Managing Director and Chief Compliance Officer

0001126328-17-000039.txt : 20170213 0001126328-17-000039.hdr.sgml : 20170213 20170213124311 ACCESSION NUMBER: 0001126328-17-000039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170213 DATE AS OF CHANGE: 20170213 EFFECTIVENESS DATE: 20170213 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: 17597453 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 12-31-2016 12-31-2016 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 02-06-2017 2 38 1144950 false 1 028-16475 SEI 2 028-15384 Qualcomm INFORMATION TABLE 2 spectrum123116.inftab.xml AUSTRALIA & NEW ZEALA BKG 14DEBT 4.400% 5/1Q0426RND61519115000000SHSOLE 1500000000BARCLAYS BANK PLCADR PFD SR 506739H362102039930SHDFND13993000BARCLAYS BANK PLCADR PFD SR 506739H36213690536007SHSOLE 53600700BARCLAYS BANK PLCSP ADR 7.1%PF306739H77640315867SHDFND11586700BARCLAYS BANK PLCSP ADR 7.1%PF306739H776273721078503SHSOLE 107850300BARCLAYS PLCNOTE 8.250%12/306738EAA340573900000SHDFND1390000000BARCLAYS PLCNOTE 8.250%12/306738EAA3151195145335000SHSOLE 14533500000BARCLAYS PLCNOTE 6.625%12/306738EAB18399189698000SHSOLE 8969800000BLACKROCK CR ALLCTN INC TRCOM09250810012536966571SHSOLE 96657100HANCOCK JOHN PFD INCOME FD ICOM41021P10311468646421SHSOLE 64642100HSBC HLDGS PLCADR A 1/40PF A404280604299771189566SHSOLE 118956600HSBC HLDGS PLCADR A 1/40PF A404280604171868158SHDFND16815800HSBC HLDGS PLCNOTE 6.875%12/3404280BC284408000000SHDFND1800000000HSBC HLDGS PLCNOTE 6.875%12/3404280BC252755000000SHDFND2500000000HSBC HLDGS PLCNOTE 6.875%12/3404280BC2167856159105000SHSOLE 15910500000ING GROEP N VDBCV 6.500%12/3456837AF05255854500000SHSOLE 5450000000ISHARES TRIBOXX INV CP ETF4642872425154397SHSOLE 439700ISHARES TRU.S. PFD STK ETF46428868717575472317SHSOLE 47231700KEYCORP NEWPFD 7.75% SR A49326740510597841SHSOLE 784100KEYCORP NEWPFD 7.75% SR A4932674056755000SHDFND1500000LLOYDS BANKING GROUP PLCSDCV 7.500%12/3539439AG410301000000SHDFND2100000000LLOYDS BANKING GROUP PLCSDCV 7.500%12/3539439AG4195383189692000SHSOLE 18969200000NATIONAL WESTMINSTER BK PLCSPON ADR C6385398822559963SHDFND1996300NATIONAL WESTMINSTER BK PLCSPON ADR C63853988231712353SHSOLE 1235300ROYAL BK OF SCOTLAND PLCDEBT 7.500%12/3780099CJ4663700000SHDFND170000000ROYAL BK OF SCOTLAND PLCDEBT 7.500%12/3780099CJ418952000000SHDFND2200000000ROYAL BK OF SCOTLAND PLCDEBT 7.500%12/3780099CJ4138885146580000SHSOLE 14658000000ROYAL BK OF SCOTLAND PLCNOTE 8.000%12/3780099CK1192200000SHDFND120000000ROYAL BK OF SCOTLAND PLCNOTE 8.000%12/3780099CK13303434500000SHSOLE 3450000000ROYAL BK SCOTLAND GROUP PLCSP ADR PREF S780097739112644956SHSOLE 4495600ROYAL BK SCOTLAND GROUP PLCSP ADR L RP PF7800977883815160293SHDFND116029300ROYAL BK SCOTLAND GROUP PLCSP ADR L RP PF780097788313091315504SHSOLE 131550400ROYAL BK SCOTLAND GROUP PLCSPON ADR SER H780097879120447605SHSOLE 4760500ROYAL BK SCOTLAND GROUP PLCNOTE 8.625%12/3780097BB620402000000SHDFND2200000000ROYAL BK SCOTLAND GROUP PLCNOTE 8.625%12/3780097BB62040020000000SHSOLE 2000000000STANDARD CHARTERED PLCDEBT 6.500%12/3G84228CE6913010000000SHSOLE 1000000000WELLS FARGO & CO NEWPERP PFD CNV A9497468049429679240SHSOLE 7924000WELLS FARGO & CO NEWPERP PFD CNV A94974680434052861SHDFND1286100