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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 (2015Q1)
Portfolio Summary: 18 holdings with a total value of $276,648,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & CO NEW 48,393 59,039,000 21.34%
2 HSBC HLDGS PLC 1,579,441 40,466,000 14.63%
3 ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 1,428,579 34,719,000 12.55%
4 BARCLAYS BANK PLC REDEEMED $25.00/SH 3/15/17 1,156,636 29,884,000 10.80%
5 BARCLAYS BANK PLS ADS 7.75% SER 4 PERP PFD C 754,187 19,637,000 7.10%
6 BARCLAYS BANK PLC 698,510 18,336,000 6.63%
7 Royal Bank of Scotland Group (The) PLC 688,622 17,346,000 6.27%
8 BARCLAYS BK PLC 610,286 15,300,000 5.53%
9 BLACKROCK CR ALLOCATION INCO 989,480 13,318,000 4.81%
10 HANCOCK JOHN PFD INCOME FD I 670,344 12,535,000 4.53%
11 STANDARD CHARTERED PLC 10,000,000 10,097,000 3.65%
12 Royal Bank of Scotland Group (The) PLC 77,682 1,920,000 0.69%
13 ROYAL BK SCOTLAND GRP PLC REDEEMED @$25.00/SH 9/5/17 62,337 1,598,000 0.58%
14 KeyCorp NEW 7,850 1,028,000 0.37%
15 ROYAL BK SCOTLAND GROUP PLC 17,381 444,000 0.16%
16 ROYAL BK SCOTLND 6.125% 16,306 389,000 0.14%
17 ROYAL BK SCOTLAND GROUP PLC 12,617 316,000 0.11%
18 NATIONAL WESTMINSTER BK PLC 10,623 276,000 0.10%

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001126328-15-000138, filed 2015.05.12).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.