BANTA ASSET MANAGEMENT LP Diversified Active

CIK: 0001426960 · Show all filings

Period: Q3 2013 (← Previous) (Next →)

Filing Date: Nov 13, 2013

Total Value ($000): $33,906 (100.0% shares, 0.0% debt)

Holdings (26)

PFF ISHARES TR US PFD STK IDX 20.5%

Value ($000) $6,941 Shares 182,671 Est. Cost $39.28 Unrealized —

— PITNEY BOWES NT 6.7% 7.3%

Value ($000) $2,468 Shares 99,900 Est. Cost $25.19 Unrealized —

— QWEST CORP NT 6.3%

Value ($000) $2,148 Shares 101,525 Est. Cost $23.71 Unrealized —

— BANC CALIF INC SR NT 5.9%

Value ($000) $1,985 Shares 78,200 Est. Cost $25.38 Unrealized —

— CLIFFS NAT RES INC DEP1/40TH P 4.8%

Value ($000) $1,611 Shares 81,500 Est. Cost $17.76 Unrealized —

— APPLE COMPUTER INC 4.7%

Value ($000) $1,589 Shares 3,334 Est. Cost $396.57 Unrealized —

FCX FREEPORT MCMORAN COPPER&GOLDCL 4.6%

Value ($000) $1,544 Shares 46,685 Est. Cost $24.45 Unrealized +5.0%

— MALLINCKRODT PUB LTD CO SHS 4.5%

Value ($000) $1,535 Shares 34,804 Est. Cost $44.10 Unrealized —

ABBV ABBVIE INC COM 4.3%

Value ($000) $1,443 Shares 32,265 Est. Cost $26.55 Unrealized +2.3%

Value ($000) $1,442 Shares 7,787 Est. Cost $112.98 Unrealized -1.3%

BANC BANC CALIF INC COM 3.9%

Value ($000) $1,329 Shares 96,065 Est. Cost $10.14 Unrealized 0.0%

ZTS ZOETIS INC CL A 3.9%

Value ($000) $1,318 Shares 42,365 Est. Cost $28.86 Unrealized -3.7%

— JOY GLOBAL INC 3.7%

Value ($000) $1,260 Shares 24,680 Est. Cost $48.51 Unrealized —

— CLIFFS NAT RES INC COM 3.7%

Value ($000) $1,247 Shares 60,850 Est. Cost $16.25 Unrealized —

— COVIDIEN PLC 3.1%

Value ($000) $1,050 Shares 17,229 Est. Cost $62.82 Unrealized —

— GENERAL ELEC CAP CORP NT 53 3.1%

Value ($000) $1,035 Shares 50,600 Est. Cost $22.95 Unrealized —

— CORTS TR II GOLDMAN SACHS CATR 2.5%

Value ($000) $850 Shares 35,250 Est. Cost $24.80 Unrealized —

PG PROCTER & GAMBLE COMPANY 2.0%

Value ($000) $690 Shares 9,126 Est. Cost $55.00 Unrealized +2.2%

— COUNTRYWIDE CAP V GTD CAP SEC 1.4%

Value ($000) $485 Shares 19,225 Est. Cost $25.14 Unrealized —

— CITIGROUP CAP XI CAP TRUPS 6.0 1.3%

Value ($000) $444 Shares 17,893 Est. Cost $24.94 Unrealized —

— MERRILL LYNCH CAP TR III PFD G 1.1%

Value ($000) $358 Shares 14,200 Est. Cost $25.26 Unrealized —

— MERRILL LYNCH CAP TR II PFD GD 0.8%

Value ($000) $275 Shares 11,185 Est. Cost $24.59 Unrealized —

XOM EXXON MOBIL CORP 0.7%

Value ($000) $236 Shares 2,741 Est. Cost $53.72 Unrealized +0.8%

— AVON PRODS INC 0.6%

Value ($000) $214 Shares 10,375 Est. Cost $21.01 Unrealized —

CVX CHEVRON CORP NEW 0.6%

Value ($000) $206 Shares 1,695 Est. Cost $71.30 Unrealized +2.5%

PM PHILIP MORRIS INTL INC 0.6%

Value ($000) $203 Shares 2,346 Est. Cost $49.85 Unrealized -5.0%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	182,671	$6,941	20.5%	$39.28	—	PREFERRED STOCKS	464288687
—	PITNEY BOWES NT 6.7%	99,900	$2,468	7.3%	$25.19	—	PREFERRED STOCKS	724479506
—	QWEST CORP NT	101,525	$2,148	6.3%	$23.71	—	PREFERRED STOCKS	74913G600
—	BANC CALIF INC SR NT	78,200	$1,985	5.9%	$25.38	—	PREFERRED STOCKS	05990K304
—	CLIFFS NAT RES INC DEP1/40TH P	81,500	$1,611	4.8%	$17.76	—	PREFERRED STOCKS	18683K408
—	APPLE COMPUTER INC	3,334	$1,589	4.7%	$396.57	—	COM	37833100
FCX	FREEPORT MCMORAN COPPER&GOLDCL	46,685	$1,544	4.6%	$24.45	+5.0%	COM	35671D857
—	MALLINCKRODT PUB LTD CO SHS	34,804	$1,535	4.5%	$44.10	—	COM	G5785G107
ABBV	ABBVIE INC COM	32,265	$1,443	4.3%	$26.55	+2.3%	COM	00287Y109
IBM	IBM	7,787	$1,442	4.3%	$112.98	-1.3%	COM	459200101
BANC	BANC CALIF INC COM	96,065	$1,329	3.9%	$10.14	0.0%	COM	05990K106
ZTS	ZOETIS INC CL A	42,365	$1,318	3.9%	$28.86	-3.7%	COM	98978V103
—	JOY GLOBAL INC	24,680	$1,260	3.7%	$48.51	—	COM	481165108
—	CLIFFS NAT RES INC COM	60,850	$1,247	3.7%	$16.25	—	COM	18683K101
—	COVIDIEN PLC	17,229	$1,050	3.1%	$62.82	—	COM	G2554F113
—	GENERAL ELEC CAP CORP NT 53	50,600	$1,035	3.1%	$22.95	—	PREFERRED STOCKS	369622394
—	CORTS TR II GOLDMAN SACHS CATR	35,250	$850	2.5%	$24.80	—	PREFERRED STOCKS	22082P208
PG	PROCTER & GAMBLE COMPANY	9,126	$690	2.0%	$55.00	+2.2%	COM	742718109
—	COUNTRYWIDE CAP V GTD CAP SEC	19,225	$485	1.4%	$25.14	—	PREFERRED STOCKS	222388209
—	CITIGROUP CAP XI CAP TRUPS 6.0	17,893	$444	1.3%	$24.94	—	PREFERRED STOCKS	17307Q205
—	MERRILL LYNCH CAP TR III PFD G	14,200	$358	1.1%	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	11,185	$275	0.8%	$24.59	—	PREFERRED STOCKS	59024T203
XOM	EXXON MOBIL CORP	2,741	$236	0.7%	$53.72	+0.8%	COM	30231G102
—	AVON PRODS INC	10,375	$214	0.6%	$21.01	—	COM	54303102
CVX	CHEVRON CORP NEW	1,695	$206	0.6%	$71.30	+2.5%	COM	166764100
PM	PHILIP MORRIS INTL INC	2,346	$203	0.6%	$49.85	-5.0%	COM	718172109