Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q1 2016 (← Previous) (Next →)

Filing Date: May 10, 2016

Total Value: $292M (100.0% shares, 0.0% debt)

Holdings (15)

— WELLS FARGO & CO NEW 32.7%

Value $95.48M Shares 79,240 Share Price $1205.00 Est. Cost/Share $1174.72 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.1%

Value $35.16M Shares 1,372,780 Share Price $25.61 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 10.3%

Value $30.11M Shares 1,244,110 Share Price $24.20 Est. Cost/Share $20.86 Unrealized @ Report Date —

— BARCLAYS BANK PLC 9.7%

Value $28.25M Shares 1,106,076 Share Price $25.54 Est. Cost/Share $25.02 Unrealized @ Report Date —

— ING GROEP N V 7.1%

Value $20.62M Shares 22,500,000 Share Price $0.92 Est. Cost/Share $0.97 Unrealized @ Report Date —

— BARCLAYS BANK PLC 6.3%

Value $18.38M Shares 707,810 Share Price $25.96 Est. Cost/Share $25.27 Unrealized @ Report Date —

— BARCLAYS BANK PLC 5.3%

Value $15.45M Shares 590,410 Share Price $26.16 Est. Cost/Share $25.33 Unrealized @ Report Date —

— BARCLAYS BK PLC 4.5%

Value $13.06M Shares 512,146 Share Price $25.51 Est. Cost/Share $25.26 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 4.3%

Value $12.64M Shares 670,344 Share Price $18.86 Est. Cost/Share $18.21 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 4.1%

Value $12.1M Shares 966,571 Share Price $12.52 Est. Cost/Share $12.98 Unrealized @ Report Date —

— DIGITAL RLTY TR INC 1.8%

Value $5.302M Shares 205,498 Share Price $25.80 Est. Cost/Share $24.74 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 1.1%

Value $3.254M Shares 64,130 Share Price $50.74 Est. Cost/Share $27.01 Unrealized @ Report Date —

— KEYCORP NEW 0.4%

Value $1.025M Shares 7,850 Share Price $130.57 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.2%

Value $555K Shares 21,801 Share Price $25.46 Est. Cost/Share $25.34 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $309K Shares 11,963 Share Price $25.83 Est. Cost/Share $25.32 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO & CO NEW	79,240	$95.48M	32.7%	$1205.00	$1174.72	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	1,372,780	$35.16M	12.1%	$25.61	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,244,110	$30.11M	10.3%	$24.20	$20.86	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,106,076	$28.25M	9.7%	$25.54	$25.02	—	SP ADR 7.1%PF3	06739H776
—	ING GROEP N V	22,500,000	$20.62M	7.1%	$0.92	$0.97	—	DBCV 6.500%12/2	456837AF0
—	BARCLAYS BANK PLC	707,810	$18.38M	6.3%	$25.96	$25.27	—	ADS7.75%PFD S4	06739H511
—	BARCLAYS BANK PLC	590,410	$15.45M	5.3%	$26.16	$25.33	—	ADR PFD SR 5	06739H362
—	BARCLAYS BK PLC	512,146	$13.06M	4.5%	$25.51	$25.26	—	ADR 2 PREF 2	06739F390
—	HANCOCK JOHN PFD INCOME FD I	670,344	$12.64M	4.3%	$18.86	$18.21	—	COM	41021P103
—	BLACKROCK CR ALLCTN INC TR	966,571	$12.1M	4.1%	$12.52	$12.98	—	COM	092508100
—	DIGITAL RLTY TR INC	205,498	$5.302M	1.8%	$25.80	$24.74	—	6.35% PFD CUM CV	253868863
—	ROYAL BK SCOTLAND GROUP PLC	64,130	$3.254M	1.1%	$50.74	$27.01	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1.025M	0.4%	$130.57	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	21,801	$555K	0.2%	$25.46	$25.34	—	SP ADR PREF T	780097713
—	NATIONAL WESTMINSTER BK PLC	11,963	$309K	0.1%	$25.83	$25.32	—	SPON ADR C	638539882