0001085146-20-003069.txt : 20201116 0001085146-20-003069.hdr.sgml : 20201116 20201116170622 ACCESSION NUMBER: 0001085146-20-003069 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 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: 201318239 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 09-30-2020 09-30-2020 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 11-16-2020 2 164 4171616 false 1 0000317745 028-04922 GENERAL RE CORP 2 0001067983 028-04545 BERKSHIRE HATHAWAY INC INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 2236 13960 SH SOLE 13910 0 50 ABBOTT LABS COM 002824100 2806 25784 SH SOLE 25784 0 0 ABBVIE INC COM 00287Y109 5207 59445 SH SOLE 59045 0 400 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 532 2355 SH SOLE 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1740 11337 SH SOLE 11337 0 0 AGNICO EAGLE MINES LTD COM 008474108 3793 47639 SH SOLE 47639 0 0 ALCON AG ORD SHS H01301128 26 450 SH SOLE 450 0 0 ALLIANT ENERGY CORP COM 018802108 1142 22114 SH SOLE 22114 0 0 ALTRA INDL MOTION CORP COM 02208R106 2 42 SH SOLE 42 0 0 AMERICAN EXPRESS CO COM 025816109 2296 22907 SH SOLE 22907 0 0 AMGEN INC COM 031162100 247 970 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 638 11849 SH SOLE 11849 0 0 APPLE INC COM 037833100 5951 51384 SH SOLE 51384 0 0 APPLE INC COM 037833100 2365327 20424207 SH DFND 01 02 0 20424207 0 ARES CAPITAL CORP COM 04010L103 3151 225900 SH OTR 0 0 225900 AT&T INC COM 00206R102 96 3381 SH SOLE 3381 0 0 BANK NEW YORK MELLON CORP COM 064058100 124 3600 SH SOLE 3600 0 0 BANK NEW YORK MELLON CORP COM 064058100 68316 1989411 SH DFND 01 02 0 1989411 0 BECTON DICKINSON & CO COM 075887109 252 1085 SH SOLE 1085 0 0 BK OF AMERICA CORP COM 060505104 548081 22751400 SH DFND 01 02 0 22751400 0 BK OF AMERICA CORP 7.25%CNV PFD L 060505682 14039 9435 SH OTR 0 0 9435 BLACKROCK CAP INVT CORP COM 092533108 1052 431046 SH OTR 0 0 431046 BRISTOL-MYERS SQUIBB CO COM 110122108 3801 63050 SH SOLE 62650 0 400 BROADCOM INC COM 11135F101 2037 5590 SH SOLE 5590 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 8 266 SH SOLE 266 0 0 CARTERS INC COM 146229109 755 8723 SH SOLE 8723 0 0 CHEVRON CORP NEW COM 166764100 3437 47746 SH SOLE 47546 0 200 CISCO SYS INC COM 17275R102 6489 164734 SH SOLE 164034 0 700 CITIGROUP INC COM NEW 172967424 1000 23200 SH SOLE 23200 0 0 CMS ENERGY CORP COM 125896100 1661 27053 SH SOLE 27053 0 0 COCA COLA CO COM 191216100 4220 85465 SH SOLE 84965 0 500 CONOCOPHILLIPS COM 20825C104 1368 41671 SH SOLE 41671 0 0 COSTCO WHSL CORP NEW COM 22160K105 506 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 6640 39884 SH SOLE 39684 0 200 CVS HEALTH CORP COM 126650100 1228 21031 SH SOLE 21031 0 0 DANAHER CORPORATION COM 235851102 71 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 4597 45639 SH SOLE 45339 0 300 DIAGEO PLC SPON ADR NEW 25243Q205 31352 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM DISNEY 254687106 1750 14101 SH SOLE 14101 0 0 DOLLAR TREE INC COM 256746108 795 8700 SH SOLE 8700 0 0 DOMINION ENERGY INC COM 25746U109 3073 38930 SH SOLE 38630 0 300 DUKE ENERGY CORP NEW COM NEW 26441C204 3564 40240 SH SOLE 39940 0 300 EBAY INC. COM 278642103 2377 45625 SH SOLE 45625 0 0 EMERSON ELEC CO COM 291011104 4044 61675 SH SOLE 61275 0 400 ENTERGY CORP NEW COM 29364G103 3068 31135 SH SOLE 30935 0 200 EOG RES INC COM 26875P101 1003 27900 SH SOLE 27900 0 0 EXXON MOBIL CORP COM 30231G102 163 4740 SH SOLE 4740 0 0 FORTIVE CORP COM 34959J108 11 145 SH SOLE 145 0 0 FRANCO NEV CORP COM 351858105 810 5800 SH SOLE 5800 0 0 GENERAL ELECTRIC CO COM 369604103 15 2400 SH SOLE 2400 0 0 GENERAL MLS INC COM 370334104 4797 77775 SH SOLE 77275 0 500 GLOBAL PMTS INC COM 37940X102 1724 9707 SH SOLE 9707 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 835 55491 SH OTR 55491 0 0 GOLUB CAP BDC INC COM 38173M102 3083 232876 SH OTR 0 0 232876 HOME DEPOT INC COM 437076102 1198 4315 SH SOLE 4315 0 0 HONEYWELL INTL INC COM 438516106 95 575 SH SOLE 575 0 0 HP INC COM 40434L105 1067 56200 SH SOLE 56200 0 0 ILLINOIS TOOL WKS INC COM 452308109 68 350 SH SOLE 350 0 0 INTEL CORP COM 458140100 93 1800 SH SOLE 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3021 24830 SH SOLE 24680 0 150 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 190 1550 SH SOLE 1550 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 791 36400 SH SOLE 0 0 36400 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 389 26400 SH SOLE 0 0 26400 ISHARES GOLD TRUST ISHARES 464285105 1486 82600 SH SOLE 82600 0 0 ISHARES INC CORE MSCI EMKT 46434G103 4060 76900 SH OTR 0 0 76900 ISHARES INC CORE MSCI EMKT 46434G103 5850 110800 SH SOLE 0 0 110800 ISHARES TR CORE MSCI EAFE 46432F842 6088 101000 SH OTR 0 0 101000 ISHARES TR S&P 100 ETF 464287101 3037 19500 SH SOLE 19500 0 0 ISHARES TR CORE MSCI EURO 46434V738 13100 293000 SH SOLE 33100 0 259900 ISHARES TR CORE MSCI EAFE 46432F842 2930 48600 SH SOLE 0 0 48600 ISHARES TR IBOXX HI YD ETF 464288513 797 9500 SH SOLE 0 0 9500 ISHARES TR CORE S&P SCP ETF 464287804 1218 17345 SH OTR 0 0 17345 ISHARES TR IBOXX INV CP ETF 464287242 3368 25000 SH SOLE 0 0 25000 ISHARES TR RUSSELL 2000 ETF 464287655 1058 7065 SH SOLE 0 0 7065 ISHARES TR SELECT DIVID ETF 464287168 6402 78514 SH SOLE 36964 0 41550 ISHARES TR CORE HIGH DV ETF 46429B663 9980 124000 SH SOLE 116000 0 8000 ISHARES TR CORE S&P MCP ETF 464287507 2503 13509 SH SOLE 0 0 13509 ISHARES TR CORE S&P SCP ETF 464287804 1177 16763 SH SOLE 0 0 16763 ISHARES TR SELECT DIVID ETF 464287168 230 2825 SH OTR 0 0 2825 ISHARES TR CORE S&P500 ETF 464287200 25877 77000 SH SOLE 18000 0 59000 ISHARES TR CORE MSCI EURO 46434V738 6215 139000 SH OTR 0 0 139000 JOHNSON & JOHNSON COM 478160104 4373 29377 SH SOLE 29227 0 150 JOHNSON CTLS INTL PLC SHS G51502105 903 22112 SH SOLE 22112 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1000 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 7988 82972 SH SOLE 82672 0 300 KIMBERLY CLARK CORP COM 494368103 162 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 1773 143835 SH SOLE 142935 0 900 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 811 17200 SH SOLE 17200 0 0 LILLY ELI & CO COM 532457108 5604 37859 SH SOLE 37659 0 200 LOCKHEED MARTIN CORP COM 539830109 5479 14295 SH SOLE 14245 0 50 MARKEL CORP COM 570535104 146 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 56 600 SH SOLE 600 0 0 MCDONALDS CORP COM 580135101 6719 30610 SH SOLE 30460 0 150 MEDTRONIC PLC SHS G5960L103 2332 22444 SH SOLE 22444 0 0 MERCK & CO. INC COM 58933Y105 5214 62865 SH SOLE 62465 0 400 MICROSOFT CORP COM 594918104 14064 66867 SH SOLE 66667 0 200 MOLSON COORS BEVERAGE CO CL B 60871R209 3342 99580 SH SOLE 99080 0 500 MONDELEZ INTL INC CL A 609207105 1298 22585 SH SOLE 22585 0 0 NETSCOUT SYS INC COM 64115T104 85 3916 SH SOLE 3916 0 0 NEWMONT CORP COM 651639106 2265 35702 SH SOLE 35702 0 0 NORDSTROM INC COM 655664100 16 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 199 2550 SH SOLE 2550 0 0 NOVARTIS AG SPONSORED ADR 66987V109 196 2250 SH SOLE 2250 0 0 OMNICOM GROUP INC COM 681919106 58 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 165 2770 SH SOLE 2770 0 0 OTIS WORLDWIDE CORP COM 68902V107 8 133 SH SOLE 133 0 0 OUTFRONT MEDIA INC COM 69007J106 1842 126560 SH SOLE 125760 0 800 PAYPAL HLDGS INC COM 70450Y103 5577 28304 SH SOLE 28304 0 0 PEPSICO INC COM 713448108 5675 40946 SH SOLE 40746 0 200 PFIZER INC COM 717081103 5549 151182 SH SOLE 150482 0 700 PINNACLE WEST CAP CORP COM 723484101 3327 44635 SH SOLE 44335 0 300 PPL CORP COM 69351T106 2591 95220 SH SOLE 94620 0 600 PROCTER AND GAMBLE CO COM 742718109 8438 60710 SH SOLE 60460 0 250 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3421 62310 SH SOLE 61810 0 500 QUALCOMM INC COM 747525103 992 8430 SH SOLE 8430 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 15 266 SH SOLE 266 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 1 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1230 48830 SH SOLE 48530 0 300 SEAGATE TECHNOLOGY PLC SHS G7945M107 525 10650 SH SOLE 10650 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1010 17000 SH SOLE 0 0 17000 SELECT SECTOR SPDR TR ENERGY 81369Y506 419 14000 SH SOLE 0 0 14000 SOUTHERN CO COM 842587107 4698 86645 SH SOLE 86295 0 350 SPDR GOLD TR GOLD SHS 78463V107 2082 11752 SH SOLE 11752 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 69660 208009 SH SOLE 21671 0 186338 SPDR S&P 500 ETF TR TR UNIT 78462F103 16490 49241 SH OTR 0 0 49241 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 5138 15164 SH OTR 0 0 15164 SPDR SER TR PORTFOLIO SHORT 78464A474 3001 95650 SH SOLE 0 0 95650 SPDR SER TR NUVEEN BLMBRG SR 78468R739 2423 48582 SH SOLE 0 0 48582 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1356 13000 SH SOLE 0 0 13000 SPDR SER TR PORTFOLIO LN COR 78464A367 95 3000 SH SOLE 0 0 3000 STARBUCKS CORP COM 855244109 730 8500 SH SOLE 8500 0 0 STRYKER CORPORATION COM 863667101 1417 6800 SH SOLE 6800 0 0 SYSCO CORP COM 871829107 4359 70050 SH SOLE 69600 0 450 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 989 55426 SH SOLE 55426 0 0 TARGET CORP COM 87612E106 4225 26839 SH SOLE 26839 0 0 T-MOBILE US INC COM 872590104 835 7300 SH SOLE 7300 0 0 TRUIST FINL CORP COM 89832Q109 89 2340 SH SOLE 2340 0 0 UBS AG JERSEY BRANCH ALERIAN INFRST 902641646 1019 108887 SH OTR 0 0 108887 UNION PAC CORP COM 907818108 1831 9300 SH SOLE 9300 0 0 UNITED PARCEL SERVICE INC CL B 911312106 323 1940 SH SOLE 1940 0 0 UNITEDHEALTH GROUP INC COM 91324P102 374 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 631980 17628443 SH DFND 01 02 0 17628443 0 US BANCORP DEL COM NEW 902973304 1261 35178 SH SOLE 35178 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 11376 66800 SH SOLE 56000 0 10800 VANGUARD INDEX FDS SMALL CP ETF 922908751 5059 32895 SH SOLE 0 0 32895 VANGUARD INDEX FDS MID CAP ETF 922908629 3189 18090 SH SOLE 0 0 18090 VANGUARD INDEX FDS LARGE CAP ETF 922908637 2681 17140 SH SOLE 0 0 17140 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1349 19820 SH OTR 0 0 19820 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 6496 119700 SH SOLE 0 119700 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 6342 66200 SH SOLE 0 66200 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 5814 71845 SH SOLE 47400 0 24445 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 1134 21775 SH SOLE 0 0 21775 VAREX IMAGING CORP COM 92214X106 5 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 292 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 5374 29000 SH OTR 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4165 70007 SH SOLE 69557 0 450 WABTEC COM 929740108 1 12 SH SOLE 12 0 0 WALMART INC COM 931142103 6443 46050 SH SOLE 45750 0 300 WASTE MGMT INC DEL COM 94106L109 226 2000 SH SOLE 2000 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 17816 13275 SH OTR 0 0 13275 WELLS FARGO CO NEW COM 949746101 3230 137397 SH SOLE 136797 0 600 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 667 10796 SH OTR 10796 0 0 YUM CHINA HLDGS INC COM 98850P109 1054 19900 SH SOLE 19900 0 0