0001085146-21-000999.txt : 20210216 0001085146-21-000999.hdr.sgml : 20210216 20210216170121 ACCESSION NUMBER: 0001085146-21-000999 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210216 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: 21640464 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 12-31-2020 12-31-2020 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 01-20-2021 2 163 4935361 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 2488 14235 SH SOLE 14185 0 50 ABBOTT LABS COM 002824100 2823 25784 SH SOLE 25784 0 0 ABBVIE INC COM 00287Y109 6536 60995 SH SOLE 60595 0 400 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 615 2355 SH SOLE 2355 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1786 11337 SH SOLE 11337 0 0 AGNICO EAGLE MINES LTD COM 008474108 3359 47639 SH SOLE 47639 0 0 ALCON AG ORD SHS H01301128 30 450 SH SOLE 450 0 0 ALLIANT ENERGY CORP COM 018802108 1140 22114 SH SOLE 22114 0 0 ALTRA INDL MOTION CORP COM 02208R106 2 42 SH SOLE 42 0 0 AMERICAN EXPRESS CO COM 025816109 3096 25607 SH SOLE 25607 0 0 AMGEN INC COM 031162100 223 970 SH SOLE 970 0 0 ANALOG DEVICES INC COM 032654105 45 305 SH SOLE 305 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 828 11849 SH SOLE 11849 0 0 APPLE INC COM 037833100 2710088 20424207 SH DFND 01 02 0 20424207 0 APPLE INC COM 037833100 6539 49284 SH SOLE 49284 0 0 ARES CAPITAL CORP COM 04010L103 3815 225900 SH OTR 0 0 225900 AT&T INC COM 00206R102 97 3381 SH SOLE 3381 0 0 BANK NEW YORK MELLON CORP COM 064058100 153 3600 SH SOLE 3600 0 0 BANK NEW YORK MELLON CORP COM 064058100 84431 1989411 SH DFND 01 02 0 1989411 0 BECTON DICKINSON & CO COM 075887109 271 1085 SH SOLE 1085 0 0 BK OF AMERICA CORP COM 060505104 689595 22751400 SH DFND 01 02 0 22751400 0 BLACKROCK CAP INVT CORP COM 092533108 1193 443495 SH OTR 0 0 443495 BRISTOL-MYERS SQUIBB CO COM 110122108 4010 64650 SH SOLE 64250 0 400 BROADCOM INC COM 11135F101 2448 5590 SH SOLE 5590 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 10 266 SH SOLE 266 0 0 CARTERS INC COM 146229109 821 8723 SH SOLE 8723 0 0 CHEVRON CORP NEW COM 166764100 4313 51065 SH SOLE 50865 0 200 CISCO SYS INC COM 17275R102 7535 168384 SH SOLE 167684 0 700 CITIGROUP INC COM NEW 172967424 1431 23200 SH SOLE 23200 0 0 CMS ENERGY CORP COM 125896100 1651 27053 SH SOLE 27053 0 0 COCA COLA CO COM 191216100 4793 87415 SH SOLE 86915 0 500 CONOCOPHILLIPS COM 20825C104 1267 31671 SH SOLE 31671 0 0 COSTCO WHSL CORP NEW COM 22160K105 537 1425 SH SOLE 1425 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 6493 40784 SH SOLE 40584 0 200 CVS HEALTH CORP COM 126650100 1436 21031 SH SOLE 21031 0 0 DANAHER CORPORATION COM 235851102 73 328 SH SOLE 328 0 0 DARDEN RESTAURANTS INC COM 237194105 5586 46889 SH SOLE 46589 0 300 DIAGEO PLC SPON ADR NEW 25243Q205 36169 227750 SH DFND 01 02 0 227750 0 DISNEY WALT CO COM 254687106 2555 14101 SH SOLE 14101 0 0 DOLLAR TREE INC COM 256746108 940 8700 SH SOLE 8700 0 0 DOMINION ENERGY INC COM 25746U109 3029 40280 SH SOLE 39980 0 300 DUKE ENERGY CORP NEW COM NEW 26441C204 3780 41290 SH SOLE 40990 0 300 EBAY INC. COM 278642103 2293 45625 SH SOLE 45625 0 0 EMERSON ELEC CO COM 291011104 5085 63275 SH SOLE 62875 0 400 ENTERGY CORP NEW COM 29364G103 3208 32135 SH SOLE 31935 0 200 EOG RES INC COM 26875P101 234 4700 SH SOLE 4700 0 0 EXXON MOBIL CORP COM 30231G102 195 4740 SH SOLE 4740 0 0 FORTIVE CORP COM 34959J108 10 145 SH SOLE 145 0 0 FRANCO NEV CORP COM 351858105 727 5800 SH SOLE 5800 0 0 GENERAL ELECTRIC CO COM 369604103 26 2400 SH SOLE 2400 0 0 GENERAL MLS INC COM 370334104 4749 80775 SH SOLE 80275 0 500 GLOBAL PMTS INC COM 37940X102 2091 9707 SH SOLE 9707 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 1061 55491 SH OTR 55491 0 0 GOLUB CAP BDC INC COM 38173M102 3293 232876 SH OTR 0 0 232876 HOME DEPOT INC COM 437076102 1146 4315 SH SOLE 4315 0 0 HONEYWELL INTL INC COM 438516106 122 575 SH SOLE 575 0 0 ILLINOIS TOOL WKS INC COM 452308109 71 350 SH SOLE 350 0 0 INTEL CORP COM 458140100 90 1800 SH SOLE 1800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3208 25480 SH SOLE 25330 0 150 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 169 1550 SH SOLE 1550 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 287 12900 SH SOLE 0 0 12900 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 332 2600 SH SOLE 0 0 2600 ISHARES GOLD TRUST ISHARES 464285105 1498 82600 SH SOLE 82600 0 0 ISHARES INC CORE MSCI EMKT 46434G103 6874 110800 SH SOLE 0 0 110800 ISHARES INC CORE MSCI EMKT 46434G103 4771 76900 SH OTR 0 0 76900 ISHARES TR CORE HIGH DV ETF 46429B663 10871 124000 SH SOLE 116000 0 8000 ISHARES TR CORE MSCI EAFE 46432F842 6978 101000 SH OTR 0 0 101000 ISHARES TR CORE MSCI EAFE 46432F842 3358 48600 SH SOLE 0 0 48600 ISHARES TR CORE MSCI EURO 46434V738 15025 293000 SH SOLE 33100 0 259900 ISHARES TR CORE MSCI EURO 46434V738 7128 139000 SH OTR 0 0 139000 ISHARES TR CORE S&P MCP ETF 464287507 3105 13509 SH SOLE 0 0 13509 ISHARES TR CORE S&P SCP ETF 464287804 1594 17345 SH OTR 0 0 17345 ISHARES TR CORE S&P SCP ETF 464287804 1541 16763 SH SOLE 0 0 16763 ISHARES TR CORE S&P500 ETF 464287200 29205 77800 SH SOLE 18000 0 59800 ISHARES TR IBOXX HI YD ETF 464288513 2340 26800 SH SOLE 0 0 26800 ISHARES TR IBOXX INV CP ETF 464287242 3453 25000 SH SOLE 0 0 25000 ISHARES TR RUSSELL 2000 ETF 464287655 3973 20265 SH SOLE 5000 0 15265 ISHARES TR S&P 100 ETF 464287101 3347 19500 SH SOLE 19500 0 0 ISHARES TR SELECT DIVID ETF 464287168 272 2825 SH OTR 0 0 2825 ISHARES TR SELECT DIVID ETF 464287168 9888 102814 SH SOLE 36964 0 65850 JOHNSON & JOHNSON COM 478160104 4734 30077 SH SOLE 29927 0 150 JOHNSON CTLS INTL PLC SHS G51502105 1398 30012 SH SOLE 30012 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1288 92750 SH OTR 0 0 92750 JPMORGAN CHASE & CO COM 46625H100 10721 84372 SH SOLE 84072 0 300 KIMBERLY-CLARK CORP COM 494368103 148 1100 SH SOLE 1100 0 0 KINDER MORGAN INC DEL COM 49456B101 2041 149335 SH SOLE 148435 0 900 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 932 17200 SH SOLE 17200 0 0 LILLY ELI & CO COM 532457108 6544 38759 SH SOLE 38559 0 200 LOCKHEED MARTIN CORP COM 539830109 5199 14645 SH SOLE 14595 0 50 MARKEL CORP COM 570535104 155 150 SH SOLE 150 0 0 MARRIOTT INTL INC NEW CL A 571903202 79 600 SH SOLE 600 0 0 MCDONALDS CORP COM 580135101 6708 31260 SH SOLE 31110 0 150 MEDTRONIC PLC SHS G5960L103 2629 22444 SH SOLE 22444 0 0 MERCK & CO. INC COM 58933Y105 5269 64415 SH SOLE 64015 0 400 MICROSOFT CORP COM 594918104 15050 67667 SH SOLE 67467 0 200 MOLSON COORS BEVERAGE CO CL B 60871R209 4444 98330 SH SOLE 97830 0 500 MONDELEZ INTL INC CL A 609207105 1321 22585 SH SOLE 22585 0 0 NETSCOUT SYS INC COM 64115T104 107 3916 SH SOLE 3916 0 0 NEWMONT CORP COM 651639106 2138 35702 SH SOLE 35702 0 0 NORDSTROM INC COM 655664100 43 1370 SH SOLE 1370 0 0 NORTHERN TR CORP COM 665859104 238 2550 SH SOLE 2550 0 0 NOVARTIS AG SPONSORED ADR 66987V109 212 2250 SH SOLE 2250 0 0 OMNICOM GROUP INC COM 681919106 73 1175 SH SOLE 1175 0 0 ORACLE CORP COM 68389X105 179 2770 SH SOLE 2770 0 0 OTIS WORLDWIDE CORP COM 68902V107 9 133 SH SOLE 133 0 0 OUTFRONT MEDIA INC COM 69007J106 2436 124510 SH SOLE 123710 0 800 PAYPAL HLDGS INC COM 70450Y103 6629 28304 SH SOLE 28304 0 0 PEPSICO INC COM 713448108 6176 41646 SH SOLE 41446 0 200 PFIZER INC COM 717081103 5668 153982 SH SOLE 153282 0 700 PINNACLE WEST CAP CORP COM 723484101 3661 45785 SH SOLE 45485 0 300 PPL CORP COM 69351T106 2756 97720 SH SOLE 97120 0 600 PROCTER AND GAMBLE CO COM 742718109 8587 61710 SH SOLE 61460 0 250 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3755 64410 SH SOLE 63910 0 500 QUALCOMM INC COM 747525103 1284 8430 SH SOLE 8430 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 19 266 SH SOLE 266 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 2 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1760 50080 SH SOLE 49780 0 300 SEAGATE TECHNOLOGY PLC SHS G7945M107 662 10650 SH SOLE 10650 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 2482 65475 SH SOLE 51475 0 14000 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 952 32300 SH SOLE 32300 0 0 SOUTHERN CO COM 842587107 5412 88095 SH SOLE 87745 0 350 SPDR GOLD TR GOLD SHS 78463V107 2096 11752 SH SOLE 11752 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 18410 49241 SH OTR 0 0 49241 SPDR S&P 500 ETF TR TR UNIT 78462F103 78683 210449 SH SOLE 21471 0 188978 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 6368 15164 SH OTR 0 0 15164 SPDR SER TR BLOOMBERG BRCLYS 78468R622 3246 29800 SH SOLE 0 0 29800 SPDR SER TR NUVEEN BLMBRG SR 78468R739 2419 48582 SH SOLE 0 0 48582 SPDR SER TR PORTFOLIO LN COR 78464A367 99 3000 SH SOLE 0 0 3000 SPDR SER TR PORTFOLIO SHORT 78464A474 3003 95650 SH SOLE 0 0 95650 STARBUCKS CORP COM 855244109 909 8500 SH SOLE 8500 0 0 STRYKER CORPORATION COM 863667101 1666 6800 SH SOLE 6800 0 0 SYSCO CORP COM 871829107 5335 71850 SH SOLE 71400 0 450 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 1009 55426 SH SOLE 55426 0 0 TARGET CORP COM 87612E106 4279 24239 SH SOLE 24239 0 0 TJX COS INC NEW COM 872540109 1031 15100 SH SOLE 15100 0 0 T-MOBILE US INC COM 872590104 984 7300 SH SOLE 7300 0 0 TRUIST FINL CORP COM 89832Q109 112 2340 SH SOLE 2340 0 0 UNION PAC CORP COM 907818108 2290 11000 SH SOLE 11000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 327 1940 SH SOLE 1940 0 0 UNITEDHEALTH GROUP INC COM 91324P102 421 1200 SH SOLE 1200 0 0 US BANCORP DEL COM NEW 902973304 821309 17628443 SH DFND 01 02 0 17628443 0 US BANCORP DEL COM NEW 902973304 2040 43778 SH SOLE 43778 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 3012 17140 SH SOLE 0 0 17140 VANGUARD INDEX FDS MID CAP ETF 922908629 3740 18090 SH SOLE 0 0 18090 VANGUARD INDEX FDS SMALL CP ETF 922908751 6404 32895 SH SOLE 0 0 32895 VANGUARD INDEX FDS TOTAL STK MKT 922908769 13002 66800 SH SOLE 56000 0 10800 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1577 19820 SH OTR 0 0 19820 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 39524 406875 SH SOLE 0 406875 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 5358 99100 SH SOLE 0 99100 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 6575 71845 SH SOLE 47400 0 24445 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 1323 21775 SH SOLE 0 0 21775 VAREX IMAGING CORP COM 92214X106 7 400 SH SOLE 400 0 0 VARIAN MED SYS INC COM 92220P105 298 1700 SH SOLE 1700 0 0 VERISK ANALYTICS INC COM 92345Y106 6020 29000 SH OTR 29000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4224 71907 SH SOLE 71457 0 450 VIATRIS INC COM 92556V106 358 19089 SH SOLE 19003 0 86 VONTIER CORPORATION COM 928881101 2 58 SH SOLE 58 0 0 WABTEC COM 929740108 1 12 SH SOLE 12 0 0 WALMART INC COM 931142103 6670 46275 SH SOLE 45975 0 300 WASTE MGMT INC DEL COM 94106L109 236 2000 SH SOLE 2000 0 0 WELLS FARGO CO NEW COM 949746101 3594 119097 SH SOLE 118497 0 600 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 716 10796 SH OTR 10796 0 0 YUM CHINA HLDGS INC COM 98850P109 1136 19900 SH SOLE 19900 0 0