Spectrum Asset Management, Inc. Concentrated Active

Location: Stamford, CT

CIK: 0001318293 · Show all filings

Period: Q3 2026 (← Previous)

Filing Date: Nov 2, 2026

Total Value: $75.91M (100.0% shares, 0.0% debt)

Holdings (4)

New Positions (1)

PQDI PRINCIPAL EXCHANGE TRADED FD 51.2%

Value $38.84M Shares 2,080,000 Share Price $18.67 Est. Cost/Share $19.19 Unrealized @ Report Date -2.7%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PQDI	PRINCIPAL EXCHANGE TRADED FD	2,080,000	$38.84M	51.2%	$18.67	$19.19	-2.7%	SPECTRUM PREFERR	74255Y763

Exited Positions (1)

VRP INVESCO EXCH TRADED FD TR II 14.3%

Value $10.84M Shares 445,782 Share Price $24.31 * Est. Cost/Share $24.36 Unrealized @ Report Date -2.7%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
VRP	INVESCO EXCH TRADED FD TR II	445,782	$10.84M	14.3%	$24.31 *	$24.36	-2.7%	—	46138G870

Decreased Positions (1)

PGX INVESCO EXCH TRADED FD TR II 42.5%

Value $32.27M (-39.9%) Shares 3,204,111 (-35.3%) Share Price $10.07 Est. Cost/Share $11.52 Unrealized @ Report Date -12.6%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
PGX	INVESCO EXCH TRADED FD TR II	3,204,111 (-35.3%)	$32.27M (-39.9%)	42.5%	$10.07	$11.52	-12.6%	PFD ETF	46138E511

Unchanged Positions (2)

— WELLS FARGO & CO 4.9%

Value $3.708M Shares 3,437 Share Price $1078.99 Est. Cost/Share $1320.55 Unrealized @ Report Date —

— BANK OF AMER CORP 1.4%

Value $1.095M Shares 897 Share Price $1220.96 Est. Cost/Share $1308.36 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	WELLS FARGO & CO	3,437	$3.708M	4.9%	$1078.99	$1320.55	—	PERP PFD CNV A	949746804
—	BANK OF AMER CORP	897	$1.095M	1.4%	$1220.96	$1308.36	—	7.25%CNV PFD L	060505682