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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
-0.42%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$315M
AUM Growth
+$1.03M
Cap. Flow
-$18.1M
Cap. Flow %
-5.75%
Top 10 Hldgs %
97.03%
Holding
20
New
1
Increased
5
Reduced
6
Closed
3

Top Buys

Rank Stock Value
1
DLR.PRI
DIGITAL RLTY TR INC PFD SR I % (MD)
DLR.PRI
+$5.04M
2
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$220K
3
RBS.PRS.CL
The Royal Bank Of Scotland Group
RBS.PRS.CL
+$18.6K
4
NW.PRC.CL
Natwest Bank Ads Series C
NW.PRC.CL
+$16.7K
5
RBS.PRR
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
+$10.2K

Top Sells

Rank Stock Value
1
RBS.PRQ
ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q
RBS.PRQ
+$15.1M
2
RBS.PRN
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
+$2.08M
3
RBS.PRT
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
+$447K
4
BCS.PR.CL
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
+$430K
5
BCS.PRD.CL
Barclays Bank Plc
BCS.PRD.CL
+$293K

Sector Composition

Rank Sector Weight
1 Financials 12.18%
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
$92.6M 29.34%
79,240
– –
RBS.PRL.CL
2
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$56.9M 18.03%
1,467,926
+8,957
+0.6% +$220K
HSBC.PRA
3
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$38.4M 12.18%
1,519,353
-1,081
-0.1% -$27.4K
BCS.PRA.CL
4
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$28.5M 9.04%
1,114,576
-5,376
-0.5% -$139K
BCS.PRC
5
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$18.5M 5.87%
716,706
-1,199
-0.2% -$31.2K
BCS.PRD.CL
6
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$17.3M 5.48%
668,755
-11,255
-2% -$293K
BCS.PR.CL
7
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$14.3M 4.53%
559,863
-16,781
-3% -$430K
BTZ icon
8
BlackRock Credit Allocation Income Trust
BTZ
$927M
$11.8M 3.73%
966,571
– –
HPS
9
John Hancock Preferred Income Fund III
HPS
$458M
$11.2M 3.54%
670,344
– –
DLR.PRI
10
DELISTED
DIGITAL RLTY TR INC PFD SR I % (MD)
DLR.PRI
$5.08M 1.61%
+205,498
New +$5.04M
RBS.PRH.CL
11
DELISTED
Royal Bank Of Scotland Group
RBS.PRH.CL
$1.58M 0.5%
62,337
– –
KEY.PRG
12
DELISTED
KeyCorp Pfd
KEY.PRG
$1.03M 0.33%
7,850
– –
RBS.PRT
13
DELISTED
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
$600K 0.19%
23,777
-17,569
-42% -$447K
RBS.PRR
14
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$445K 0.14%
17,974
+409
+2% +$10.2K
RBS.PRS.CL
15
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$351K 0.11%
14,053
+741
+6% +$18.6K
NW.PRC.CL
16
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$288K 0.09%
11,273
+650
+6% +$16.7K
RBS.PRN
17
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
– –
-83,793
Closed -$2.08M
RBS.PRQ
18
DELISTED
ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q
RBS.PRQ
– –
-598,409
Closed -$15.1M

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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 Q3 2015 Portfolio in Review

As of Q3 2015, Spectrum Asset Management (Connecticut) held 20 positions worth $315M, up 0.33% from $314M the previous quarter. Its ten largest holdings account for 97% of the portfolio.

Spectrum Asset Management (Connecticut) withdrew a net $18.1M in Q3 2015, closing 3 positions and reducing 6 holdings. Its most notable exit was ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q, an estimated $15.1M position sold in full.

By sector, the portfolio is most concentrated in Financials at 12% of assets, down from 12% a quarter earlier.

Against the trend, Spectrum Asset Management (Connecticut) opened a new position in DIGITAL RLTY TR INC PFD SR I % (MD) worth $5.08M.

  • Spectrum Asset Management (Connecticut)'s largest Q3 2015 buy was DIGITAL RLTY TR INC PFD SR I % (MD): 205,498 shares worth $5.08M.
  • Spectrum Asset Management (Connecticut) added most to Royal Bank Of Scotland Group Plc in Q3 2015, an estimated $220K increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q3 2015 reduction was ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD, cutting an estimated $447K.
  • Spectrum Asset Management (Connecticut) fully exited ROYAL BANK OF SCOTLAND GP PLC (THE) ADR REPSTG PFD SHS SER Q in Q3 2015, selling an estimated $15.1M.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 97% of its $315M portfolio in Q3 2015.
  • Spectrum Asset Management (Connecticut) opened 1 new position and closed 3 in Q3 2015.
  • Spectrum Asset Management (Connecticut)'s portfolio value rose 0.33% quarter-over-quarter to $315M.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q3 2015, filed 9 Nov 2015.