Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q3 2017 (← Previous) (Next →)

Filing Date: Nov 2, 2017

Total Value: $156M (100.0% shares, 0.0% debt)

Holdings (6)

— WELLS FARGO CO NEW 69.9%

Value $109M Shares 82,745 Share Price $1314.99 Est. Cost/Share $1179.41 Unrealized @ Report Date —

— HSBC HLDGS PLC 12.8%

Value $19.95M Shares 755,937 Share Price $26.39 Est. Cost/Share $24.92 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 8.4%

Value $13.12M Shares 966,571 Share Price $13.57 Est. Cost/Share $12.98 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 7.8%

Value $12.15M Shares 646,421 Share Price $18.80 Est. Cost/Share $18.21 Unrealized @ Report Date —

— ROYAL BK SCOTLAND GROUP PLC 0.8%

Value $1.235M Shares 48,098 Share Price $25.68 Est. Cost/Share $25.17 Unrealized @ Report Date —

— NATIONAL WESTMINSTER BK PLC 0.3%

Value $442K Shares 17,316 Share Price $25.53 Est. Cost/Share $25.50 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO CO NEW	82,745	$109M	69.9%	$1314.99	$1179.41	—	PERP PFD CNV A	949746804
—	HSBC HLDGS PLC	755,937	$19.95M	12.8%	$26.39	$24.92	—	ADR A 1/40PF A	404280604
—	BLACKROCK CR ALLCTN INC TR	966,571	$13.12M	8.4%	$13.57	$12.98	—	COM	092508100
—	HANCOCK JOHN PFD INCOME FD I	646,421	$12.15M	7.8%	$18.80	$18.21	—	COM	41021P103
—	ROYAL BK SCOTLAND GROUP PLC	48,098	$1.235M	0.8%	$25.68	$25.17	—	SP ADR PREF S	780097739
—	NATIONAL WESTMINSTER BK PLC	17,316	$442K	0.3%	$25.53	$25.50	—	SPON ADR C	638539882