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Institutional Investment Manager
Spectrum Asset Management, Inc.
Spectrum Asset Management, Inc. (CIK: 0001318293), located at 2 High Ridge Park, Stamford, CT. Institutional holdings reported to the SEC.

Institutional Holdings (2014Q3)
Original 13F HR (0001126328-14-000271) filed in 2014.11.13
#
Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & CO NEW 48,393 58,193 21.79%
2 HSBC HLDGS PLC 1,575,008 39,628 14.84%
3 ROYAL BK SCOTLAND GROUP PLC 1,429,731 33,126 12.41%
4 BARCLAYS BANK PLC 1,168,201 30,070 11.26%
5 Royal Bank of Scotland Group (The) PLC 814,423 20,369 7.63%
6 BARCLAYS BANK PLS ADS 7.75% SER 4 PERP PFD C 764,011 19,757 7.40%
7 BARCLAYS BANK PLC 735,900 19,111 7.16%
8 BLACKROCK CR ALLOCATION INCO 1,105,193 14,710 5.51%
9 BARCLAYS BK PLC 564,694 14,310 5.36%
10 HANCOCK JOHN PFD INCOME FD I 670,344 11,738 4.40%
11 Royal Bank of Scotland Group (The) PLC 77,236 1,891 0.71%
12 ROYAL BK SCOTLAND GROUP PLC 69,036 1,754 0.66%
13 KeyCorp NEW 8,000 1,048 0.39%
14 ROYAL BK SCOTLND 6.125% 16,306 389 0.15%
15 ROYAL BK SCOTLAND GROUP PLC 14,568 368 0.14%
16 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 11,593 287 0.11%
17 NATIONAL WESTMINSTER BK PLC 10,623 275 0.10%