Filed: 2/9/2023ACC: 0001085146-23-000839
📋 What this filing means
SPECTRUM ASSET MANAGEMENT, INC. filed this quarterly 13F‑HR report disclosing 6 equity positions with a total reported market value of $139.12M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
6
Positions
$139.12M
Total AUM (reported)
4.63M
Total Shares
Allocation by class
PERP PFD CNV A$62.66M45.0%
PFD ETF$25.66M18.4%
VAR RATE PFD$20.27M14.6%
COM$16.63M12.0%
7.25%CNV PFD L$13.90M10.0%
Portfolio Concentration
Top 3$108.59M78.1%
4–10$30.53M21.9%
Top 3 weight
78.1%
Top 10 weight
100.0%
Voting Authority Distribution
Total shares with voting rights: 4.63M
Sole
Full voting authority
4.63M
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)
Sole5
Shared0
Other1
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings6
Rows:
WELLS FARGO CO NEW
DFNDShares52.88K
TypeSH
Market value$62.66M
45.04%
Sole
52.88K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares2.30M
TypeSH
Market value$25.66M
18.45%
Sole
2.30M
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares905.11K
TypeSH
Market value$20.27M
14.57%
Sole
905.11K
Shared
0.00
None
0.00
BK OF AMERICA CORP
SOLEShares11.98K
TypeSH
Market value$13.90M
9.99%
Sole
11.98K
Shared
0.00
None
0.00
HANCOCK JOHN PFD INCOME FD I
SOLEShares646.42K
TypeSH
Market value$9.33M
6.70%
Sole
646.42K
Shared
0.00
None
0.00
BLACKROCK CR ALLOCATION INCO
SOLEShares723.13K
TypeSH
Market value$7.30M
5.25%
Sole
723.13K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
WELLS FARGO CO NEWDFND | PERP PFD CNV A | 52.88K | SH | $62.66M 45.04% | 52.88K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | PFD ETF | 2.30M | SH | $25.66M 18.45% | 2.30M | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | VAR RATE PFD | 905.11K | SH | $20.27M 14.57% | 905.11K | 0.00 | 0.00 |
BK OF AMERICA CORPSOLE | 7.25%CNV PFD L | 11.98K | SH | $13.90M 9.99% | 11.98K | 0.00 | 0.00 |
HANCOCK JOHN PFD INCOME FD ISOLE | COM | 646.42K | SH | $9.33M 6.70% | 646.42K | 0.00 | 0.00 |
BLACKROCK CR ALLOCATION INCOSOLE | COM | 723.13K | SH | $7.30M 5.25% | 723.13K | 0.00 | 0.00 |