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0001632078-23-000008.txt : 20231018 0001632078-23-000008.hdr.sgml : 20231018 20231018165116 ACCESSION NUMBER: 0001632078-23-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231018 DATE AS OF CHANGE: 20231018 EFFECTIVENESS DATE: 20231018 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: 231332650 BUSINESS ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-717-3400 MAIL ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false true false 0001632078 XXXXXXXX 09-30-2023 09-30-2023 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 720 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Tony Jung COO 949-717-3400 Tony Jung Newport Beach CA 10-18-2023 0 103 190413891 false INFORMATION TABLE 2 F13F.xml 3Q23 13F HOLDINGS REPORT ABBOTT LABS COM 002824100 1540109 15902 SH SOLE Spectrum Asset Management Inc. 15902 0 0 ABBVIE INC COM 00287Y109 3367945 22595 SH SOLE Spectrum Asset Management Inc. 22595 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 27458 11207 SH SOLE Spectrum Asset Management Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3473107 11309 SH SOLE Spectrum Asset Management Inc. 11309 0 0 ADOBE INC COM 00724F101 467579 917 SH SOLE Spectrum Asset Management Inc. 917 0 0 ALKERMES PLC SHS G01767105 311892 11135 SH SOLE Spectrum Asset Management Inc. 11135 0 0 ALPHABET INC CAP STK CL A 02079K305 819184 6260 SH SOLE Spectrum Asset Management Inc. 6260 0 0 AMERICOLD REALTY TRUST INC COM 03064D108 2712808 88567 SH SOLE Spectrum Asset Management Inc. 88567 0 0 APPLE INC COM 037833100 3424517 20002 SH SOLE Spectrum Asset Management Inc. 20002 0 0 APPLE INC PUT 037833100 10054 3300 PRN Put SOLE Spectrum Asset Management Inc. 3300 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2877715 8215 SH SOLE Spectrum Asset Management Inc. 8215 0 0 BORGWARNER INC COM 099724106 2154467 53368 SH SOLE Spectrum Asset Management Inc. 53368 0 0 BUNGE LIMITED COM G16962105 2991706 27637 SH SOLE Spectrum Asset Management Inc. 27637 0 0 CALIDI BIOTHERAPEUTICS INC COM NEW 320703101 276797 83247 SH SOLE Spectrum Asset Management Inc. 83247 0 0 CF INDS HLDGS INC COM 125269100 3141428 36639 SH SOLE Spectrum Asset Management Inc. 36639 0 0 CHESAPEAKE ENERGY CORP COM 165167735 2710661 31435 SH SOLE Spectrum Asset Management Inc. 31435 0 0 CHEVRON CORP NEW COM 166764100 7352322 43603 SH SOLE Spectrum Asset Management Inc. 43603 0 0 CHEVRON CORP NEW COM 166764100 17706 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 4551079 84655 SH SOLE Spectrum Asset Management Inc. 84655 0 0 CISCO SYS INC COM 17275R102 17365 323 SH DFND Spectrum Asset Management Inc. 0 0 323 CONOCOPHILLIPS COM 20825C104 968703 8086 SH SOLE Spectrum Asset Management Inc. 8086 0 0 CONOCOPHILLIPS COM 20825C104 18210 152 SH DFND Spectrum Asset Management Inc. 0 0 152 COSTCO WHSL CORP NEW COM 22160K105 1146483 2029 SH SOLE Spectrum Asset Management Inc. 2029 0 0 DEERE & CO COM 244199105 1185804 3131 SH SOLE Spectrum Asset Management Inc. 3131 0 0 DISNEY WALT CO COM 254687106 272086 3357 SH SOLE Spectrum Asset Management Inc. 3357 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 2816377 31910 SH SOLE Spectrum Asset Management Inc. 31910 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 15976 181 SH DFND Spectrum Asset Management Inc. 0 0 181 EMERSON ELEC CO COM 291011104 2441483 25282 SH SOLE Spectrum Asset Management Inc. 25282 0 0 EXXON MOBIL CORP COM 30231G102 4328066 36810 SH SOLE Spectrum Asset Management Inc. 36810 0 0 EXXON MOBIL CORP COM 30231G102 19401 165 SH DFND Spectrum Asset Management Inc. 0 0 165 GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 36266G107 651279 9572 SH SOLE Spectrum Asset Management Inc. 9572 0 0 GENERAL DYNAMICS CORP COM 369550108 2955474 13375 SH SOLE Spectrum Asset Management Inc. 13375 0 0 GENERAL DYNAMICS CORP COM 369550108 15468 70 SH DFND Spectrum Asset Management Inc. 0 0 70 GLOBAL X FDS GLBL X MLP ETF 37954Y343 330635 7415 SH SOLE Spectrum Asset Management Inc. 7415 0 0 HEARTBEAM INC COM 42238H108 96535 44900 SH SOLE Spectrum Asset Management Inc. 44900 0 0 HEXCEL CORP NEW COM 428291108 664233 10197 SH SOLE Spectrum Asset Management Inc. 10197 0 0 HONEYWELL INTL INC COM 438516106 3881388 21010 SH SOLE Spectrum Asset Management Inc. 21010 0 0 IDEXX LABS INC COM 45168D104 250993 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 INMODE LTD SHS M5425M103 255255 8380 SH SOLE Spectrum Asset Management Inc. 8380 0 0 INTEL CORP COM 458140100 3824236 107573 SH SOLE Spectrum Asset Management Inc. 107573 0 0 INTEL CORP CALL 458140100 48837 10000 PRN Call SOLE Spectrum Asset Management Inc. 10000 0 0 INTEL CORP COM 458140100 9243 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INTUIT COM 461202103 935532 1831 SH SOLE Spectrum Asset Management Inc. 1831 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 4841322 34168 SH SOLE Spectrum Asset Management Inc. 34168 0 0 ISHARES GOLD TR ISHARES NEW 464285204 7733350 221016 SH SOLE Spectrum Asset Management Inc. 221016 0 0 ISHARES INC MSCI SINGPOR ETF 46434G780 698126 38045 SH SOLE Spectrum Asset Management Inc. 38045 0 0 ISHARES TR US TREAS BD ETF 46429B267 17308900 785340 SH SOLE Spectrum Asset Management Inc. 785340 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 5793925 61435 SH SOLE Spectrum Asset Management Inc. 61435 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 3906208 53681 SH SOLE Spectrum Asset Management Inc. 53681 0 0 ISHARES TR TRS FLT RT BD 46434V860 940822 18542 SH SOLE Spectrum Asset Management Inc. 18542 0 0 ISHARES TR 20 YR TR BD ETF 464287432 795993 8975 SH SOLE Spectrum Asset Management Inc. 8975 0 0 ISHARES TR CORE S&P500 ETF 464287200 578429 1341 SH SOLE Spectrum Asset Management Inc. 1341 0 0 ISHARES TR RUS 1000 ETF 464287622 572736 2428 SH SOLE Spectrum Asset Management Inc. 2428 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 338050 4175 SH SOLE Spectrum Asset Management Inc. 4175 0 0 ISHARES TR CORE TOTAL USD 46434V613 227668 5208 SH SOLE Spectrum Asset Management Inc. 5208 0 0 MARRIOTT INTL INC NEW CL A 571903202 397052 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 477660 1813 SH SOLE Spectrum Asset Management Inc. 1813 0 0 MCKESSON CORP COM 58155Q103 261282 600 SH SOLE Spectrum Asset Management Inc. 600 0 0 MEDTRONIC PLC SHS G5960L103 3216483 40688 SH SOLE Spectrum Asset Management Inc. 40688 0 0 MEDTRONIC PLC SHS G5960L103 3216483 40688 SH SOLE Spectrum Asset Management Inc. 40688 0 0 MEDTRONIC PLC SHS G5960L103 13281 168 SH DFND Spectrum Asset Management Inc. 0 0 168 MERCADOLIBRE INC COM 58733R102 292881 231 SH SOLE Spectrum Asset Management Inc. 231 0 0 MICROSOFT CORP COM 594918104 3873173 12267 SH SOLE Spectrum Asset Management Inc. 12267 0 0 MICROSOFT CORP COM 594918104 10736 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 421632 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 382287 3984 SH SOLE Spectrum Asset Management Inc. 3984 0 0 NORTHROP GRUMMAN CORP COM 666807102 252670 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 NVIDIA CORPORATION COM 67066G104 230185 529 SH SOLE Spectrum Asset Management Inc. 529 0 0 ORACLE CORP COM 68389X105 2882190 27211 SH SOLE Spectrum Asset Management Inc. 27211 0 0 PEPSICO INC COM 713448108 416423 2458 SH SOLE Spectrum Asset Management Inc. 2458 0 0 PFIZER INC COM 717081103 222571 6710 SH SOLE Spectrum Asset Management Inc. 6710 0 0 PFIZER INC COM 717081103 10947 330 SH DFND Spectrum Asset Management Inc. 0 0 330 PIONEER NAT RES CO COM 723787107 212793 927 SH SOLE Spectrum Asset Management Inc. 927 0 0 QUALCOMM INC COM 747525103 1226658 11045 SH SOLE Spectrum Asset Management Inc. 11045 0 0 ROCKWELL AUTOMATION INC COM 773903109 1070584 3745 SH SOLE Spectrum Asset Management Inc. 3745 0 0 RTX CORPORATION COM 75513E101 259359 3604 SH SOLE Spectrum Asset Management Inc. 3604 0 0 RTX CORPORATION COM 75513E101 12595 175 SH DFND Spectrum Asset Management Inc. 0 0 175 SCHLUMBERGER LTD COM STK 806857108 1089094 18599 SH SOLE Spectrum Asset Management Inc. 18599 0 0 SCHWAB CHARLES CORP COM 808513105 3755572 68407 SH SOLE Spectrum Asset Management Inc. 68407 0 0 SCHWAB CHARLES FAMILY FD AMT TAX FREE MNY 808515530 4343000 4343000 SH SOLE Spectrum Asset Management Inc. 4343000 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 14686012 227831 SH SOLE Spectrum Asset Management Inc. 227831 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 6659868 91582 SH SOLE Spectrum Asset Management Inc. 91582 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 2158906 63572 SH SOLE Spectrum Asset Management Inc. 63572 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1900799 38130 SH SOLE Spectrum Asset Management Inc. 38130 0 0 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 365783 7630 SH SOLE Spectrum Asset Management Inc. 7630 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 3593915 39760 SH SOLE Spectrum Asset Management Inc. 39760 0 0 SEMPRA COM 816851109 2760415 40225 SH SOLE Spectrum Asset Management Inc. 40225 0 0 SPDR GOLD TR GOLD SHS 78463V107 214999 1254 SH SOLE Spectrum Asset Management Inc. 1254 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 244514 7885 SH SOLE Spectrum Asset Management Inc. 7885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1121194 2613 SH SOLE Spectrum Asset Management Inc. 2613 0 0 TENON MEDICAL INC COM 88066N105 168237 1082606 SH SOLE Spectrum Asset Management Inc. 1082606 0 0 TENON MEDICAL INC *W EXP 06/16/202 88066N113 43656 1070000 SH SOLE Spectrum Asset Management Inc. 1070000 0 0 TESLA INC COM 88160R101 1279448 5113 SH SOLE Spectrum Asset Management Inc. 5113 0 0 TEXAS INSTRS INC COM 882508104 270317 1700 SH SOLE Spectrum Asset Management Inc. 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 581332 1153 SH SOLE Spectrum Asset Management Inc. 1153 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2507703 9209 SH SOLE Spectrum Asset Management Inc. 9209 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 410592 1933 SH SOLE Spectrum Asset Management Inc. 1933 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 2595597 13334 SH SOLE Spectrum Asset Management Inc. 13334 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 875076 20015 SH SOLE Spectrum Asset Management Inc. 20015 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1317979 40666 SH SOLE Spectrum Asset Management Inc. 40666 0 0 VISA INC COM CL A 92826C839 1149727 4999 SH SOLE Spectrum Asset Management Inc. 4999 0 0 VOLITIONRX LTD COM 928661107 38306 55596 SH SOLE Spectrum Asset Management Inc. 55596 0 0 WALMART INC COM 931142103 3808800 23815 SH SOLE Spectrum Asset Management Inc. 23815 0 0