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BAM

Banta Asset Management Portfolio holdings

AUM $99.5M
This Fund
S&P 500
This Quarter Est. Return
+2.87%
1 Year Est. Return
–
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$40.7M
AUM Growth
+$6.8M
Cap. Flow
+$5.81M
Cap. Flow %
14.28%
Top 10 Hldgs %
61.11%
Holding
34
New
8
Increased
16
Reduced
4
Closed
4

Top Buys

Rank Stock Value
1
FRC.PRB.CL
First Republic Bank
FRC.PRB.CL
+$1.88M
2
MHNC
Maiden Holdings North America
MHNC
+$1.73M
3
MET.PRB
METLIFE INC PFD SERIES B
MET.PRB
+$1.53M
4
ALLE icon
Allegion
ALLE
+$1.24M
5
ENH.PRB
ENDURANCE SPECIALTY HLDGS LTD PFD SR B (BMU)
ENH.PRB
+$1.03M

Top Sells

Rank Stock Value
1
JOY
Joy Global Inc
JOY
+$1.26M
2
CLF icon
Cleveland-Cliffs
CLF
+$1.25M
3
GEK.CL
General Electric Capital Corp.
GEK.CL
+$1.03M
4
FCX icon
Freeport-McMoran
FCX
+$454K
5
AVP
Avon Products, Inc.
AVP
+$214K

Sector Composition

Rank Sector Weight
1 Healthcare 15.25%
2 Technology 8.1%
3 Industrials 4.19%
4 Financials 3.17%
5 Materials 3.14%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFF icon
1
iShares Preferred and Income Securities ETF
PFF
$13.3B
$6.82M 16.75%
185,056
+2,385
+1% +$90K
PBI.PRB icon
2
Pitney Bowes Inc 6.70% Notes Due 2043
PBI.PRB
$349M
$2.73M 6.71%
111,675
+11,775
+12% +$292K
CTY
3
DELISTED
QWEST CORPORATION 6.125% NOTES DUE 2053
CTY
$2.23M 5.48%
117,650
+16,125
+16% +$327K
CLV
4
DELISTED
CLIFFS NAT RES INC. DEPO SHS REPSTG 1/40TH PFD CONV SER A
CLV
$2.08M 5.1%
90,450
+8,950
+11% +$197K
MNK
5
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$1.89M 4.65%
36,235
+1,431
+4% +$68.2K
FRC.PRB.CL
6
DELISTED
First Republic Bank
FRC.PRB.CL
$1.86M 4.57%
+84,075
New +$1.88M
AAPL icon
7
Apple
AAPL
$4.9T
$1.85M 4.54%
92,148
-1,204
-1% -$22.7K
ABBV icon
8
AbbVie
ABBV
$450B
$1.73M 4.26%
32,805
+540
+2% +$26.5K
MHNC
9
Maiden Holdings North America
MHNC
$71.2M
$1.61M 3.97%
+78,050
New +$1.73M
MET.PRB
10
DELISTED
METLIFE INC PFD SERIES B
MET.PRB
$1.53M 3.76%
+61,500
New +$1.53M
IBM icon
11
IBM
IBM
$200B
$1.45M 3.57%
8,095
-50
-0.6% -$8.62K
ZTS icon
12
Zoetis
ZTS
$32.1B
$1.4M 3.45%
42,920
+555
+1% +$17.7K
BANC icon
13
Banc of California
BANC
$3.27B
$1.29M 3.17%
96,185
+120
+0.1% +$1.61K
FCX icon
14
Freeport-McMoran
FCX
$83.9B
$1.28M 3.14%
33,890
-12,795
-27% -$454K
ALLE icon
15
Allegion
ALLE
$11.8B
$1.27M 3.11%
+28,650
New +$1.24M
COV
16
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
$1.18M 2.9%
17,329
+100
+0.6% +$6.51K
CFC.PRB.CL
17
DELISTED
Countrywide Capital V
CFC.PRB.CL
$1.15M 2.83%
45,463
+26,238
+136% +$661K
ENH.PRB
18
DELISTED
ENDURANCE SPECIALTY HLDGS LTD PFD SR B (BMU)
ENH.PRB
$1.03M 2.53%
+40,776
New +$1.03M
HYL.CL
19
DELISTED
STRUCTURED PRODS CORP 6% CP BKD TR SEC CORTS CL-A CERT
HYL.CL
$926K 2.28%
39,150
+3,900
+11% +$94K
PG icon
20
Procter & Gamble
PG
$349B
$747K 1.84%
9,181
+55
+0.6% +$4.48K
C.PRQ
21
DELISTED
CITIGROUP CAP XI CAP SECS TRUPS 6%
C.PRQ
$465K 1.14%
18,693
+800
+4% +$20K
MER.PRP.CL
22
DELISTED
Merrill Lynch Capital Trust Iii
MER.PRP.CL
$409K 1%
16,200
+2,000
+14% +$50.7K
MER.PRM
23
DELISTED
MERRILL LYNCH CAP TRII GUARANTEED TRUST PFD SECS 6.450%
MER.PRM
$302K 0.74%
12,285
+1,100
+10% +$27.3K
FRC.PRE.CL
24
DELISTED
First Republic Bank
FRC.PRE.CL
$272K 0.67%
+10,600
New +$267K
XOM icon
25
ExxonMobil
XOM
$611B
$271K 0.67%
2,678
-63
-2% -$5.83K
1
2

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AVI
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Banta Asset Management's Q4 2013 Portfolio in Review

As of Q4 2013, Banta Asset Management held 34 positions worth $40.7M, up 20% from $33.9M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Banta Asset Management deployed $5.81M of net new capital in Q4 2013, opening 8 new positions and adding to 16 existing holdings. Its largest new stake was First Republic Bank: 84,075 shares worth $1.86M.

By sector, the portfolio is most concentrated in Healthcare at 15% of assets, down from 16% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was Freeport-McMoran, an estimated $454K trimmed.

  • Banta Asset Management's largest Q4 2013 buy was First Republic Bank: 84,075 shares worth $1.86M.
  • Banta Asset Management added most to Countrywide Capital V in Q4 2013, an estimated $661K increase.
  • Banta Asset Management's biggest Q4 2013 reduction was Freeport-McMoran, cutting an estimated $454K.
  • Banta Asset Management fully exited Joy Global Inc in Q4 2013, selling an estimated $1.26M.
  • Banta Asset Management's ten largest holdings make up 61% of its $40.7M portfolio in Q4 2013.
  • Banta Asset Management opened 8 new positions and closed 4 in Q4 2013.
  • Banta Asset Management's portfolio value rose 20% quarter-over-quarter to $40.7M.

Based on Banta Asset Management's 13F filing for Q4 2013, filed 29 Jan 2014.