COO

0001632078-23-000004.txt : 20230417 0001632078-23-000004.hdr.sgml : 20230417 20230414191032 ACCESSION NUMBER: 0001632078-23-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230417 DATE AS OF CHANGE: 20230414 EFFECTIVENESS DATE: 20230417 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: 23822502 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 03-31-2023 03-31-2023 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 720 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Tony Jung COO 9497173400 Tony Jung Newport Beach CA 04-14-2023 0 98 202088056 false INFORMATION TABLE 2 F13F.xml 1Q23 13F HOLDINGS REPORT ABBOTT LABS COM 002824100 1846780 18238 SH SOLE Spectrum Asset Management Inc. 18238 0 0 ABBVIE INC COM 00287Y109 4061196 25483 SH SOLE Spectrum Asset Management Inc. 25483 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 29812 11207 SH SOLE Spectrum Asset Management Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3607209 12621 SH SOLE Spectrum Asset Management Inc. 12621 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 353385 917 SH SOLE Spectrum Asset Management Inc. 917 0 0 ALKERMES PLC SHS G01767105 313896 11135 SH SOLE Spectrum Asset Management Inc. 11135 0 0 ALPHABET INC CAP STK CL A 02079K305 650388 6270 SH SOLE Spectrum Asset Management Inc. 6270 0 0 AMERICOLD REALTY TRUST INC COM 03064D108 2920750 101875 SH SOLE Spectrum Asset Management Inc. 101875 0 0 APPLE INC COM 037833100 3366765 20417 SH SOLE Spectrum Asset Management Inc. 20417 0 0 APPLE INC PUT 037833100 2190 2000 PRN Put SOLE Spectrum Asset Management Inc. 2000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2819071 9130 SH SOLE Spectrum Asset Management Inc. 9130 0 0 BORGWARNER INC COM 099724106 2877110 58585 SH SOLE Spectrum Asset Management Inc. 58585 0 0 BUNGE LIMITED COM G16962105 2855571 29895 SH SOLE Spectrum Asset Management Inc. 29895 0 0 CF INDS HLDGS INC COM 125269100 1886915 26030 SH SOLE Spectrum Asset Management Inc. 26030 0 0 CHESAPEAKE ENERGY CORP COM 165167735 2734257 35958 SH SOLE Spectrum Asset Management Inc. 35958 0 0 CHEVRON CORP NEW COM 166764100 7524136 46115 SH SOLE Spectrum Asset Management Inc. 46115 0 0 CHEVRON CORP NEW COM 166764100 17132 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 4990323 95463 SH SOLE Spectrum Asset Management Inc. 95463 0 0 CISCO SYS INC COM 17275R102 16885 323 SH DFND Spectrum Asset Management Inc. 0 0 323 COSTCO WHSL CORP NEW COM 22160K105 1008299 2029 SH SOLE Spectrum Asset Management Inc. 2029 0 0 DANAHER CORPORATION COM 235851102 821774 3257 SH SOLE Spectrum Asset Management Inc. 3257 0 0 DEERE & CO COM 244199105 1296642 3131 SH SOLE Spectrum Asset Management Inc. 3131 0 0 DISNEY WALT CO COM 254687106 336137 3357 SH SOLE Spectrum Asset Management Inc. 3357 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 3481024 36084 SH SOLE Spectrum Asset Management Inc. 36084 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 16207 168 SH DFND Spectrum Asset Management Inc. 0 0 168 EDISON INTL COM 281020107 328258 4602 SH SOLE Spectrum Asset Management Inc. 4602 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 226350 2736 SH SOLE Spectrum Asset Management Inc. 2736 0 0 EMERSON ELEC CO COM 291011104 2500047 28690 SH SOLE Spectrum Asset Management Inc. 28690 0 0 EOG RES INC COM 26875P101 761488 6643 SH SOLE Spectrum Asset Management Inc. 6643 0 0 EXXON MOBIL CORP COM 30231G102 4514461 41168 SH SOLE Spectrum Asset Management Inc. 41168 0 0 EXXON MOBIL CORP COM 30231G102 18094 165 SH DFND Spectrum Asset Management Inc. 0 0 165 GENERAL DYNAMICS CORP COM 369550108 3385496 14835 SH SOLE Spectrum Asset Management Inc. 14835 0 0 GENERAL DYNAMICS CORP COM 369550108 15975 70 SH DFND Spectrum Asset Management Inc. 0 0 70 GLOBAL X FDS GLBL X MLP ETF 37954Y343 305428 7342 SH SOLE Spectrum Asset Management Inc. 7342 0 0 HONEYWELL INTL INC COM 438516106 4376840 22901 SH SOLE Spectrum Asset Management Inc. 22901 0 0 INMODE LTD SHS M5425M103 267346 8365 SH SOLE Spectrum Asset Management Inc. 8365 0 0 INTEL CORP COM 458140100 3213748 98370 SH SOLE Spectrum Asset Management Inc. 98370 0 0 INTEL CORP CALL 458140100 46500 10000 PRN Call SOLE Spectrum Asset Management Inc. 10000 0 0 INTEL CORP COM 458140100 8495 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INTUIT COM 461202103 771732 1731 SH SOLE Spectrum Asset Management Inc. 1731 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 5257227 36352 SH SOLE Spectrum Asset Management Inc. 36352 0 0 ISHARES GOLD TR ISHARES NEW 464285204 6762999 180974 SH SOLE Spectrum Asset Management Inc. 180974 0 0 ISHARES TR US TREAS BD ETF 46429B267 28659239 1225801 SH SOLE Spectrum Asset Management Inc. 1225801 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 5571820 61601 SH SOLE Spectrum Asset Management Inc. 61601 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 3832817 52692 SH SOLE Spectrum Asset Management Inc. 52692 0 0 ISHARES TR IBONDS 23 TRM TS 46436E882 916804 36953 SH SOLE Spectrum Asset Management Inc. 36953 0 0 ISHARES TR CORE S&P500 ETF 464287200 585693 1425 SH SOLE Spectrum Asset Management Inc. 1425 0 0 ISHARES TR RUS 1000 ETF 464287622 547316 2430 SH SOLE Spectrum Asset Management Inc. 2430 0 0 ISHARES TR CORE TOTAL USD 46434V613 307498 6663 SH SOLE Spectrum Asset Management Inc. 6663 0 0 ISHARES TR EAFE VALUE ETF 464288877 262305 5405 SH SOLE Spectrum Asset Management Inc. 5405 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 246480 3000 SH SOLE Spectrum Asset Management Inc. 3000 0 0 ISHARES TR EAFE GRWTH ETF 464288885 228111 2435 SH SOLE Spectrum Asset Management Inc. 2435 0 0 KINDER MORGAN INC DEL COM 49456B101 2451072 139981 SH SOLE Spectrum Asset Management Inc. 139981 0 0 MARRIOTT INTL INC NEW CL A 571903202 335401 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 506727 1812 SH SOLE Spectrum Asset Management Inc. 1812 0 0 MCKESSON CORP COM 58155Q103 213954 600 SH SOLE Spectrum Asset Management Inc. 600 0 0 MEDTRONIC PLC SHS G5960L103 2257012 27766 SH SOLE Spectrum Asset Management Inc. 27766 0 0 MEDTRONIC PLC SHS G5960L103 12521 154 SH DFND Spectrum Asset Management Inc. 0 0 154 MICROSOFT CORP COM 594918104 3858827 13385 SH SOLE Spectrum Asset Management Inc. 13385 0 0 MICROSOFT CORP COM 594918104 9803 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 365454 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 531251 4320 SH SOLE Spectrum Asset Management Inc. 4320 0 0 NORTHROP GRUMMAN CORP COM 666807102 265028 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 ORACLE CORP COM 68389X105 2918153 31405 SH SOLE Spectrum Asset Management Inc. 31405 0 0 PEPSICO INC COM 713448108 525688 2884 SH SOLE Spectrum Asset Management Inc. 2884 0 0 PFIZER INC COM 717081103 273768 6710 SH SOLE Spectrum Asset Management Inc. 6710 0 0 PFIZER INC COM 717081103 13464 330 SH DFND Spectrum Asset Management Inc. 0 0 330 PROSHARES TR SHORT S&P 500 NE 74347B425 9936915 662461 SH SOLE Spectrum Asset Management Inc. 662461 0 0 QUALCOMM INC COM 747525103 1615546 12663 SH SOLE Spectrum Asset Management Inc. 12663 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 354742 3622 SH SOLE Spectrum Asset Management Inc. 3622 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 17138 175 SH DFND Spectrum Asset Management Inc. 0 0 175 ROCKWELL AUTOMATION INC COM 773903109 1092515 3723 SH SOLE Spectrum Asset Management Inc. 3723 0 0 SCHWAB CHARLES CORP COM 808513105 3509196 66995 SH SOLE Spectrum Asset Management Inc. 66995 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15293433 233203 SH SOLE Spectrum Asset Management Inc. 233203 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 6073782 93199 SH SOLE Spectrum Asset Management Inc. 93199 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 2090506 60072 SH SOLE Spectrum Asset Management Inc. 60072 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1746168 36493 SH SOLE Spectrum Asset Management Inc. 36493 0 0 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 237526 4710 SH SOLE Spectrum Asset Management Inc. 4710 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 3180180 38394 SH SOLE Spectrum Asset Management Inc. 38394 0 0 SEMPRA COM 816851109 3057841 20075 SH SOLE Spectrum Asset Management Inc. 20075 0 0 SPDR GOLD TR GOLD SHS 78463V107 229758 1254 SH SOLE Spectrum Asset Management Inc. 1254 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 253267 7885 SH SOLE Spectrum Asset Management Inc. 7885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1049029 2553 SH SOLE Spectrum Asset Management Inc. 2553 0 0 SPROTT PHYSICAL GOLD TR UNIT 85207H104 276425 17880 SH SOLE Spectrum Asset Management Inc. 17880 0 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 323843 38830 SH SOLE Spectrum Asset Management Inc. 38830 0 0 STRYKER CORPORATION COM 863667101 989177 3456 SH SOLE Spectrum Asset Management Inc. 3456 0 0 TENON MEDICAL INC COM 88066N105 334152 188786 SH SOLE Spectrum Asset Management Inc. 188786 0 0 TESLA INC COM 88160R101 1083624 5223 SH SOLE Spectrum Asset Management Inc. 5223 0 0 TEXAS INSTRS INC COM 882508104 337609 1815 SH SOLE Spectrum Asset Management Inc. 1815 0 0 UNITEDHEALTH GROUP INC COM 91324P102 544897 1153 SH SOLE Spectrum Asset Management Inc. 1153 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2242466 8990 SH SOLE Spectrum Asset Management Inc. 8990 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 394325 1932 SH SOLE Spectrum Asset Management Inc. 1932 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 3096619 16619 SH SOLE Spectrum Asset Management Inc. 16619 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 895597 19827 SH SOLE Spectrum Asset Management Inc. 19827 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1636358 42077 SH SOLE Spectrum Asset Management Inc. 42077 0 0 VISA INC COM CL A 92826C839 413592 1834 SH SOLE Spectrum Asset Management Inc. 1834 0 0 VOLITIONRX LTD COM 928661107 106189 55596 SH SOLE Spectrum Asset Management Inc. 55596 0 0 WALMART INC COM 931142103 1385097 9362 SH SOLE Spectrum Asset Management Inc. 9362 0 0