Profiles >> Spectrum Asset Management Inc >> 13Fs

Spectrum Asset Management Inc

Last Updated: 11/23/2020

Spectrum Asset Management Inc is a Corporation that started in 1987 and is primarily owned and controlled by Mark Lieb, and later acquired in 2001 by PGI, the asset management arm of The Principal Financial Group.. Below is a list of the Top 10 Holdings by value as reported to the SEC through their historical 13F Filings. You can drill down to get a full comprehensive list by expanding the date of interest and clicking on the Full List Link. To see a profile of the company, click here.


Historical 13F Holdings - Top 10 By Value By Date

(click date to expand)

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 154206 114903 SH SOLE 114903 0 0
ISHARES TR PFD AND INCM SEC 464288687 42993 1179494 SH SOLE 1179494 0 0
BK OF AMERICA CORP 7.25%CNV PFD L 060505682 31924 21454 SH SOLE 21454 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 10330 646421 SH SOLE 646421 0 0
BLACKROCK CR ALLOCATION INCO COM 092508100 10283 723135 SH SOLE 723135 0 0
INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 10272 697383 SH SOLE 697383 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 2891 2154 SH DFND 2154 0 0
ISHARES TR CORE US AGGBD ET 464287226 325 2754 SH SOLE 2754 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 67602 52122 SH SOLE 52122 0 0
ISHARES TR PFD AND INCM SEC 464288687 42612 1230150 SH SOLE 1230150 0 0
BK OF AMERICA CORP 7.25%CNV PFD L 060505682 13857 10324 SH SOLE 10324 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 10142 646421 SH SOLE 646421 0 0
INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 9902 701244 SH SOLE 701244 0 0
BLACKROCK CR ALLOCATION INCO COM 092508100 9545 723135 SH SOLE 723135 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 2794 2154 SH DFND 2154 0 0
ISHARES TR CORE US AGGBD ET 464287226 635 5370 SH SOLE 5370 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 65641 51523 SH SOLE 51523 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 8830 646421 SH SOLE 646421 0 0
BLACKROCK CR ALLOCATION INCO COM 092508100 8432 723135 SH SOLE 723135 0 0
BK OF AMERICA CORP 7.25%CNV PFD L 060505682 5964 4711 SH SOLE 4711 0 0
ISHARES TR CORE US AGGBD ET 464287226 3654 31672 SH SOLE 31672 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 2744 2154 SH DFND 2154 0 0
ISHARES TR IBOXX INV CP ETF 464287242 753 6094 SH SOLE 6094 0 0
INVESCO EXCHANGE-TRADED FD T PFD ETF 46138E511 472 35893 SH SOLE 35893 0 0
ISHARES TR PFD AND INCM SEC 464288687 466 14645 SH SOLE 14645 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 65298 45033 SH SOLE 45033 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 13513 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12469 646421 SH SOLE 646421 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 3123 2154 SH DFND 2154 0 0
BANK AMER CORP 7.25%CNV PFD L 060505682 2656 1833 SH SOLE 1833 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 67110 44079 SH SOLE 44079 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 13165 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12935 646421 SH SOLE 646421 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 3149 2068 SH DFND 2068 0 0
ISHARES TR CORE US AGGBD ET 464287226 306 2700 SH SOLE 2700 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 63258 46370 SH SOLE 46370 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 12536 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12495 646421 SH SOLE 646421 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 2821 2068 SH DFND 2068 0 0
ISHARES TR CORE US AGGBD ET 464287226 482 4328 SH SOLE 4328 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 59926 46370 SH SOLE 46370 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12107 646421 SH SOLE 646421 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 11995 966571 SH SOLE 966571 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 2673 2068 SH SOLE 2068 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 2673 2068 SH DFND 46370 0 0
ISHARES TR CORE US AGGBD ET 464287226 283 2591 SH SOLE 2591 0 0
ISHARES TR CORE US AGGBD ET 464287226 275 2522 SH SOLE 2522 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 72896 57767 SH SOLE 57767 0 0
ISHARES TR CORE US AGGBD ET 464287226 71560 671986 SH SOLE 671986 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 10806 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 10239 646421 SH SOLE 646421 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 7726 6122 SH DFND 6122 0 0
ISHARES TR IBOXX INV CP ETF 464287242 1264 11203 SH SOLE 11203 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 499 19348 SH SOLE 19348 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 110905 85914 SH SOLE 85914 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12056 646421 SH SOLE 646421 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 11831 966571 SH SOLE 966571 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 9199 358374 SH SOLE 358374 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 3951 3061 SH DFND 3061 0 0
ISHARES TR CORE US AGGBD ET 464287226 722 6835 SH SOLE 6835 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 108166 85914 SH SOLE 85914 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12049 646421 SH SOLE 646421 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 11676 966571 SH SOLE 966571 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 11213 421838 SH SOLE 421838 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 3854 3061 SH DFND 3061 0 0
ISHARES TR CORE US AGGBD ET 464287226 313 2942 SH SOLE 2942 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 110829 85914 SH SOLE 85914 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 14017 544360 SH SOLE 544360 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 12246 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11396 646421 SH SOLE 646421 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 3949 3061 SH DFND 3061 0 0
ISHARES TR CORE US AGGBD ET 464287226 237 2209 SH SOLE 2209 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 104516 79784 SH SOLE 79784 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 15608 604490 SH SOLE 604490 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 12875 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12120 646421 SH SOLE 646421 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 4010 3061 SH DFND 3061 0 0
ISHARES TR S&P US PFD STK 464288687 2158 56689 SH SOLE 56689 0 0
ISHARES TR IBOXX INV CP ETF 464287242 412 3396 SH SOLE 3396 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO CO NEW PERP PFD CNV A 949746804 104784 79684 SH SOLE 79684 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 19508 739220 SH SOLE 739220 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 13116 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12153 646421 SH SOLE 646421 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 4025 3061 SH DFND 3061 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 1235 48098 SH SOLE 48098 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 441 16717 SH DFND 16717 0 0
NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 226 8853 SH SOLE 8853 0 0
NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 216 8463 SH DFND 8463 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 199103 184355000 SH SOLE 184355000 0 0
LLOYDS BANKING GROUP PLC DBCV 7.500%12/3 539439AG4 193921 175792000 SH SOLE 175792000 0 0
BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 165645 156269000 SH SOLE 156269000 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 150699 146026000 SH SOLE 146026000 0 0
WELLS FARGO CO NEW PERP PFD CNV A 949746804 103892 79240 SH SOLE 79240 0 0
BARCLAYS BK PLC NOTE 7.750% 4/1 06739FHK0 82879 79691000 SH SOLE 79691000 0 0
ING GROEP N V DBCV 6.500%12/3 456837AF0 56953 54200000 SH SOLE 54200000 0 0
BARCLAYS PLC NOTE 6.625%12/3 06738EAB1 54188 53191000 SH SOLE 53191000 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 44513 41000000 SH SOLE 41000000 0 0
ROYAL BK SCOTLAND GROUP PLC NOTE 8.625%12/3 780097BB6 35425 32500000 SH SOLE 32500000 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
LLOYDS BANKING GROUP PLC SDCV 7.500%12/3 539439AG4 186869 176692000 SH SOLE 176692000 0 0
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 181215 170155000 SH SOLE 170155000 0 0
BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 154856 147369000 SH SOLE 147369000 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 142888 144880000 SH SOLE 144880000 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 98180 79240 SH SOLE 79240 0 0
ING GROEP N V DBCV 6.500%12/3 456837AF0 54146 54500000 SH SOLE 54500000 0 0
BARCLAYS PLC NOTE 6.625%12/3 06738EAB1 53047 53191000 SH SOLE 53191000 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 34324 34500000 SH SOLE 34500000 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 32604 1300988 SH SOLE 1300988 0 0
ROYAL BK SCOTLAND GROUP PLC NOTE 8.625%12/3 780097BB6 29190 28000000 SH SOLE 28000000 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
LLOYDS BANKING GROUP PLC SDCV 7.500%12/3 539439AG4 195383 189692000 SH SOLE 189692000 0 0
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 167856 159105000 SH SOLE 159105000 0 0
BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 151195 145335000 SH SOLE 145335000 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 138885 146580000 SH SOLE 146580000 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 94296 79240 SH SOLE 79240 0 0
BARCLAYS PLC NOTE 6.625%12/3 06738EAB1 83991 89698000 SH SOLE 89698000 0 0
ING GROEP N V DBCV 6.500%12/3 456837AF0 52558 54500000 SH SOLE 54500000 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 33034 34500000 SH SOLE 34500000 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 31309 1315504 SH SOLE 1315504 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 29977 1189566 SH SOLE 1189566 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
LLOYDS BANKING GROUP PLC SDCV 7.500%12/3 539439AG4 197547 191292000 SH SOLE 191292000 0 0
BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 154541 154734000 SH SOLE 154734000 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 141919 154680000 SH SOLE 154680000 0 0
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 134269 129105000 SH SOLE 129105000 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 103747 79240 SH SOLE 79240 0 0
BARCLAYS PLC PRFD 6.625%12/3 06738EAB1 82260 90148000 SH SOLE 90148000 0 0
ING GROEP N V DBCV 6.500%12/3 456837AF0 52831 54500000 SH SOLE 54500000 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 32760 1277204 SH SOLE 1277204 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 32430 34500000 SH SOLE 34500000 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28141 1092862 SH SOLE 1092862 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
LLOYDS BANKING GROUP PLC SDCV 7.500%12/3 539439AG4 179960 184102000 SH SOLE 184102000 0 0
HSBC HLDGS PLC NOTE 6.875%12/2 404280BC2 115325 115905000 SH SOLE 115905000 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 105497 115297000 SH SOLE 115297000 0 0
BARCLAYS PLC NOTE 8.250%12/2 06738EAA3 104675 107089000 SH SOLE 107089000 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 99232 76379 SH SOLE 76379 0 0
BARCLAYS PLC NOTE 6.625%12/2 06738EAB1 80457 90148000 SH SOLE 90148000 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 33255 1281948 SH SOLE 1281948 0 0
ING GROEP N V DBCV 6.500%12/2 456837AF0 31546 34500000 SH SOLE 34500000 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 30772 33000000 SH SOLE 33000000 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 29811 1202529 SH SOLE 1202529 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 95140 76379 SH SOLE 76379 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 34975 1301677 SH SOLE 1301677 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 29720 1083817 SH SOLE 1083817 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 27844 1090209 SH SOLE 1090209 0 0
ING GROEP N V DBCV 6.500%12/2 456837AF0 20616 22500000 SH SOLE 22500000 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 18358 642310 SH SOLE 642310 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 15341 550480 SH SOLE 550480 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 12683 497171 SH SOLE 497171 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12643 670344 SH SOLE 670344 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 12101 966571 SH SOLE 966571 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 88531 76379 SH SOLE 76379 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 37853 1480368 SH SOLE 1480368 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 31284 1253234 SH SOLE 1253234 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28535 1098778 SH SOLE 1098778 0 0
ING GROEP N V DBCV 6.500%12/2 456837AF0 21980 22500000 SH SOLE 22500000 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 18753 711706 SH SOLE 711706 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 16497 621830 SH SOLE 621830 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 13740 515936 SH SOLE 515936 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11972 670344 SH SOLE 670344 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 11927 966571 SH SOLE 966571 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 89211 76379 SH SOLE 76379 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 52984 1307633 SH SOLE 1307633 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 36640 1448250 SH SOLE 1448250 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28126 1098709 SH SOLE 1098709 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 16822 651206 SH SOLE 651206 0 0
ING GROEP N V DBCV 6.500%12/2 456837AF0 16669 17500000 SH SOLE 17500000 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 16268 628825 SH SOLE 628825 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 14277 559863 SH SOLE 559863 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 11763 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11168 670344 SH SOLE 670344 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 89746 76379 SH SOLE 76379 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 38361 1520434 SH SOLE 1520434 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 35351 1458969 SH SOLE 1458969 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 29097 1104085 SH SOLE 1104085 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 16904 652405 SH SOLE 652405 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 16636 640080 SH SOLE 640080 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 15140 598409 SH SOLE 598409 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 14272 561669 SH SOLE 561669 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 12246 966571 SH SOLE 966571 0 0
ING GROEP N V DBCV 6.500%12/2 456837AF0 11742 12000000 SH SOLE 12000000 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 55549 45532 SH SOLE 45532 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 38716 1511133 SH SOLE 1538133 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 30931 1273116 SH SOLE 1273116 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 29474 1140769 SH SOLE 1140769 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 17932 688687 SH SOLE 754187 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 17346 688622 SH SOLE 688622 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 17288 658580 SH SOLE 658580 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 14916 595311 SH SOLE 595311 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 13318 989480 SH SOLE 989480 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12535 670344 SH SOLE 670344 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 55309 45532 SH SOLE 45532 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 38991 1517999 SH SOLE 1517999 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 36959 155463 SH DFND 155463 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 29818 1268280 SH SOLE 1268280 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 29721 1151668 SH SOLE 1151668 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 20609 812965 SH SOLE 812965 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 18914 685302 SH SOLE 685302 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 18016 694819 SH SOLE 694819 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 17873 39930 SH DFND 39930 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 14844 582226 SH SOLE 582226 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 58193 48393 SH SOLE 48393 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 39628 1575008 SH SOLE 1575008 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 33126 1429731 SH SOLE 1429731 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 30070 1168201 SH SOLE 1168201 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 20369 814423 SH SOLE 814423 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 19757 764011 SH SOLE 764011 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 19111 735900 SH SOLE 735900 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 14710 1105193 SH SOLE 1105193 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 14310 564694 SH SOLE 564694 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11738 670344 SH SOLE 670344 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 58780 48393 SH SOLE 48393 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 39768 1569321 SH SOLE 1569321 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 31284 1357416 SH SOLE 1357416 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 29880 1166703 SH SOLE 1166703 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 20185 783182 SH SOLE 783182 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 19958 801200 SH SOLE 801200 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 19431 751392 SH SOLE 751392 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 15312 1113585 SH SOLE 1113585 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12006 670344 SH SOLE 670344 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 6686 263733 SH SOLE 263733 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 59620 50827 SH SOLE 50827 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 39733 1561210 SH SOLE 1561210 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 29559 1151502 SH SOLE 1151502 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 26807 1242368 SH SOLE 1242368 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 20295 780292 SH SOLE 780292 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 19584 754921 SH SOLE 754921 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 16558 1224706 SH SOLE 1224706 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11773 679727 SH SOLE 679727 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 7108 301200 SH SOLE 301200 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 3199 126583 SH SOLE 126583 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 56846 51213 SH SOLE 51213 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 34907 1413239 SH SOLE 1413239 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28844 1145942 SH SOLE 1145942 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 27556 1410956 SH SOLE 1410956 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 21262 838063 SH SOLE 838063 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 19257 760266 SH SOLE 760266 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 15995 1224706 SH SOLE 1224706 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 10597 679727 SH SOLE 679727 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 6527 301200 SH SOLE 301200 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 1863 77201 SH SOLE 77201 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 59620 52413 SH SOLE 52413 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 32142 1303978 SH SOLE 1303978 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28853 1154125 SH SOLE 1154125 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 27231 1373182 SH SOLE 1373182 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 21821 857737 SH SOLE 857737 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 20034 793441 SH SOLE 793441 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 15970 1224706 SH SOLE 1224706 0 0
BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 14387 13306 SH SOLE 13306 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11342 677144 SH SOLE 677144 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 6593 301200 SH SOLE 301200 0 0

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 44003 36977 SH SOLE 36977 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 32934 1323738 SH SOLE 1323738 0 0
BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 31599 28372 SH SOLE 28372 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28930 1156719 SH SOLE 1156719 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 28431 1389011 SH SOLE 1389011 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 25235 996266 SH SOLE 996266 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 20117 796716 SH SOLE 796716 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 15897 1224706 SH SOLE 1224706 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12331 677144 SH SOLE 677144 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 6753 302681 SH SOLE 302681 0 0

Related Topics

What is Form 13f?
What is Form ADV?
How to Invest Like Warren Buffett?