BANTA ASSET MANAGEMENT LP Diversified Active

Location: Newport Beach, CA

CIK: 0001426960 · Show all filings

Period: Q2 2014 (← Previous) (Next →)

Filing Date: Jul 29, 2014

Total Value: $45.99M (100.0% shares, 0.0% debt)

Holdings (29)

PFF ISHARES TR US PFD STK IDX 15.2%

Value $7M Shares 175,386 Share Price $39.91 Est. Cost/Share $40.16 Unrealized @ Report Date -0.6%

— PITNEY BOWES NT 6.7% 6.5%

Value $3.011M Shares 116,074 Share Price $25.94 Est. Cost/Share $25.13 Unrealized @ Report Date —

— QWEST CORP NT 6.5%

Value $3.001M Shares 128,908 Share Price $23.28 Est. Cost/Share $22.99 Unrealized @ Report Date —

— MAIDEN HLDGS NORTH AMER LTD GT 6.0%

Value $2.743M Shares 105,350 Share Price $26.04 Est. Cost/Share $21.82 Unrealized @ Report Date —

— FIRST REP BK SAN FRANCISCO CDE 4.9%

Value $2.25M Shares 88,575 Share Price $25.40 Est. Cost/Share $22.27 Unrealized @ Report Date —

KN KNOWLES CORP COM 4.8%

Value $2.202M Shares 71,625 Share Price $30.74 Est. Cost/Share $30.40 Unrealized @ Report Date +1.1%

FCX FREEPORT MCMORAN COPPER&GOLDCL 4.6%

Value $2.126M Shares 58,240 Share Price $36.50 * Est. Cost/Share $26.90 Unrealized @ Report Date +17.3%

— BANC CALIF INC SR NT 4.6%

Value $2.096M Shares 81,999 Share Price $25.56 Est. Cost/Share $25.38 Unrealized @ Report Date —

BANC BANC CALIF INC COM 4.1%

Value $1.874M Shares 171,952 Share Price $10.90 * Est. Cost/Share $9.39 Unrealized @ Report Date -13.4%

— METLIFE INC PFD B 6.50 3.6%

Value $1.645M Shares 64,399 Share Price $25.54 Est. Cost/Share $24.91 Unrealized @ Report Date —

— CLIFFS NAT RES INC DEP1/40TH P 3.5%

Value $1.614M Shares 112,650 Share Price $14.33 Est. Cost/Share $18.51 Unrealized @ Report Date —

— JACOBS ENGR GROUP INC DEL 3.3%

Value $1.522M Shares 28,565 Share Price $53.28 Est. Cost/Share $53.28 Unrealized @ Report Date —

— CIVEO CORP COM 3.1%

Value $1.432M Shares 57,195 Share Price $25.04 Est. Cost/Share $25.04 Unrealized @ Report Date —

T A T & T INC (NEW) 3.1%

Value $1.412M Shares 39,920 Share Price $35.37 * Est. Cost/Share $10.85 Unrealized @ Report Date +8.4%

PM PHILIP MORRIS INTL INC 3.1%

Value $1.408M Shares 16,696 Share Price $84.33 * Est. Cost/Share $45.32 Unrealized @ Report Date +5.2%

COP CONOCOPHILLIPS 2.9%

Value $1.318M Shares 15,377 Share Price $85.71 * Est. Cost/Share $45.41 Unrealized @ Report Date +29.9%

DNOW NOW INC COM 2.8%

Value $1.306M Shares 36,060 Share Price $36.22 Est. Cost/Share $33.70 Unrealized @ Report Date +7.4%

— COUNTRYWIDE CAP V GTD CAP SEC 2.7%

Value $1.254M Shares 48,249 Share Price $25.99 Est. Cost/Share $25.27 Unrealized @ Report Date —

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.4%

Value $1.081M Shares 41,076 Share Price $26.32 Est. Cost/Share $25.28 Unrealized @ Report Date —

— ARBOR RLTY TR INC CUM RED PFD 2.3%

Value $1.073M Shares 42,800 Share Price $25.07 Est. Cost/Share $24.89 Unrealized @ Report Date —

— CORTS TR II GOLDMAN SACHS CATR 2.2%

Value $992K Shares 39,149 Share Price $25.34 Est. Cost/Share $24.69 Unrealized @ Report Date —

— RAIT FINANCIAL TRUST SR NT 7.6 1.6%

Value $729K Shares 29,400 Share Price $24.80 Est. Cost/Share $24.80 Unrealized @ Report Date —

PG PROCTER & GAMBLE COMPANY 1.6%

Value $722K Shares 9,181 Share Price $78.64 * Est. Cost/Share $55.00 Unrealized @ Report Date +3.5%

— NAVIOS MARITIME HLDGS INC SPN 1.6%

Value $718K Shares 27,900 Share Price $25.73 Est. Cost/Share $25.73 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR III PFD G 0.9%

Value $422K Shares 16,200 Share Price $26.05 Est. Cost/Share $25.26 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR II PFD GD 0.7%

Value $309K Shares 12,185 Share Price $25.36 Est. Cost/Share $24.59 Unrealized @ Report Date —

— FIRST REPUBLIC B 7.000% 00/00/ 0.6%

Value $285K Shares 10,599 Share Price $26.89 Est. Cost/Share $25.66 Unrealized @ Report Date —

— UNITED TECHNOLOGIES CORP 0.5%

Value $225K Shares 1,945 Share Price $115.68 Est. Cost/Share $113.78 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.5%

Value $222K Shares 2,203 Share Price $100.77 * Est. Cost/Share $53.72 Unrealized @ Report Date +15.3%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	175,386	$7M	15.2%	$39.91	$40.16	-0.6%	PREFERRED STOCKS	464288687
—	PITNEY BOWES NT 6.7%	116,074	$3.011M	6.5%	$25.94	$25.13	—	PREFERRED STOCKS	724479506
—	QWEST CORP NT	128,908	$3.001M	6.5%	$23.28	$22.99	—	PREFERRED STOCKS	74913G600
—	MAIDEN HLDGS NORTH AMER LTD GT	105,350	$2.743M	6.0%	$26.04	$21.82	—	PREFERRED STOCKS	56029Q408
—	FIRST REP BK SAN FRANCISCO CDE	88,575	$2.25M	4.9%	$25.40	$22.27	—	PREFERRED STOCKS	33616C407
KN	KNOWLES CORP COM	71,625	$2.202M	4.8%	$30.74	$30.40	+1.1%	COM	49926D109
FCX	FREEPORT MCMORAN COPPER&GOLDCL	58,240	$2.126M	4.6%	$36.50 *	$26.90	+17.3%	COM	35671D857
—	BANC CALIF INC SR NT	81,999	$2.096M	4.6%	$25.56	$25.38	—	PREFERRED STOCKS	05990K304
BANC	BANC CALIF INC COM	171,952	$1.874M	4.1%	$10.90 *	$9.39	-13.4%	COM	05990K106
—	METLIFE INC PFD B 6.50	64,399	$1.645M	3.6%	$25.54	$24.91	—	PREFERRED STOCKS	59156R603
—	CLIFFS NAT RES INC DEP1/40TH P	112,650	$1.614M	3.5%	$14.33	$18.51	—	PREFERRED STOCKS	18683K408
—	JACOBS ENGR GROUP INC DEL	28,565	$1.522M	3.3%	$53.28	$53.28	—	COM	469814107
—	CIVEO CORP COM	57,195	$1.432M	3.1%	$25.04	$25.04	—	COM	178787107
T	A T & T INC (NEW)	39,920	$1.412M	3.1%	$35.37 *	$10.85	+8.4%	COM	00206R102
PM	PHILIP MORRIS INTL INC	16,696	$1.408M	3.1%	$84.33 *	$45.32	+5.2%	COM	718172109
COP	CONOCOPHILLIPS	15,377	$1.318M	2.9%	$85.71 *	$45.41	+29.9%	COM	20825C104
DNOW	NOW INC COM	36,060	$1.306M	2.8%	$36.22	$33.70	+7.4%	COM	67011P100
—	COUNTRYWIDE CAP V GTD CAP SEC	48,249	$1.254M	2.7%	$25.99	$25.27	—	PREFERRED STOCKS	222388209
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	41,076	$1.081M	2.4%	$26.32	$25.28	—	PREFERRED STOCKS	G30397304
—	ARBOR RLTY TR INC CUM RED PFD	42,800	$1.073M	2.3%	$25.07	$24.89	—	PREFERRED STOCKS	38923801
—	CORTS TR II GOLDMAN SACHS CATR	39,149	$992K	2.2%	$25.34	$24.69	—	PREFERRED STOCKS	22082P208
—	RAIT FINANCIAL TRUST SR NT 7.6	29,400	$729K	1.6%	$24.80	$24.80	—	PREFERRED STOCKS	749227807
PG	PROCTER & GAMBLE COMPANY	9,181	$722K	1.6%	$78.64 *	$55.00	+3.5%	COM	742718109
—	NAVIOS MARITIME HLDGS INC SPN	27,900	$718K	1.6%	$25.73	$25.73	—	COM	63938Y100
—	MERRILL LYNCH CAP TR III PFD G	16,200	$422K	0.9%	$26.05	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	12,185	$309K	0.7%	$25.36	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,599	$285K	0.6%	$26.89	$25.66	—	PREFERRED STOCKS	33616C860
—	UNITED TECHNOLOGIES CORP	1,945	$225K	0.5%	$115.68	$113.78	—	COM	913017109
XOM	EXXON MOBIL CORP	2,203	$222K	0.5%	$100.77 *	$53.72	+15.3%	COM	30231G102