0001632078-19-000006.txt : 20190716 0001632078-19-000006.hdr.sgml : 20190716 20190716145906 ACCESSION NUMBER: 0001632078-19-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190716 DATE AS OF CHANGE: 20190716 EFFECTIVENESS DATE: 20190716 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: 19956969 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 06-30-2019 06-30-2019 Spectrum Asset Management, Inc. (NB/CA)
1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660
13F HOLDINGS REPORT 028-16433 N
Tony Jung COO 949-717-3400 Tony Jung Newport Beach CA 07-16-2019 0 82 159304 false
INFORMATION TABLE 2 F13F.xml 2Q 2019 13F HOLDINGS REPORT AT&T INC COM 00206R102 986 29414 SH DFND 18460 0 10954 ABBOTT LABORATORIES COM 002824100 1725 20513 SH DFND 13210 0 7303 ABBVIE INC COM 00287Y109 716 9840 SH DFND 6515 0 3325 SEMPRA SAVING PLAN COM 0038508AT 1009 10000 SH DFND 0 0 10000 SEMPRA SAVINGS PLAN COM 0038508BT 1719 10000 SH DFND 0 0 10000 ADOBE INC. COM 00724F101 538 1825 SH DFND 290 0 1535 ALPHABET CLASS A COM 02079K305 261 241 SH DFND 0 0 241 ALTRIA GROUP INC COM 02209S103 380 8018 SH DFND 0 0 8018 AMAZON.COM INC COM 023135106 492 260 SH DFND 47 0 213 AMPHENOL CORP CL A NEW COM 032095101 1018 10610 SH DFND 800 0 9810 ANTHEM INC COM 036752103 1328 4706 SH DFND 3535 0 1171 AURORA CANNABIS INC COM 05156X108 78 10000 SH DFND 0 0 10000 BP PLC ADR COM 055622104 494 11841 SH DFND 0 0 11841 BANK OF AMERICA CORP COM 060505104 1472 50773 SH DFND 32871 0 17902 BECTON DICKINSON& CO COM 075887109 1085 4305 SH DFND 330 0 3975 BERKSHIRE HATHAWAY NEW CLASS B COM 084670702 2463 11555 SH DFND 7670 0 3885 BERKSHIRE HTWY CL.A 100 SHS=1 WHOLE 084990175 955 300 SH DFND 0 0 300 CHEVRON CORP NEW COM 166764100 4205 33793 SH DFND 7285 0 26508 CISCO SYSTEMS INC COM 17275R102 2722 49744 SH DFND 16110 0 33634 COGNEX CORP COM 192422103 1042 21710 SH DFND 1700 0 20010 COSTCO WHSL CORP (NEW) COM 22160K105 1132 4285 SH DFND 330 0 3955 DANAHER CORP COM 235851102 1386 9695 SH DFND 730 0 8965 DEERE& CO COM 244199105 282 1700 SH DFND 0 0 1700 DIAGEO PLC ADR NEW COM 25243Q205 1699 9857 SH DFND 5510 0 4347 DISNEY WALT CO (HOLDING CO) COM 254687106 3239 23197 SH DFND 8650 0 14547 VANGUARD S&P 500 UCITS ETF USD COM 27399X646 324 5800 SH DFND 0 0 5800 EMERSON ELECTRIC CO COM 291011104 1184 17748 SH DFND 11660 0 6088 EXXON MOBIL CORP (NEW) COM 30231G102 2098 27376 SH DFND 11195 0 16181 FASTENAL CO COM 311900104 1041 31940 SH DFND 2400 0 29540 GAIA INC NEW CLASS A COM 36269P104 391 51600 SH DFND 0 0 51600 GILEAD SCIENCES INC COM 375558103 1900 28119 SH DFND 19545 0 8574 HEXCEL CORPORATION COM 428291108 1111 13735 SH DFND 1080 0 12655 HONEYWELL INTERNATIONAL INC COM 438516106 1905 10910 SH DFND 6286 0 4624 INTEL CORP COM 458140100 1768 36924 SH DFND 19741 0 17183 INTUIT INC COM 461202103 1091 4175 SH DFND 330 0 3845 iSHARES T-BOND 1-3 YRS FUND COM 464287457 532 6275 SH DFND 920 0 5355 iSHARES S&P MIDCAP 400 GRWTH COM 464287606 688 3040 SH DFND 55 0 2985 iSHARES CORE S&P SMALL-CAP ETF COM 464287804 4239 54151 SH DFND 1075 0 53076 iSHARES CORE HIGH DIV ETF COM 46429B663 4280 45287 SH DFND 875 0 44412 JPMORGAN CHASE& CO COM 46625H100 1593 14253 SH DFND 9245 0 5008 JOHNSON& JOHNSON COM 478160104 2023 14526 SH DFND 8125 0 6401 KIMBERLY CLARK CORP COM 494368103 1239 9297 SH DFND 7498 0 1799 LINCOLN CORE CAPITAL 5YR FIXED INDEX 533400LST 101 100000 SH DFND 0 0 100000 MARSH& MCLENNAN COS INC COM 571748102 1066 10690 SH DFND 800 0 9890 MASTERCARD INCORPORATED COM 57636Q104 1663 6285 SH DFND 370 0 5915 MERCK& CO. INC. COM 58933Y105 300 3575 SH DFND 0 0 3575 MICROSOFT CORP COM 594918104 4038 30142 SH DFND 11525 0 18617 MONDELEZ INTERNATIONAL INC COM 609207105 949 17610 SH DFND 12145 0 5465 MORNINGSTAR INC COM 617700109 260 1800 SH DFND 0 0 1800 NESTLE SA ADR COM 641069406 1216 11764 SH DFND 6040 0 5724 NORTHERN GRAPHITE CORP F COM 66516A105 2 20000 SH DFND 0 0 20000 PEPSICO INC COM 713448108 405 3091 SH DFND 0 0 3091 PFIZER INCORPORATION COM 717081103 2176 50235 SH DFND 20995 0 29240 PHILLIPS 66 COM 718546104 2238 23923 SH DFND 17325 0 6598 PROCTER AND GAMBLE COMPANY COM 742718109 1233 11248 SH DFND 6685 0 4563 RAYTHEON COMPANY NEW COM 755111507 3099 17825 SH DFND 9125 0 8700 ROYAL DUTCH SHELL PLC CL.B COM 780259107 330 5016 SH DFND 0 0 5016 SK TELECOM CO LTD ADR COM 78440P108 1315 53125 SH DFND 28000 0 25125 SPDR S&P 500 ETF COM 78462F103 337 1151 SH DFND 700 0 451 SPDW PORTFOLIO WORLD ex-US ETF COM 78463X889 1982 66989 SH DFND 1500 0 65489 SPDR S&P DIVIDEND ETF COM 78464A763 15467 153317 SH DFND 3030 0 150287 SPDR BARCLAYS 1-3 MO TBILL ETF COM 78468R663 764 8345 SH DFND 50 0 8295 SCHWAB US BROAD MKT ETF COM 808524102 6477 91828 SH DFND 2789 0 89039 SCHWAB US LARGE CAP GROWTH ETF COM 808524300 12642 151929 SH DFND 5040 0 146889 SCHWAB INTERNATIONAL EQTY ETF COM 808524805 7202 224425 SH DFND 6700 0 217725 SCHWAB S-T US TREASURY ETF COM 808524862 937 18530 SH DFND 0 0 18530 SECTOR SPDR ENERGY SELECT SHS COM 81369Y506 2907 45632 SH DFND 1045 0 44587 SEMPRA 2005 DCP COM 8168511AT 260 8757 SH DFND 0 0 8757 STRYKER CORP COM 863667101 1742 8475 SH DFND 310 0 8165 SYNOPSYS INC COM 871607107 409 3175 SH DFND 740 0 2435 UNITEDHEALTH GROUP INC COM 91324P102 2356 9657 SH DFND 3972 0 5685 VANGUARD FTSE DEVELOPED MKTS COM 921943858 1223 29316 SH DFND 1170 0 28146 VANGUARD MTG BACKED SEC ETF COM 92206C771 238 4500 SH DFND 0 0 4500 VANGUARD US LRG CAP GR IND ETF COM 922908736 6109 37390 SH DFND 170 0 37220 VANGUARD TOTAL STK MKT ETF COM 922908769 2564 17082 SH DFND 483 0 16599 VERIZON COMMUNICATIONS COM 92343V104 2010 35183 SH DFND 23049 0 12134 VISA, INC COM 92826C839 1302 7500 SH DFND 655 0 6845 WALMART, INC COM 931142103 1600 14485 SH DFND 1125 0 13360 WELLS FARGO& CO (NEW) COM 949746101 3176 67116 SH DFND 57631 0 9485 WISDOM TREE EMRG MKTS HI DIV COM 97717W315 5538 124010 SH DFND 2565 0 121445 ACCENTURE PLC CL.A COM G1151C101 1205 6520 SH DFND 470 0 6050 VANGUARD ALL-WORLD HI-DIV YLD COM G9T17W178 633 11500 SH DFND 0 0 11500