Spectrum Asset Management, Inc. Concentrated Active

CIK: 0001318293 · Show all filings

Period: Q2 2017 (← Previous) (Next →)

Filing Date: Aug 8, 2017

Total Value ($000): $1,247,266 (100.0% shares, 0.0% debt)

Holdings (20)

— HSBC HLDGS PLC 16.7%

Value ($000) $207,743 Shares 192,355,000 Est. Cost $1.02 Unrealized —

— LLOYDS BANKING GROUP PLC 15.5%

Value ($000) $193,921 Shares 175,792,000 Est. Cost $0.98 Unrealized —

— BARCLAYS PLC 13.9%

Value ($000) $173,277 Shares 163,469,000 Est. Cost $0.99 Unrealized —

— ROYAL BK OF SCOTLAND PLC 12.1%

Value ($000) $151,421 Shares 146,726,000 Est. Cost $0.92 Unrealized —

— WELLS FARGO CO NEW 8.6%

Value ($000) $107,643 Shares 82,101 Est. Cost $1179.41 Unrealized —

— BARCLAYS BK PLC 6.6%

Value ($000) $82,879 Shares 79,691,000 Est. Cost $1.04 Unrealized —

— ING GROEP N V 4.6%

Value ($000) $56,953 Shares 54,200,000 Est. Cost $0.96 Unrealized —

— BARCLAYS PLC 4.3%

Value ($000) $54,188 Shares 53,191,000 Est. Cost $0.89 Unrealized —

— ROYAL BK OF SCOTLAND PLC 3.6%

Value ($000) $44,730 Shares 41,200,000 Est. Cost $0.96 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 3.0%

Value ($000) $37,555 Shares 1,483,833 Est. Cost $21.67 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 2.8%

Value ($000) $35,425 Shares 32,500,000 Est. Cost $1.01 Unrealized —

— HSBC HLDGS PLC 2.0%

Value ($000) $24,606 Shares 932,415 Est. Cost $24.92 Unrealized —

STANLN V7.75 PERP REGS STANDARD CHARTERED PLC 1.3%

Value ($000) $16,106 Shares 15,000,000 Est. Cost $1.03 Unrealized —

ANZ 4.4 05/19/26 REGS AUSTRALIA & NEW ZEALA BKG 14 1.2%

Value ($000) $15,477 Shares 15,000,000 Est. Cost $1.06 Unrealized —

— BLACKROCK CR ALLCTN INC TR 1.0%

Value ($000) $13,000 Shares 966,571 Est. Cost $12.98 Unrealized —

— HANCOCK JOHN PFD INCOME FD I 1.0%

Value ($000) $12,385 Shares 646,421 Est. Cost $18.21 Unrealized —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 0.8%

Value ($000) $9,702 Shares 9,500,000 Est. Cost $0.92 Unrealized —

STANLN V7.5 PERP REGS STANDARD CHARTERED PLC 0.7%

Value ($000) $8,560 Shares 8,000,000 Est. Cost $1.03 Unrealized —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value ($000) $1,241 Shares 47,973 Est. Cost $25.17 Unrealized —

— NATIONAL WESTMINSTER BK PLC 0.0%

Value ($000) $454 Shares 17,316 Est. Cost $25.50 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	HSBC HLDGS PLC	192,355,000	$207,743	16.7%	$1.02	—	NOTE 6.875%12/3	404280BC2
—	LLOYDS BANKING GROUP PLC	175,792,000	$193,921	15.5%	$0.98	—	DBCV 7.500%12/3	539439AG4
—	BARCLAYS PLC	163,469,000	$173,277	13.9%	$0.99	—	NOTE 8.250%12/3	06738EAA3
—	ROYAL BK OF SCOTLAND PLC	146,726,000	$151,421	12.1%	$0.92	—	DEBT 7.500%12/3	780099CJ4
—	WELLS FARGO CO NEW	82,101	$107,643	8.6%	$1179.41	—	PERP PFD CNV A	949746804
—	BARCLAYS BK PLC	79,691,000	$82,879	6.6%	$1.04	—	NOTE 7.750% 4/1	06739FHK0
—	ING GROEP N V	54,200,000	$56,953	4.6%	$0.96	—	DBCV 6.500%12/3	456837AF0
—	BARCLAYS PLC	53,191,000	$54,188	4.3%	$0.89	—	NOTE 6.625%12/3	06738EAB1
—	ROYAL BK OF SCOTLAND PLC	41,200,000	$44,730	3.6%	$0.96	—	NOTE 8.000%12/3	780099CK1
—	ROYAL BK SCOTLAND GROUP PLC	1,483,833	$37,555	3.0%	$21.67	—	SP ADR L RP PF	780097788
—	ROYAL BK SCOTLAND GROUP PLC	32,500,000	$35,425	2.8%	$1.01	—	NOTE 8.625%12/3	780097BB6
—	HSBC HLDGS PLC	932,415	$24,606	2.0%	$24.92	—	ADR A 1/40PF A	404280604
STANLN V7.75 PERP REGS	STANDARD CHARTERED PLC	15,000,000	$16,106	1.3%	$1.03	—	DEBT 7.750%12/3	G84228CX4
ANZ 4.4 05/19/26 REGS	AUSTRALIA & NEW ZEALA BKG 14	15,000,000	$15,477	1.2%	$1.06	—	DEBT 4.400% 5/1	Q0426RND6
—	BLACKROCK CR ALLCTN INC TR	966,571	$13,000	1.0%	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	646,421	$12,385	1.0%	$18.21	—	COM	41021P103
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	9,500,000	$9,702	0.8%	$0.92	—	DEBT 6.500%12/3	G84228CE6
STANLN V7.5 PERP REGS	STANDARD CHARTERED PLC	8,000,000	$8,560	0.7%	$1.03	—	DEBT 7.500%12/3	G84228CQ9
—	ROYAL BK SCOTLAND GROUP PLC	47,973	$1,241	0.1%	$25.17	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	17,316	$454	0.0%	$25.50	—	SPON ADR C	638539882