0001632078-19-000010.txt : 20191115 0001632078-19-000010.hdr.sgml : 20191115 20191115132245 ACCESSION NUMBER: 0001632078-19-000010 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191115 EFFECTIVENESS DATE: 20191115 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16433 FILM NUMBER: 191223451 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/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001632078 XXXXXXXX 09-30-2019 09-30-2019 true 1 RESTATEMENT Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 Y Proxy voting authority breakdown was inaccurate in our previous filing and amended accordingly. Tony Jung 949-717-3400 Tony Jung Newport Beach CA 11-15-2019 0 82 156223 false INFORMATION TABLE 2 F13F.xml AMENDED 3Q 2019 13F HOLDINGS REPORT AT&T INC COM 00206R102 1113 29414 SH DFND 28989 0 425 ABBOTT LABORATORIES COM 002824100 1710 20438 SH SOLE 20438 0 0 ABBVIE INC COM 00287Y109 2523 33315 SH SOLE 33315 0 0 SEMPRA SAVING PLAN COM 0038508AT 1035 10000 SH SOLE 10000 0 0 SEMPRA SAVINGS PLAN COM 0038508BT 1738 10000 SH SOLE 10000 0 0 ACREAGE HOLDINGS INC COM 00489Y402 84 11350 SH SOLE 11350 0 0 ADOBE INC. COM 00724F101 504 1825 SH SOLE 1825 0 0 ALPHABET CLASS A COM 02079K305 294 241 SH SOLE 241 0 0 ALTRIA GROUP INC COM 02209S103 328 8018 SH DFND 7893 0 125 AMAZON.COM INC COM 023135106 451 260 SH SOLE 260 0 0 ANTHEM INC COM 036752103 1130 4706 SH SOLE 4706 0 0 BP PLC ADR COM 055622104 450 11841 SH SOLE 11841 0 0 BECTON DICKINSON& CO COM 075887109 1085 4290 SH SOLE 4290 0 0 BERKSHIRE HATHAWAY NEW CLASS B COM 084670702 2404 11555 SH SOLE 11555 0 0 BERKSHIRE HTWY CL.A 100 SHS=1 WHOLE 084990175 935 300 SH SOLE 300 0 0 CHEVRON CORP NEW COM 166764100 4004 33758 SH DFND 33643 0 115 CISCO SYSTEMS INC COM 17275R102 2454 49664 SH DFND 49339 0 325 COGNEX CORP COM 192422103 2955 60150 SH SOLE 60150 0 0 COSTCO WHSL CORP (NEW) COM 22160K105 1230 4270 SH SOLE 4270 0 0 DANAHER CORP COM 235851102 1394 9655 SH SOLE 9655 0 0 DEERE& CO COM 244199105 287 1700 SH SOLE 1700 0 0 DIAGEO PLC ADR NEW COM 25243Q205 1612 9857 SH DFND 9767 0 90 DISNEY WALT CO (HOLDING CO) COM 254687106 3020 23173 SH SOLE 23173 0 0 VANGUARD S&P 500 UCITS ETF USD COM 27399X646 328 5800 SH SOLE 5800 0 0 EMERSON ELECTRIC CO COM 291011104 1439 21523 SH SOLE 21523 0 0 EXXON MOBIL CORP (NEW) COM 30231G102 1934 27387 SH DFND 27222 0 165 FASTENAL CO COM 311900104 1040 31820 SH SOLE 31820 0 0 GAIA INC NEW CLASS A COM 36269P104 337 51600 SH SOLE 51600 0 0 GILEAD SCIENCES INC COM 375558103 1821 28726 SH SOLE 28726 0 0 HEXCEL CORPORATION COM 428291108 1124 13685 SH SOLE 13685 0 0 HONEYWELL INTERNATIONAL INC COM 438516106 2801 16555 SH SOLE 16555 0 0 INTEL CORP COM 458140100 1786 34664 SH DFND 34439 0 225 INVESCO QQQ TR COM 46090E103 255 1349 SH SOLE 1349 0 0 INTUIT INC COM 461202103 1106 4160 SH SOLE 4160 0 0 iSHARES T-BOND 1-3 YRS FUND COM 464287457 513 6050 SH SOLE 6050 0 0 iSHARES S&P MIDCAP 400 GRWTH COM 464287606 685 3060 SH SOLE 3060 0 0 iSHARES CORE HIGH DIV ETF COM 46429B663 4291 45567 SH SOLE 45567 0 0 JPMORGAN CHASE& CO COM 46625H100 1700 14448 SH DFND 14303 0 145 KIMBERLY CLARK CORP COM 494368103 1321 9297 SH DFND 9217 0 80 LINCOLN CORE CAPITAL 5YR FIXED INDEX 533400LST 102 100000 SH SOLE 100000 0 0 MASTERCARD INCORPORATED COM 57636Q104 1705 6280 SH SOLE 6280 0 0 MERCK& CO. INC. COM 58933Y105 301 3575 SH DFND 3385 0 190 MICROSOFT CORP COM 594918104 4178 30052 SH DFND 29962 0 90 MONDELEZ INTERNATIONAL INC COM 609207105 974 17610 SH SOLE 17610 0 0 MORNINGSTAR INC COM 617700109 263 1800 SH SOLE 1800 0 0 NESTLE SA ADR COM 641069406 1275 11764 SH SOLE 11764 0 0 NOKIA CORP SPONSORED ADR COM 654902204 944 186530 SH SOLE 186530 0 0 NORTHERN GRAPHITE CORP F COM 66516A105 1 20000 SH SOLE 20000 0 0 NORTHROP GRUMMAN CORP COM 666807102 215 574 SH SOLE 574 0 0 PEPSICO INC COM 713448108 424 3091 SH SOLE 3091 0 0 PFIZER INCORPORATION COM 717081103 1805 50235 SH DFND 49910 0 325 PHILLIPS 66 COM 718546104 2450 23923 SH SOLE 23923 0 0 PROCTER AND GAMBLE COMPANY COM 742718109 1320 10613 SH SOLE 10613 0 0 RAYTHEON COMPANY NEW COM 755111507 3493 17805 SH DFND 17740 0 65 ROYAL DUTCH SHELL PLC CL.B COM 780259107 300 5016 SH DFND 4881 0 135 SK TELECOM CO LTD ADR COM 78440P108 1179 53125 SH SOLE 53125 0 0 SPDR S&P 500 ETF COM 78462F103 342 1151 SH SOLE 1151 0 0 SPDW PORTFOLIO WORLD ex-US ETF COM 78463X889 2105 71704 SH SOLE 71704 0 0 SPDR S&P DIVIDEND ETF COM 78464A763 15931 155271 SH SOLE 155271 0 0 SPDR BARCLAYS 1-3 MO TBILL ETF COM 78468R663 1094 11945 SH SOLE 11945 0 0 SCHWAB US BROAD MKT ETF COM 808524102 6419 90383 SH SOLE 90383 0 0 SCHWAB US LARGE CAP GROWTH ETF COM 808524300 12690 151052 SH SOLE 151052 0 0 SCHWAB INTERNATIONAL EQTY ETF COM 808524805 7056 221453 SH SOLE 221453 0 0 SCHWAB S-T US TREASURY ETF COM 808524862 926 18300 SH SOLE 18300 0 0 SECTOR SPDR ENERGY SELECT SHS COM 81369Y506 2696 45534 SH SOLE 45534 0 0 SEMPRA 2005 DCP COM 8168511AT 264 8757 SH SOLE 8757 0 0 STRYKER CORP COM 863667101 1818 8405 SH SOLE 8405 0 0 SYNOPSYS INC COM 871607107 436 3175 SH SOLE 3175 0 0 TEXAS INSTRUMENTS INCORPORATED COM 882508104 220 1700 SH SOLE 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1600 7362 SH SOLE 7362 0 0 VANGUARD FTSE SOCIAL INDEX FD COM 921910717 226 8174 SH SOLE 8174 0 0 VANGUARD FTSE DEVELOPED MKTS COM 921943858 1204 29316 SH SOLE 29316 0 0 VANGUARD MTG BACKED SEC ETF COM 92206C771 255 4779 SH SOLE 4779 0 0 VANGUARD US LRG CAP GR IND ETF COM 922908736 6274 37730 SH SOLE 37730 0 0 VANGUARD TOTAL STK MKT ETF COM 922908769 2619 17342 SH SOLE 17342 0 0 VERIZON COMMUNICATIONS COM 92343V104 2124 35183 SH SOLE 35183 0 0 VISA, INC COM 92826C839 1286 7475 SH SOLE 7475 0 0 WALMART, INC COM 931142103 1714 14445 SH SOLE 14445 0 0 WELLS FARGO& CO (NEW) COM 949746101 3614 71656 SH DFND 71471 0 185 WISDOM TREE EMRG MKTS HI DIV COM 97717W315 5285 127923 SH SOLE 127923 0 0 ACCENTURE PLC CL.A COM G1151C101 1249 6495 SH SOLE 6495 0 0 VANGUARD ALL-WORLD HI-DIV YLD COM G9T17W178 626 11500 SH SOLE 11500 0 0