Filed: 11/2/2023ACC: 0001085146-23-004027
📋 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 $117.13M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
7
Positions
$117.13M
Total AUM (reported)
4.72M
Total Shares
Allocation by class
PERP PFD CNV A$47.16M40.3%
PFD ETF$31.12M26.6%
COM$15.62M13.3%
7.25%CNV PFD L$11.22M9.6%
PFD AND INCM SEC$6.72M5.7%
VAR RATE PFD$5.29M4.5%
Portfolio Concentration
Top 3$89.50M76.4%
4–10$27.63M23.6%
Top 3 weight
76.4%
Top 10 weight
100.0%
Voting Authority Distribution
Total shares with voting rights: 4.72M
Sole
Full voting authority
4.72M
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
SOLEShares42.29K
TypeSH
Market value$47.16M
40.26%
Sole
42.29K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares2.84M
TypeSH
Market value$31.12M
26.57%
Sole
2.84M
Shared
0.00
None
0.00
BANK AMERICA CORP
SOLEShares10.09K
TypeSH
Market value$11.22M
9.58%
Sole
10.09K
Shared
0.00
None
0.00
HANCOCK JOHN PFD INCOME FD I
SOLEShares646.42K
TypeSH
Market value$8.62M
7.36%
Sole
646.42K
Shared
0.00
None
0.00
BLACKROCK CR ALLOCATION INCO
SOLEShares723.13K
TypeSH
Market value$7.00M
5.98%
Sole
723.13K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares223.03K
TypeSH
Market value$6.72M
5.74%
Sole
223.03K
Shared
0.00
None
0.00
INVESCO EXCH TRADED FD TR II
SOLEShares236.60K
TypeSH
Market value$5.29M
4.52%
Sole
236.60K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
WELLS FARGO CO NEWSOLE | PERP PFD CNV A | 42.29K | SH | $47.16M 40.26% | 42.29K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | PFD ETF | 2.84M | SH | $31.12M 26.57% | 2.84M | 0.00 | 0.00 |
BANK AMERICA CORPSOLE | 7.25%CNV PFD L | 10.09K | SH | $11.22M 9.58% | 10.09K | 0.00 | 0.00 |
HANCOCK JOHN PFD INCOME FD ISOLE | COM | 646.42K | SH | $8.62M 7.36% | 646.42K | 0.00 | 0.00 |
BLACKROCK CR ALLOCATION INCOSOLE | COM | 723.13K | SH | $7.00M 5.98% | 723.13K | 0.00 | 0.00 |
ISHARES TRSOLE | PFD AND INCM SEC | 223.03K | SH | $6.72M 5.74% | 223.03K | 0.00 | 0.00 |
INVESCO EXCH TRADED FD TR IISOLE | VAR RATE PFD | 236.60K | SH | $5.29M 4.52% | 236.60K | 0.00 | 0.00 |