Spectrum Asset Management, Inc. (NB/CA) filings

This page lists the SEC filings reported by Spectrum Asset Management, Inc. (NB/CA).

Form 13F-HR: The 13F-HR report is filed quarterly to report securities held by the filer that fall under the SEC's 13F rules.
Form SC 13D/G: Reported by persons and groups who own 5% or more of any class of a company's outstanding shares. If the ownership changes by 1% or more, an amendment must be filed.
Form 3, 4, and 5: Form 3, 4, and 5 reports are filed to report insider transactions by company officers and directors, and any beneficial owners of more than ten percent of a company's shares. Form 3 is the initial report that must be filed when a person becomes an officer, director, or beneficial owner. Form 4 reports are used to report changes in ownership, while the Form 5 report is used for reporting transactions that should have been reported earlier in a Form 4 filing.