0001632078-19-000008.txt : 20191024 0001632078-19-000008.hdr.sgml : 20191024 20191024144825 ACCESSION NUMBER: 0001632078-19-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191024 DATE AS OF CHANGE: 20191024 EFFECTIVENESS DATE: 20191024 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: 191166145 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 false false 0001632078 XXXXXXXX 09-30-2019 09-30-2019 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Tony Jung 949-717-3400 Tony Jung Newport Beach CA 10-24-2019 0 82 156223 false INFORMATION TABLE 2 F13F.xml 3Q 2019 13F HOLDINGS REPORT AT&T INC COM 00206R102 1113 29414 SH DFND 18460 0 10954 ABBOTT LABORATORIES COM 002824100 1710 20438 SH DFND 13135 0 7303 ABBVIE INC COM 00287Y109 2523 33315 SH DFND 24640 0 8675 SEMPRA SAVING PLAN COM 0038508AT 1035 10000 SH DFND 0 0 10000 SEMPRA SAVINGS PLAN COM 0038508BT 1738 10000 SH DFND 0 0 10000 ACREAGE HOLDINGS INC COM 00489Y402 84 11350 SH DFND 0 0 11350 ADOBE INC. COM 00724F101 504 1825 SH DFND 290 0 1535 ALPHABET CLASS A COM 02079K305 294 241 SH DFND 0 0 241 ALTRIA GROUP INC COM 02209S103 328 8018 SH DFND 0 0 8018 AMAZON.COM INC COM 023135106 451 260 SH DFND 47 0 213 ANTHEM INC COM 036752103 1130 4706 SH DFND 3535 0 1171 BP PLC ADR COM 055622104 450 11841 SH DFND 0 0 11841 BECTON DICKINSON& CO COM 075887109 1085 4290 SH DFND 330 0 3960 BERKSHIRE HATHAWAY NEW CLASS B COM 084670702 2404 11555 SH DFND 7670 0 3885 BERKSHIRE HTWY CL.A 100 SHS=1 WHOLE 084990175 935 300 SH DFND 0 0 300 CHEVRON CORP NEW COM 166764100 4004 33758 SH DFND 7285 0 26473 CISCO SYSTEMS INC COM 17275R102 2454 49664 SH DFND 16110 0 33554 COGNEX CORP COM 192422103 2955 60150 SH DFND 32525 0 27625 COSTCO WHSL CORP (NEW) COM 22160K105 1230 4270 SH DFND 330 0 3940 DANAHER CORP COM 235851102 1394 9655 SH DFND 730 0 8925 DEERE& CO COM 244199105 287 1700 SH DFND 0 0 1700 DIAGEO PLC ADR NEW COM 25243Q205 1612 9857 SH DFND 5510 0 4347 DISNEY WALT CO (HOLDING CO) COM 254687106 3020 23173 SH DFND 8650 0 14523 VANGUARD S&P 500 UCITS ETF USD COM 27399X646 328 5800 SH DFND 0 0 5800 EMERSON ELECTRIC CO COM 291011104 1439 21523 SH DFND 14660 0 6863 EXXON MOBIL CORP (NEW) COM 30231G102 1934 27387 SH DFND 11195 0 16192 FASTENAL CO COM 311900104 1040 31820 SH DFND 2400 0 29420 GAIA INC NEW CLASS A COM 36269P104 337 51600 SH DFND 0 0 51600 GILEAD SCIENCES INC COM 375558103 1821 28726 SH DFND 19545 0 9181 HEXCEL CORPORATION COM 428291108 1124 13685 SH DFND 1080 0 12605 HONEYWELL INTERNATIONAL INC COM 438516106 2801 16555 SH DFND 6456 0 10099 INTEL CORP COM 458140100 1786 34664 SH DFND 19141 0 15523 INVESCO QQQ TR COM 46090E103 255 1349 SH DFND 0 0 1349 INTUIT INC COM 461202103 1106 4160 SH DFND 330 0 3830 iSHARES T-BOND 1-3 YRS FUND COM 464287457 513 6050 SH DFND 695 0 5355 iSHARES S&P MIDCAP 400 GRWTH COM 464287606 685 3060 SH DFND 55 0 3005 iSHARES CORE HIGH DIV ETF COM 46429B663 4291 45567 SH DFND 875 0 44692 JPMORGAN CHASE& CO COM 46625H100 1700 14448 SH DFND 9440 0 5008 KIMBERLY CLARK CORP COM 494368103 1321 9297 SH DFND 7498 0 1799 LINCOLN CORE CAPITAL 5YR FIXED INDEX 533400LST 102 100000 SH DFND 0 0 100000 MASTERCARD INCORPORATED COM 57636Q104 1705 6280 SH DFND 370 0 5910 MERCK& CO. INC. COM 58933Y105 301 3575 SH DFND 0 0 3575 MICROSOFT CORP COM 594918104 4178 30052 SH DFND 11525 0 18527 MONDELEZ INTERNATIONAL INC COM 609207105 974 17610 SH DFND 12145 0 5465 MORNINGSTAR INC COM 617700109 263 1800 SH DFND 0 0 1800 NESTLE SA ADR COM 641069406 1275 11764 SH DFND 6040 0 5724 NOKIA CORP SPONSORED ADR COM 654902204 944 186530 SH DFND 14600 0 171930 NORTHERN GRAPHITE CORP F COM 66516A105 1 20000 SH DFND 0 0 20000 NORTHROP GRUMMAN CORP COM 666807102 215 574 SH DFND 0 0 574 PEPSICO INC COM 713448108 424 3091 SH DFND 0 0 3091 PFIZER INCORPORATION COM 717081103 1805 50235 SH DFND 20995 0 29240 PHILLIPS 66 COM 718546104 2450 23923 SH DFND 17325 0 6598 PROCTER AND GAMBLE COMPANY COM 742718109 1320 10613 SH DFND 6100 0 4513 RAYTHEON COMPANY NEW COM 755111507 3493 17805 SH DFND 9125 0 8680 ROYAL DUTCH SHELL PLC CL.B COM 780259107 300 5016 SH DFND 0 0 5016 SK TELECOM CO LTD ADR COM 78440P108 1179 53125 SH DFND 28000 0 25125 SPDR S&P 500 ETF COM 78462F103 342 1151 SH DFND 700 0 451 SPDW PORTFOLIO WORLD ex-US ETF COM 78463X889 2105 71704 SH DFND 1510 0 70194 SPDR S&P DIVIDEND ETF COM 78464A763 15931 155271 SH DFND 3030 0 152241 SPDR BARCLAYS 1-3 MO TBILL ETF COM 78468R663 1094 11945 SH DFND 50 0 11895 SCHWAB US BROAD MKT ETF COM 808524102 6419 90383 SH DFND 2789 0 87594 SCHWAB US LARGE CAP GROWTH ETF COM 808524300 12690 151052 SH DFND 5040 0 146012 SCHWAB INTERNATIONAL EQTY ETF COM 808524805 7056 221453 SH DFND 6710 0 214743 SCHWAB S-T US TREASURY ETF COM 808524862 926 18300 SH DFND 0 0 18300 SECTOR SPDR ENERGY SELECT SHS COM 81369Y506 2696 45534 SH DFND 1045 0 44489 SEMPRA 2005 DCP COM 8168511AT 264 8757 SH DFND 0 0 8757 STRYKER CORP COM 863667101 1818 8405 SH DFND 310 0 8095 SYNOPSYS INC COM 871607107 436 3175 SH DFND 740 0 2435 TEXAS INSTRUMENTS INCORPORATED COM 882508104 220 1700 SH DFND 0 0 1700 UNITEDHEALTH GROUP INC COM 91324P102 1600 7362 SH DFND 4682 0 2680 VANGUARD FTSE SOCIAL INDEX FD COM 921910717 226 8174 SH DFND 0 0 8174 VANGUARD FTSE DEVELOPED MKTS COM 921943858 1204 29316 SH DFND 1170 0 28146 VANGUARD MTG BACKED SEC ETF COM 92206C771 255 4779 SH DFND 0 0 4779 VANGUARD US LRG CAP GR IND ETF COM 922908736 6274 37730 SH DFND 170 0 37560 VANGUARD TOTAL STK MKT ETF COM 922908769 2619 17342 SH DFND 483 0 16859 VERIZON COMMUNICATIONS COM 92343V104 2124 35183 SH DFND 23049 0 12134 VISA, INC COM 92826C839 1286 7475 SH DFND 655 0 6820 WALMART, INC COM 931142103 1714 14445 SH DFND 1125 0 13320 WELLS FARGO& CO (NEW) COM 949746101 3614 71656 SH DFND 61571 0 10085 WISDOM TREE EMRG MKTS HI DIV COM 97717W315 5285 127923 SH DFND 2565 0 125358 ACCENTURE PLC CL.A COM G1151C101 1249 6495 SH DFND 470 0 6025 VANGUARD ALL-WORLD HI-DIV YLD COM G9T17W178 626 11500 SH DFND 0 0 11500