Spectrum Asset Management, Inc. Concentrated Active

CIK: 0001318293 · Show all filings

Period: Q4 2014 (← Previous) (Next →)

Filing Date: Feb 13, 2015

Total Value ($000): $320,047 (100.0% shares, 0.0% debt)

Holdings (17)

— ROYAL BK SCOTLAND GROUP PLC 20.9%

Value ($000) $66,777 Shares 1,423,743 Est. Cost $20.79 Unrealized —

— WELLS FARGO & CO NEW 18.4%

Value ($000) $58,784 Shares 48,393 Est. Cost $1174.55 Unrealized —

— HSBC HLDGS PLC 12.7%

Value ($000) $40,746 Shares 1,586,307 Est. Cost $24.92 Unrealized —

— BARCLAYS BANK PLC 11.5%

Value ($000) $36,787 Shares 725,232 Est. Cost $25.33 Unrealized —

— BARCLAYS BANK PLC 9.4%

Value ($000) $30,130 Shares 1,167,535 Est. Cost $25.02 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 6.4%

Value ($000) $20,609 Shares 812,965 Est. Cost $23.95 Unrealized —

— BARCLAYS BANK PLC 6.2%

Value ($000) $19,714 Shares 760,319 Est. Cost $25.27 Unrealized —

— BARCLAYS BK PLC 4.8%

Value ($000) $15,226 Shares 597,201 Est. Cost $25.26 Unrealized —

— BLACKROCK CR ALLCTN INC TR 4.2%

Value ($000) $13,408 Shares 1,037,783 Est. Cost $12.98 Unrealized —

— HANCOCK JOHN PFD INCOME FD I 3.7%

Value ($000) $11,979 Shares 670,344 Est. Cost $18.21 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.6%

Value ($000) $1,875 Shares 76,282 Est. Cost $21.43 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.5%

Value ($000) $1,590 Shares 62,337 Est. Cost $25.09 Unrealized —

— KEYCORP NEW 0.3%

Value ($000) $1,025 Shares 7,850 Est. Cost $124.55 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $443 Shares 17,381 Est. Cost $25.30 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $389 Shares 16,306 Est. Cost $20.83 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $288 Shares 11,622 Est. Cost $21.82 Unrealized —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value ($000) $277 Shares 10,623 Est. Cost $25.27 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	ROYAL BK SCOTLAND GROUP PLC	1,423,743	$66,777	20.9%	$20.79	—	SP ADR L RP PF	780097788
—	WELLS FARGO & CO NEW	48,393	$58,784	18.4%	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,586,307	$40,746	12.7%	$24.92	—	ADR A 1/40PF A	404280604
—	BARCLAYS BANK PLC	725,232	$36,787	11.5%	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BANK PLC	1,167,535	$30,130	9.4%	$25.02	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	812,965	$20,609	6.4%	$23.95	—	ADR PREF SHS Q	780097754
—	BARCLAYS BANK PLC	760,319	$19,714	6.2%	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BK PLC	597,201	$15,226	4.8%	$25.26	—	ADR 2 PREF 2	06739F390
—	BLACKROCK CR ALLCTN INC TR	1,037,783	$13,408	4.2%	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	670,344	$11,979	3.7%	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	76,282	$1,875	0.6%	$21.43	—	ADR PREF SER N	780097770
—	ROYAL BK SCOTLAND GROUP PLC	62,337	$1,590	0.5%	$25.09	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1,025	0.3%	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	17,381	$443	0.1%	$25.30	—	SP ADR PREF T	780097713
—	ROYAL BK SCOTLAND GROUP PLC	16,306	$389	0.1%	$20.83	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	11,622	$288	0.1%	$21.82	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$277	0.1%	$25.27	—	SPON ADR C	638539882