Managing Director and Chief Compliance Officer

0001126328-16-000594.txt : 20161110 0001126328-16-000594.hdr.sgml : 20161110 20161110122428 ACCESSION NUMBER: 0001126328-16-000594 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161110 EFFECTIVENESS DATE: 20161110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Spectrum Asset Management, Inc. CENTRAL INDEX KEY: 0001318293 IRS NUMBER: 061209521 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11300 FILM NUMBER: 161986931 BUSINESS ADDRESS: STREET 1: 2 HIGH RIDGE PARK CITY: STAMFORD STATE: CT ZIP: 06905 BUSINESS PHONE: 203-322-0189 MAIL ADDRESS: STREET 1: 2 HIGH RIDGE PARK CITY: STAMFORD STATE: CT ZIP: 06905 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001318293 XXXXXXXX 09-30-2016 09-30-2016 Spectrum Asset Management, Inc.

2 HIGH RIDGE PARK STAMFORD CT 06905

13F HOLDINGS REPORT 028-11300 N Joseph A. Hanczor Managing Director and Chief Compliance Officer 203-322-0189 Joseph A. Hanczor Stamford CT 11-04-2016 2 36 1110910 false 1 028-16475 SEI 2 028-15384 Qualcomm INFORMATION TABLE 2 spectrum093016.inftab.xml AUSTRALIA & NEW ZEALA BKG 14DEBT 4.400% 5/1Q0426RND61592115000000SHSOLE 1500000000BARCLAYS BANK PLCADR PFD SR 506739H362103939930SHDFND13993000BARCLAYS BANK PLCADR PFD SR 506739H36214462555577SHSOLE 55557700BARCLAYS BANK PLCSP ADR 7.1%PF306739H77640915867SHDFND11586700BARCLAYS BANK PLCSP ADR 7.1%PF306739H776281411092862SHSOLE 109286200BARCLAYS PLCNOTE 8.250%12/306738EAA338953900000SHDFND1390000000BARCLAYS PLCNOTE 8.250%12/306738EAA3154541154734000SHSOLE 15473400000BARCLAYS PLCPRFD 6.625%12/306738EAB18226090148000SHSOLE 9014800000BLACKROCK CR ALLCTN INC TRCOM09250810012904966571SHSOLE 96657100HANCOCK JOHN PFD INCOME FD ICOM41021P10312502646421SHSOLE 64642100HSBC HLDGS PLCADR A 1/40PF A404280604327601277204SHSOLE 127720400HSBC HLDGS PLCADR A 1/40PF A404280604182471103SHDFND17110300HSBC HLDGS PLCNOTE 6.875%12/3404280BC233283200000SHDFND1320000000HSBC HLDGS PLCNOTE 6.875%12/3404280BC252005000000SHDFND2500000000HSBC HLDGS PLCNOTE 6.875%12/3404280BC2134269129105000SHSOLE 12910500000ING GROEP N VDBCV 6.500%12/3456837AF05283154500000SHSOLE 5450000000KEYCORP NEWPFD 7.75% SR A4932674056835000SHDFND1500000KEYCORP NEWPFD 7.75% SR A49326740510727850SHSOLE 785000LLOYDS BANKING GROUP PLCSDCV 7.500%12/3539439AG4197547191292000SHSOLE 19129200000LLOYDS BANKING GROUP PLCSDCV 7.500%12/3539439AG410331000000SHDFND2100000000NATIONAL WESTMINSTER BK PLCSPON ADR C6385398822569963SHDFND1996300NATIONAL WESTMINSTER BK PLCSPON ADR C63853988231812353SHSOLE 1235300ROYAL BK OF SCOTLAND PLCDEBT 7.500%12/3780099CJ4642700000SHDFND170000000ROYAL BK OF SCOTLAND PLCDEBT 7.500%12/3780099CJ473408000000SHDFND2800000000ROYAL BK OF SCOTLAND PLCDEBT 7.500%12/3780099CJ4141919154680000SHSOLE 15468000000ROYAL BK OF SCOTLAND PLCNOTE 8.000%12/3780099CK13243034500000SHSOLE 3450000000ROYAL BK OF SCOTLAND PLCNOTE 8.000%12/3780099CK1188200000SHDFND120000000ROYAL BK SCOTLAND GROUP PLCSP ADR PREF S78009773951820504SHSOLE 2050400ROYAL BK SCOTLAND GROUP PLCSP ADR L RP PF780097788271051080737SHSOLE 108073700ROYAL BK SCOTLAND GROUP PLCSP ADR L RP PF7800977884020160293SHDFND116029300ROYAL BK SCOTLAND GROUP PLCSPON ADR SER H780097879122548145SHSOLE 4814500ROYAL BK SCOTLAND GROUP PLCNOTE 8.625%12/3780097BB619582000000SHDFND2200000000ROYAL BK SCOTLAND GROUP PLCNOTE 8.625%12/3780097BB61957520000000SHSOLE 2000000000STANDARD CHARTERED PLCDEBT 6.500%12/3G84228CE6930210000000SHSOLE 1000000000WELLS FARGO & CO NEWPERP PFD CNV A94974680410374779240SHSOLE 7924000WELLS FARGO & CO NEWPERP PFD CNV A94974680437462861SHDFND1286100