-----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, VipbdUpSBpNfN1z22H+aCduhgiox3KIftIzStEuLIES/lslcxrcoDmbqT6+Zt2PA JGrXZ8Ear9rZztTCkgmt5w== 0001214659-11-000478.txt : 20110211 0001214659-11-000478.hdr.sgml : 20110211 20110211115405 ACCESSION NUMBER: 0001214659-11-000478 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110211 EFFECTIVENESS DATE: 20110211 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: 11596138 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 f21011013fhr.txt FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 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 02/10/2010 - ------------------------ ------------------------ -------------------------- [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: 12/31/10 RUN DATE: 02/09/11 11:57 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 50 FORM 13F INFORMATION TABLE VALUE TOTAL: $42,930,000 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: 12/31/10 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 309 3580 SH DEFINED 3545 35 0 AMERICAN EXPRESS CO COM 025816109 305 7102 SH SOLE 7102 0 0 AMGEN INC COM 031162100 1474 26847 SH SOLE 26847 0 0 APPLE COMPUTER INC COM 037833100 435 1349 SH SOLE 1349 0 0 BAC CAP TR V GTD CAP SEC 6.00 PREFERRED STOCKS 055184204 206 9518 SH DEFINED 9418 100 0 BANK OF AMERICA CORPORATION COM 060505104 139 10409 SH SOLE 10409 0 0 BANK OF AMERICA CORPORATION PF PREFERRED STOCKS 060505559 1032 39980 SH SOLE 39980 0 0 BAXTER INTL INC COM 071813109 1502 29670 SH DEFINED 29335 335 0 BOEING CO COM 097023105 1612 24695 SH SOLE 24695 0 0 CATERPILLAR INC COM 149123101 370 3951 SH SOLE 3951 0 0 CBS CORP NEW SR NT 6.75% PREFERRED STOCKS 124857400 629 24905 SH SOLE 24905 0 0 CISCO SYS INC COM 17275R102 1376 68015 SH DEFINED 67620 395 0 CITIGROUP CAP XI CAP TRUPS 6.0 PREFERRED STOCKS 17307Q205 488 20218 SH SOLE 20218 0 0 CITIGROUP CAP XIV TR PFD 6.875 PREFERRED STOCKS 17309E200 336 14050 SH SOLE 14050 0 0 COCA COLA CO COM 191216100 218 3310 SH SOLE 3310 0 0 CONOCOPHILLIPS COM 20825C104 1215 17838 SH DEFINED 17700 138 0 CORTS TR II GOLDMAN SACHS CATR COM 22082P208 250 11150 SH SOLE 11150 0 0 COUNTRYWIDE CAP V GTD CAP SEC PREFERRED STOCKS 222388209 435 17675 SH SOLE 17675 0 0 COVIDIEN PLC SHS COM G2554F105 2535 55524 SH SOLE 55524 0 0 CUMMINS ENGINE INC COM 231021106 1251 11375 SH SOLE 11375 0 0 DWS STRATEGIC GOVT SECS FD CL MUTUAL FUNDS 23338C108 152 17321 SH DEFINED 0 17321 0 EXXON MOBIL CORP COM 30231G102 243 3318 SH SOLE 3318 0 0 FIRST PACTRUST BANCORP INC COM COM 33589V101 1083 81590 SH SOLE 81590 0 0 FRANKLIN CA INSURED TAX-FREE I MUTUAL FUNDS 352519102 116 10031 SH SOLE 10031 0 0 GENERAL ELEC CAP CORP NT 2033 PREFERRED STOCKS 369622493 497 19893 SH SOLE 19893 0 0 IBM COM 459200101 409 2789 SH SOLE 2789 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 1688 36815 SH DEFINED 36605 210 0 JOHNSON & JOHNSON COM 478160104 367 5933 SH DEFINED 5808 125 0 JP MORGAN CHASE CAP XVI PFD TR PREFERRED STOCKS 481228203 471 18775 SH SOLE 18775 0 0 JP MORGAN CHASE & CO COM 46625H100 366 8626 SH DEFINED 8191 435 0 LOCKHEED MARTIN CORP COM 539830109 1093 15640 SH SOLE 15640 0 0 NOKIA CORP SPONSORED ADR COM 654902204 1622 157170 SH DEFINED 156210 960 0 POWERSHARES QQQ TRUST UNIT SER COM 73935A104 2369 43500 SH SOLE 43500 0 0 PROCTER & GAMBLE COMPANY COM 742718109 947 14726 SH DEFINED 14341 385 0 PUBLIC STORAGE INC PFD 1/1000 PREFERRED STOCKS 74460D448 687 28000 SH SOLE 28000 0 0 PUBLIC STORAGE INC PFD DP 1/10 PREFERRED STOCKS 74460D398 322 12915 SH SOLE 12915 0 0 PUBLIC STORAGE PFD K 1/1000 PREFERRED STOCKS 74460D273 244 9600 SH SOLE 9600 0 0 QUALCOMM INC COM 747525103 1438 29055 SH SOLE 29055 0 0 RESEARCH IN MOTION LTD COM 760975102 1245 21420 SH SOLE 21420 0 0 SPDR TR UNIT SER 1 COM 78462F103 502 3994 SH SOLE 3994 0 0 TEREX CORP NEW COM 880779103 1856 59794 SH SOLE 59794 0 0 TEXTRON INC COM 883203101 1256 53150 SH SOLE 53150 0 0 UNITED STATES CELLULAR CORP SR PREFERRED STOCKS 911684306 951 37350 SH SOLE 37350 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1966 24969 SH SOLE 24969 0 0 UNITEDHEALTH GROUP INC COM 91324P102 977 27055 SH SOLE 27055 0 0 VERIZON COMMUNICATIONS COM 92343V104 256 7156 SH SOLE 7156 0 0 VIACOM INC NEW NT SR 55 6.85% PREFERRED STOCKS 92553P300 1483 58433 SH SOLE 58433 0 0 VULCAN MATLS CO COM 929160109 1243 28020 SH SOLE 28020 0 0 WELLS FARGO CAP VII TRUPS 5.85 PREFERRED STOCKS 94979B204 721 28843 SH SOLE 28843 0 0 WELLS FARGO CAP XI PFD TRUPS 3 PREFERRED STOCKS 94979S207 243 9680 SH SOLE 9680 0 0
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