NEW ENGLAND ASSET MANAGEMENT INC

PrivateCIK: 1004244

Location

FARMINGTON, CT

Positions

$786.21M

Total AUM (reported)

7.43M

Total Shares

Allocation by class

COM$329.45M41.9%

TR UNIT$66.30M8.4%

S&P 500 ETF SHS$64.07M8.1%

CORE MSCI EAFE$54.79M7.0%

HIGH DIV YLD$38.15M4.9%

CORE MSCI INTL$36.85M4.7%

CORE S&P500 ETF$25.47M3.2%

Portfolio Concentration

Top 3$185.16M23.6%

4–10$171.11M21.8%

11–25$146.16M18.6%

Rest$283.78M36.1%

Top 3 weight

23.6%

Top 10 weight

45.3%

Voting Authority Distribution

Total shares with voting rights: 7.43M

Sole

Full voting authority

5.39M

% of voting shares72.5%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

2.04M

% of voting shares27.5%

Investment Discretion (by position count)

Sole91

Shared0

Other8

Dominant voting typeSole · 72.5% of voting shares

Institutional Holdings99

Rows:

STATE STR SPDR S&P 500 ETF T

SOLE

TR UNIT

Shares101.95K

TypeSH

Market value$66.30M

8.43%

Sole

14.64K

Shared

0.00

None

87.31K

VANGUARD INDEX FDS

SOLE

S&P 500 ETF SHS

Shares107.22K

TypeSH

Market value$64.07M

8.15%

Sole

10.07K

Shared

0.00

None

97.14K

ISHARES TR

SOLE

CORE MSCI EAFE

Shares605.22K

TypeSH

Market value$54.79M

6.97%

Sole

28.09K

Shared

0.00

None

577.13K

VANGUARD WHITEHALL FDS

SOLE

HIGH DIV YLD

Shares257.63K

TypeSH

Market value$38.15M

4.85%

Sole

159.35K

Shared

0.00

None

98.28K

ISHARES TR

SOLE

CORE MSCI INTL

Shares440.96K

TypeSH

Market value$36.85M

4.69%

Sole

5.84K

Shared

0.00

None

435.12K

ISHARES TR

SOLE

CORE S&P500 ETF

Shares38.98K

TypeSH

Market value$25.47M

3.24%

Sole

15.63K

Shared

0.00

None

23.36K

VANGUARD INDEX FDS

SOLE

TOTAL STK MKT

Shares68.14K

TypeSH

Market value$21.86M

2.78%

Sole

32.85K

Shared

0.00

None

35.28K

ISHARES TR

SOLE

CORE S&P MCP ETF

Shares278.99K

TypeSH

Market value$18.84M

2.40%

Sole

71.15K

Shared

0.00

None

207.84K

WELLS FARGO & CO

OTR

PERP PFD CNV A

Shares13.28K

TypeSH

Market value$15.33M

1.95%

Sole

0.00

Shared

0.00

None

13.28K

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL WGT

Shares76.13K

TypeSH

Market value$14.61M

1.86%

Sole

14.16K

Shared

0.00

None

61.97K

JOHNSON & JOHNSON

DFND

COM

Shares56.98K

TypeSH

Market value$13.93M

1.77%

Sole

56.18K

Shared

0.00

None

800.00

JPMORGAN CHASE & CO

SOLE

COM

Shares42.84K

TypeSH

Market value$12.60M

1.60%

Sole

42.15K

Shared

0.00

None

698.00

BANK AMERICA CORP

OTR

7.25%CNV PFD L

Shares9.44K

TypeSH

Market value$11.24M

1.43%

Sole

0.00

Shared

0.00

None

9.44K

WELLS FARGO & CO

DFND

COM

Shares131.37K

TypeSH

Market value$10.46M

1.33%

Sole

131.37K

Shared

0.00

None

0.00

VERIZON COMMUNICATIONS INC

SOLE

COM

Shares204.24K

TypeSH

Market value$10.25M

1.30%

Sole

204.24K

Shared

0.00

None

0.00

AT&T INC

SOLE

COM

Shares353.38K

TypeSH

Market value$10.24M

1.30%

Sole

330.13K

Shared

0.00

None

23.25K

SYSCO CORP

SOLE

COM

Shares135.09K

TypeSH

Market value$9.64M

1.23%

Sole

134.12K

Shared

0.00

None

971.00

PPL CORP

SOLE

COM

Shares230.75K

TypeSH

Market value$8.81M

1.12%

Sole

230.75K

Shared

0.00

None

0.00

US BANCORP

DFND

COM NEW

Shares168.31K

TypeSH

Market value$8.75M

1.11%

Sole

168.31K

Shared

0.00

None

0.00

DUKE ENERGY CORP NEW

SOLE

COM NEW

Shares66.44K

TypeSH

Market value$8.70M

1.11%

Sole

66.44K

Shared

0.00

None

0.00

CSX CORP

SOLE

COM

Shares211.85K

TypeSH

Market value$8.70M

1.11%

Sole

211.85K

Shared

0.00

None

0.00

SHELL PLC

SOLE

SPON ADS

Shares89.64K

TypeSH

Market value$8.34M

1.06%

Sole

89.64K

Shared

0.00

None

0.00

BANK AMERICA CORP

SOLE

COM

Shares168.94K

TypeSH

Market value$8.24M

1.05%

Sole

168.94K

Shared

0.00

None

0.00

MERCK & CO INC

SOLE

COM

Shares68.37K

TypeSH

Market value$8.22M

1.05%

Sole

67.33K

Shared

0.00

None

1.04K

PROCTER & GAMBLE CO

SOLE

COM

Shares55.62K

TypeSH

Market value$8.03M

1.02%

Sole

55.62K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
STATE STR SPDR S&P 500 ETF TSOLE	TR UNIT	101.95K	SH	$66.30M 8.43%	14.64K	87.31K
VANGUARD INDEX FDSSOLE	S&P 500 ETF SHS	107.22K	SH	$64.07M 8.15%	10.07K	97.14K
ISHARES TRSOLE	CORE MSCI EAFE	605.22K	SH	$54.79M 6.97%	28.09K	577.13K
VANGUARD WHITEHALL FDSSOLE	HIGH DIV YLD	257.63K	SH	$38.15M 4.85%	159.35K	98.28K
ISHARES TRSOLE	CORE MSCI INTL	440.96K	SH	$36.85M 4.69%	5.84K	435.12K
ISHARES TRSOLE	CORE S&P500 ETF	38.98K	SH	$25.47M 3.24%	15.63K	23.36K
VANGUARD INDEX FDSSOLE	TOTAL STK MKT	68.14K	SH	$21.86M 2.78%	32.85K	35.28K
ISHARES TRSOLE	CORE S&P MCP ETF	278.99K	SH	$18.84M 2.40%	71.15K	207.84K
WELLS FARGO & COOTR	PERP PFD CNV A	13.28K	SH	$15.33M 1.95%	0.00	13.28K
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL WGT	76.13K	SH	$14.61M 1.86%	14.16K	61.97K
JOHNSON & JOHNSONDFND	COM	56.98K	SH	$13.93M 1.77%	56.18K	800.00
JPMORGAN CHASE & COSOLE	COM	42.84K	SH	$12.60M 1.60%	42.15K	698.00
BANK AMERICA CORPOTR	7.25%CNV PFD L	9.44K	SH	$11.24M 1.43%	0.00	9.44K
WELLS FARGO & CODFND	COM	131.37K	SH	$10.46M 1.33%	131.37K	0.00
VERIZON COMMUNICATIONS INCSOLE	COM	204.24K	SH	$10.25M 1.30%	204.24K	0.00
AT&T INCSOLE	COM	353.38K	SH	$10.24M 1.30%	330.13K	23.25K
SYSCO CORPSOLE	COM	135.09K	SH	$9.64M 1.23%	134.12K	971.00
PPL CORPSOLE	COM	230.75K	SH	$8.81M 1.12%	230.75K	0.00
US BANCORPDFND	COM NEW	168.31K	SH	$8.75M 1.11%	168.31K	0.00
DUKE ENERGY CORP NEWSOLE	COM NEW	66.44K	SH	$8.70M 1.11%	66.44K	0.00
CSX CORPSOLE	COM	211.85K	SH	$8.70M 1.11%	211.85K	0.00
SHELL PLCSOLE	SPON ADS	89.64K	SH	$8.34M 1.06%	89.64K	0.00
BANK AMERICA CORPSOLE	COM	168.94K	SH	$8.24M 1.05%	168.94K	0.00
MERCK & CO INCSOLE	COM	68.37K	SH	$8.22M 1.05%	67.33K	1.04K
PROCTER & GAMBLE COSOLE	COM	55.62K	SH	$8.03M 1.02%	55.62K	0.00

Page 1 of 4