0001085146-18-002153.txt : 20180814 0001085146-18-002153.hdr.sgml : 20180814 20180814163348 ACCESSION NUMBER: 0001085146-18-002153 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180814 DATE AS OF CHANGE: 20180814 EFFECTIVENESS DATE: 20180814 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: 181018171 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 true false 0001004244 XXXXXXXX 06-30-2018 06-30-2018 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 08-14-2018 2 224 5542374 1 0000317745 028-04922 GENERAL RE CORP 2 0001067983 028-04545 BERKSHIRE HATHAWAY INC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2630 13373 SH SOLE 13173 0 200 ABB LTD SPONSORED ADR 000375204 87 4012 SH SOLE 4012 0 0 ABBOTT LABS COM 002824100 1488 24404 SH SOLE 24404 0 0 ABBVIE INC COM 00287Y109 4674 50450 SH SOLE 49250 0 1200 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 738 4515 SH SOLE 4515 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1226 9037 SH SOLE 9037 0 0 AGNICO EAGLE MINES LTD COM 008474108 2115 46139 SH SOLE 46139 0 0 ALLIANT ENERGY CORP COM 018802108 906 21414 SH SOLE 21414 0 0 ALTRIA GROUP INC COM 02209S103 138 2436 SH SOLE 2436 0 0 AMERICAN ELEC PWR INC COM 025537101 3303 47700 SH SOLE 46300 0 1400 AMERICAN EXPRESS CO COM 025816109 1803 18398 SH SOLE 18398 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1063 20056 SH SOLE 20056 0 0 AMERICAN SOFTWARE INC CL A 029683109 26 1810 SH SOLE 1810 0 0 AMGEN INC COM 031162100 179 970 SH SOLE 970 0 0 ANADARKO PETE CORP COM 032511107 1100 15013 SH SOLE 15013 0 0 ANALOG DEVICES INC COM 032654105 506 5279 SH SOLE 5279 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1152 11437 SH SOLE 11437 0 0 ANIKA THERAPEUTICS INC COM 035255108 28 883 SH SOLE 883 0 0 APPLE INC COM 037833100 1057163 5711000 SH DFND 01 02 0 5711000 0 APPLE INC COM 037833100 219928 1188095 SH SOLE 16095 1172000 0 ARES CAP CORP COM 04010L103 3716 225900 SH SOLE 0 0 225900 ARTISAN PARTNERS ASSET MGMT CL A 04316A108 250 8304 SH SOLE 8304 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 990 5000 SH SOLE 5000 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 224 6371 SH SOLE 6371 0 0 AT&T INC COM 00206R102 302 9392 SH SOLE 9392 0 0 BADGER METER INC COM 056525108 362 8088 SH SOLE 8088 0 0 BANK AMER CORP 7.25%CNV PFD L 060505682 11798 9435 SH SOLE 0 0 9435 BANK AMER CORP COM 060505104 591990 21000000 SH DFND 01 02 0 21000000 0 BANK HAWAII CORP COM 062540109 495 5928 SH SOLE 5928 0 0 BANK NEW YORK MELLON CORP COM 064058100 194 3600 SH SOLE 3600 0 0 BB&T CORP COM 054937107 118 2340 SH SOLE 2340 0 0 BCE INC COM NEW 05534B760 203 5008 SH SOLE 5008 0 0 BECTON DICKINSON & CO COM 075887109 643 2685 SH SOLE 2685 0 0 BLACKROCK CAPITAL INVESTMENT COM 092533108 2373 407000 SH SOLE 0 0 407000 BRISTOL MYERS SQUIBB CO COM 110122108 2712 49000 SH SOLE 47900 0 1100 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 335 6634 SH SOLE 6634 0 0 BROADCOM INC COM 11135F101 679 2800 SH SOLE 2800 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 316 2747 SH SOLE 2747 0 0 BROOKS AUTOMATION INC COM 114340102 355 10890 SH SOLE 10890 0 0 CARTER INC COM 146229109 913 8423 SH SOLE 8423 0 0 CASS INFORMATION SYS INC COM 14808P109 387 5622 SH SOLE 5622 0 0 CHEESECAKE FACTORY INC COM 163072101 565 10267 SH SOLE 10267 0 0 CHEVRON CORP NEW COM 166764100 5453 43126 SH SOLE 42426 0 700 CINEMARK HOLDINGS INC COM 17243V102 338 9626 SH SOLE 9626 0 0 CISCO SYS INC COM 17275R102 7631 177339 SH SOLE 174439 0 2900 CITIGROUP INC COM NEW 172967424 1425 21300 SH SOLE 21300 0 0 CME GROUP INC COM CL A 12572Q105 328 2004 SH SOLE 2004 0 0 CMS ENERGY CORP COM 125896100 1211 25611 SH SOLE 25611 0 0 COCA COLA CO COM 191216100 3462 78925 SH SOLE 77125 0 1800 CONOCOPHILLIPS COM 20825C104 1349 19373 SH SOLE 18373 0 1000 CORE LABORATORIES N V COM N22717107 730 5782 SH SOLE 5782 0 0 COSTCO WHSL CORP NEW COM 22160K105 298 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 4742 43983 SH SOLE 43083 0 900 CVS HEALTH CORP COM 126650100 1282 19924 SH SOLE 19924 0 0 DANAHER CORP DEL COM 235851102 32 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 5283 49344 SH SOLE 48244 0 1100 DEVON ENERGY CORP NEW COM 25179M103 412 9365 SH SOLE 9365 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 32798 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 766 7315 SH SOLE 7315 0 0 DOMINION ENERGY INC COM 25746U109 2403 35250 SH SOLE 34250 0 1000 DUKE ENERGY CORP NEW COM NEW 26441C204 3508 44357 SH SOLE 43457 0 900 DXC TECHNOLOGY CO COM 23355L106 1383 17161 SH SOLE 17161 0 0 EBAY INC COM 278642103 1553 42825 SH SOLE 42825 0 0 EMERSON ELEC CO COM 291011104 4231 61200 SH SOLE 59900 0 1300 ENTERGY CORP NEW COM 29364G103 2339 28950 SH SOLE 28150 0 800 EOG RES INC COM 26875P101 1618 13000 SH SOLE 13000 0 0 EXXON MOBIL CORP COM 30231G102 622 7514 SH SOLE 7514 0 0 FIRST FINL BANKSHARES COM 32020R109 307 6026 SH SOLE 6026 0 0 FORTIVE CORP COM 34959J108 13 164 SH SOLE 164 0 0 FRANCO NEVADA CORP COM 351858105 424 5800 SH SOLE 5800 0 0 GENERAL ELECTRIC CO COM 369604103 2443 179450 SH SOLE 176750 0 2700 GENERAL MLS INC COM 370334104 3514 79400 SH SOLE 77700 0 1700 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 256 6343 SH SOLE 6343 0 0 GOLDCORP INC NEW COM 380956409 1441 105118 SH SOLE 105118 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 1110 54218 SH SOLE 54218 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 95080 431063 SH DFND 01 02 0 431063 0 GOLUB CAP BDC INC COM 38173M102 4262 232876 SH SOLE 0 0 232876 GRACO INC COM 384109104 363 8031 SH SOLE 8031 0 0 HALLIBURTON CO COM 406216101 215 4776 SH SOLE 4776 0 0 HENRY JACK & ASSOC INC COM 426281101 362 2779 SH SOLE 2779 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1078 73804 SH SOLE 73804 0 0 HFF INC CL A 40418F108 36 1051 SH SOLE 1051 0 0 HOLOGIC INC COM 436440101 1340 33700 SH SOLE 33700 0 0 HOME DEPOT INC COM 437076102 315 1615 SH SOLE 1615 0 0 HONEYWELL INTL INC COM 438516106 470 3260 SH SOLE 3260 0 0 HORMEL FOODS CORP COM 440452100 373 10031 SH SOLE 10031 0 0 HP INC COM 40434L105 1651 72775 SH SOLE 72775 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 228 4829 SH SOLE 4829 0 0 ILLINOIS TOOL WKS INC COM 452308109 390 2816 SH SOLE 2816 0 0 INTEL CORP COM 458140100 89 1800 SH SOLE 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3339 23900 SH SOLE 23400 0 500 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 192 1550 SH SOLE 1550 0 0 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 1621 111320 SH SOLE 0 0 111320 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1829 79850 SH SOLE 0 0 79850 ISHARES GOLD TRUST ISHARES 464285105 709 59000 SH SOLE 59000 0 0 ISHARES TR CMBS ETF 46429B366 110 2200 SH SOLE 0 0 2200 ISHARES TR CORE HIGH DV ETF 46429B663 9179 108000 SH SOLE 100000 0 8000 ISHARES TR CORE S&P SCP ETF 464287804 4323 51800 SH SOLE 0 0 51800 ISHARES TR CORE S&P500 ETF 464287200 3959 14500 SH SOLE 9900 0 4600 ISHARES TR FLTG RATE NT ETF 46429B655 179 3500 SH SOLE 0 0 3500 ISHARES TR IBOXX HI YD ETF 464288513 2979 35015 SH SOLE 0 0 35015 ISHARES TR IBOXX INV CP ETF 464287242 3024 26400 SH SOLE 0 0 26400 ISHARES TR INTRMD CR BD ETF 464288638 175 1650 SH SOLE 0 0 1650 ISHARES TR NATIONAL MUN ETF 464288414 654 6000 SH SOLE 0 0 6000 ISHARES TR RUSSELL 3000 ETF 464287689 414 2550 SH SOLE 0 0 2550 ISHARES TR S&P 100 ETF 464287101 2332 19500 SH SOLE 19500 0 0 ISHARES TR S&P US PFD STK 464288687 3749 99407 SH SOLE 0 0 99407 ISHARES TR SELECT DIVID ETF 464287168 13201 135064 SH SOLE 72834 0 62230 JOHNSON & JOHNSON COM 478160104 3517 28982 SH SOLE 01 02 28382 0 600 JOHNSON CTLS INTL PLC SHS G51502105 713 21312 SH SOLE 21312 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2465 92750 SH SOLE 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 9011 86478 SH SOLE 85178 0 1300 KIMBERLY CLARK CORP COM 494368103 116 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 2166 122550 SH SOLE 119850 0 2700 KOHLS CORP COM 500255104 1367 18746 SH SOLE 18746 0 0 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 288 6809 SH SOLE 6809 0 0 KRAFT HEINZ CO COM 500754106 3714 59117 SH SOLE 58117 0 1000 LAMAR ADVERTISING CO NEW CL A 512816109 311 4547 SH SOLE 4547 0 0 LANDSTAR SYS INC COM 515098101 360 3295 SH SOLE 3295 0 0 LAS VEGAS SANDS CORP COM 517834107 551 7221 SH SOLE 7221 0 0 LILLY ELI & CO COM 532457108 3801 44550 SH SOLE 43550 0 1000 LINCOLN ELEC HLDGS INC COM 533900106 212 2411 SH SOLE 2411 0 0 LOCKHEED MARTIN CORP COM 539830109 4254 14397 SH SOLE 14097 0 300 LOWES COS INC COM 548661107 440 4603 SH SOLE 4603 0 0 MANHATTAN ASSOCS INC COM 562750109 198 4206 SH SOLE 4206 0 0 MARKEL CORP COM 570535104 163 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 76 600 SH SOLE 600 0 0 MARSH & MCLENNAN COS INC COM 571748102 382 4655 SH SOLE 4655 0 0 MCDONALDS CORP COM 580135101 4850 30950 SH SOLE 30250 0 700 MEDTRONIC PLC SHS G5960L103 2108 24628 SH SOLE 24628 0 0 MERCK & CO INC COM 58933Y105 3821 62950 SH SOLE 61450 0 1500 MGM GROWTH PPTYS LLC CL A COM 55303A105 481 15800 SH SOLE 15800 0 0 MICHAELS COS INC COM 59408Q106 646 33700 SH SOLE 33700 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 84 924 SH SOLE 924 0 0 MICROSOFT CORP COM 594918104 8401 85198 SH SOLE 84198 0 1000 MONDELEZ INTL INC CL A 609207105 913 22279 SH SOLE 22279 0 0 MOODYS CORP COM 615369105 295 1732 SH SOLE 1732 0 0 NATIONAL BEVERAGE CORP COM 635017106 493 4614 SH SOLE 4614 0 0 NETSCOUT SYS INC COM 64115T104 116 3916 SH SOLE 3916 0 0 NORDSTROM INC COM 655664100 71 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 262 2550 SH SOLE 2550 0 0 NOVARTIS A G SPONSORED ADR 66987V109 170 2250 SH SOLE 2250 0 0 OMNICOM GROUP INC COM 681919106 90 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 358 8125 SH SOLE 8125 0 0 OUTFRONT MEDIA INC COM 69007J106 2494 128250 SH SOLE 125250 0 3000 PATTERSON COMPANIES INC COM 703395103 149 6578 SH SOLE 6578 0 0 PAYCHEX INC COM 704326107 82 1203 SH SOLE 1203 0 0 PAYPAL HLDGS INC COM 70450Y103 2533 30425 SH SOLE 30425 0 0 PEPSICO INC COM 713448108 4478 41126 SH SOLE 40326 0 800 PERSPECTA INC COM 715347100 176 8580 SH SOLE 8580 0 0 PFIZER INC COM 717081103 5400 148867 SH SOLE 146267 0 2600 PINNACLE WEST CAP CORP COM 723484101 3787 47000 SH SOLE 45900 0 1100 PNC FINL SVCS GROUP INC COM 693475105 591 4372 SH SOLE 4372 0 0 PPG INDS INC COM 693506107 267 2573 SH SOLE 2573 0 0 PPL CORP COM 69351T106 2466 86380 SH SOLE 84380 0 2000 PRAXAIR INC COM 74005P104 298 1883 SH SOLE 1883 0 0 PRIMERICA INC COM 74164M108 377 3783 SH SOLE 3783 0 0 PROCTER AND GAMBLE CO COM 742718109 4686 60040 SH SOLE 59140 0 900 PUBLIC SVC ENTERPRISE GROUP COM 744573106 3118 57600 SH SOLE 55900 0 1700 QUALCOMM INC COM 747525103 513 9140 SH SOLE 9140 0 0 RBC BEARINGS INC COM 75524B104 458 3559 SH SOLE 3559 0 0 RE MAX HLDGS INC CL A 75524W108 409 7796 SH SOLE 7796 0 0 REALTY INCOME CORP COM 756109104 178 3304 SH SOLE 3304 0 0 RLI CORP COM 749607107 278 4194 SH SOLE 4194 0 0 ROCKWELL COLLINS INC COM 774341101 96 710 SH SOLE 710 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 223 2966 SH SOLE 2966 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 308 4237 SH SOLE 4237 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 3337 48200 SH SOLE 47900 0 300 RPM INTL INC COM 749685103 97 1668 SH SOLE 1668 0 0 SALLY BEAUTY HLDGS INC COM 79546E104 26 1632 SH SOLE 1632 0 0 SCHWAB CHARLES CORP NEW COM 808513105 462 9035 SH SOLE 9035 0 0 SCOTTS MIRACLE GRO CO CL A 810186106 371 4467 SH SOLE 4467 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 678 12000 SH SOLE 12000 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1299 17100 SH SOLE 0 0 17100 SHIRE PLC SPONSORED ADR 82481R106 1306 7734 SH SOLE 7734 0 0 SITEONE LANDSCAPE SUPPLY INC COM 82982L103 670 7974 SH SOLE 7974 0 0 SNAP ON INC COM 833034101 326 2028 SH SOLE 2028 0 0 SOUTHERN CO COM 842587107 3926 84775 SH SOLE 83475 0 1300 SPDR GOLD TRUST GOLD SHS 78463V107 1347 11352 SH SOLE 11352 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 79971 294795 SH SOLE 19311 0 275484 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 8142 22933 SH SOLE 0 0 22933 SPDR SER TR NUVEEN BLMBRG SR 78468R739 5773 120300 SH SOLE 0 0 120300 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1595 44945 SH SOLE 0 0 44945 SPDR SERIES TRUST PORTFOLIO LN COR 78464A367 78 3000 SH SOLE 0 0 3000 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2885 95650 SH SOLE 0 0 95650 SYSCO CORP COM 871829107 5180 75850 SH SOLE 74050 0 1800 TARGET CORP COM 87612E106 1963 25789 SH SOLE 25789 0 0 THOR INDS INC COM 885160101 367 3765 SH SOLE 3765 0 0 TJX COS INC NEW COM 872540109 401 4214 SH SOLE 4214 0 0 TOTAL S A SPONSORED ADR 89151E109 174 2868 SH SOLE 2868 0 0 TOTAL SYS SVCS INC COM 891906109 1403 16602 SH SOLE 16602 0 0 TRAVELERS COMPANIES INC COM 89417E109 395 3228 SH SOLE 3228 0 0 U S G CORP COM NEW 903293405 189123 4385964 SH DFND 01 02 0 4385964 0 U S G CORP COM NEW 903293405 189123 4385964 SH SOLE 0 4385964 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 2496 108887 SH SOLE 0 0 108887 UNION PAC CORP COM 907818108 1261 8900 SH SOLE 8900 0 0 UNITED PARCEL SERVICE INC CL B 911312106 206 1940 SH SOLE 1940 0 0 UNITEDHEALTH GROUP INC COM 91324P102 294 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 869670 17386443 SH DFND 01 02 0 17386443 0 US BANCORP DEL COM NEW 902973304 73602 1471453 SH SOLE 01 02 44110 1427343 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 85 3800 SH SOLE 0 0 3800 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 79 1000 SH SOLE 0 0 1000 VANGUARD INDEX FDS TOTAL STK MKT 922908769 9591 68300 SH SOLE 56000 0 12300 VANGUARD INDEX FDS VALUE ETF 922908744 2378 22900 SH SOLE 0 0 22900 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 2141 30601 SH SOLE 0 0 30601 VAREX IMAGING CORP COM 92214X106 15 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 193 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 299254 2780136 SH DFND 01 02 0 2780136 0 VERISK ANALYTICS INC COM 92345Y106 3122 29000 SH SOLE 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3523 70042 SH SOLE 68442 0 1600 VERMILION ENERGY INC COM 923725105 165 4571 SH SOLE 4571 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 229 9415 SH SOLE 9415 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1162 19361 SH SOLE 19361 0 0 WALMART INC COM 931142103 3957 46200 SH SOLE 45200 0 1000 WASTE MGMT INC DEL COM 94106L109 603 7409 SH SOLE 7409 0 0 WATSCO INC COM 942622200 376 2111 SH SOLE 2111 0 0 WD-40 CO COM 929236107 255 1747 SH SOLE 1747 0 0 WELLS FARGO CO NEW COM 949746101 1347868 24312200 SH DFND 01 02 0 24312200 0 WELLS FARGO CO NEW COM 949746101 122216 2204467 SH SOLE 01 02 39467 2165000 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 16713 13275 SH SOLE 0 0 13275 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 13662 216393 SH SOLE 41943 0 174450 YUM BRANDS INC COM 988498101 720 9200 SH SOLE 9200 0 0 YUM CHINA HLDGS INC COM 98850P109 742 19300 SH SOLE 19300 0 0 ZOETIS INC CL A 98978V103 1651 19379 SH SOLE 19379 0 0