0001632078-18-000006.txt : 20181029
0001632078-18-000006.hdr.sgml : 20181029
20181029142924
ACCESSION NUMBER: 0001632078-18-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181029
DATE AS OF CHANGE: 20181029
EFFECTIVENESS DATE: 20181029
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: 181143829
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
09-30-2018
09-30-2018
Spectrum Asset Management, Inc. (NB/CA)
1301 DOVE STREET, SUITE 970
NEWPORT BEACH
CA
92660
13F HOLDINGS REPORT
028-16433
N
Achara Chau
Portfolio Manager
949-717-3400
Achara
Newport Beach
CA
10-29-2018
0
89
167768
false
INFORMATION TABLE
2
F13F.xml
3Q 2018 13F HOLDINGS REPORT
AT&T INC
COM
00206R102
1997
59470
SH
DFND
49425
0
10045
ABBOTT LABORATORIES
COM
002824100
1533
20900
SH
DFND
17600
0
3300
ABBVIE INC
COM
00287Y109
1311
13860
SH
DFND
12760
0
1100
ADOBE INC.
COM
00724F101
682
2525
SH
DFND
130
0
2395
ALPHABET CLASS C
COM
02079K107
496
416
SH
DFND
20
0
396
ALPHABET CLASS A
COM
02079K305
293
243
SH
DFND
0
0
243
ALTRIA GROUP INC
COM
02209S103
318
5268
SH
DFND
0
0
5268
AMAZON.COM INC
COM
023135106
471
235
SH
DFND
25
0
210
ANTHEM INC
COM
036752103
1629
5945
SH
DFND
5120
0
825
APPLE INC
COM
037833100
1868
8274
SH
DFND
5035
0
3239
AXOS FINANCIAL INC
COM
05465C100
909
26420
SH
DFND
1000
0
25420
BP PLC ADR
COM
055622104
490
10630
SH
DFND
0
0
10630
BAKER HUGHES A GE CO
COM
05722G100
386
11400
SH
DFND
1750
0
9650
BANK OF AMERICA CORP
COM
060505104
1434
48663
SH
DFND
41361
0
7302
BERKSHIRE HATHAWAY NEW CLASS B
COM
084670702
1873
8749
SH
DFND
6265
0
2484
BERKSHIRE HTWY CL.A
100 SHS=1 WHOLE
084990175
960
300
SH
DFND
0
0
300
BOEING COMPANY
COM
097023105
255
685
SH
DFND
0
0
685
BRISTOL-MYERS SQUIBB CO
COM
110122108
841
13550
SH
DFND
12250
0
1300
CSX CORP
COM
126408103
415
5600
SH
DFND
0
0
5600
CHEVRON CORP NEW
COM
166764100
3857
31544
SH
DFND
9190
0
22354
CONOCOPHILLIPS
COM
20825C104
1115
14400
SH
DFND
1105
0
13295
COSTCO WHSL CORP (NEW)
COM
22160K105
1196
5090
SH
DFND
200
0
4890
DEERE& CO
COM
244199105
256
1700
SH
DFND
0
0
1700
DETTO TECHNOLOGIES INC
COM
251463105
0
32000
SH
DFND
0
0
32000
DIAGEO PLC ADR NEW
COM
25243Q205
1536
10845
SH
DFND
8125
0
2720
EOG RESOURCES INC
COM
26875P101
1075
8430
SH
DFND
480
0
7950
EMERSON ELECTRIC CO
COM
291011104
1356
17705
SH
DFND
15205
0
2500
EXXON MOBIL CORP (NEW)
COM
30231G102
979
11513
SH
DFND
833
0
10680
FLUOR CORPORATION NEW
COM
343412102
1673
28800
SH
DFND
26000
0
2800
GAIA INC NEW CLASS A
COM
36269P104
795
51600
SH
DFND
0
0
51600
GILEAD SCIENCES INC
COM
375558103
1953
25299
SH
DFND
20075
0
5224
HALLIBURTON CO
COM
406216101
253
6240
SH
DFND
0
0
6240
HONEYWELL INTERNATIONAL INC
COM
438516106
1776
10676
SH
DFND
8141
0
2535
HUNTINGTON BANCSHARES
COM
446150104
975
65380
SH
DFND
2500
0
62880
INTEL CORP
COM
458140100
1778
37595
SH
DFND
26866
0
10729
INTER PARFUMS INC
COM
458334109
1736
26935
SH
DFND
900
0
26035
INTERNATIONAL BUSINESS MACHINE
COM
459200101
1866
12338
SH
DFND
11338
0
1000
INTUIT INC
COM
461202103
1421
6250
SH
DFND
250
0
6000
INTUITIVE SURGICAL NEW
COM
46120E602
708
1233
SH
DFND
85
0
1148
INVESCO S&P 500 EQ WT HEALTH
COM
46137V332
1473
7147
SH
DFND
190
0
6957
iSHARES T-BOND 1-3 YRS FUND
COM
464287457
632
7606
SH
DFND
970
0
6636
iSHARES S&P MIDCAP 400 GRWTH
COM
464287606
1226
5263
SH
DFND
155
0
5108
iSHARES CORE S&P SMALL-CAP ETF
COM
464287804
8331
95493
SH
DFND
1780
0
93713
JPMORGAN CHASE& CO
COM
46625H100
1610
14270
SH
DFND
12525
0
1745
JOHNSON& JOHNSON
COM
478160104
1597
11557
SH
DFND
8385
0
3172
KIMBERLY CLARK CORP
COM
494368103
1359
11963
SH
DFND
10383
0
1580
KRAFT HEINZ COMPANY
COM
500754106
381
6915
SH
DFND
5515
0
1400
LANDSTAR SYSTEMS, INC.
COM
515098101
1094
8965
SH
DFND
350
0
8615
MARATHON OIL CORP
COM
565849106
1094
47000
SH
DFND
2800
0
44200
MARKEL CORP
COM
570535104
1486
1250
SH
DFND
1105
0
145
MASTERCARD INCORPORATED
COM
57636Q104
1343
6035
SH
DFND
230
0
5805
MERCK& CO. INC.
COM
58933Y105
275
3875
SH
DFND
300
0
3575
MICROSOFT CORP
COM
594918104
3682
32196
SH
DFND
14970
0
17226
MONDELEZ INTERNATIONAL INC
COM
609207105
760
17690
SH
DFND
15590
0
2100
MORNINGSTAR INC
COM
617700109
227
1800
SH
DFND
0
0
1800
NESTLE SA ADR
COM
641069406
1666
20027
SH
DFND
14612
0
5415
NORTHERN GRAPHITE CORP F
COM
66516A105
4
20000
SH
DFND
0
0
20000
NORTHROP GRUMMAN CORP
COM
666807102
1269
3999
SH
DFND
200
0
3799
NU SKIN ENTERPRISES INC CL A
COM
67018T105
1059
12850
SH
DFND
700
0
12150
PEPSICO INC
COM
713448108
346
3091
SH
DFND
0
0
3091
PFIZER INCORPORATION
COM
717081103
2216
50276
SH
DFND
27165
0
23111
PROCTER AND GAMBLE COMPANY
COM
742718109
1211
14554
SH
DFND
10265
0
4289
QUALCOMM INC
COM
747525103
1200
16660
SH
DFND
14385
0
2275
RIO TINTO PLC ADR
COM
767204100
1937
37975
SH
DFND
30775
0
7200
ROYAL DUTCH SHELL PLC CL.B
COM
780259107
316
4460
SH
DFND
0
0
4460
SPDR S&P 500 ETF
COM
78462F103
343
1180
SH
DFND
730
0
450
SPDW PORTFOLIO WORLD ex-US ETF
COM
78463X889
1855
60293
SH
DFND
755
0
59538
SPDR S&P DIVIDEND ETF
COM
78464A763
17305
176706
SH
DFND
3315
0
173391
SPDR BARCLAYS 1-3 MO TBILL ETF
COM
78468R663
2716
29655
SH
DFND
440
0
29215
SCHLUMBERGER LTD
COM
806857108
280
4595
SH
DFND
0
0
4595
SCHWAB US BROAD MKT ETF
COM
808524102
6302
89523
SH
DFND
2860
0
86663
SCHWAB US LARGE CAP GROWTH ETF
COM
808524300
13925
169769
SH
DFND
5430
0
164339
SCHWAB INTERNATIONAL EQTY ETF
COM
808524805
8587
256112
SH
DFND
8215
0
247897
SCHWAB S-T US TREASURY ETF
COM
808524862
869
17540
SH
DFND
0
0
17540
SECTOR SPDR ENERGY SELECT SHS
COM
81369Y506
3847
50790
SH
DFND
995
0
49795
SECTOR SPDR FINCL SELECT SHS
COM
81369Y605
3706
134355
SH
DFND
2565
0
131790
STRYKER CORP
COM
863667101
1579
8885
SH
DFND
230
0
8655
SUNCOR ENERGY INC NEW
COM
867224107
205
5300
SH
DFND
0
0
5300
UNION PACIFIC CORPORATION
COM
907818108
309
1900
SH
DFND
0
0
1900
UNITEDHEALTH GROUP INC
COM
91324P102
1520
5712
SH
DFND
4962
0
750
VANGUARD FTSE DEVELOPED MKTS
COM
921943858
3009
69534
SH
DFND
1145
0
68389
VANGUARD US LRG CAP GR IND ETF
COM
922908736
7458
46310
SH
DFND
180
0
46130
VANGUARD TOTAL STK MKT ETF
COM
922908769
2517
16822
SH
DFND
273
0
16549
VERIZON COMMUNICATIONS
COM
92343V104
946
17718
SH
DFND
14414
0
3304
VISA, INC
COM
92826C839
1525
10160
SH
DFND
505
0
9655
WALMART, INC
COM
931142103
1141
12150
SH
DFND
1200
0
10950
WELLS FARGO& CO (NEW)
COM
949746101
3345
63641
SH
DFND
61056
0
2585
AON PLC CLASS A
COM
G0408V102
1153
7495
SH
DFND
6445
0
1050
CHUBB LTD COM
COM
H1467J104
1067
7985
SH
DFND
6818
0
1167