0001632078-15-000008.txt : 20151019 0001632078-15-000008.hdr.sgml : 20151019 20151019131154 ACCESSION NUMBER: 0001632078-15-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151019 DATE AS OF CHANGE: 20151019 EFFECTIVENESS DATE: 20151019 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Spectrum Asset Management, Inc. (NB/CA) CENTRAL INDEX KEY: 0001632078 IRS NUMBER: 330171752 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16433 FILM NUMBER: 151163815 BUSINESS ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 970 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-717-3400 MAIL ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 970 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001632078 XXXXXXXX 09-30-2015 09-30-2015 Spectrum Asset Management, Inc. (NB/CA)
1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660
13F HOLDINGS REPORT 028-16433 N
Tony Jung Chief Operating Officer 949-717-3400 Tony Jung Newport Beach CA 10-19-2015 0 53 85333 false
INFORMATION TABLE 2 F13F.xml AT&T INC COM 00206R102 265 8124 SH DFND 0 0 8124 ALTRIA GROUP INC COM 02209S103 372 6834 SH DFND 0 0 6834 APPLE INC COM 037833100 1442 13071 SH DFND 0 0 13071 AXOGEN INC COM 05463X106 103 25000 SH DFND 0 0 25000 BERKSHIRE HATHAWAY NEW CLASS B COM 084670702 209 1600 SH DFND 0 0 1600 BERKSHIRE HTWY CL.A 100 SHS=1 WHOLE 084990175 586 300 SH DFND 0 0 300 CHEVRON CORP NEW COM 166764100 628 7959 SH DFND 0 0 7959 GUGGENHEIM BULLETSHS 2017 CORPORATE BOND ET 18383M548 1928 84980 SH DFND 0 0 84980 GUGGENHEIM BULLETSHS 2016 CORP BOND ETF 18383M555 9125 411220 SH DFND 7550 0 403670 GUGGENHEIM BULLETSHS 2015 CORP BOND ETF 18383M563 5304 245200 SH DFND 570 0 244630 DETTO TECHNOLOGIES INC COM 251463105 0 32000 SH DFND 0 0 32000 DISNEY WALT CO (HOLDING CO) COM 254687106 1048 10258 SH DFND 0 0 10258 VANGUARD S&P 500 UCITS ETF USD COM 27399X646 1336 37300 SH DFND 0 0 37300 EDISON INTERNATIONAL COM 281020107 233 3688 SH DFND 0 0 3688 EXXON MOBIL CORP (NEW) COM 30231G102 439 5911 SH DFND 0 0 5911 INTEL CORP COM 458140100 300 9970 SH DFND 0 0 9970 INVESTORS BANCORP INC COM 46146L101 1050 85100 SH DFND 0 0 85100 iSHARES RUSSELL MIDCAP GRWTH COM 464287481 274 3090 SH DFND 0 0 3090 iSHARES S&P MIDCAP 400 GRWTH COM 464287606 783 4985 SH DFND 60 0 4925 iSHARES S&P EURO 35O IDX COM 464287861 937 23555 SH DFND 170 0 23385 iSHS MSCI USA DIV IQ UCITS ETF COM 464288SST 430 18000 SH DFND 0 0 18000 iSHARES NASDAQ 100 UCITS ETF COM 464288STT 721 3200 SH DFND 0 0 3200 iSHS CHINA LRGE CAP UCITS ETF COM 464288YRT 359 3700 SH DFND 0 0 3700 iSHARES MSCI WORLD UCITS ETF COM 464288YWT 479 12500 SH DFND 0 0 12500 iSHARES MSCI CHINA COM 46429B671 3521 80370 SH DFND 450 0 79920 J2 GLOBAL COM 48123V102 1117 15770 SH DFND 0 0 15770 MARSH& MCLENNAN COS INC COM 571748102 973 18635 SH DFND 0 0 18635 MASTERCARD INCORPORATED COM 57636Q104 1135 12595 SH DFND 0 0 12595 MICROSOFT CORP COM 594918104 1297 29310 SH DFND 0 0 29310 NVR, INC COM 62944T105 682 447 SH DFND 0 0 447 NIKE INC CL B COM 654106103 215 1746 SH DFND 0 0 1746 NORTHERN GRAPHITE CORP F COM 66516A105 4 20000 SH DFND 0 0 20000 NOVAGOLD RES INC NEW F COM 66987E206 641 177500 SH DFND 0 0 177500 NOVO-NORDISK A S ADR COM 670100205 1287 23730 SH DFND 0 0 23730 ORANGE COUNTY BUS BANK COM 684193105 307 27832 SH DFND 0 0 27832 PFIZER INC COM 717081103 428 13616 SH DFND 0 0 13616 POWERSHARES QQQ COM 73935A104 8454 83080 SH DFND 540 0 82540 GUGGENHEIM S&P 500 EQUAL WEIGHT HEALTH CA 78355W841 874 6220 SH DFND 60 0 6160 SPDR S&P 500 ETF COM 78462F103 242 1263 SH DFND 0 0 1263 SPDR MSCI ACWI (ex-US) COM 78463X848 352 11564 SH DFND 0 0 11564 SPDR S&P HI YLD DIV ETF COM 78464A763 10604 146945 SH DFND 565 0 146380 SPDR S&P BANK ETF COM 78464A797 2597 78140 SH DFND 410 0 77730 ST JUDE MEDICAL INC COM 790849103 1102 17460 SH DFND 0 0 17460 HENRY SCHEIN INC COM 806407102 468 3525 SH DFND 0 0 3525 SCHWAB US BROAD MKT ETF COM 808524102 455 9800 SH DFND 0 0 9800 SCHWAB US LARGE CAP GROWTH ETF COM 808524300 7008 140215 SH DFND 280 0 139935 SECTOR SPDR FINCL SELECT SHS COM 81369Y605 4073 179745 SH DFND 1020 0 178725 STRYKER CORP COM 863667101 1174 12475 SH DFND 0 0 12475 TORCHMARK CORP COM 891027104 961 17045 SH DFND 0 0 17045 VANGUARD INTER-TRM BOND ETF COM 921937819 395 4650 SH DFND 0 0 4650 VANGUARD US LRG CAP GR IND ETF COM 922908736 4533 45195 SH DFND 0 0 45195 WELLS FARGO& CO (NEW) COM 949746101 1049 20435 SH DFND 0 0 20435 AVAGO TECHNOLOGIES LIMITED COM Y0486S104 1034 8270 SH DFND 0 0 8270