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Spectrum Asset Management (Connecticut) Portfolio holdings

AUM $50M
1-Year Est. Return 2.62%
This Fund
S&P 500
This Quarter Est. Return
-2.23%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$246M
AUM Growth
-$10.6M
Cap. Flow
-$5.29M
Cap. Flow %
-2.15%
Top 10 Hldgs %
96.6%
Holding
19
New
–
Increased
3
Reduced
11
Closed
1

Top Buys

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$17.7M
2
BBT.PRG
BB&T Corporation Depositary Shares each representing 1/1,000th interest in a share of Series G Non-C
BBT.PRG
+$706K
3
RBS.PRN
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
+$313K

Top Sells

Rank Stock Value
1
BAC.PRL icon
Bank of America Series L
BAC.PRL
+$16.5M
2
BCS.PRD.CL
Barclays Bank Plc
BCS.PRD.CL
+$3.51M
3
CWH.PRD
COMMONWEALTH REIT 6.50% PFD CUMV CONV SHS SER D
CWH.PRD
+$2.91M
4
HSBC.PRA
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
+$488K
5
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$308K

Sector Composition

Rank Sector Weight
1 Financials 13.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WFC.PRL icon
1
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.67B
$59.6M 24.2%
52,413
+15,436
+42% +$17.7M
HSBC.PRA
2
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$32.1M 13.05%
1,303,978
-19,760
-1% -$488K
BCS.PRA.CL
3
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$28.9M 11.71%
1,154,125
-2,594
-0.2% -$65K
RBS.PRL.CL
4
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$27.2M 11.05%
1,373,182
-15,829
-1% -$308K
BCS.PRD.CL
5
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$21.8M 8.86%
857,737
-138,529
-14% -$3.51M
BCS.PRC
6
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$20M 8.13%
793,441
-3,275
-0.4% -$82.7K
BTZ icon
7
BlackRock Credit Allocation Income Trust
BTZ
$930M
$16M 6.48%
1,224,706
– –
BAC.PRL icon
8
Bank of America Series L
BAC.PRL
$3.97B
$14.4M 5.84%
13,306
-15,066
-53% -$16.5M
HPS
9
John Hancock Preferred Income Fund III
HPS
$458M
$11.3M 4.6%
677,144
– –
RBS.PRQ
10
DELISTED
ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q
RBS.PRQ
$6.59M 2.68%
301,200
-1,481
-0.5% -$31.8K
RBS.PRN
11
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
$1.97M 0.8%
95,022
+15,367
+19% +$313K
BCS.PR.CL
12
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$1.92M 0.78%
78,538
-2,235
-3% -$54.8K
BBT.PRG
13
DELISTED
BB&T Corporation Depositary Shares each representing 1/1,000th interest in a share of Series G Non-C
BBT.PRG
$1.69M 0.68%
85,605
+33,080
+63% +$706K
KEY.PRG
14
DELISTED
KeyCorp Pfd
KEY.PRG
$1.17M 0.47%
9,362
– –
RBS.PRM
15
DELISTED
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
$564K 0.23%
26,903
-1,556
-5% -$31.8K
RBS.PRR
16
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$486K 0.2%
24,140
-893
-4% -$17.9K
RBS.PRS.CL
17
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$315K 0.13%
14,694
-1,788
-11% -$37.5K
NW.PRC.CL
18
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$266K 0.11%
10,623
– –
CWH.PRD
19
DELISTED
COMMONWEALTH REIT 6.50% PFD CUMV CONV SHS SER D
CWH.PRD
– –
-125,781
Closed -$2.91M

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SRF
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Spectrum Asset Management (Connecticut)'s Q3 2013 Portfolio in Review

As of Q3 2013, Spectrum Asset Management (Connecticut) held 19 positions worth $246M, down 4.1% from $257M the previous quarter. Its ten largest holdings account for 97% of the portfolio.

Spectrum Asset Management (Connecticut)'s Q3 2013 filing shows 3 increased, 11 reduced and 1 closed positions. The largest sale was Bank of America Series L, an estimated $16.5M.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 13% a quarter earlier.

  • Spectrum Asset Management (Connecticut) added most to Wells Fargo 7.5% Non Cumv Perp Conv in Q3 2013, an estimated $17.7M increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q3 2013 reduction was Bank of America Series L, cutting an estimated $16.5M.
  • Spectrum Asset Management (Connecticut) fully exited COMMONWEALTH REIT 6.50% PFD CUMV CONV SHS SER D in Q3 2013, selling an estimated $2.91M.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 97% of its $246M portfolio in Q3 2013.
  • Spectrum Asset Management (Connecticut) opened 0 new positions and closed 1 in Q3 2013.
  • Spectrum Asset Management (Connecticut)'s portfolio value fell 4.1% quarter-over-quarter to $246M.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q3 2013, filed 6 Nov 2013.