Sr. Compliance Manager/Legal Counsel

0000909012-17-000060.txt : 20170214 0000909012-17-000060.hdr.sgml : 20170214 20170214170107 ACCESSION NUMBER: 0000909012-17-000060 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17610037 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 12-31-2016 12-31-2016 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 02-14-2017 1 383 956388 false 1 028-11405 Nuveen Investments Inc. INFORMATION TABLE 2 aci_13f.xml A T & T INC (NEW) SHS 00206R102 1495 35151 SH DFND 1 35068 0 83 AAON INC COM PAR $0.004 SHS 000360206 392 11876 SH DFND 1 7421 0 4455 ABBOTT LABS SHS 002824100 4094 106580 SH DFND 1 106114 0 466 ABBVIE INC COM SHS 00287Y109 1240 19804 SH DFND 1 19514 0 290 ACACIA COMMUNICATIONS INC SHS 00401C108 490 7938 SH DFND 1 7938 0 0 ACORDA THERAPEUTICS INC BOND 00484MAA4 1913 2500000 PRN DFND 1 2500000 0 0 ADOBE SYS INC COM SHS 00724F101 1355 13162 SH DFND 1 12980 0 182 ADVANSIX INC COM SHS 00773T101 432 19544 SH DFND 1 12299 0 7245 AEROJET ROCKETDYNE HLDGS INC C SHS 007800105 450 25091 SH DFND 1 15665 0 9426 AGILENT TECHNOLOGIES INC COM SHS 00846U101 255 5594 SH DFND 1 5537 0 57 AGNC INVT CORP COM SHS 00123Q104 754 41579 SH DFND 1 41481 0 98 AIR PRODS & CHEMS INC COM SHS 009158106 1914 13307 SH DFND 1 13280 0 27 AKAMAI TECHNOLOGIES INC COM SHS 00971T101 1718 25769 SH DFND 1 25554 0 215 ALBEMARLE CORP COM SHS 012653101 219 2545 SH DFND 1 2519 0 26 ALLSCRIPTS HEALTHCARE SOLUTIONS INC BOND 01988PAD0 12690 13500000 PRN DFND 1 13500000 0 0 ALPHABET CLASS A SHS 02079K305 16333 20610 SH DFND 1 20439 0 171 AMAZON COM INC COM SHS 023135106 5481 7309 SH DFND 1 7204 0 105 AMEREN CORP COM SHS 023608102 366 6979 SH DFND 1 6907 0 72 AMERICAN TOWER REIT COM SHS 03027X100 1378 13032 SH DFND 1 13008 0 24 AMGEN INC COM SHS 031162100 3255 22257 SH DFND 1 22027 0 230 ANTHEM INC COM SHS 036752103 1182 8217 SH DFND 1 8100 0 117 APPLE COMPUTER INC SHS 037833100 7254 62626 SH DFND 1 61706 0 920 ARGO GROUP INTL HLDGS LTD COM SHS G0464B107 263 3997 SH DFND 1 0 0 3997 ARMSTRONG FLOORING INC COM SHS 04238R106 411 20603 SH DFND 1 12934 0 7669 ASSURED GUARANTY LTD COM SHS G0585R106 214 5671 SH DFND 1 0 0 5671 AUTONATION INC DEL COM SHS 05329W102 1250 25695 SH DFND 1 25657 0 38 AUTOZONE INC COM SHS 053332102 2594 3285 SH DFND 1 3277 0 8 AXCELIS TECHNOLOGIES INC COM N SHS 054540208 719 49393 SH DFND 1 37299 0 12094 B & G FOODS INC NEW CL A SHS 05508R106 1246 28431 SH DFND 1 25611 0 2820 BABCOCK & WILCOX ENTERPRIS ICO SHS 05614L100 811 48915 SH DFND 1 38657 0 10258 BAKER HUGHES INC COM SHS 057224107 938 14449 SH DFND 1 14258 0 191 BANCO BRADESCO S A SPONSORED A ADR 059460303 485 55659 SH DFND 1 53920 0 1739 BANK OF AMERICA CORP PFD CONV 060505682 323 280 SH DFND 1 280 0 0 BANK OF THE OZARKS INC COM SHS 063904106 539 10234 SH DFND 1 6419 0 3815 BANNER CORP COM NEW SHS 06652V208 575 10316 SH DFND 1 6441 0 3875 BAXTER INTL INC COM SHS 071813109 760 17139 SH DFND 1 17100 0 39 BECTON DICKINSON & CO COM SHS 075887109 1036 6260 SH DFND 1 6169 0 91 BERKLEY W R CORP COM SHS 084423102 555 8343 SH DFND 1 8258 0 85 BERRY PLASTICS GROUP INC COM SHS 08579W103 680 13962 SH DFND 1 8719 0 5243 BIOGEN IDEC INC COM SHS 09062X103 1578 5562 SH DFND 1 5496 0 66 BIOMARIN PHARMACEUTICAL INC CO SHS 09061G101 377 4543 SH DFND 1 4486 0 57 BOEING CO COM SHS 097023105 2178 13987 SH DFND 1 13778 0 209 BOK FINL CORP COM NEW SHS 05561Q201 946 11393 SH DFND 1 11366 0 27 BOOZ ALLEN HAMILTON HLDG CORCL SHS 099502106 705 19549 SH DFND 1 19260 0 289 BOX INC SHS 10316T104 182 13109 SH DFND 1 13109 0 0 BRINKER INTERNATIONAL INC SHS 109641100 350 7070 SH DFND 1 7070 0 0 BRISTOL MYERS SQUIBB CO SHS 110122108 1290 22076 SH DFND 1 21773 0 303 BROADSOFT INC COM SHS 11133B409 1505 36487 SH DFND 1 36106 0 381 BURLINGTON STORES INC COM SHS 122017106 969 11438 SH DFND 1 8840 0 2598 BWX TECHNOLOGIES INC COM SHS 05605H100 489 12330 SH DFND 1 9475 0 2855 CABOT CORP SHS 127055101 1088 21536 SH DFND 1 21350 0 186 CALATLANTIC GROUP INC BOND 783764AQ6 27629 23000000 PRN DFND 1 23000000 0 0 CAMPBELL SOUP CO SHS 134429109 1229 20314 SH DFND 1 20023 0 291 CARETRUST REIT INC COM SHS 14174T107 997 65020 SH DFND 1 55712 0 9308 CARRIZO OIL & CO INC COM SHS 144577103 424 11359 SH DFND 1 7178 0 4181 CARTER HLDGS INC COM SHS 146229109 1500 17363 SH DFND 1 16096 0 1267 CASELLA WASTE SYS INC CL A SHS 147448104 258 20752 SH DFND 1 12975 0 7777 CATALENT INC COM SHS 148806102 1084 40193 SH DFND 1 33887 0 6306 CBOE HLDGS INC COM SHS 12503M108 216 2931 SH DFND 1 2900 0 31 CELGENE CORP COM SHS 151020104 1160 10021 SH DFND 1 9884 0 137 CENTERPOINT ENERGY INC COM SHS 15189T107 647 26275 SH DFND 1 26182 0 93 CHART INDS INC COM PAR $0.01 SHS 16115Q308 888 24658 SH DFND 1 18265 0 6393 CHEMOURS CO COM SHS 163851108 309 14011 SH DFND 1 8795 0 5216 CHURCH & DWIGHT INC COM SHS 171340102 1999 45227 SH DFND 1 45097 0 130 CIGNA CORP SHS 125509109 3619 27136 SH DFND 1 26976 0 160 CINTAS CORP SHS 172908105 1502 13001 SH DFND 1 12971 0 30 CITIZENS FINANCIAL GROUP INC. 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