Filed: 8/7/2023ACC: 0001085146-23-003119
📋 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 $121.14M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
7
Positions
$121.14M
Total AUM (reported)
4.31M
Total Shares
Allocation by class
PERP PFD CNV A$53.04M43.8%
PFD ETF$28.96M23.9%
COM$16.40M13.5%
7.25%CNV PFD L$13.55M11.2%
PFD AND INCM SEC$6.17M5.1%
VAR RATE PFD$3.02M2.5%
Portfolio Concentration
Top 3$95.55M78.9%
4–10$25.59M21.1%
Top 3 weight
78.9%
Top 10 weight
100.0%
Voting Authority Distribution
Total shares with voting rights: 4.31M
Sole
Full voting authority
4.31M
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)
Sole7
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings7
Rows:
WELLS FARGO CO NEW
SOLEShares46.04K
TypeSH
Market value$53.04M
43.79%
Sole
46.04K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares2.55M
TypeSH
Market value$28.96M
23.91%
Sole
2.55M
Shared
0.00
None
0.00
BANK AMERICA CORP
SOLEShares11.56K
TypeSH
Market value$13.55M
11.18%
Sole
11.56K
Shared
0.00
None
0.00
HANCOCK JOHN PFD INCOME FD I
SOLEShares646.42K
TypeSH
Market value$9.06M
7.48%
Sole
646.42K
Shared
0.00
None
0.00
BLACKROCK CR ALLOCATION INCO
SOLEShares723.13K
TypeSH
Market value$7.34M
6.06%
Sole
723.13K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares199.41K
TypeSH
Market value$6.17M
5.09%
Sole
199.41K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares135.81K
TypeSH
Market value$3.02M
2.49%
Sole
135.81K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
WELLS FARGO CO NEWSOLE | PERP PFD CNV A | 46.04K | SH | $53.04M 43.79% | 46.04K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | PFD ETF | 2.55M | SH | $28.96M 23.91% | 2.55M | 0.00 | 0.00 |
BANK AMERICA CORPSOLE | 7.25%CNV PFD L | 11.56K | SH | $13.55M 11.18% | 11.56K | 0.00 | 0.00 |
HANCOCK JOHN PFD INCOME FD ISOLE | COM | 646.42K | SH | $9.06M 7.48% | 646.42K | 0.00 | 0.00 |
BLACKROCK CR ALLOCATION INCOSOLE | COM | 723.13K | SH | $7.34M 6.06% | 723.13K | 0.00 | 0.00 |
ISHARES TRSOLE | PFD AND INCM SEC | 199.41K | SH | $6.17M 5.09% | 199.41K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | VAR RATE PFD | 135.81K | SH | $3.02M 2.49% | 135.81K | 0.00 | 0.00 |