0001085146-20-000888.txt : 20200214 0001085146-20-000888.hdr.sgml : 20200214 20200214165234 ACCESSION NUMBER: 0001085146-20-000888 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 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: 20621386 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 12-31-2019 12-31-2019 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 01-10-2020 2 170 6131343 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 2590 14680 SH SOLE 14680 0 0 ABBOTT LABS COM 002824100 2179 25084 SH SOLE 25084 0 0 ABBVIE INC COM 00287Y109 5586 63095 SH SOLE 63095 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 496 2355 SH SOLE 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1463 9137 SH SOLE 9137 0 0 AGNICO EAGLE MINES LTD COM 008474108 2843 46139 SH SOLE 46139 0 0 ALCON INC ORD SHS H01301128 25 450 SH SOLE 450 0 0 ALLIANT ENERGY CORP COM 018802108 1172 21414 SH SOLE 21414 0 0 ALTRA INDL MOTION CORP COM 02208R106 2 42 SH SOLE 42 0 0 AMERICAN EXPRESS CO COM 025816109 2777 22307 SH SOLE 22307 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1061 20674 SH SOLE 20674 0 0 AMGEN INC COM 031162100 234 970 SH SOLE 970 0 0 ANALOG DEVICES INC COM 032654105 36 305 SH SOLE 305 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 939 11449 SH SOLE 11449 0 0 APPLE INC COM 037833100 1677035 5711000 SH DFND 01 02 0 5711000 0 APPLE INC COM 037833100 4426 15071 SH SOLE 15071 0 0 ARES CAP CORP COM 04010L103 4213 225900 SH OTR 0 0 225900 ASML HOLDING N V N Y REGISTRY SHS N07059210 1450 4900 SH SOLE 4900 0 0 AT&T INC COM 00206R102 132 3381 SH SOLE 3381 0 0 BANK AMER CORP 7.25%CNV PFD L 060505682 13671 9435 SH OTR 0 0 9435 BANK AMER CORP COM 060505104 801304 22751400 SH DFND 01 02 0 22751400 0 BANK NEW YORK MELLON CORP COM 064058100 464795 9234943 SH DFND 01 02 0 9234943 0 BANK NEW YORK MELLON CORP COM 064058100 181 3600 SH SOLE 3600 0 0 BECTON DICKINSON & CO COM 075887109 295 1085 SH SOLE 1085 0 0 BLACKROCK CAPITAL INVESTMENT COM 092533108 2021 407000 SH OTR 0 0 407000 BRISTOL MYERS SQUIBB CO COM 110122108 4281 66700 SH SOLE 66700 0 0 BROADCOM INC COM 11135F101 1798 5690 SH SOLE 5690 0 0 CARTERS INC COM 146229109 921 8423 SH SOLE 8423 0 0 CHEVRON CORP NEW COM 166764100 5455 45266 SH SOLE 45266 0 0 CISCO SYS INC COM 17275R102 8139 169704 SH SOLE 169704 0 0 CITIGROUP INC COM NEW 172967424 1790 22400 SH SOLE 22400 0 0 CMS ENERGY CORP COM 125896100 1650 26253 SH SOLE 26253 0 0 COCA COLA CO COM 191216100 4507 81435 SH SOLE 81435 0 0 CONOCOPHILLIPS COM 20825C104 1930 29671 SH SOLE 29671 0 0 COSTCO WHSL CORP NEW COM 22160K105 419 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 6038 42474 SH SOLE 42474 0 0 CVS HEALTH CORP COM 126650100 1518 20431 SH SOLE 20431 0 0 DANAHER CORPORATION COM 235851102 50 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 5293 48559 SH SOLE 48559 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 38358 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 1707 11801 SH SOLE 11801 0 0 DOMINION ENERGY INC COM 25746U109 3247 39200 SH SOLE 39200 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 3880 42540 SH SOLE 42540 0 0 EBAY INC COM 278642103 1597 44225 SH SOLE 44225 0 0 ELANCO ANIMAL HEALTH INC COM 28414H103 1828 62076 SH SOLE 62076 0 0 EMERSON ELEC CO COM 291011104 4966 65115 SH SOLE 65115 0 0 ENCOMPASS HEALTH CORP COM 29261A100 1074 15500 SH SOLE 15500 0 0 ENTERGY CORP NEW COM 29364G103 3793 31665 SH SOLE 31665 0 0 EOG RES INC COM 26875P101 1365 16300 SH SOLE 16300 0 0 EXXON MOBIL CORP COM 30231G102 421 6040 SH SOLE 6040 0 0 FORTIVE CORP COM 34959J108 11 145 SH SOLE 145 0 0 FRANCO NEVADA CORP COM 351858105 599 5800 SH SOLE 5800 0 0 GARRETT MOTION INC COM 366505105 1 57 SH SOLE 57 0 0 GENERAL ELECTRIC CO COM 369604103 27 2400 SH SOLE 2400 0 0 GENERAL MLS INC COM 370334104 4461 83295 SH SOLE 83295 0 0 GLOBAL PMTS INC COM 37940X102 1717 9407 SH SOLE 9407 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 1181 55491 SH OTR 55491 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 99114 431063 SH DFND 01 02 0 431063 0 GOLUB CAP BDC INC COM 38173M102 4298 232876 SH OTR 0 0 232876 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1199 75575 SH SOLE 75575 0 0 HOLOGIC INC COM 436440101 1812 34700 SH SOLE 34700 0 0 HOME DEPOT INC COM 437076102 353 1615 SH SOLE 1615 0 0 HONEYWELL INTL INC COM 438516106 102 575 SH SOLE 575 0 0 HP INC COM 40434L105 1309 63675 SH SOLE 63675 0 0 ILLINOIS TOOL WKS INC COM 452308109 63 350 SH SOLE 350 0 0 INTEL CORP COM 458140100 108 1800 SH SOLE 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3489 26030 SH SOLE 26030 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 200 1550 SH SOLE 1550 0 0 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 817 54410 SH SOLE 0 0 54410 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1645 72100 SH SOLE 0 0 72100 ISHARES GOLD TRUST ISHARES 464285105 856 59000 SH SOLE 59000 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1882 35000 SH OTR 0 0 35000 ISHARES INC CORE MSCI EMKT 46434G103 4580 85200 SH SOLE 0 0 85200 ISHARES TR CORE HIGH DV ETF 46429B663 11082 113000 SH SOLE 105000 0 8000 ISHARES TR CORE S&P MCP ETF 464287507 2780 13509 SH SOLE 0 0 13509 ISHARES TR CORE S&P SCP ETF 464287804 1756 20937 SH OTR 0 0 20937 ISHARES TR CORE S&P SCP ETF 464287804 1406 16763 SH SOLE 0 0 16763 ISHARES TR CORE S&P500 ETF 464287200 20429 63200 SH SOLE 9200 0 54000 ISHARES TR HDG MSCI EAFE 46434V803 1530 50150 SH SOLE 0 0 50150 ISHARES TR IBOXX HI YD ETF 464288513 528 6000 SH SOLE 0 0 6000 ISHARES TR IBOXX INV CP ETF 464287242 3199 25000 SH SOLE 0 0 25000 ISHARES TR PFD AND INCM SEC 464288687 1574 41880 SH SOLE 0 0 41880 ISHARES TR RUSSELL 2000 ETF 464287655 1170 7065 SH SOLE 0 0 7065 ISHARES TR S&P 100 ETF 464287101 2810 19500 SH SOLE 19500 0 0 ISHARES TR SELECT DIVID ETF 464287168 298 2825 SH OTR 0 0 2825 ISHARES TR SELECT DIVID ETF 464287168 14240 134769 SH SOLE 75364 0 59405 JOHNSON & JOHNSON COM 478160104 4538 31107 SH SOLE 31107 0 0 JOHNSON CTLS INTL PLC SHS G51502105 868 21312 SH SOLE 21312 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2023 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 11904 85392 SH SOLE 85392 0 0 JPMORGAN CHASE & CO COM 46625H100 75973 545000 SH DFND 01 02 0 545000 0 KIMBERLY CLARK CORP COM 494368103 151 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 3226 152375 SH SOLE 152375 0 0 KOHLS CORP COM 500255104 602 11816 SH SOLE 11816 0 0 LILLY ELI & CO COM 532457108 5335 40589 SH SOLE 40589 0 0 LOCKHEED MARTIN CORP COM 539830109 6002 15415 SH SOLE 15415 0 0 MARKEL CORP COM 570535104 171 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 91 600 SH SOLE 600 0 0 MCDONALDS CORP COM 580135101 5701 28850 SH SOLE 28850 0 0 MEDTRONIC PLC SHS G5960L103 2490 21944 SH SOLE 21944 0 0 MERCK & CO INC COM 58933Y105 6070 66735 SH SOLE 66735 0 0 MICROSOFT CORP COM 594918104 12005 76127 SH SOLE 76127 0 0 MOLSON COORS BREWING CO CL B 60871R209 5624 104350 SH SOLE 104350 0 0 MONDELEZ INTL INC CL A 609207105 1205 21885 SH SOLE 21885 0 0 NETSCOUT SYS INC COM 64115T104 94 3916 SH SOLE 3916 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 1521 35002 SH SOLE 35002 0 0 NORDSTROM INC COM 655664100 56 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 271 2550 SH SOLE 2550 0 0 NOVARTIS A G SPONSORED ADR 66987V109 213 2250 SH SOLE 2250 0 0 OMNICOM GROUP INC COM 681919106 95 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 147 2770 SH SOLE 2770 0 0 OUTFRONT MEDIA INC COM 69007J106 3637 135600 SH SOLE 135600 0 0 PAYPAL HLDGS INC COM 70450Y103 3137 29004 SH SOLE 29004 0 0 PEPSICO INC COM 713448108 5905 43206 SH SOLE 43206 0 0 PFIZER INC COM 717081103 6145 156832 SH SOLE 156832 0 0 PINNACLE WEST CAP CORP COM 723484101 4267 47445 SH SOLE 47445 0 0 PNC FINL SVCS GROUP INC COM 693475105 175673 1100500 SH DFND 01 02 0 1100500 0 PPL CORP COM 69351T106 3629 101150 SH SOLE 101150 0 0 PROCTER & GAMBLE CO COM 742718109 7917 63390 SH SOLE 63390 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3682 62350 SH SOLE 62350 0 0 QUALCOMM INC COM 747525103 894 10130 SH SOLE 10130 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 1 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 2995 50780 SH SOLE 50780 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 800 13450 SH SOLE 13450 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1448 27000 SH SOLE 0 0 27000 SELECT SECTOR SPDR TR ENERGY 81369Y506 2534 42200 SH SOLE 0 0 42200 SOUTHERN CO COM 842587107 5665 88935 SH SOLE 88935 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1636 11452 SH SOLE 11452 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 18822 58480 SH OTR 0 0 58480 SPDR S&P 500 ETF TR TR UNIT 78462F103 65154 202429 SH SOLE 18831 0 183598 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 6819 18167 SH OTR 0 0 18167 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 1424 13000 SH SOLE 0 0 13000 SPDR SERIES TRUST NUVEEN BLMBRG SR 78468R739 3859 78582 SH SOLE 0 0 78582 SPDR SERIES TRUST PORTFOLIO LN COR 78464A367 90 3000 SH SOLE 0 0 3000 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2950 95650 SH SOLE 0 0 95650 SYSCO CORP COM 871829107 6267 73260 SH SOLE 73260 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 1058 53626 SH SOLE 53626 0 0 TARGET CORP COM 87612E106 3351 26139 SH SOLE 26139 0 0 TRUIST FINL CORP COM 89832Q109 132 2340 SH SOLE 2340 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 2115 108887 SH OTR 0 0 108887 UNION PACIFIC CORP COM 907818108 1627 9000 SH SOLE 9000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 227 1940 SH SOLE 1940 0 0 UNITED TECHNOLOGIES CORP COM 913017109 40 266 SH SOLE 266 0 0 UNITEDHEALTH GROUP INC COM 91324P102 353 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 1045190 17628443 SH DFND 01 02 0 17628443 0 US BANCORP DEL COM NEW 902973304 2139 36078 SH SOLE 36078 0 0 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 111 3800 SH SOLE 0 0 3800 VANGUARD INDEX FDS LARGE CAP ETF 922908637 2534 17140 SH SOLE 0 0 17140 VANGUARD INDEX FDS MID CAP ETF 922908629 1263 7090 SH SOLE 0 0 7090 VANGUARD INDEX FDS SMALL CP ETF 922908751 2401 14495 SH SOLE 0 0 14495 VANGUARD INDEX FDS TOTAL STK MKT 922908769 11176 68300 SH SOLE 56000 0 12300 VANGUARD INDEX FDS VALUE ETF 922908744 2936 24500 SH SOLE 0 0 24500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1665 23925 SH OTR 0 0 23925 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 2103 32975 SH SOLE 0 0 32975 VAREX IMAGING CORP COM 92214X106 12 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 241 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 4331 29000 SH OTR 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4549 74087 SH SOLE 74087 0 0 WABTEC CORP COM 929740108 1 12 SH SOLE 12 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1171 19856 SH SOLE 19856 0 0 WALMART INC COM 931142103 5840 49140 SH SOLE 49140 0 0 WASTE MGMT INC DEL COM 94106L109 228 2000 SH SOLE 2000 0 0 WELLS FARGO CO NEW COM 949746101 1209209 22476000 SH DFND 01 02 0 22476000 0 WELLS FARGO CO NEW COM 949746101 7431 138127 SH SOLE 138127 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 19249 13275 SH OTR 0 0 13275 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 10927 154796 SH OTR 20296 0 134500 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 12285 174029 SH SOLE 22754 0 151275 YUM BRANDS INC COM 988498101 977 9700 SH SOLE 9700 0 0 YUM CHINA HLDGS INC COM 98850P109 927 19300 SH SOLE 19300 0 0 ZOETIS INC CL A 98978V103 2241 16932 SH SOLE 16932 0 0