BANTA ASSET MANAGEMENT LP Diversified Active

CIK: 0001426960 · Show all filings

Period: Q3 2014 (← Previous) (Next →)

Filing Date: Oct 15, 2014

Total Value ($000): $45,548 (100.0% shares, 0.0% debt)

Holdings (31)

PFF ISHARES TR US PFD STK IDX 15.0%

Value ($000) $6,854 Shares 172,741 Est. Cost $39.25 Unrealized —

— QWEST CORP NT 6.7%

Value ($000) $3,045 Shares 127,783 Est. Cost $22.99 Unrealized —

— PITNEY BOWES NT 6.7% 6.5%

Value ($000) $2,955 Shares 114,841 Est. Cost $25.13 Unrealized —

— MAIDEN HLDGS NORTH AMER LTD GT 5.9%

Value ($000) $2,690 Shares 103,850 Est. Cost $21.82 Unrealized —

— FIRST REP BK SAN FRANCISCO CDE 4.9%

Value ($000) $2,234 Shares 87,975 Est. Cost $22.27 Unrealized —

— BANC CALIF INC SR NT 4.6%

Value ($000) $2,097 Shares 80,666 Est. Cost $25.38 Unrealized —

BANC BANC CALIF INC COM 4.5%

Value ($000) $2,054 Shares 170,206 Est. Cost $9.39 Unrealized -7.0%

RYAM RAYONIER ADVANCED MATLS INC CO 4.0%

Value ($000) $1,825 Shares 55,045 Est. Cost $35.09 Unrealized 0.0%

FCX FREEPORT MCMORAN COPPER&GOLDCL 3.6%

Value ($000) $1,642 Shares 46,515 Est. Cost $26.90 Unrealized +17.6%

— METLIFE INC PFD B 6.50 3.6%

Value ($000) $1,627 Shares 63,966 Est. Cost $24.91 Unrealized —

— CLIFFS NAT RES INC DEP1/40TH P 3.5%

Value ($000) $1,599 Shares 110,795 Est. Cost $18.51 Unrealized —

DNOW NOW INC COM 3.3%

Value ($000) $1,517 Shares 46,230 Est. Cost $33.49 Unrealized -2.2%

PM PHILIP MORRIS INTL INC 3.1%

Value ($000) $1,416 Shares 16,576 Est. Cost $45.32 Unrealized +5.7%

— CIVEO CORP COM 3.1%

Value ($000) $1,402 Shares 55,805 Est. Cost $25.04 Unrealized —

KN KNOWLES CORP COM 3.1%

Value ($000) $1,402 Shares 43,690 Est. Cost $30.40 Unrealized +0.4%

ETN EATON CORP PLC SHS 3.1%

Value ($000) $1,391 Shares 19,920 Est. Cost $54.13 Unrealized 0.0%

T A T & T INC (NEW) 3.1%

Value ($000) $1,390 Shares 39,740 Est. Cost $10.85 Unrealized +9.7%

— COUNTRYWIDE CAP V GTD CAP SEC 2.6%

Value ($000) $1,203 Shares 47,216 Est. Cost $25.27 Unrealized —

— ARBOR RLTY TR INC CUM RED PFD 2.4%

Value ($000) $1,100 Shares 43,600 Est. Cost $25.23 Unrealized —

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.4%

Value ($000) $1,080 Shares 41,076 Est. Cost $25.28 Unrealized —

— CORTS TR II GOLDMAN SACHS CATR 2.1%

Value ($000) $970 Shares 38,716 Est. Cost $24.69 Unrealized —

— RAIT FINANCIAL TRUST SR NT 7.6 1.7%

Value ($000) $778 Shares 31,300 Est. Cost $24.80 Unrealized —

PG PROCTER & GAMBLE COMPANY 1.6%

Value ($000) $736 Shares 8,881 Est. Cost $55.00 Unrealized +8.6%

— NAVIOS MARITIME HLDGS INC SPN 1.5%

Value ($000) $686 Shares 26,800 Est. Cost $25.73 Unrealized —

— MERRILL LYNCH CAP TR III PFD G 0.9%

Value ($000) $422 Shares 16,200 Est. Cost $25.26 Unrealized —

— MERRILL LYNCH CAP TR II PFD GD 0.7%

Value ($000) $311 Shares 12,185 Est. Cost $24.59 Unrealized —

— FIRST REPUBLIC B 7.000% 00/00/ 0.6%

Value ($000) $280 Shares 10,266 Est. Cost $25.66 Unrealized —

AAPL APPLE COMPUTER INC 0.5%

Value ($000) $218 Shares 2,204 Est. Cost $21.63 Unrealized 0.0%

— UNITED TECHNOLOGIES CORP 0.5%

Value ($000) $212 Shares 1,945 Est. Cost $113.78 Unrealized —

WSBIX WELLS FARGO FDS TR SHTRM MUN I 0.5%

Value ($000) $206 Shares 20,549 Est. Cost $10.02 Unrealized —

XOM EXXON MOBIL CORP 0.5%

Value ($000) $206 Shares 2,080 Est. Cost $53.72 Unrealized +14.5%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	172,741	$6,854	15.0%	$39.25	—	PREFERRED STOCKS	464288687
—	QWEST CORP NT	127,783	$3,045	6.7%	$22.99	—	PREFERRED STOCKS	74913G600
—	PITNEY BOWES NT 6.7%	114,841	$2,955	6.5%	$25.13	—	PREFERRED STOCKS	724479506
—	MAIDEN HLDGS NORTH AMER LTD GT	103,850	$2,690	5.9%	$21.82	—	PREFERRED STOCKS	56029Q408
—	FIRST REP BK SAN FRANCISCO CDE	87,975	$2,234	4.9%	$22.27	—	PREFERRED STOCKS	33616C407
—	BANC CALIF INC SR NT	80,666	$2,097	4.6%	$25.38	—	PREFERRED STOCKS	05990K304
BANC	BANC CALIF INC COM	170,206	$2,054	4.5%	$9.39	-7.0%	COM	05990K106
RYAM	RAYONIER ADVANCED MATLS INC CO	55,045	$1,825	4.0%	$35.09	0.0%	COM	75508B104
FCX	FREEPORT MCMORAN COPPER&GOLDCL	46,515	$1,642	3.6%	$26.90	+17.6%	COM	35671D857
—	METLIFE INC PFD B 6.50	63,966	$1,627	3.6%	$24.91	—	PREFERRED STOCKS	59156R603
—	CLIFFS NAT RES INC DEP1/40TH P	110,795	$1,599	3.5%	$18.51	—	PREFERRED STOCKS	18683K408
DNOW	NOW INC COM	46,230	$1,517	3.3%	$33.49	-2.2%	COM	67011P100
PM	PHILIP MORRIS INTL INC	16,576	$1,416	3.1%	$45.32	+5.7%	COM	718172109
—	CIVEO CORP COM	55,805	$1,402	3.1%	$25.04	—	COM	178787107
KN	KNOWLES CORP COM	43,690	$1,402	3.1%	$30.40	+0.4%	COM	49926D109
ETN	EATON CORP PLC SHS	19,920	$1,391	3.1%	$54.13	0.0%	COM	G29183103
T	A T & T INC (NEW)	39,740	$1,390	3.1%	$10.85	+9.7%	COM	00206R102
—	COUNTRYWIDE CAP V GTD CAP SEC	47,216	$1,203	2.6%	$25.27	—	PREFERRED STOCKS	222388209
—	ARBOR RLTY TR INC CUM RED PFD	43,600	$1,100	2.4%	$25.23	—	PREFERRED STOCKS	038923801
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	41,076	$1,080	2.4%	$25.28	—	PREFERRED STOCKS	G30397304
—	CORTS TR II GOLDMAN SACHS CATR	38,716	$970	2.1%	$24.69	—	PREFERRED STOCKS	22082P208
—	RAIT FINANCIAL TRUST SR NT 7.6	31,300	$778	1.7%	$24.80	—	PREFERRED STOCKS	749227807
PG	PROCTER & GAMBLE COMPANY	8,881	$736	1.6%	$55.00	+8.6%	COM	742718109
—	NAVIOS MARITIME HLDGS INC SPN	26,800	$686	1.5%	$25.73	—	COM	63938Y100
—	MERRILL LYNCH CAP TR III PFD G	16,200	$422	0.9%	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	12,185	$311	0.7%	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,266	$280	0.6%	$25.66	—	PREFERRED STOCKS	33616C860
AAPL	APPLE COMPUTER INC	2,204	$218	0.5%	$21.63	0.0%	COM	037833100
—	UNITED TECHNOLOGIES CORP	1,945	$212	0.5%	$113.78	—	COM	913017109
WSBIX	WELLS FARGO FDS TR SHTRM MUN I	20,549	$206	0.5%	$10.02	—	MUTUAL FUNDS	949921654
XOM	EXXON MOBIL CORP	2,080	$206	0.5%	$53.72	+14.5%	COM	30231G102