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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
+2.25%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$259M
AUM Growth
+$19.6M
Cap. Flow
+$14.7M
Cap. Flow %
5.65%
Top 10 Hldgs %
97.72%
Holding
17
New
–
Increased
10
Reduced
6
Closed
1

Top Buys

Rank Stock Value
1
RBS.PRQ
ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q
RBS.PRQ
+$12.2M
2
BCS.PR.CL
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
+$3.48M
3
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$2.6M
4
BCS.PRC
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
+$730K
5
RBS.PRH.CL
Royal Bank Of Scotland Group
RBS.PRH.CL
+$506K

Top Sells

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$2.94M
2
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$1.52M
3
BCS.PRD.CL
Barclays Bank Plc
BCS.PRD.CL
+$748K
4
RBS.PRM
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
+$430K
5
HPS
John Hancock Preferred Income Fund III
HPS
+$166K

Sector Composition

Rank Sector Weight
1 Financials 15.34%
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
$58.8M 22.68%
48,393
-2,434
-5% -$2.94M
HSBC.PRA
2
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$39.8M 15.34%
1,569,321
+8,111
+0.5% +$206K
RBS.PRL.CL
3
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$31.3M 12.07%
1,357,416
+115,048
+9% +$2.6M
BCS.PRA.CL
4
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$29.9M 11.53%
1,166,703
+15,201
+1% +$390K
BCS.PRC
5
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$20.2M 7.79%
783,182
+28,261
+4% +$730K
RBS.PRQ
6
DELISTED
ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q
RBS.PRQ
$20M 7.7%
801,200
+500,000
+166% +$12.2M
BCS.PRD.CL
7
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$19.4M 7.5%
751,392
-28,900
-4% -$748K
BTZ icon
8
BlackRock Credit Allocation Income Trust
BTZ
$927M
$15.3M 5.91%
1,113,585
-111,121
-9% -$1.52M
HPS
9
John Hancock Preferred Income Fund III
HPS
$458M
$12M 4.63%
670,344
-9,383
-1% -$166K
BCS.PR.CL
10
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$6.69M 2.58%
263,733
+137,150
+108% +$3.48M
RBS.PRH.CL
11
DELISTED
Royal Bank Of Scotland Group
RBS.PRH.CL
$1.88M 0.72%
74,104
+19,961
+37% +$506K
RBS.PRN
12
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
$1.86M 0.72%
78,239
+12,422
+19% +$291K
KEY.PRG
13
DELISTED
KeyCorp Pfd
KEY.PRG
$1.18M 0.46%
9,025
-337
-4% -$43.8K
RBS.PRR
14
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$390K 0.15%
16,498
+981
+6% +$22.5K
NW.PRC.CL
15
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$316K 0.12%
12,013
+1,390
+13% +$36K
RBS.PRS.CL
16
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$276K 0.11%
11,929
-82
-0.7% -$1.97K
RBS.PRM
17
DELISTED
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
– –
-18,843
Closed -$430K

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SRF
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7IH
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HPM
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GSC
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VM
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CZI
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Spectrum Asset Management (Connecticut)'s Q2 2014 Portfolio in Review

As of Q2 2014, Spectrum Asset Management (Connecticut) held 17 positions worth $259M, up 8.2% from $240M the previous quarter. Its ten largest holdings account for 98% of the portfolio.

Spectrum Asset Management (Connecticut) deployed $14.7M of net new capital in Q2 2014, adding to 10 existing holdings.

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

On the sell side, the largest reduction was Wells Fargo 7.5% Non Cumv Perp Conv, an estimated $2.94M trimmed.

  • Spectrum Asset Management (Connecticut) added most to ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q in Q2 2014, an estimated $12.2M increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q2 2014 reduction was Wells Fargo 7.5% Non Cumv Perp Conv, cutting an estimated $2.94M.
  • Spectrum Asset Management (Connecticut) fully exited ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK) in Q2 2014, selling an estimated $430K.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 98% of its $259M portfolio in Q2 2014.
  • Spectrum Asset Management (Connecticut) opened 0 new positions and closed 1 in Q2 2014.
  • Spectrum Asset Management (Connecticut)'s portfolio value rose 8.2% quarter-over-quarter to $259M.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q2 2014, filed 12 Aug 2014.