Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q1 2015 (← Previous) (Next →)

Filing Date: May 12, 2015

Total Value: $277M (100.0% shares, 0.0% debt)

Holdings (18)

— WELLS FARGO & CO NEW 21.3%

Value $59.04M Shares 48,393 Share Price $1219.99 Est. Cost/Share $1174.55 Unrealized @ Report Date —

— HSBC HLDGS PLC 14.6%

Value $40.47M Shares 1,579,441 Share Price $25.62 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 12.5%

Value $34.72M Shares 1,428,579 Share Price $24.30 Est. Cost/Share $20.79 Unrealized @ Report Date —

— BARCLAYS BANK PLC 10.8%

Value $29.88M Shares 1,156,636 Share Price $25.84 Est. Cost/Share $25.02 Unrealized @ Report Date —

— BARCLAYS BANK PLC 7.1%

Value $19.64M Shares 754,187 Share Price $26.04 Est. Cost/Share $25.27 Unrealized @ Report Date —

— BARCLAYS BANK PLC 6.6%

Value $18.34M Shares 698,510 Share Price $26.25 Est. Cost/Share $25.33 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 6.3%

Value $17.35M Shares 688,622 Share Price $25.19 Est. Cost/Share $23.95 Unrealized @ Report Date —

— BARCLAYS BK PLC 5.5%

Value $15.3M Shares 610,286 Share Price $25.07 Est. Cost/Share $25.26 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 4.8%

Value $13.32M Shares 989,480 Share Price $13.46 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.5%

Value $12.54M Shares 670,344 Share Price $18.70 Est. Cost/Share $18.21 Unrealized @ Report Date —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 3.6%

Value $10.1M Shares 10,000,000 Share Price $1.01 Est. Cost/Share $1.01 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $1.92M Shares 77,682 Share Price $24.72 Est. Cost/Share $21.49 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.6%

Value $1.598M Shares 62,337 Share Price $25.63 Est. Cost/Share $25.09 Unrealized @ Report Date —

— KEYCORP NEW 0.4%

Value $1.028M Shares 7,850 Share Price $130.96 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $444K Shares 17,381 Share Price $25.55 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 $316K Shares 12,617 Share Price $25.05 Est. Cost/Share $22.08 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $276K Shares 10,623 Share Price $25.98 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	$59.04M	21.3%	$1219.99	$1174.55	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,579,441	$40.47M	14.6%	$25.62	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,428,579	$34.72M	12.5%	$24.30	$20.79	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,156,636	$29.88M	10.8%	$25.84	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	754,187	$19.64M	7.1%	$26.04	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BANK PLC	698,510	$18.34M	6.6%	$26.25	$25.33	—	ADR PFD SR 5	06739H362
—	ROYAL BK SCOTLAND GROUP PLC	688,622	$17.35M	6.3%	$25.19	$23.95	—	ADR PREF SHS Q	780097754
—	BARCLAYS BK PLC	610,286	$15.3M	5.5%	$25.07	$25.26	—	ADR 2 PREF 2	06739F390
—	BLACKROCK CR ALLCTN INC TR	989,480	$13.32M	4.8%	$13.46	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	670,344	$12.54M	4.5%	$18.70	$18.21	—	COM	41021P103
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	10,000,000	$10.1M	3.6%	$1.01	$1.01	—	DEBT 6.500%12/2	G84228CE6
—	ROYAL BK SCOTLAND GROUP PLC	77,682	$1.92M	0.7%	$24.72	$21.49	—	ADR PREF SER N	780097770
—	ROYAL BK SCOTLAND GROUP PLC	62,337	$1.598M	0.6%	$25.63	$25.09	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1.028M	0.4%	$130.96	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	17,381	$444K	0.2%	$25.55	$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	12,617	$316K	0.1%	$25.05	$22.08	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$276K	0.1%	$25.98	$25.27	—	SPON ADR C	638539882