0001085146-19-003020.txt : 20191114 0001085146-19-003020.hdr.sgml : 20191114 20191114161225 ACCESSION NUMBER: 0001085146-19-003020 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 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: 191220263 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 false false 0001004244 XXXXXXXX 09-30-2019 09-30-2019 false 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 860-676-8722 /s/ William E. Rotatori Farmington CT 11-14-2019 2 173 5416109 1 0000317745 028-04922 GENERAL RE CORP 2 0001067983 028-04545 BERKSHIRE HATHAWAY INC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2430 14780 SH SOLE 14780 0 0 ABBOTT LABS COM 002824100 2099 25084 SH SOLE 25084 0 0 ABBVIE INC COM 00287Y109 4865 64245 SH SOLE 64245 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 453 2355 SH SOLE 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1511 9137 SH SOLE 9137 0 0 AGNICO EAGLE MINES LTD COM 008474108 2474 46139 SH SOLE 46139 0 0 ALCON INC ORD SHS H01301128 26 450 SH SOLE 450 0 0 ALLIANT ENERGY CORP COM 018802108 1155 21414 SH SOLE 21414 0 0 ALTRA INDL MOTION CORP COM 02208R106 1 42 SH SOLE 42 0 0 AMERICAN EXPRESS CO COM 025816109 2638 22307 SH SOLE 22307 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1152 20674 SH SOLE 20674 0 0 AMGEN INC COM 031162100 188 970 SH SOLE 970 0 0 ANALOG DEVICES INC COM 032654105 34 305 SH SOLE 305 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1089 11449 SH SOLE 11449 0 0 APPLE INC COM 037833100 1279093 5711000 SH DFND 01 02 0 5711000 0 APPLE INC COM 037833100 3375 15071 SH SOLE 15071 0 0 ARES CAP CORP COM 04010L103 4210 225900 SH OTR 0 0 225900 ASML HOLDING N V N Y REGISTRY SHS N07059210 1217 4900 SH SOLE 4900 0 0 AT&T INC COM 00206R102 128 3381 SH SOLE 3381 0 0 BANK AMER CORP 7.25%CNV PFD L 060505682 14145 9435 SH OTR 0 0 9435 BANK AMER CORP COM 060505104 663658 22751400 SH DFND 01 02 0 22751400 0 BANK NEW YORK MELLON CORP COM 064058100 163 3600 SH SOLE 3600 0 0 BANK NEW YORK MELLON CORP COM 064058100 500147 11062750 SH DFND 01 02 0 11062750 0 BB&T CORP COM 054937107 125 2340 SH SOLE 2340 0 0 BECTON DICKINSON & CO COM 075887109 274 1085 SH SOLE 1085 0 0 BLACKROCK CAPITAL INVESTMENT COM 092533108 2039 407000 SH OTR 0 0 407000 BRISTOL MYERS SQUIBB CO COM 110122108 3436 67750 SH SOLE 67750 0 0 BROADCOM INC COM 11135F101 853 3090 SH SOLE 3090 0 0 CARTERS INC COM 146229109 768 8423 SH SOLE 8423 0 0 CHEVRON CORP NEW COM 166764100 5416 45666 SH SOLE 45666 0 0 CISCO SYS INC COM 17275R102 8499 172004 SH SOLE 172004 0 0 CITIGROUP INC COM NEW 172967424 1547 22400 SH SOLE 22400 0 0 CMS ENERGY CORP COM 125896100 1679 26253 SH SOLE 26253 0 0 COCA COLA CO COM 191216100 4510 82835 SH SOLE 82835 0 0 CONOCOPHILLIPS COM 20825C104 1411 24771 SH SOLE 24771 0 0 COSTCO WHSL CORP NEW COM 22160K105 411 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 6016 43274 SH SOLE 43274 0 0 CVS HEALTH CORP COM 126650100 1289 20431 SH SOLE 20431 0 0 DANAHER CORPORATION COM 235851102 47 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 5841 49409 SH SOLE 49409 0 0 DEVON ENERGY CORP NEW COM 25179M103 228 9465 SH SOLE 9465 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 37242 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 1538 11801 SH SOLE 11801 0 0 DOMINION ENERGY INC COM 25746U109 3205 39550 SH SOLE 39550 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 4164 43440 SH SOLE 43440 0 0 DXC TECHNOLOGY CO COM 23355L106 515 17473 SH SOLE 17473 0 0 EBAY INC COM 278642103 1724 44225 SH SOLE 44225 0 0 ELANCO ANIMAL HEALTH INC COM 28414H103 1326 49876 SH SOLE 49876 0 0 EMERSON ELEC CO COM 291011104 4434 66315 SH SOLE 66315 0 0 ENTERGY CORP NEW COM 29364G103 3740 31865 SH SOLE 31865 0 0 EOG RES INC COM 26875P101 965 13000 SH SOLE 13000 0 0 EXXON MOBIL CORP COM 30231G102 455 6440 SH SOLE 6440 0 0 FORTIVE CORP COM 34959J108 10 145 SH SOLE 145 0 0 FRANCO NEVADA CORP COM 351858105 529 5800 SH SOLE 5800 0 0 GARRETT MOTION INC COM 366505105 1 57 SH SOLE 57 0 0 GENERAL ELECTRIC CO COM 369604103 21 2400 SH SOLE 2400 0 0 GENERAL MLS INC COM 370334104 4724 85695 SH SOLE 85695 0 0 GLOBAL PMTS INC COM 37940X102 2241 14097 SH SOLE 14097 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 1115 55491 SH OTR 55491 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 89329 431063 SH DFND 01 02 0 431063 0 GOLUB CAP BDC INC COM 38173M102 4387 232876 SH OTR 0 0 232876 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1146 75575 SH SOLE 75575 0 0 HOLOGIC INC COM 436440101 1752 34700 SH SOLE 34700 0 0 HOME DEPOT INC COM 437076102 375 1615 SH SOLE 1615 0 0 HONEYWELL INTL INC COM 438516106 97 575 SH SOLE 575 0 0 HP INC COM 40434L105 1205 63675 SH SOLE 63675 0 0 ILLINOIS TOOL WKS INC COM 452308109 55 350 SH SOLE 350 0 0 INTEL CORP COM 458140100 93 1800 SH SOLE 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3873 26630 SH SOLE 26630 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 190 1550 SH SOLE 1550 0 0 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 1708 113720 SH SOLE 0 0 113720 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1838 81350 SH SOLE 0 0 81350 ISHARES GOLD TRUST ISHARES 464285105 832 59000 SH SOLE 59000 0 0 ISHARES INC CORE MSCI EMKT 46434G103 2711 55300 SH SOLE 0 0 55300 ISHARES INC CORE MSCI EMKT 46434G103 1255 25600 SH OTR 0 0 25600 ISHARES TR CORE HIGH DV ETF 46429B663 10640 113000 SH SOLE 105000 0 8000 ISHARES TR CORE S&P SCP ETF 464287804 1919 24651 SH OTR 0 0 24651 ISHARES TR CORE S&P500 ETF 464287200 6449 21605 SH SOLE 9200 0 12405 ISHARES TR HDG MSCI EAFE 46434V803 966 32250 SH SOLE 0 0 32250 ISHARES TR IBOXX HI YD ETF 464288513 3087 35415 SH SOLE 0 0 35415 ISHARES TR IBOXX INV CP ETF 464287242 3187 25000 SH SOLE 0 0 25000 ISHARES TR PFD AND INCM SEC 464288687 3681 98080 SH SOLE 0 0 98080 ISHARES TR RUSSELL 2000 ETF 464287655 1069 7065 SH SOLE 0 0 7065 ISHARES TR S&P 100 ETF 464287101 2564 19500 SH SOLE 19500 0 0 ISHARES TR SELECT DIVID ETF 464287168 13515 132569 SH SOLE 73164 0 59405 ISHARES TR SELECT DIVID ETF 464287168 288 2825 SH OTR 0 0 2825 JOHNSON & JOHNSON COM 478160104 4070 31457 SH SOLE 31457 0 0 JOHNSON CTLS INTL PLC SHS G51502105 935 21312 SH SOLE 21312 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2158 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 64141 545000 SH DFND 01 02 0 545000 0 JPMORGAN CHASE & CO COM 46625H100 10156 86292 SH SOLE 86292 0 0 KIMBERLY CLARK CORP COM 494368103 156 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 3208 155675 SH SOLE 155675 0 0 KOHLS CORP COM 500255104 587 11816 SH SOLE 11816 0 0 KRAFT HEINZ CO COM 500754106 511 18295 SH SOLE 18295 0 0 LILLY ELI & CO COM 532457108 4606 41189 SH SOLE 41189 0 0 LOCKHEED MARTIN CORP COM 539830109 6031 15462 SH SOLE 15462 0 0 MARKEL CORP COM 570535104 177 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 75 600 SH SOLE 600 0 0 MCDONALDS CORP COM 580135101 6237 29050 SH SOLE 29050 0 0 MEDTRONIC PLC SHS G5960L103 2384 21944 SH SOLE 21944 0 0 MERCK & CO INC COM 58933Y105 5694 67635 SH SOLE 67635 0 0 MICROSOFT CORP COM 594918104 10674 76777 SH SOLE 76777 0 0 MOLSON COORS BREWING CO CL B 60871R209 4666 81150 SH SOLE 81150 0 0 MONDELEZ INTL INC CL A 609207105 1211 21885 SH SOLE 21885 0 0 NETSCOUT SYS INC COM 64115T104 90 3916 SH SOLE 3916 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 1327 35002 SH SOLE 35002 0 0 NORDSTROM INC COM 655664100 46 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 238 2550 SH SOLE 2550 0 0 NOVARTIS A G SPONSORED ADR 66987V109 196 2250 SH SOLE 2250 0 0 OCCIDENTAL PETE CORP COM 674599105 212 4766 SH SOLE 4766 0 0 OMNICOM GROUP INC COM 681919106 92 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 152 2770 SH SOLE 2770 0 0 OUTFRONT MEDIA INC COM 69007J106 3843 138350 SH SOLE 138350 0 0 PAYPAL HLDGS INC COM 70450Y103 3005 29004 SH SOLE 29004 0 0 PEPSICO INC COM 713448108 5992 43706 SH SOLE 43706 0 0 PFIZER INC COM 717081103 5710 158932 SH SOLE 158932 0 0 PINNACLE WEST CAP CORP COM 723484101 4780 49245 SH SOLE 49245 0 0 PNC FINL SVCS GROUP INC COM 693475105 154246 1100500 SH DFND 01 02 0 1100500 0 PPL CORP COM 69351T106 3242 102950 SH SOLE 102950 0 0 PROCTER & GAMBLE CO COM 742718109 7953 63940 SH SOLE 63940 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3911 63000 SH SOLE 63000 0 0 QUALCOMM INC COM 747525103 811 10630 SH SOLE 10630 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 1 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 3083 52380 SH SOLE 52380 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 767 14250 SH SOLE 14250 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1337 27000 SH SOLE 0 0 27000 SELECT SECTOR SPDR TR ENERGY 81369Y506 1012 17100 SH SOLE 0 0 17100 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1450 18000 SH SOLE 0 0 18000 SOUTHERN CO COM 842587107 5571 90185 SH SOLE 90185 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1590 11452 SH SOLE 11452 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 20088 67690 SH OTR 0 0 67690 SPDR S&P 500 ETF TR TR UNIT 78462F103 58482 197064 SH SOLE 18831 0 178233 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 7447 21127 SH OTR 0 0 21127 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 1664 15306 SH SOLE 0 0 15306 SPDR SERIES TRUST NUVEEN BLMBRG SR 78468R739 3850 78582 SH SOLE 0 0 78582 SPDR SERIES TRUST PORTFOLIO LN COR 78464A367 90 3000 SH SOLE 0 0 3000 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2951 95650 SH SOLE 0 0 95650 SYSCO CORP COM 871829107 5928 74660 SH SOLE 74660 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 922 53626 SH SOLE 53626 0 0 TARGET CORP COM 87612E106 2795 26139 SH SOLE 26139 0 0 TRAVELERS COMPANIES INC COM 89417E109 6394 43000 SH DFND 01 02 0 43000 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 2270 108887 SH OTR 0 0 108887 UNION PACIFIC CORP COM 907818108 1458 9000 SH SOLE 9000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 232 1940 SH SOLE 1940 0 0 UNITED TECHNOLOGIES CORP COM 913017109 36 266 SH SOLE 266 0 0 UNITEDHEALTH GROUP INC COM 91324P102 261 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 975558 17628443 SH DFND 01 02 0 17628443 0 US BANCORP DEL COM NEW 902973304 2024 36578 SH SOLE 36578 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 101 3800 SH SOLE 0 0 3800 VANGUARD INDEX FDS LARGE CAP ETF 922908637 2337 17140 SH SOLE 0 0 17140 VANGUARD INDEX FDS MID CAP ETF 922908629 1188 7090 SH SOLE 0 0 7090 VANGUARD INDEX FDS SMALL CP ETF 922908751 2231 14495 SH SOLE 0 0 14495 VANGUARD INDEX FDS TOTAL STK MKT 922908769 10313 68300 SH SOLE 56000 0 12300 VANGUARD INDEX FDS VALUE ETF 922908744 2735 24500 SH SOLE 0 0 24500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1865 28242 SH OTR 0 0 28242 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 907 15275 SH SOLE 0 0 15275 VAREX IMAGING CORP COM 92214X106 11 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 202 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 4586 29000 SH OTR 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4547 75337 SH SOLE 75337 0 0 WABTEC CORP COM 929740108 1 12 SH SOLE 12 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1098 19856 SH SOLE 19856 0 0 WALMART INC COM 931142103 5915 49840 SH SOLE 49840 0 0 WASTE MGMT INC DEL COM 94106L109 230 2000 SH SOLE 2000 0 0 WELLS FARGO CO NEW COM 949746101 1138945 22580200 SH DFND 01 02 0 22580200 0 WELLS FARGO CO NEW COM 949746101 7055 139877 SH SOLE 139877 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 20211 13275 SH OTR 0 0 13275 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 9501 141196 SH OTR 20296 0 120900 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 10459 155429 SH SOLE 22754 0 132675 YUM BRANDS INC COM 988498101 1100 9700 SH SOLE 9700 0 0 YUM CHINA HLDGS INC COM 98850P109 877 19300 SH SOLE 19300 0 0 ZOETIS INC CL A 98978V103 2110 16932 SH SOLE 16932 0 0