0001632078-19-000004.txt : 20190416 0001632078-19-000004.hdr.sgml : 20190416 20190416133903 ACCESSION NUMBER: 0001632078-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190416 DATE AS OF CHANGE: 20190416 EFFECTIVENESS DATE: 20190416 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: 19750599 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 03-31-2019 03-31-2019 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660

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INC. COM 58933Y105 297 3575 SH DFND 0 0 3575 MICROSOFT CORP COM 594918104 3614 30642 SH DFND 11535 0 19107 MONDELEZ INTERNATIONAL INC COM 609207105 880 17635 SH DFND 12170 0 5465 MORNINGSTAR INC COM 617700109 227 1800 SH DFND 0 0 1800 NESTLE SA ADR COM 641069406 1123 11779 SH DFND 6055 0 5724 NORTHERN GRAPHITE CORP F COM 66516A105 3 20000 SH DFND 0 0 20000 NVIDIA CORP COM 67066G104 1100 6125 SH DFND 470 0 5655 OCCIDENTAL PETROLEUM COM 674599105 244 3679 SH DFND 0 0 3679 PEPSICO INC COM 713448108 379 3091 SH DFND 0 0 3091 PFIZER INCORPORATION COM 717081103 2135 50275 SH DFND 21035 0 29240 PROCTER AND GAMBLE COMPANY COM 742718109 1179 11328 SH DFND 6685 0 4643 ROYAL DUTCH SHELL PLC CL.B COM 780259107 282 4416 SH DFND 0 0 4416 SK TELECOM CO LTD ADR COM 78440P108 1301 53125 SH DFND 28000 0 25125 SPDR S&P 500 ETF COM 78462F103 325 1151 SH DFND 700 0 451 SPDW PORTFOLIO WORLD ex-US ETF COM 78463X889 1930 66073 SH DFND 1605 0 64468 SPDR S&P DIVIDEND ETF COM 78464A763 15430 155211 SH DFND 3255 0 151956 SPDR BARCLAYS 1-3 MO TBILL ETF COM 78468R663 2822 30805 SH DFND 240 0 30565 SCHWAB US BROAD MKT ETF COM 808524102 6219 91391 SH DFND 2760 0 88631 SCHWAB US LARGE CAP GROWTH ETF COM 808524300 12186 153414 SH DFND 5040 0 148374 SCHWAB INTERNATIONAL EQTY ETF COM 808524805 6941 221679 SH DFND 7245 0 214434 SCHWAB S-T US TREASURY ETF COM 808524862 945 18830 SH DFND 0 0 18830 SECTOR SPDR ENERGY SELECT SHS COM 81369Y506 3117 47141 SH DFND 1045 0 46096 SEMPRA 2005 DCP COM 8168511AT 252 8757 SH DFND 0 0 8757 STRYKER CORP COM 863667101 1688 8545 SH DFND 310 0 8235 SYNOPSYS INC COM 871607107 375 3255 SH DFND 740 0 2515 UNITEDHEALTH GROUP INC COM 91324P102 1369 5537 SH DFND 3682 0 1855 VANGUARD FTSE DEVELOPED MKTS COM 921943858 1217 29786 SH DFND 1170 0 28616 VANGUARD US LRG CAP GR IND ETF COM 922908736 5885 37625 SH DFND 170 0 37455 VANGUARD TOTAL STK MKT ETF COM 922908769 2510 17345 SH DFND 533 0 16812 VERIZON COMMUNICATIONS COM 92343V104 1365 23083 SH DFND 11174 0 11909 VISA, INC COM 92826C839 1621 10380 SH DFND 705 0 9675 WALMART, INC COM 931142103 1422 14585 SH DFND 1125 0 13460 WELLS FARGO& CO (NEW) COM 949746101 3243 67116 SH DFND 57631 0 9485 WISDOM TREE EMRG MKTS HI DIV COM 97717W315 751 17135 SH DFND 260 0 16875 ACCENTURE PLC CL.A COM G1151C101 1156 6570 SH DFND 470 0 6100 ASML HOLDING NV COM N07059210 1007 5355 SH DFND 400 0 4955