BANTA ASSET MANAGEMENT LP Diversified Active

Location: Newport Beach, CA

CIK: 0001426960 · Show all filings

Period: Q3 2014 (← Previous) (Next →)

Filing Date: Oct 15, 2014

Total Value: $45.55M (100.0% shares, 0.0% debt)

Holdings (31)

PFF ISHARES TR US PFD STK IDX 15.0%

Value $6.854M Shares 172,741 Share Price $39.68 Est. Cost/Share $40.16 Unrealized @ Report Date -1.6%

— QWEST CORP NT 6.7%

Value $3.045M Shares 127,783 Share Price $23.83 Est. Cost/Share $22.99 Unrealized @ Report Date —

— PITNEY BOWES NT 6.7% 6.5%

Value $2.955M Shares 114,841 Share Price $25.73 Est. Cost/Share $25.13 Unrealized @ Report Date —

— MAIDEN HLDGS NORTH AMER LTD GT 5.9%

Value $2.69M Shares 103,850 Share Price $25.90 Est. Cost/Share $21.82 Unrealized @ Report Date —

— FIRST REP BK SAN FRANCISCO CDE 4.9%

Value $2.234M Shares 87,975 Share Price $25.39 Est. Cost/Share $22.27 Unrealized @ Report Date —

— BANC CALIF INC SR NT 4.6%

Value $2.097M Shares 80,666 Share Price $26.00 Est. Cost/Share $25.38 Unrealized @ Report Date —

BANC BANC CALIF INC COM 4.5%

Value $2.054M Shares 170,206 Share Price $12.07 * Est. Cost/Share $9.39 Unrealized @ Report Date -6.6%

RYAM RAYONIER ADVANCED MATLS INC CO 4.0%

Value $1.825M Shares 55,045 Share Price $33.15 Est. Cost/Share $35.09 Unrealized @ Report Date -6.2%

FCX FREEPORT MCMORAN COPPER&GOLDCL 3.6%

Value $1.642M Shares 46,515 Share Price $35.30 * Est. Cost/Share $26.90 Unrealized @ Report Date +5.8%

— METLIFE INC PFD B 6.50 3.6%

Value $1.627M Shares 63,966 Share Price $25.44 Est. Cost/Share $24.91 Unrealized @ Report Date —

— CLIFFS NAT RES INC DEP1/40TH P 3.5%

Value $1.599M Shares 110,795 Share Price $14.43 Est. Cost/Share $18.51 Unrealized @ Report Date —

DNOW NOW INC COM 3.3%

Value $1.517M Shares 46,230 Share Price $32.81 * Est. Cost/Share $33.49 Unrealized @ Report Date -9.2%

PM PHILIP MORRIS INTL INC 3.1%

Value $1.416M Shares 16,576 Share Price $85.42 * Est. Cost/Share $45.32 Unrealized @ Report Date +5.3%

— CIVEO CORP COM 3.1%

Value $1.402M Shares 55,805 Share Price $25.12 Est. Cost/Share $25.04 Unrealized @ Report Date —

KN KNOWLES CORP COM 3.1%

Value $1.402M Shares 43,690 Share Price $32.09 * Est. Cost/Share $30.40 Unrealized @ Report Date -12.8%

ETN EATON CORP PLC SHS 3.1%

Value $1.391M Shares 19,920 Share Price $69.83 * Est. Cost/Share $54.13 Unrealized @ Report Date -10.4%

T A T & T INC (NEW) 3.1%

Value $1.39M Shares 39,740 Share Price $34.98 * Est. Cost/Share $10.85 Unrealized @ Report Date +9.8%

— COUNTRYWIDE CAP V GTD CAP SEC 2.6%

Value $1.203M Shares 47,216 Share Price $25.48 Est. Cost/Share $25.27 Unrealized @ Report Date —

— ARBOR RLTY TR INC CUM RED PFD 2.4%

Value $1.1M Shares 43,600 Share Price $25.23 Est. Cost/Share $25.23 Unrealized @ Report Date —

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.4%

Value $1.08M Shares 41,076 Share Price $26.29 Est. Cost/Share $25.28 Unrealized @ Report Date —

— CORTS TR II GOLDMAN SACHS CATR 2.1%

Value $970K Shares 38,716 Share Price $25.05 Est. Cost/Share $24.69 Unrealized @ Report Date —

— RAIT FINANCIAL TRUST SR NT 7.6 1.7%

Value $778K Shares 31,300 Share Price $24.86 Est. Cost/Share $24.80 Unrealized @ Report Date —

PG PROCTER & GAMBLE COMPANY 1.6%

Value $736K Shares 8,881 Share Price $82.87 * Est. Cost/Share $55.00 Unrealized @ Report Date +11.1%

— NAVIOS MARITIME HLDGS INC SPN 1.5%

Value $686K Shares 26,800 Share Price $25.60 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 $311K Shares 12,185 Share Price $25.52 Est. Cost/Share $24.59 Unrealized @ Report Date —

— FIRST REPUBLIC B 7.000% 00/00/ 0.6%

Value $280K Shares 10,266 Share Price $27.27 Est. Cost/Share $25.66 Unrealized @ Report Date —

AAPL APPLE COMPUTER INC 0.5%

Value $218K Shares 2,204 Share Price $98.91 * Est. Cost/Share $21.63 Unrealized @ Report Date +2.8%

— UNITED TECHNOLOGIES CORP 0.5%

Value $212K Shares 1,945 Share Price $109.00 Est. Cost/Share $113.78 Unrealized @ Report Date —

WSBIX WELLS FARGO FDS TR SHTRM MUN I 0.5%

Value $206K Shares 20,549 Share Price $10.02 Est. Cost/Share $10.02 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.5%

Value $206K Shares 2,080 Share Price $99.04 * Est. Cost/Share $53.72 Unrealized @ Report Date +8.4%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	172,741	$6.854M	15.0%	$39.68	$40.16	-1.6%	PREFERRED STOCKS	464288687
—	QWEST CORP NT	127,783	$3.045M	6.7%	$23.83	$22.99	—	PREFERRED STOCKS	74913G600
—	PITNEY BOWES NT 6.7%	114,841	$2.955M	6.5%	$25.73	$25.13	—	PREFERRED STOCKS	724479506
—	MAIDEN HLDGS NORTH AMER LTD GT	103,850	$2.69M	5.9%	$25.90	$21.82	—	PREFERRED STOCKS	56029Q408
—	FIRST REP BK SAN FRANCISCO CDE	87,975	$2.234M	4.9%	$25.39	$22.27	—	PREFERRED STOCKS	33616C407
—	BANC CALIF INC SR NT	80,666	$2.097M	4.6%	$26.00	$25.38	—	PREFERRED STOCKS	05990K304
BANC	BANC CALIF INC COM	170,206	$2.054M	4.5%	$12.07 *	$9.39	-6.6%	COM	05990K106
RYAM	RAYONIER ADVANCED MATLS INC CO	55,045	$1.825M	4.0%	$33.15	$35.09	-6.2%	COM	75508B104
FCX	FREEPORT MCMORAN COPPER&GOLDCL	46,515	$1.642M	3.6%	$35.30 *	$26.90	+5.8%	COM	35671D857
—	METLIFE INC PFD B 6.50	63,966	$1.627M	3.6%	$25.44	$24.91	—	PREFERRED STOCKS	59156R603
—	CLIFFS NAT RES INC DEP1/40TH P	110,795	$1.599M	3.5%	$14.43	$18.51	—	PREFERRED STOCKS	18683K408
DNOW	NOW INC COM	46,230	$1.517M	3.3%	$32.81 *	$33.49	-9.2%	COM	67011P100
PM	PHILIP MORRIS INTL INC	16,576	$1.416M	3.1%	$85.42 *	$45.32	+5.3%	COM	718172109
—	CIVEO CORP COM	55,805	$1.402M	3.1%	$25.12	$25.04	—	COM	178787107
KN	KNOWLES CORP COM	43,690	$1.402M	3.1%	$32.09 *	$30.40	-12.8%	COM	49926D109
ETN	EATON CORP PLC SHS	19,920	$1.391M	3.1%	$69.83 *	$54.13	-10.4%	COM	G29183103
T	A T & T INC (NEW)	39,740	$1.39M	3.1%	$34.98 *	$10.85	+9.8%	COM	00206R102
—	COUNTRYWIDE CAP V GTD CAP SEC	47,216	$1.203M	2.6%	$25.48	$25.27	—	PREFERRED STOCKS	222388209
—	ARBOR RLTY TR INC CUM RED PFD	43,600	$1.1M	2.4%	$25.23	$25.23	—	PREFERRED STOCKS	038923801
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	41,076	$1.08M	2.4%	$26.29	$25.28	—	PREFERRED STOCKS	G30397304
—	CORTS TR II GOLDMAN SACHS CATR	38,716	$970K	2.1%	$25.05	$24.69	—	PREFERRED STOCKS	22082P208
—	RAIT FINANCIAL TRUST SR NT 7.6	31,300	$778K	1.7%	$24.86	$24.80	—	PREFERRED STOCKS	749227807
PG	PROCTER & GAMBLE COMPANY	8,881	$736K	1.6%	$82.87 *	$55.00	+11.1%	COM	742718109
—	NAVIOS MARITIME HLDGS INC SPN	26,800	$686K	1.5%	$25.60	$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	$311K	0.7%	$25.52	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,266	$280K	0.6%	$27.27	$25.66	—	PREFERRED STOCKS	33616C860
AAPL	APPLE COMPUTER INC	2,204	$218K	0.5%	$98.91 *	$21.63	+2.8%	COM	037833100
—	UNITED TECHNOLOGIES CORP	1,945	$212K	0.5%	$109.00	$113.78	—	COM	913017109
WSBIX	WELLS FARGO FDS TR SHTRM MUN I	20,549	$206K	0.5%	$10.02	$10.02	—	MUTUAL FUNDS	949921654
XOM	EXXON MOBIL CORP	2,080	$206K	0.5%	$99.04 *	$53.72	+8.4%	COM	30231G102