Spectrum Asset Management, Inc. Concentrated Active

CIK: 0001318293 · Show all filings

Period: Q2 2016 (← Previous) (Next →)

Filing Date: Aug 9, 2016

Total Value ($000): $919,943 (100.0% shares, 0.0% debt)

Holdings (21)

— LLOYDS BANKING GROUP PLC 19.6%

Value ($000) $179,960 Shares 184,102,000 Est. Cost $0.98 Unrealized —

— HSBC HLDGS PLC 12.9%

Value ($000) $118,509 Shares 119,105,000 Est. Cost $0.99 Unrealized —

— BARCLAYS PLC 11.6%

Value ($000) $106,532 Shares 108,989,000 Est. Cost $0.98 Unrealized —

— ROYAL BK OF SCOTLAND PLC 11.5%

Value ($000) $106,137 Shares 115,997,000 Est. Cost $0.91 Unrealized —

— WELLS FARGO & CO NEW 11.2%

Value ($000) $102,949 Shares 79,240 Est. Cost $1174.72 Unrealized —

— BARCLAYS PLC 8.7%

Value ($000) $80,457 Shares 90,148,000 Est. Cost $0.89 Unrealized —

— HSBC HLDGS PLC 3.8%

Value ($000) $35,099 Shares 1,353,051 Est. Cost $24.92 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 3.7%

Value ($000) $33,784 Shares 1,362,822 Est. Cost $21.20 Unrealized —

— ING GROEP N V 3.4%

Value ($000) $31,546 Shares 34,500,000 Est. Cost $0.95 Unrealized —

— ROYAL BK OF SCOTLAND PLC 3.3%

Value ($000) $30,772 Shares 33,000,000 Est. Cost $0.93 Unrealized —

— BARCLAYS BANK PLC 3.1%

Value ($000) $28,500 Shares 1,107,239 Est. Cost $25.02 Unrealized —

— BARCLAYS BANK PLC 1.7%

Value ($000) $15,186 Shares 587,478 Est. Cost $25.33 Unrealized —

— HANCOCK JOHN PFD INCOME FD I 1.5%

Value ($000) $13,393 Shares 670,344 Est. Cost $18.21 Unrealized —

— BLACKROCK CR ALLCTN INC TR 1.4%

Value ($000) $12,585 Shares 966,571 Est. Cost $12.98 Unrealized —

— BARCLAYS BK PLC 1.3%

Value ($000) $11,559 Shares 451,905 Est. Cost $25.26 Unrealized —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 1.0%

Value ($000) $9,175 Shares 10,000,000 Est. Cost $0.92 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $1,173 Shares 46,055 Est. Cost $27.01 Unrealized —

— KEYCORP NEW 0.1%

Value ($000) $1,052 Shares 7,850 Est. Cost $124.55 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $698 Shares 27,776 Est. Cost $25.13 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $566 Shares 22,482 Est. Cost $25.34 Unrealized —

— NATIONAL WESTMINSTER BK PLC 0.0%

Value ($000) $311 Shares 11,963 Est. Cost $25.32 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	LLOYDS BANKING GROUP PLC	184,102,000	$179,960	19.6%	$0.98	—	SDCV 7.500%12/3	539439AG4
—	HSBC HLDGS PLC	119,105,000	$118,509	12.9%	$0.99	—	NOTE 6.875%12/2	404280BC2
—	BARCLAYS PLC	108,989,000	$106,532	11.6%	$0.98	—	NOTE 8.250%12/2	06738EAA3
—	ROYAL BK OF SCOTLAND PLC	115,997,000	$106,137	11.5%	$0.91	—	DEBT 7.500%12/3	780099CJ4
—	WELLS FARGO & CO NEW	79,240	$102,949	11.2%	$1174.72	—	PERP PFD CNV A	949746804
—	BARCLAYS PLC	90,148,000	$80,457	8.7%	$0.89	—	NOTE 6.625%12/2	06738EAB1
—	HSBC HLDGS PLC	1,353,051	$35,099	3.8%	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK SCOTLAND GROUP PLC	1,362,822	$33,784	3.7%	$21.20	—	SP ADR L RP PF	780097788
—	ING GROEP N V	34,500,000	$31,546	3.4%	$0.95	—	DBCV 6.500%12/2	456837AF0
—	ROYAL BK OF SCOTLAND PLC	33,000,000	$30,772	3.3%	$0.93	—	NOTE 8.000%12/3	780099CK1
—	BARCLAYS BANK PLC	1,107,239	$28,500	3.1%	$25.02	—	SP ADR 7.1%PF3	06739H776
—	BARCLAYS BANK PLC	587,478	$15,186	1.7%	$25.33	—	ADR PFD SR 5	06739H362
—	HANCOCK JOHN PFD INCOME FD I	670,344	$13,393	1.5%	$18.21	—	COM	41021P103
—	BLACKROCK CR ALLCTN INC TR	966,571	$12,585	1.4%	$12.98	—	COM	092508100
—	BARCLAYS BK PLC	451,905	$11,559	1.3%	$25.26	—	ADR 2 PREF 2	06739F390
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	10,000,000	$9,175	1.0%	$0.92	—	DEBT 6.500%12/2	G84228CE6
—	ROYAL BK SCOTLAND GROUP PLC	46,055	$1,173	0.1%	$27.01	—	SPON ADR SER H	780097879
—	KEYCORP NEW	7,850	$1,052	0.1%	$124.55	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	27,776	$698	0.1%	$25.13	—	ADR PREF SHS R	780097747
—	ROYAL BK SCOTLAND GROUP PLC	22,482	$566	0.1%	$25.34	—	SP ADR PREF T	780097713
—	NATIONAL WESTMINSTER BK PLC	11,963	$311	0.0%	$25.32	—	SPON ADR C	638539882