BANTA ASSET MANAGEMENT LP Diversified Active

Location: Newport Beach, CA

CIK: 0001426960 · Show all filings

Period: Q3 2013 (← Previous) (Next →)

Filing Date: Nov 13, 2013

Total Value: $33.91M (100.0% shares, 0.0% debt)

Holdings (26)

PFF ISHARES TR US PFD STK IDX 20.5%

Value $6.941M Shares 182,671 Share Price $38.00 Est. Cost/Share $40.20 Unrealized @ Report Date -5.5%

— PITNEY BOWES NT 6.7% 7.3%

Value $2.468M Shares 99,900 Share Price $24.70 Est. Cost/Share $25.19 Unrealized @ Report Date —

— QWEST CORP NT 6.3%

Value $2.148M Shares 101,525 Share Price $21.16 Est. Cost/Share $23.71 Unrealized @ Report Date —

— BANC CALIF INC SR NT 5.9%

Value $1.985M Shares 78,200 Share Price $25.38 Est. Cost/Share $25.38 Unrealized @ Report Date —

— CLIFFS NAT RES INC DEP1/40TH P 4.8%

Value $1.611M Shares 81,500 Share Price $19.77 Est. Cost/Share $17.76 Unrealized @ Report Date —

— APPLE COMPUTER INC 4.7%

Value $1.589M Shares 3,334 Share Price $476.60 Est. Cost/Share $396.57 Unrealized @ Report Date —

FCX FREEPORT MCMORAN COPPER&GOLDCL 4.6%

Value $1.544M Shares 46,685 Share Price $33.07 * Est. Cost/Share $24.45 Unrealized @ Report Date +13.8%

— MALLINCKRODT PUB LTD CO SHS 4.5%

Value $1.535M Shares 34,804 Share Price $44.10 Est. Cost/Share $44.10 Unrealized @ Report Date —

ABBV ABBVIE INC COM 4.3%

Value $1.443M Shares 32,265 Share Price $44.72 * Est. Cost/Share $26.55 Unrealized @ Report Date +3.3%

Value $1.442M Shares 7,787 Share Price $185.18 * Est. Cost/Share $112.98 Unrealized @ Report Date -3.6%

BANC BANC CALIF INC COM 3.9%

Value $1.329M Shares 96,065 Share Price $13.83 * Est. Cost/Share $10.14 Unrealized @ Report Date -1.2%

ZTS ZOETIS INC CL A 3.9%

Value $1.318M Shares 42,365 Share Price $31.11 * Est. Cost/Share $28.86 Unrealized @ Report Date -2.1%

— JOY GLOBAL INC 3.7%

Value $1.26M Shares 24,680 Share Price $51.05 Est. Cost/Share $48.51 Unrealized @ Report Date —

— CLIFFS NAT RES INC COM 3.7%

Value $1.247M Shares 60,850 Share Price $20.49 Est. Cost/Share $16.25 Unrealized @ Report Date —

— COVIDIEN PLC 3.1%

Value $1.05M Shares 17,229 Share Price $60.94 Est. Cost/Share $62.82 Unrealized @ Report Date —

— GENERAL ELEC CAP CORP NT 53 3.1%

Value $1.035M Shares 50,600 Share Price $20.45 Est. Cost/Share $22.95 Unrealized @ Report Date —

— CORTS TR II GOLDMAN SACHS CATR 2.5%

Value $850K Shares 35,250 Share Price $24.11 Est. Cost/Share $24.80 Unrealized @ Report Date —

PG PROCTER & GAMBLE COMPANY 2.0%

Value $690K Shares 9,126 Share Price $75.61 * Est. Cost/Share $55.00 Unrealized @ Report Date -2.8%

— COUNTRYWIDE CAP V GTD CAP SEC 1.4%

Value $485K Shares 19,225 Share Price $25.23 Est. Cost/Share $25.14 Unrealized @ Report Date —

— CITIGROUP CAP XI CAP TRUPS 6.0 1.3%

Value $444K Shares 17,893 Share Price $24.81 Est. Cost/Share $24.94 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR III PFD G 1.1%

Value $358K Shares 14,200 Share Price $25.21 Est. Cost/Share $25.26 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR II PFD GD 0.8%

Value $275K Shares 11,185 Share Price $24.59 Est. Cost/Share $24.59 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.7%

Value $236K Shares 2,741 Share Price $86.10 * Est. Cost/Share $53.72 Unrealized @ Report Date -3.5%

— AVON PRODS INC 0.6%

Value $214K Shares 10,375 Share Price $20.63 Est. Cost/Share $21.01 Unrealized @ Report Date —

CVX CHEVRON CORP NEW 0.6%

Value $206K Shares 1,695 Share Price $121.53 * Est. Cost/Share $71.30 Unrealized @ Report Date +1.8%

PM PHILIP MORRIS INTL INC 0.6%

Value $203K Shares 2,346 Share Price $86.53 * Est. Cost/Share $49.85 Unrealized @ Report Date -5.0%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	182,671	$6.941M	20.5%	$38.00	$40.20	-5.5%	PREFERRED STOCKS	464288687
—	PITNEY BOWES NT 6.7%	99,900	$2.468M	7.3%	$24.70	$25.19	—	PREFERRED STOCKS	724479506
—	QWEST CORP NT	101,525	$2.148M	6.3%	$21.16	$23.71	—	PREFERRED STOCKS	74913G600
—	BANC CALIF INC SR NT	78,200	$1.985M	5.9%	$25.38	$25.38	—	PREFERRED STOCKS	05990K304
—	CLIFFS NAT RES INC DEP1/40TH P	81,500	$1.611M	4.8%	$19.77	$17.76	—	PREFERRED STOCKS	18683K408
—	APPLE COMPUTER INC	3,334	$1.589M	4.7%	$476.60	$396.57	—	COM	37833100
FCX	FREEPORT MCMORAN COPPER&GOLDCL	46,685	$1.544M	4.6%	$33.07 *	$24.45	+13.8%	COM	35671D857
—	MALLINCKRODT PUB LTD CO SHS	34,804	$1.535M	4.5%	$44.10	$44.10	—	COM	G5785G107
ABBV	ABBVIE INC COM	32,265	$1.443M	4.3%	$44.72 *	$26.55	+3.3%	COM	00287Y109
IBM	IBM	7,787	$1.442M	4.3%	$185.18 *	$112.98	-3.6%	COM	459200101
BANC	BANC CALIF INC COM	96,065	$1.329M	3.9%	$13.83 *	$10.14	-1.2%	COM	05990K106
ZTS	ZOETIS INC CL A	42,365	$1.318M	3.9%	$31.11 *	$28.86	-2.1%	COM	98978V103
—	JOY GLOBAL INC	24,680	$1.26M	3.7%	$51.05	$48.51	—	COM	481165108
—	CLIFFS NAT RES INC COM	60,850	$1.247M	3.7%	$20.49	$16.25	—	COM	18683K101
—	COVIDIEN PLC	17,229	$1.05M	3.1%	$60.94	$62.82	—	COM	G2554F113
—	GENERAL ELEC CAP CORP NT 53	50,600	$1.035M	3.1%	$20.45	$22.95	—	PREFERRED STOCKS	369622394
—	CORTS TR II GOLDMAN SACHS CATR	35,250	$850K	2.5%	$24.11	$24.80	—	PREFERRED STOCKS	22082P208
PG	PROCTER & GAMBLE COMPANY	9,126	$690K	2.0%	$75.61 *	$55.00	-2.8%	COM	742718109
—	COUNTRYWIDE CAP V GTD CAP SEC	19,225	$485K	1.4%	$25.23	$25.14	—	PREFERRED STOCKS	222388209
—	CITIGROUP CAP XI CAP TRUPS 6.0	17,893	$444K	1.3%	$24.81	$24.94	—	PREFERRED STOCKS	17307Q205
—	MERRILL LYNCH CAP TR III PFD G	14,200	$358K	1.1%	$25.21	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	11,185	$275K	0.8%	$24.59	$24.59	—	PREFERRED STOCKS	59024T203
XOM	EXXON MOBIL CORP	2,741	$236K	0.7%	$86.10 *	$53.72	-3.5%	COM	30231G102
—	AVON PRODS INC	10,375	$214K	0.6%	$20.63	$21.01	—	COM	54303102
CVX	CHEVRON CORP NEW	1,695	$206K	0.6%	$121.53 *	$71.30	+1.8%	COM	166764100
PM	PHILIP MORRIS INTL INC	2,346	$203K	0.6%	$86.53 *	$49.85	-5.0%	COM	718172109