Managing Director and Chief Compliance Officer

0001126328-17-000122.txt : 20170511 0001126328-17-000122.hdr.sgml : 20170511 20170511124659 ACCESSION NUMBER: 0001126328-17-000122 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170511 DATE AS OF CHANGE: 20170511 EFFECTIVENESS DATE: 20170511 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: 17833325 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 03-31-2017 03-31-2017 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 05-08-2017 1 26 1080272 false 1 028-16475 SEI INFORMATION TABLE 2 spectrum033117.inftab.xml AUSTRALIA & NEW ZEALA BKG 14DEBT 4.400% 5/1Q0426RND61538915000000SHSOLE 1500000000BARCLAYS BANK PLCADR PFD SR 506739H362196475944SHSOLE 7594400BARCLAYS PLCNOTE 8.250%12/306738EAA3154856147369000SHSOLE 14736900000BARCLAYS PLCNOTE 6.625%12/306738EAB15304753191000SHSOLE 5319100000BLACKROCK CR ALLCTN INC TRCOM09250810012720966571SHSOLE 96657100HANCOCK JOHN PFD INCOME FD ICOM41021P10311920646421SHSOLE 64642100HSBC HLDGS PLCADR A 1/40PF A404280604176067958SHDFND16795800HSBC HLDGS PLCADR A 1/40PF A40428060424915961950SHSOLE 96195000HSBC HLDGS PLCNOTE 6.875%12/3404280BC2181215170155000SHSOLE 17015500000ING GROEP N VDBCV 6.500%12/3456837AF05414654500000SHSOLE 5450000000ISHARES TRU.S. PFD STK ETF46428868742611017SHSOLE 1101700LLOYDS BANKING GROUP PLCSDCV 7.500%12/3539439AG4186869176692000SHSOLE 17669200000NATIONAL WESTMINSTER BK PLCSPON ADR C63853988232212353SHSOLE 1235300NATIONAL WESTMINSTER BK PLCSPON ADR C6385398822599963SHDFND1996300ROYAL BK OF SCOTLAND PLCDEBT 7.500%12/3780099CJ4142888144880000SHSOLE 14488000000ROYAL BK OF SCOTLAND PLCNOTE 8.000%12/3780099CK13432434500000SHSOLE 3450000000ROYAL BK SCOTLAND GROUP PLCSP ADR PREF S780097739119547130SHSOLE 4713000ROYAL BK SCOTLAND GROUP PLCSP ADR L RP PF7800977884017160293SHDFND116029300ROYAL BK SCOTLAND GROUP PLCSP ADR L RP PF780097788326041300988SHSOLE 130098800ROYAL BK SCOTLAND GROUP PLCSPON ADR SER H78009787998138115SHSOLE 3811500ROYAL BK SCOTLAND GROUP PLCNOTE 8.625%12/3780097BB62919028000000SHSOLE 2800000000STANDARD CHARTERED PLCDEBT 6.500%12/3G84228CE6982610000000SHSOLE 1000000000STANDARD CHARTERED PLCDEBT 7.500%12/3G84228CQ982648000000SHSOLE 800000000STANDARD CHARTERED PLCDEBT 7.750%12/3G84228CX41545015000000SHSOLE 1500000000WELLS FARGO & CO NEWPERP PFD CNV A9497468049818079240SHSOLE 7924000WELLS FARGO & CO NEWPERP PFD CNV A94974680435452861SHDFND1286100