Filed: 11/2/2022ACC: 0001085146-22-003723
📋 What this filing means
SPECTRUM ASSET MANAGEMENT, INC. filed this quarterly 13F‑HR report disclosing 7 equity positions with a total reported market value of $124.7K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
7
Positions
$124.7K
Total AUM (reported)
2.54M
Total Shares
Allocation by class
PERP PFD CNV A$72.9K58.5%
7.25%CNV PFD L$21.0K16.8%
COM$16.6K13.3%
PFD ETF$11.8K9.5%
VAR RATE PFD$1.7K1.4%
PFD AND INCM SEC$705.000.6%
Portfolio Concentration
Top 3$105.7K84.8%
4–10$19.0K15.2%
Top 3 weight
84.8%
Top 10 weight
100.0%
Voting Authority Distribution
Total shares with voting rights: 2.54M
Sole
Full voting authority
2.54M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole6
Shared0
Other1
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings7
Rows:
WELLS FARGO CO NEW
DFNDShares60.55K
TypeSH
Market value$72.9K
58.46%
Sole
60.55K
Shared
0.00
None
0.00
BK OF AMERICA CORP
SOLEShares17.90K
TypeSH
Market value$21.0K
16.83%
Sole
17.90K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares995.21K
TypeSH
Market value$11.8K
9.48%
Sole
995.21K
Shared
0.00
None
0.00
HANCOCK JOHN PFD INCOME FD I
SOLEShares646.42K
TypeSH
Market value$9.7K
7.77%
Sole
646.42K
Shared
0.00
None
0.00
BLACKROCK CR ALLOCATION INCO
SOLEShares723.13K
TypeSH
Market value$6.9K
5.53%
Sole
723.13K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares77.71K
TypeSH
Market value$1.7K
1.36%
Sole
77.71K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares22.25K
TypeSH
Market value$705.00
0.57%
Sole
22.25K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
WELLS FARGO CO NEWDFND | PERP PFD CNV A | 60.55K | SH | $72.9K 58.46% | 60.55K | 0.00 | 0.00 |
BK OF AMERICA CORPSOLE | 7.25%CNV PFD L | 17.90K | SH | $21.0K 16.83% | 17.90K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | PFD ETF | 995.21K | SH | $11.8K 9.48% | 995.21K | 0.00 | 0.00 |
HANCOCK JOHN PFD INCOME FD ISOLE | COM | 646.42K | SH | $9.7K 7.77% | 646.42K | 0.00 | 0.00 |
BLACKROCK CR ALLOCATION INCOSOLE | COM | 723.13K | SH | $6.9K 5.53% | 723.13K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | VAR RATE PFD | 77.71K | SH | $1.7K 1.36% | 77.71K | 0.00 | 0.00 |
ISHARES TRSOLE | PFD AND INCM SEC | 22.25K | SH | $705.00 0.57% | 22.25K | 0.00 | 0.00 |