Spectrum Asset Management, Inc. Concentrated Active

CIK: 0001318293 · Show all filings

Period: Q3 2016 (← Previous) (Next →)

Filing Date: Nov 10, 2016

Total Value ($000): $1,110,910 (100.0% shares, 0.0% debt)

Holdings (21)

— LLOYDS BANKING GROUP PLC 17.9%

Value ($000) $198,580 Shares 192,292,000 Est. Cost $0.98 Unrealized —

— BARCLAYS PLC 14.3%

Value ($000) $158,436 Shares 158,634,000 Est. Cost $0.98 Unrealized —

— ROYAL BK OF SCOTLAND PLC 13.5%

Value ($000) $149,901 Shares 163,380,000 Est. Cost $0.92 Unrealized —

— HSBC HLDGS PLC 12.9%

Value ($000) $142,797 Shares 137,305,000 Est. Cost $1.00 Unrealized —

— WELLS FARGO & CO NEW 9.7%

Value ($000) $107,493 Shares 82,101 Est. Cost $1179.41 Unrealized —

— BARCLAYS PLC 7.4%

Value ($000) $82,260 Shares 90,148,000 Est. Cost $0.89 Unrealized —

— ING GROEP N V 4.8%

Value ($000) $52,831 Shares 54,500,000 Est. Cost $0.96 Unrealized —

— HSBC HLDGS PLC 3.1%

Value ($000) $34,584 Shares 1,348,307 Est. Cost $24.92 Unrealized —

— ROYAL BK OF SCOTLAND PLC 2.9%

Value ($000) $32,618 Shares 34,700,000 Est. Cost $0.93 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 2.8%

Value ($000) $31,125 Shares 1,241,030 Est. Cost $21.20 Unrealized —

— BARCLAYS BANK PLC 2.6%

Value ($000) $28,550 Shares 1,108,729 Est. Cost $25.02 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 1.9%

Value ($000) $21,533 Shares 22,000,000 Est. Cost $0.98 Unrealized —

ANZ 4.4 05/19/26 REGS AUSTRALIA & NEW ZEALA BKG 14 1.4%

Value ($000) $15,921 Shares 15,000,000 Est. Cost $1.06 Unrealized —

— BARCLAYS BANK PLC 1.4%

Value ($000) $15,501 Shares 595,507 Est. Cost $25.34 Unrealized —

— BLACKROCK CR ALLCTN INC TR 1.2%

Value ($000) $12,904 Shares 966,571 Est. Cost $12.98 Unrealized —

— HANCOCK JOHN PFD INCOME FD I 1.1%

Value ($000) $12,502 Shares 646,421 Est. Cost $18.21 Unrealized —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 0.8%

Value ($000) $9,302 Shares 10,000,000 Est. Cost $0.92 Unrealized —

— KEYCORP NEW 0.2%

Value ($000) $1,755 Shares 12,850 Est. Cost $129.23 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $1,225 Shares 48,145 Est. Cost $26.94 Unrealized —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value ($000) $574 Shares 22,316 Est. Cost $25.50 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.0%

Value ($000) $518 Shares 20,504 Est. Cost $25.26 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	LLOYDS BANKING GROUP PLC	192,292,000	$198,580	17.9%	$0.98	—	SDCV 7.500%12/3	539439AG4
—	BARCLAYS PLC	158,634,000	$158,436	14.3%	$0.98	—	NOTE 8.250%12/3	06738EAA3
—	ROYAL BK OF SCOTLAND PLC	163,380,000	$149,901	13.5%	$0.92	—	DEBT 7.500%12/3	780099CJ4
—	HSBC HLDGS PLC	137,305,000	$142,797	12.9%	$1.00	—	NOTE 6.875%12/3	404280BC2
—	WELLS FARGO & CO NEW	82,101	$107,493	9.7%	$1179.41	—	PERP PFD CNV A	949746804
—	BARCLAYS PLC	90,148,000	$82,260	7.4%	$0.89	—	PRFD 6.625%12/3	06738EAB1
—	ING GROEP N V	54,500,000	$52,831	4.8%	$0.96	—	DBCV 6.500%12/3	456837AF0
—	HSBC HLDGS PLC	1,348,307	$34,584	3.1%	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK OF SCOTLAND PLC	34,700,000	$32,618	2.9%	$0.93	—	NOTE 8.000%12/3	780099CK1
—	ROYAL BK SCOTLAND GROUP PLC	1,241,030	$31,125	2.8%	$21.20	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,108,729	$28,550	2.6%	$25.02	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	22,000,000	$21,533	1.9%	$0.98	—	NOTE 8.625%12/3	780097BB6
ANZ 4.4 05/19/26 REGS	AUSTRALIA & NEW ZEALA BKG 14	15,000,000	$15,921	1.4%	$1.06	—	DEBT 4.400% 5/1	Q0426RND6
—	BARCLAYS BANK PLC	595,507	$15,501	1.4%	$25.34	—	ADR PFD SR 5	06739H362
—	BLACKROCK CR ALLCTN INC TR	966,571	$12,904	1.2%	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	646,421	$12,502	1.1%	$18.21	—	COM	41021P103
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	10,000,000	$9,302	0.8%	$0.92	—	DEBT 6.500%12/3	G84228CE6
—	KEYCORP NEW	12,850	$1,755	0.2%	$129.23	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	48,145	$1,225	0.1%	$26.94	—	SPON ADR SER H	780097879
—	NATIONAL WESTMINSTER BK PLC	22,316	$574	0.1%	$25.50	—	SPON ADR C	638539882
—	ROYAL BK SCOTLAND GROUP PLC	20,504	$518	0.0%	$25.26	—	SP ADR PREF S	780097739