Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q3 2015 (← Previous) (Next →)

Filing Date: Nov 9, 2015

Total Value: $315M (100.0% shares, 0.0% debt)

Holdings (17)

— WELLS FARGO & CO NEW 29.3%

Value $92.55M Shares 79,240 Share Price $1168.00 Est. Cost/Share $1174.72 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 18.0%

Value $56.87M Shares 1,467,926 Share Price $38.74 Est. Cost/Share $20.86 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.2%

Value $38.44M Shares 1,519,353 Share Price $25.30 Est. Cost/Share $24.92 Unrealized @ Report Date —

— BARCLAYS BANK PLC 9.0%

Value $28.53M Shares 1,114,576 Share Price $25.60 Est. Cost/Share $25.02 Unrealized @ Report Date —

— BARCLAYS BANK PLC 5.9%

Value $18.51M Shares 716,706 Share Price $25.83 Est. Cost/Share $25.27 Unrealized @ Report Date —

— BARCLAYS BANK PLC 5.5%

Value $17.3M Shares 668,755 Share Price $25.87 Est. Cost/Share $25.33 Unrealized @ Report Date —

— ING GROEP N V 5.3%

Value $16.67M Shares 17,500,000 Share Price $0.95 Est. Cost/Share $0.97 Unrealized @ Report Date —

— BARCLAYS BK PLC 4.5%

Value $14.28M Shares 559,863 Share Price $25.50 Est. Cost/Share $25.26 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 3.7%

Value $11.76M Shares 966,571 Share Price $12.17 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 3.5%

Value $11.17M Shares 670,344 Share Price $16.66 Est. Cost/Share $18.21 Unrealized @ Report Date —

— DIGITAL RLTY TR INC 1.6%

Value $5.084M Shares 205,498 Share Price $24.74 Est. Cost/Share $24.74 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.5%

Value $1.581M Shares 62,337 Share Price $25.36 Est. Cost/Share $25.09 Unrealized @ Report Date —

— KEYCORP NEW 0.3%

Value $1.029M Shares 7,850 Share Price $131.08 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $600K Shares 23,777 Share Price $25.23 Est. Cost/Share $25.34 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $445K Shares 17,974 Share Price $24.76 Est. Cost/Share $21.18 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $351K Shares 14,053 Share Price $24.98 Est. Cost/Share $22.37 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $288K Shares 11,273 Share Price $25.55 Est. Cost/Share $25.29 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO & CO NEW	79,240	$92.55M	29.3%	$1168.00	$1174.72	—	PERP PFD CNV A	949746804
—	ROYAL BK SCOTLAND GROUP PLC	1,467,926	$56.87M	18.0%	$38.74	$20.86	—	SP ADR L RP PF	780097788
—	HSBC HLDGS PLC	1,519,353	$38.44M	12.2%	$25.30	$24.92	—	ADR A 1/40PF A	404280604
—	BARCLAYS BANK PLC	1,114,576	$28.53M	9.0%	$25.60	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	716,706	$18.51M	5.9%	$25.83	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BANK PLC	668,755	$17.3M	5.5%	$25.87	$25.33	—	ADR PFD SR 5	06739H362
—	ING GROEP N V	17,500,000	$16.67M	5.3%	$0.95	$0.97	—	DBCV 6.500%12/2	456837AF0
—	BARCLAYS BK PLC	559,863	$14.28M	4.5%	$25.50	$25.26	—	ADR 2 PREF 2	06739F390
—	BLACKROCK CR ALLCTN INC TR	966,571	$11.76M	3.7%	$12.17	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	670,344	$11.17M	3.5%	$16.66	$18.21	—	COM	41021P103
—	DIGITAL RLTY TR INC	205,498	$5.084M	1.6%	$24.74	$24.74	—	CONV PFD I	253868863
—	ROYAL BK SCOTLAND GROUP PLC	62,337	$1.581M	0.5%	$25.36	$25.09	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1.029M	0.3%	$131.08	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	23,777	$600K	0.2%	$25.23	$25.34	—	SP ADR PREF T	780097713
—	ROYAL BK SCOTLAND GROUP PLC	17,974	$445K	0.1%	$24.76	$21.18	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	14,053	$351K	0.1%	$24.98	$22.37	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	11,273	$288K	0.1%	$25.55	$25.29	—	SPON ADR C	638539882