0000909012-13-000425.txt : 20131113 0000909012-13-000425.hdr.sgml : 20131113 20131113141307 ACCESSION NUMBER: 0000909012-13-000425 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131113 DATE AS OF CHANGE: 20131113 EFFECTIVENESS DATE: 20131113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SYMPHONY ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001030815 IRS NUMBER: 943252504 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05958 FILM NUMBER: 131213947 BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4156764000 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001030815 XXXXXXXX 09-30-2013 09-30-2013 SYMPHONY ASSET MANAGEMENT LLC

555 CALIFORNIA STREET SUITE 2975 SAN FRANCISCO CA 94104

13F HOLDINGS REPORT 028-05958 N Martin M. Fawzy 415 676 4000 /s/ MARTIN M. FAWZY San Francisco CA 09-30-2013 1 354 987517 false 1 028-11405 Nuveen Investments, Inc. INFORMATION TABLE 2 aci_13f.xml ABBVIE INC COM 00287Y109 1109 24793 SH DFND 1 24793 0 0 ACTUANT CORP-A COM 00508X203 764 19678 SH DFND 1 19568 0 110 ADOBE SYSTEMS INC COM 00724F101 902 17360 SH DFND 1 17360 0 0 ADT CORP/THE COM 00101J106 1606 39489 SH DFND 1 39489 0 0 Advanced Micro Devices, Inc. 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0 SALESFORCE.COM INC COM 79466L302 793 15281 SH DFND 1 15281 0 0 SALIX PHARMACEUTICALS LT 2.750% 05/15/15 CVT BND 795435AC0 19448 12727000 PRN DFND 1 12727000 0 0 SANDISK CORP 1.500% 08/15/17 CVT BND 80004CAD3 6456 4882000 PRN DFND 1 4882000 0 0 SCHLUMBERGER LTD COM 806857108 1884 21321 SH DFND 1 21321 0 0 SCRIPPS NETWORKS INTER-CL A COM 811065101 1057 13533 SH DFND 1 13533 0 0 Sears Holdings Corporation COM 812350956 833 14000 SH Put DFND 1 0 0 0 SELECT MEDICAL HOLDINGS CORP COM 81619Q105 903 111865 SH DFND 1 111412 0 453 SIGNET JEWELERS LTD COM G81276100 3440 48011 SH DFND 1 48011 0 0 SILICON IMAGE INC COM 82705T102 476 89113 SH DFND 1 88599 0 514 SIMON PROPERTY GROUP INC COM 828806109 2990 20175 SH DFND 1 20175 0 0 SM ENERGY CO COM 78454L100 2621 33958 SH DFND 1 33958 0 0 SOVRAN SELF STORAGE INC COM 84610H108 847 11187 SH DFND 1 11122 0 65 SPANSION INC-CLASS A COM 84649R200 392 38903 SH DFND 1 38697 0 206 SPDR S&P 500 COM 78462F103 6720 40000 SH Put DFND 1 0 0 0 SPDR S&P Metals & Mining COM 78464A755 2584 70500 SH Put DFND 1 0 0 0 STANDARD PACIFIC CORP 1.250% 08/01/32 CVT BND 85375CBC4 14133 11455000 PRN DFND 1 11455000 0 0 STANLEY BLACK & DECKER INC COM 854502101 2238 24710 SH DFND 1 24710 0 0 STARBUCKS CORP COM 855244109 5513 71625 SH DFND 1 71625 0 0 STARWOOD PROPERTY TRUST 4.000% 01/15/19 CVT BND 85571BAB1 15525 15000000 PRN DFND 1 15000000 0 0 STARZ - A COM 85571Q102 954 33899 SH DFND 1 33803 0 96 STEEL DYNAMICS INC 5.125% 06/15/14 CVT BND 858119AP5 4965 4530000 PRN DFND 1 4530000 0 0 STERIS CORP COM 859152100 475 11059 SH DFND 1 10995 0 64 STONE ENERGY CORP COM 861642106 757 23339 SH DFND 1 23216 0 123 SUN HYDRAULICS CORP COM 866942105 653 17979 SH DFND 1 17879 0 100 SUNCOKE ENERGY INC COM 86722A103 306 18035 SH DFND 1 17931 0 104 SUNPOWER CORP 4.500% 03/15/15 CVT BND 867652AE9 14438 11000000 PRN DFND 1 11000000 0 0 SYMANTEC CORP COM 871503108 574 23185 SH DFND 1 23185 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 305 8027 SH DFND 1 7982 0 45 SYNNEX CORP COM 87162W100 814 13238 SH DFND 1 13162 0 76 TAKE-TWO INTERACTIVE SOF 1.000% 07/01/18 CVT BND 874054AD1 7348 6665000 PRN DFND 1 6665000 0 0 TAKE-TWO INTERACTIVE SOF 1.750% 12/01/16 CVT BND 874054AC3 5931 5000000 PRN DFND 1 5000000 0 0 TANGER FACTORY OUTLET CENTER COM 875465106 770 23584 SH DFND 1 23463 0 121 TEAM HEALTH HOLDINGS INC COM 87817A107 719 18963 SH DFND 1 18853 0 110 TFS FINANCIAL CORP COM 87240R107 737 61567 SH DFND 1 61567 0 0 THERAVANCE INC 2.125% 01/15/23 CVT BND 88338TAB0 16922 10350000 PRN DFND 1 10350000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 714 7747 SH DFND 1 7747 0 0 TIME WARNER CABLE COM 88732J207 1322 11843 SH DFND 1 11843 0 0 TRANSDIGM GROUP INC COM 893641100 799 5766 SH DFND 1 5766 0 0 TREX COMPANY INC COM 89531P105 570 11496 SH DFND 1 11431 0 65 UNION PACIFIC CORP COM 907818108 5327 34294 SH DFND 1 34294 0 0 UNITED COMMUNITY BANKS/GA COM 90984P303 732 48831 SH DFND 1 48559 0 272 UNITED TECHNOLOGIES CORP COM 913017109 3241 30061 SH DFND 1 30061 0 0 UNITED THERAPEUTICS CORP 1.000% 09/15/16 CVT BND 91307CAF9 13091 7712000 PRN DFND 1 7712000 0 0 UNIVERSAL AMERICAN CORP COM 91338E101 562 73716 SH DFND 1 73304 0 412 UNIVERSAL CORP/VA COM 913456109 826 16226 SH DFND 1 16197 0 29 URBAN OUTFITTERS INC COM 917047102 1060 28842 SH DFND 1 28842 0 0 VALEANT PHARMACEUTICALS INTE COM 91911K102 2623 25145 SH DFND 1 25145 0 0 VANTIV INC - CL A COM 92210H105 729 26096 SH DFND 1 26096 0 0 VERIFONE HOLDINGS INC COM 92342Y109 507 22190 SH DFND 1 22190 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3863 82768 SH DFND 1 82768 0 0 VIACOM INC-CLASS B COM 92553P201 2133 25515 SH DFND 1 25515 0 0 VIROPHARMA INC 2.000% 03/15/17 CVT BND 928241AH1 49721 23200000 PRN DFND 1 23200000 0 0 VISA INC-CLASS A SHARES COM 92826C839 2686 14056 SH DFND 1 14056 0 0 VISHAY PRECISION GROUP COM 92835K103 334 22980 SH DFND 1 22849 0 131 VIVUS INC COM 928551100 345 37051 SH DFND 1 36845 0 206 WABTEC CORP COM 929740108 966 15366 SH DFND 1 15366 0 0 WALT DISNEY CO/THE COM 254687106 1886 29251 SH DFND 1 29251 0 0 WASTE MANAGEMENT INC COM 94106L109 1227 29735 SH DFND 1 29735 0 0 WATSCO INC COM 942622200 870 9229 SH DFND 1 9178 0 51 WEB.COM GROUP INC 1.000% 08/15/18 CVT BND 94733AAA2 7382 6500000 PRN DFND 1 6500000 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 947 13572 SH DFND 1 13495 0 77 WELLPOINT INC COM 94973V107 11580 138500 SH DFND 1 138500 0 0 WELLS FARGO & CO COM 949746101 3821 92466 SH DFND 1 92466 0 0 WESTLAKE CHEMICAL CORP COM 960413102 1607 15351 SH DFND 1 15307 0 44 WEX INC COM 96208T104 733 8357 SH DFND 1 8311 0 46 WHIRLPOOL CORP COM 963320106 974 6653 SH DFND 1 6653 0 0 WHITEWAVE FOODS CO - CL A COM 966244105 569 28488 SH DFND 1 28330 0 158 WILLIAMS-SONOMA INC COM 969904101 747 13301 SH DFND 1 13301 0 0 WINNEBAGO INDUSTRIES COM 974637100 546 21041 SH DFND 1 20920 0 121 WISCONSIN ENERGY CORP COM 976657106 458 11351 SH DFND 1 11351 0 0 WOLVERINE WORLD WIDE INC COM 978097103 695 11945 SH DFND 1 11880 0 65 WRIGHT MEDICAL GROUP INC 2.000% 08/15/17 CVT BND 98235TAC1 12773 10454000 PRN DFND 1 10454000 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 884 14489 SH DFND 1 14489 0 0 XEROX CORP COM 984121103 2755 267740 SH DFND 1 267740 0 0 XILINX INC COM 983919101 706 15064 SH DFND 1 15064 0 0 XL GROUP PLC COM G98290102 2072 67215 SH DFND 1 67215 0 0 ZALE CORP COM 988858106 288 18932 SH DFND 1 18826 0 106