0001214659-11-001638.txt : 20110511 0001214659-11-001638.hdr.sgml : 20110511 20110511115544 ACCESSION NUMBER: 0001214659-11-001638 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110511 DATE AS OF CHANGE: 20110511 EFFECTIVENESS DATE: 20110511 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: 11830869 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 f51011013fhr.txt FOR THE QUARTER ENDED MARCH 31, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2011 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 05/10/2011 ------------------------ ------------------------ -------------------------- [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: 03/31/11 RUN DATE: 05/06/11 9:45 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 53 FORM 13F INFORMATION TABLE VALUE TOTAL: $49,241,000 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: 03/31/11 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 268 2870 SH SOLE 2870 0 0 ABBOTT LABS COM 002824100 1318 26870 SH SOLE 26870 0 0 AMGEN INC COM 031162100 1855 34707 SH SOLE 34707 0 0 APPLE COMPUTER INC COM 037833100 328 942 SH SOLE 942 0 0 BANK OF AMERICA CORPORATION PF PREFERRED STOCKS 060505559 1042 39510 SH SOLE 39510 0 0 BAXTER INTL INC COM 071813109 1543 28690 SH SOLE 28690 0 0 BOEING CO COM 097023105 1630 22045 SH SOLE 22045 0 0 CATERPILLAR INC COM 149123101 315 2826 SH SOLE 2826 0 0 CBS CORP NEW SR NT 6.75% PREFERRED STOCKS 124857400 633 25180 SH SOLE 25180 0 0 CISCO SYS INC COM 17275R102 1562 91085 SH SOLE 91085 0 0 CITIGROUP CAP XI CAP TRUPS 6.0 PREFERRED STOCKS 17307Q205 462 19068 SH SOLE 19068 0 0 CITIGROUP CAP XIV TR PFD 6.875 PREFERRED STOCKS 17309E200 384 15750 SH SOLE 15750 0 0 CITIGROUP CAPITAL VII TRUPS 7. PREFERRED STOCKS 17306N203 265 10625 SH SOLE 10625 0 0 CORTS TR II GOLDMAN SACHS CATR COM 22082P208 521 22825 SH SOLE 22825 0 0 CORTS TR WEYERHAEUSER CO TR CT COM 22082N203 259 10725 SH SOLE 10725 0 0 COUNTRYWIDE CAP V GTD CAP SEC PREFERRED STOCKS 222388209 522 20875 SH SOLE 20875 0 0 COVIDIEN PLC COM G2554F113 1751 33714 SH SOLE 33714 0 0 CUMMINS ENGINE INC COM 231021106 1961 17890 SH SOLE 17890 0 0 DWS STRATEGIC GOVT SECS FD CL MUTUAL FUNDS 23338C108 152 17321 SH DEFINED 0 17321 0 EATON CORP COM 278058102 1365 24630 SH SOLE 24630 0 0 FIRST PACTRUST BANCORP INC COM COM 33589V101 1280 80460 SH SOLE 80460 0 0 FLUOR CORP NEW COM COM 343412102 1352 18350 SH SOLE 18350 0 0 FRANKLIN CA INSURED TAX-FREE I MUTUAL FUNDS 352519102 114 10031 SH SOLE 10031 0 0 FREEPORT MCMORAN COPPER&GOLDCL COM 35671D857 1941 34940 SH SOLE 34940 0 0 GENERAL ELEC CAP CORP NT 2033 PREFERRED STOCKS 369622493 470 18593 SH SOLE 18593 0 0 HEWLETT PACKARD CO COM 428236103 1174 28650 SH SOLE 28650 0 0 IBM COM 459200101 308 1889 SH SOLE 1889 0 0 INTEL CORP COM 458140100 944 46770 SH SOLE 46770 0 0 JOHNSON & JOHNSON COM 478160104 214 3620 SH SOLE 3620 0 0 JP MORGAN CHASE CAP XVI PFD TR PREFERRED STOCKS 481228203 464 18475 SH SOLE 18475 0 0 JP MORGAN CHASE & CO COM 46625H100 326 7081 SH SOLE 7081 0 0 LOCKHEED MARTIN CORP COM 539830109 1337 16630 SH SOLE 16630 0 0 NOKIA CORP SPONSORED ADR COM 654902204 86 10160 SH SOLE 10160 0 0 PHILIP MORRIS INTL INC COM 718172109 216 3296 SH SOLE 3296 0 0 POWERSHARES QQQ TRUST UNIT SER COM 73935A104 2609 45428 SH SOLE 45428 0 0 PROCTER & GAMBLE COMPANY COM 742718109 773 12541 SH SOLE 12541 0 0 PUBLIC STORAGE INC PFD 1/1000 PREFERRED STOCKS 74460D448 776 31100 SH SOLE 31100 0 0 PUBLIC STORAGE INC PFD DP 1/10 PREFERRED STOCKS 74460D398 314 12465 SH SOLE 12465 0 0 PUBLIC STORAGE PFD K 1/1000 PREFERRED STOCKS 74460D273 311 12200 SH SOLE 12200 0 0 QUALCOMM INC COM 747525103 1334 24325 SH SOLE 24325 0 0 RESEARCH IN MOTION LTD COM 760975102 1579 27925 SH SOLE 27925 0 0 SPDR TR UNIT SER 1 COM 78462F103 492 3709 SH SOLE 3709 0 0 TEREX CORP NEW COM 880779103 1383 37334 SH SOLE 37334 0 0 TEXTRON INC COM 883203101 1223 44645 SH SOLE 44645 0 0 UNITED STATES CELLULAR CORP SR PREFERRED STOCKS 911684306 1148 45450 SH SOLE 45450 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1930 22804 SH SOLE 22804 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1155 25545 SH SOLE 25545 0 0 VIACOM INC NEW NT SR 55 6.85% PREFERRED STOCKS 92553P300 1500 57733 SH SOLE 57733 0 0 VULCAN MATLS CO COM 929160109 1646 36095 SH SOLE 36095 0 0 WABCO HLDGS INC COM 92927K102 1326 21504 SH SOLE 21504 0 0 WELLS FARGO CAP VII TRUPS 5.85 PREFERRED STOCKS 94979B204 685 27343 SH SOLE 27343 0 0 WELLS FARGO CAP XI PFD TRUPS 3 PREFERRED STOCKS 94979S207 232 9180 SH SOLE 9180 0 0 ZIONS CAP TR B CAP SECS % PREFERRED STOCKS 989703202 463 18100 SH SOLE 18100 0 0