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Spectrum Asset Management Inc

Last Updated: 3/2/2021

Spectrum Asset Management Inc is a Corporation that started in 1987 and is primarily owned and controlled by Mark Lieb, and later acquired in 2001 by PGI, the asset management arm of The Principal Financial Group.. To see a profile of the company, click here.

Below is the 13F Filing for Spectrum Asset Management Inc for Report Period 2016-09-30. Historical analysis on the top 100 Holdings are available by clicking on the Issuer Name in the list.


Historical 13F Holdings - 2016-09-30

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
AUSTRALIA & NEW ZEALA BKG 14 DEBT 4.400% 5/1 Q0426RND6 15921 15000000 SH SOLE 15000000 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 1039 39930 SH DFND 39930 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 14462 555577 SH SOLE 555577 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 409 15867 SH DFND 15867 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28141 1092862 SH SOLE 1092862 0 0
BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 3895 3900000 SH DFND 3900000 0 0
BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 154541 154734000 SH SOLE 154734000 0 0
BARCLAYS PLC PRFD 6.625%12/3 06738EAB1 82260 90148000 SH SOLE 90148000 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 12904 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 12502 646421 SH SOLE 646421 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 32760 1277204 SH SOLE 1277204 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 1824 71103 SH DFND 71103 0 0
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 3328 3200000 SH DFND 3200000 0 0
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 5200 5000000 SH DFND 5000000 0 0
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 134269 129105000 SH SOLE 129105000 0 0
ING GROEP N V DBCV 6.500%12/3 456837AF0 52831 54500000 SH SOLE 54500000 0 0
KEYCORP NEW PFD 7.75% SR A 493267405 683 5000 SH DFND 5000 0 0
KEYCORP NEW PFD 7.75% SR A 493267405 1072 7850 SH SOLE 7850 0 0
LLOYDS BANKING GROUP PLC SDCV 7.500%12/3 539439AG4 197547 191292000 SH SOLE 191292000 0 0
LLOYDS BANKING GROUP PLC SDCV 7.500%12/3 539439AG4 1033 1000000 SH DFND 1000000 0 0
NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 256 9963 SH DFND 9963 0 0
NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 318 12353 SH SOLE 12353 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 642 700000 SH DFND 700000 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 7340 8000000 SH DFND 8000000 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 141919 154680000 SH SOLE 154680000 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 32430 34500000 SH SOLE 34500000 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 188 200000 SH DFND 200000 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 518 20504 SH SOLE 20504 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 27105 1080737 SH SOLE 1080737 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 4020 160293 SH DFND 160293 0 0
ROYAL BK SCOTLAND GROUP PLC SPON ADR SER H 780097879 1225 48145 SH SOLE 48145 0 0
ROYAL BK SCOTLAND GROUP PLC NOTE 8.625%12/3 780097BB6 1958 2000000 SH DFND 2000000 0 0
ROYAL BK SCOTLAND GROUP PLC NOTE 8.625%12/3 780097BB6 19575 20000000 SH SOLE 20000000 0 0
STANDARD CHARTERED PLC DEBT 6.500%12/3 G84228CE6 9302 10000000 SH SOLE 10000000 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 103747 79240 SH SOLE 79240 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 3746 2861 SH DFND 2861 0 0