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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
+4.97%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$240M
AUM Growth
+$11.7M
Cap. Flow
+$279K
Cap. Flow %
0.12%
Top 10 Hldgs %
97.75%
Holding
17
New
1
Increased
3
Reduced
8
Closed
–

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
+$3.71M
2
RBS.PRH.CL
Royal Bank Of Scotland Group
RBS.PRH.CL
+$1.35M
3
BCS.PR.CL
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
+$1.23M
4
BCS.PRA.CL
Barclays Bank Plc Series 3
BCS.PRA.CL
+$141K

Top Sells

Rank Stock Value
1
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$3.55M
2
BCS.PRD.CL
Barclays Bank Plc
BCS.PRD.CL
+$1.48M
3
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$448K
4
RBS.PRM
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
+$242K
5
RBS.PRR
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
+$137K

Sector Composition

Rank Sector Weight
1 Financials 16.58%
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 24.88%
50,827
-386
-0.8% -$448K
HSBC.PRA
2
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$39.7M 16.58%
1,561,210
+147,971
+10% +$3.71M
BCS.PRA.CL
3
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$29.6M 12.34%
1,151,502
+5,560
+0.5% +$141K
RBS.PRL.CL
4
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$26.8M 11.19%
1,242,368
-168,588
-12% -$3.55M
BCS.PRD.CL
5
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$20.3M 8.47%
780,292
-57,771
-7% -$1.48M
BCS.PRC
6
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$19.6M 8.17%
754,921
-5,345
-0.7% -$137K
BTZ icon
7
BlackRock Credit Allocation Income Trust
BTZ
$931M
$16.6M 6.91%
1,224,706
– –
HPS
8
John Hancock Preferred Income Fund III
HPS
$457M
$11.8M 4.91%
679,727
– –
RBS.PRQ
9
DELISTED
ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q
RBS.PRQ
$7.11M 2.97%
301,200
– –
BCS.PR.CL
10
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$3.2M 1.34%
126,583
+49,382
+64% +$1.23M
RBS.PRN
11
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
$1.49M 0.62%
65,817
-3,225
-5% -$72K
RBS.PRH.CL
12
DELISTED
Royal Bank Of Scotland Group
RBS.PRH.CL
$1.35M 0.57%
+54,143
New +$1.35M
KEY.PRG
13
DELISTED
KeyCorp Pfd
KEY.PRG
$1.22M 0.51%
9,362
– –
RBS.PRM
14
DELISTED
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
$430K 0.18%
18,843
-10,765
-36% -$242K
RBS.PRR
15
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$342K 0.14%
15,517
-6,294
-29% -$137K
RBS.PRS.CL
16
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$277K 0.12%
12,011
-3,620
-23% -$82.9K
NW.PRC.CL
17
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$272K 0.11%
10,623
– –

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SRF
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7IH
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VM
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Spectrum Asset Management (Connecticut)'s Q1 2014 Portfolio in Review

As of Q1 2014, Spectrum Asset Management (Connecticut) held 17 positions worth $240M, up 5.1% from $228M the previous quarter. Its ten largest holdings account for 98% of the portfolio.

Spectrum Asset Management (Connecticut)'s Q1 2014 filing shows 1 new, 3 increased and 8 reduced positions. Its largest new stake was Royal Bank Of Scotland Group: 54,143 shares worth $1.35M. The largest sale was Royal Bank Of Scotland Group Plc, an estimated $3.55M.

By sector, the portfolio is most concentrated in Financials at 17% of assets, up from 15% a quarter earlier.

  • Spectrum Asset Management (Connecticut)'s largest Q1 2014 buy was Royal Bank Of Scotland Group: 54,143 shares worth $1.35M.
  • 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 Q1 2014, an estimated $3.71M increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q1 2014 reduction was Royal Bank Of Scotland Group Plc, cutting an estimated $3.55M.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 98% of its $240M portfolio in Q1 2014.
  • Spectrum Asset Management (Connecticut) opened 1 new position and closed 0 in Q1 2014.
  • Spectrum Asset Management (Connecticut)'s portfolio value rose 5.1% quarter-over-quarter to $240M.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q1 2014, filed 13 May 2014.