0001632078-20-000002.txt : 20200207 0001632078-20-000002.hdr.sgml : 20200207 20200207141135 ACCESSION NUMBER: 0001632078-20-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200207 DATE AS OF CHANGE: 20200207 EFFECTIVENESS DATE: 20200207 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: 20586756 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 12-31-2019 12-31-2019 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660

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COM 502431109 956 4830 SH SOLE 4830 0 0 LINCOLN CORE CAPITAL 5YR FIXED INDEX 533400LST 103 100000 SH SOLE 100000 0 0 MASTERCARD INCORPORATED COM 57636Q104 1556 5210 SH SOLE 5210 0 0 MERCK& CO. INC. COM 58933Y105 309 3395 SH DFND 3235 0 160 MICROSOFT CORP COM 594918104 4159 26372 SH DFND 26282 0 90 MICROCHIP TECH COM 595017104 1053 10060 SH SOLE 10060 0 0 MORNINGSTAR INC COM 617700109 272 1800 SH SOLE 1800 0 0 NESTLE SA ADR COM 641069406 738 6820 SH SOLE 6820 0 0 NORTHERN GRAPHITE CORP F COM 66516A105 2 20000 SH SOLE 20000 0 0 NXT-ID, INC. COM 67091J206 90 200000 SH SOLE 200000 0 0 PAYPAL HLDGS INC COM 70450Y103 247 2280 SH SOLE 2280 0 0 PEPSICO INC COM 713448108 549 4017 SH SOLE 4017 0 0 PFIZER INCORPORATION COM 717081103 1912 48811 SH DFND 48461 0 350 PHILLIPS 66 COM 718546104 2597 23308 SH SOLE 23308 0 0 PROCTER AND GAMBLE COMPANY COM 742718109 1144 9163 SH SOLE 9163 0 0 RAYTHEON COMPANY NEW COM 755111507 3741 17025 SH DFND 16960 0 65 SK TELECOM CO LTD ADR COM 78440P108 1320 57100 SH SOLE 57100 0 0 SPDR S&P 500 ETF COM 78462F103 1156 3591 SH SOLE 3591 0 0 SPDW PORTFOLIO WORLD ex-US ETF COM 78463X889 2247 71664 SH SOLE 71664 0 0 SPDR S&P DIVIDEND ETF COM 78464A763 17074 158724 SH SOLE 158724 0 0 SPDR BARCLAYS 1-3 MO TBILL ETF COM 78468R663 899 9830 SH SOLE 9830 0 0 SCHWAB US BROAD MKT ETF COM 808524102 7457 96992 SH SOLE 96992 0 0 SCHWAB US LARGE CAP GROWTH ETF COM 808524300 14294 153844 SH SOLE 153844 0 0 SCHWAB INTERNATIONAL EQTY ETF COM 808524805 7806 232119 SH SOLE 232119 0 0 SCHWAB S-T US TREASURY ETF COM 808524862 904 17900 SH SOLE 17900 0 0 SECTOR SPDR ENERGY SELECT SHS COM 81369Y506 2904 48361 SH SOLE 48361 0 0 STRYKER CORP COM 863667101 1071 5100 SH SOLE 5100 0 0 SYNOPSYS INC COM 871607107 414 2975 SH SOLE 2975 0 0 TEXAS INSTRUMENTS INCORPORATED COM 882508104 218 1700 SH SOLE 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2208 7512 SH SOLE 7512 0 0 VANGUARD FTSE DEVELOPED MKTS COM 921943858 1298 29466 SH SOLE 29466 0 0 VANGUARD MTG BACKED SEC ETF COM 92206C771 239 4500 SH SOLE 4500 0 0 VANGUARD US LRG CAP GR IND ETF COM 922908736 6875 37740 SH SOLE 37740 0 0 VANGUARD TOTAL STK MKT ETF COM 922908769 2820 17237 SH SOLE 17237 0 0 VERIZON COMMUNICATIONS COM 92343V104 2115 34448 SH SOLE 34448 0 0 VISA, INC COM 92826C839 1382 7355 SH SOLE 7355 0 0 WALMART, INC COM 931142103 1629 13710 SH SOLE 13710 0 0 WELLS FARGO& CO (NEW) COM 949746101 2307 42876 SH DFND 42671 0 205 WISDOM TREE EMRG MKTS HI DIV COM 97717W315 6149 134341 SH SOLE 134341 0 0 ACCENTURE PLC CL.A COM G1151C101 1267 6015 SH SOLE 6015 0 0 GENPACT LTD COM G3922B107 978 23190 SH SOLE 23190 0 0 MEDTRONIC PLC COM G5960L103 989 8720 SH SOLE 8720 0 0 VANGUARD ALL-WORLD HI-DIV YLD COM G9T17W178 1019 17500 SH SOLE 17500 0 0