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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
+1.15%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$300M
AUM Growth
-$15.6M
Cap. Flow
+$1.44M
Cap. Flow %
0.48%
Top 10 Hldgs %
96.8%
Holding
17
New
–
Increased
4
Reduced
7
Closed
–

Top Buys

Rank Stock Value
1
RBS.PRR
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
+$62K
2
RBS.PRS.CL
The Royal Bank Of Scotland Group
RBS.PRS.CL
+$36.2K
3
BCS.PRA.CL
Barclays Bank Plc Series 3
BCS.PRA.CL
+$1.78K

Top Sells

Rank Stock Value
1
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$1.34M
2
HSBC.PRA
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
+$996K
3
BCS.PR.CL
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
+$744K
4
BCS.PRD.CL
Barclays Bank Plc
BCS.PRD.CL
+$184K
5
BCS.PRC
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
+$131K

Sector Composition

Rank Sector Weight
1 Financials 12.62%
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
$91.8M 30.63%
79,240
– –
HSBC.PRA
2
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$37.9M 12.62%
1,480,368
-38,985
-3% -$996K
RBS.PRL.CL
3
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$35.3M 11.77%
1,413,527
-54,399
-4% -$1.34M
BCS.PRA.CL
4
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$28.9M 9.65%
1,114,645
+69
+0% +$1.78K
BCS.PRC
5
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$18.8M 6.25%
711,706
-5,000
-0.7% -$131K
BCS.PRD.CL
6
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$17.6M 5.86%
661,760
-6,995
-1% -$184K
BCS.PR.CL
7
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$14.1M 4.71%
530,911
-28,952
-5% -$744K
HPS
8
John Hancock Preferred Income Fund III
HPS
$457M
$12M 3.99%
670,344
– –
BTZ icon
9
BlackRock Credit Allocation Income Trust
BTZ
$931M
$11.9M 3.98%
966,571
– –
DLR.PRI
10
DELISTED
DIGITAL RLTY TR INC PFD SR I % (MD)
DLR.PRI
$5.28M 1.76%
205,498
– –
RBS.PRH.CL
11
DELISTED
Royal Bank Of Scotland Group
RBS.PRH.CL
$1.53M 0.51%
59,340
-2,997
-5% -$77K
KEY.PRG
12
DELISTED
KeyCorp Pfd
KEY.PRG
$1.04M 0.35%
7,850
– –
RBS.PRT
13
DELISTED
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
$548K 0.18%
21,211
-2,566
-11% -$65.7K
RBS.PRR
14
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$512K 0.17%
20,455
+2,481
+14% +$62K
RBS.PRS.CL
15
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$394K 0.13%
15,481
+1,428
+10% +$36.2K
NW.PRC.CL
16
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$292K 0.1%
11,273
– –

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VCMGDR
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SRF
Silver Rock Financial Los Angeles, California $49.7M AUM 17.42% 1-Year Est. Return
7IH
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HPM
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GSC
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VM
Varde Management Minneapolis, Minnesota $49.3M AUM 87.64% 1-Year Est. Return
CZI
Chan Zuckerberg Initiative Redwood City, California $49.2M AUM 19.47% 1-Year Est. Return

Spectrum Asset Management (Connecticut)'s Q4 2015 Portfolio in Review

As of Q4 2015, Spectrum Asset Management (Connecticut) held 17 positions worth $300M, down 5% from $315M the previous quarter. Its ten largest holdings account for 97% of the portfolio.

Trading was light in Q4 2015: portfolio turnover was 0%. Spectrum Asset Management (Connecticut) opened no new positions and made no exits, leaving the 17-position portfolio largely intact.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier.

  • Spectrum Asset Management (Connecticut) added most to Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh in Q4 2015, an estimated $62K increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q4 2015 reduction was Royal Bank Of Scotland Group Plc, cutting an estimated $1.34M.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 97% of its $300M portfolio in Q4 2015.
  • Spectrum Asset Management (Connecticut) opened 0 new positions and closed 0 in Q4 2015.
  • Spectrum Asset Management (Connecticut)'s portfolio value fell 5% quarter-over-quarter to $300M.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q4 2015, filed 9 Feb 2016.