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0001632078-23-000006.txt : 20230802 0001632078-23-000006.hdr.sgml : 20230802 20230802141930 ACCESSION NUMBER: 0001632078-23-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230802 DATE AS OF CHANGE: 20230802 EFFECTIVENESS DATE: 20230802 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: 231134877 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 06-30-2023 06-30-2023 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 08-02-2023 0 101 201045703 false INFORMATION TABLE 2 F13F.xml 2Q23 13F-HR HOLDINGS REPORT ABBOTT LABS COM 002824100 1768741 16224 SH SOLE Spectrum Asset Management Inc. 16224 0 0 ABBVIE INC COM 00287Y109 3110675 23088 SH SOLE Spectrum Asset Management Inc. 23088 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 30260 11207 SH SOLE Spectrum Asset Management Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3563791 11549 SH SOLE Spectrum Asset Management Inc. 11549 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 448404 917 SH SOLE Spectrum Asset Management Inc. 917 0 0 ALKERMES PLC SHS G01767105 348526 11135 SH SOLE Spectrum Asset Management Inc. 11135 0 0 ALPHABET INC CAP STK CL A 02079K305 750519 6270 SH SOLE Spectrum Asset Management Inc. 6270 0 0 AMERICOLD REALTY TRUST INC COM 03064D108 2964101 91147 SH SOLE Spectrum Asset Management Inc. 91147 0 0 APPLE INC COM 037833100 3911894 20168 SH SOLE Spectrum Asset Management Inc. 20168 0 0 APPLE INC PUT 037833100 6394 3300 PRN Put SOLE Spectrum Asset Management Inc. 3300 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2824162 8282 SH SOLE Spectrum Asset Management Inc. 8282 0 0 BORGWARNER INC COM 099724106 2636641 53908 SH SOLE Spectrum Asset Management Inc. 53908 0 0 BUNGE LIMITED COM G16962105 2526410 26777 SH SOLE Spectrum Asset Management Inc. 26777 0 0 CF INDS HLDGS INC COM 125269100 1817763 26185 SH SOLE Spectrum Asset Management Inc. 26185 0 0 CHESAPEAKE ENERGY CORP COM 165167735 2713299 32425 SH SOLE Spectrum Asset Management Inc. 32425 0 0 CHEVRON CORP NEW COM 166764100 6927347 44025 SH SOLE Spectrum Asset Management Inc. 44025 0 0 CHEVRON CORP NEW COM 166764100 16522 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 4594155 88793 SH SOLE Spectrum Asset Management Inc. 88793 0 0 CISCO SYS INC COM 17275R102 16713 323 SH DFND Spectrum Asset Management Inc. 0 0 323 CONOCOPHILLIPS COM 20825C104 837791 8086 SH SOLE Spectrum Asset Management Inc. 8086 0 0 CONOCOPHILLIPS COM 20825C104 15749 152 SH DFND Spectrum Asset Management Inc. 0 0 152 COSTCO WHSL CORP NEW COM 22160K105 1092540 2029 SH SOLE Spectrum Asset Management Inc. 2029 0 0 DEERE & CO COM 244199105 1272564 3131 SH SOLE Spectrum Asset Management Inc. 3131 0 0 DISNEY WALT CO COM 254687106 299714 3357 SH SOLE Spectrum Asset Management Inc. 3357 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 2944370 32810 SH SOLE Spectrum Asset Management Inc. 32810 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 16243 181 SH DFND Spectrum Asset Management Inc. 0 0 181 EDWARDS LIFESCIENCES CORP COM 28176E108 258087 2736 SH SOLE Spectrum Asset Management Inc. 2736 0 0 EMERSON ELEC CO COM 291011104 2342186 25912 SH SOLE Spectrum Asset Management Inc. 25912 0 0 EXXON MOBIL CORP COM 30231G102 4011785 37406 SH SOLE Spectrum Asset Management Inc. 37406 0 0 EXXON MOBIL CORP COM 30231G102 17697 165 SH DFND Spectrum Asset Management Inc. 0 0 165 GENERAL DYNAMICS CORP COM 369550108 2923889 13590 SH SOLE Spectrum Asset Management Inc. 13590 0 0 GENERAL DYNAMICS CORP COM 369550108 15061 70 SH DFND Spectrum Asset Management Inc. 0 0 70 GLOBAL X FDS GLBL X MLP ETF 37954Y343 315193 7342 SH SOLE Spectrum Asset Management Inc. 7342 0 0 HEARTBEAM INC COM 42238H108 103389 42900 SH SOLE Spectrum Asset Management Inc. 42900 0 0 HONEYWELL INTL INC COM 438516106 4424730 21324 SH SOLE Spectrum Asset Management Inc. 21324 0 0 IDEXX LABS INC COM 45168D104 288281 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 INMODE LTD SHS M5425M103 312993 8380 SH SOLE Spectrum Asset Management Inc. 8380 0 0 INTEL CORP COM 458140100 3103775 92816 SH SOLE Spectrum Asset Management Inc. 92816 0 0 INTEL CORP CALL 458140100 42953 10000 PRN Call SOLE Spectrum Asset Management Inc. 10000 0 0 INTEL CORP COM 458140100 8695 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INTUIT COM 461202103 838946 1831 SH SOLE Spectrum Asset Management Inc. 1831 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 5103173 34103 SH SOLE Spectrum Asset Management Inc. 34103 0 0 ISHARES GOLD TR ISHARES NEW 464285204 8180036 224788 SH SOLE Spectrum Asset Management Inc. 224788 0 0 ISHARES TR US TREAS BD ETF 46429B267 28379542 1239281 SH SOLE Spectrum Asset Management Inc. 1239281 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 6192163 63535 SH SOLE Spectrum Asset Management Inc. 63535 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 3983791 53596 SH SOLE Spectrum Asset Management Inc. 53596 0 0 ISHARES TR IBONDS 23 TRM TS 46436E882 1016615 40976 SH SOLE Spectrum Asset Management Inc. 40976 0 0 ISHARES TR 20 YR TR BD ETF 464287432 656243 6375 SH SOLE Spectrum Asset Management Inc. 6375 0 0 ISHARES TR CORE S&P500 ETF 464287200 599376 1345 SH SOLE Spectrum Asset Management Inc. 1345 0 0 ISHARES TR RUS 1000 ETF 464287622 593437 2435 SH SOLE Spectrum Asset Management Inc. 2435 0 0 ISHARES TR CORE TOTAL USD 46434V613 302967 6663 SH SOLE Spectrum Asset Management Inc. 6663 0 0 ISHARES TR EAFE VALUE ETF 464288877 264521 5405 SH SOLE Spectrum Asset Management Inc. 5405 0 0 ISHARES TR IBONDS 25 TRM TS 46436E866 255541 11048 SH SOLE Spectrum Asset Management Inc. 11048 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 243240 3000 SH SOLE Spectrum Asset Management Inc. 3000 0 0 ISHARES TR EAFE GRWTH ETF 464288885 232324 2435 SH SOLE Spectrum Asset Management Inc. 2435 0 0 MARRIOTT INTL INC NEW CL A 571903202 371054 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 540928 1813 SH SOLE Spectrum Asset Management Inc. 1813 0 0 MCKESSON CORP COM 58155Q103 256710 600 SH SOLE Spectrum Asset Management Inc. 600 0 0 MEDTRONIC PLC SHS G5960L103 2415541 27198 SH SOLE Spectrum Asset Management Inc. 27198 0 0 MEDTRONIC PLC SHS G5960L103 14908 168 SH DFND Spectrum Asset Management Inc. 0 0 168 MICROSOFT CORP COM 594918104 4272483 12546 SH SOLE Spectrum Asset Management Inc. 12546 0 0 MICROSOFT CORP COM 594918104 11579 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 352926 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 441048 3984 SH SOLE Spectrum Asset Management Inc. 3984 0 0 NORTHROP GRUMMAN CORP COM 666807102 261630 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 NVIDIA CORPORATION COM 67066G104 223844 529 SH SOLE Spectrum Asset Management Inc. 529 0 0 ORACLE CORP COM 68389X105 3348930 28121 SH SOLE Spectrum Asset Management Inc. 28121 0 0 PEPSICO INC COM 713448108 455204 2458 SH SOLE Spectrum Asset Management Inc. 2458 0 0 PFIZER INC COM 717081103 246123 6710 SH SOLE Spectrum Asset Management Inc. 6710 0 0 PFIZER INC COM 717081103 12105 330 SH DFND Spectrum Asset Management Inc. 0 0 330 PROSHARES TR SHORT S&P 500 NE 74347B425 9154568 659551 SH SOLE Spectrum Asset Management Inc. 659551 0 0 QUALCOMM INC COM 747525103 1315988 11055 SH SOLE Spectrum Asset Management Inc. 11055 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 354909 3623 SH SOLE Spectrum Asset Management Inc. 3623 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 17143 175 SH DFND Spectrum Asset Management Inc. 0 0 175 ROCKWELL AUTOMATION INC COM 773903109 1233791 3745 SH SOLE Spectrum Asset Management Inc. 3745 0 0 SCHLUMBERGER LTD COM STK 806857108 978979 19914 SH SOLE Spectrum Asset Management Inc. 19914 0 0 SCHWAB CHARLES CORP COM 808513105 3734324 65884 SH SOLE Spectrum Asset Management Inc. 65884 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15803213 235552 SH SOLE Spectrum Asset Management Inc. 235552 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 7053035 94103 SH SOLE Spectrum Asset Management Inc. 94103 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 2301279 64552 SH SOLE Spectrum Asset Management Inc. 64552 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1972889 38160 SH SOLE Spectrum Asset Management Inc. 38160 0 0 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 346439 7030 SH SOLE Spectrum Asset Management Inc. 7030 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 212426 4420 SH SOLE Spectrum Asset Management Inc. 4420 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 3205779 39495 SH SOLE Spectrum Asset Management Inc. 39495 0 0 SEMPRA COM 816851109 2925088 20091 SH SOLE Spectrum Asset Management Inc. 20091 0 0 SPDR GOLD TR GOLD SHS 78463V107 223551 1254 SH SOLE Spectrum Asset Management Inc. 1254 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 256578 7885 SH SOLE Spectrum Asset Management Inc. 7885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1144792 2573 SH SOLE Spectrum Asset Management Inc. 2573 0 0 TENON MEDICAL INC COM 88066N105 58834 213786 SH SOLE Spectrum Asset Management Inc. 213786 0 0 TESLA INC COM 88160R101 1354213 5173 SH SOLE Spectrum Asset Management Inc. 5173 0 0 TEXAS INSTRS INC COM 882508104 326737 1815 SH SOLE Spectrum Asset Management Inc. 1815 0 0 UNITEDHEALTH GROUP INC COM 91324P102 554178 1153 SH SOLE Spectrum Asset Management Inc. 1153 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2557676 9039 SH SOLE Spectrum Asset Management Inc. 9039 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 425805 1933 SH SOLE Spectrum Asset Management Inc. 1933 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 3332594 16534 SH SOLE Spectrum Asset Management Inc. 16534 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 918852 19897 SH SOLE Spectrum Asset Management Inc. 19897 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1539958 41408 SH SOLE Spectrum Asset Management Inc. 41408 0 0 VICI PPTYS INC COM 925652109 13763 433 SH DFND Spectrum Asset Management Inc. 0 0 433 VISA INC COM CL A 92826C839 435786 1835 SH SOLE Spectrum Asset Management Inc. 1835 0 0 VOLITIONRX LTD COM 928661107 77279 55596 SH SOLE Spectrum Asset Management Inc. 55596 0 0 WALMART INC COM 931142103 1524327 9698 SH SOLE Spectrum Asset Management Inc. 9698 0 0