Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q2 2015 (← Previous) (Next →)

Filing Date: Aug 10, 2015

Total Value: $314M (100.0% shares, 0.0% debt)

Holdings (19)

— WELLS FARGO & CO NEW 29.6%

Value $93.11M Shares 79,240 Est. Cost $1174.72 Unrealized —

— HSBC HLDGS PLC 12.2%

Value $38.36M Shares 1,520,434 Est. Cost $24.92 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 11.2%

Value $35.35M Shares 1,458,969 Est. Cost $20.86 Unrealized —

— BARCLAYS BANK PLC 9.4%

Value $29.51M Shares 1,119,952 Est. Cost $25.02 Unrealized —

— BARCLAYS BANK PLC 5.9%

Value $18.6M Shares 717,905 Est. Cost $25.27 Unrealized —

— BARCLAYS BANK PLC 5.6%

Value $17.67M Shares 680,010 Est. Cost $25.33 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 4.8%

Value $15.14M Shares 598,409 Est. Cost $23.95 Unrealized —

— BARCLAYS BK PLC 4.7%

Value $14.65M Shares 576,644 Est. Cost $25.26 Unrealized —

— BLACKROCK CR ALLCTN INC TR 3.9%

Value $12.25M Shares 966,571 Est. Cost $12.98 Unrealized —

— ING GROEP N V 3.7%

Value $11.74M Shares 12,000,000 Est. Cost $0.98 Unrealized —

— HANCOCK JOHN PFD INCOME FD I 3.6%

Value $11.18M Shares 670,344 Est. Cost $18.21 Unrealized —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 3.2%

Value $10.09M Shares 10,000,000 Est. Cost $1.01 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $2.085M Shares 83,793 Est. Cost $21.74 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.5%

Value $1.583M Shares 62,337 Est. Cost $25.09 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.3%

Value $1.049M Shares 41,346 Est. Cost $25.34 Unrealized —

— KEYCORP NEW 0.3%

Value $1.028M Shares 7,850 Est. Cost $124.55 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $431K Shares 17,565 Est. Cost $21.10 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $332K Shares 13,312 Est. Cost $22.23 Unrealized —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $273K Shares 10,623 Est. Cost $25.27 Unrealized —

Ticker	Issuer	Shares	Value	%	Est. Cost	Unrealized	Class	CUSIP
—	WELLS FARGO & CO NEW	79,240	$93.11M	29.6%	$1174.72	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,520,434	$38.36M	12.2%	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,458,969	$35.35M	11.2%	$20.86	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,119,952	$29.51M	9.4%	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	717,905	$18.6M	5.9%	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BANK PLC	680,010	$17.67M	5.6%	$25.33	—	ADR PFD SR 5	06739H362
—	ROYAL BK SCOTLAND GROUP PLC	598,409	$15.14M	4.8%	$23.95	—	ADR PREF SHS Q	780097754
—	BARCLAYS BK PLC	576,644	$14.65M	4.7%	$25.26	—	ADR 2 PREF 2	06739F390
—	BLACKROCK CR ALLCTN INC TR	966,571	$12.25M	3.9%	$12.98	—	COM	092508100
—	ING GROEP N V	12,000,000	$11.74M	3.7%	$0.98	—	DBCV 6.500%12/2	456837AF0
—	HANCOCK JOHN PFD INCOME FD I	670,344	$11.18M	3.6%	$18.21	—	COM	41021P103
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	10,000,000	$10.09M	3.2%	$1.01	—	DEBT 6.500%12/2	G84228CE6
—	ROYAL BK SCOTLAND GROUP PLC	83,793	$2.085M	0.7%	$21.74	—	ADR PREF SER N	780097770
—	ROYAL BK SCOTLAND GROUP PLC	62,337	$1.583M	0.5%	$25.09	—	SPON ADR SER H	780097879
—	ROYAL BK SCOTLAND GROUP PLC	41,346	$1.049M	0.3%	$25.34	—	SP ADR PREF T	780097713
—	KEYCORP NEW	7,850	$1.028M	0.3%	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	17,565	$431K	0.1%	$21.10	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	13,312	$332K	0.1%	$22.23	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$273K	0.1%	$25.27	—	SPON ADR C	638539882