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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
+0.08%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$1.11B
AUM Growth
+$191M
Cap. Flow
+$168M
Cap. Flow %
15.12%
Top 10 Hldgs %
89.17%
Holding
24
New
3
Increased
12
Reduced
3
Closed
3

Top Buys

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$3.84M
2
KEY.PRG
KeyCorp Pfd
KEY.PRG
+$681K
3
RBS.PRS.CL
The Royal Bank Of Scotland Group
RBS.PRS.CL
+$521K
4
NW.PRC.CL
Natwest Bank Ads Series C
NW.PRC.CL
+$270K
5
BCS.PRD.CL
Barclays Bank Plc
BCS.PRD.CL
+$210K

Top Sells

Rank Stock Value
1
BCS.PR.CL
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
+$11.6M
2
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$3.07M
3
RBS.PRR
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
+$698K
4
RBS.PRT
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
+$566K
5
HPS
John Hancock Preferred Income Fund III
HPS
+$475K

Sector Composition

Rank Sector Weight
1 Financials 3.11%
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
$107M 9.68%
82,101
+2,861
+4% +$3.84M
HSBC.PRA
2
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$34.6M 3.11%
1,348,307
-4,744
-0.4% -$123K
RBS.PRL.CL
3
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$31.1M 2.8%
1,241,030
-121,792
-9% -$3.07M
BCS.PRA.CL
4
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$28.6M 2.57%
1,108,729
+1,490
+0.1% +$38.5K
BCS.PRD.CL
5
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$15.5M 1.4%
595,507
+8,029
+1% +$210K
BTZ icon
6
BlackRock Credit Allocation Income Trust
BTZ
$927M
$12.9M 1.16%
966,571
– –
HPS
7
John Hancock Preferred Income Fund III
HPS
$458M
$12.5M 1.13%
646,421
-23,923
-4% -$475K
KEY.PRG
8
DELISTED
KeyCorp Pfd
KEY.PRG
$1.75M 0.16%
12,850
+5,000
+64% +$681K
RBS.PRH.CL
9
DELISTED
Royal Bank Of Scotland Group
RBS.PRH.CL
$1.23M 0.11%
48,145
+2,090
+5% +$53.9K
NW.PRC.CL
10
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$574K 0.05%
22,316
+10,353
+87% +$270K
RBS.PRS.CL
11
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$518K 0.05%
+20,504
New +$521K
BCS.PR.CL
12
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
– –
-451,905
Closed -$11.6M
RBS.PRT
13
DELISTED
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
– –
-22,482
Closed -$566K
RBS.PRR
14
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
– –
-27,776
Closed -$698K

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AP
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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
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Spectrum Asset Management (Connecticut)'s Q3 2016 Portfolio in Review

As of Q3 2016, Spectrum Asset Management (Connecticut) held 24 positions worth $1.11B, up 21% from $920M the previous quarter. Its ten largest holdings account for 89% of the portfolio.

Spectrum Asset Management (Connecticut) deployed $168M of net new capital in Q3 2016, opening 3 new positions and adding to 12 existing holdings. Its largest new stake was The Royal Bank Of Scotland Group: 20,504 shares worth $518K.

By sector, the portfolio is most concentrated in Financials at 3.1% of assets, down from 3.8% a quarter earlier.

On the sell side, the largest reduction was Royal Bank Of Scotland Group Plc, an estimated $3.07M trimmed.

  • Spectrum Asset Management (Connecticut)'s largest Q3 2016 buy was The Royal Bank Of Scotland Group: 20,504 shares worth $518K.
  • Spectrum Asset Management (Connecticut) added most to Wells Fargo 7.5% Non Cumv Perp Conv in Q3 2016, an estimated $3.84M increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q3 2016 reduction was Royal Bank Of Scotland Group Plc, cutting an estimated $3.07M.
  • Spectrum Asset Management (Connecticut) fully exited BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK) in Q3 2016, selling an estimated $11.6M.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 89% of its $1.11B portfolio in Q3 2016.
  • Spectrum Asset Management (Connecticut) opened 3 new positions and closed 3 in Q3 2016.
  • Spectrum Asset Management (Connecticut)'s portfolio value rose 21% quarter-over-quarter to $1.11B.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q3 2016, filed 10 Nov 2016.