13F-HR 1 spectrum0313.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 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 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: Vice President and Chief Compliance Officer Phone: 203-322-0189 Signature, Place, and Date of Signing: Joseph A. Haanczor Stamford, CT April 23, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 19 Form 13F Information Table Value Total: $256,609 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 28558 23372 SH SOLE 23372 0 0 BARCLAYS BANK PLC ADR PFD SR 5 06739H362 26309 1029291 SH SOLE 1029291 0 0 BARCLAYS BANK PLC ADS7.75%PFD S4 06739H511 20845 812654 SH SOLE 812654 0 0 BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 29516 1157930 SH SOLE 1157930 0 0 BARCLAYS BK PLC ADR 2 PREF 2 06739F390 2092 82003 SH SOLE 82003 0 0 BLACKROCK CR ALLCTN INC TR COM 092508100 17146 1224706 SH SOLE 1224706 0 0 COMMONWEALTH REIT 6.50% PFD CUM CO 203233408 7221 299860 SH SOLE 299860 0 0 COMMONWEALTH REIT CV PFD-E 7.25% 203233606 4546 176823 SH SOLE 176823 0 0 HANCOCK JOHN PFD INCOME FD I COM 41021P103 16562 839415 SH SOLE 839415 0 0 HSBC HLDGS PLC ADR A 1/40PF A 404280604 33602 1328145 SH SOLE 1328145 0 0 KEYCORP NEW PFD 7.75% SR A 493267405 1214 9362 SH SOLE 9362 0 0 NATIONAL WESTMINSTER BK PLC SPON ADR C 638539882 272 10623 SH SOLE 10623 0 0 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 362 15651 SH SOLE 15651 0 0 ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS R 780097747 525 23817 SH SOLE 23817 0 0 ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 7187 307633 SH SOLE 307633 0 0 ROYAL BK SCOTLAND GROUP PLC ADR PREF SER N 780097770 1683 75857 SH SOLE 75857 0 0 ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 780097788 32607 1386905 SH SOLE 1386905 0 0 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF M 780097796 617 27665 SH SOLE 27665 0 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 25745 19977 SH SOLE 19977 0 0