Spectrum Asset Management, Inc. (NB/CA) — Q3 2015 13F Holdings

Name: Spectrum Asset Management, Inc. (NB/CA) — 13F Holdings, Q3 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	12.43%	—	+1.62%
2	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	10.69%	—	-1.30%
3	✓	Powershares Qqq Trust Ser 1	Stock-Other	9.91%	—	-1.27%
4	SCHG	Schwab US Large-cap Growth	ETF-Other	8.21%	-0.72%	+6.66%
5	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	6.22%	—	-1.02%
6	VUG	Vanguard Growth ETF	ETF-Other	5.31%	-0.24%	-0.86%
7	XLF	Ss Financial Select Sector	ETF-Other	4.77%	—	+0.22%
8	MCHI	Ishares Msci China ETF	ETF-Emerging Markets	4.13%	—	-2.35%
9	KBE	Ss Spdr S&p Bank ETF	ETF-Other	3.04%	—	+0.04%
10	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	2.26%	—	—
11	AAPL	Apple INC	Stock-Tech	1.69%	—	-39.53%
12	✓	Vanguard S&p 500 Ucits ETF Usd	ETF-Large Cap & Growth	1.57%	—	—
13	MSFT	Microsoft CORP	Stock-Tech	1.52%	-0.74%	+0.69%
14	NVO	Novo-nordisk A/s-spons Adr	Stock-Healthcare	1.51%	—	+4.40%
15	SYK	Stryker CORP	Stock-Healthcare	1.38%	—	-0.64%
16	MA	Mastercard INC - A	Stock-Financials	1.33%	—	—
17	ZD	Ziff Davis INC	Stock-Other	1.31%	—	-0.63%
18	✓	St Jude Med INC	Stock-Other	1.29%	—	—
19	ISBCUSD	Investors Bancorp INC	Stock-Other	1.23%	—	-0.47%
20	WFC	Wells Fargo & Co	Stock-Financials	1.23%	+10.49%	NEW
21	DIS	Walt Disney Co/the	Stock-Comm Services	1.23%	—	-47.49%
22	AVGO	Broadcom Inc.	Stock-Tech	1.21%	—	-48.67%
23	MRSH	Marsh & Mclennan Cos	Stock-Financials	1.14%	—	—
24	TMK	Torchmark CORP	Stock-Other	1.13%	—	-0.87%
25	IEV	Ishares Europe ETF	ETF-Other	1.10%	—	+2.17%
26	✓	Rydex ETF Trust	ETF-Other	1.02%	—	-5.33%
27	IJK	Ishares S&p Mid-cap 400 Grow	ETF-Other	0.92%	—	+3.96%
28	✓	iSHARES NASDAQ 100 UCITS ETF	ETF-Tech	0.84%	—	—
29	NVR	Nvr INC	Stock-Consumer Disc	0.80%	—	—
30	NG	Novagold Resources INC	Stock-Other	0.75%	—	—
31	CVX	Chevron CORP	Stock-Energy	0.74%	+0.59%	+0.29%
32	BTU	Peabody Energy Corporation	Stock-Energy	0.69%	—	—
33	✓	iSHARES MSCI WORLD UCITS ETF	ETF-Other	0.56%	—	—
34	HSIC	Henry Schein INC	Stock-Healthcare	0.55%	—	-1.12%
35	SCHB	Schwab US Broad Market ETF	ETF-Other	0.53%	—	-0.81%
36	XOM	Exxon Mobil CORP	Stock-Energy	0.51%	+0.62%	-13.34%
37	✓	iSHS MSCI USA DIV IQ UCITS ETF	ETF-Other	0.50%	—	—
38	PFE	Pfizer INC	Stock-Healthcare	0.50%	—	—
39	BIV	Vanguard Intermediate-term B	ETF-Other	0.46%	—	—
40	MO	Altria Group INC	Stock-Consumer Staples	0.44%	—	-7.32%
41	✓	iSHS CHINA LRGE CAP UCITS ETF	ETF-Emerging Markets	0.42%	—	—
42	CWI	State Street Spdr Msci Acwi	ETF-Other	0.41%	—	+1.23%
43	✓	Orange County Bus Bank	Stock-Other	0.36%	—	—
44	INTC	Intel CORP	Stock-Tech	0.35%	—	—
45	IWP	Ishares Russell Mid-cap Grow	ETF-Other	0.32%	—	-4.04%
46	T	At&t INC	Stock-Comm Services	0.31%	—	-5.14%
47	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	0.28%	—	—
48	EIX	Edison International	Stock-Utilities	0.27%	—	—
49	NKE	Nike INC -cl B	Stock-Consumer Disc	0.25%	—	—
50	BRK-B	Berkshire Hathaway Inc-cl B	Stock-Other	0.24%	-0.22%	-1.66%

1–50 of 53

Holding changes this quarter

Position changes disclosed by Spectrum Asset Management, Inc. (NB/CA) for the quarter ending Q3 2015, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	SDY	Ss Spdr S&p Dividend ETF	+2.9%	+1.62%	Add
2	GOF	Guggenheim Strategic Opportunities Fund	+2.7%	-1.30%	Trim
3	✓	Powershares Qqq Trust Ser 1	+2.1%	-1.27%	Trim
4	SCHG	Schwab US Large-cap Growth	+2.1%	+6.66%	Add
5	GOF	Guggenheim Strategic Opportunities Fund	+1.6%	-1.02%	Trim
6	VUG	Vanguard Growth ETF	+1.1%	-0.86%	Trim
7	XLF	Ss Financial Select Sector	+1%	+0.22%	Add
8	KBE	Ss Spdr S&p Bank ETF	+0.6%	+0.04%	Add
9	NVO	Novo-nordisk A/s-spons Adr	+0.4%	+4.40%	Add
10	ZD	Ziff Davis INC	+0.4%	-0.63%	Trim
11	MA	Mastercard INC - A	+0.3%	—	Unchanged
12	✓	Vanguard S&p 500 Ucits ETF Usd	+0.3%	—	Unchanged
13	NVR	Nvr INC	+0.3%	—	Unchanged
14	TMK	Torchmark CORP	+0.3%	-0.87%	Trim
15	WFC	Wells Fargo & Co	+0.2%	-0.53%	Trim
16	MRSH	Marsh & Mclennan Cos	+0.2%	—	Unchanged
17	IEV	Ishares Europe ETF	+0.2%	+2.17%	Add
18	✓	St Jude Med INC	+0.2%	—	Unchanged
19	✓	iSHARES NASDAQ 100 UCITS ETF	+0.2%	—	Unchanged
20	MCHI	Ishares Msci China ETF	+0.2%	-2.35%	Trim
21	✓	Orange County Bus Bank	+0.1%	—	Unchanged
22	✓	Rydex ETF Trust	+0.1%	-5.33%	Trim
23	HSIC	Henry Schein INC	+0.1%	-1.12%	Trim
24	✓	iSHARES MSCI WORLD UCITS ETF	+0.1%	—	Unchanged
25	SCHB	Schwab US Broad Market ETF	+0.1%	-0.81%	Trim
26	CVX	Chevron CORP	+0.1%	+0.29%	Add
27	CWI	State Street Spdr Msci Acwi	+0.1%	+1.23%	Add
28	T	At&t INC	+0.1%	-5.14%	Trim
29	IWP	Ishares Russell Mid-cap Grow	+0.1%	-4.04%	Trim
30	XOM	Exxon Mobil CORP	0%	-13.34%	Trim
31	✓	iSHS CHINA LRGE CAP UCITS ETF	—	—	Unchanged
32	AVGO	Broadcom Inc.	-0.6%	-48.67%	Trim
33	AAPL	Apple INC	-0.7%	-39.53%	Trim
34	DIS	Walt Disney Co/the	-0.7%	-47.49%	Trim
35	VIG	Vanguard Dividend Apprec ETF	—	EXIT	Sold out
36	XLE	Ss Energy Select Sector	—	EXIT	Sold out
37	IWC	Ishares Micro-cap ETF	—	EXIT	Sold out
38	SWKS	Skyworks Solutions INC	—	EXIT	Sold out
39	✓	Guggenheim	—	EXIT	Sold out
40	ABT	Abbott Laboratories	—	EXIT	Sold out
41	AMT	TD Ameritrade Holding CORP	—	EXIT	Sold out
42	MDT	Medtronic plc	—	EXIT	Sold out
43	✓	Spdr S&p US Div Aris Ucits ETF	—	EXIT	Sold out
44	EBAY	Ebay INC	—	EXIT	Sold out
45	✓	iSHS III S&P SML CAP 600 UCITS	—	EXIT	Sold out
46	✓	Spdr S&p 400 US Mid Cap ETF	—	EXIT	Sold out
47	WMT	Walmart INC	—	EXIT	Sold out
48	NKE	Nike INC -cl B	—	NEW	New buy
49	JNJ	Johnson & Johnson	—	EXIT	Sold out
50	MRK	Merck & Co. INC.	—	EXIT	Sold out