0001085146-20-001611.txt : 20200515 0001085146-20-001611.hdr.sgml : 20200515 20200515163436 ACCESSION NUMBER: 0001085146-20-001611 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 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: 20886011 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 03-31-2020 03-31-2020 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 04-15-2020 2 166 4179802 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 2117 15510 SH SOLE 15460 0 50 ABBOTT LABS COM 002824100 2027 25684 SH SOLE 25684 0 0 ABBVIE INC COM 00287Y109 5104 66995 SH SOLE 66595 0 400 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 384 2355 SH SOLE 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 871 9337 SH SOLE 9337 0 0 AGNICO EAGLE MINES LTD COM 008474108 1864 46839 SH SOLE 46839 0 0 ALCON INC ORD SHS H01301128 23 450 SH SOLE 450 0 0 ALLIANT ENERGY CORP COM 018802108 1063 22014 SH SOLE 22014 0 0 ALTRA INDL MOTION CORP COM 02208R106 1 42 SH SOLE 42 0 0 AMERICAN EXPRESS CO COM 025816109 1953 22807 SH SOLE 22807 0 0 AMGEN INC COM 031162100 197 970 SH SOLE 970 0 0 ANALOG DEVICES INC COM 032654105 27 305 SH SOLE 305 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 518 11749 SH SOLE 11749 0 0 APPLE INC COM 037833100 1452250 5711000 SH DFND 01 02 0 5711000 0 APPLE INC COM 037833100 3578 14071 SH SOLE 14071 0 0 ARES CAPITAL CORP COM 04010L103 2435 225900 SH OTR 0 0 225900 AT&T INC COM 00206R102 99 3381 SH SOLE 3381 0 0 BANK NEW YORK MELLON CORP COM 064058100 311033 9234943 SH DFND 01 02 0 9234943 0 BANK NEW YORK MELLON CORP COM 064058100 121 3600 SH SOLE 3600 0 0 BECTON DICKINSON & CO COM 075887109 249 1085 SH SOLE 1085 0 0 BK OF AMERICA CORP 7.25%CNV PFD L 060505682 11945 9435 SH OTR 0 0 9435 BK OF AMERICA CORP COM 060505104 483012 22751400 SH DFND 01 02 0 22751400 0 BLACKROCK CAP INVT CORP COM 092533108 895 407000 SH OTR 0 0 407000 BRISTOL-MYERS SQUIBB CO COM 110122108 3957 71000 SH SOLE 70600 0 400 BROADCOM INC COM 11135F101 1373 5790 SH SOLE 5790 0 0 CARTERS INC COM 146229109 567 8623 SH SOLE 8623 0 0 CHEVRON CORP NEW COM 166764100 3459 47746 SH SOLE 47546 0 200 CISCO SYS INC COM 17275R102 7034 178934 SH SOLE 178234 0 700 CITIGROUP INC COM NEW 172967424 969 23000 SH SOLE 23000 0 0 CMS ENERGY CORP COM 125896100 1583 26953 SH SOLE 26953 0 0 COCA COLA CO COM 191216100 4182 94515 SH SOLE 94015 0 500 CONOCOPHILLIPS COM 20825C104 939 30471 SH SOLE 30471 0 0 COSTCO WHSL CORP NEW COM 22160K105 406 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 6496 44984 SH SOLE 44784 0 200 CVS HEALTH CORP COM 126650100 1242 20931 SH SOLE 20931 0 0 DANAHER CORPORATION COM 235851102 45 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 2815 51689 SH SOLE 51389 0 300 DIAGEO P L C SPON ADR NEW 25243Q205 28952 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 1159 12001 SH SOLE 12001 0 0 DOMINION ENERGY INC COM 25746U109 3063 42430 SH SOLE 42130 0 300 DUKE ENERGY CORP NEW COM NEW 26441C204 3687 45590 SH SOLE 45290 0 300 EBAY INC COM 278642103 1362 45325 SH SOLE 45325 0 0 ELANCO ANIMAL HEALTH INC COM 28414H103 15 676 SH SOLE 676 0 0 EMERSON ELEC CO COM 291011104 3306 69375 SH SOLE 68975 0 400 ENTERGY CORP NEW COM 29364G103 3203 34085 SH SOLE 33885 0 200 EOG RES INC COM 26875P101 600 16700 SH SOLE 16700 0 0 EXXON MOBIL CORP COM 30231G102 229 6040 SH SOLE 6040 0 0 FORTIVE CORP COM 34959J108 8 145 SH SOLE 145 0 0 FRANCO NEVADA CORP COM 351858105 577 5800 SH SOLE 5800 0 0 GARRETT MOTION INC COM 366505105 0 57 SH SOLE 57 0 0 GENERAL ELECTRIC CO COM 369604103 19 2400 SH SOLE 2400 0 0 GENERAL MLS INC COM 370334104 4695 88975 SH SOLE 88475 0 500 GLOBAL PMTS INC COM 37940X102 1386 9607 SH SOLE 9607 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 684 55491 SH OTR 55491 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 66638 431063 SH DFND 01 02 0 431063 0 GOLUB CAP BDC INC COM 38173M102 2925 232876 SH OTR 0 0 232876 HOME DEPOT INC COM 437076102 302 1615 SH SOLE 1615 0 0 HONEYWELL INTL INC COM 438516106 77 575 SH SOLE 575 0 0 HP INC COM 40434L105 1135 65375 SH SOLE 65375 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 3099 27930 SH SOLE 27780 0 150 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 158 1550 SH SOLE 1550 0 0 INVESCO EXCHANGE-TRADED FD T PFD ETF 46138E511 400 30400 SH SOLE 0 0 30400 INVESCO EXCHANGE-TRADED FD T SR LN ETF 46138G508 919 44900 SH SOLE 0 0 44900 ISHARES GOLD TRUST ISHARES 464285105 1245 82600 SH SOLE 82600 0 0 ISHARES INC CORE MSCI EMKT 46434G103 3112 76900 SH OTR 0 0 76900 ISHARES INC CORE MSCI EMKT 46434G103 4666 115300 SH SOLE 0 0 115300 ISHARES TR CORE HIGH DV ETF 46429B663 8872 124000 SH SOLE 116000 0 8000 ISHARES TR CORE S&P MCP ETF 464287507 1943 13509 SH SOLE 0 0 13509 ISHARES TR CORE S&P SCP ETF 464287804 941 16763 SH SOLE 0 0 16763 ISHARES TR CORE S&P SCP ETF 464287804 973 17345 SH OTR 0 0 17345 ISHARES TR CORE S&P500 ETF 464287200 18605 72000 SH SOLE 18000 0 54000 ISHARES TR FLTG RATE NT ETF 46429B655 373 7660 SH SOLE 7660 0 0 ISHARES TR HDG MSCI EAFE 46434V803 1364 56340 SH SOLE 0 0 56340 ISHARES TR IBOXX HI YD ETF 464288513 462 6000 SH SOLE 0 0 6000 ISHARES TR IBOXX INV CP ETF 464287242 3088 25000 SH SOLE 0 0 25000 ISHARES TR RUSSELL 2000 ETF 464287655 809 7065 SH SOLE 0 0 7065 ISHARES TR S&P 100 ETF 464287101 2313 19500 SH SOLE 19500 0 0 ISHARES TR SELECT DIVID ETF 464287168 5774 78514 SH SOLE 36964 0 41550 ISHARES TR SELECT DIVID ETF 464287168 208 2825 SH OTR 0 0 2825 JOHNSON & JOHNSON COM 478160104 4292 32727 SH SOLE 32577 0 150 JOHNSON CTLS INTL PLC SHS G51502105 591 21912 SH SOLE 21912 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 838 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 8064 89572 SH SOLE 89272 0 300 JPMORGAN CHASE & CO COM 46625H100 49066 545000 SH DFND 01 02 0 545000 0 KIMBERLY CLARK CORP COM 494368103 141 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 2259 162285 SH SOLE 161385 0 900 LILLY ELI & CO COM 532457108 5941 42829 SH SOLE 42629 0 200 LOCKHEED MARTIN CORP COM 539830109 5472 16145 SH SOLE 16095 0 50 MARKEL CORP COM 570535104 139 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 45 600 SH SOLE 600 0 0 MCDONALDS CORP COM 580135101 5690 34410 SH SOLE 34260 0 150 MEDTRONIC PLC SHS G5960L103 2015 22344 SH SOLE 22344 0 0 MERCK & CO. INC COM 58933Y105 5456 70915 SH SOLE 70515 0 400 MICROSOFT CORP COM 594918104 11524 73067 SH SOLE 72867 0 200 MOLSON COORS BEVERAGE CO CL B 60871R209 4303 110280 SH SOLE 109780 0 500 MONDELEZ INTL INC CL A 609207105 1126 22485 SH SOLE 22485 0 0 NETSCOUT SYS INC COM 64115T104 93 3916 SH SOLE 3916 0 0 NEWMONT CORP COM 651639106 1612 35602 SH SOLE 35602 0 0 NORDSTROM INC COM 655664100 21 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 192 2550 SH SOLE 2550 0 0 NOVARTIS A G SPONSORED ADR 66987V109 186 2250 SH SOLE 2250 0 0 OMNICOM GROUP INC COM 681919106 65 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 134 2770 SH SOLE 2770 0 0 OUTFRONT MEDIA INC COM 69007J106 1952 144780 SH SOLE 143980 0 800 PAYPAL HLDGS INC COM 70450Y103 2834 29604 SH SOLE 29604 0 0 PEPSICO INC COM 713448108 5458 45446 SH SOLE 45246 0 200 PFIZER INC COM 717081103 5405 165582 SH SOLE 164882 0 700 PINNACLE WEST CAP CORP COM 723484101 3845 50735 SH SOLE 50435 0 300 PNC FINL SVCS GROUP INC COM 693475105 105340 1100500 SH DFND 01 02 0 1100500 0 PPL CORP COM 69351T106 2667 108070 SH SOLE 107470 0 600 PROCTER & GAMBLE CO COM 742718109 7295 66310 SH SOLE 66060 0 250 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3056 68060 SH SOLE 67560 0 500 QUALCOMM INC COM 747525103 685 10130 SH SOLE 10130 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 0 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1914 54880 SH SOLE 54580 0 300 SEAGATE TECHNOLOGY PLC SHS G7945M107 656 13450 SH SOLE 13450 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1194 27000 SH SOLE 0 0 27000 SELECT SECTOR SPDR TR ENERGY 81369Y506 1279 44000 SH SOLE 0 0 44000 SOUTHERN CO COM 842587107 5078 93795 SH SOLE 93445 0 350 SPDR GOLD TRUST GOLD SHS 78463V107 1710 11552 SH SOLE 11552 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 50220 194839 SH SOLE 21571 0 173268 SPDR S&P 500 ETF TR TR UNIT 78462F103 12692 49241 SH OTR 0 0 49241 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 3972 15109 SH OTR 0 0 15109 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1232 13000 SH SOLE 0 0 13000 SPDR SER TR NUVEEN BLMBRG SR 78468R739 3843 78582 SH SOLE 0 0 78582 SPDR SER TR PORTFOLIO LN COR 78464A367 85 3000 SH SOLE 0 0 3000 SPDR SER TR PORTFOLIO SHORT 78464A474 2893 95650 SH SOLE 0 0 95650 STARBUCKS CORP COM 855244109 335 5100 SH SOLE 5100 0 0 SYSCO CORP COM 871829107 3557 77950 SH SOLE 77500 0 450 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 835 55026 SH SOLE 55026 0 0 TARGET CORP COM 87612E106 2486 26739 SH SOLE 26739 0 0 TRUIST FINL CORP COM 89832Q109 72 2340 SH SOLE 2340 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 886 108887 SH OTR 0 0 108887 UNION PAC CORP COM 907818108 1298 9200 SH SOLE 9200 0 0 UNITED PARCEL SERVICE INC CL B 911312106 181 1940 SH SOLE 1940 0 0 UNITED TECHNOLOGIES CORP COM 913017109 25 266 SH SOLE 266 0 0 UNITEDHEALTH GROUP INC COM 91324P102 299 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 607300 17628443 SH DFND 01 02 0 17628443 0 US BANCORP DEL COM NEW 902973304 1264 36678 SH SOLE 36678 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 88 3800 SH SOLE 0 0 3800 VANGUARD BD INDEX FDS INTERMED TERM 921937819 3377 37800 SH SOLE 37800 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 2030 17140 SH SOLE 0 0 17140 VANGUARD INDEX FDS MID CAP ETF 922908629 933 7090 SH SOLE 0 0 7090 VANGUARD INDEX FDS SMALL CP ETF 922908751 1673 14495 SH SOLE 0 0 14495 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8805 68300 SH SOLE 56000 0 12300 VANGUARD INDEX FDS VALUE ETF 922908744 2182 24500 SH SOLE 0 0 24500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1093 19820 SH OTR 0 0 19820 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 3690 52145 SH SOLE 47400 0 4745 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 986 21775 SH SOLE 0 0 21775 VAREX IMAGING CORP COM 92214X106 9 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 175 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 4042 29000 SH OTR 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4237 78857 SH SOLE 78407 0 450 WABTEC COM 929740108 1 12 SH SOLE 12 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 931 20356 SH SOLE 20356 0 0 WALMART INC COM 931142103 5920 52100 SH SOLE 51800 0 300 WASTE MGMT INC DEL COM 94106L109 185 2000 SH SOLE 2000 0 0 WELLS FARGO CO NEW COM 949746101 645061 22476000 SH DFND 01 02 0 22476000 0 WELLS FARGO CO NEW COM 949746101 4144 144397 SH SOLE 143797 0 600 WELLS FARGO CO NEW PERP PFD CNV A 949746804 16913 13275 SH OTR 0 0 13275 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 9223 179996 SH OTR 10796 0 169200 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 9148 178529 SH SOLE 23354 0 155175 YUM BRANDS INC COM 988498101 678 9900 SH SOLE 9900 0 0 YUM CHINA HLDGS INC COM 98850P109 844 19800 SH SOLE 19800 0 0