BANTA ASSET MANAGEMENT LP Diversified Active

CIK: 0001426960 · Show all filings

Period: Q4 2014 (← Previous) (Next →)

Filing Date: Jan 16, 2015

Total Value ($000): $53,122 (100.0% shares, 0.0% debt)

Holdings (34)

PFF ISHARES TR US PFD STK IDX 13.2%

Value ($000) $6,987 Shares 177,154 Est. Cost $39.25 Unrealized —

— QWEST CORP NT 5.9%

Value ($000) $3,145 Shares 130,508 Est. Cost $23.02 Unrealized —

— PITNEY BOWES NT 6.7% 5.7%

Value ($000) $3,040 Shares 114,041 Est. Cost $25.13 Unrealized —

— MAIDEN HLDGS NORTH AMER LTD GT 5.2%

Value ($000) $2,740 Shares 103,150 Est. Cost $21.82 Unrealized —

— FIRST REP BK SAN FRANCISCO CDE 4.2%

Value ($000) $2,237 Shares 87,975 Est. Cost $22.27 Unrealized —

— BANC CALIF INC SR NT 4.1%

Value ($000) $2,165 Shares 83,966 Est. Cost $25.39 Unrealized —

ETN EATON CORP PLC SHS 3.9%

Value ($000) $2,048 Shares 30,130 Est. Cost $52.95 Unrealized -4.3%

— HALYARD HEALTH INC COM 3.8%

Value ($000) $2,037 Shares 44,800 Est. Cost $45.47 Unrealized —

AAPL APPLE COMPUTER INC 3.7%

Value ($000) $1,960 Shares 17,753 Est. Cost $23.78 Unrealized +1.3%

TEX TEREX CORP NEW 3.7%

Value ($000) $1,942 Shares 69,660 Est. Cost $28.59 Unrealized 0.0%

BANC BANC CALIF INC COM 3.6%

Value ($000) $1,938 Shares 168,941 Est. Cost $9.39 Unrealized -8.6%

FCX FREEPORT MCMORAN COPPER&GOLDCL 3.6%

Value ($000) $1,918 Shares 82,105 Est. Cost $25.76 Unrealized -5.8%

COP CONOCOPHILLIPS 3.4%

Value ($000) $1,812 Shares 26,235 Est. Cost $48.86 Unrealized 0.0%

BWA BORGWARNER INC COM 3.4%

Value ($000) $1,791 Shares 32,600 Est. Cost $41.30 Unrealized 0.0%

DNOW NOW INC COM 3.2%

Value ($000) $1,710 Shares 66,465 Est. Cost $31.62 Unrealized -13.5%

— METLIFE INC PFD B 6.50 3.1%

Value ($000) $1,635 Shares 63,366 Est. Cost $24.91 Unrealized —

PM PHILIP MORRIS INTL INC 2.6%

Value ($000) $1,361 Shares 16,706 Est. Cost $45.32 Unrealized +8.6%

T A T & T INC (NEW) 2.5%

Value ($000) $1,350 Shares 40,185 Est. Cost $10.86 Unrealized +8.7%

QCOM QUALCOMM INC 2.4%

Value ($000) $1,294 Shares 17,415 Est. Cost $53.34 Unrealized 0.0%

— COUNTRYWIDE CAP V GTD CAP SEC 2.3%

Value ($000) $1,199 Shares 46,566 Est. Cost $25.27 Unrealized —

— ARBOR RLTY TR INC CUM RED PFD 2.2%

Value ($000) $1,171 Shares 46,300 Est. Cost $25.23 Unrealized —

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 2.0%

Value ($000) $1,077 Shares 41,076 Est. Cost $25.28 Unrealized —

— CORTS TR II GOLDMAN SACHS CATR 1.8%

Value ($000) $976 Shares 38,316 Est. Cost $24.69 Unrealized —

KN KNOWLES CORP COM 1.5%

Value ($000) $822 Shares 34,905 Est. Cost $30.40 Unrealized -31.9%

PG PROCTER & GAMBLE COMPANY 1.5%

Value ($000) $809 Shares 8,881 Est. Cost $55.00 Unrealized +17.5%

— RAIT FINANCIAL TRUST SR NT 7.6 1.5%

Value ($000) $803 Shares 34,400 Est. Cost $24.67 Unrealized —

— NAVIOS MARITIME HLDGS INC SPN 1.1%

Value ($000) $606 Shares 31,900 Est. Cost $24.66 Unrealized —

RYAM RAYONIER ADVANCED MATLS INC CO 1.1%

Value ($000) $602 Shares 26,990 Est. Cost $35.09 Unrealized -24.6%

— MCDERMOTT INTL INC 1.0%

Value ($000) $515 Shares 177,120 Est. Cost $2.91 Unrealized —

— MERRILL LYNCH CAP TR III PFD G 0.8%

Value ($000) $421 Shares 16,200 Est. Cost $25.26 Unrealized —

— MERRILL LYNCH CAP TR II PFD GD 0.6%

Value ($000) $308 Shares 12,185 Est. Cost $24.59 Unrealized —

— FIRST REPUBLIC B 7.000% 00/00/ 0.5%

Value ($000) $277 Shares 10,066 Est. Cost $25.66 Unrealized —

Value ($000) $217 Shares 1,321 Est. Cost $89.68 Unrealized 0.0%

— UNITED TECHNOLOGIES CORP 0.4%

Value ($000) $209 Shares 1,820 Est. Cost $113.78 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	177,154	$6,987	13.2%	$39.25	—	PREFERRED STOCKS	464288687
—	QWEST CORP NT	130,508	$3,145	5.9%	$23.02	—	PREFERRED STOCKS	74913G600
—	PITNEY BOWES NT 6.7%	114,041	$3,040	5.7%	$25.13	—	PREFERRED STOCKS	724479506
—	MAIDEN HLDGS NORTH AMER LTD GT	103,150	$2,740	5.2%	$21.82	—	PREFERRED STOCKS	56029Q408
—	FIRST REP BK SAN FRANCISCO CDE	87,975	$2,237	4.2%	$22.27	—	PREFERRED STOCKS	33616C407
—	BANC CALIF INC SR NT	83,966	$2,165	4.1%	$25.39	—	PREFERRED STOCKS	05990K304
ETN	EATON CORP PLC SHS	30,130	$2,048	3.9%	$52.95	-4.3%	COM	G29183103
—	HALYARD HEALTH INC COM	44,800	$2,037	3.8%	$45.47	—	COM	40650V100
AAPL	APPLE COMPUTER INC	17,753	$1,960	3.7%	$23.78	+1.3%	COM	037833100
TEX	TEREX CORP NEW	69,660	$1,942	3.7%	$28.59	0.0%	COM	880779103
BANC	BANC CALIF INC COM	168,941	$1,938	3.6%	$9.39	-8.6%	COM	05990K106
FCX	FREEPORT MCMORAN COPPER&GOLDCL	82,105	$1,918	3.6%	$25.76	-5.8%	COM	35671D857
COP	CONOCOPHILLIPS	26,235	$1,812	3.4%	$48.86	0.0%	COM	20825C104
BWA	BORGWARNER INC COM	32,600	$1,791	3.4%	$41.30	0.0%	COM	099724106
DNOW	NOW INC COM	66,465	$1,710	3.2%	$31.62	-13.5%	COM	67011P100
—	METLIFE INC PFD B 6.50	63,366	$1,635	3.1%	$24.91	—	PREFERRED STOCKS	59156R603
PM	PHILIP MORRIS INTL INC	16,706	$1,361	2.6%	$45.32	+8.6%	COM	718172109
T	A T & T INC (NEW)	40,185	$1,350	2.5%	$10.86	+8.7%	COM	00206R102
QCOM	QUALCOMM INC	17,415	$1,294	2.4%	$53.34	0.0%	COM	747525103
—	COUNTRYWIDE CAP V GTD CAP SEC	46,566	$1,199	2.3%	$25.27	—	PREFERRED STOCKS	222388209
—	ARBOR RLTY TR INC CUM RED PFD	46,300	$1,171	2.2%	$25.23	—	PREFERRED STOCKS	038923801
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	41,076	$1,077	2.0%	$25.28	—	PREFERRED STOCKS	G30397304
—	CORTS TR II GOLDMAN SACHS CATR	38,316	$976	1.8%	$24.69	—	PREFERRED STOCKS	22082P208
KN	KNOWLES CORP COM	34,905	$822	1.5%	$30.40	-31.9%	COM	49926D109
PG	PROCTER & GAMBLE COMPANY	8,881	$809	1.5%	$55.00	+17.5%	COM	742718109
—	RAIT FINANCIAL TRUST SR NT 7.6	34,400	$803	1.5%	$24.67	—	PREFERRED STOCKS	749227807
—	NAVIOS MARITIME HLDGS INC SPN	31,900	$606	1.1%	$24.66	—	COM	63938Y100
RYAM	RAYONIER ADVANCED MATLS INC CO	26,990	$602	1.1%	$35.09	-24.6%	COM	75508B104
—	MCDERMOTT INTL INC	177,120	$515	1.0%	$2.91	—	COM	580037109
—	MERRILL LYNCH CAP TR III PFD G	16,200	$421	0.8%	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	12,185	$308	0.6%	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	10,066	$277	0.5%	$25.66	—	PREFERRED STOCKS	33616C860
MMM	3M CO	1,321	$217	0.4%	$89.68	0.0%	COM	88579Y101
—	UNITED TECHNOLOGIES CORP	1,820	$209	0.4%	$113.78	—	COM	913017109