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BAM

Banta Asset Management Portfolio holdings

AUM $112M
This Fund
S&P 500
This Quarter Est. Return
+2.08%
1 Year Est. Return
–
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$33.9M
AUM Growth
-$2.38M
Cap. Flow
-$3.3M
Cap. Flow %
-9.74%
Top 10 Hldgs %
66.97%
Holding
32
New
4
Increased
11
Reduced
9
Closed
6

Top Buys

Rank Stock Value
1
MNK
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
+$1.53M
2
BANC icon
Banc of California
BANC
+$1.35M
3
IBM icon
IBM
IBM
+$1.19M
4
ZTS icon
Zoetis
ZTS
+$389K
5
CTY
QWEST CORPORATION 6.125% NOTES DUE 2053
CTY
+$300K

Top Sells

Rank Stock Value
1
BANCL
FIRST PACTRUST BANCORP INC SR NT DUE 4/15/2020 (MD)
BANCL
+$1.92M
2
FPTB
FIRST PACTRUST BANCORP INC
FPTB
+$1.35M
3
LO
LORILLARD INC COM STK
LO
+$1.31M
4
CLF icon
Cleveland-Cliffs
CLF
+$1.25M
5
QCOM icon
Qualcomm
QCOM
+$1.18M

Sector Composition

Rank Sector Weight
1 Healthcare 15.77%
2 Technology 8.94%
3 Materials 8.23%
4 Financials 3.92%
5 Industrials 3.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFF icon
1
iShares Preferred and Income Securities ETF
PFF
$13.2B
$6.94M 20.47%
182,671
-4,875
-3% -$186K
PBI.PRB icon
2
Pitney Bowes Inc 6.70% Notes Due 2043
PBI.PRB
$347M
$2.47M 7.28%
99,900
+11,200
+13% +$278K
CTY
3
DELISTED
QWEST CORPORATION 6.125% NOTES DUE 2053
CTY
$2.15M 6.34%
101,525
+13,700
+16% +$300K
CLV
4
DELISTED
CLIFFS NAT RES INC. DEPO SHS REPSTG 1/40TH PFD CONV SER A
CLV
$1.61M 4.75%
81,500
+925
+1% +$18.2K
AAPL icon
5
Apple
AAPL
$4.72T
$1.59M 4.69%
93,352
-55,272
-37% -$916K
FCX icon
6
Freeport-McMoran
FCX
$91.3B
$1.54M 4.55%
46,685
-32,920
-41% -$1.01M
MNK
7
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$1.53M 4.53%
+34,804
New +$1.53M
ABBV icon
8
AbbVie
ABBV
$454B
$1.44M 4.26%
32,265
-620
-2% -$27.5K
IBM icon
9
IBM
IBM
$195B
$1.44M 4.25%
8,145
+6,574
+418% +$1.19M
BANC icon
10
Banc of California
BANC
$3.3B
$1.33M 3.92%
+96,065
New +$1.35M
ZTS icon
11
Zoetis
ZTS
$31.3B
$1.32M 3.89%
42,365
+12,710
+43% +$389K
JOY
12
DELISTED
Joy Global Inc
JOY
$1.26M 3.72%
24,680
-550
-2% -$28.1K
CLF icon
13
Cleveland-Cliffs
CLF
$6.25B
$1.25M 3.68%
60,850
-60,835
-50% -$1.25M
COV
14
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
$1.05M 3.1%
17,229
-2,881
-14% -$176K
GEK.CL
15
DELISTED
General Electric Capital Corp.
GEK.CL
$1.03M 3.05%
50,600
-5,600
-10% -$118K
HYL.CL
16
DELISTED
STRUCTURED PRODS CORP 6% CP BKD TR SEC CORTS CL-A CERT
HYL.CL
$850K 2.51%
35,250
+2,500
+8% +$61.4K
PG icon
17
Procter & Gamble
PG
$342B
$690K 2.04%
9,126
-375
-4% -$29.8K
CFC.PRB.CL
18
DELISTED
Countrywide Capital V
CFC.PRB.CL
$485K 1.43%
19,225
+1,400
+8% +$35.2K
C.PRQ
19
DELISTED
CITIGROUP CAP XI CAP SECS TRUPS 6%
C.PRQ
$444K 1.31%
17,893
+250
+1% +$6.24K
MER.PRP.CL
20
DELISTED
Merrill Lynch Capital Trust Iii
MER.PRP.CL
$358K 1.06%
14,200
+1,100
+8% +$27.9K
MER.PRM
21
DELISTED
MERRILL LYNCH CAP TRII GUARANTEED TRUST PFD SECS 6.450%
MER.PRM
$275K 0.81%
+11,185
New +$278K
XOM icon
22
ExxonMobil
XOM
$650B
$236K 0.7%
2,741
+189
+7% +$17K
AVP
23
DELISTED
Avon Products, Inc.
AVP
$214K 0.63%
10,375
+725
+8% +$15.5K
CVX icon
24
Chevron
CVX
$387B
$206K 0.61%
1,695
– –
PM icon
25
Philip Morris
PM
$298B
$203K 0.6%
2,346
– –
1
2

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Banta Asset Management's Q3 2013 Portfolio in Review

As of Q3 2013, Banta Asset Management held 32 positions worth $33.9M, down 6.5% from $36.3M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Banta Asset Management withdrew a net $3.3M in Q3 2013, closing 6 positions and reducing 9 holdings. Its most notable exit was FIRST PACTRUST BANCORP INC SR NT DUE 4/15/2020 (MD), an estimated $1.92M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 16% of assets, up from 9.4% a quarter earlier, followed by Technology and Materials.

Against the trend, Banta Asset Management opened a new position in MALLINCKRODT PUBLIC LIMITED COMPANY worth $1.53M.

  • Banta Asset Management's largest Q3 2013 buy was MALLINCKRODT PUBLIC LIMITED COMPANY: 34,804 shares worth $1.53M.
  • Banta Asset Management added most to IBM in Q3 2013, an estimated $1.19M increase.
  • Banta Asset Management's biggest Q3 2013 reduction was Cleveland-Cliffs, cutting an estimated $1.25M.
  • Banta Asset Management fully exited FIRST PACTRUST BANCORP INC SR NT DUE 4/15/2020 (MD) in Q3 2013, selling an estimated $1.92M.
  • Banta Asset Management's ten largest holdings make up 67% of its $33.9M portfolio in Q3 2013.
  • Banta Asset Management opened 4 new positions and closed 6 in Q3 2013.
  • Banta Asset Management's portfolio value fell 6.5% quarter-over-quarter to $33.9M.

Based on Banta Asset Management's 13F filing for Q3 2013, filed 13 Nov 2013.