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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
+0.12%
1 Year Est. Return
-2.62%
3 Year Est. Return
-2.29%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$156M
AUM Growth
-$1.09B
Cap. Flow
-$1.09B
Cap. Flow %
-701.16%
Top 10 Hldgs %
100%
Holding
20
New
–
Increased
2
Reduced
1
Closed
14

Top Buys

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$856K
2
RBS.PRS.CL
The Royal Bank Of Scotland Group
RBS.PRS.CL
+$3.22K

Top Sells

Rank Stock Value
1
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$37.6M
2
HSBC.PRA
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
+$4.65M

Sector Composition

Rank Sector Weight
1 Financials 12.81%
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
$4.72B
$109M 69.88%
82,745
+644
+0.8% +$856K
HSBC.PRA
2
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$19.9M 12.81%
755,937
-176,478
-19% -$4.65M
BTZ icon
3
BlackRock Credit Allocation Income Trust
BTZ
$953M
$13.1M 8.42%
966,571
– –
HPS
4
John Hancock Preferred Income Fund III
HPS
$461M
$12.2M 7.81%
646,421
– –
RBS.PRS.CL
5
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$1.24M 0.79%
48,098
+125
+0.3% +$3.22K
NW.PRC.CL
6
DELISTED
Natwest Bank Ads Series C
NW.PRC.CL
$442K 0.28%
17,316
– –
RBS.PRL.CL
7
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
– –
-1,483,833
Closed -$37.6M

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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
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CZI
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Spectrum Asset Management (Connecticut)'s Q3 2017 Portfolio in Review

As of Q3 2017, Spectrum Asset Management (Connecticut) held 20 positions worth $156M, down 88% from $1.25B the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Spectrum Asset Management (Connecticut) withdrew a net $1.09B in Q3 2017, closing 14 positions and reducing 1 holding. Its most notable exit was Royal Bank Of Scotland Group Plc, an estimated $37.6M position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 2% a quarter earlier.

Against the trend, Spectrum Asset Management (Connecticut) added an estimated $856K to Wells Fargo 7.5% Non Cumv Perp Conv.

  • Spectrum Asset Management (Connecticut) added most to Wells Fargo 7.5% Non Cumv Perp Conv in Q3 2017, an estimated $856K increase.
  • Spectrum Asset Management (Connecticut)'s biggest Q3 2017 reduction was HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A), cutting an estimated $4.65M.
  • Spectrum Asset Management (Connecticut) fully exited Royal Bank Of Scotland Group Plc in Q3 2017, selling an estimated $37.6M.
  • Spectrum Asset Management (Connecticut)'s ten largest holdings make up 100% of its $156M portfolio in Q3 2017.
  • Spectrum Asset Management (Connecticut) opened 0 new positions and closed 14 in Q3 2017.
  • Spectrum Asset Management (Connecticut)'s portfolio value fell 88% quarter-over-quarter to $156M.

Based on Spectrum Asset Management (Connecticut)'s 13F filing for Q3 2017, filed 2 Nov 2017.