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 Share Price $1175.00 Est. Cost/Share $1174.72 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.2%

Value $38.36M Shares 1,520,434 Share Price $25.23 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 11.2%

Value $35.35M Shares 1,458,969 Share Price $24.23 Est. Cost/Share $20.86 Unrealized @ Report Date —

— BARCLAYS BANK PLC 9.4%

Value $29.51M Shares 1,119,952 Share Price $26.35 Est. Cost/Share $25.02 Unrealized @ Report Date —

— BARCLAYS BANK PLC 5.9%

Value $18.6M Shares 717,905 Share Price $25.91 Est. Cost/Share $25.27 Unrealized @ Report Date —

— BARCLAYS BANK PLC 5.6%

Value $17.67M Shares 680,010 Share Price $25.99 Est. Cost/Share $25.33 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 4.8%

Value $15.14M Shares 598,409 Share Price $25.30 Est. Cost/Share $23.95 Unrealized @ Report Date —

— BARCLAYS BK PLC 4.7%

Value $14.65M Shares 576,644 Share Price $25.41 Est. Cost/Share $25.26 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 3.9%

Value $12.25M Shares 966,571 Share Price $12.67 Est. Cost/Share $12.98 Unrealized @ Report Date —

— ING GROEP N V 3.7%

Value $11.74M Shares 12,000,000 Share Price $0.98 Est. Cost/Share $0.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 3.6%

Value $11.18M Shares 670,344 Share Price $16.68 Est. Cost/Share $18.21 Unrealized @ Report Date —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 3.2%

Value $10.09M Shares 10,000,000 Share Price $1.01 Est. Cost/Share $1.01 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.7%

Value $2.085M Shares 83,793 Share Price $24.88 Est. Cost/Share $21.74 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.5%

Value $1.583M Shares 62,337 Share Price $25.39 Est. Cost/Share $25.09 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.3%

Value $1.049M Shares 41,346 Share Price $25.37 Est. Cost/Share $25.34 Unrealized @ Report Date —

— KEYCORP NEW 0.3%

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

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $431K Shares 17,565 Share Price $24.54 Est. Cost/Share $21.10 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $332K Shares 13,312 Share Price $24.94 Est. Cost/Share $22.23 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $273K Shares 10,623 Share Price $25.70 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	79,240	$93.11M	29.6%	$1175.00	$1174.72	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,520,434	$38.36M	12.2%	$25.23	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,458,969	$35.35M	11.2%	$24.23	$20.86	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,119,952	$29.51M	9.4%	$26.35	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	717,905	$18.6M	5.9%	$25.91	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BANK PLC	680,010	$17.67M	5.6%	$25.99	$25.33	—	ADR PFD SR 5	06739H362
—	ROYAL BK SCOTLAND GROUP PLC	598,409	$15.14M	4.8%	$25.30	$23.95	—	ADR PREF SHS Q	780097754
—	BARCLAYS BK PLC	576,644	$14.65M	4.7%	$25.41	$25.26	—	ADR 2 PREF 2	06739F390
—	BLACKROCK CR ALLCTN INC TR	966,571	$12.25M	3.9%	$12.67	$12.98	—	COM	092508100
—	ING GROEP N V	12,000,000	$11.74M	3.7%	$0.98	$0.98	—	DBCV 6.500%12/2	456837AF0
—	HANCOCK JOHN PFD INCOME FD I	670,344	$11.18M	3.6%	$16.68	$18.21	—	COM	41021P103
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	10,000,000	$10.09M	3.2%	$1.01	$1.01	—	DEBT 6.500%12/2	G84228CE6
—	ROYAL BK SCOTLAND GROUP PLC	83,793	$2.085M	0.7%	$24.88	$21.74	—	ADR PREF SER N	780097770
—	ROYAL BK SCOTLAND GROUP PLC	62,337	$1.583M	0.5%	$25.39	$25.09	—	SPON ADR SER H	780097879
—	ROYAL BK SCOTLAND GROUP PLC	41,346	$1.049M	0.3%	$25.37	$25.34	—	SP ADR PREF T	780097713
—	KEYCORP NEW	7,850	$1.028M	0.3%	$130.96	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	17,565	$431K	0.1%	$24.54	$21.10	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	13,312	$332K	0.1%	$24.94	$22.23	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	10,623	$273K	0.1%	$25.70	$25.27	—	SPON ADR C	638539882