Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q3 2016 (← Previous) (Next →)

Filing Date: Nov 10, 2016

Total Value: $1.111B (100.0% shares, 0.0% debt)

Holdings (21)

— LLOYDS BANKING GROUP PLC 17.9%

Value $199M Shares 192,292,000 Share Price $1.03 Est. Cost/Share $0.98 Unrealized @ Report Date —

— BARCLAYS PLC 14.3%

Value $158M Shares 158,634,000 Share Price $1.00 Est. Cost/Share $0.98 Unrealized @ Report Date —

— ROYAL BK OF SCOTLAND PLC 13.5%

Value $150M Shares 163,380,000 Share Price $0.92 Est. Cost/Share $0.92 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.9%

Value $143M Shares 137,305,000 Share Price $1.04 Est. Cost/Share $1.00 Unrealized @ Report Date —

— WELLS FARGO & CO NEW 9.7%

Value $107M Shares 82,101 Share Price $1309.28 Est. Cost/Share $1179.41 Unrealized @ Report Date —

— BARCLAYS PLC 7.4%

Value $82.26M Shares 90,148,000 Share Price $0.91 Est. Cost/Share $0.89 Unrealized @ Report Date —

— ING GROEP N V 4.8%

Value $52.83M Shares 54,500,000 Share Price $0.97 Est. Cost/Share $0.96 Unrealized @ Report Date —

— HSBC HLDGS PLC 3.1%

Value $34.58M Shares 1,348,307 Share Price $25.65 Est. Cost/Share $24.92 Unrealized @ Report Date —

— ROYAL BK OF SCOTLAND PLC 2.9%

Value $32.62M Shares 34,700,000 Share Price $0.94 Est. Cost/Share $0.93 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 2.8%

Value $31.13M Shares 1,241,030 Share Price $25.08 Est. Cost/Share $21.20 Unrealized @ Report Date —

— BARCLAYS BANK PLC 2.6%

Value $28.55M Shares 1,108,729 Share Price $25.75 Est. Cost/Share $25.02 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 1.9%

Value $21.53M Shares 22,000,000 Share Price $0.98 Est. Cost/Share $0.98 Unrealized @ Report Date —

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

Value $15.92M Shares 15,000,000 Share Price $1.06 Est. Cost/Share $1.06 Unrealized @ Report Date —

— BARCLAYS BANK PLC 1.4%

Value $15.5M Shares 595,507 Share Price $26.03 Est. Cost/Share $25.34 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 1.2%

Value $12.9M Shares 966,571 Share Price $13.35 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 1.1%

Value $12.5M Shares 646,421 Share Price $19.34 Est. Cost/Share $18.21 Unrealized @ Report Date —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 0.8%

Value $9.302M Shares 10,000,000 Share Price $0.93 Est. Cost/Share $0.92 Unrealized @ Report Date —

— KEYCORP NEW 0.2%

Value $1.755M Shares 12,850 Share Price $136.58 Est. Cost/Share $129.23 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $1.225M Shares 48,145 Share Price $25.44 Est. Cost/Share $26.94 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.1%

Value $574K Shares 22,316 Share Price $25.72 Est. Cost/Share $25.50 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.0%

Value $518K Shares 20,504 Share Price $25.26 Est. Cost/Share $25.26 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	LLOYDS BANKING GROUP PLC	192,292,000	$199M	17.9%	$1.03	$0.98	—	SDCV 7.500%12/3	539439AG4
—	BARCLAYS PLC	158,634,000	$158M	14.3%	$1.00	$0.98	—	NOTE 8.250%12/3	06738EAA3
—	ROYAL BK OF SCOTLAND PLC	163,380,000	$150M	13.5%	$0.92	$0.92	—	DEBT 7.500%12/3	780099CJ4
—	HSBC HLDGS PLC	137,305,000	$143M	12.9%	$1.04	$1.00	—	NOTE 6.875%12/3	404280BC2
—	WELLS FARGO & CO NEW	82,101	$107M	9.7%	$1309.28	$1179.41	—	PERP PFD CNV A	949746804
—	BARCLAYS PLC	90,148,000	$82.26M	7.4%	$0.91	$0.89	—	PRFD 6.625%12/3	06738EAB1
—	ING GROEP N V	54,500,000	$52.83M	4.8%	$0.97	$0.96	—	DBCV 6.500%12/3	456837AF0
—	HSBC HLDGS PLC	1,348,307	$34.58M	3.1%	$25.65	$24.92	—	ADR A 1/40PF A	404280604
—	ROYAL BK OF SCOTLAND PLC	34,700,000	$32.62M	2.9%	$0.94	$0.93	—	NOTE 8.000%12/3	780099CK1
—	ROYAL BK SCOTLAND GROUP PLC	1,241,030	$31.13M	2.8%	$25.08	$21.20	—	SP ADR L RP PF	780097788
—	BARCLAYS BANK PLC	1,108,729	$28.55M	2.6%	$25.75	$25.02	—	SP ADR 7.1%PF3	06739H776
—	ROYAL BK SCOTLAND GROUP PLC	22,000,000	$21.53M	1.9%	$0.98	$0.98	—	NOTE 8.625%12/3	780097BB6
ANZ 4.4 05/19/26 REGS	AUSTRALIA & NEW ZEALA BKG 14	15,000,000	$15.92M	1.4%	$1.06	$1.06	—	DEBT 4.400% 5/1	Q0426RND6
—	BARCLAYS BANK PLC	595,507	$15.5M	1.4%	$26.03	$25.34	—	ADR PFD SR 5	06739H362
—	BLACKROCK CR ALLCTN INC TR	966,571	$12.9M	1.2%	$13.35	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	646,421	$12.5M	1.1%	$19.34	$18.21	—	COM	41021P103
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	10,000,000	$9.302M	0.8%	$0.93	$0.92	—	DEBT 6.500%12/3	G84228CE6
—	KEYCORP NEW	12,850	$1.755M	0.2%	$136.58	$129.23	—	PFD 7.75% SR A	493267405
—	ROYAL BK SCOTLAND GROUP PLC	48,145	$1.225M	0.1%	$25.44	$26.94	—	SPON ADR SER H	780097879
—	NATIONAL WESTMINSTER BK PLC	22,316	$574K	0.1%	$25.72	$25.50	—	SPON ADR C	638539882
—	ROYAL BK SCOTLAND GROUP PLC	20,504	$518K	0.0%	$25.26	$25.26	—	SP ADR PREF S	780097739