UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number:3235-0006
Expires:July 31, 2015
Estimated average burden
hours per response:23.8
Report for the Calendar Year or Quarter Ended:
09-30-2020
Check here if Amendment: ☐ Amendment Number:
This Amendment (Check only one.):☐ is a restatement.
☐ adds new holdings entries.

Institutional Investment Manager Filing this Report:

Name:
Spectrum Asset Management, Inc.
Address:
2 HIGH RIDGE PARK
STAMFORD, CT 06905
Form 13F File Number:
028-11300

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.


Person Signing this Report on Behalf of Reporting Manager:
Name:
Joseph A. Hanczor
Title:
Managing Director and Chief Compliance Officer
Phone:
203-322-0189


Signature, Place, and Date of Signing:

Joseph A. Hanczor
                         [Signature]
Stamford, CONNECTICUT
                 [City, State]
11-02-2020
                           [Date]
                          

Report Type (Check only one.):

☒ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) 

☐ 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) 

☐ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)


Form 13F Summary Page

Report Summary:

Number of Other Included Managers:
1
Form 13F Information table Entry Total:
8
Form 13F Information table Value Total:
263224
          (thousands)

List of Other Included Managers:

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column headings and list entries.]

No.Form 13F File NumberNameCIK
1
028-16475
SEI
 


UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number:3235-0006
Expires:July 31, 2015
Estimated average burden
hours per response:23.8
COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
BK OF AMERICA CORP7.25%CNV PFD L06050568231,92421,454SHSOLE21,454 0 0
BLACKROCK CR ALLOCATION INCOCOM09250810010,283723,135SHSOLE723,135 0 0
HANCOCK JOHN PFD INCOME FD ICOM41021P10310,330646,421SHSOLE646,421 0 0
INVESCO EXCH TRADED FD TR IIPFD ETF46138E51110,272697,383SHSOLE697,383 0 0
ISHARES TRCORE US AGGBD ET4642872263252,754SHSOLE2,754 0 0
ISHARES TRPFD AND INCM SEC46428868742,9931,179,494SHSOLE1,179,494 0 0
WELLS FARGO CO NEWPERP PFD CNV A949746804154,206114,903SHSOLE114,903 0 0
WELLS FARGO CO NEWPERP PFD CNV A9497468042,8912,154SHDFND12,154 0 0