Spectrum Asset Management, Inc. (NB/CA) — Q1 2015 13F Holdings

Name: Spectrum Asset Management, Inc. (NB/CA) — 13F Holdings, Q1 2015
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001632078

Total reported value

$314.8M

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	SDY	Ss Spdr S&p Dividend ETF	ETF-Other	10.27%	—	-0.83%
2	✓	Powershares Qqq Trust Ser 1	Stock-Other	7.81%	—	-6.98%
3	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	7.75%	—	+32.39%
4	VIG	Vanguard Dividend Apprec ETF	ETF-Other	6.98%	—	-0.71%
5	SCHG	Schwab US Large-cap Growth	ETF-Other	5.88%	-0.72%	+0.04%
6	VUG	Vanguard Growth ETF	ETF-Other	4.93%	-0.24%	-4.59%
7	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	4.71%	—	+21.61%
8	MCHI	Ishares Msci China ETF	ETF-Emerging Markets	4.11%	—	-3.41%
9	XLF	Ss Financial Select Sector	ETF-Other	4.02%	—	-2.31%
10	✓	Guggenheim	Stock-Other	3.46%	—	-1.32%
11	XLE	Ss Energy Select Sector	ETF-Other	3.07%	+0.31%	-4.63%
12	IWC	Ishares Micro-cap ETF	ETF-Other	2.50%	—	-0.76%
13	AAPL	Apple INC	Stock-Tech	2.41%	—	-3.64%
14	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	2.14%	—	+8.38%
15	DIS	Walt Disney Co/the	Stock-Comm Services	1.85%	—	-5.21%
16	AVGO	Broadcom Inc.	Stock-Tech	1.83%	—	-3.49%
17	SWKS	Skyworks Solutions INC	Stock-Tech	1.57%	—	-3.20%
18	TEL	TE Connectivity plc	Stock-Tech	1.21%	—	-3.04%
19	NVO	Novo-nordisk A/s-spons Adr	Stock-Healthcare	1.07%	—	—
20	ABT	Abbott Laboratories	Stock-Healthcare	1.07%	-0.91%	EXIT
21	MSFT	Microsoft CORP	Stock-Tech	1.04%	-0.74%	-1.36%
22	SYK	Stryker CORP	Stock-Healthcare	1.03%	—	-3.06%
23	✓	St Jude Med INC	Stock-Other	1.03%	—	-3.00%
24	WFC	Wells Fargo & Co	Stock-Financials	1.02%	+10.49%	NEW
25	ROBO	Robo Global Robotics And Aut	ETF-Other	1.01%	—	-2.53%
26	MA	Mastercard INC - A	Stock-Financials	0.97%	—	-3.42%
27	✓	Abaxis INC	Stock-Other	0.96%	—	—
28	✓	Brocade Communications Sys I	Stock-Other	0.96%	—	-3.17%
29	MRSH	Marsh & Mclennan Cos	Stock-Financials	0.93%	—	-3.34%
30	✓	Rydex ETF Trust	ETF-Other	0.93%	—	-2.58%
31	MDT	Medtronic plc	Stock-Healthcare	0.91%	—	—
32	IEV	Ishares Europe ETF	ETF-Other	0.87%	—	-1.57%
33	TMK	Torchmark CORP	Stock-Other	0.84%	—	-3.61%
34	IJK	Ishares S&p Mid-cap 400 Grow	ETF-Other	0.78%	—	-3.19%
35	CVX	Chevron CORP	Stock-Energy	0.73%	+0.59%	+0.22%
36	BTU	Peabody Energy Corporation	Stock-Energy	0.58%	—	—
37	XOM	Exxon Mobil CORP	Stock-Energy	0.53%	+0.62%	-3.44%
38	NVR	Nvr INC	Stock-Consumer Disc	0.52%	—	—
39	NG	Novagold Resources INC	Stock-Other	0.46%	—	—
40	BIV	Vanguard Intermediate-term B	ETF-Other	0.44%	—	—
41	PFE	Pfizer INC	Stock-Healthcare	0.43%	—	—
42	SCHB	Schwab US Broad Market ETF	ETF-Other	0.42%	—	-4.34%
43	FFIV	F5 INC	Stock-Tech	0.40%	—	—
44	MINT	Pimco Enhanced Short Maturit	ETF-Other	0.37%	—	—
45	✓	iSHARES NASDAQ 100 UCITS ETF	ETF-Tech	0.36%	—	—
46	CWI	State Street Spdr Msci Acwi	ETF-Other	0.34%	—	+14.50%
47	MO	Altria Group INC	Stock-Consumer Staples	0.33%	—	—
48	INTC	Intel CORP	Stock-Tech	0.28%	—	-75.62%
49	EBAY	Ebay INC	Stock-Consumer Disc	0.26%	—	—
50	T	At&t INC	Stock-Comm Services	0.26%	—	-3.27%

1–50 of 59

Holding changes this quarter

Position changes disclosed by Spectrum Asset Management, Inc. (NB/CA) for the quarter ending Q1 2015, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	GOF	Guggenheim Strategic Opportunities Fund	+2.3%	+32.39%	Add
2	GOF	Guggenheim Strategic Opportunities Fund	+1.1%	+21.61%	Add
3	SCHG	Schwab US Large-cap Growth	+0.6%	+0.04%	Add
4	SDY	Ss Spdr S&p Dividend ETF	+0.5%	-0.83%	Trim
5	SWKS	Skyworks Solutions INC	+0.4%	-3.20%	Trim
6	MCHI	Ishares Msci China ETF	+0.4%	-3.41%	Trim
7	AVGO	Broadcom Inc.	+0.4%	-3.49%	Trim
8	AAPL	Apple INC	+0.3%	-3.64%	Trim
9	VIG	Vanguard Dividend Apprec ETF	+0.3%	-0.71%	Trim
10	GOF	Guggenheim Strategic Opportunities Fund	+0.3%	+8.38%	Add
11	DIS	Walt Disney Co/the	+0.2%	-5.21%	Trim
12	IWC	Ishares Micro-cap ETF	+0.2%	-0.76%	Trim
13	TEL	TE Connectivity plc	+0.2%	-3.04%	Trim
14	✓	Rydex ETF Trust	+0.1%	-2.58%	Trim
15	✓	Powershares Qqq Trust Ser 1	+0.1%	-6.98%	Trim
16	VUG	Vanguard Growth ETF	+0.1%	-4.59%	Trim
17	CWI	State Street Spdr Msci Acwi	+0.1%	+14.50%	Add
18	PFE	Pfizer INC	+0.1%	—	Unchanged
19	IJK	Ishares S&p Mid-cap 400 Grow	+0.1%	-3.19%	Trim
20	IEV	Ishares Europe ETF	+0.1%	-1.57%	Trim
21	XLF	Ss Financial Select Sector	+0.1%	-2.31%	Trim
22	✓	Orange County Bus Bank	+0.1%	—	Unchanged
23	NVR	Nvr INC	+0.1%	—	Unchanged
24	✓	St Jude Med INC	0%	-3.00%	Trim
25	MA	Mastercard INC - A	0%	-3.42%	Trim
26	✓	Brocade Communications Sys I	0%	-3.17%	Trim
27	TMK	Torchmark CORP	0%	-3.61%	Trim
28	BTU	Peabody Energy Corporation	0%	—	Unchanged
29	SYK	Stryker CORP	0%	-3.06%	Trim
30	MRSH	Marsh & Mclennan Cos	0%	-3.34%	Trim
31	CVX	Chevron CORP	—	+0.22%	Add
32	XLE	Ss Energy Select Sector	0%	-4.63%	Trim
33	MRK	Merck & Co. INC.	0%	-11.36%	Trim
34	FFIV	F5 INC	0%	—	Unchanged
35	XOM	Exxon Mobil CORP	0%	-3.44%	Trim
36	MSFT	Microsoft CORP	-0.1%	-1.36%	Trim
37	INTC	Intel CORP	-1%	-75.62%	Trim
38	GOF	Guggenheim Strategic Opportunities Fund	—	EXIT	Sold out
39	OIH	Market Vectors Oil Service E	—	EXIT	Sold out
40	SNDK	Sandisk Corporation	—	EXIT	Sold out
41	NVO	Novo-nordisk A/s-spons Adr	—	NEW	New buy
42	✓	Abaxis INC	—	NEW	New buy
43	FWRDUSD	Forward Air CORP	—	EXIT	Sold out
44	MDT	Medtronic plc	—	NEW	New buy
45	LAZ	Lazard, Inc.	—	EXIT	Sold out
46	CDNS	Cadence Design Sys INC	—	EXIT	Sold out
47	✓	iSHARES NASDAQ 100 UCITS ETF	—	NEW	New buy
48	PG	Procter & Gamble Co/the	—	EXIT	Sold out
49	✓	Vanguard S&p 500 Ucits ETF Usd	—	NEW	New buy
50	AXGN	Axogen INC	—	EXIT	Sold out