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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 2017-03-31. Historical analysis on the top 100 Holdings are available by clicking on the Issuer Name in the list.


Historical 13F Holdings - 2017-03-31

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 15389 15000000 SH SOLE 15000000 0 0
BARCLAYS BANK PLC ADR PFD SR 5 06739H362 1964 75944 SH SOLE 75944 0 0
BARCLAYS PLC NOTE 8.250%12/3 06738EAA3 154856 147369000 SH SOLE 147369000 0 0
BARCLAYS PLC NOTE 6.625%12/3 06738EAB1 53047 53191000 SH SOLE 53191000 0 0
BLACKROCK CR ALLCTN INC TR COM 092508100 12720 966571 SH SOLE 966571 0 0
HANCOCK JOHN PFD INCOME FD I COM 41021P103 11920 646421 SH SOLE 646421 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 1760 67958 SH DFND 67958 0 0
HSBC HLDGS PLC ADR A 1/40PF A 404280604 24915 961950 SH SOLE 961950 0 0
HSBC HLDGS PLC NOTE 6.875%12/3 404280BC2 181215 170155000 SH SOLE 170155000 0 0
ING GROEP N V DBCV 6.500%12/3 456837AF0 54146 54500000 SH SOLE 54500000 0 0
ISHARES TR U.S. PFD STK ETF 464288687 426 11017 SH SOLE 11017 0 0
LLOYDS BANKING GROUP PLC SDCV 7.500%12/3 539439AG4 186869 176692000 SH SOLE 176692000 0 0
NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 322 12353 SH SOLE 12353 0 0
NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 259 9963 SH DFND 9963 0 0
ROYAL BK OF SCOTLAND PLC DEBT 7.500%12/3 780099CJ4 142888 144880000 SH SOLE 144880000 0 0
ROYAL BK OF SCOTLAND PLC NOTE 8.000%12/3 780099CK1 34324 34500000 SH SOLE 34500000 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 1195 47130 SH SOLE 47130 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 4017 160293 SH DFND 160293 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 32604 1300988 SH SOLE 1300988 0 0
ROYAL BK SCOTLAND GROUP PLC SPON ADR SER H 780097879 981 38115 SH SOLE 38115 0 0
ROYAL BK SCOTLAND GROUP PLC NOTE 8.625%12/3 780097BB6 29190 28000000 SH SOLE 28000000 0 0
STANDARD CHARTERED PLC DEBT 6.500%12/3 G84228CE6 9826 10000000 SH SOLE 10000000 0 0
STANDARD CHARTERED PLC DEBT 7.500%12/3 G84228CQ9 8264 8000000 SH SOLE 8000000 0 0
STANDARD CHARTERED PLC DEBT 7.750%12/3 G84228CX4 15450 15000000 SH SOLE 15000000 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 98180 79240 SH SOLE 79240 0 0
WELLS FARGO & CO NEW PERP PFD CNV A 949746804 3545 2861 SH DFND 2861 0 0