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0001632078-24-000002.txt : 20240125 0001632078-24-000002.hdr.sgml : 20240125 20240124192239 ACCESSION NUMBER: 0001632078-24-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240125 DATE AS OF CHANGE: 20240124 EFFECTIVENESS DATE: 20240125 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: 24558291 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 12-31-2023 12-31-2023 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 720 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Tony Jung COO 949-717-3400 Tony Jung Newport Beach CA 01-24-2024 0 115 225856849 false INFORMATION TABLE 2 F13F.xml 4Q23 13F-HR HOLDINGS REPORT ABBOTT LABS COM 002824100 1849397 16802 SH SOLE Spectrum Asset Management Inc. 16802 0 0 ABBVIE INC COM 00287Y109 3400981 21946 SH SOLE Spectrum Asset Management Inc. 21946 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 30680 11207 SH SOLE Spectrum Asset Management Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3663150 10439 SH SOLE Spectrum Asset Management Inc. 10439 0 0 ALPHABET INC CAP STK CL A 02079K305 657940 4710 SH SOLE Spectrum Asset Management Inc. 4710 0 0 AMERICOLD REALTY TRUST INC COM 03064D108 2672205 87642 SH SOLE Spectrum Asset Management Inc. 87642 0 0 APPLE INC COM 037833100 3835995 19924 SH SOLE Spectrum Asset Management Inc. 19924 0 0 APPLE INC PUT 037833100 2217 3300 PRN Put SOLE Spectrum Asset Management Inc. 3300 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2983461 8365 SH SOLE Spectrum Asset Management Inc. 8365 0 0 BORGWARNER INC COM 099724106 2188213 61038 SH SOLE Spectrum Asset Management Inc. 61038 0 0 BUNGE GLOBAL SA COM SHS H11356104 2742509 27167 SH SOLE Spectrum Asset Management Inc. 27167 0 0 CALIDI BIOTHERAPEUTICS INC COM NEW 320703101 251406 166494 SH SOLE Spectrum Asset Management Inc. 166494 0 0 CF INDS HLDGS INC COM 125269100 2224331 27979 SH SOLE Spectrum Asset Management Inc. 27979 0 0 CHESAPEAKE ENERGY CORP COM 165167735 739000 9605 SH SOLE Spectrum Asset Management Inc. 9605 0 0 CHEVRON CORP NEW COM 166764100 6288831 42162 SH SOLE Spectrum Asset Management Inc. 42162 0 0 CHEVRON CORP NEW COM 166764100 15662 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 3373278 66771 SH SOLE Spectrum Asset Management Inc. 66771 0 0 CISCO SYS INC COM 17275R102 16318 323 SH DFND Spectrum Asset Management Inc. 0 0 323 CONOCOPHILLIPS COM 20825C104 938543 8086 SH SOLE Spectrum Asset Management Inc. 8086 0 0 CONOCOPHILLIPS COM 20825C104 17643 152 SH DFND Spectrum Asset Management Inc. 0 0 152 COSTCO WHSL CORP NEW COM 22160K105 1369581 2029 SH SOLE Spectrum Asset Management Inc. 2029 0 0 DEERE & CO COM 244199105 1256596 3131 SH SOLE Spectrum Asset Management Inc. 3131 0 0 DISNEY WALT CO CALL 254687106 6270 4000 PRN Call SOLE Spectrum Asset Management Inc. 4000 0 0 DISNEY WALT CO COM 254687106 308627 3407 SH SOLE Spectrum Asset Management Inc. 3407 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 3034441 31270 SH SOLE Spectrum Asset Management Inc. 31270 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 18826 194 SH DFND Spectrum Asset Management Inc. 0 0 194 EDWARDS LIFESCIENCES CORP COM 28176E108 210527 2761 SH SOLE Spectrum Asset Management Inc. 2761 0 0 EMERSON ELEC CO COM 291011104 2507416 25762 SH SOLE Spectrum Asset Management Inc. 25762 0 0 EXXON MOBIL CORP COM 30231G102 3477431 34781 SH SOLE Spectrum Asset Management Inc. 34781 0 0 EXXON MOBIL CORP COM 30231G102 16497 165 SH DFND Spectrum Asset Management Inc. 0 0 165 GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 36266G107 740108 9572 SH SOLE Spectrum Asset Management Inc. 9572 0 0 GENERAL DYNAMICS CORP COM 369550108 3456208 13310 SH SOLE Spectrum Asset Management Inc. 13310 0 0 GENERAL DYNAMICS CORP COM 369550108 18177 70 SH DFND Spectrum Asset Management Inc. 0 0 70 GLOBAL X FDS GLBL X MLP ETF 37954Y343 310986 7020 SH SOLE Spectrum Asset Management Inc. 7020 0 0 HEARTBEAM INC COM 42238H108 105515 44900 SH SOLE Spectrum Asset Management Inc. 44900 0 0 HONEYWELL INTL INC COM 438516106 4417542 21065 SH SOLE Spectrum Asset Management Inc. 21065 0 0 INTEL CORP COM 458140100 5069878 100893 SH SOLE Spectrum Asset Management Inc. 100893 0 0 INTEL CORP COM 458140100 13065 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 3639776 23066 SH SOLE Spectrum Asset Management Inc. 23066 0 0 ISHARES GOLD TR ISHARES NEW 464285204 9543811 244525 SH SOLE Spectrum Asset Management Inc. 244525 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 6312827 60168 SH SOLE Spectrum Asset Management Inc. 60168 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 6312827 60168 SH SOLE Spectrum Asset Management Inc. 60168 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 4112650 52706 SH SOLE Spectrum Asset Management Inc. 52706 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 4112650 52706 SH SOLE Spectrum Asset Management Inc. 52706 0 0 ISHARES TR US TREAS BD ETF 46429B267 1118224 48534 SH SOLE Spectrum Asset Management Inc. 48534 0 0 ISHARES TR US TREAS BD ETF 46429B267 1118224 48534 SH SOLE Spectrum Asset Management Inc. 48534 0 0 ISHARES TR 20 YR TR BD ETF 464287432 827626 8370 SH SOLE Spectrum Asset Management Inc. 8370 0 0 ISHARES TR RUS 1000 ETF 464287622 640449 2442 SH SOLE Spectrum Asset Management Inc. 2442 0 0 ISHARES TR CORE S&P500 ETF 464287200 571611 1197 SH SOLE Spectrum Asset Management Inc. 1197 0 0 ISHARES TR IBONDS 27 TRM TS 46436E841 406553 18158 SH SOLE Spectrum Asset Management Inc. 18158 0 0 ISHARES TR IBONDS 27 TRM TS 46436E841 406553 18158 SH SOLE Spectrum Asset Management Inc. 18158 0 0 ISHARES TR IBONDS 25 TRM TS 46436E866 344102 14781 SH SOLE Spectrum Asset Management Inc. 14781 0 0 ISHARES TR IBONDS 25 TRM TS 46436E866 344102 14781 SH SOLE Spectrum Asset Management Inc. 14781 0 0 ISHARES TR IBONDS 26 TRM TS 46436E858 321845 14082 SH SOLE Spectrum Asset Management Inc. 14082 0 0 ISHARES TR IBONDS 26 TRM TS 46436E858 321845 14082 SH SOLE Spectrum Asset Management Inc. 14082 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 246120 3000 SH SOLE Spectrum Asset Management Inc. 3000 0 0 ISHARES TR CORE TOTAL USD 46434V613 211692 4595 SH SOLE Spectrum Asset Management Inc. 4595 0 0 MARRIOTT INTL INC NEW CL A 571903202 455531 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 537768 1814 SH SOLE Spectrum Asset Management Inc. 1814 0 0 MCKESSON CORP COM 58155Q103 278160 600 SH SOLE Spectrum Asset Management Inc. 600 0 0 MEDTRONIC PLC SHS G5960L103 3335407 40153 SH SOLE Spectrum Asset Management Inc. 40153 0 0 MEDTRONIC PLC SHS G5960L103 3335407 40153 SH SOLE Spectrum Asset Management Inc. 40153 0 0 MEDTRONIC PLC SHS G5960L103 15192 183 SH DFND Spectrum Asset Management Inc. 0 0 183 MERCADOLIBRE INC COM 58733R102 363026 231 SH SOLE Spectrum Asset Management Inc. 231 0 0 MICROSOFT CORP COM 594918104 4575659 12168 SH SOLE Spectrum Asset Management Inc. 12168 0 0 MICROSOFT CORP COM 594918104 12786 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 515232 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 433997 3984 SH SOLE Spectrum Asset Management Inc. 3984 0 0 NORTHROP GRUMMAN CORP COM 666807102 268713 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 NVIDIA CORPORATION COM 67066G104 269488 544 SH SOLE Spectrum Asset Management Inc. 544 0 0 ORACLE CORP COM 68389X105 2756046 26141 SH SOLE Spectrum Asset Management Inc. 26141 0 0 PEPSICO INC COM 713448108 289290 1685 SH SOLE Spectrum Asset Management Inc. 1685 0 0 PIONEER NAT RES CO COM 723787107 206215 917 SH SOLE Spectrum Asset Management Inc. 917 0 0 QUALCOMM INC COM 747525103 1723990 11920 SH SOLE Spectrum Asset Management Inc. 11920 0 0 ROCKWELL AUTOMATION INC COM 773903109 821841 2647 SH SOLE Spectrum Asset Management Inc. 2647 0 0 ROYAL BK CDA COM 780087102 202260 2000 SH SOLE Spectrum Asset Management Inc. 2000 0 0 RTX CORPORATION COM 75513E101 303279 3604 SH SOLE Spectrum Asset Management Inc. 3604 0 0 RTX CORPORATION COM 75513E101 15987 190 SH DFND Spectrum Asset Management Inc. 0 0 190 SCHLUMBERGER LTD COM STK 806857108 944950 18071 SH SOLE Spectrum Asset Management Inc. 18071 0 0 SCHWAB CHARLES CORP COM 808513105 4814885 69984 SH SOLE Spectrum Asset Management Inc. 69984 0 0 SCHWAB CHARLES FAMILY FD AMT TAX FREE MNY 808515530 3638000 3638000 SH SOLE Spectrum Asset Management Inc. 3638000 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15365134 219189 SH SOLE Spectrum Asset Management Inc. 219189 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15365134 219189 SH SOLE Spectrum Asset Management Inc. 219189 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 7510389 90504 SH SOLE Spectrum Asset Management Inc. 90504 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 7510389 90504 SH SOLE Spectrum Asset Management Inc. 90504 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 2309150 62477 SH SOLE Spectrum Asset Management Inc. 62477 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 2309150 62477 SH SOLE Spectrum Asset Management Inc. 62477 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1996773 35868 SH SOLE Spectrum Asset Management Inc. 35868 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1996773 35868 SH SOLE Spectrum Asset Management Inc. 35868 0 0 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 347046 6980 SH SOLE Spectrum Asset Management Inc. 6980 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2262211 35721 SH SOLE Spectrum Asset Management Inc. 35721 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2262211 35721 SH SOLE Spectrum Asset Management Inc. 35721 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 333013 3972 SH SOLE Spectrum Asset Management Inc. 3972 0 0 SEMPRA COM 816851109 3012943 40040 SH SOLE Spectrum Asset Management Inc. 40040 0 0 SKYLINE CHAMPION CORPORATION COM 830830105 287312 3869 SH SOLE Spectrum Asset Management Inc. 3869 0 0 SPDR GOLD TR GOLD SHS 78463V107 239728 1254 SH SOLE Spectrum Asset Management Inc. 1254 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 268169 7885 SH SOLE Spectrum Asset Management Inc. 7885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1230362 2578 SH SOLE Spectrum Asset Management Inc. 2578 0 0 TENON MEDICAL INC COM NEW 88066N204 131553 83261 SH SOLE Spectrum Asset Management Inc. 83261 0 0 TENON MEDICAL INC *W EXP 06/16/202 88066N113 17227 1070000 SH SOLE Spectrum Asset Management Inc. 1070000 0 0 TESLA INC COM 88160R101 1197249 4818 SH SOLE Spectrum Asset Management Inc. 4818 0 0 TEXAS INSTRS INC COM 882508104 289782 1700 SH SOLE Spectrum Asset Management Inc. 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 607020 1153 SH SOLE Spectrum Asset Management Inc. 1153 0 0 VANECK ETF TRUST GOLD MINERS ETF 92189F106 1892696 61035 SH SOLE Spectrum Asset Management Inc. 61035 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2803827 9019 SH SOLE Spectrum Asset Management Inc. 9019 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 458550 1933 SH SOLE Spectrum Asset Management Inc. 1933 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 4042677 18635 SH SOLE Spectrum Asset Management Inc. 18635 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 4042677 18635 SH SOLE Spectrum Asset Management Inc. 18635 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 916497 19134 SH SOLE Spectrum Asset Management Inc. 19134 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 916497 19134 SH SOLE Spectrum Asset Management Inc. 19134 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1770522 46963 SH SOLE Spectrum Asset Management Inc. 46963 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1770522 46963 SH SOLE Spectrum Asset Management Inc. 46963 0 0 VISA INC COM CL A 92826C839 1301546 4999 SH SOLE Spectrum Asset Management Inc. 4999 0 0 VOLITIONRX LTD COM 928661107 39863 55596 SH SOLE Spectrum Asset Management Inc. 55596 0 0 WALMART INC COM 931142103 3796210 23995 SH SOLE Spectrum Asset Management Inc. 23995 0 0