0001214659-11-002524.txt : 20110804 0001214659-11-002524.hdr.sgml : 20110804 20110804134012 ACCESSION NUMBER: 0001214659-11-002524 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110804 DATE AS OF CHANGE: 20110804 EFFECTIVENESS DATE: 20110804 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: 111009874 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 c8311013fhr.txt FOR THE QUARTER ENDED JUNE 30, 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: June 30, 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 08/03/2011 ------------------------ ------------------------ -------------------------- [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: 06/30/11 RUN DATE: 08/02/11 2:11 P.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 50 FORM 13F INFORMATION TABLE VALUE TOTAL: $48,486,000 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: 06/30/11 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 269 2835 SH SOLE 2835 0 0 ABBOTT LABS COM 002824100 1468 27905 SH SOLE 27905 0 0 AMGEN INC COM 031162100 2091 35832 SH SOLE 35832 0 0 APPLE COMPUTER INC COM 037833100 313 933 SH SOLE 933 0 0 BANK OF AMERICA CORPORATION PF PREFERRED STOCKS 060505559 1035 39260 SH SOLE 39260 0 0 BOEING CO COM 097023105 1675 22660 SH SOLE 22660 0 0 CATERPILLAR INC COM 149123101 1435 13476 SH SOLE 13476 0 0 CBS CORP NEW SR NT 6.75% PREFERRED STOCKS 124857400 647 25400 SH SOLE 25400 0 0 CISCO SYS INC COM 17275R102 1465 93825 SH SOLE 93825 0 0 CITIGROUP CAP XI CAP TRUPS 6.0 PREFERRED STOCKS 17307Q205 441 18918 SH SOLE 18918 0 0 CITIGROUP CAP XIV TR PFD 6.875 PREFERRED STOCKS 17309E200 406 16550 SH SOLE 16550 0 0 CITIGROUP CAPITAL VII TRUPS 7. PREFERRED STOCKS 17306N203 331 13125 SH SOLE 13125 0 0 CORTS TR II GOLDMAN SACHS CATR PREFERRED STOCKS 22082P208 603 25725 SH SOLE 25725 0 0 CORTS TR WEYERHAEUSER CO TR CT PREFERRED STOCKS 22082N203 336 13425 SH SOLE 13425 0 0 COUNTRYWIDE CAP V GTD CAP SEC PREFERRED STOCKS 222388209 520 20875 SH SOLE 20875 0 0 COVIDIEN PLC COM G2554F113 1837 34503 SH SOLE 34503 0 0 CUMMINS ENGINE INC COM 231021106 2821 27255 SH SOLE 27255 0 0 DWS STRATEGIC GOVT SECS FD CL MUTUAL FUNDS 23338C108 154 17321 SH SOLE 17321 0 0 EATON CORP COM 278058102 1374 26705 SH SOLE 26705 0 0 FIRST PACTRUST BANCORP INC COM COM 33589V101 1219 82010 SH SOLE 82010 0 0 FLUOR CORP NEW COM COM 343412102 1231 19045 SH SOLE 19045 0 0 FRANKLIN CA INSURED TAX-FREE I MUTUAL FUNDS 352519102 118 10031 SH SOLE 10031 0 0 FREEPORT MCMORAN COPPER&GOLDCL COM 35671D857 1841 34800 SH SOLE 34800 0 0 GENERAL ELEC CAP CORP NT 2033 PREFERRED STOCKS 369622493 470 18693 SH SOLE 18693 0 0 HEWLETT PACKARD CO COM 428236103 1088 29890 SH SOLE 29890 0 0 IBM COM 459200101 349 2034 SH SOLE 2034 0 0 INTEL CORP COM 458140100 1073 48400 SH SOLE 48400 0 0 JOHNSON & JOHNSON COM 478160104 219 3290 SH SOLE 3290 0 0 JOY GLOBAL INC COM 481165108 2056 21590 SH SOLE 21590 0 0 JP MORGAN CHASE CAP XVI PFD TR PREFERRED STOCKS 481228203 452 17975 SH SOLE 17975 0 0 JP MORGAN CHASE & CO COM 46625H100 271 6626 SH SOLE 6626 0 0 LOCKHEED MARTIN CORP COM 539830109 1374 16965 SH SOLE 16965 0 0 PHILIP MORRIS INTL INC COM 718172109 220 3296 SH SOLE 3296 0 0 POWERSHARES QQQ TRUST UNIT SER COM 73935A104 2575 45135 SH SOLE 45135 0 0 PROCTER & GAMBLE COMPANY COM 742718109 756 11896 SH SOLE 11896 0 0 PUBLIC STORAGE INC PFD 1/1000 PREFERRED STOCKS 74460D448 792 31400 SH SOLE 31400 0 0 PUBLIC STORAGE INC PFD DP 1/10 PREFERRED STOCKS 74460D398 338 13365 SH SOLE 13365 0 0 PUBLIC STORAGE PFD K 1/1000 PREFERRED STOCKS 74460D273 308 12200 SH SOLE 12200 0 0 QUALCOMM INC COM 747525103 1415 24925 SH SOLE 24925 0 0 RESEARCH IN MOTION LTD COM 760975102 1436 49760 SH SOLE 49760 0 0 SPDR TR UNIT SER 1 COM 78462F103 436 3304 SH SOLE 3304 0 0 TEREX CORP NEW COM 880779103 2022 71055 SH SOLE 71055 0 0 TEXTRON INC COM 883203101 915 38770 SH SOLE 38770 0 0 UNITED TECHNOLOGIES CORP COM 913017109 446 5035 SH SOLE 5035 0 0 VIACOM INC NEW NT SR 55 6.85% PREFERRED STOCKS 92553P300 1475 58153 SH SOLE 58153 0 0 VULCAN MATLS CO COM 929160109 1435 37255 SH SOLE 37255 0 0 WABCO HLDGS INC COM 92927K102 1551 22454 SH SOLE 22454 0 0 WELLS FARGO CAP VII TRUPS 5.85 PREFERRED STOCKS 94979B204 680 27093 SH SOLE 27093 0 0 WELLS FARGO CAP XI PFD TRUPS 3 PREFERRED STOCKS 94979S207 228 9100 SH SOLE 9100 0 0 ZIONS CAP TR B CAP SECS % PREFERRED STOCKS 989703202 476 18500 SH SOLE 18500 0 0