BANTA ASSET MANAGEMENT LP Diversified Active

Location: Newport Beach, CA

CIK: 0001426960 · Show all filings

Period: Q4 2013 (← Previous) (Next →)

Filing Date: Jan 29, 2014

Total Value: $40.7M (100.0% shares, 0.0% debt)

Holdings (30)

PFF ISHARES TR US PFD STK IDX 16.7%

Value $6.816M Shares 185,056 Share Price $36.83 Est. Cost/Share $40.16 Unrealized @ Report Date -8.3%

— PITNEY BOWES NT 6.7% 6.7%

Value $2.733M Shares 111,675 Share Price $24.47 Est. Cost/Share $25.12 Unrealized @ Report Date —

— QWEST CORP NT 5.5%

Value $2.229M Shares 117,650 Share Price $18.95 Est. Cost/Share $23.05 Unrealized @ Report Date —

— CLIFFS NAT RES INC DEP1/40TH P 5.1%

Value $2.077M Shares 90,450 Share Price $22.96 Est. Cost/Share $18.27 Unrealized @ Report Date —

— BANC CALIF INC SR NT 5.1%

Value $2.07M Shares 82,000 Share Price $25.24 Est. Cost/Share $25.38 Unrealized @ Report Date —

— MALLINCKRODT PUB LTD CO SHS 4.7%

Value $1.894M Shares 36,235 Share Price $52.27 Est. Cost/Share $44.43 Unrealized @ Report Date —

— FIRST REP BK SAN FRANCISCO CDE 4.6%

Value $1.862M Shares 84,075 Share Price $22.15 Est. Cost/Share $22.15 Unrealized @ Report Date —

— APPLE COMPUTER INC 4.5%

Value $1.846M Shares 3,291 Share Price $560.92 Est. Cost/Share $396.57 Unrealized @ Report Date —

ABBV ABBVIE INC COM 4.3%

Value $1.732M Shares 32,805 Share Price $52.80 * Est. Cost/Share $26.61 Unrealized @ Report Date +22.8%

— MAIDEN HLDGS NORTH AMER LTD GT 4.0%

Value $1.615M Shares 78,050 Share Price $20.69 Est. Cost/Share $20.69 Unrealized @ Report Date —

— METLIFE INC PFD B 6.50 3.8%

Value $1.531M Shares 61,500 Share Price $24.89 Est. Cost/Share $24.89 Unrealized @ Report Date —

Value $1.452M Shares 7,739 Share Price $187.62 * Est. Cost/Share $112.98 Unrealized @ Report Date -1.9%

ZTS ZOETIS INC CL A 3.4%

Value $1.403M Shares 42,920 Share Price $32.69 * Est. Cost/Share $28.86 Unrealized @ Report Date +3.0%

BANC BANC CALIF INC COM 3.2%

Value $1.29M Shares 96,185 Share Price $13.41 * Est. Cost/Share $10.14 Unrealized @ Report Date -3.3%

FCX FREEPORT MCMORAN COPPER&GOLDCL 3.1%

Value $1.279M Shares 33,890 Share Price $37.74 * Est. Cost/Share $24.45 Unrealized @ Report Date +31.0%

ALLE ALLEGION PUB LTD CO ORD S 3.1%

Value $1.266M Shares 28,650 Share Price $44.19 * Est. Cost/Share $38.52 Unrealized @ Report Date +1.2%

— COVIDIEN PLC 2.9%

Value $1.18M Shares 17,329 Share Price $68.09 Est. Cost/Share $62.82 Unrealized @ Report Date —

— COUNTRYWIDE CAP V GTD CAP SEC 2.8%

Value $1.152M Shares 45,463 Share Price $25.34 Est. Cost/Share $25.26 Unrealized @ Report Date —

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.5%

Value $1.031M Shares 40,776 Share Price $25.28 Est. Cost/Share $25.28 Unrealized @ Report Date —

— CORTS TR II GOLDMAN SACHS CATR 2.3%

Value $926K Shares 39,150 Share Price $23.65 Est. Cost/Share $24.69 Unrealized @ Report Date —

PG PROCTER & GAMBLE COMPANY 1.8%

Value $747K Shares 9,181 Share Price $81.36 * Est. Cost/Share $55.00 Unrealized @ Report Date +5.5%

— CITIGROUP CAP XI CAP TRUPS 6.0 1.1%

Value $465K Shares 18,693 Share Price $24.88 Est. Cost/Share $24.93 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR III PFD G 1.0%

Value $409K Shares 16,200 Share Price $25.25 Est. Cost/Share $25.26 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR II PFD GD 0.7%

Value $302K Shares 12,285 Share Price $24.58 Est. Cost/Share $24.59 Unrealized @ Report Date —

— FIRST REPUBLIC B 7.000% 00/00/ 0.7%

Value $272K Shares 10,600 Share Price $25.66 Est. Cost/Share $25.66 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.7%

Value $271K Shares 2,678 Share Price $101.19 * Est. Cost/Share $53.72 Unrealized @ Report Date +14.3%

— UNITED TECHNOLOGIES CORP 0.6%

Value $228K Shares 2,005 Share Price $113.72 Est. Cost/Share $113.72 Unrealized @ Report Date —

CVX CHEVRON CORP NEW 0.5%

Value $212K Shares 1,695 Share Price $125.07 * Est. Cost/Share $71.30 Unrealized @ Report Date +5.5%

Value $210K Shares 1,496 Share Price $140.37 * Est. Cost/Share $72.67 Unrealized @ Report Date +10.4%

PM PHILIP MORRIS INTL INC 0.5%

Value $204K Shares 2,346 Share Price $86.96 * Est. Cost/Share $49.85 Unrealized @ Report Date -3.3%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	185,056	$6.816M	16.7%	$36.83	$40.16	-8.3%	PREFERRED STOCKS	464288687
—	PITNEY BOWES NT 6.7%	111,675	$2.733M	6.7%	$24.47	$25.12	—	PREFERRED STOCKS	724479506
—	QWEST CORP NT	117,650	$2.229M	5.5%	$18.95	$23.05	—	PREFERRED STOCKS	74913G600
—	CLIFFS NAT RES INC DEP1/40TH P	90,450	$2.077M	5.1%	$22.96	$18.27	—	PREFERRED STOCKS	18683K408
—	BANC CALIF INC SR NT	82,000	$2.07M	5.1%	$25.24	$25.38	—	PREFERRED STOCKS	05990K304
—	MALLINCKRODT PUB LTD CO SHS	36,235	$1.894M	4.7%	$52.27	$44.43	—	COM	G5785G107
—	FIRST REP BK SAN FRANCISCO CDE	84,075	$1.862M	4.6%	$22.15	$22.15	—	PREFERRED STOCKS	33616C407
—	APPLE COMPUTER INC	3,291	$1.846M	4.5%	$560.92	$396.57	—	COM	37833100
ABBV	ABBVIE INC COM	32,805	$1.732M	4.3%	$52.80 *	$26.61	+22.8%	COM	00287Y109
—	MAIDEN HLDGS NORTH AMER LTD GT	78,050	$1.615M	4.0%	$20.69	$20.69	—	PREFERRED STOCKS	56029Q408
—	METLIFE INC PFD B 6.50	61,500	$1.531M	3.8%	$24.89	$24.89	—	PREFERRED STOCKS	59156R603
IBM	IBM	7,739	$1.452M	3.6%	$187.62 *	$112.98	-1.9%	COM	459200101
ZTS	ZOETIS INC CL A	42,920	$1.403M	3.4%	$32.69 *	$28.86	+3.0%	COM	98978V103
BANC	BANC CALIF INC COM	96,185	$1.29M	3.2%	$13.41 *	$10.14	-3.3%	COM	05990K106
FCX	FREEPORT MCMORAN COPPER&GOLDCL	33,890	$1.279M	3.1%	$37.74 *	$24.45	+31.0%	COM	35671D857
ALLE	ALLEGION PUB LTD CO ORD S	28,650	$1.266M	3.1%	$44.19 *	$38.52	+1.2%	COM	G0176J109
—	COVIDIEN PLC	17,329	$1.18M	2.9%	$68.09	$62.82	—	COM	G2554F113
—	COUNTRYWIDE CAP V GTD CAP SEC	45,463	$1.152M	2.8%	$25.34	$25.26	—	PREFERRED STOCKS	222388209
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	40,776	$1.031M	2.5%	$25.28	$25.28	—	PREFERRED STOCKS	G30397304
—	CORTS TR II GOLDMAN SACHS CATR	39,150	$926K	2.3%	$23.65	$24.69	—	PREFERRED STOCKS	22082P208
PG	PROCTER & GAMBLE COMPANY	9,181	$747K	1.8%	$81.36 *	$55.00	+5.5%	COM	742718109
—	CITIGROUP CAP XI CAP TRUPS 6.0	18,693	$465K	1.1%	$24.88	$24.93	—	PREFERRED STOCKS	17307Q205
—	MERRILL LYNCH CAP TR III PFD G	16,200	$409K	1.0%	$25.25	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	12,285	$302K	0.7%	$24.58	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,600	$272K	0.7%	$25.66	$25.66	—	PREFERRED STOCKS	33616C860
XOM	EXXON MOBIL CORP	2,678	$271K	0.7%	$101.19 *	$53.72	+14.3%	COM	30231G102
—	UNITED TECHNOLOGIES CORP	2,005	$228K	0.6%	$113.72	$113.72	—	COM	913017109
CVX	CHEVRON CORP NEW	1,695	$212K	0.5%	$125.07 *	$71.30	+5.5%	COM	166764100
MMM	3M CO	1,496	$210K	0.5%	$140.37 *	$72.67	+10.4%	COM	88579Y101
PM	PHILIP MORRIS INTL INC	2,346	$204K	0.5%	$86.96 *	$49.85	-3.3%	COM	718172109