Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q2 2016 (← Previous) (Next →)

Filing Date: Aug 9, 2016

Total Value: $920M (100.0% shares, 0.0% debt)

Holdings (21)

— LLOYDS BANKING GROUP PLC 19.6%

Value $180M Shares 184,102,000 Share Price $0.98 Est. Cost/Share $0.98 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.9%

Value $119M Shares 119,105,000 Share Price $0.99 Est. Cost/Share $0.99 Unrealized @ Report Date —

— BARCLAYS PLC 11.6%

Value $107M Shares 108,989,000 Share Price $0.98 Est. Cost/Share $0.98 Unrealized @ Report Date —

— ROYAL BK OF SCOTLAND PLC 11.5%

Value $106M Shares 115,997,000 Share Price $0.91 Est. Cost/Share $0.91 Unrealized @ Report Date —

— WELLS FARGO & CO NEW 11.2%

Value $103M Shares 79,240 Share Price $1299.20 Est. Cost/Share $1174.72 Unrealized @ Report Date —

— BARCLAYS PLC 8.7%

Value $80.46M Shares 90,148,000 Share Price $0.89 Est. Cost/Share $0.89 Unrealized @ Report Date —

— HSBC HLDGS PLC 3.8%

Value $35.1M Shares 1,353,051 Share Price $25.94 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 3.7%

Value $33.78M Shares 1,362,822 Share Price $24.79 Est. Cost/Share $21.20 Unrealized @ Report Date —

— ING GROEP N V 3.4%

Value $31.55M Shares 34,500,000 Share Price $0.91 Est. Cost/Share $0.95 Unrealized @ Report Date —

— ROYAL BK OF SCOTLAND PLC 3.3%

Value $30.77M Shares 33,000,000 Share Price $0.93 Est. Cost/Share $0.93 Unrealized @ Report Date —

— BARCLAYS BANK PLC 3.1%

Value $28.5M Shares 1,107,239 Share Price $25.74 Est. Cost/Share $25.02 Unrealized @ Report Date —

— BARCLAYS BANK PLC 1.7%

Value $15.19M Shares 587,478 Share Price $25.85 Est. Cost/Share $25.33 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 1.5%

Value $13.39M Shares 670,344 Share Price $19.98 Est. Cost/Share $18.21 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 1.4%

Value $12.59M Shares 966,571 Share Price $13.02 Est. Cost/Share $12.98 Unrealized @ Report Date —

— BARCLAYS BK PLC 1.3%

Value $11.56M Shares 451,905 Share Price $25.58 Est. Cost/Share $25.26 Unrealized @ Report Date —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 1.0%

Value $9.175M Shares 10,000,000 Share Price $0.92 Est. Cost/Share $0.92 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $1.173M Shares 46,055 Share Price $25.47 Est. Cost/Share $27.01 Unrealized @ Report Date —

— KEYCORP NEW 0.1%

Value $1.052M Shares 7,850 Share Price $134.01 Est. Cost/Share $124.55 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $698K Shares 27,776 Share Price $25.13 Est. Cost/Share $25.13 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $566K Shares 22,482 Share Price $25.18 Est. Cost/Share $25.34 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.0%

Value $311K Shares 11,963 Share Price $26.00 Est. Cost/Share $25.32 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	LLOYDS BANKING GROUP PLC	184,102,000	$180M	19.6%	$0.98	$0.98	—	SDCV 7.500%12/3	539439AG4
—	HSBC HLDGS PLC	119,105,000	$119M	12.9%	$0.99	$0.99	—	NOTE 6.875%12/2	404280BC2
—	BARCLAYS PLC	108,989,000	$107M	11.6%	$0.98	$0.98	—	NOTE 8.250%12/2	06738EAA3
—	ROYAL BK OF SCOTLAND PLC	115,997,000	$106M	11.5%	$0.91	$0.91	—	DEBT 7.500%12/3	780099CJ4
—	WELLS FARGO & CO NEW	79,240	$103M	11.2%	$1299.20	$1174.72	—	PERP PFD CNV A	949746804
—	BARCLAYS PLC	90,148,000	$80.46M	8.7%	$0.89	$0.89	—	NOTE 6.625%12/2	06738EAB1
—	HSBC HLDGS PLC	1,353,051	$35.1M	3.8%	$25.94	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,362,822	$33.78M	3.7%	$24.79	$21.20	—	SP ADR L RP PF	780097788
—	ING GROEP N V	34,500,000	$31.55M	3.4%	$0.91	$0.95	—	DBCV 6.500%12/2	456837AF0
—	ROYAL BK OF SCOTLAND PLC	33,000,000	$30.77M	3.3%	$0.93	$0.93	—	NOTE 8.000%12/3	780099CK1
—	BARCLAYS BANK PLC	1,107,239	$28.5M	3.1%	$25.74	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	587,478	$15.19M	1.7%	$25.85	$25.33	—	ADR PFD SR 5	06739H362
—	HANCOCK JOHN PFD INCOME FD I	670,344	$13.39M	1.5%	$19.98	$18.21	—	COM	41021P103
—	BLACKROCK CR ALLCTN INC TR	966,571	$12.59M	1.4%	$13.02	$12.98	—	COM	092508100
—	BARCLAYS BK PLC	451,905	$11.56M	1.3%	$25.58	$25.26	—	ADR 2 PREF 2	06739F390
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	10,000,000	$9.175M	1.0%	$0.92	$0.92	—	DEBT 6.500%12/2	G84228CE6
—	ROYAL BK SCOTLAND GROUP PLC	46,055	$1.173M	0.1%	$25.47	$27.01	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1.052M	0.1%	$134.01	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	27,776	$698K	0.1%	$25.13	$25.13	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	22,482	$566K	0.1%	$25.18	$25.34	—	SP ADR PREF T	780097713
—	NATIONAL WESTMINSTER BK PLC	11,963	$311K	0.0%	$26.00	$25.32	—	SPON ADR C	638539882