0001632078-19-000002.txt : 20190128 0001632078-19-000002.hdr.sgml : 20190128 20190128163336 ACCESSION NUMBER: 0001632078-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190128 DATE AS OF CHANGE: 20190128 EFFECTIVENESS DATE: 20190128 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: 19545884 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 true 0001632078 XXXXXXXX 12-31-2018 12-31-2018 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Achara Chau 949-717-3400 Achara Chau Newport Beach CA 01-28-2019 0 74 126057 false INFORMATION TABLE 2 F13F.xml 4Q 2018 13F HOLDINGS REPORT AT&T INC COM 00206R102 832 29144 SH DFND 18460 0 10684 ABBOTT LABORATORIES COM 002824100 1497 20698 SH DFND 13395 0 7303 ABBVIE INC COM 00287Y109 909 9860 SH DFND 6535 0 3325 ADOBE INC. COM 00724F101 356 1575 SH DFND 130 0 1445 ALPHABET CLASS C COM 02079K107 508 491 SH DFND 65 0 426 ALPHABET CLASS A COM 02079K305 252 241 SH DFND 0 0 241 ALTRIA GROUP INC COM 02209S103 260 5268 SH DFND 0 0 5268 AMAZON.COM INC COM 023135106 395 263 SH DFND 45 0 218 ANTHEM INC COM 036752103 1547 5891 SH DFND 3955 0 1936 BP PLC ADR COM 055622104 446 11766 SH DFND 0 0 11766 BANK OF AMERICA CORP COM 060505104 1187 48188 SH DFND 32636 0 15552 BERKSHIRE HATHAWAY NEW CLASS B COM 084670702 1635 8006 SH DFND 4155 0 3851 BERKSHIRE HTWY CL.A 100 SHS=1 WHOLE 084990175 918 300 SH DFND 0 0 300 BOEING COMPANY COM 097023105 221 685 SH DFND 0 0 685 BRISTOL-MYERS SQUIBB CO COM 110122108 704 13549 SH DFND 12150 0 1399 CHEVRON CORP NEW COM 166764100 3610 33183 SH DFND 7185 0 25998 CISCO SYSTEMS INC COM 17275R102 1947 44934 SH DFND 16210 0 28724 CITRIX SYSTEMS INC COM 177376100 969 9460 SH DFND 550 0 8910 COSTCO WHSL CORP (NEW) COM 22160K105 1046 5135 SH DFND 280 0 4855 DANAHER CORP COM 235851102 1008 9775 SH DFND 730 0 9045 DEERE& CO COM 244199105 254 1700 SH DFND 0 0 1700 DETTO TECHNOLOGIES INC COM 251463105 0 32000 SH DFND 0 0 32000 DIAGEO PLC ADR NEW COM 25243Q205 1557 10977 SH DFND 5755 0 5222 DISNEY WALT CO (HOLDING CO) COM 254687106 2526 23037 SH DFND 8675 0 14362 EMERSON ELECTRIC CO COM 291011104 1058 17703 SH DFND 11615 0 6088 EXXON MOBIL CORP (NEW) COM 30231G102 720 10560 SH DFND 485 0 10075 FLUOR CORPORATION NEW COM 343412102 225 7000 SH SOLE 7000 0 0 GAIA INC NEW CLASS A COM 36269P104 535 51600 SH DFND 0 0 51600 GILEAD SCIENCES INC COM 375558103 1564 24999 SH DFND 19575 0 5424 HONEYWELL INTERNATIONAL INC COM 438516106 1453 11000 SH DFND 6376 0 4624 INTEL CORP COM 458140100 1726 36779 SH DFND 20751 0 16028 INTUIT INC COM 461202103 1181 6000 SH DFND 350 0 5650 INTUITIVE SURGICAL NEW COM 46120E602 392 818 SH DFND 85 0 733 INVESCO S&P 500 EQ WT HEALTH COM 46137V332 1254 7062 SH DFND 190 0 6872 iSHARES T-BOND 1-3 YRS FUND COM 464287457 529 6325 SH DFND 970 0 5355 iSHARES S&P MIDCAP 400 GRWTH COM 464287606 997 5214 SH DFND 155 0 5059 iSHARES CORE S&P SMALL-CAP ETF COM 464287804 6397 92288 SH DFND 1780 0 90508 iSHARES CORE HIGH DIV ETF COM 46429B663 1234 14620 SH DFND 375 0 14245 JPMORGAN CHASE& CO COM 46625H100 1366 13998 SH DFND 9340 0 4658 JOHNSON& JOHNSON COM 478160104 1677 12996 SH DFND 8140 0 4856 KIMBERLY CLARK CORP COM 494368103 1360 11937 SH DFND 10138 0 1799 MARKEL CORP COM 570535104 1297 1249 SH DFND 880 0 369 MASTERCARD INCORPORATED COM 57636Q104 1160 6150 SH DFND 330 0 5820 MERCK& CO. INC. COM 58933Y105 296 3875 SH DFND 300 0 3575 MICROSOFT CORP COM 594918104 3310 32592 SH DFND 11760 0 20832 MONDELEZ INTERNATIONAL INC COM 609207105 708 17690 SH DFND 12225 0 5465 NESTLE SA ADR COM 641069406 1612 19916 SH DFND 14192 0 5724 NORTHERN GRAPHITE CORP F COM 66516A105 2 20000 SH DFND 0 0 20000 PEPSICO INC COM 713448108 342 3091 SH DFND 0 0 3091 PFIZER INCORPORATION COM 717081103 2186 50075 SH DFND 20710 0 29365 PROCTER AND GAMBLE COMPANY COM 742718109 1334 14508 SH DFND 9865 0 4643 QUALCOMM INC COM 747525103 948 16656 SH DFND 11130 0 5526 ROYAL DUTCH SHELL PLC CL.B COM 780259107 265 4416 SH DFND 0 0 4416 SPDR S&P 500 ETF COM 78462F103 295 1181 SH DFND 730 0 451 SPDW PORTFOLIO WORLD ex-US ETF COM 78463X889 1526 57683 SH DFND 755 0 56928 SPDR S&P DIVIDEND ETF COM 78464A763 15779 176263 SH DFND 3615 0 172648 SPDR BARCLAYS 1-3 MO TBILL ETF COM 78468R663 2817 30805 SH DFND 240 0 30565 SCHWAB US BROAD MKT ETF COM 808524102 5280 88099 SH DFND 2860 0 85239 SCHWAB US LARGE CAP GROWTH ETF COM 808524300 10061 145959 SH DFND 4650 0 141309 SCHWAB INTERNATIONAL EQTY ETF COM 808524805 5912 208524 SH DFND 6875 0 201649 SCHWAB S-T US TREASURY ETF COM 808524862 865 17340 SH DFND 0 0 17340 SECTOR SPDR ENERGY SELECT SHS COM 81369Y506 2535 44205 SH DFND 995 0 43210 STRYKER CORP COM 863667101 1352 8625 SH DFND 310 0 8315 UNION PACIFIC CORPORATION COM 907818108 263 1900 SH DFND 0 0 1900 UNITEDHEALTH GROUP INC COM 91324P102 1417 5687 SH DFND 3832 0 1855 VANGUARD FTSE DEVELOPED MKTS COM 921943858 1162 31334 SH DFND 1145 0 30189 VANGUARD US LRG CAP GR IND ETF COM 922908736 4955 36885 SH DFND 170 0 36715 VANGUARD TOTAL STK MKT ETF COM 922908769 2093 16402 SH DFND 193 0 16209 VERIZON COMMUNICATIONS COM 92343V104 994 17683 SH DFND 11324 0 6359 VISA, INC COM 92826C839 1333 10100 SH DFND 505 0 9595 WALMART, INC COM 931142103 1376 14770 SH DFND 1250 0 13520 WELLS FARGO& CO (NEW) COM 949746101 2933 63641 SH DFND 55431 0 8210 AON PLC CLASS A COM G0408V102 999 6875 SH DFND 4325 0 2550 CHUBB LTD COM COM H1467J104 398 3081 SH DFND 2986 0 95