0001085146-19-000936.txt : 20190214 0001085146-19-000936.hdr.sgml : 20190214 20190214162458 ACCESSION NUMBER: 0001085146-19-000936 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 EFFECTIVENESS DATE: 20190214 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: 19606847 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 false false 0001004244 XXXXXXXX 12-31-2018 12-31-2018 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 02-14-2019 2 197 4748181 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 2148 11275 SH SOLE 11075 0 200 3M CO COM 88579Y101 214 1125 SH OTR 1125 0 0 ABBOTT LABS COM 002824100 1735 23984 SH SOLE 23984 0 0 ABBVIE INC COM 00287Y109 4830 52390 SH SOLE 51190 0 1200 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 332 2355 SH OTR 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1423 9037 SH SOLE 9037 0 0 AGNICO EAGLE MINES LTD COM 008474108 1864 46139 SH SOLE 46139 0 0 ALLIANT ENERGY CORP COM 018802108 905 21414 SH SOLE 21414 0 0 ALTRA INDL MOTION CORP COM 02208R106 1 42 SH OTR 42 0 0 AMERICAN ELEC PWR INC COM 025537101 3844 51425 SH SOLE 50025 0 1400 AMERICAN EXPRESS CO COM 025816109 1735 18207 SH SOLE 18207 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 117 2974 SH SOLE 2974 0 0 AMGEN INC COM 031162100 189 970 SH OTR 970 0 0 ANADARKO PETE CORP COM 032511107 646 14746 SH SOLE 14746 0 0 ANALOG DEVICES INC COM 032654105 26 305 SH OTR 305 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 313 4749 SH SOLE 4749 0 0 APPLE INC COM 037833100 900853 5711000 SH DFND 01 02 0 5711000 0 APPLE INC COM 037833100 2523 15995 SH SOLE 15995 0 0 ARES CAP CORP COM 04010L103 3520 225900 SH OTR 0 0 225900 ASML HOLDING N V N Y REGISTRY SHS N07059210 109 700 SH SOLE 700 0 0 AT&T INC COM 00206R102 96 3381 SH OTR 3381 0 0 BANK AMER CORP 7.25%CNV PFD L 060505682 11817 9435 SH OTR 0 0 9435 BANK AMER CORP COM 060505104 560594 22751400 SH DFND 01 02 0 22751400 0 BANK NEW YORK MELLON CORP COM 064058100 520724 11062750 SH DFND 01 02 0 11062750 0 BANK NEW YORK MELLON CORP COM 064058100 169 3600 SH OTR 3600 0 0 BB&T CORP COM 054937107 101 2340 SH OTR 2340 0 0 BECTON DICKINSON & CO COM 075887109 244 1085 SH OTR 1085 0 0 BLACKROCK CAPITAL INVESTMENT COM 092533108 2153 407000 SH OTR 0 0 407000 BRISTOL MYERS SQUIBB CO COM 110122108 2658 51135 SH SOLE 50035 0 1100 BROADCOM INC COM 11135F101 712 2800 SH SOLE 2800 0 0 CARTERS INC COM 146229109 687 8423 SH SOLE 8423 0 0 CHEVRON CORP NEW COM 166764100 4843 44521 SH SOLE 43821 0 700 CISCO SYS INC COM 17275R102 7793 179854 SH SOLE 176954 0 2900 CITIGROUP INC COM NEW 172967424 1109 21300 SH SOLE 21300 0 0 CMS ENERGY CORP COM 125896100 1249 25153 SH SOLE 25153 0 0 COCA COLA CO COM 191216100 3802 80305 SH SOLE 78505 0 1800 CONOCOPHILLIPS COM 20825C104 1208 19373 SH SOLE 18373 0 1000 COSTCO WHSL CORP NEW COM 22160K105 290 1425 SH OTR 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 4546 41845 SH SOLE 40945 0 900 CVS HEALTH CORP COM 126650100 182 2785 SH OTR 2785 0 0 CVS HEALTH CORP COM 126650100 1064 16246 SH SOLE 16246 0 0 DANAHER CORP DEL COM 235851102 34 328 SH OTR 328 0 0 DARDEN RESTAURANTS INC COM 237194105 5229 52364 SH SOLE 51264 0 1100 DEVON ENERGY CORP NEW COM 25179M103 35 1565 SH SOLE 1565 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 32295 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 46 415 SH OTR 415 0 0 DISNEY WALT CO COM DISNEY 254687106 789 7200 SH SOLE 7200 0 0 DOMINION ENERGY INC COM 25746U109 2713 37965 SH SOLE 36965 0 1000 DUKE ENERGY CORP NEW COM NEW 26441C204 3753 43480 SH SOLE 42580 0 900 DXC TECHNOLOGY CO COM 23355L106 413 7773 SH SOLE 7773 0 0 EBAY INC COM 278642103 638 22725 SH SOLE 22725 0 0 ELANCO ANIMAL HEALTH INC COM 28414H103 353 11200 SH SOLE 11200 0 0 EMERSON ELEC CO COM 291011104 3823 63975 SH SOLE 62675 0 1300 ENTERGY CORP NEW COM 29364G103 2613 30360 SH SOLE 29560 0 800 EOG RES INC COM 26875P101 1134 13000 SH SOLE 13000 0 0 EXXON MOBIL CORP COM 30231G102 361 5300 SH SOLE 5300 0 0 FORTIVE CORP COM 34959J108 10 145 SH OTR 145 0 0 FRANCO NEVADA CORP COM 351858105 407 5800 SH SOLE 5800 0 0 GARRETT MOTION INC COM 366505105 1 57 SH OTR 57 0 0 GENERAL ELECTRIC CO COM 369604103 666 87985 SH SOLE 85285 0 2700 GENERAL ELECTRIC CO COM 369604103 18 2400 SH OTR 2400 0 0 GENERAL MLS INC COM 370334104 3229 82940 SH SOLE 81240 0 1700 GOLDCORP INC NEW COM 380956409 509 51918 SH SOLE 51918 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 997 54218 SH OTR 54218 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 72009 431063 SH DFND 01 02 0 431063 0 GOLUB CAP BDC INC COM 38173M102 3840 232876 SH OTR 0 0 232876 HEWLETT PACKARD ENTERPRISE C COM 42824C109 961 72775 SH SOLE 72775 0 0 HOLOGIC INC COM 436440101 1385 33700 SH SOLE 33700 0 0 HOME DEPOT INC COM 437076102 277 1615 SH OTR 1615 0 0 HONEYWELL INTL INC COM 438516106 76 575 SH OTR 575 0 0 HP INC COM 40434L105 1254 61275 SH SOLE 61275 0 0 ILLINOIS TOOL WKS INC COM 452308109 44 350 SH OTR 350 0 0 INTEL CORP COM 458140100 84 1800 SH OTR 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2677 23550 SH SOLE 23050 0 500 INTERNATIONAL BUSINESS MACHS COM 459200101 125 1100 SH OTR 1100 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 208 1550 SH OTR 1550 0 0 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 1532 113720 SH OTR 0 0 113720 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1772 81350 SH OTR 0 0 81350 ISHARES GOLD TRUST ISHARES 464285105 725 59000 SH SOLE 59000 0 0 ISHARES TR CMBS ETF 46429B366 111 2200 SH OTR 0 0 2200 ISHARES TR CMBS ETF 46429B366 50 1000 SH SOLE 0 0 1000 ISHARES TR CORE HIGH DV ETF 46429B663 12863 152440 SH OTR 144440 0 8000 ISHARES TR CORE S&P SCP ETF 464287804 3467 50016 SH OTR 0 0 50016 ISHARES TR CORE S&P500 ETF 464287200 3472 13800 SH OTR 9200 0 4600 ISHARES TR CORE S&P500 ETF 464287200 176 700 SH SOLE 700 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 378 7500 SH SOLE 0 0 7500 ISHARES TR FLTG RATE NT ETF 46429B655 176 3500 SH OTR 0 0 3500 ISHARES TR IBOXX HI YD ETF 464288513 487 6000 SH SOLE 0 0 6000 ISHARES TR IBOXX HI YD ETF 464288513 2386 29415 SH OTR 0 0 29415 ISHARES TR IBOXX INV CP ETF 464287242 2821 25000 SH SOLE 0 0 25000 ISHARES TR IBOXX INV CP ETF 464287242 158 1400 SH OTR 0 0 1400 ISHARES TR NATIONAL MUN ETF 464288414 654 6000 SH OTR 0 0 6000 ISHARES TR S&P 100 ETF 464287101 2175 19500 SH OTR 19500 0 0 ISHARES TR S&P US PFD STK 464288687 3448 100730 SH OTR 0 0 100730 ISHARES TR SELECT DIVID ETF 464287168 8859 99194 SH OTR 36964 0 62230 JOHNSON & JOHNSON COM 478160104 3914 30332 SH SOLE 29732 0 600 JOHNSON CTLS INTL PLC SHS G51502105 632 21312 SH SOLE 21312 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2070 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 53203 545000 SH DFND 01 02 0 545000 0 JPMORGAN CHASE & CO COM 46625H100 8692 89038 SH SOLE 87738 0 1300 KIMBERLY CLARK CORP COM 494368103 68 600 SH OTR 600 0 0 KIMBERLY CLARK CORP COM 494368103 57 500 SH SOLE 500 0 0 KINDER MORGAN INC DEL COM 49456B101 1958 127250 SH SOLE 124550 0 2700 KOHLS CORP COM 500255104 691 10416 SH SOLE 10416 0 0 KRAFT HEINZ CO COM 500754106 2312 53713 SH SOLE 52713 0 1000 LILLY ELI & CO COM 532457108 5344 46180 SH SOLE 45180 0 1000 LOCKHEED MARTIN CORP COM 539830109 3950 15082 SH SOLE 14782 0 300 MARKEL CORP COM 570535104 156 150 SH OTR 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 65 600 SH OTR 600 0 0 MCDONALDS CORP COM 580135101 240 1350 SH OTR 1350 0 0 MCDONALDS CORP COM 580135101 5503 30990 SH SOLE 30290 0 700 MEDTRONIC PLC SHS G5960L103 1778 19544 SH SOLE 19544 0 0 MEDTRONIC PLC SHS G5960L103 136 1500 SH OTR 1500 0 0 MERCK & CO INC COM 58933Y105 5020 65695 SH SOLE 64195 0 1500 MICHAELS COS INC COM 59408Q106 70 5200 SH SOLE 5200 0 0 MICROSOFT CORP COM 594918104 477 4700 SH OTR 4700 0 0 MICROSOFT CORP COM 594918104 7784 76628 SH SOLE 75628 0 1000 MONDELEZ INTL INC CL A 609207105 876 21885 SH SOLE 21885 0 0 NETSCOUT SYS INC COM 64115T104 93 3916 SH OTR 3916 0 0 NORDSTROM INC COM 655664100 64 1370 SH OTR 1370 0 0 NORTHERN TR CORP COM 665859104 213 2550 SH OTR 2550 0 0 NOVARTIS A G SPONSORED ADR 66987V109 193 2250 SH OTR 2250 0 0 OMNICOM GROUP INC COM 681919106 86 1175 SH OTR 1175 0 0 ORACLE CORP COM 68389X105 125 2770 SH OTR 2770 0 0 OUTFRONT MEDIA INC COM 69007J106 2431 134155 SH SOLE 131155 0 3000 PAYPAL HLDGS INC COM 70450Y103 2558 30425 SH SOLE 30425 0 0 PEPSICO INC COM 713448108 100 905 SH OTR 905 0 0 PEPSICO INC COM 713448108 4590 41546 SH SOLE 40746 0 800 PFIZER INC COM 717081103 103 2355 SH OTR 2355 0 0 PFIZER INC COM 717081103 6615 151557 SH SOLE 148957 0 2600 PINNACLE WEST CAP CORP COM 723484101 4242 49785 SH SOLE 48685 0 1100 PNC FINL SVCS GROUP INC COM 693475105 128659 1100500 SH DFND 01 02 0 1100500 0 PPL CORP COM 69351T106 2553 90110 SH SOLE 88110 0 2000 PROCTER AND GAMBLE CO COM 742718109 322 3500 SH OTR 3500 0 0 PROCTER AND GAMBLE CO COM 742718109 5362 58335 SH SOLE 57435 0 900 PUBLIC SVC ENTERPRISE GROUP COM 744573106 3176 61035 SH SOLE 59335 0 1700 QUALCOMM INC COM 747525103 122 2140 SH OTR 2140 0 0 QUALCOMM INC COM 747525103 398 7000 SH SOLE 7000 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 2 95 SH OTR 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 2912 49985 SH SOLE 49685 0 300 SEAGATE TECHNOLOGY PLC SHS G7945M107 463 12000 SH SOLE 12000 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1359 32900 SH SOLE 5900 0 27000 SELECT SECTOR SPDR TR ENERGY 81369Y506 178 3100 SH SOLE 3100 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 981 17100 SH OTR 0 0 17100 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1297 13100 SH SOLE 13100 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 767 15100 SH SOLE 15100 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 640 7400 SH SOLE 7400 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1070 44900 SH SOLE 44900 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 335 5200 SH SOLE 5200 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 510 10100 SH SOLE 10100 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2269 36600 SH SOLE 18600 0 18000 SHIRE PLC SPONSORED ADR 82481R106 19 112 SH OTR 112 0 0 SHIRE PLC SPONSORED ADR 82481R106 1327 7622 SH SOLE 7622 0 0 SOUTHERN CO COM 842587107 3839 87415 SH SOLE 86115 0 1300 SPDR GOLD TRUST GOLD SHS 78463V107 1376 11352 SH SOLE 11352 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 63082 252408 SH OTR 13921 0 238487 SPDR S&P 500 ETF TR TR UNIT 78462F103 1547 6190 SH SOLE 6190 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 6719 22200 SH OTR 0 0 22200 SPDR SER TR NUVEEN BLMBRG SR 78468R739 3777 78582 SH SOLE 0 0 78582 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1542 45920 SH OTR 0 0 45920 SPDR SERIES TRUST PORTFOLIO LN COR 78464A367 76 3000 SH SOLE 0 0 3000 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2883 95650 SH SOLE 0 0 95650 SYSCO CORP COM 871829107 4969 79305 SH SOLE 77505 0 1800 TARGET CORP COM 87612E106 901 13639 SH SOLE 13639 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 1262 81813 SH SOLE 0 0 81813 TOTAL SYS SVCS INC COM 891906109 1350 16602 SH SOLE 16602 0 0 TRAVELERS COMPANIES INC COM 89417E109 5149 43000 SH DFND 01 02 0 43000 0 U S G CORP COM NEW 903293405 187105 4385964 SH DFND 01 02 0 4385964 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 2153 108887 SH OTR 0 0 108887 UNION PAC CORP COM 907818108 1230 8900 SH SOLE 8900 0 0 UNITED PARCEL SERVICE INC CL B 911312106 189 1940 SH OTR 1940 0 0 UNITED TECHNOLOGIES CORP COM 913017109 28 266 SH OTR 266 0 0 UNITEDHEALTH GROUP INC COM 91324P102 299 1200 SH OTR 1200 0 0 US BANCORP DEL COM NEW 902973304 805620 17628443 SH DFND 01 02 0 17628443 0 US BANCORP DEL COM NEW 902973304 1338 29288 SH SOLE 29288 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 80 3800 SH OTR 0 0 3800 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8717 68300 SH OTR 56000 0 12300 VANGUARD INDEX FDS VALUE ETF 922908744 2400 24500 SH SOLE 0 0 24500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1799 29680 SH OTR 0 0 29680 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 903 6000 SH SOLE 6000 0 0 VAREX IMAGING CORP COM 92214X106 9 400 SH OTR 400 0 0 VARIAN MED SYS INC COM 92220P105 193 1700 SH OTR 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 3162 29000 SH OTR 29000 0 0 VERISK ANALYTICS INC COM 92345Y106 26354 241695 SH DFND 01 02 0 241695 0 VERIZON COMMUNICATIONS INC COM 92343V104 67 1191 SH OTR 1191 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4049 72016 SH SOLE 70416 0 1600 WALGREENS BOOTS ALLIANCE INC COM 931427108 1295 18956 SH SOLE 18956 0 0 WALMART INC COM 931142103 4491 48215 SH SOLE 47215 0 1000 WASTE MGMT INC DEL COM 94106L109 178 2000 SH OTR 2000 0 0 WELLS FARGO CO NEW COM 949746101 1040496 22580200 SH DFND 01 02 0 22580200 0 WELLS FARGO CO NEW COM 949746101 1619 35129 SH SOLE 35129 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 16752 13275 SH OTR 0 0 13275 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 8307 147196 SH OTR 10796 0 136400 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 4798 85004 SH SOLE 18154 0 66850 YUM BRANDS INC COM 988498101 846 9200 SH SOLE 9200 0 0 YUM CHINA HLDGS INC COM 98850P109 647 19300 SH SOLE 19300 0 0 ZOETIS INC CL A 98978V103 1371 16032 SH SOLE 16032 0 0