0.6%	$24.58	$21.43	—	ADR PREF SER N	780097770
—	ROYAL BK SCOTLAND GROUP PLC	62,337	$1.59M	0.5%	$25.51	$25.09	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1.025M	0.3%	$130.57	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	17,381	$443K	0.1%	$25.49	$25.30	—	SP ADR PREF T	780097713
—	ROYAL BK SCOTLAND GROUP PLC	16,306	$389K	0.1%	$23.86	$20.83	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	11,622	$288K	0.1%	$24.78	$21.82	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$277K	0.1%	$26.08	$25.27	—	SPON ADR C	638539882