BANTA ASSET MANAGEMENT LP Diversified Active

Location: Newport Beach, CA

CIK: 0001426960 · Show all filings

Period: Q4 2014 (← Previous) (Next →)

Filing Date: Jan 16, 2015

Total Value: $53.12M (100.0% shares, 0.0% debt)

Holdings (34)

PFF ISHARES TR US PFD STK IDX 13.2%

Value $6.987M Shares 177,154 Share Price $39.44 Est. Cost/Share $40.15 Unrealized @ Report Date -1.8%

— QWEST CORP NT 5.9%

Value $3.145M Shares 130,508 Share Price $24.10 Est. Cost/Share $23.02 Unrealized @ Report Date —

— PITNEY BOWES NT 6.7% 5.7%

Value $3.04M Shares 114,041 Share Price $26.66 Est. Cost/Share $25.13 Unrealized @ Report Date —

— MAIDEN HLDGS NORTH AMER LTD GT 5.2%

Value $2.74M Shares 103,150 Share Price $26.56 Est. Cost/Share $21.82 Unrealized @ Report Date —

— FIRST REP BK SAN FRANCISCO CDE 4.2%

Value $2.237M Shares 87,975 Share Price $25.43 Est. Cost/Share $22.27 Unrealized @ Report Date —

— BANC CALIF INC SR NT 4.1%

Value $2.165M Shares 83,966 Share Price $25.78 Est. Cost/Share $25.39 Unrealized @ Report Date —

ETN EATON CORP PLC SHS 3.9%

Value $2.048M Shares 30,130 Share Price $67.97 * Est. Cost/Share $52.95 Unrealized @ Report Date -1.1%

— HALYARD HEALTH INC COM 3.8%

Value $2.037M Shares 44,800 Share Price $45.47 Est. Cost/Share $45.47 Unrealized @ Report Date —

AAPL APPLE COMPUTER INC 3.7%

Value $1.96M Shares 17,753 Share Price $110.40 * Est. Cost/Share $23.78 Unrealized @ Report Date +2.9%

TEX TEREX CORP NEW 3.7%

Value $1.942M Shares 69,660 Share Price $27.88 Est. Cost/Share $28.59 Unrealized @ Report Date -2.5%

BANC BANC CALIF INC COM 3.6%

Value $1.938M Shares 168,941 Share Price $11.47 * Est. Cost/Share $9.39 Unrealized @ Report Date -6.9%

FCX FREEPORT MCMORAN COPPER&GOLDCL 3.6%

Value $1.918M Shares 82,105 Share Price $23.36 * Est. Cost/Share $25.76 Unrealized @ Report Date -20.2%

COP CONOCOPHILLIPS 3.4%

Value $1.812M Shares 26,235 Share Price $69.07 * Est. Cost/Share $48.86 Unrealized @ Report Date -1.0%

BWA BORGWARNER INC COM 3.4%

Value $1.791M Shares 32,600 Share Price $54.94 * Est. Cost/Share $41.30 Unrealized @ Report Date -0.6%

DNOW NOW INC COM 3.2%

Value $1.71M Shares 66,465 Share Price $25.73 Est. Cost/Share $31.62 Unrealized @ Report Date -18.6%

— METLIFE INC PFD B 6.50 3.1%

Value $1.635M Shares 63,366 Share Price $25.80 Est. Cost/Share $24.91 Unrealized @ Report Date —

PM PHILIP MORRIS INTL INC 2.6%

Value $1.361M Shares 16,706 Share Price $81.47 * Est. Cost/Share $45.32 Unrealized @ Report Date +4.1%

T A T & T INC (NEW) 2.5%

Value $1.35M Shares 40,185 Share Price $33.59 * Est. Cost/Share $10.86 Unrealized @ Report Date +6.4%

QCOM QUALCOMM INC 2.4%

Value $1.294M Shares 17,415 Share Price $74.30 * Est. Cost/Share $53.34 Unrealized @ Report Date +1.9%

— COUNTRYWIDE CAP V GTD CAP SEC 2.3%

Value $1.199M Shares 46,566 Share Price $25.75 Est. Cost/Share $25.27 Unrealized @ Report Date —

— ARBOR RLTY TR INC CUM RED PFD 2.2%

Value $1.171M Shares 46,300 Share Price $25.29 Est. Cost/Share $25.23 Unrealized @ Report Date —

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.0%

Value $1.077M Shares 41,076 Share Price $26.22 Est. Cost/Share $25.28 Unrealized @ Report Date —

— CORTS TR II GOLDMAN SACHS CATR 1.8%

Value $976K Shares 38,316 Share Price $25.47 Est. Cost/Share $24.69 Unrealized @ Report Date —

KN KNOWLES CORP COM 1.5%

Value $822K Shares 34,905 Share Price $23.55 Est. Cost/Share $30.40 Unrealized @ Report Date -22.5%

PG PROCTER & GAMBLE COMPANY 1.5%

Value $809K Shares 8,881 Share Price $91.09 * Est. Cost/Share $55.00 Unrealized @ Report Date +21.8%

— RAIT FINANCIAL TRUST SR NT 7.6 1.5%

Value $803K Shares 34,400 Share Price $23.34 Est. Cost/Share $24.67 Unrealized @ Report Date —

— NAVIOS MARITIME HLDGS INC SPN 1.1%

Value $606K Shares 31,900 Share Price $19.00 Est. Cost/Share $24.66 Unrealized @ Report Date —

RYAM RAYONIER ADVANCED MATLS INC CO 1.1%

Value $602K Shares 26,990 Share Price $22.30 Est. Cost/Share $35.09 Unrealized @ Report Date -36.5%

— MCDERMOTT INTL INC 1.0%

Value $515K Shares 177,120 Share Price $2.91 Est. Cost/Share $2.91 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR III PFD G 0.8%

Value $421K Shares 16,200 Share Price $25.99 Est. Cost/Share $25.26 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR II PFD GD 0.6%

Value $308K Shares 12,185 Share Price $25.28 Est. Cost/Share $24.59 Unrealized @ Report Date —

— FIRST REPUBLIC B 7.000% 00/00/ 0.5%

Value $277K Shares 10,066 Share Price $27.52 Est. Cost/Share $25.66 Unrealized @ Report Date —

Value $217K Shares 1,321 Share Price $164.27 * Est. Cost/Share $89.68 Unrealized @ Report Date +7.3%

— UNITED TECHNOLOGIES CORP 0.4%

Value $209K Shares 1,820 Share Price $114.84 Est. Cost/Share $113.78 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	177,154	$6.987M	13.2%	$39.44	$40.15	-1.8%	PREFERRED STOCKS	464288687
—	QWEST CORP NT	130,508	$3.145M	5.9%	$24.10	$23.02	—	PREFERRED STOCKS	74913G600
—	PITNEY BOWES NT 6.7%	114,041	$3.04M	5.7%	$26.66	$25.13	—	PREFERRED STOCKS	724479506
—	MAIDEN HLDGS NORTH AMER LTD GT	103,150	$2.74M	5.2%	$26.56	$21.82	—	PREFERRED STOCKS	56029Q408
—	FIRST REP BK SAN FRANCISCO CDE	87,975	$2.237M	4.2%	$25.43	$22.27	—	PREFERRED STOCKS	33616C407
—	BANC CALIF INC SR NT	83,966	$2.165M	4.1%	$25.78	$25.39	—	PREFERRED STOCKS	05990K304
ETN	EATON CORP PLC SHS	30,130	$2.048M	3.9%	$67.97 *	$52.95	-1.1%	COM	G29183103
—	HALYARD HEALTH INC COM	44,800	$2.037M	3.8%	$45.47	$45.47	—	COM	40650V100
AAPL	APPLE COMPUTER INC	17,753	$1.96M	3.7%	$110.40 *	$23.78	+2.9%	COM	037833100
TEX	TEREX CORP NEW	69,660	$1.942M	3.7%	$27.88	$28.59	-2.5%	COM	880779103
BANC	BANC CALIF INC COM	168,941	$1.938M	3.6%	$11.47 *	$9.39	-6.9%	COM	05990K106
FCX	FREEPORT MCMORAN COPPER&GOLDCL	82,105	$1.918M	3.6%	$23.36 *	$25.76	-20.2%	COM	35671D857
COP	CONOCOPHILLIPS	26,235	$1.812M	3.4%	$69.07 *	$48.86	-1.0%	COM	20825C104
BWA	BORGWARNER INC COM	32,600	$1.791M	3.4%	$54.94 *	$41.30	-0.6%	COM	099724106
DNOW	NOW INC COM	66,465	$1.71M	3.2%	$25.73	$31.62	-18.6%	COM	67011P100
—	METLIFE INC PFD B 6.50	63,366	$1.635M	3.1%	$25.80	$24.91	—	PREFERRED STOCKS	59156R603
PM	PHILIP MORRIS INTL INC	16,706	$1.361M	2.6%	$81.47 *	$45.32	+4.1%	COM	718172109
T	A T & T INC (NEW)	40,185	$1.35M	2.5%	$33.59 *	$10.86	+6.4%	COM	00206R102
QCOM	QUALCOMM INC	17,415	$1.294M	2.4%	$74.30 *	$53.34	+1.9%	COM	747525103
—	COUNTRYWIDE CAP V GTD CAP SEC	46,566	$1.199M	2.3%	$25.75	$25.27	—	PREFERRED STOCKS	222388209
—	ARBOR RLTY TR INC CUM RED PFD	46,300	$1.171M	2.2%	$25.29	$25.23	—	PREFERRED STOCKS	038923801
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	41,076	$1.077M	2.0%	$26.22	$25.28	—	PREFERRED STOCKS	G30397304
—	CORTS TR II GOLDMAN SACHS CATR	38,316	$976K	1.8%	$25.47	$24.69	—	PREFERRED STOCKS	22082P208
KN	KNOWLES CORP COM	34,905	$822K	1.5%	$23.55	$30.40	-22.5%	COM	49926D109
PG	PROCTER & GAMBLE COMPANY	8,881	$809K	1.5%	$91.09 *	$55.00	+21.8%	COM	742718109
—	RAIT FINANCIAL TRUST SR NT 7.6	34,400	$803K	1.5%	$23.34	$24.67	—	PREFERRED STOCKS	749227807
—	NAVIOS MARITIME HLDGS INC SPN	31,900	$606K	1.1%	$19.00	$24.66	—	COM	63938Y100
RYAM	RAYONIER ADVANCED MATLS INC CO	26,990	$602K	1.1%	$22.30	$35.09	-36.5%	COM	75508B104
—	MCDERMOTT INTL INC	177,120	$515K	1.0%	$2.91	$2.91	—	COM	580037109
—	MERRILL LYNCH CAP TR III PFD G	16,200	$421K	0.8%	$25.99	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	12,185	$308K	0.6%	$25.28	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,066	$277K	0.5%	$27.52	$25.66	—	PREFERRED STOCKS	33616C860
MMM	3M CO	1,321	$217K	0.4%	$164.27 *	$89.68	+7.3%	COM	88579Y101
—	UNITED TECHNOLOGIES CORP	1,820	$209K	0.4%	$114.84	$113.78	—	COM	913017109