BANTA ASSET MANAGEMENT LP Diversified Active

Location: Newport Beach, CA

CIK: 0001426960 · Show all filings

Period: Q3 2015 (← Previous) (Next →)

Filing Date: Nov 12, 2015

Total Value: $59.35M (100.0% shares, 0.0% debt)

Holdings (34)

PFF ISHARES TR US PFD STK IDX 7.6%

Value $4.525M Shares 117,239 Share Price $38.60 Est. Cost/Share $40.15 Unrealized @ Report Date -3.9%

AAPL APPLE COMPUTER INC 6.0%

Value $3.569M Shares 32,360 Share Price $110.29 * Est. Cost/Share $25.04 Unrealized @ Report Date -1.1%

— MAIDEN HLDGS NORTH AMER LTD GT 4.4%

Value $2.591M Shares 96,150 Share Price $26.95 Est. Cost/Share $21.82 Unrealized @ Report Date —

PG PROCTER & GAMBLE COMPANY 3.9%

Value $2.34M Shares 32,524 Share Price $71.95 * Est. Cost/Share $56.02 Unrealized @ Report Date -3.3%

COP CONOCOPHILLIPS 3.8%

Value $2.266M Shares 47,240 Share Price $47.97 * Est. Cost/Share $43.53 Unrealized @ Report Date -20.0%

QCOM QUALCOMM INC 3.8%

Value $2.25M Shares 41,885 Share Price $53.72 * Est. Cost/Share $51.66 Unrealized @ Report Date -22.3%

— QWEST CORP NT 3.6%

Value $2.155M Shares 89,800 Share Price $24.00 Est. Cost/Share $23.02 Unrealized @ Report Date —

— BAXALTA INC COM 3.6%

Value $2.153M Shares 68,335 Share Price $31.51 Est. Cost/Share $31.51 Unrealized @ Report Date —

— PITNEY BOWES NT 6.7% 3.5%

Value $2.049M Shares 78,508 Share Price $26.10 Est. Cost/Share $25.13 Unrealized @ Report Date —

— BANC CALIF INC SR NT 3.4%

Value $2.016M Shares 79,566 Share Price $25.34 Est. Cost/Share $25.39 Unrealized @ Report Date —

CMI CUMMINS ENGINE INC 3.4%

Value $2.01M Shares 18,515 Share Price $108.56 * Est. Cost/Share $92.93 Unrealized @ Report Date -11.7%

— MALLINCKRODT PUB LTD CO SHS 3.4%

Value $1.995M Shares 31,203 Share Price $63.94 Est. Cost/Share $63.94 Unrealized @ Report Date —

MU MICRON TECHNOLOGY INC 3.1%

Value $1.866M Shares 124,550 Share Price $14.98 * Est. Cost/Share $16.78 Unrealized @ Report Date -12.9%

JNJ JOHNSON & JOHNSON 3.1%

Value $1.85M Shares 19,820 Share Price $93.34 * Est. Cost/Share $72.48 Unrealized @ Report Date -3.1%

— MONSANTO CO NEW 3.1%

Value $1.845M Shares 21,615 Share Price $85.36 Est. Cost/Share $85.36 Unrealized @ Report Date —

FCX FREEPORT MCMORAN COPPER&GOLDCL 3.0%

Value $1.771M Shares 182,807 Share Price $9.69 * Est. Cost/Share $20.64 Unrealized @ Report Date -57.6%

— UNITED TECHNOLOGIES CORP 3.0%

Value $1.768M Shares 19,870 Share Price $88.98 Est. Cost/Share $91.25 Unrealized @ Report Date —

— FIRST REP BK SAN FRANCISCO CDE 3.0%

Value $1.754M Shares 68,875 Share Price $25.47 Est. Cost/Share $22.27 Unrealized @ Report Date —

GILD GILEAD SCIENCES INC COM 2.9%

Value $1.716M Shares 17,475 Share Price $98.20 * Est. Cost/Share $77.50 Unrealized @ Report Date -11.3%

DIS DISNEY WALT PRODTNS 2.8%

Value $1.644M Shares 16,090 Share Price $102.18 * Est. Cost/Share $99.73 Unrealized @ Report Date -6.1%

— RAIT FINANCIAL TRUST SR NT 7.6 2.7%

Value $1.595M Shares 74,400 Share Price $21.44 Est. Cost/Share $24.08 Unrealized @ Report Date —

EMR EMERSON ELEC CO 2.5%

Value $1.487M Shares 33,665 Share Price $44.17 * Est. Cost/Share $37.33 Unrealized @ Report Date -9.8%

Value $1.483M Shares 10,228 Share Price $144.99 * Est. Cost/Share $95.35 Unrealized @ Report Date -5.8%

BA BOEING CO 2.5%

Value $1.456M Shares 11,120 Share Price $130.94 * Est. Cost/Share $123.33 Unrealized @ Report Date -5.4%

— CHESAPEAKE ENERGY CORP 2.4%

Value $1.437M Shares 196,085 Share Price $7.33 Est. Cost/Share $7.33 Unrealized @ Report Date —

— NAVIOS MARITIME HLDGS INC SPN 2.2%

Value $1.324M Shares 74,000 Share Price $17.89 Est. Cost/Share $25.71 Unrealized @ Report Date —

— UNITED STATES CELLULAR CORP SR 2.1%

Value $1.225M Shares 48,400 Share Price $25.31 Est. Cost/Share $25.32 Unrealized @ Report Date —

ABBV ABBVIE INC COM 1.9%

Value $1.137M Shares 20,905 Share Price $54.39 * Est. Cost/Share $42.52 Unrealized @ Report Date -16.3%

— ARBOR RLTY TR INC CUM RED PFD 1.9%

Value $1.114M Shares 44,900 Share Price $24.81 Est. Cost/Share $25.23 Unrealized @ Report Date —

— COUNTRYWIDE CAP V GTD CAP SEC 1.9%

Value $1.105M Shares 43,033 Share Price $25.68 Est. Cost/Share $25.27 Unrealized @ Report Date —

ENH 7.5 PERP B ENDURANCE SPECIALTY HLDGS LTPF 1.6%

Value $951K Shares 36,876 Share Price $25.79 Est. Cost/Share $25.28 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR III PFD G 0.6%

Value $355K Shares 13,900 Share Price $25.54 Est. Cost/Share $25.26 Unrealized @ Report Date —

— MERRILL LYNCH CAP TR II PFD GD 0.5%

Value $304K Shares 11,985 Share Price $25.37 Est. Cost/Share $24.59 Unrealized @ Report Date —

— FIRST REPUBLIC B 7.000% 00/00/ 0.4%

Value $249K Shares 9,083 Share Price $27.41 Est. Cost/Share $25.66 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PFF	ISHARES TR US PFD STK IDX	117,239	$4.525M	7.6%	$38.60	$40.15	-3.9%	PREFERRED STOCKS	464288687
AAPL	APPLE COMPUTER INC	32,360	$3.569M	6.0%	$110.29 *	$25.04	-1.1%	COM	037833100
—	MAIDEN HLDGS NORTH AMER LTD GT	96,150	$2.591M	4.4%	$26.95	$21.82	—	PREFERRED STOCKS	56029Q408
PG	PROCTER & GAMBLE COMPANY	32,524	$2.34M	3.9%	$71.95 *	$56.02	-3.3%	COM	742718109
COP	CONOCOPHILLIPS	47,240	$2.266M	3.8%	$47.97 *	$43.53	-20.0%	COM	20825C104
QCOM	QUALCOMM INC	41,885	$2.25M	3.8%	$53.72 *	$51.66	-22.3%	COM	747525103
—	QWEST CORP NT	89,800	$2.155M	3.6%	$24.00	$23.02	—	PREFERRED STOCKS	74913G600
—	BAXALTA INC COM	68,335	$2.153M	3.6%	$31.51	$31.51	—	COM	07177M103
—	PITNEY BOWES NT 6.7%	78,508	$2.049M	3.5%	$26.10	$25.13	—	PREFERRED STOCKS	724479506
—	BANC CALIF INC SR NT	79,566	$2.016M	3.4%	$25.34	$25.39	—	PREFERRED STOCKS	05990K304
CMI	CUMMINS ENGINE INC	18,515	$2.01M	3.4%	$108.56 *	$92.93	-11.7%	COM	231021106
—	MALLINCKRODT PUB LTD CO SHS	31,203	$1.995M	3.4%	$63.94	$63.94	—	COM	G5785G107
MU	MICRON TECHNOLOGY INC	124,550	$1.866M	3.1%	$14.98 *	$16.78	-12.9%	COM	595112103
JNJ	JOHNSON & JOHNSON	19,820	$1.85M	3.1%	$93.34 *	$72.48	-3.1%	COM	478160104
—	MONSANTO CO NEW	21,615	$1.845M	3.1%	$85.36	$85.36	—	COM	61166W101
FCX	FREEPORT MCMORAN COPPER&GOLDCL	182,807	$1.771M	3.0%	$9.69 *	$20.64	-57.6%	COM	35671D857
—	UNITED TECHNOLOGIES CORP	19,870	$1.768M	3.0%	$88.98	$91.25	—	COM	913017109
—	FIRST REP BK SAN FRANCISCO CDE	68,875	$1.754M	3.0%	$25.47	$22.27	—	PREFERRED STOCKS	33616C407
GILD	GILEAD SCIENCES INC COM	17,475	$1.716M	2.9%	$98.20 *	$77.50	-11.3%	COM	375558103
DIS	DISNEY WALT PRODTNS	16,090	$1.644M	2.8%	$102.18 *	$99.73	-6.1%	COM	254687106
—	RAIT FINANCIAL TRUST SR NT 7.6	74,400	$1.595M	2.7%	$21.44	$24.08	—	PREFERRED STOCKS	749227807
EMR	EMERSON ELEC CO	33,665	$1.487M	2.5%	$44.17 *	$37.33	-9.8%	COM	291011104
IBM	IBM	10,228	$1.483M	2.5%	$144.99 *	$95.35	-5.8%	COM	459200101
BA	BOEING CO	11,120	$1.456M	2.5%	$130.94 *	$123.33	-5.4%	COM	097023105
—	CHESAPEAKE ENERGY CORP	196,085	$1.437M	2.4%	$7.33	$7.33	—	COM	165167107
—	NAVIOS MARITIME HLDGS INC SPN	74,000	$1.324M	2.2%	$17.89	$25.71	—	PREFERRED STOCKS	63938Y100
—	UNITED STATES CELLULAR CORP SR	48,400	$1.225M	2.1%	$25.31	$25.32	—	PREFERRED STOCKS	911684504
ABBV	ABBVIE INC COM	20,905	$1.137M	1.9%	$54.39 *	$42.52	-16.3%	COM	00287Y109
—	ARBOR RLTY TR INC CUM RED PFD	44,900	$1.114M	1.9%	$24.81	$25.23	—	PREFERRED STOCKS	038923801
—	COUNTRYWIDE CAP V GTD CAP SEC	43,033	$1.105M	1.9%	$25.68	$25.27	—	PREFERRED STOCKS	222388209
ENH 7.5 PERP B	ENDURANCE SPECIALTY HLDGS LTPF	36,876	$951K	1.6%	$25.79	$25.28	—	PREFERRED STOCKS	G30397304
—	MERRILL LYNCH CAP TR III PFD G	13,900	$355K	0.6%	$25.54	$25.26	—	PREFERRED STOCKS	59025D207
—	MERRILL LYNCH CAP TR II PFD GD	11,985	$304K	0.5%	$25.37	$24.59	—	PREFERRED STOCKS	59024T203
—	FIRST REPUBLIC B 7.000% 00/00/	9,083	$249K	0.4%	$27.41	$25.66	—	PREFERRED STOCKS	33616C860