0001085146-20-002332.txt : 20200817 0001085146-20-002332.hdr.sgml : 20200817 20200814175101 ACCESSION NUMBER: 0001085146-20-002332 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200817 DATE AS OF CHANGE: 20200814 EFFECTIVENESS DATE: 20200817 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: 201106956 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 06-30-2020 06-30-2020 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 07-14-2020 2 163 4065761 false 1 0000317745 028-04922 GENERAL RE CORP 2 0001067983 028-04545 BERKSHIRE HATHAWAY INC INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 2232 14310 SH SOLE 14260 0 50 ABBOTT LABS COM 002824100 2348 25684 SH SOLE 25684 0 0 ABBVIE INC COM 00287Y109 6037 61495 SH SOLE 61095 0 400 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 506 2355 SH SOLE 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1601 11237 SH SOLE 11237 0 0 AGNICO EAGLE MINES LTD COM 008474108 3039 47439 SH SOLE 47439 0 0 ALCON AG ORD SHS H01301128 26 450 SH SOLE 450 0 0 ALLIANT ENERGY CORP COM 018802108 1053 22014 SH SOLE 22014 0 0 ALTRA INDL MOTION CORP COM 02208R106 1 42 SH SOLE 42 0 0 AMERICAN EXPRESS CO COM 025816109 2171 22807 SH SOLE 22807 0 0 AMGEN INC COM 031162100 229 970 SH SOLE 970 0 0 ANALOG DEVICES INC COM 032654105 37 305 SH SOLE 305 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 579 11749 SH SOLE 11749 0 0 APPLE INC COM 037833100 2083373 5711000 SH DFND 01 02 0 5711000 0 APPLE INC COM 037833100 5133 14071 SH SOLE 14071 0 0 ARES CAPITAL CORP COM 04010L103 3264 225900 SH OTR 0 0 225900 AT&T INC COM 00206R102 102 3381 SH SOLE 3381 0 0 BANK NEW YORK MELLON CORP COM 064058100 76891 1989411 SH DFND 01 02 0 1989411 0 BANK NEW YORK MELLON CORP COM 064058100 139 3600 SH SOLE 3600 0 0 BECTON DICKINSON & CO COM 075887109 260 1085 SH SOLE 1085 0 0 BK OF AMERICA CORP COM 060505104 540346 22751400 SH DFND 01 02 0 22751400 0 BK OF AMERICA CORP 7.25%CNV PFD L 060505682 12664 9435 SH OTR 0 0 9435 BLACKROCK CAP INVT CORP COM 092533108 1087 407000 SH OTR 0 0 407000 BRISTOL-MYERS SQUIBB CO COM 110122108 3840 65300 SH SOLE 64900 0 400 BROADCOM INC COM 11135F101 1827 5790 SH SOLE 5790 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 6 266 SH SOLE 266 0 0 CARTERS INC COM 146229109 696 8623 SH SOLE 8623 0 0 CHEVRON CORP NEW COM 166764100 4341 48646 SH SOLE 48446 0 200 CISCO SYS INC COM 17275R102 7861 168534 SH SOLE 167834 0 700 CITIGROUP INC COM NEW 172967424 1175 23000 SH SOLE 23000 0 0 CMS ENERGY CORP COM 125896100 1575 26953 SH SOLE 26953 0 0 COCA COLA CO COM 191216100 3914 87615 SH SOLE 87115 0 500 CONOCOPHILLIPS COM 20825C104 1738 41371 SH SOLE 41371 0 0 COSTCO WHSL CORP NEW COM 22160K105 432 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 6908 41284 SH SOLE 41084 0 200 CVS HEALTH CORP COM 126650100 1360 20931 SH SOLE 20931 0 0 DANAHER CORPORATION COM 235851102 58 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 3591 47389 SH SOLE 47089 0 300 DIAGEO P L C SPON ADR NEW 25243Q205 30607 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 1561 14001 SH SOLE 14001 0 0 DOMINION ENERGY INC COM 25746U109 3111 38330 SH SOLE 38030 0 300 DUKE ENERGY CORP NEW COM NEW 26441C204 3339 41790 SH SOLE 41490 0 300 EBAY INC. COM 278642103 2377 45325 SH SOLE 45325 0 0 ELANCO ANIMAL HEALTH INC COM 28414H103 15 676 SH SOLE 676 0 0 EMERSON ELEC CO COM 291011104 3956 63775 SH SOLE 63375 0 400 ENTERGY CORP NEW COM 29364G103 2888 30785 SH SOLE 30585 0 200 EOG RES INC COM 26875P101 1403 27700 SH SOLE 27700 0 0 EXXON MOBIL CORP COM 30231G102 270 6040 SH SOLE 6040 0 0 FORTIVE CORP COM 34959J108 10 145 SH SOLE 145 0 0 FRANCO NEV CORP COM 351858105 810 5800 SH SOLE 5800 0 0 GARRETT MOTION INC COM 366505105 0 57 SH SOLE 57 0 0 GENERAL ELECTRIC CO COM 369604103 16 2400 SH SOLE 2400 0 0 GENERAL MLS INC COM 370334104 5032 81625 SH SOLE 81125 0 500 GLOBAL PMTS INC COM 37940X102 1630 9607 SH SOLE 9607 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 901 55491 SH OTR 55491 0 0 GOLUB CAP BDC INC COM 38173M102 2713 232876 SH OTR 0 0 232876 HOME DEPOT INC COM 437076102 1206 4815 SH SOLE 4815 0 0 HONEYWELL INTL INC COM 438516106 83 575 SH SOLE 575 0 0 HP INC COM 40434L105 1139 65375 SH SOLE 65375 0 0 ILLINOIS TOOL WKS INC COM 452308109 61 350 SH SOLE 350 0 0 INTEL CORP COM 458140100 108 1800 SH SOLE 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3107 25730 SH SOLE 25580 0 150 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 190 1550 SH SOLE 1550 0 0 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 373 26400 SH SOLE 0 0 26400 INVESCO EXCHANGE-TRADED FD T SR LN ETF 46138G508 777 36400 SH SOLE 0 0 36400 ISHARES GOLD TRUST ISHARES 464285105 1403 82600 SH SOLE 82600 0 0 ISHARES INC CORE MSCI EMKT 46434G103 5274 110800 SH SOLE 0 0 110800 ISHARES INC CORE MSCI EMKT 46434G103 3660 76900 SH OTR 0 0 76900 ISHARES TR SELECT DIVID ETF 464287168 228 2825 SH OTR 0 0 2825 ISHARES TR HDG MSCI EAFE 46434V803 1555 56340 SH SOLE 0 0 56340 ISHARES TR CORE S&P500 ETF 464287200 22297 72000 SH SOLE 18000 0 54000 ISHARES TR CORE S&P MCP ETF 464287507 2402 13509 SH SOLE 0 0 13509 ISHARES TR CORE S&P SCP ETF 464287804 1145 16763 SH SOLE 0 0 16763 ISHARES TR S&P 100 ETF 464287101 2777 19500 SH SOLE 19500 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 10062 124000 SH SOLE 116000 0 8000 ISHARES TR IBOXX INV CP ETF 464287242 3363 25000 SH SOLE 0 0 25000 ISHARES TR IBOXX HI YD ETF 464288513 490 6000 SH SOLE 0 0 6000 ISHARES TR RUSSELL 2000 ETF 464287655 1012 7065 SH SOLE 0 0 7065 ISHARES TR SELECT DIVID ETF 464287168 6338 78514 SH SOLE 36964 0 41550 ISHARES TR CORE S&P SCP ETF 464287804 1184 17345 SH OTR 0 0 17345 JOHNSON & JOHNSON COM 478160104 4251 30227 SH SOLE 01 02 30077 0 150 JOHNSON CTLS INTL PLC SHS G51502105 748 21912 SH SOLE 21912 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1224 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 7964 84672 SH SOLE 84372 0 300 KIMBERLY CLARK CORP COM 494368103 155 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 2273 149785 SH SOLE 148885 0 900 LILLY ELI & CO COM 532457108 6462 39359 SH SOLE 39159 0 200 LOCKHEED MARTIN CORP COM 539830109 5417 14845 SH SOLE 14795 0 50 MARKEL CORP COM 570535104 138 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 51 600 SH SOLE 600 0 0 MCDONALDS CORP COM 580135101 5887 31910 SH SOLE 31760 0 150 MEDTRONIC PLC SHS G5960L103 2049 22344 SH SOLE 22344 0 0 MERCK & CO. INC COM 58933Y105 5043 65215 SH SOLE 64815 0 400 MICROSOFT CORP COM 594918104 14117 69367 SH SOLE 69167 0 200 MOLSON COORS BEVERAGE CO CL B 60871R209 3549 103280 SH SOLE 102780 0 500 MONDELEZ INTL INC CL A 609207105 1150 22485 SH SOLE 22485 0 0 NETSCOUT SYS INC COM 64115T104 100 3916 SH SOLE 3916 0 0 NEWMONT CORP COM 651639106 2198 35602 SH SOLE 35602 0 0 NORDSTROM INC COM 655664100 21 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 202 2550 SH SOLE 2550 0 0 NOVARTIS AG SPONSORED ADR 66987V109 197 2250 SH SOLE 2250 0 0 OMNICOM GROUP INC COM 681919106 64 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 153 2770 SH SOLE 2770 0 0 OTIS WORLDWIDE CORP COM 68902V107 8 133 SH SOLE 133 0 0 OUTFRONT MEDIA INC COM 69007J106 1888 133260 SH SOLE 132460 0 800 PAYPAL HLDGS INC COM 70450Y103 5158 29604 SH SOLE 29604 0 0 PEPSICO INC COM 713448108 5600 42346 SH SOLE 42146 0 200 PFIZER INC COM 717081103 5078 155282 SH SOLE 154582 0 700 PINNACLE WEST CAP CORP COM 723484101 3396 46335 SH SOLE 46035 0 300 PPL CORP COM 69351T106 2555 98870 SH SOLE 98270 0 600 PROCTER AND GAMBLE CO COM 742718109 7474 62510 SH SOLE 62260 0 250 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3017 61360 SH SOLE 60860 0 500 QUALCOMM INC COM 747525103 924 10130 SH SOLE 10130 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 16 266 SH SOLE 266 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 1 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1650 50480 SH SOLE 50180 0 300 SEAGATE TECHNOLOGY PLC SHS G7945M107 651 13450 SH SOLE 13450 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1665 44000 SH SOLE 0 0 44000 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1459 27000 SH SOLE 0 0 27000 SOUTHERN CO COM 842587107 4594 88595 SH SOLE 88245 0 350 SPDR GOLD TR GOLD SHS 78463V107 1950 11652 SH SOLE 11652 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 63525 206009 SH SOLE 21571 0 184438 SPDR S&P 500 ETF TR TR UNIT 78462F103 15184 49241 SH OTR 0 0 49241 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 4920 15164 SH OTR 0 0 15164 SPDR SER TR PORTFOLIO SHORT 78464A474 2998 95650 SH SOLE 0 0 95650 SPDR SER TR PORTFOLIO LN COR 78464A367 95 3000 SH SOLE 0 0 3000 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1315 13000 SH SOLE 0 0 13000 SPDR SER TR NUVEEN BLMBRG SR 78468R739 2423 48582 SH SOLE 0 0 48582 STARBUCKS CORP COM 855244109 743 10100 SH SOLE 10100 0 0 STRYKER CORPORATION COM 863667101 937 5200 SH SOLE 5200 0 0 SYSCO CORP COM 871829107 3906 71450 SH SOLE 71000 0 450 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 987 55026 SH SOLE 55026 0 0 TARGET CORP COM 87612E106 3207 26739 SH SOLE 26739 0 0 TRUIST FINL CORP COM 89832Q109 88 2340 SH SOLE 2340 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 1248 108887 SH OTR 0 0 108887 UNION PAC CORP COM 907818108 1555 9200 SH SOLE 9200 0 0 UNITED PARCEL SERVICE INC CL B 911312106 216 1940 SH SOLE 1940 0 0 UNITEDHEALTH GROUP INC COM 91324P102 354 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 649079 17628443 SH DFND 01 02 0 17628443 0 US BANCORP DEL COM NEW 902973304 1350 36678 SH SOLE 01 02 36678 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 139 3800 SH SOLE 0 0 3800 VANGUARD INDEX FDS MID CAP ETF 922908629 1162 7090 SH SOLE 0 0 7090 VANGUARD INDEX FDS SMALL CP ETF 922908751 2112 14495 SH SOLE 0 0 14495 VANGUARD INDEX FDS VALUE ETF 922908744 2440 24500 SH SOLE 0 0 24500 VANGUARD INDEX FDS LARGE CAP ETF 922908637 2451 17140 SH SOLE 0 0 17140 VANGUARD INDEX FDS TOTAL STK MKT 922908769 10691 68300 SH SOLE 56000 0 12300 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1262 19820 SH OTR 0 0 19820 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 1115 21775 SH SOLE 0 0 21775 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 4108 52145 SH SOLE 47400 0 4745 VAREX IMAGING CORP COM 92214X106 6 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 208 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 4936 29000 SH OTR 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4000 72557 SH SOLE 72107 0 450 WABTEC COM 929740108 1 12 SH SOLE 12 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 863 20356 SH SOLE 20356 0 0 WALMART INC COM 931142103 5738 47900 SH SOLE 47600 0 300 WASTE MGMT INC DEL COM 94106L109 212 2000 SH SOLE 2000 0 0 WELLS FARGO CO NEW COM 949746101 204390 7984000 SH DFND 01 02 0 7984000 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 17218 13275 SH OTR 0 0 13275 WELLS FARGO CO NEW COM 949746101 3630 141797 SH SOLE 01 02 141197 0 600 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 10927 179996 SH OTR 10796 0 169200 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 9260 152529 SH SOLE 23354 0 129175 YUM CHINA HLDGS INC COM 98850P109 952 19800 SH SOLE 19800 0 0