Filed: 5/9/2023ACC: 0001085146-23-002162
📋 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 $129.16M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
7
Positions
$129.16M
Total AUM (reported)
4.53M
Total Shares
Allocation by class
PERP PFD CNV A$56.80M44.0%
PFD ETF$29.86M23.1%
COM$16.90M13.1%
7.25%CNV PFD L$13.99M10.8%
VAR RATE PFD$9.42M7.3%
PFD AND INCM SEC$2.19M1.7%
Portfolio Concentration
Top 3$100.65M77.9%
4–10$28.50M22.1%
Top 3 weight
77.9%
Top 10 weight
100.0%
Voting Authority Distribution
Total shares with voting rights: 4.53M
Sole
Full voting authority
4.53M
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
DFNDShares48.29K
TypeSH
Market value$56.80M
43.98%
Sole
48.29K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares2.60M
TypeSH
Market value$29.86M
23.12%
Sole
2.60M
Shared
0.00
None
0.00
BANK AMERICA CORP
SOLEShares11.98K
TypeSH
Market value$13.99M
10.83%
Sole
11.98K
Shared
0.00
None
0.00
HANCOCK JOHN PFD INCOME FD I
SOLEShares646.42K
TypeSH
Market value$9.46M
7.32%
Sole
646.42K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares425.06K
TypeSH
Market value$9.42M
7.29%
Sole
425.06K
Shared
0.00
None
0.00
BLACKROCK CR ALLOCATION INCO
SOLEShares723.13K
TypeSH
Market value$7.44M
5.76%
Sole
723.13K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares70.19K
TypeSH
Market value$2.19M
1.70%
Sole
70.19K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
WELLS FARGO CO NEWDFND | PERP PFD CNV A | 48.29K | SH | $56.80M 43.98% | 48.29K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | PFD ETF | 2.60M | SH | $29.86M 23.12% | 2.60M | 0.00 | 0.00 |
BANK AMERICA CORPSOLE | 7.25%CNV PFD L | 11.98K | SH | $13.99M 10.83% | 11.98K | 0.00 | 0.00 |
HANCOCK JOHN PFD INCOME FD ISOLE | COM | 646.42K | SH | $9.46M 7.32% | 646.42K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | VAR RATE PFD | 425.06K | SH | $9.42M 7.29% | 425.06K | 0.00 | 0.00 |
BLACKROCK CR ALLOCATION INCOSOLE | COM | 723.13K | SH | $7.44M 5.76% | 723.13K | 0.00 | 0.00 |
ISHARES TRSOLE | PFD AND INCM SEC | 70.19K | SH | $2.19M 1.70% | 70.19K | 0.00 | 0.00 |