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SAMC

Spectrum Asset Management (Connecticut) Portfolio holdings

AUM $50M
1-Year Est. Return 2.62%
This Fund
S&P 500
This Quarter Est. Return
-1.01%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$228M
AUM Growth
-$18.4M
Cap. Flow
-$16M
Cap. Flow %
-7.04%
Top 10 Hldgs %
98.12%
Holding
18
New
–
Increased
5
Reduced
7
Closed
2

Top Buys

Rank Stock Value
1
HSBC.PRA
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
+$2.7M
2
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$745K
3
RBS.PRM
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
+$57.3K
4
HPS
John Hancock Preferred Income Fund III
HPS
+$41.5K
5
RBS.PRS.CL
The Royal Bank Of Scotland Group
RBS.PRS.CL
+$20.4K

Top Sells

Rank Stock Value
1
BAC.PRL icon
Bank of America Series L
BAC.PRL
+$14.4M
2
BBT.PRG
BB&T Corporation Depositary Shares each representing 1/1,000th interest in a share of Series G Non-C
BBT.PRG
+$1.69M
3
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$1.35M
4
BCS.PRC
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
+$841K
5
RBS.PRN
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
+$547K

Sector Composition

Rank Sector Weight
1 Financials 15.31%
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
$4.66B
$56.8M 24.94%
51,213
-1,200
-2% -$1.35M
HSBC.PRA
2
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$34.9M 15.31%
1,413,239
+109,261
+8% +$2.7M
BCS.PRA.CL
3
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$28.8M 12.65%
1,145,942
-8,183
-0.7% -$205K
RBS.PRL.CL
4
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$27.6M 12.09%
1,410,956
+37,774
+3% +$745K
BCS.PRD.CL
5
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$21.3M 9.33%
838,063
-19,674
-2% -$501K
BCS.PRC
6
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$19.3M 8.45%
760,266
-33,175
-4% -$841K
BTZ icon
7
BlackRock Credit Allocation Income Trust
BTZ
$931M
$16M 7.02%
1,224,706
– –
HPS
8
John Hancock Preferred Income Fund III
HPS
$459M
$10.6M 4.65%
679,727
+2,583
+0.4% +$41.5K
RBS.PRQ
9
DELISTED
ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q
RBS.PRQ
$6.53M 2.86%
301,200
– –
BCS.PR.CL
10
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$1.86M 0.82%
77,201
-1,337
-2% -$32.7K
RBS.PRN
11
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
$1.41M 0.62%
69,042
-25,980
-27% -$547K
KEY.PRG
12
DELISTED
KeyCorp Pfd
KEY.PRG
$1.21M 0.53%
9,362
– –
RBS.PRM
13
DELISTED
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
$619K 0.27%
29,608
+2,705
+10% +$57.3K
RBS.PRR
14
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$435K 0.19%
21,811
-2,329
-10% -$47.6K
RBS.PRS.CL
15
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$336K 0.15%
15,631
+937
+6% +$20.4K
NW.PRC.CL
16
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$267K 0.12%
10,623
– –
BAC.PRL icon
17
Bank of America Series L
BAC.PRL
$3.97B
– –
-13,306
Closed -$14.4M
BBT.PRG
18
DELISTED
BB&T Corporation Depositary Shares each representing 1/1,000th interest in a share of Series G Non-C
BBT.PRG
– –
-85,605
Closed -$1.69M

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SRF
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7IH
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HPM
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Spectrum Asset Management (Connecticut)'s Q4 2013 Portfolio in Review

As of Q4 2013, Spectrum Asset Management (Connecticut) held 18 positions worth $228M, down 7.5% from $246M the previous quarter. Its ten largest holdings account for 98% of the portfolio.

Spectrum Asset Management (Connecticut) withdrew a net $16M in Q4 2013, closing 2 positions and reducing 7 holdings. Its most notable exit was Bank of America Series L, an estimated $14.4M position sold in full.

By sector, the portfolio is most concentrated in Financials at 15% of assets, up from 13% a quarter earlier.

Against the trend, Spectrum Asset Management (Connecticut) added an estimated $2.7M to HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A).

  • Spectrum Asset Management (Connecticut) added most to HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A) in Q4 2013, an estimated $2.7M increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q4 2013 reduction was Wells Fargo 7.5% Non Cumv Perp Conv, cutting an estimated $1.35M.
  • Spectrum Asset Management (Connecticut) fully exited Bank of America Series L in Q4 2013, selling an estimated $14.4M.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 98% of its $228M portfolio in Q4 2013.
  • Spectrum Asset Management (Connecticut) opened 0 new positions and closed 2 in Q4 2013.
  • Spectrum Asset Management (Connecticut)'s portfolio value fell 7.5% quarter-over-quarter to $228M.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q4 2013, filed 12 Feb 2014.