-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UhTKdIRIuUWJOL74NE9mIb0RvdxeRklNd4x1hEwW0eqJeTfPohDVoj3OExdsmRbh Njg9ePruJaovf2Gy5rJUXw== 0001214659-09-002568.txt : 20091105 0001214659-09-002568.hdr.sgml : 20091105 20091104181019 ACCESSION NUMBER: 0001214659-09-002568 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091105 DATE AS OF CHANGE: 20091104 EFFECTIVENESS DATE: 20091105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BANTA ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0001426960 IRS NUMBER: 200875379 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12787 FILM NUMBER: 091158926 BUSINESS ADDRESS: STREET 1: 517 30TH STREET CITY: NEWPORT BEACH STATE: CA ZIP: 92663 BUSINESS PHONE: 949-673-9944 MAIL ADDRESS: STREET 1: 517 30TH STREET CITY: NEWPORT BEACH STATE: CA ZIP: 92663 13F-HR 1 d1119113fhr.txt FOR THE QUARTER ENDED SEPTEMBER 30, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: __ This Amendment (Check only one): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Banta Asset Managment, LP Address: 517 30th Street Newport Beach, CA 92663 Form 13F File Number: 28-12787 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Stephen M. Banta Title: Partner Phone: 949-673-9944 Signature, Place, and Date of Signing: /s/ Stephen M. Banta Newport Beach, CA 11/04/2009 - ------------------------ ------------------------ -------------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE AS OF DATE: 09/30/09 RUN DATE: 11/04/09 9:45 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 50 FORM 13F INFORMATION TABLE VALUE TOTAL: $43,149,000 LIST OF OTHER INCLUDED MANAGERS: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
BANTA ASSET MANAGEMENT PAGE 1 FORM 13F INFORMATION TABLE AS OF DATE: 09/30/09 VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------- -------------- ----- -------- ------------------------ -------- ---- ------ ---- 3M CO COM 88579Y101 262 3545 SH SOLE 3545 0 0 ALCOA INC COM 013817101 826 62957 SH SOLE 62957 0 0 AMERICAN EXPRESS CO COM 025816109 453 13355 SH SOLE 13355 0 0 AMGEN INC COM 031162100 212 3527 SH SOLE 3527 0 0 APPLE COMPUTER INC COM 037833100 548 2958 SH SOLE 2958 0 0 BAC CAP TR V GTD CAP SEC 6.00 PREFERRED STOCKS 055184204 535 28743 SH SOLE 28743 0 0 BAC CAP TR X CAP SEC 6.25% PREFERRED STOCKS 055189203 203 10725 SH SOLE 10725 0 0 BANK OF AMERICA CORPORATION COM 060505104 367 21698 SH SOLE 21698 0 0 BANK OF AMERICA CORPORATION PF PREFERRED STOCKS 060505559 1041 43900 SH SOLE 43900 0 0 BOEING CO COM 097023105 420 7749 SH SOLE 7749 0 0 CATERPILLAR INC COM 149123101 371 7235 SH SOLE 7235 0 0 CBS CORP NEW SR NT 6.75% PREFERRED STOCKS 124857400 407 19272 SH SOLE 19272 0 0 CITIGROUP CAP XI CAP TRUPS 6.0 PREFERRED STOCKS 17307Q205 406 23468 SH SOLE 23468 0 0 CITIGROUP CAP XIV TR PFD 6.875 PREFERRED STOCKS 17309E200 278 14550 SH SOLE 14550 0 0 CONOCOPHILLIPS COM 20825C104 1505 33325 SH SOLE 33325 0 0 COUNTRYWIDE CAP V GTD CAP SEC PREFERRED STOCKS 222388209 524 25475 SH SOLE 25475 0 0 COVIDIEN PLC SHS COM G2554F105 1937 44786 SH SOLE 44786 0 0 CUMMINS ENGINE INC COM 231021106 489 10905 SH SOLE 10905 0 0 DIAMONDS TR UNIT SER 1 COM 252787106 3954 40729 SH SOLE 40729 0 0 EXXON MOBIL CORP COM 30231G102 437 6369 SH SOLE 6369 0 0 FRANKLIN CA INSURED TAX-FREE I MUTUAL FUNDS 352519102 149 12070 SH SOLE 12070 0 0 FREEPORT MCMORAN COPPER&GOLDCL COM 35671D857 459 6694 SH SOLE 6694 0 0 GENERAL ELEC CAP CORP NT 2033 PREFERRED STOCKS 369622493 574 24943 SH SOLE 24943 0 0 GENERAL ELEC CO COM 369604103 837 50947 SH SOLE 50947 0 0 IBM COM 459200101 3093 25859 SH SOLE 25859 0 0 JOHNSON & JOHNSON COM 478160104 357 5858 SH SOLE 5858 0 0 JP MORGAN CHASE CAP XVI PFD TR PREFERRED STOCKS 481228203 484 20375 SH SOLE 20375 0 0 JP MORGAN CHASE & CO COM 46625H100 482 11010 SH SOLE 11010 0 0 MCDERMOTT INTL INC COM 580037109 2190 86660 SH SOLE 86660 0 0 MERRILL LYNCH CAP TR I GTD CAP PREFERRED STOCKS 590199204 320 17193 SH SOLE 17193 0 0 MERRILL LYNCH CAP TR II PFD GD PREFERRED STOCKS 59024T203 466 25035 SH SOLE 25035 0 0 NABORS INDUSTRIES LTD SHS COM G6359F103 1066 51000 SH SOLE 51000 0 0 NOKIA CORP SPONSORED ADR COM 654902204 668 45679 SH SOLE 45679 0 0 OPPENHEIMER STRATEGIC FDS TRIN MUTUAL FUNDS 68380K102 55 14018 SH SOLE 14018 0 0 POWERSHARES QQQ TRUST UNIT SER COM 73935A104 296 7001 SH SOLE 7001 0 0 PROCTER & GAMBLE COMPANY COM 742718109 1612 27835 SH SOLE 27835 0 0 PUBLIC STORAGE INC PFD 1/1000 PREFERRED STOCKS 74460D448 660 30300 SH SOLE 30300 0 0 PUBLIC STORAGE INC PFD DP 1/10 PREFERRED STOCKS 74460D398 311 13915 SH SOLE 13915 0 0 PUBLIC STORAGE PFD K 1/1000 PREFERRED STOCKS 74460D273 240 9645 SH SOLE 9645 0 0 SPDR TR UNIT SER 1 COM 78462F103 486 4605 SH SOLE 4605 0 0 TEREX CORP NEW COM 880779103 1682 81129 SH SOLE 81129 0 0 TEXTRON INC COM 883203101 1810 95375 SH SOLE 95375 0 0 UNITED STATES CELLULAR CORP SR PREFERRED STOCKS 911684306 675 28550 SH SOLE 28550 0 0 UNITED TECHNOLOGIES CORP COM 913017109 2617 42954 SH SOLE 42954 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1623 64800 SH SOLE 64800 0 0 VALERO ENERGY CORP NEW COM 91913Y100 438 22565 SH SOLE 22565 0 0 VERIZON COMMUNICATIONS COM 92343V104 1294 42747 SH SOLE 42747 0 0 VIACOM INC NEW NT SR 55 6.85% PREFERRED STOCKS 92553P300 1367 58518 SH SOLE 58518 0 0 VULCAN MATLS CO COM 929160109 980 18125 SH SOLE 18125 0 0 WELLS FARGO CAP VII TRUPS 5.85 PREFERRED STOCKS 94979B204 683 32293 SH SOLE 32293 0 0
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