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0001632078-24-000004.txt : 20240423 0001632078-24-000004.hdr.sgml : 20240423 20240423160643 ACCESSION NUMBER: 0001632078-24-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240423 DATE AS OF CHANGE: 20240423 EFFECTIVENESS DATE: 20240423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Spectrum Asset Management, Inc. (NB/CA) CENTRAL INDEX KEY: 0001632078 ORGANIZATION NAME: 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: 24864861 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 03-31-2024 03-31-2024 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 04-23-2024 0 115 233245207 false INFORMATION TABLE 2 F13F.xml 1Q24 13F HOLDINGS REPORT ABBOTT LABS COM 002824100 2381405 20952 SH SOLE Spectrum Asset Management Inc. 20952 0 0 ABBVIE INC COM 00287Y109 3909014 21466 SH SOLE Spectrum Asset Management Inc. 21466 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 31381 11207 SH SOLE Spectrum Asset Management Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 4015131 11584 SH SOLE Spectrum Asset Management Inc. 11584 0 0 ALPHABET INC CAP STK CL A 02079K305 710881 4710 SH SOLE Spectrum Asset Management Inc. 4710 0 0 ALPHABET INC CAP STK CL C 02079K107 309841 2035 SH SOLE Spectrum Asset Management Inc. 2035 0 0 AMERICOLD REALTY TRUST INC COM 03064D108 1778706 70752 SH SOLE Spectrum Asset Management Inc. 70752 0 0 APPLE INC COM 037833100 2162267 12609 SH SOLE Spectrum Asset Management Inc. 12609 0 0 APPLE INC PUT 037833100 910 2000 PRN Put SOLE Spectrum Asset Management Inc. 2000 0 0 BANK AMERICA CORP COM 060505104 199894 5271 SH SOLE Spectrum Asset Management Inc. 5271 0 0 BANK AMERICA CORP COM 060505104 19946 526 SH DFND Spectrum Asset Management Inc. 0 0 526 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3926816 9338 SH SOLE Spectrum Asset Management Inc. 9338 0 0 BORGWARNER INC COM 099724106 2051328 59048 SH SOLE Spectrum Asset Management Inc. 59048 0 0 BUNGE GLOBAL SA COM SHS H11356104 2910031 28385 SH SOLE Spectrum Asset Management Inc. 28385 0 0 CALIDI BIOTHERAPEUTICS INC COM NEW 320703101 94070 166494 SH SOLE Spectrum Asset Management Inc. 166494 0 0 CHESAPEAKE ENERGY CORP COM 165167735 898112 10110 SH SOLE Spectrum Asset Management Inc. 10110 0 0 CHEVRON CORP NEW COM 166764100 6883708 43640 SH SOLE Spectrum Asset Management Inc. 43640 0 0 CHEVRON CORP NEW COM 166764100 16563 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 3165130 63417 SH SOLE Spectrum Asset Management Inc. 63417 0 0 CISCO SYS INC COM 17275R102 16121 323 SH DFND Spectrum Asset Management Inc. 0 0 323 COSTCO WHSL CORP NEW COM 22160K105 1474301 2012 SH SOLE Spectrum Asset Management Inc. 2012 0 0 CROWN CASTLE INC COM 22822V101 8467 80 SH DFND Spectrum Asset Management Inc. 0 0 80 DEERE & CO COM 244199105 441065 1070 SH SOLE Spectrum Asset Management Inc. 1070 0 0 DISNEY WALT CO COM 254687106 2807130 22942 SH SOLE Spectrum Asset Management Inc. 22942 0 0 DISNEY WALT CO CALL 254687106 35290 4000 PRN Call SOLE Spectrum Asset Management Inc. 4000 0 0 DOMINION ENERGY INC COM 25746U109 758117 15412 SH SOLE Spectrum Asset Management Inc. 15412 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 3173249 32812 SH SOLE Spectrum Asset Management Inc. 32812 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 18762 194 SH DFND Spectrum Asset Management Inc. 0 0 194 EMERSON ELEC CO COM 291011104 3282942 28945 SH SOLE Spectrum Asset Management Inc. 28945 0 0 EXXON MOBIL CORP COM 30231G102 4367067 37569 SH SOLE Spectrum Asset Management Inc. 37569 0 0 EXXON MOBIL CORP COM 30231G102 19180 165 SH DFND Spectrum Asset Management Inc. 0 0 165 FIRST TR EXCHNG TRADED FD VI FT VEST US 33740F631 6638312 184244 SH SOLE Spectrum Asset Management Inc. 184244 0 0 FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 33740F615 4968574 142366 SH SOLE Spectrum Asset Management Inc. 142366 0 0 FIRST TR EXCHNG TRADED FD VI FT VEST US 33740F771 4675914 119558 SH SOLE Spectrum Asset Management Inc. 119558 0 0 FIRST TR EXCHNG TRADED FD VI FT VEST US 33740F631 6638312 184244 SH SOLE Spectrum Asset Management Inc. 184244 0 0 FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 33740F615 4968574 142366 SH SOLE Spectrum Asset Management Inc. 142366 0 0 FIRST TR EXCHNG TRADED FD VI FT VEST US 33740F771 4675914 119558 SH SOLE Spectrum Asset Management Inc. 119558 0 0 GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 36266G107 856100 9417 SH SOLE Spectrum Asset Management Inc. 9417 0 0 GENERAL DYNAMICS CORP COM 369550108 4028590 14261 SH SOLE Spectrum Asset Management Inc. 14261 0 0 GENERAL DYNAMICS CORP COM 369550108 19775 70 SH DFND Spectrum Asset Management Inc. 0 0 70 GLOBAL X FDS GLBL X MLP ETF 37954Y343 338505 7020 SH SOLE Spectrum Asset Management Inc. 7020 0 0 HEARTBEAM INC COM 42238H108 97882 44900 SH SOLE Spectrum Asset Management Inc. 44900 0 0 HONEYWELL INTL INC COM 438516106 4614020 22480 SH SOLE Spectrum Asset Management Inc. 22480 0 0 INTEL CORP COM 458140100 4690787 106198 SH SOLE Spectrum Asset Management Inc. 106198 0 0 INTEL CORP COM 458140100 11485 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INTERNATIONAL BUSINESS MACHS COM 459200101 229152 1200 SH SOLE Spectrum Asset Management Inc. 1200 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 5671714 33487 SH SOLE Spectrum Asset Management Inc. 33487 0 0 ISHARES GOLD TR ISHARES NEW 464285204 9653604 229793 SH SOLE Spectrum Asset Management Inc. 229793 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 9759219 116765 SH SOLE Spectrum Asset Management Inc. 116765 0 0 ISHARES TR CORE S&P SCP ETF 464287804 2757585 24951 SH SOLE Spectrum Asset Management Inc. 24951 0 0 ISHARES TR CORE S&P MCP ETF 464287507 2452682 40380 SH SOLE Spectrum Asset Management Inc. 40380 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 2302149 20026 SH SOLE Spectrum Asset Management Inc. 20026 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 1876425 77957 SH SOLE Spectrum Asset Management Inc. 77957 0 0 ISHARES TR 20 YR TR BD ETF 464287432 791970 8370 SH SOLE Spectrum Asset Management Inc. 8370 0 0 ISHARES TR RUS 1000 ETF 464287622 704939 2447 SH SOLE Spectrum Asset Management Inc. 2447 0 0 ISHARES TR US AER DEF ETF 464288760 520464 3945 SH SOLE Spectrum Asset Management Inc. 3945 0 0 ISHARES TR IBONDS 27 TRM TS 46436E841 459355 20729 SH SOLE Spectrum Asset Management Inc. 20729 0 0 ISHARES TR IBONDS 25 TRM TS 46436E866 320110 13780 SH SOLE Spectrum Asset Management Inc. 13780 0 0 ISHARES TR IBONDS 26 TRM TS 46436E858 316987 13958 SH SOLE Spectrum Asset Management Inc. 13958 0 0 ISHARES TR CORE S&P500 ETF 464287200 278637 530 SH SOLE Spectrum Asset Management Inc. 530 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 245340 3000 SH SOLE Spectrum Asset Management Inc. 3000 0 0 ISHARES TR US TREAS BD ETF 46429B267 213697 9385 SH SOLE Spectrum Asset Management Inc. 9385 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 3445401 16168 SH SOLE Spectrum Asset Management Inc. 16168 0 0 MARRIOTT INTL INC NEW CL A 571903202 509667 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 511506 1814 SH SOLE Spectrum Asset Management Inc. 1814 0 0 MCKESSON CORP COM 58155Q103 322482 600 SH SOLE Spectrum Asset Management Inc. 600 0 0 MEDTRONIC PLC SHS G5960L103 3542682 40340 SH SOLE Spectrum Asset Management Inc. 40340 0 0 MEDTRONIC PLC SHS G5960L103 16075 183 SH DFND Spectrum Asset Management Inc. 0 0 183 MERCADOLIBRE INC COM 58733R102 334144 221 SH SOLE Spectrum Asset Management Inc. 221 0 0 MICROSOFT CORP COM 594918104 5156928 12257 SH SOLE Spectrum Asset Management Inc. 12257 0 0 MICROSOFT CORP COM 594918104 14305 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 555066 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 375873 3984 SH SOLE Spectrum Asset Management Inc. 3984 0 0 NORTHROP GRUMMAN CORP COM 666807102 274751 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 NVIDIA CORPORATION COM 67066G104 476152 527 SH SOLE Spectrum Asset Management inc. 527 0 0 ORACLE CORP COM 68389X105 3501756 27878 SH SOLE Spectrum Asset Management Inc. 27878 0 0 PAYPAL HLDGS INC COM 70450Y103 269970 4030 SH SOLE Spectrum Asset Management Inc. 4030 0 0 PEPSICO INC COM 713448108 257186 1459 SH SOLE Spectrum Asset Management Inc. 1459 0 0 PFIZER INC COM 717081103 395993 14270 SH SOLE Spectrum Asset Management Inc. 14270 0 0 PFIZER INC COM 717081103 9158 330 SH DFND Spectrum Asset Management Inc. 0 0 330 PFIZER INC CALL 717081103 16198 9500 PRN Call SOLE Spectrum Asset Management Inc. 9500 0 0 PIONEER NAT RES CO COM 723787107 240713 917 SH SOLE Spectrum Asset Management Inc. 917 0 0 PRICESMART INC COM 741511109 780360 9290 SH SOLE Spectrum Asset Management Inc. 9290 0 0 QUALCOMM INC COM 747525103 2270652 13412 SH SOLE Spectrum Asset Management Inc. 13412 0 0 ROCKWELL AUTOMATION INC COM 773903109 784261 2692 SH SOLE Spectrum Asset Management Inc. 2692 0 0 ROYAL BK CDA COM 780087102 201760 2000 SH SOLE Spectrum Asset Management Inc. 2000 0 0 RTX CORPORATION COM 75513E101 1139355 11682 SH SOLE Spectrum Asset Management Inc. 11682 0 0 RTX CORPORATION COM 75513E101 18531 190 SH DFND Spectrum Asset Management Inc. 0 0 190 SCHLUMBERGER LTD COM STK 806857108 931452 16907 SH SOLE Spectrum Asset Management Inc. 16907 0 0 SCHWAB CHARLES CORP COM 808513105 5507880 76139 SH SOLE Spectrum Asset Management Inc. 76139 0 0 SCHWAB CHARLES FAMILY FD AMT TAX FREE MNY 808515530 4028000 4028000 SH SOLE Spectrum Asset Management Inc. 4028000 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 16527644 217526 SH SOLE Spectrum Asset Management Inc. 217526 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 8510839 91791 SH SOLE Spectrum Asset Management Inc. 91791 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 5726615 146761 SH SOLE Spectrum Asset Management Inc. 146761 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 2283369 37402 SH SOLE Spectrum Asset Management Inc. 37402 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 489988 5190 SH SOLE Spectrum Asset Management Inc. 5190 0 0 SEMPRA COM 816851109 2899331 40063 SH SOLE Spectrum Asset Management Inc. 40063 0 0 SKYLINE CHAMPION CORPORATION COM 830830105 328904 3869 SH SOLE Spectrum Asset Management Inc. 3869 0 0 SPDR GOLD TR GOLD SHS 78463V107 237401 1154 SH SOLE Spectrum Asset Management Inc. 1154 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 282599 7885 SH SOLE Spectrum Asset Management Inc. 7885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1331756 2538 SH SOLE Spectrum Asset Management Inc. 2538 0 0 TENON MEDICAL INC *W EXP 06/16/202 88066N113 62916 1070000 SH SOLE Spectrum Asset Management Inc. 1070000 0 0 TENON MEDICAL INC COM NEW 88066N204 79098 83261 SH SOLE Spectrum Asset Management Inc. 83261 0 0 TESLA INC COM 88160R101 754542 4292 SH SOLE Spectrum Asset Management Inc. 4292 0 0 TEXAS INSTRS INC COM 882508104 296157 1700 SH SOLE Spectrum Asset Management Inc. 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 570390 1153 SH SOLE Spectrum Asset Management Inc. 1153 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2725720 7919 SH SOLE Spectrum Asset Management Inc. 7919 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 408827 1573 SH SOLE Spectrum Asset Management Inc. 1573 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 3914273 58127 SH SOLE Spectrum Asset Management Inc. 58127 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 2193498 9204 SH SOLE Spectrum Asset Management Inc. 9204 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 845878 16860 SH SOLE Spectrum Asset Management Inc. 16860 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3089486 73629 SH SOLE Spectrum Asset Management Inc. 73629 0 0 VISA INC COM CL A 92826C839 1371338 4914 SH SOLE Spectrum Asset Management Inc. 4914 0 0 VOLITIONRX LTD COM 928661107 42087 55596 SH SOLE Spectrum Asset Management Inc. 55596 0 0 WALMART INC COM 931142103 4740696 78523 SH SOLE Spectrum Asset Management Inc. 78523 0 0