Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q2 2017 (← Previous) (Next →)

Filing Date: Aug 8, 2017

Total Value: $1.247B (100.0% shares, 0.0% debt)

Holdings (20)

— HSBC HLDGS PLC 16.7%

Value $208M Shares 192,355,000 Share Price $1.08 Est. Cost/Share $1.02 Unrealized @ Report Date —

— LLOYDS BANKING GROUP PLC 15.5%

Value $194M Shares 175,792,000 Share Price $1.10 Est. Cost/Share $0.98 Unrealized @ Report Date —

— BARCLAYS PLC 13.9%

Value $173M Shares 163,469,000 Share Price $1.06 Est. Cost/Share $0.99 Unrealized @ Report Date —

— ROYAL BK OF SCOTLAND PLC 12.1%

Value $151M Shares 146,726,000 Share Price $1.03 Est. Cost/Share $0.92 Unrealized @ Report Date —

— WELLS FARGO CO NEW 8.6%

Value $108M Shares 82,101 Share Price $1311.10 Est. Cost/Share $1179.41 Unrealized @ Report Date —

— BARCLAYS BK PLC 6.6%

Value $82.88M Shares 79,691,000 Share Price $1.04 Est. Cost/Share $1.04 Unrealized @ Report Date —

— ING GROEP N V 4.6%

Value $56.95M Shares 54,200,000 Share Price $1.05 Est. Cost/Share $0.96 Unrealized @ Report Date —

— BARCLAYS PLC 4.3%

Value $54.19M Shares 53,191,000 Share Price $1.02 Est. Cost/Share $0.89 Unrealized @ Report Date —

— ROYAL BK OF SCOTLAND PLC 3.6%

Value $44.73M Shares 41,200,000 Share Price $1.09 Est. Cost/Share $0.96 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 3.0%

Value $37.55M Shares 1,483,833 Share Price $25.31 Est. Cost/Share $21.67 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 2.8%

Value $35.42M Shares 32,500,000 Share Price $1.09 Est. Cost/Share $1.01 Unrealized @ Report Date —

— HSBC HLDGS PLC 2.0%

Value $24.61M Shares 932,415 Share Price $26.39 Est. Cost/Share $24.92 Unrealized @ Report Date —

STANLN V7.75 PERP REGS STANDARD CHARTERED PLC 1.3%

Value $16.11M Shares 15,000,000 Share Price $1.07 Est. Cost/Share $1.03 Unrealized @ Report Date —

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

Value $15.48M Shares 15,000,000 Share Price $1.03 Est. Cost/Share $1.06 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 1.0%

Value $13M Shares 966,571 Share Price $13.45 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 1.0%

Value $12.38M Shares 646,421 Share Price $19.16 Est. Cost/Share $18.21 Unrealized @ Report Date —

STANLN V6.5 PERP REGS STANDARD CHARTERED PLC 0.8%

Value $9.702M Shares 9,500,000 Share Price $1.02 Est. Cost/Share $0.92 Unrealized @ Report Date —

STANLN V7.5 PERP REGS STANDARD CHARTERED PLC 0.7%

Value $8.56M Shares 8,000,000 Share Price $1.07 Est. Cost/Share $1.03 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.1%

Value $1.241M Shares 47,973 Share Price $25.87 Est. Cost/Share $25.17 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.0%

Value $454K Shares 17,316 Share Price $26.22 Est. Cost/Share $25.50 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	HSBC HLDGS PLC	192,355,000	$208M	16.7%	$1.08	$1.02	—	NOTE 6.875%12/3	404280BC2
—	LLOYDS BANKING GROUP PLC	175,792,000	$194M	15.5%	$1.10	$0.98	—	DBCV 7.500%12/3	539439AG4
—	BARCLAYS PLC	163,469,000	$173M	13.9%	$1.06	$0.99	—	NOTE 8.250%12/3	06738EAA3
—	ROYAL BK OF SCOTLAND PLC	146,726,000	$151M	12.1%	$1.03	$0.92	—	DEBT 7.500%12/3	780099CJ4
—	WELLS FARGO CO NEW	82,101	$108M	8.6%	$1311.10	$1179.41	—	PERP PFD CNV A	949746804
—	BARCLAYS BK PLC	79,691,000	$82.88M	6.6%	$1.04	$1.04	—	NOTE 7.750% 4/1	06739FHK0
—	ING GROEP N V	54,200,000	$56.95M	4.6%	$1.05	$0.96	—	DBCV 6.500%12/3	456837AF0
—	BARCLAYS PLC	53,191,000	$54.19M	4.3%	$1.02	$0.89	—	NOTE 6.625%12/3	06738EAB1
—	ROYAL BK OF SCOTLAND PLC	41,200,000	$44.73M	3.6%	$1.09	$0.96	—	NOTE 8.000%12/3	780099CK1
—	ROYAL BK SCOTLAND GROUP PLC	1,483,833	$37.55M	3.0%	$25.31	$21.67	—	SP ADR L RP PF	780097788
—	ROYAL BK SCOTLAND GROUP PLC	32,500,000	$35.42M	2.8%	$1.09	$1.01	—	NOTE 8.625%12/3	780097BB6
—	HSBC HLDGS PLC	932,415	$24.61M	2.0%	$26.39	$24.92	—	ADR A 1/40PF A	404280604
STANLN V7.75 PERP REGS	STANDARD CHARTERED PLC	15,000,000	$16.11M	1.3%	$1.07	$1.03	—	DEBT 7.750%12/3	G84228CX4
ANZ 4.4 05/19/26 REGS	AUSTRALIA & NEW ZEALA BKG 14	15,000,000	$15.48M	1.2%	$1.03	$1.06	—	DEBT 4.400% 5/1	Q0426RND6
—	BLACKROCK CR ALLCTN INC TR	966,571	$13M	1.0%	$13.45	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	646,421	$12.38M	1.0%	$19.16	$18.21	—	COM	41021P103
STANLN V6.5 PERP REGS	STANDARD CHARTERED PLC	9,500,000	$9.702M	0.8%	$1.02	$0.92	—	DEBT 6.500%12/3	G84228CE6
STANLN V7.5 PERP REGS	STANDARD CHARTERED PLC	8,000,000	$8.56M	0.7%	$1.07	$1.03	—	DEBT 7.500%12/3	G84228CQ9
—	ROYAL BK SCOTLAND GROUP PLC	47,973	$1.241M	0.1%	$25.87	$25.17	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	17,316	$454K	0.0%	$26.22	$25.50	—	SPON ADR C	638539882