Sr. Compliance Manager/Legal Counsel

0000909012-16-000520.txt : 20160513 0000909012-16-000520.hdr.sgml : 20160513 20160513142447 ACCESSION NUMBER: 0000909012-16-000520 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160513 DATE AS OF CHANGE: 20160513 EFFECTIVENESS DATE: 20160513 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: 161647588 BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 3100 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4156764000 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 3100 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001030815 XXXXXXXX 03-31-2016 03-31-2016 SYMPHONY ASSET MANAGEMENT LLC

555 CALIFORNIA STREET SUITE 3100 SAN FRANCISCO CA 94104

13F HOLDINGS REPORT 028-05958 N Amy Chen Sr. Compliance Manager/Legal Counsel 415 676 4187 /s/ AMY CHEN San Francisco CA 05-13-2016 1 349 875423 false 1 028-11405 Nuveen Investments Inc. INFORMATION TABLE 2 aci_13f.xml ABBVIE INC COM SHS 00287Y109 4020 70382 SH DFND 1 69780 0 602 ADOBE SYS INC COM SHS 00724F101 2044 21791 SH DFND 1 21614 0 177 AEROJET ROCKETDYNE HLDGS INC C SHS 007800105 438 26692 SH DFND 1 15665 0 11027 AKAMAI TECHNOLOGIES INC SHS 00971T101 445 8000 SH DFND 1 8000 0 0 ALLIANCE DATA SYS CORP COM SHS 018581108 673 3059 SH DFND 1 3047 0 12 ALLSCRIPTS HEALTHCARE SOLUTIONS INC BOND 01988PAD0 9387 9180000 PRN DFND 1 9180000 0 0 ALPHABET CLASS A SHS 02079K305 17713 23219 SH DFND 1 23056 0 163 ALTRIA GROUP INC COM SHS 02209S103 2542 40581 SH DFND 1 40480 0 101 AMAZON COM INC COM SHS 023135106 5729 9651 SH DFND 1 9547 0 104 AMEREN CORP COM SHS 023608102 527 10508 SH DFND 1 10414 0 94 AMERICAN CAPITAL LTD. SHS 02503Y103 515 33803 SH DFND 1 25384 0 8419 AMERISOURCEBERGEN CORP COM SHS 03073E105 284 3272 SH DFND 1 3243 0 29 AMGEN INC COM SHS 031162100 4209 28075 SH DFND 1 27833 0 242 ANTHEM INC COM SHS 036752103 2631 18927 SH DFND 1 18814 0 113 APARTMENT INVT & MGMT CO CL A SHS 03748R101 1253 29955 SH DFND 1 29893 0 62 APPLE COMPUTER INC SHS 037833100 10601 97263 SH DFND 1 96295 0 968 ARAMARK SHS 03852U106 317 9559 SH DFND 1 9559 0 0 ARGO GROUP INTL HLDGS LTD COM SHS G0464B107 282 4922 SH DFND 1 0 0 4922 ASSURANT INC COM SHS 04621X108 3083 39954 SH DFND 1 36679 0 3275 AT&T INC SHS 00206R102 1312 33494 SH DFND 1 33494 0 0 AUTOZONE INC COM SHS 053332102 1801 2260 SH DFND 1 2253 0 7 AXALTA COATING SYS LTD COM SHS G0750C108 302 10356 SH DFND 1 0 0 10356 AXCELIS TECHNOLOGIES INC COM SHS 054540109 490 174810 SH DFND 1 102075 0 72735 BANK OF AMERICA CORP PFD CONV 060505682 330 280 SH DFND 1 280 0 0 BANNER CORP COM NEW SHS 06652V208 578 13735 SH DFND 1 8009 0 5726 BARNES GROUP INC COM SHS 067806109 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SHS 438516106 4118 36753 SH DFND 1 36455 0 298 HOST MARRIOTT CORP NEW COM SHS 44107P104 318 19046 SH DFND 1 18877 0 169 HUDSON PAC PPTYS INC COM SHS 444097109 345 11913 SH DFND 1 6985 0 4928 HUMANA INC SHS 444859102 1214 6637 SH DFND 1 6637 0 0 HUNTINGTON INGALLS INDS INC CO SHS 446413106 2039 14887 SH DFND 1 14748 0 139 HYATT HOTELS CORP COM CL A SHS 448579102 709 14324 SH DFND 1 14152 0 172 INFINERA CORPORATION COM SHS 45667G103 2674 166454 SH DFND 1 158252 0 8202 ING GROEP N V SPONSORED ADR ADR 456837103 637 53435 SH DFND 1 52337 0 1098 INPHI CORP COM SHS 45772F107 2523 75689 SH DFND 1 67126 0 8563 INSULET CORP COM SHS 45784P101 396 11967 SH DFND 1 7037 0 4930 INTEL CORP BOND 458140AF7 363 281000 PRN DFND 1 281000 0 0 INTEL CORP COM SHS 458140100 2285 70659 SH DFND 1 70489 0 170 INTERACTIVE BROKERS GROUP INCO SHS 45841N107 1274 32383 SH DFND 1 32317 0 66 INTERCONTINENTALEXCHANGE GROCO SHS 45866F104 4802 20419 SH DFND 1 20301 0 118 INTUIT INC COM SHS 461202103 372 3582 SH DFND 1 3550 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53293 0 170 REGENERON PHARMACEUTICALS COM SHS 75886F107 495 1373 SH DFND 1 1357 0 16 RELIANCE STL & ALUM CO COM SHS 759509102 1906 27544 SH DFND 1 27340 0 204 REPUBLIC SVCS INC COM SHS 760759100 3996 83859 SH DFND 1 83544 0 315 REX ENERGY CORP SHS 761565100 35 45000 SH DFND 1 45000 0 0 ROSS STORES INC COM SHS 778296103 3053 52729 SH DFND 1 52243 0 486 SALESFORCE COM INC COM SHS 79466L302 917 12421 SH DFND 1 12274 0 147 SALESFORCE.COM INC BOND 79466LAD6 22845 18423000 PRN DFND 1 18423000 0 0 SCHLUMBERGER LTD SHS 806857108 1856 25162 SH DFND 1 25122 0 40 SCIENCE APPLICATNS INTL CP NCO SHS 808625107 394 7380 SH DFND 1 4327 0 3053 SCIENTIFIC GAMES CORP SHS 80874P959 2829 300000 SH Put DFND 1 0 0 0 SEI INVTS CO COM SHS 784117103 1112 25828 SH DFND 1 25545 0 283 SELECT MEDICAL HOLDINGS CORP SHS 81619Q105 329 27881 SH DFND 1 27881 0 0 SERVICENOW INC SHS 81762P102 2258 36900 SH DFND 1 36900 0 0 SERVICESOURCE INTERNATIONAL INC BOND 81763UAB6 1896 2355000 PRN DFND 1 2355000 0 0 SHERWIN WILLIAMS CO SHS 824348106 286 1003 SH DFND 1 994 0 9 SIGNATURE BK NEW YORK N Y COM SHS 82669G104 378 2781 SH DFND 1 2756 0 25 SIMON PPTY GROUP INC NEW COM SHS 828806109 1833 8827 SH DFND 1 8724 0 103 SMUCKER J M CO COM NEW SHS 832696405 3874 29838 SH DFND 1 29674 0 164 SNYDERS LANCE INC COM SHS 833551104 285 9064 SH DFND 1 5303 0 3761 SONIC CORP COM SHS 835451105 372 10588 SH DFND 1 6253 0 4335 SOUTHERN CO SHS 842587107 1499 28971 SH DFND 1 28892 0 79 SOUTHWEST AIRLS CO COM SHS 844741108 3356 74913 SH DFND 1 74200 0 713 SPECTRANETICS CORP/THE BOND 84760CAA5 7662 9652000 PRN DFND 1 9652000 0 0 SPIRIT AIRLS INC COM SHS 848577102 1086 22649 SH DFND 1 19621 0 3028 STANLEY BLACK AND DECKER INC SHS 854502101 292 2770 SH DFND 1 2746 0 24 STARBUCKS CORP COM SHS 855244109 5400 90442 SH DFND 1 89774 0 668 STARWOOD PROPERTY TRUST INC BOND 85571BAC9 280 267000 PRN DFND 1 267000 0 0 STONEGATE BK FT LAUDERDALE FCO SHS 861811107 378 12602 SH DFND 1 7402 0 5200 STORE CAPITAL CORP SHS 862121100 437 16879 SH DFND 1 16879 0 0 SUN CMNTYS INC COM SHS 866674104 2212 30890 SH DFND 1 27519 0 3371 SVB FINL GROUP COM SHS 78486Q101 1252 12275 SH DFND 1 12242 0 33 SYNAPTICS INC COM SHS 87157D109 259 3242 SH DFND 1 1915 0 1327 SYNCHRONY FINL COM SHS 87165B103 2246 78383 SH DFND 1 78271 0 112 SYNERGY PHARMACEUTICALS INC SHS 871639308 83 30000 SH DFND 1 30000 0 0 SYNNEX CORP COM SHS 87162W100 557 6023 SH DFND 1 3557 0 2466 TAKE-TWO INTERACTIVE SOFTWARCO SHS 874054109 492 13056 SH DFND 1 7766 0 5290 TAKE-TWO INTERACTIVE SOFTWARE INC BOND 874054AD1 25043 14000000 PRN DFND 1 14000000 0 0 TANDEM DIABETES CARE INC COM SHS 875372104 967 110987 SH DFND 1 90489 0 20498 TELEFLEX INC COM SHS 879369106 1980 12613 SH DFND 1 10650 0 1963 TENET HEALTHCARE CORP SHS 88033G407 257 8890 SH DFND 1 8890 0 0 TESARO INC BOND 881569AA5 11928 8104000 PRN DFND 1 8104000 0 0 TESLA MOTORS INC BOND 88160RAC5 227 250000 PRN DFND 1 250000 0 0 TITAN MACHINERY INC BOND 88830RAB7 2048 2600000 PRN DFND 1 2600000 0 0 TJX COMPANIES INC NEW COM SHS 872540109 5348 68254 SH DFND 1 67847 0 407 TOLL BROTHERS FINANCE CORP BOND 88947EAM2 419 430000 PRN DFND 1 430000 0 0 TOTAL SA SPONSORED ADR ADR 89151E109 893 19665 SH DFND 1 19074 0 591 TRANSDIGM GROUP INC COM SHS 893641100 3053 13856 SH DFND 1 13748 0 108 TRIBUNE MEDIA CO SHS 896047503 5776 150621 SH DFND 1 150621 0 0 TRIBUNE PUBLISHING CO SHS 896082104 291 37653 SH DFND 1 37653 0 0 TRICO BANCSHARES COM SHS 896095106 350 13822 SH DFND 1 8120 0 5702 TYLER TECHNOLOGIES INC SHS 902252105 525 4082 SH DFND 1 4082 0 0 TYSON FOODS INC SHS 902494103 528 7917 SH DFND 1 7848 0 69 UDR INC SHS 902653104 1337 34703 SH DFND 1 34596 0 107 ULTA SALON COSMETCS & FRAG ICO SHS 90384S303 678 3503 SH DFND 1 3465 0 38 UNIFIRST CORP COM SHS 904708104 341 3125 SH DFND 1 1826 0 1299 UNION PAC CORP SHS 907818108 5061 63627 SH DFND 1 63148 0 479 UNITED INS HLDGS CORP COM SHS 910710102 431 22448 SH DFND 1 13115 0 9333 UNITED PARCEL SERVICE INC CL B SHS 911312106 2320 21988 SH DFND 1 21822 0 166 UNITEDHEALTH GROUP INC SHS 91324P102 1772 13749 SH DFND 1 13587 0 162 UNITIL CORP COM SHS 913259107 782 18397 SH DFND 1 10705 0 7692 UNIVERSAL AMERN CORP NEW COM SHS 91338E101 262 36680 SH DFND 1 21343 0 15337 UNIVERSAL HEALTH SVCS INC CL B SHS 913903100 2279 18274 SH DFND 1 18180 0 94 VANTIV INC CL A SHS 92210H105 1233 22882 SH DFND 1 22767 0 115 VECTOR GROUP LTD COM SHS 92240M108 597 26132 SH DFND 1 20697 0 5435 VERIFONE HLDGS INC COM SHS 92342Y109 355 12576 SH DFND 1 7390 0 5186 VERISK ANALYTICS SHS 92345Y106 4321 54072 SH DFND 1 53797 0 275 VERIZON COMMUNICATIONS SHS 92343V104 5800 107254 SH DFND 1 106271 0 983 VERTEX PHARMACEUTICALS INC COM SHS 92532F100 1476 18561 SH DFND 1 18416 0 145 VISA INC COM CL A SHS 92826C839 7988 104452 SH DFND 1 103900 0 552 VISTA OUTDOOR INC COM SHS 928377100 2328 44843 SH DFND 1 39974 0 4869 VOYA FINL INC COM SHS 929089100 2316 77796 SH DFND 1 77332 0 464 WALGREENS BOOTS ALLIANCE INC C SHS 931427108 4883 57971 SH DFND 1 57624 0 347 WALKER & DUNLOP INC COM SHS 93148P102 999 41178 SH DFND 1 32426 0 8752 WASTE CONNECTIONS INC COM SHS 941053100 1609 24912 SH DFND 1 19793 0 5119 WASTE MANAGEMENT INC COM SHS 94106L109 3108 52676 SH DFND 1 52587 0 89 WATSCO INC COM SHS 942622200 1252 9293 SH DFND 1 6473 0 2820 WEC ENERGY GROUP INC COM SHS 92939U106 2380 39629 SH DFND 1 39539 0 90 WELLS FARGO & CO PFD CONV 949746804 430 350 SH DFND 1 350 0 0 WELLS FARGO & CO NEW COM SHS 949746101 2524 52182 SH DFND 1 52045 0 137 WELLTOWER INC PFD CONV 95040Q203 224 3496 SH DFND 1 3496 0 0 WELLTOWER INC SHS 95040Q104 340 4902 SH DFND 1 4859 0 43 WESTERN ALLIANCE BANCORP COM SHS 957638109 360 10792 SH DFND 1 6407 0 4385 WEX INC SHS 96208T104 2104 25244 SH DFND 1 23151 0 2093 WEYERHAEUSER CO COM SHS 962166104 424 13660 SH DFND 1 13541 0 119 WHITEWAVE FOODS CO COM CL A SHS 966244105 2309 56816 SH DFND 1 56514 0 302 WINTRUST FINL CORP COM SHS 97650W108 606 13664 SH DFND 1 7987 0 5677 WNS HOLDINGS LTD SPON ADR ADR 92932M101 493 16112 SH DFND 1 9349 0 6763 WORKDAY INC BOND 98138HAC5 12444 10982000 PRN DFND 1 10982000 0 0 XILINX INC BOND 983919AF8 24822 15064000 PRN DFND 1 15064000 0 0 YAHOO! INC BOND 984332AF3 2642 2640000 PRN DFND 1 2640000 0 0 ZEBRA TECHNOLOGIES CORP CL A SHS 989207105 221 3199 SH DFND 1 1878 0 1321 ZIMMER HLDGS INC COM SHS 98956P102 356 3344 SH DFND 1 3315 0 29