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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 2015-09-30. Historical analysis on the top 100 Holdings are available by clicking on the Issuer Name in the list.


Historical 13F Holdings - 2015-09-30

Issuer Title of Class CUSIP Value(1000s) Share SH/PRN Put/Call Investment Discretion Other Manager Sole Shared None
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 16268 628825 SH SOLE 628825 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 1033 39930 SH DFND 39930 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 1691 65500 SH DFND 65500 0 0
BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 16822 651206 SH SOLE 651206 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 406 15867 SH DFND 15867 0 0
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 28126 1098709 SH SOLE 1098709 0 0
BARCLAYS BK PLC ADR 2 PREF 2 06739F390 14277 559863 SH SOLE 559863 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 11763 966571 SH SOLE 966571 0 0
DIGITAL RLTY TR INC CONV PFD I 253868863 5084 205498 SH SOLE 205498 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11168 670344 SH SOLE 670344 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 36640 1448250 SH SOLE 1448250 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 1799 71103 SH DFND 71103 0 0
ING GROEP N V DBCV 6.500%12/2 456837AF0 16669 17500000 SH SOLE 17500000 0 0
KEYCORP NEW PFD 7.75% SR A 493267405 655 5000 SH DFND 5000 0 0
KEYCORP NEW PFD 7.75% SR A 493267405 374 2850 SH SOLE 2850 0 0
NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 288 11273 SH DFND 11273 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF T 780097713 600 23777 SH SOLE 23777 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 351 14053 SH SOLE 14053 0 0
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS R 780097747 445 17974 SH SOLE 17974 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 3890 160293 SH DFND 160293 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 52984 1307633 SH SOLE 1307633 0 0
ROYAL BK SCOTLAND GROUP PLC SPON ADR SER H 780097879 1581 62337 SH SOLE 62337 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 89211 76379 SH SOLE 76379 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 3341 2861 SH DFND 2861 0 0