BANTA ASSET MANAGEMENT LP Diversified Active

Location: Newport Beach, CA

CIK: 0001426960 · Show all filings

Period: Q1 2014 (← Previous) (Next →)

Filing Date: Apr 17, 2014

Total Value: $45.7M (100.0% shares, 0.0% debt)

Holdings (30)

PFF ISHARES TR US PFD STK IDX 14.9%

Value $6.806M Shares 174,376 Share Price $39.03 Est. Cost/Share $40.16 Unrealized @ Report Date -2.8%

— PITNEY BOWES NT 6.7% 6.4%

Value $2.946M Shares 116,074 Share Price $25.38 Est. Cost/Share $25.13 Unrealized @ Report Date —

FCX FREEPORT MCMORAN COPPER&GOLDCL 6.3%

Value $2.871M Shares 86,825 Share Price $33.07 * Est. Cost/Share $26.90 Unrealized @ Report Date +5.3%

— QWEST CORP NT 6.1%

Value $2.772M Shares 125,824 Share Price $22.03 Est. Cost/Share $22.99 Unrealized @ Report Date —

— MAIDEN HLDGS NORTH AMER LTD GT 5.7%

Value $2.586M Shares 103,475 Share Price $24.99 Est. Cost/Share $21.75 Unrealized @ Report Date —

— CLIFFS NAT RES INC DEP1/40TH P 4.9%

Value $2.246M Shares 108,325 Share Price $20.73 Est. Cost/Share $18.68 Unrealized @ Report Date —

— FIRST REP BK SAN FRANCISCO CDE 4.8%

Value $2.183M Shares 88,575 Share Price $24.65 Est. Cost/Share $22.27 Unrealized @ Report Date —

— BANC CALIF INC SR NT 4.6%

Value $2.095M Shares 81,999 Share Price $25.55 Est. Cost/Share $25.38 Unrealized @ Report Date —

— APPLE COMPUTER INC 3.9%

Value $1.773M Shares 3,304 Share Price $536.62 Est. Cost/Share $396.57 Unrealized @ Report Date —

T A T & T INC (NEW) 3.8%

Value $1.753M Shares 49,990 Share Price $35.07 * Est. Cost/Share $10.85 Unrealized @ Report Date +5.6%

PM PHILIP MORRIS INTL INC 3.7%

Value $1.708M Shares 20,866 Share Price $81.86 * Est. Cost/Share $45.32 Unrealized @ Report Date +1.1%

— METLIFE INC PFD B 6.50 3.5%

Value $1.62M Shares 64,399 Share Price $25.16 Est. Cost/Share $24.91 Unrealized @ Report Date —

KN KNOWLES CORP COM 3.0%

Value $1.393M Shares 44,130 Share Price $31.57 Est. Cost/Share $30.49 Unrealized @ Report Date +3.5%

COP CONOCOPHILLIPS 3.0%

Value $1.391M Shares 19,768 Share Price $70.37 * Est. Cost/Share $45.41 Unrealized @ Report Date +5.6%

— MALLINCKRODT PUB LTD CO SHS 2.8%

Value $1.277M Shares 20,136 Share Price $63.42 Est. Cost/Share $44.43 Unrealized @ Report Date —

— COVIDIEN PLC 2.8%

Value $1.263M Shares 17,140 Share Price $73.69 Est. Cost/Share $62.82 Unrealized @ Report Date —

— COUNTRYWIDE CAP V GTD CAP SEC 2.7%

Value $1.233M Shares 48,349 Share Price $25.50 Est. Cost/Share $25.27 Unrealized @ Report Date —

BANC BANC CALIF INC COM 2.6%

Value $1.173M Shares 95,628 Share Price $12.27 * Est. Cost/Share $10.14 Unrealized @ Report Date -10.7%

ABBV ABBVIE INC COM 2.4%

Value $1.119M Shares 21,779 Share Price $51.38 * Est. Cost/Share $26.61 Unrealized @ Report Date +20.5%

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.4%

Value $1.076M Shares 41,076 Share Price $26.20 Est. Cost/Share $25.28 Unrealized @ Report Date —

— CORTS TR II GOLDMAN SACHS CATR 2.1%

Value $966K Shares 39,149 Share Price $24.67 Est. Cost/Share $24.69 Unrealized @ Report Date —

PG PROCTER & GAMBLE COMPANY 1.6%

Value $740K Shares 9,181 Share Price $80.60 * Est. Cost/Share $55.00 Unrealized @ Report Date +5.3%

— ARBOR RLTY TR INC CUM RED PFD 1.3%

Value $579K Shares 23,400 Share Price $24.74 Est. Cost/Share $24.74 Unrealized @ Report Date —

— CITIGROUP CAP XI CAP TRUPS 6.0 1.0%

Value $469K Shares 18,693 Share Price $25.09 Est. Cost/Share $24.93 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR III PFD G 0.9%

Value $414K Shares 16,200 Share Price $25.56 Est. Cost/Share $25.26 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR II PFD GD 0.7%

Value $307K Shares 12,185 Share Price $25.19 Est. Cost/Share $24.59 Unrealized @ Report Date —

— FIRST REPUBLIC B 7.000% 00/00/ 0.6%

Value $278K Shares 10,599 Share Price $26.23 Est. Cost/Share $25.66 Unrealized @ Report Date —

— UNITED TECHNOLOGIES CORP 0.5%

Value $239K Shares 2,045 Share Price $116.87 Est. Cost/Share $113.78 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.5%

Value $215K Shares 2,203 Share Price $97.59 * Est. Cost/Share $53.72 Unrealized @ Report Date +11.1%

Value $210K Shares 1,546 Share Price $135.83 * Est. Cost/Share $72.79 Unrealized @ Report Date +7.3%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	174,376	$6.806M	14.9%	$39.03	$40.16	-2.8%	PREFERRED STOCKS	464288687
—	PITNEY BOWES NT 6.7%	116,074	$2.946M	6.4%	$25.38	$25.13	—	PREFERRED STOCKS	724479506
FCX	FREEPORT MCMORAN COPPER&GOLDCL	86,825	$2.871M	6.3%	$33.07 *	$26.90	+5.3%	COM	35671D857
—	QWEST CORP NT	125,824	$2.772M	6.1%	$22.03	$22.99	—	PREFERRED STOCKS	74913G600
—	MAIDEN HLDGS NORTH AMER LTD GT	103,475	$2.586M	5.7%	$24.99	$21.75	—	PREFERRED STOCKS	56029Q408
—	CLIFFS NAT RES INC DEP1/40TH P	108,325	$2.246M	4.9%	$20.73	$18.68	—	PREFERRED STOCKS	18683K408
—	FIRST REP BK SAN FRANCISCO CDE	88,575	$2.183M	4.8%	$24.65	$22.27	—	PREFERRED STOCKS	33616C407
—	BANC CALIF INC SR NT	81,999	$2.095M	4.6%	$25.55	$25.38	—	PREFERRED STOCKS	05990K304
—	APPLE COMPUTER INC	3,304	$1.773M	3.9%	$536.62	$396.57	—	COM	37833100
T	A T & T INC (NEW)	49,990	$1.753M	3.8%	$35.07 *	$10.85	+5.6%	COM	00206R102
PM	PHILIP MORRIS INTL INC	20,866	$1.708M	3.7%	$81.86 *	$45.32	+1.1%	COM	718172109
—	METLIFE INC PFD B 6.50	64,399	$1.62M	3.5%	$25.16	$24.91	—	PREFERRED STOCKS	59156R603
KN	KNOWLES CORP COM	44,130	$1.393M	3.0%	$31.57	$30.49	+3.5%	COM	49926D109
COP	CONOCOPHILLIPS	19,768	$1.391M	3.0%	$70.37 *	$45.41	+5.6%	COM	20825C104
—	MALLINCKRODT PUB LTD CO SHS	20,136	$1.277M	2.8%	$63.42	$44.43	—	COM	G5785G107
—	COVIDIEN PLC	17,140	$1.263M	2.8%	$73.69	$62.82	—	COM	G2554F113
—	COUNTRYWIDE CAP V GTD CAP SEC	48,349	$1.233M	2.7%	$25.50	$25.27	—	PREFERRED STOCKS	222388209
BANC	BANC CALIF INC COM	95,628	$1.173M	2.6%	$12.27 *	$10.14	-10.7%	COM	05990K106
ABBV	ABBVIE INC COM	21,779	$1.119M	2.4%	$51.38 *	$26.61	+20.5%	COM	00287Y109
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	41,076	$1.076M	2.4%	$26.20	$25.28	—	PREFERRED STOCKS	G30397304
—	CORTS TR II GOLDMAN SACHS CATR	39,149	$966K	2.1%	$24.67	$24.69	—	PREFERRED STOCKS	22082P208
PG	PROCTER & GAMBLE COMPANY	9,181	$740K	1.6%	$80.60 *	$55.00	+5.3%	COM	742718109
—	ARBOR RLTY TR INC CUM RED PFD	23,400	$579K	1.3%	$24.74	$24.74	—	PREFERRED STOCKS	38923801
—	CITIGROUP CAP XI CAP TRUPS 6.0	18,693	$469K	1.0%	$25.09	$24.93	—	PREFERRED STOCKS	17307Q205
—	MERRILL LYNCH CAP TR III PFD G	16,200	$414K	0.9%	$25.56	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	12,185	$307K	0.7%	$25.19	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,599	$278K	0.6%	$26.23	$25.66	—	PREFERRED STOCKS	33616C860
—	UNITED TECHNOLOGIES CORP	2,045	$239K	0.5%	$116.87	$113.78	—	COM	913017109
XOM	EXXON MOBIL CORP	2,203	$215K	0.5%	$97.59 *	$53.72	+11.1%	COM	30231G102
MMM	3M CO	1,546	$210K	0.5%	$135.83 *	$72.79	+7.3%	COM	88579Y101