Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q3 2020 (← Previous) (Next →)

Filing Date: Nov 6, 2020

Total Value: $263M (100.0% shares, 0.0% debt)

Holdings (7)

— WELLS FARGO CO NEW 59.7%

Value $157M Shares 117,057 Share Price $1342.06 Est. Cost/Share $1277.90 Unrealized @ Report Date —

PFF ISHARES TR 16.3%

Value $42.99M Shares 1,179,494 Share Price $36.45 Est. Cost/Share $34.09 Unrealized @ Report Date +6.9%

— BK OF AMERICA CORP 12.1%

Value $31.92M Shares 21,454 Share Price $1488.02 Est. Cost/Share $1416.75 Unrealized @ Report Date —

— HANCOCK JOHN PFD INCOME FD I 3.9%

Value $10.33M Shares 646,421 Share Price $15.98 Est. Cost/Share $18.21 Unrealized @ Report Date —

— BLACKROCK CR ALLOCATION INCO 3.9%

Value $10.28M Shares 723,135 Share Price $14.22 Est. Cost/Share $12.98 Unrealized @ Report Date —

PGX INVESCO EXCH TRADED FD TR II 3.9%

Value $10.27M Shares 697,383 Share Price $14.73 Est. Cost/Share $14.03 Unrealized @ Report Date +5.0%

AGG ISHARES TR 0.1%

Value $325K Shares 2,754 Share Price $118.01 Est. Cost/Share $113.97 Unrealized @ Report Date +3.6%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO CO NEW	117,057	$157M	59.7%	$1342.06	$1277.90	—	PERP PFD CNV A	949746804
PFF	ISHARES TR	1,179,494	$42.99M	16.3%	$36.45	$34.09	+6.9%	PFD AND INCM SEC	464288687
—	BK OF AMERICA CORP	21,454	$31.92M	12.1%	$1488.02	$1416.75	—	7.25%CNV PFD L	060505682
—	HANCOCK JOHN PFD INCOME FD I	646,421	$10.33M	3.9%	$15.98	$18.21	—	COM	41021P103
—	BLACKROCK CR ALLOCATION INCO	723,135	$10.28M	3.9%	$14.22	$12.98	—	COM	092508100
PGX	INVESCO EXCH TRADED FD TR II	697,383	$10.27M	3.9%	$14.73	$14.03	+5.0%	PFD ETF	46138E511
AGG	ISHARES TR	2,754	$325K	0.1%	$118.01	$113.97	+3.6%	CORE US AGGBD ET	464287226