0001085146-19-001666.txt : 20190515 0001085146-19-001666.hdr.sgml : 20190515 20190515164953 ACCESSION NUMBER: 0001085146-19-001666 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 EFFECTIVENESS DATE: 20190515 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: 19829196 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 03-31-2019 03-31-2019 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 05-15-2019 2 174 5192257 1 0001067983 028-04545 BERKSHIRE HATHAWAY INC 2 0000317745 028-04922 GENERAL RE CORP INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2678 12885 SH SOLE 12685 0 200 ABBOTT LABS COM 002824100 2005 25084 SH SOLE 25084 0 0 ABBVIE INC COM 00287Y109 4404 54645 SH SOLE 53445 0 1200 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 415 2355 SH SOLE 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1558 9137 SH SOLE 9137 0 0 AGNICO EAGLE MINES LTD COM 008474108 2007 46139 SH SOLE 46139 0 0 ALLIANT ENERGY CORP COM 018802108 1009 21414 SH SOLE 21414 0 0 ALTRA INDL MOTION CORP COM 02208R106 1 42 SH SOLE 42 0 0 AMERICAN ELEC PWR CO INC COM 025537101 4307 51425 SH SOLE 50025 0 1400 AMERICAN EXPRESS CO COM 025816109 2067 18907 SH SOLE 18907 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 890 20674 SH SOLE 20674 0 0 AMGEN INC COM 031162100 184 970 SH SOLE 970 0 0 ANADARKO PETE CORP COM 032511107 739 16246 SH SOLE 16246 0 0 ANALOG DEVICES INC COM 032654105 32 305 SH SOLE 305 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 961 11449 SH SOLE 11449 0 0 APPLE INC COM 037833100 1084804 5711000 SH DFND 1 2 0 5711000 0 APPLE INC COM 037833100 3133 16495 SH SOLE 16495 0 0 ARES CAP CORP COM 04010L103 3872 225900 SH OTR 0 0 225900 ASML HOLDING N V N Y REGISTRY SHS N07059210 921 4900 SH SOLE 4900 0 0 AT&T INC COM 00206R102 106 3381 SH SOLE 3381 0 0 BANK AMER CORP 7.25%CNV PFD L 060505682 12283 9435 SH OTR 0 0 9435 BANK AMER CORP COM 060505104 627711 22751400 SH DFND 1 2 0 22751400 0 BANK NEW YORK MELLON CORP COM 064058100 557894 11062750 SH DFND 1 2 0 11062750 0 BANK NEW YORK MELLON CORP COM 064058100 182 3600 SH SOLE 3600 0 0 BB&T CORP COM 054937107 109 2340 SH SOLE 2340 0 0 BECTON DICKINSON & CO COM 075887109 271 1085 SH SOLE 1085 0 0 BLACKROCK CAPITAL INVESTMENT COM 092533108 2438 407000 SH OTR 0 0 407000 BRISTOL MYERS SQUIBB CO COM 110122108 2540 53245 SH SOLE 52145 0 1100 BROADCOM INC COM 11135F101 929 3090 SH SOLE 3090 0 0 CARTERS INC COM 146229109 849 8423 SH SOLE 8423 0 0 CHEVRON CORP NEW COM 166764100 5662 45966 SH SOLE 45266 0 700 CISCO SYS INC COM 17275R102 10140 187804 SH SOLE 184904 0 2900 CITIGROUP INC COM NEW 172967424 1394 22400 SH SOLE 22400 0 0 CMS ENERGY CORP COM 125896100 1458 26253 SH SOLE 26253 0 0 COCA COLA CO COM 191216100 3923 83735 SH SOLE 81935 0 1800 CONOCOPHILLIPS COM 20825C104 1353 20273 SH SOLE 19273 0 1000 COSTCO WHSL CORP NEW COM 22160K105 345 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 5590 43674 SH SOLE 42774 0 900 CVS HEALTH CORP COM 126650100 1102 20431 SH SOLE 20431 0 0 DANAHER CORPORATION COM 235851102 43 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 6628 54559 SH SOLE 53459 0 1100 DEVON ENERGY CORP NEW COM 25179M103 299 9465 SH SOLE 9465 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 37262 227750 SH DFND 1 2 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 1056 9515 SH SOLE 9515 0 0 DOMINION ENERGY INC COM 25746U109 3066 39990 SH SOLE 38990 0 1000 DUKE ENERGY CORP NEW COM NEW 26441C204 3931 43680 SH SOLE 42780 0 900 DXC TECHNOLOGY CO COM 23355L106 1124 17473 SH SOLE 17473 0 0 EBAY INC COM 278642103 1643 44225 SH SOLE 44225 0 0 ELANCO ANIMAL HEALTH INC COM 28414H103 2524 78707 SH SOLE 78094 0 613 EMERSON ELEC CO COM 291011104 4575 66815 SH SOLE 65515 0 1300 ENTERGY CORP NEW COM 29364G103 3071 32105 SH SOLE 31305 0 800 EOG RES INC COM 26875P101 1237 13000 SH SOLE 13000 0 0 EXXON MOBIL CORP COM 30231G102 520 6440 SH SOLE 6440 0 0 FORTIVE CORP COM 34959J108 12 145 SH SOLE 145 0 0 FRANCO NEVADA CORP COM 351858105 435 5800 SH SOLE 5800 0 0 GARRETT MOTION INC COM 366505105 1 57 SH SOLE 57 0 0 GENERAL ELECTRIC CO COM 369604103 761 76175 SH SOLE 73475 0 2700 GENERAL MLS INC COM 370334104 4471 86395 SH SOLE 84695 0 1700 GOLDCORP INC NEW COM 380956409 1221 106718 SH SOLE 106718 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 1140 55491 SH OTR 55491 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 82760 431063 SH DFND 1 2 0 431063 0 GOLUB CAP BDC INC COM 38173M102 4164 232876 SH OTR 0 0 232876 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1166 75575 SH SOLE 75575 0 0 HOLOGIC INC COM 436440101 1679 34700 SH SOLE 34700 0 0 HOME DEPOT INC COM 437076102 310 1615 SH SOLE 1615 0 0 HONEYWELL INTL INC COM 438516106 91 575 SH SOLE 575 0 0 HP INC COM 40434L105 1237 63675 SH SOLE 63675 0 0 ILLINOIS TOOL WKS INC COM 452308109 50 350 SH SOLE 350 0 0 INTEL CORP COM 458140100 97 1800 SH SOLE 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3624 25680 SH SOLE 25180 0 500 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 200 1550 SH SOLE 1550 0 0 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 1649 113720 SH SOLE 0 0 113720 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1842 81350 SH SOLE 0 0 81350 ISHARES GOLD TRUST ISHARES 464285105 730 59000 SH SOLE 59000 0 0 ISHARES TR CMBS ETF 46429B366 165 3200 SH SOLE 0 0 3200 ISHARES TR CORE HIGH DV ETF 46429B663 10075 108000 SH SOLE 100000 0 8000 ISHARES TR CORE S&P SCP ETF 464287804 1889 24490 SH OTR 0 0 24490 ISHARES TR CORE S&P500 ETF 464287200 6347 22305 SH SOLE 9900 0 12405 ISHARES TR FLTG RATE NT ETF 46429B655 560 11000 SH SOLE 0 0 11000 ISHARES TR HDG MSCI EAFE 46434V803 931 32250 SH SOLE 0 0 32250 ISHARES TR IBOXX HI YD ETF 464288513 3062 35415 SH SOLE 0 0 35415 ISHARES TR IBOXX INV CP ETF 464287242 3143 26400 SH SOLE 0 0 26400 ISHARES TR NATIONAL MUN ETF 464288414 667 6000 SH SOLE 0 0 6000 ISHARES TR PFD AND INCM SEC 464288687 3782 103480 SH SOLE 0 0 103480 ISHARES TR RUSSELL 2000 ETF 464287655 1082 7065 SH SOLE 0 0 7065 ISHARES TR S&P 100 ETF 464287101 2443 19500 SH SOLE 19500 0 0 ISHARES TR SELECT DIVID ETF 464287168 277 2825 SH OTR 0 0 2825 ISHARES TR SELECT DIVID ETF 464287168 13015 132569 SH SOLE 73164 0 59405 JOHNSON & JOHNSON COM 478160104 4425 31657 SH SOLE 31057 0 600 JOHNSON CTLS INTL PLC SHS G51502105 787 21312 SH SOLE 21312 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2366 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 9399 92848 SH SOLE 91548 0 1300 JPMORGAN CHASE & CO COM 46625H100 55170 545000 SH DFND 1 2 0 545000 0 KIMBERLY CLARK CORP COM 494368103 136 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 2659 132875 SH SOLE 130175 0 2700 KOHLS CORP COM 500255104 813 11816 SH SOLE 11816 0 0 KRAFT HEINZ CO COM 500754106 2082 63743 SH SOLE 62743 0 1000 LILLY ELI & CO COM 532457108 5392 41553 SH SOLE 40689 0 864 LOCKHEED MARTIN CORP COM 539830109 4716 15712 SH SOLE 15412 0 300 MARKEL CORP COM 570535104 149 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 75 600 SH SOLE 600 0 0 MCDONALDS CORP COM 580135101 6390 33650 SH SOLE 32950 0 700 MEDTRONIC PLC SHS G5960L103 1999 21944 SH SOLE 21944 0 0 MERCK & CO INC COM 58933Y105 5692 68435 SH SOLE 66935 0 1500 MICROSOFT CORP COM 594918104 9917 84083 SH SOLE 83083 0 1000 MONDELEZ INTL INC CL A 609207105 1092 21885 SH SOLE 21885 0 0 NETSCOUT SYS INC COM 64115T104 110 3916 SH SOLE 3916 0 0 NORDSTROM INC COM 655664100 61 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 231 2550 SH SOLE 2550 0 0 NOVARTIS A G SPONSORED ADR 66987V109 216 2250 SH SOLE 2250 0 0 OMNICOM GROUP INC COM 681919106 86 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 149 2770 SH SOLE 2770 0 0 OUTFRONT MEDIA INC COM 69007J106 3275 139950 SH SOLE 136950 0 3000 PAYPAL HLDGS INC COM 70450Y103 3284 31625 SH SOLE 31625 0 0 PEPSICO INC COM 713448108 5405 44106 SH SOLE 43306 0 800 PFIZER INC COM 717081103 6805 160232 SH SOLE 157632 0 2600 PINNACLE WEST CAP CORP COM 723484101 4758 49785 SH SOLE 48685 0 1100 PNC FINL SVCS GROUP INC COM 693475105 134987 1100500 SH DFND 1 2 0 1100500 0 PPL CORP COM 69351T106 2860 90110 SH SOLE 88110 0 2000 PROCTER AND GAMBLE CO COM 742718109 6705 64440 SH SOLE 63540 0 900 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3790 63800 SH SOLE 62100 0 1700 QUALCOMM INC COM 747525103 606 10630 SH SOLE 10630 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 2 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 3266 52180 SH SOLE 51880 0 300 SEAGATE TECHNOLOGY PLC SHS G7945M107 682 14250 SH SOLE 14250 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1263 27000 SH SOLE 0 0 27000 SELECT SECTOR SPDR TR ENERGY 81369Y506 1131 17100 SH SOLE 0 0 17100 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1332 18000 SH SOLE 0 0 18000 SOUTHERN CO COM 842587107 4694 90825 SH SOLE 89525 0 1300 SPDR GOLD TRUST GOLD SHS 78463V107 1397 11452 SH SOLE 11452 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 18958 67112 SH OTR 0 0 67112 SPDR S&P 500 ETF TR TR UNIT 78462F103 53684 190046 SH SOLE 19931 0 170115 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 7225 20919 SH OTR 0 0 20919 SPDR SER TR NUVEEN BLMBRG SR 78468R739 3810 78582 SH SOLE 0 0 78582 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1652 45920 SH SOLE 0 0 45920 SPDR SERIES TRUST PORTFOLIO LN COR 78464A367 81 3000 SH SOLE 0 0 3000 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2922 95650 SH SOLE 0 0 95650 SYSCO CORP COM 871829107 5532 82860 SH SOLE 81060 0 1800 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 793 38932 SH SOLE 38932 0 0 TARGET CORP COM 87612E106 2098 26139 SH SOLE 26139 0 0 TOTAL SYS SVCS INC COM 891906109 1653 17402 SH SOLE 17402 0 0 TRAVELERS COMPANIES INC COM 89417E109 5898 43000 SH DFND 1 2 0 43000 0 U S G CORP COM NEW 903293405 189912 4385964 SH DFND 1 2 0 4385964 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 2474 108887 SH OTR 0 0 108887 UNION PACIFIC CORP COM 907818108 1505 9000 SH SOLE 9000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 217 1940 SH SOLE 1940 0 0 UNITED TECHNOLOGIES CORP COM 913017109 34 266 SH SOLE 266 0 0 UNITEDHEALTH GROUP INC COM 91324P102 297 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 1763 36578 SH SOLE 36578 0 0 US BANCORP DEL COM NEW 902973304 849515 17628443 SH DFND 1 2 0 17628443 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 85 3800 SH SOLE 0 0 3800 VANGUARD INDEX FDS LARGE CAP ETF 922908637 2225 17140 SH SOLE 0 0 17140 VANGUARD INDEX FDS MID CAP ETF 922908629 1140 7090 SH SOLE 0 0 7090 VANGUARD INDEX FDS SMALL CP ETF 922908751 2215 14495 SH SOLE 0 0 14495 VANGUARD INDEX FDS TOTAL STK MKT 922908769 9884 68300 SH SOLE 56000 0 12300 VANGUARD INDEX FDS VALUE ETF 922908744 2637 24500 SH SOLE 0 0 24500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1842 27968 SH OTR 0 0 27968 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 930 15275 SH SOLE 0 0 15275 VAREX IMAGING CORP COM 92214X106 14 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 241 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 3857 29000 SH OTR 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4508 76237 SH SOLE 74637 0 1600 WABTEC CORP COM 929740108 38 511 SH SOLE 497 0 14 WALGREENS BOOTS ALLIANCE INC COM 931427108 1256 19856 SH SOLE 19856 0 0 WALMART INC COM 931142103 4910 50340 SH SOLE 49340 0 1000 WASTE MGMT INC DEL COM 94106L109 208 2000 SH SOLE 2000 0 0 WELLS FARGO CO NEW COM 949746101 1091075 22580200 SH DFND 1 2 0 22580200 0 WELLS FARGO CO NEW COM 949746101 2098 43414 SH SOLE 43414 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 17156 13275 SH OTR 0 0 13275 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 9024 141196 SH OTR 20296 0 120900 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 8674 135729 SH SOLE 22754 0 112975 YUM BRANDS INC COM 988498101 968 9700 SH SOLE 9700 0 0 YUM CHINA HLDGS INC COM 98850P109 867 19300 SH SOLE 19300 0 0 ZOETIS INC CL A 98978V103 1705 16932 SH SOLE 16932 0 0