0001214659-12-003191.txt : 20120726 0001214659-12-003191.hdr.sgml : 20120726 20120726171830 ACCESSION NUMBER: 0001214659-12-003191 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120726 DATE AS OF CHANGE: 20120726 EFFECTIVENESS DATE: 20120726 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BANTA ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0001426960 IRS NUMBER: 200875379 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12787 FILM NUMBER: 12988177 BUSINESS ADDRESS: STREET 1: 517 30TH STREET CITY: NEWPORT BEACH STATE: CA ZIP: 92663 BUSINESS PHONE: 949-673-9944 MAIL ADDRESS: STREET 1: 517 30TH STREET CITY: NEWPORT BEACH STATE: CA ZIP: 92663 13F-HR 1 c72512113fhr.txt REPORT FOR THE QUARTER ENDED JUNE 30, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2012 Check here if Amendment [ ]; Amendment Number: __ This Amendment (Check only one): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Banta Asset Managment, LP Address: 517 30th Street Newport Beach, CA 92663 Form 13F File Number: 28-12787 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Stephen M. Banta Title: Partner Phone: 949-673-9944 Signature, Place, and Date of Signing: /s/ Stephen M. Banta Newport Beach, CA 07/25/2012 ------------------------ ------------------------ -------------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 43 FORM 13F INFORMATION TABLE VALUE TOTAL: $48,704 (thousands) LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME
BANTA ASSET MANAGEMENT FORM 13F INFORMATION TABLE AS OF DATE: 06/30/12 VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 200 2235 SH SOLE 2235 0 0 AMGEN INC COM 031162100 245 3365 SH SOLE 3365 0 0 APPLE COMPUTER INC COM 037833100 568 973 SH SOLE 973 0 0 BANK OF AMERICA CORPORATION PF PREFERRED STOCKS 060505559 1223 47165 SH SOLE 47165 0 0 CITIGROUP CAP XI CAP TRUPS 6.0 PREFERRED STOCKS 17307Q205 431 17693 SH SOLE 17693 0 0 CITIGROUP CAP XIV TR PFD 6.875 PREFERRED STOCKS 17309E200 422 16950 SH SOLE 16950 0 0 CITIGROUP CAPITAL VII TRUPS 7. PREFERRED STOCKS 17306N203 668 26575 SH SOLE 26575 0 0 COCA COLA CO COM 191216100 223 2855 SH SOLE 2855 0 0 CONOCOPHILLIPS COM 20825C104 1538 27525 SH DEFINED 27495 30 0 CORTS TR II GOLDMAN SACHS CATR PREFERRED STOCKS 22082P208 809 32750 SH SOLE 32750 0 0 CORTS TR WEYERHAEUSER CO TR CT PREFERRED STOCKS 22082N203 417 16250 SH SOLE 16250 0 0 COUNTRYWIDE CAP V GTD CAP SEC PREFERRED STOCKS 222388209 480 19325 SH SOLE 19325 0 0 COVIDIEN PLC COM G2554F113 1722 32191 SH SOLE 32191 0 0 CUMMINS ENGINE INC COM 231021106 2160 22285 SH DEFINED 22265 20 0 DWS STRATEGIC GOVT SECS FD CL MUTUAL FUNDS 23338C108 154 17321 SH SOLE 17321 0 0 EATON CORP COM 278058102 1030 25995 SH SOLE 25995 0 0 EXXON MOBIL CORP COM 30231G102 212 2477 SH SOLE 2477 0 0 FIRST PACTRUST BANCORP INC COM COM 33589V101 1182 99690 SH DEFINED 99450 240 0 FREEPORT MCMORAN COPPER&GOLDCL COM 35671D857 1533 45010 SH DEFINED 44960 50 0 GENERAL ELEC CAP CORP NT 2033 PREFERRED STOCKS 369622493 438 16743 SH SOLE 16743 0 0 GLOBE SPECIALTY METALS INC COM COM 37954N206 1250 93055 SH DEFINED 92845 210 0 HALLIBURTON CO COM 406216101 907 31950 SH SOLE 31950 0 0 IBM COM 459200101 372 1902 SH SOLE 1902 0 0 ISHARES DJ US ENERGY COM 464287796 2028 52908 SH SOLE 52908 0 0 ISHARES TR MSCI EAFE INDEX COM 464287465 2116 42348 SH SOLE 42348 0 0 ISHARES TR S&P MIDCAP 400 COM 464287507 2183 23186 SH DEFINED 23151 35 0 ISHARES TR S&P SMLCAP 600 COM 464287804 2622 35791 SH SOLE 35791 0 0 ISHARES TR US PFD STK IDX PREFERRED STOCKS 464288687 5519 141401 SH SOLE 141401 0 0 JOY GLOBAL INC COM 481165108 1943 34250 SH DEFINED 34225 25 0 JP MORGAN CHASE CAP XVI PFD TR PREFERRED STOCKS 481228203 438 17325 SH SOLE 17325 0 0 NOVARTIS AG SPONSORED ADR COM 66987V109 1147 20515 SH DEFINED 20480 35 0 NUCOR CORP COM 670346105 1013 26735 SH SOLE 26735 0 0 PHILIP MORRIS INTL INC COM 718172109 279 3196 SH SOLE 3196 0 0 PHILLIPS 66 COM COM 718546104 1508 45370 SH DEFINED 45275 95 0 PROCTER & GAMBLE COMPANY COM 742718109 678 11076 SH SOLE 11076 0 0 PUBLIC STORAGE INC PFD 1/1000 PREFERRED STOCKS 74460D448 714 28500 SH SOLE 28500 0 0 QUALCOMM INC COM 747525103 1255 22535 SH DEFINED 22495 40 0 TEREX CORP NEW COM 880779103 2133 119630 SH DEFINED 119545 85 0 UNITED TECHNOLOGIES CORP COM 913017109 296 3925 SH SOLE 3925 0 0 VERIZON COMMUNICATIONS COM 92343V104 1414 31825 SH DEFINED 31775 50 0 WABCO HLDGS INC COM 92927K102 1231 23265 SH SOLE 23265 0 0 WELLS FARGO CAP VII TRUPS 5.85 PREFERRED STOCKS 94979B204 666 25793 SH SOLE 25793 0 0 ZIONS CAP TR B CAP SECS % PREFERRED STOCKS 989703202 1337 51550 SH SOLE 51550 0 0