0001085146-17-001380.txt : 20170515 0001085146-17-001380.hdr.sgml : 20170515 20170515162327 ACCESSION NUMBER: 0001085146-17-001380 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEW ENGLAND ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001004244 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05194 FILM NUMBER: 17844557 BUSINESS ADDRESS: STREET 1: 74 BATTERSON PARK ROAD STREET 2: POND VIEW COPORATE CENTER CITY: FARMINGTON STATE: CT ZIP: 06032 BUSINESS PHONE: 8606768722 MAIL ADDRESS: STREET 1: 74 BATTERSON PARK ROAD STREET 2: POND VIEW CORPORATE CENTER CITY: FARMINGTON STATE: CT ZIP: 06032 FORMER COMPANY: FORMER CONFORMED NAME: GENERAL RE NEW ENGLAND ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990426 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001004244 XXXXXXXX 03-31-2017 03-31-2017 NEW ENGLAND ASSET MANAGEMENT INC
74 BATTERSON PARK ROAD POND VIEW CORPORATE CENTER FARMINGTON CT 06032
13F HOLDINGS REPORT 028-05194 N
William E. Rotatori CEO 860 676-8722 /s/ William E. Rotatori Farmington CT 05-15-2017 2 209 6063075 false 01 0000317745 028-04922 GENERAL RE CORP 02 0001067983 028-04545 BERKSHIRE HATHAWAY INC
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y10117038900SHSOLE 870002003M COCOM88579Y1012151125SHOTR 112500ABBOTT LABSCOM002824100184841604SHSOLE 3580405800ABBVIE INCCOM00287Y109346053100SHSOLE 5170001400ACCENTURE PLC IRELANDSHS CLASS AG1151C1013302755SHOTR 275500ADIENT PLCORD SHSG0084W1012673674SHSOLE 31780496ADVANCE AUTO PARTS INCCOM00751Y106231815637SHSOLE 1343702200ADVANSIX INCCOM00773T101123SHOTR 2300AGNICO EAGLE MINES LTDCOM008474108302771339SHSOLE 58939012400ALLIANT ENERGY CORPCOM018802108147837314SHSOLE 3211405200AMERICAN ELEC PWR INCCOM025537101363254100SHSOLE 5270001400AMERICAN EXPRESS COCOM025816109144818298SHSOLE 1579802500AMERICAN INTL GROUP INCCOM NEW026874784216934756SHSOLE 3005604700AMGEN INCCOM031162100159970SHOTR 97000ANADARKO PETE CORPCOM032511107165026613SHSOLE 2291303700ANALOG DEVICES INCCOM03265410525305SHOTR 30500ANHEUSER BUSCH INBEV SA/NVSPONSORED ADR03524A108212219337SHSOLE 1663702700APOLLO COML REAL EST FIN INCCOM03762U105945010SHSOLE 501000APPLE INCCOM0378331008042095598000SHDFND01 02055980000APPLE INCCOM037833100394727475SHSOLE 2367503800ARES CAP CORPCOM04010L1033926225900SHOTR 00225900AT&T INCCOM00206R1021403381SHOTR 338100BANK AMER CORP7.25%CNV PFD L060505682112759435SHOTR 009435BANK NEW YORK MELLON CORPCOM0640581001742313689000SHDFND01 02036890000BANK NEW YORK MELLON CORPCOM0640581001894000SHOTR 400000BARRICK GOLD CORPCOM067901108653400SHSOLE 003400BB&T CORPCOM0549371071052340SHOTR 234000BECTON DICKINSON & COCOM0758871091991085SHOTR 108500BLACKROCK CAPITAL INVESTMENTCOM0925331083073407000SHOTR 00407000BRISTOL MYERS SQUIBB COCOM110122108233342900SHSOLE 4180001100CALUMET SPECIALTY PRODS PTNRUT LTD PARTNER131476103236000SHSOLE 600000CARTER INCCOM146229109130514523SHSOLE 1252302000CHEVRON CORP NEWCOM166764100512447726SHSOLE 4392603800CISCO SYS INCCOM17275R1026379188749SHSOLE 173949014800CITIGROUP INCCOM NEW172967424218936600SHSOLE 3150005100CLAYMORE EXCHANGE TRD FD TRGUGG CRP BD 201718383M5481406200SHOTR 006200CMS ENERGY CORPCOM125896100198344311SHSOLE 3821106100COCA COLA COCOM191216100297070000SHSOLE 6820001800CONOCOPHILLIPSCOM20825C104354971162SHSOLE 6576205400COSTCO WHSL CORP NEWCOM22160K1052721625SHOTR 162500COTY INCCOM CL A22207020388748935SHSOLE 4223506700CROWN CASTLE INTL CORP NEWCOM22822V101345736600SHSOLE 357000900CVD EQUIPMENT CORPCOM126601103626000SHSOLE 600000CVR PARTNERS LPCOM1266331067015000SHSOLE 1500000CVS HEALTH CORPCOM1266501002663385SHOTR 338500CVS HEALTH CORPCOM126650100229529239SHSOLE 2513904100DANAHER CORP DELCOM23585110228328SHOTR 32800DARDEN RESTAURANTS INCCOM237194105343040994SHSOLE 3989401100DELL TECHNOLOGIES INCCOM CL V24703L1034206557SHSOLE 56880869DEVON ENERGY CORP NEWCOM25179M10367916265SHSOLE 1396502300DIAGEO P L CSPON ADR NEW25243Q20526323227750SHDFND01 0202277500DISNEY WALT COCOM DISNEY25468710647415SHOTR 41500DOMINION RES INC VA NEWCOM25746U109315040600SHSOLE 3960001000DUKE ENERGY CORP NEWCOM NEW26441C204295336000SHSOLE 351000900DYNEX CAP INCCOM NEW26817Q50621330000SHSOLE 3000000EBAY INCCOM278642103112533525SHSOLE 2892504600EDAP TMS S ASPONSORED ADR26831110713347956SHSOLE 4795600EMERSON ELEC COCOM291011104304750900SHSOLE 4960001300ENSCO PLCSHS CLASS AG3157S106273000SHSOLE 300000ENTERGY CORP NEWCOM29364G103238531400SHSOLE 306000800EOG RES INCCOM26875P101220422600SHSOLE 1950003100EVOGENE LTDSHSM4119S1048015000SHSOLE 1500000FORTIVE CORPCOM34959J10810164SHOTR 16400FRANCO NEVADA CORPCOM3518581054396700SHSOLE 58000900GAS NAT INCCOM36720410449539000SHSOLE 3900000GENERAL ELECTRIC COCOM3696041035093170900SHSOLE 158900012000GENERAL ELECTRIC COCOM36960410321278714042SHDFND01 0207140420GENERAL ELECTRIC COCOM369604103722400SHOTR 240000GENERAL MLS INCCOM370334104270945900SHSOLE 4480001100GLAXOSMITHKLINE PLCSPONSORED ADR37733W10596822949SHSOLE 1984903100GOLAR LNG PARTNERS LPCOM UNIT LPIY2745C1021436400SHSOLE 640000GOLDCORP INC NEWCOM3809564092177149218SHSOLE 123218026000GOLDMAN SACHS BDC INCSHS38147U107133654218SHOTR 5421800GOLDMAN SACHS GROUP INCCOM38141G1045354922331063SHDFND01 02023310630GOLUB CAP BDC INCCOM38173M1024630232876SHOTR 00232876HEWLETT PACKARD ENTERPRISE CCOM42824C1093003126704SHSOLE 109404017300HOLOGIC INCCOM436440101246858000SHSOLE 4990008100HOME DEPOT INCCOM4370761022811915SHOTR 191500HONEYWELL INTL INCCOM43851610672575SHOTR 57500HP INCCOM40434L1052241125375SHSOLE 108075017300ILLINOIS TOOL WKS INCCOM45230810946350SHOTR 35000INTEL CORPCOM458140100651800SHOTR 180000INTERNATIONAL BUSINESS MACHSCOM4592001011921100SHOTR 110000INTERNATIONAL BUSINESS MACHSCOM459200101329118900SHSOLE 184000500INTERNATIONAL FLAVORS&FRAGRACOM4595061012051550SHOTR 155000INVESCO MORTGAGE CAPITAL INCCOM46131B10023115000SHSOLE 1500000ISHARES GOLD TRUSTISHARES46428510570959000SHSOLE 5900000ISHARES TRCORE HIGH DV ETF46429B6639057108000SHOTR 10000008000ISHARES TRCORE S&P SCP ETF464287804352750996SHOTR 0050996ISHARES TRCORE S&P500 ETF464287200327413800SHOTR 920004600ISHARES TRIBOXX HI YD ETF4642885131231400SHSOLE 001400ISHARES TRIBOXX HI YD ETF464288513772988050SHOTR 0088050ISHARES TRINTERM CR BD ETF4642886381801650SHOTR 001650ISHARES TRMSCI EAFE ETF4642874654056500SHOTR 006500ISHARES TRRUSSELL 3000 ETF4642876894693350SHOTR 003350ISHARES TRS&P 100 ETF464287101246123500SHOTR 1950004000ISHARES TRSELECT DIVID ETF4642871685075560SHSOLE 36005200ISHARES TRSELECT DIVID ETF46428716825275277450SHOTR 1003000177150ISHARES TRU.S. PFD STK ETF464288687129133352SHOTR 0033352ISHARES TRU.S. PFD STK ETF464288687852200SHSOLE 002200ISHARES TRUS HLTHCARE ETF4642877621561000SHSOLE 100000JOHNSON & JOHNSONCOM478160104319325632SHSOLE 250320600JOHNSON CTLS INTL PLCSHSG51502105155736969SHSOLE 3200304966JPMORGAN CHASE & COCOM46625H100870599108SHSOLE 9040808700KIMBERLY CLARK CORPCOM4943681031321000SHOTR 100000KIMBERLY CLARK CORPCOM49436810366500SHSOLE 50000KINDER MORGAN INC DELCOM49456B101216399500SHSOLE 9680002700KOHLS CORPCOM500255104126431746SHSOLE 2744604300KRAFT HEINZ COCOM500754106585664483SHSOLE 5931705166LILLY ELI & COCOM532457108312037100SHSOLE 3610001000LOCKHEED MARTIN CORPCOM539830109323012072SHSOLE 117720300MAG SILVER CORPCOM55903Q104594500SHSOLE 450000MARKEL CORPCOM570535104146150SHOTR 15000MARRIOTT INTL INC NEWCL A571903202941000SHOTR 100000MCDONALDS CORPCOM5801351011751350SHOTR 135000MCDONALDS CORPCOM580135101317624500SHSOLE 238000700MDU RES GROUP INCCOM5526901091234500SHSOLE 450000MEAD JOHNSON NUTRITION COCOM582839106170119096SHSOLE 1609603000MEDTRONIC PLCSHSG5960L103270333544SHSOLE 2884404700MEDTRONIC PLCSHSG5960L1031211500SHOTR 150000MEMORIAL PRODTN PARTNERS LPCOM U REP LTD586048100110000SHSOLE 1000000MERCK & CO INCCOM58933Y105336152900SHSOLE 5140001500MFC BANCORP LTDCOM55278T1053620000SHSOLE 2000000MICHAELS COS INCCOM59408Q10686538600SHSOLE 3330005300MICROSOFT CORPCOM5949181044086200SHOTR 620000MICROSOFT CORPCOM5949181047403112408SHSOLE 102208010200MONDELEZ INTL INCCL A609207105174540519SHSOLE 3521905300MTGE INVT CORPCOM55378A10525115000SHSOLE 1500000NETSCOUT SYS INCCOM64115T1041493916SHOTR 391600NEW RESIDENTIAL INVT CORPCOM NEW64828T20176445000SHSOLE 4500000NEWMONT MINING CORPCOM6516391062547700SHSOLE 007700NORDSTROM INCCOM6556641001002150SHOTR 215000NORTHERN TR CORPCOM6658591042382750SHOTR 275000NOVARTIS A GSPONSORED ADR66987V1091672250SHOTR 225000NUVEEN BUILD AMER BD FDCOM67074C1031306200SHSOLE 006200OMNICOM GROUP INCCOM6819191061011175SHOTR 117500ORACLE CORPCOM68389X1051242770SHOTR 277000OUTFRONT MEDIA INCCOM69007J1062921110022SHSOLE 10702203000PAYPAL HLDGS INCCOM70450Y103224352125SHSOLE 4492507200PEPSICO INCCOM713448108101905SHOTR 90500PEPSICO INCCOM713448108467241771SHSOLE 3947102300PFIZER INCCOM7170811035068148128SHSOLE 14552802600PFIZER INCCOM717081103812355SHOTR 235500PHILLIPS 66COM7185461041040951314000SHDFND01 02013140000PINNACLE WEST CAP CORPCOM723484101321938600SHSOLE 3750001100POINTS INTL LTDCOM NEW730843208314000SHSOLE 400000POWERSHARES ETF TR IIBUILD AMER ETF73937B40733811500SHSOLE 0011500POWERSHARES ETF TR IIPFD PORTFOLIO73936T56552835650SHOTR 0035650POWERSHARES ETF TRUSTDYN PHRMA PORT73935X7991763000SHSOLE 300000POWERSHARES ETF TRUSTDYNA BUYBK ACH73935X2862084000SHSOLE 400000POWERSHARES ETF TRUST IISENIOR LN PORT73936Q7693862166050SHOTR 00166050POWERSHARES ETF TRUST IISENIOR LN PORT73936Q769492100SHSOLE 002100PPL CORPCOM69351T106283475800SHSOLE 7380002000PRIMERO MNG CORPCOM74164W106815000SHSOLE 1500000PROCTER AND GAMBLE COCOM742718109538459922SHSOLE 5547904443PROCTER AND GAMBLE COCOM7427181093143500SHOTR 350000PUBLIC SVC ENTERPRISE GROUPCOM744573106280763310SHSOLE 6161001700QUALCOMM INCCOM7475251031232140SHOTR 214000ROCKWELL COLLINS INCCOM77434110169710SHOTR 71000SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4075286000SHSOLE 600000SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3083276000SHSOLE 600000SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y506147521100SHOTR 0021100SELECT SECTOR SPDR TRTECHNOLOGY81369Y80380015000SHSOLE 1500000SHIRE PLCSPONSORED ADR82481R10631179SHOTR 17900SHIRE PLCSPONSORED ADR82481R106236113550SHSOLE 1166101889SNYDERS-LANCE INCCOM833551104313177679SHSOLE 66906010773SOUTHERN COCOM842587107492198855SHSOLE 9125507600SPDR GOLD TRUSTGOLD SHS78463V107173914652SHSOLE 1105203600SPDR S&P 500 ETF TRTR UNIT78462F10370864300601SHOTR 143000286301SPDR S&P 500 ETF TRTR UNIT78462F103394016715SHSOLE 1211504600SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107705422578SHOTR 0022578SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A41750213600SHOTR 0013600SUNCOR ENERGY INC NEWCOM867224107943052SHSOLE 305200SYSCO CORPCOM871829107323462300SHSOLE 6050001800TARGET CORPCOM87612E106242843989SHSOLE 3798906000TOTAL SYS SVCS INCCOM891906109152928602SHSOLE 2460204000TWO HBRS INVT CORPCOM90187B10119220000SHSOLE 2000000U S G CORPCOM NEW9032934051394744385964SHDFND01 02043859640UNION PAC CORPCOM907818108113310700SHSOLE 920001500UNITED PARCEL SERVICE INCCL B9113121062512340SHOTR 234000UNITEDHEALTH GROUP INCCOM91324P1021971200SHOTR 120000US BANCORP DELCOM NEW902973304136671126538069SHDFND01 020265380690US BANCORP DELCOM NEW902973304174033777SHSOLE 2997703800USA COMPRESSION PARTNERS LPCOMUNIT LTDPAR90290N10925315000SHSOLE 1500000VANECK VECTORS ETF TRGOLD MINERS ETF92189F106873800SHSOLE 003800VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835811000SHOTR 001000VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378357148800SHSOLE 008800VANGUARD INDEX FDSLARGE CAP ETF9229086374223900SHOTR 003900VANGUARD INDEX FDSTOTAL STK MKT922908769828668300SHOTR 56000012300VANGUARD INTL EQUITY INDEX FFTSE PACIFIC ETF922042866188329760SHOTR 0029760VAREX IMAGING CORPCOM92214X10623680SHOTR 68000VARIAN MED SYS INCCOM92220P1051551700SHOTR 170000VEREIT INCCOM92339V10025530000SHSOLE 3000000VERISK ANALYTICS INCCOM92345Y106235329000SHOTR 2900000VERISK ANALYTICS INCCOM92345Y1062396922954050SHDFND01 02029540500VERIZON COMMUNICATIONS INCCOM92343V104581191SHOTR 119100VERIZON COMMUNICATIONS INCCOM92343V104294560401SHSOLE 5880101600WALGREENS BOOTS ALLIANCE INCCOM931427108277133361SHSOLE 2876104600WAL-MART STORES INCCOM931142103291240400SHSOLE 3940001000WASTE MGMT INC DELCOM94106L1091462000SHOTR 200000WELLS FARGO & CO NEWCOM949746101221200139741300SHDFND01 020397413000WELLS FARGO & CO NEWCOM949746101195835177SHSOLE 3047704700WELLS FARGO & CO NEWPERP PFD CNV A9497468041644813275SHOTR 0013275WISDOMTREE TREUROPE HEDGED EQ97717X7018059128300SHOTR 00128300WISDOMTREE TREUROPE HEDGED EQ97717X701215434287SHSOLE 2658707700YPF SOCIEDAD ANONIMASPON ADR CL D9842451001466000SHSOLE 600000YUM BRANDS INCCOM98849810191414300SHSOLE 1230002000YUM CHINA HLDGS INCCOM98850P10938914300SHSOLE 1230002000ZOETIS INCCL A98978V103146427432SHSOLE 2353203900