BANTA ASSET MANAGEMENT LP Diversified Active

CIK: 0001426960 · Show all filings

Period: Q1 2014 (← Previous) (Next →)

Filing Date: Apr 17, 2014

Total Value ($000): $45,701 (100.0% shares, 0.0% debt)

Holdings (30)

PFF ISHARES TR US PFD STK IDX 14.9%

Value ($000) $6,806 Shares 174,376 Est. Cost $39.25 Unrealized —

— PITNEY BOWES NT 6.7% 6.4%

Value ($000) $2,946 Shares 116,074 Est. Cost $25.13 Unrealized —

FCX FREEPORT MCMORAN COPPER&GOLDCL 6.3%

Value ($000) $2,871 Shares 86,825 Est. Cost $26.90 Unrealized +5.8%

— QWEST CORP NT 6.1%

Value ($000) $2,772 Shares 125,824 Est. Cost $22.99 Unrealized —

— MAIDEN HLDGS NORTH AMER LTD GT 5.7%

Value ($000) $2,586 Shares 103,475 Est. Cost $21.75 Unrealized —

— CLIFFS NAT RES INC DEP1/40TH P 4.9%

Value ($000) $2,246 Shares 108,325 Est. Cost $18.68 Unrealized —

— FIRST REP BK SAN FRANCISCO CDE 4.8%

Value ($000) $2,183 Shares 88,575 Est. Cost $22.27 Unrealized —

— BANC CALIF INC SR NT 4.6%

Value ($000) $2,095 Shares 81,999 Est. Cost $25.38 Unrealized —

— APPLE COMPUTER INC 3.9%

Value ($000) $1,773 Shares 3,304 Est. Cost $396.57 Unrealized —

T A T & T INC (NEW) 3.8%

Value ($000) $1,753 Shares 49,990 Est. Cost $10.85 Unrealized 0.0%

PM PHILIP MORRIS INTL INC 3.7%

Value ($000) $1,708 Shares 20,866 Est. Cost $45.32 Unrealized -1.3%

— METLIFE INC PFD B 6.50 3.5%

Value ($000) $1,620 Shares 64,399 Est. Cost $24.91 Unrealized —

KN KNOWLES CORP COM 3.0%

Value ($000) $1,393 Shares 44,130 Est. Cost $30.49 Unrealized 0.0%

COP CONOCOPHILLIPS 3.0%

Value ($000) $1,391 Shares 19,768 Est. Cost $45.41 Unrealized 0.0%

— MALLINCKRODT PUB LTD CO SHS 2.8%

Value ($000) $1,277 Shares 20,136 Est. Cost $44.43 Unrealized —

— COVIDIEN PLC 2.8%

Value ($000) $1,263 Shares 17,140 Est. Cost $62.82 Unrealized —

— COUNTRYWIDE CAP V GTD CAP SEC 2.7%

Value ($000) $1,233 Shares 48,349 Est. Cost $25.27 Unrealized —

BANC BANC CALIF INC COM 2.6%

Value ($000) $1,173 Shares 95,628 Est. Cost $10.14 Unrealized -6.3%

ABBV ABBVIE INC COM 2.4%

Value ($000) $1,119 Shares 21,779 Est. Cost $26.61 Unrealized +18.3%

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.4%

Value ($000) $1,076 Shares 41,076 Est. Cost $25.28 Unrealized —

— CORTS TR II GOLDMAN SACHS CATR 2.1%

Value ($000) $966 Shares 39,149 Est. Cost $24.69 Unrealized —

PG PROCTER & GAMBLE COMPANY 1.6%

Value ($000) $740 Shares 9,181 Est. Cost $55.00 Unrealized +2.7%

— ARBOR RLTY TR INC CUM RED PFD 1.3%

Value ($000) $579 Shares 23,400 Est. Cost $24.74 Unrealized —

— CITIGROUP CAP XI CAP TRUPS 6.0 1.0%

Value ($000) $469 Shares 18,693 Est. Cost $24.93 Unrealized —

— MERRILL LYNCH CAP TR III PFD G 0.9%

Value ($000) $414 Shares 16,200 Est. Cost $25.26 Unrealized —

— MERRILL LYNCH CAP TR II PFD GD 0.7%

Value ($000) $307 Shares 12,185 Est. Cost $24.59 Unrealized —

— FIRST REPUBLIC B 7.000% 00/00/ 0.6%

Value ($000) $278 Shares 10,599 Est. Cost $25.66 Unrealized —

— UNITED TECHNOLOGIES CORP 0.5%

Value ($000) $239 Shares 2,045 Est. Cost $113.78 Unrealized —

XOM EXXON MOBIL CORP 0.5%

Value ($000) $215 Shares 2,203 Est. Cost $53.72 Unrealized +8.1%

Value ($000) $210 Shares 1,546 Est. Cost $72.79 Unrealized +4.8%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	174,376	$6,806	14.9%	$39.25	—	PREFERRED STOCKS	464288687
—	PITNEY BOWES NT 6.7%	116,074	$2,946	6.4%	$25.13	—	PREFERRED STOCKS	724479506
FCX	FREEPORT MCMORAN COPPER&GOLDCL	86,825	$2,871	6.3%	$26.90	+5.8%	COM	35671D857
—	QWEST CORP NT	125,824	$2,772	6.1%	$22.99	—	PREFERRED STOCKS	74913G600
—	MAIDEN HLDGS NORTH AMER LTD GT	103,475	$2,586	5.7%	$21.75	—	PREFERRED STOCKS	56029Q408
—	CLIFFS NAT RES INC DEP1/40TH P	108,325	$2,246	4.9%	$18.68	—	PREFERRED STOCKS	18683K408
—	FIRST REP BK SAN FRANCISCO CDE	88,575	$2,183	4.8%	$22.27	—	PREFERRED STOCKS	33616C407
—	BANC CALIF INC SR NT	81,999	$2,095	4.6%	$25.38	—	PREFERRED STOCKS	05990K304
—	APPLE COMPUTER INC	3,304	$1,773	3.9%	$396.57	—	COM	37833100
T	A T & T INC (NEW)	49,990	$1,753	3.8%	$10.85	0.0%	COM	00206R102
PM	PHILIP MORRIS INTL INC	20,866	$1,708	3.7%	$45.32	-1.3%	COM	718172109
—	METLIFE INC PFD B 6.50	64,399	$1,620	3.5%	$24.91	—	PREFERRED STOCKS	59156R603
KN	KNOWLES CORP COM	44,130	$1,393	3.0%	$30.49	0.0%	COM	49926D109
COP	CONOCOPHILLIPS	19,768	$1,391	3.0%	$45.41	0.0%	COM	20825C104
—	MALLINCKRODT PUB LTD CO SHS	20,136	$1,277	2.8%	$44.43	—	COM	G5785G107
—	COVIDIEN PLC	17,140	$1,263	2.8%	$62.82	—	COM	G2554F113
—	COUNTRYWIDE CAP V GTD CAP SEC	48,349	$1,233	2.7%	$25.27	—	PREFERRED STOCKS	222388209
BANC	BANC CALIF INC COM	95,628	$1,173	2.6%	$10.14	-6.3%	COM	05990K106
ABBV	ABBVIE INC COM	21,779	$1,119	2.4%	$26.61	+18.3%	COM	00287Y109
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	41,076	$1,076	2.4%	$25.28	—	PREFERRED STOCKS	G30397304
—	CORTS TR II GOLDMAN SACHS CATR	39,149	$966	2.1%	$24.69	—	PREFERRED STOCKS	22082P208
PG	PROCTER & GAMBLE COMPANY	9,181	$740	1.6%	$55.00	+2.7%	COM	742718109
—	ARBOR RLTY TR INC CUM RED PFD	23,400	$579	1.3%	$24.74	—	PREFERRED STOCKS	38923801
—	CITIGROUP CAP XI CAP TRUPS 6.0	18,693	$469	1.0%	$24.93	—	PREFERRED STOCKS	17307Q205
—	MERRILL LYNCH CAP TR III PFD G	16,200	$414	0.9%	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	12,185	$307	0.7%	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,599	$278	0.6%	$25.66	—	PREFERRED STOCKS	33616C860
—	UNITED TECHNOLOGIES CORP	2,045	$239	0.5%	$113.78	—	COM	913017109
XOM	EXXON MOBIL CORP	2,203	$215	0.5%	$53.72	+8.1%	COM	30231G102
MMM	3M CO	1,546	$210	0.5%	$72.79	+4.8%	COM	88579Y101