Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q4 2015 (← Previous) (Next →)

Filing Date: Feb 9, 2016

Total Value: $300M (100.0% shares, 0.0% debt)

Holdings (17)

— WELLS FARGO & CO NEW 30.6%

Value $91.85M Shares 79,240 Share Price $1159.10 Est. Cost/Share $1174.72 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.6%

Value $37.85M Shares 1,480,368 Share Price $25.57 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 11.8%

Value $35.28M Shares 1,413,527 Share Price $24.96 Est. Cost/Share $20.86 Unrealized @ Report Date —

— BARCLAYS BANK PLC 9.7%

Value $28.95M Shares 1,114,645 Share Price $25.97 Est. Cost/Share $25.02 Unrealized @ Report Date —

— ING GROEP N V 7.3%

Value $21.98M Shares 22,500,000 Share Price $0.98 Est. Cost/Share $0.97 Unrealized @ Report Date —

— BARCLAYS BANK PLC 6.3%

Value $18.75M Shares 711,706 Share Price $26.35 Est. Cost/Share $25.27 Unrealized @ Report Date —

— BARCLAYS BANK PLC 5.9%

Value $17.56M Shares 661,760 Share Price $26.53 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BARCLAYS BK PLC 4.7%

Value $14.13M Shares 530,911 Share Price $26.61 Est. Cost/Share $25.26 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.0%

Value $11.97M Shares 670,344 Share Price $17.86 Est. Cost/Share $18.21 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 4.0%

Value $11.93M Shares 966,571 Share Price $12.34 Est. Cost/Share $12.98 Unrealized @ Report Date —

— DIGITAL RLTY TR INC 1.8%

Value $5.277M Shares 205,498 Share Price $25.68 Est. Cost/Share $24.74 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.5%

Value $1.533M Shares 59,340 Share Price $25.83 Est. Cost/Share $25.09 Unrealized @ Report Date —

— KEYCORP NEW 0.3%

Value $1.041M Shares 7,850 Share Price $132.61 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $548K Shares 21,211 Share Price $25.84 Est. Cost/Share $25.34 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $512K Shares 20,455 Share Price $25.03 Est. Cost/Share $21.65 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $394K Shares 15,481 Share Price $25.45 Est. Cost/Share $22.65 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $292K Shares 11,273 Share Price $25.90 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	$91.85M	30.6%	$1159.10	$1174.72	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,480,368	$37.85M	12.6%	$25.57	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,413,527	$35.28M	11.8%	$24.96	$20.86	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,114,645	$28.95M	9.7%	$25.97	$25.02	—	SP ADR 7.1%PF3	06739H776
—	ING GROEP N V	22,500,000	$21.98M	7.3%	$0.98	$0.97	—	DBCV 6.500%12/2	456837AF0
—	BARCLAYS BANK PLC	711,706	$18.75M	6.3%	$26.35	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BANK PLC	661,760	$17.56M	5.9%	$26.53	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BK PLC	530,911	$14.13M	4.7%	$26.61	$25.26	—	ADR 2 PREF 2	06739F390
—	HANCOCK JOHN PFD INCOME FD I	670,344	$11.97M	4.0%	$17.86	$18.21	—	COM	41021P103
—	BLACKROCK CR ALLCTN INC TR	966,571	$11.93M	4.0%	$12.34	$12.98	—	COM	092508100
—	DIGITAL RLTY TR INC	205,498	$5.277M	1.8%	$25.68	$24.74	—	6.35% PFD CUM C	253868863
—	ROYAL BK SCOTLAND GROUP PLC	59,340	$1.533M	0.5%	$25.83	$25.09	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1.041M	0.3%	$132.61	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	21,211	$548K	0.2%	$25.84	$25.34	—	SP ADR PREF T	780097713
—	ROYAL BK SCOTLAND GROUP PLC	20,455	$512K	0.2%	$25.03	$21.65	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	15,481	$394K	0.1%	$25.45	$22.65	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	11,273	$292K	0.1%	$25.90	$25.29	—	SPON ADR C	638539882