0000909012-17-000094.txt : 20170505
0000909012-17-000094.hdr.sgml : 20170505
20170505131739
ACCESSION NUMBER: 0000909012-17-000094
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170505
DATE AS OF CHANGE: 20170505
EFFECTIVENESS DATE: 20170505
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: 17817402
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
03-31-2017
03-31-2017
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
05-03-2017
1
369
993122
false
1
028-11405
Nuveen Investments Inc.
INFORMATION TABLE
2
aci_13f.xml
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SHS
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ABBOTT LABS
SHS
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114403
SH
DFND
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568
ABBVIE INC COM
SHS
00287Y109
1249
19174
SH
DFND
1
18884
0
290
ACORDA THERAPEUTICS INC
BOND
00484MAA4
1736
2030000
PRN
DFND
1
2030000
0
0
ADIENT PLC ORD SHS
SHS
G0084W101
215
2953
SH
DFND
1
0
0
2953
ADOBE SYS INC COM
SHS
00724F101
1659
12743
SH
DFND
1
12561
0
182
ADVANCED MICRO DEVICES INC
SHS
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3274
225000
SH
DFND
1
225000
0
0
ADVANSIX INC COM
SHS
00773T101
527
19279
SH
DFND
1
12299
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6980
AEROJET ROCKETDYNE HLDGS INC C
SHS
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248
11420
SH
DFND
1
7267
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4153
AGILENT TECHNOLOGIES INC COM
SHS
00846U101
332
6267
SH
DFND
1
6199
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68
AGNC INVT CORP COM
SHS
00123Q104
788
39626
SH
DFND
1
39528
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98
AGRIUM INC
SHS
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3995
SH
DFND
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AIR PRODS & CHEMS INC COM
SHS
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11227
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DFND
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AK STEEL CORP
BOND
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PRN
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SHS
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DFND
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AKAMAI TECHNOLOGIES INC COM
SHS
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ALBEMARLE CORP COM
SHS
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BOND
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PRN
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SHS
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DFND
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AMAZON COM INC COM
SHS
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DFND
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AMEREN CORP COM
SHS
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AMERICAN AIRLINES GROUP INC
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SHS
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SHS
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BOND
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PRN
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ANTHEM INC COM
SHS
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DFND
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APPLE COMPUTER INC
SHS
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60638
SH
DFND
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ARCHROCK INC COM
SHS
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720
58011
SH
DFND
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ARES CAPITAL CORP
BOND
04010LAJ2
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PRN
DFND
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ARGO GROUP INTL HLDGS LTD COM
SHS
G0464B107
258
3808
SH
DFND
1
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0
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ARMSTRONG FLOORING INC COM
SHS
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372
20195
SH
DFND
1
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AUTOZONE INC COM
SHS
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2855
SH
DFND
1
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AXCELIS TECHNOLOGIES INC COM N
SHS
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788
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SH
DFND
1
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B & G FOODS INC NEW CL A
SHS
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SH
DFND
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BABCOCK & WILCOX ENTERPRIS ICO
SHS
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43359
SH
DFND
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BAKER HUGHES INC COM
SHS
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SH
DFND
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BANCO BRADESCO SA
ADR
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32729
SH
DFND
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BANK OF AMERICA CORP
PFD CONV
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439
370
SH
DFND
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BANK OF THE OZARKS INC COM
SHS
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SH
DFND
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BANNER CORP COM NEW
SHS
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10145
SH
DFND
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BECTON DICKINSON & CO COM
SHS
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6060
SH
DFND
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BERKLEY W R CORP COM
SHS
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218
3097
SH
DFND
1
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BERRY PLASTICS GROUP INC COM
SHS
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359
7376
SH
DFND
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BIOGEN IDEC INC COM
SHS
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SH
DFND
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BIOMARIN PHARMACEUTICAL INC CO
SHS
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SH
DFND
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BIOVERATIV INC COM
SHS
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DFND
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BOEING CO COM
SHS
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DFND
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BOK FINL CORP COM NEW
SHS
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SH
DFND
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BOOZ ALLEN HAMILTON HLDG CORCL
SHS
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SH
DFND
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BOX INC CL A
SHS
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BRISTOL MYERS SQUIBB CO
SHS
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SH
DFND
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BROADSOFT INC COM
SHS
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2004
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SH
DFND
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442
BROOKDALE SENIOR LIVING INC
SHS
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SH
DFND
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BURLINGTON STORES INC COM
SHS
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SH
DFND
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BWX TECHNOLOGIES INC COM
SHS
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SH
DFND
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CABOT CORP
SHS
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SH
DFND
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BOND
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PRN
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SHS
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CARETRUST REIT INC COM
SHS
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SH
DFND
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CARTER HLDGS INC COM
SHS
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SH
DFND
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CATALENT INC COM
SHS
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SH
DFND
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CBOE HLDGS INC COM
SHS
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4188
SH
DFND
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CELADON GROUP INC COM
SHS
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242
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SH
DFND
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CELGENE CORP COM
SHS
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8535
SH
DFND
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CENTERPOINT ENERGY INC COM
SHS
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SH
DFND
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CHART INDS INC COM PAR $0.01
SHS
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SH
DFND
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CHEMOURS CO COM
SHS
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33216
SH
DFND
1
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CHEVRON CORP NEW
SHS
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SH
DFND
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CHURCH & DWIGHT INC COM
SHS
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SH
DFND
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CIENA CORP COM NEW
SHS
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DFND
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CIGNA CORP
SHS
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DFND
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CITIZENS FINANCIAL GROUP INC.
SHS
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SH
DFND
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CIVEO CORP
SHS
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CLOROX CO COM
SHS
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SH
DFND
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CMS ENERGY CORP
SHS
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SH
DFND
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COBALT INTERNATIONAL ENERGY INC
SHS
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SH
DFND
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COCA COLA BOTTLING CO CONS COM
SHS
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534
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SH
DFND
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COMCAST CORP NEW CL A
SHS
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SH
DFND
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COMERICA INC COM
SHS
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SH
DFND
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COMSTOCK RESOURCES INC
BOND
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PRN
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COMSTOCK RESOURCES INC
SHS
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SH
DFND
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CONCHO RES INC COM
SHS
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2735
SH
DFND
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CONSTELLATION BRANDS INC CL A
SHS
21036P108
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SH
DFND
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CROWN CASTLE INTL CORP NEW COM
SHS
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SH
DFND
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CTRIP.COM INTERNATIONAL LTD
BOND
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PRN
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CVR ENERGY INC COM
SHS
12662P108
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SH
DFND
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CYPRESS SEMICONDUCTOR CORP COM
SHS
232806109
345
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SH
DFND
1
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DANAHER CORP
SHS
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3234
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SH
DFND
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DCT INDUSTRIAL TRUST INC
SHS
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SH
DFND
1
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DIGITAL RLTY TR INC COM
SHS
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358
3365
SH
DFND
1
3329
0
36
DISNEY WALT CO COM DISNEY
SHS
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2765
24385
SH
DFND
1
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376
DONALDSON INC COM
SHS
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1137
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SH
DFND
1
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362
DOW CHEMICAL CORP
SHS
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3212
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SH
DFND
1
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109
DR PEPPER SNAPPLE GROUP INC CO
SHS
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223
2284
SH
DFND
1
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23
DTE ENERGY CO COM
SHS
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SH
DFND
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DUKE REALTY CORP
SHS
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SH
DFND
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EAGLE MATLS INC COM
SHS
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SH
DFND
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181
EAGLE PHARMACEUTICALS INC COM
SHS
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513
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SH
DFND
1
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EATON VANCE FLOATING-RATE INCOME TRUST
ETF
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SH
DFND
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EATON VANCE SENIOR INCOME TRUST
ETF
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SH
DFND
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EDWARDS LIFESCIENCES CORP COM
SHS
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SH
DFND
1
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278
ELDORADO RESORTS INC COM
SHS
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527
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SH
DFND
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ELECTRONIC ARTS COM
SHS
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SH
DFND
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343
ELI LILLY AND CO.
SHS
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SH
DFND
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EMERGE ENERGY SVCS LP COM REP
SHS
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SH
DFND
1
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EMPRESA NACIONAL DE ELCTRCIDSP
ADR
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203
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SH
DFND
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ENERGY XXI GULF COAST INC
SHS
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SH
DFND
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ENERNOC INC
BOND
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PRN
DFND
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0
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ENERNOC INC
SHS
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242
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SH
DFND
1
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0
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ENOVA INTL INC COM
SHS
29357K103
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72669
SH
DFND
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ENVISION HEALTHCARE CORP
SHS
29414D100
260
4236
SH
DFND
1
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0
45
EOG RES INC COM
SHS
26875P101
2099
21516
SH
DFND
1
21464
0
52
EQUINIX INC COM
SHS
29444U700
3672
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SH
DFND
1
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0
65
EQUITY LIFESTYLE PROPERTIES INC
SHS
29472R108
328
4253
SH
DFND
1
4253
0
0
ETRADE FINANCIAL CORP COM NEW
SHS
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416
11922
SH
DFND
1
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125
EXPEDIA INC DEL COM NEW
SHS
30212P303
388
3078
SH
DFND
1
3044
0
34
EXTRA SPACE STORAGE INC COM
SHS
30225T102
264
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SH
DFND
1
3511
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38
EXXON MOBIL CORP
SHS
30231G102
1345
16407
SH
DFND
1
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41
FACEBOOK INC CL A
SHS
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SH
DFND
1
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556
FASTENAL CO COM
SHS
311900104
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11823
SH
DFND
1
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171
FCB FINL HLDGS INC CL A
SHS
30255G103
758
15301
SH
DFND
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5584
FIDELITY NATIONAL INFORMATION
SHS
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SH
DFND
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FIFTH THIRD BANCORP COM
SHS
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283
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SH
DFND
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119
FINISAR CORP
SHS
31787A507
1736
63500
SH
DFND
1
63500
0
0
FIREEYE INC
BOND
31816QAB7
9384
9943000
PRN
DFND
1
9943000
0
0
FIREEYE INC
BOND
31816QAD3
9204
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PRN
DFND
1
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0
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FIRST DATA CORP
SHS
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SH
DFND
1
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341
FIRST DEFIANCE FINL CORP COM
SHS
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SH
DFND
1
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3670
FLEETCOR TECHNOLOGIES INC COM
SHS
339041105
3284
21687
SH
DFND
1
21598
0
89
FLUIDIGM CORP
BOND
34385PAA6
3978
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PRN
DFND
1
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0
0
FORTIVE CORP COM
SHS
34959J108
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SH
DFND
1
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391
FOUR CORNERS PPTY TR INC COM
SHS
35086T109
810
35463
SH
DFND
1
26105
0
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FREEPORT MCMORAN COPPER&GOLDCL
SHS
35671D857
599
44904
SH
DFND
1
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0
181
GAMING & LEISURE PPTYS INC COM
SHS
36467J108
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35077
SH
DFND
1
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0
376
GCP APPLIED TECHNOLOGIES INCCO
SHS
36164Y101
557
17072
SH
DFND
1
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0
6218
GENESEE & WYO INC CL A
SHS
371559105
581
8575
SH
DFND
1
6005
0
2570
GIBRALTER INDUSTRIES INC
SHS
374689107
1898
46067
SH
DFND
1
39328
0
6739
GILEAD SCIENCES INC COM
SHS
375558103
2461
36234
SH
DFND
1
35924
0
310
GLOBALSTAR INC
SHS
378973408
338
211546
SH
DFND
1
211546
0
0
GODADDY INC CL A
SHS
380237107
476
12543
SH
DFND
1
7962
0
4581
GREEN DOT CORP CL A
SHS
39304D102
1121
33601
SH
DFND
1
23957
0
9644
HALCON RESOURCES CORP
SHS
40537Q605
611
79401
SH
DFND
1
79401
0
0
HALCON RESOURCES CORP
SHS
40537Q118
38
21569
SH
DFND
1
21569
0
0
HALLIBURTON CO COM
SHS
406216101
986
20055
SH
DFND
1
20006
0
49
HANCOCK HLDG CO COM
SHS
410120109
2892
63485
SH
DFND
1
59895
0
3590
HARMONIC INC
BOND
413160AB8
5000
4000000
PRN
DFND
1
4000000
0
0
HARRIS CORP COM
SHS
413875105
336
3013
SH
DFND
1
2980
0
33
HD SUPPLY HLDGS INC COM
SHS
40416M105
1855
45123
SH
DFND
1
44459
0
664
HEALTHSOUTH CORP
SHS
421924309
255
5967
SH
DFND
1
3811
0
2156
HERC HLDGS INC COM
SHS
42704L104
274
5618
SH
DFND
1
3569
0
2049
HOLLYFRONTIER CORP COM
SHS
436106108
962
33941
SH
DFND
1
33634
0
307
HOLOGIC INC COM
SHS
436440101
1187
27897
SH
DFND
1
27477
0
420
HOME DEPOT INC COM
SHS
437076102
7095
48321
SH
DFND
1
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0
447
HONEYWELL INTERNATIONAL INC.
SHS
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5644
45202
SH
DFND
1
44849
0
353
HOPE BANCORP INC COM
SHS
43940T109
283
14761
SH
DFND
1
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0
5394
HORNBECK OFFSHORE SERVICES INC
BOND
440543AN6
6978
10597000
PRN
DFND
1
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0
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HOSPITALITY PPTYS TR COM SH BE
SHS
44106M102
1469
46577
SH
DFND
1
46390
0
187
HUNTINGTON INGALLS INDS INC CO
SHS
446413106
3538
17668
SH
DFND
1
16305
0
1363
HUNTSMAN CORP COM
SHS
447011107
1185
48288
SH
DFND
1
47740
0
548
IBERIABANK CORP COM
SHS
450828108
1194
15091
SH
DFND
1
13370
0
1721
ILLUMINA INC
BOND
452327AF6
12757
12615000
PRN
DFND
1
12615000
0
0
ILLUMINA INC
SHS
452327109
2773
16250
SH
DFND
1
16250
0
0
INCYTE PHARMACEUTICALS INC COM
SHS
45337C102
208
1555
SH
DFND
1
1538
0
17
INPHI CORP COM
SHS
45772F107
3278
67150
SH
DFND
1
62152
0
4998
INTEGRATED DEVICE TECH INC COM
SHS
458118106
631
26692
SH
DFND
1
20209
0
6483
INTEL CORP
BOND
458140AF7
491
281000
PRN
DFND
1
281000
0
0
INTERCONTINENTALEXCHANGE GROCO
SHS
45866F104
4311
72013
SH
DFND
1
71510
0
503
INTERNATIONAL BUS MACHINES
SHS
459200101
1127
6472
SH
DFND
1
6456
0
16
INTUIT INC COM
SHS
461202103
2488
21458
SH
DFND
1
21221
0
237
IRON MOUNTAIN INC
SHS
46284V101
223
6259
SH
DFND
1
6259
0
0
ITAU UNIBANCO BANCO BRASILEIRO
ADR
465562106
644
53322
SH
DFND
1
52081
0
1241
JABIL CIRCUIT INC COM
SHS
466313103
242
8364
SH
DFND
1
8272
0
92
JAZZ INVESTMENTS I LTD
BOND
472145AB7
3562
3327000
PRN
DFND
1
3327000
0
0
JELD-WEN HLDG INC COM
SHS
47580P103
3274
99654
SH
DFND
1
91345
0
8309
JETBLUE AIRWAYS CORP
SHS
477143101
571
27717
SH
DFND
1
27717
0
0
JOHN BEAN TECHNOLOGIES CORP CO
SHS
477839104
2479
28187
SH
DFND
1
24936
0
3251
JOHNSON & JOHNSON
SHS
478160104
4980
39978
SH
DFND
1
39797
0
181
KANSAS CITY SOUTHN INDS INC CO
SHS
485170302
354
4125
SH
DFND
1
4079
0
46
KATE SPADE & CO COM
SHS
485865109
538
23157
SH
DFND
1
23063
0
94
KEANE GROUP INC
SHS
48669A108
251
17580
SH
DFND
1
17580
0
0
KEYCORP
SHS
493267108
1040
58492
SH
DFND
1
58240
0
252
KITE RLTY GROUP TR COM NEW
SHS
49803T300
287
13328
SH
DFND
1
8466
0
4862
KNIGHT TRANSN INC COM
SHS
499064103
1592
50761
SH
DFND
1
50231
0
530
KRAFT HEINZ COMPANY
SHS
500754106
2542
27986
SH
DFND
1
27859
0
127
LAMB WESTON HLDGS INC COM
SHS
513272104
3345
79549
SH
DFND
1
74783
0
4766
LANDSTAR SYS INC COM
SHS
515098101
1865
21769
SH
DFND
1
21622
0
147
LAUDER ESTEE COS INC CL A
SHS
518439104
1915
22594
SH
DFND
1
22343
0
251
LEIDOS HLDGS INC COM
SHS
525327102
568
11093
SH
DFND
1
10924
0
169
LINCOLN ELEC HLDGS INC COM
SHS
533900106
990
11396
SH
DFND
1
11234
0
162
LINCOLN NATL CORP IND COM
SHS
534187109
2905
44390
SH
DFND
1
44062
0
328
LIONS GATE ENTMNT CORP CL B NO
SHS
535919500
707
28984
SH
DFND
1
28534
0
450
LITHIA MTRS INC CL A
SHS
536797103
567
6614
SH
DFND
1
5160
0
1454
LOCKHEED MARTIN CORP COM
SHS
539830109
3022
11291
SH
DFND
1
11179
0
112
LOUISIANA PACIFIC CORP
SHS
546347105
278
11194
SH
DFND
1
7114
0
4080
LPL FINL HLDGS INC COM
SHS
50212V100
1150
28880
SH
DFND
1
24163
0
4717
MA COM TECHNOLOGY SOLUTIONS CO
SHS
55405Y100
3972
82251
SH
DFND
1
77272
0
4979
MACY'S INC
SHS
55616P104
576
19435
SH
DFND
1
19158
0
277
MARRIOTT INTL INC NEW CL A
SHS
571903202
1471
15615
SH
DFND
1
15394
0
221
MARRIOTT VACATIONS WRLDWDE CCO
SHS
57164Y107
527
5274
SH
DFND
1
3360
0
1914
MARSH & MCLENNAN COS INC COM
SHS
571748102
3026
40948
SH
DFND
1
40733
0
215
MASCO CORP COM
SHS
574599106
3146
92565
SH
DFND
1
91862
0
703
MASTEC INC COM
SHS
576323109
434
10836
SH
DFND
1
6870
0
3966
MASTERCARD INC COM
SHS
57636Q104
4541
40375
SH
DFND
1
40096
0
279
MCCORMICK & CO INC COM NON VTG
SHS
579780206
3692
37842
SH
DFND
1
37539
0
303
MCDONALDS CORP
SHS
580135101
852
6577
SH
DFND
1
6474
0
103
MDU RES GROUP INC COM
SHS
552690109
501
18309
SH
DFND
1
18225
0
84
MEDICINES CO/THE
BOND
584688AE5
4744
3000000
PRN
DFND
1
3000000
0
0
MERCK & COMPANY
SHS
58933Y105
1697
26708
SH
DFND
1
26641
0
67
MERIT MED SYS INC COM
SHS
589889104
480
16602
SH
DFND
1
10539
0
6063
MICROCHIP TECHNOLOGY INC
BOND
595017AD6
2949
2050000
PRN
DFND
1
2050000
0
0
MICROCHIP TECHNOLOGY INC
SHS
595017104
1667
22600
SH
DFND
1
22600
0
0
MICRON TECHNOLOGY INC COM
SHS
595112103
205
7110
SH
DFND
1
7031
0
79
MICROSEMI CORP COM
SHS
595137100
533
10342
SH
DFND
1
6558
0
3784
MICROSOFT CORP COM
SHS
594918104
14368
218163
SH
DFND
1
216077
0
2086
MOBILE TELESYSTEMS OJSC ADR SP
ADR
607409109
165
14959
SH
DFND
1
13457
0
1502
MOHAWK INDS INC COM
SHS
608190104
1444
6292
SH
DFND
1
6204
0
88
MOLINA HEALTHCARE INC
BOND
60855RAC4
26880
21000000
PRN
DFND
1
21000000
0
0
MOLSON COORS BREWING COMPANY
SHS
60871R209
4069
42514
SH
DFND
1
42195
0
319
MONRO MUFFLER BRAKE INC COM
SHS
610236101
621
11924
SH
DFND
1
9535
0
2389
MONSANTO CO NEW COM
SHS
61166W101
317
2795
SH
DFND
1
2752
0
43
MOODYS CORP COM
SHS
615369105
270
2407
SH
DFND
1
2383
0
24
MSC INDL DIRECT INC CL A
SHS
553530106
1303
12685
SH
DFND
1
12653
0
32
NATIONAL GEN HLDGS CORP COM
SHS
636220303
731
30740
SH
DFND
1
19553
0
11187
NATIONAL STORAGE AFFILIATES CO
SHS
637870106
422
17669
SH
DFND
1
11232
0
6437
NAVISTAR INTERNATIONAL CORP
BOND
63934EAQ1
7708
7801000
PRN
DFND
1
7801000
0
0
NAVISTAR INTERNATIONAL CORP
BOND
63934EAS7
12047
12500000
PRN
DFND
1
12500000
0
0
NET 1 UEPS TECHNOLOGIES INC CO
SHS
64107N206
414
33835
SH
DFND
1
21429
0
12406
NEWELL RUBBERMAID INC.
SHS
651229106
1814
38466
SH
DFND
1
38181
0
285
NEWFIELD EXPL CO COM
SHS
651290108
323
8756
SH
DFND
1
8621
0
135
NEXEO SOLUTIONS INC COM SHS
SHS
65342H102
173
19531
SH
DFND
1
12442
0
7089
NEXSTAR BROADCASTING GROUP ICL
SHS
65336K103
1019
14523
SH
DFND
1
11058
0
3465
NORFOLK SOUTHERN CORP
SHS
655844108
1792
16010
SH
DFND
1
15971
0
39
NORTHROP GRUMMAN CORP COM
SHS
666807102
884
3719
SH
DFND
1
3710
0
9
NOVAVAX INC
BOND
670002AB0
1373
3000000
PRN
DFND
1
3000000
0
0
NUVASIVE INC COM
SHS
670704105
509
6817
SH
DFND
1
4348
0
2469
OASIS PETROLEUM INC
BOND
674215AJ7
284
210000
PRN
DFND
1
210000
0
0
OLIN CORPORATION
SHS
680665205
476
14459
SH
DFND
1
10882
0
3577
OMNICOM GROUP COM
SHS
681919106
1585
18382
SH
DFND
1
18211
0
171
ON SEMICONDUCTOR CORP
BOND
682189AK1
2789
2543000
PRN
DFND
1
2543000
0
0
ONEOK INC NEW COM
SHS
682680103
3690
66563
SH
DFND
1
66147
0
416
ORACLE CORP
SHS
68389X105
2260
50659
SH
DFND
1
50531
0
128
O'REILLY AUTOMOTIVE INC NEW CO
SHS
67103H107
3246
12027
SH
DFND
1
11954
0
73
PALO ALTO NETWORKS INC
BOND
697435AB1
32908
27538000
PRN
DFND
1
27538000
0
0
PALO ALTO NETWORKS INC COM
SHS
697435105
1483
13165
SH
DFND
1
13050
0
115
PAREXEL INTL CORP COM
SHS
699462107
919
14568
SH
DFND
1
13349
0
1219
PATTERSON-UTI ENERGY INC COM
SHS
703481101
2026
83489
SH
DFND
1
75071
0
8418
PAYPAL HLDGS INC COM
SHS
70450Y103
3015
70064
SH
DFND
1
69540
0
524
PBF ENERGY INC CL A
SHS
69318G106
902
40696
SH
DFND
1
40613
0
83
PENN NATL GAMING INC COM
SHS
707569109
941
51038
SH
DFND
1
36620
0
14418
PEPSICO INC
SHS
713448108
1272
11372
SH
DFND
1
11193
0
179
PERFORMANCE FOOD GROUP CO
SHS
71377A103
505
21233
SH
DFND
1
21233
0
0
PFIZER INC
SHS
717081103
1324
38709
SH
DFND
1
38611
0
98
PHH CORP COM NEW
SHS
693320202
418
32849
SH
DFND
1
26313
0
6536
PHILLIPS 66 COM
SHS
718546104
1314
16595
SH
DFND
1
16553
0
42
PIONEER NAT RES CO COM
SHS
723787107
1183
6354
SH
DFND
1
6338
0
16
PIPER JAFFRAY COS COM
SHS
724078100
518
8111
SH
DFND
1
5180
0
2931
PLATFORM SPECIALTY PRODS CORCO
SHS
72766Q105
446
34317
SH
DFND
1
23840
0
10477
PNM RES INC COM
SHS
69349H107
743
20078
SH
DFND
1
20028
0
50
POOL CORP
SHS
73278L105
2479
20777
SH
DFND
1
18505
0
2272
POPULAR INC COM
SHS
733174700
1099
26975
SH
DFND
1
26855
0
120
POST HOLDINGS INC
SHS
737446104
322
3676
SH
DFND
1
3676
0
0
POWERSHARES SENIOR LOAN PORTFOLIO
ETF
73936Q769
59803
2571083
SH
DFND
1
2571083
0
0
PRICELINE COM INC COM NEW
SHS
741503403
5933
3333
SH
DFND
1
3318
0
15
PRICELINE GROUP INC/THE
BOND
741503AS5
13659
9560000
PRN
DFND
1
9560000
0
0
PRICELINE GROUP INC/THE
BOND
741503AQ9
442
234000
PRN
DFND
1
234000
0
0
PROGRESSIVE CORP OHIO COM
SHS
743315103
4036
103015
SH
DFND
1
102467
0
548
PROOFPOINT INC
SHS
743424103
3993
53700
SH
DFND
1
53700
0
0
PRUDENTIAL FINL INC COM
SHS
744320102
1505
14107
SH
DFND
1
14082
0
25
PS BUSINESS PKS INC CALIF COM
SHS
69360J107
662
5769
SH
DFND
1
3723
0
2046
PTC INC COM
SHS
69370C100
1313
24993
SH
DFND
1
24781
0
212
QORVO INC
SHS
74736K101
232
3377
SH
DFND
1
3340
0
37
QUALITY SYS INC COM
SHS
747582104
363
23793
SH
DFND
1
15198
0
8595
RADIAN GROUP INC COM
SHS
750236101
1678
93419
SH
DFND
1
79107
0
14312
RAMBUS INC
BOND
750917AE6
17439
14525000
PRN
DFND
1
14525000
0
0
RED HAT INC COM
SHS
756577102
1248
14427
SH
DFND
1
14221
0
206
REGENERON PHARMACEUTICALS COM
SHS
75886F107
448
1157
SH
DFND
1
1141
0
16
REGIONS FINL CORP NEW COM
SHS
7591EP100
193
13309
SH
DFND
1
13162
0
147
REPUBLIC SVCS INC COM
SHS
760759100
1467
23363
SH
DFND
1
23250
0
113
REX ENERGY CORP
SHS
761565100
21
45000
SH
DFND
1
45000
0
0
ROSS STORES INC COM
SHS
778296103
1516
23019
SH
DFND
1
22695
0
324
RPC INC
SHS
749660106
436
23836
SH
DFND
1
23836
0
0
RTI INTERNATIONAL METALS INC
BOND
74973WAB3
257
220000
PRN
DFND
1
220000
0
0
SALESFORCE.COM INC
BOND
79466LAD6
13558
10500000
PRN
DFND
1
10500000
0
0
SCHWAB CHARLES CORP NEW COM
SHS
808513105
2618
64141
SH
DFND
1
63777
0
364
SCIENCE APPLICATNS INTL CP NCO
SHS
808625107
607
8160
SH
DFND
1
5184
0
2976
SCIENTIFIC GAMES CORP CL A
SHS
80874P109
606
25625
SH
DFND
1
16265
0
9360
SEACOR HOLDINGS INC
BOND
811904AM3
256
250000
PRN
DFND
1
250000
0
0
SEI INVTS CO COM
SHS
784117103
236
4697
SH
DFND
1
4649
0
48
SERVICENOW INC
BOND
81762PAB8
24663
19100000
PRN
DFND
1
19100000
0
0
SERVICESOURCE INTERNATIONAL INC
BOND
81763UAB6
3783
3880000
PRN
DFND
1
3880000
0
0
SNYDERS LANCE INC COM
SHS
833551104
337
8356
SH
DFND
1
5303
0
3053
SOUTHWEST AIRLS CO COM
SHS
844741108
2172
40406
SH
DFND
1
39861
0
545
SPDR S&P BANK ETF
ETF
78464A797
19649
457160
SH
DFND
1
457160
0
0
SPDR S&P OIL & GAS EQUIPMENT & SERVICES ETF
ETF
78464A748
2595
129170
SH
DFND
1
129170
0
0
SPECTRANETICS CORP/THE
BOND
84760CAA5
10101
8827000
PRN
DFND
1
8827000
0
0
SPECTRUM BRANDS HLDGS INC COM
SHS
84763R101
767
5513
SH
DFND
1
5437
0
76
SPIRE INC COM
SHS
84857L101
610
9043
SH
DFND
1
5766
0
3277
SPIRIT AIRLS INC COM
SHS
848577102
1176
22170
SH
DFND
1
19624
0
2546
SQUARE INC CL A
SHS
852234103
924
53446
SH
DFND
1
39173
0
14273
STAG INDL INC COM
SHS
85254J102
517
20679
SH
DFND
1
16006
0
4673
STANLEY BLACK AND DECKER INC
SHS
854502101
307
2317
SH
DFND
1
2291
0
26
STARBUCKS CORP COM
SHS
855244109
4795
82119
SH
DFND
1
81341
0
778
STARWOOD PROPERTY TRUST INC
BOND
85571BAB1
286
250000
PRN
DFND
1
250000
0
0
STERICYCLE INC COM
SHS
858912108
1107
13354
SH
DFND
1
13322
0
32
STONEGATE BK FT LAUDERDALE FCO
SHS
861811107
377
8004
SH
DFND
1
5097
0
2907
STORE CAP CORP COM
SHS
862121100
1014
42475
SH
DFND
1
42373
0
102
SUN CMNTYS INC COM
SHS
866674104
2443
30415
SH
DFND
1
27727
0
2688
SWIFT TRANSN CO CL A
SHS
87074U101
799
38915
SH
DFND
1
33737
0
5178
SYNAPTICS INC COM
SHS
87157D109
509
10278
SH
DFND
1
7851
0
2427
SYNCHRONY FINL COM
SHS
87165B103
2391
69730
SH
DFND
1
69487
0
243
SYNNEX CORP COM
SHS
87162W100
1325
11833
SH
DFND
1
10309
0
1524
SYSCO CORP COM
SHS
871829107
3075
59227
SH
DFND
1
58731
0
496
TAKE-TWO INTERACTIVE SOFTWARCO
SHS
874054109
720
12160
SH
DFND
1
7766
0
4394
TELEFLEX INC COM
SHS
879369106
1115
5755
SH
DFND
1
5254
0
501
TESLA INC
BOND
88160RAD3
7328
7000000
PRN
DFND
1
7000000
0
0
TESLA INC
SHS
88160R101
1586
5700
SH
DFND
1
5700
0
0
TEXAS CAP BNCSHS INC
SHS
88224Q107
1528
18304
SH
DFND
1
18285
0
19
TEXAS ROADHOUSE INC
SHS
882681109
410
9199
SH
DFND
1
9199
0
0
THERMO FISHER SCIENTIFIC INC
SHS
883556102
2295
14941
SH
DFND
1
14908
0
33
TIFFANY & CO NEW COM
SHS
886547108
2247
23577
SH
DFND
1
23406
0
171
TJX COMPANIES INC NEW COM
SHS
872540109
1108
14014
SH
DFND
1
13797
0
217
TRICO BANCSHARES COM
SHS
896095106
451
12670
SH
DFND
1
8120
0
4550
TRIMBLE NAV LTD COM
SHS
896239100
1557
48643
SH
DFND
1
48200
0
443
TRONC INC
SHS
89703P107
524
37653
SH
DFND
1
37653
0
0
TUTOR PERINI CORP
SHS
901109108
1113
35000
SH
DFND
1
35000
0
0
TWITTER INC
BOND
90184LAB8
14521
15387000
PRN
DFND
1
15387000
0
0
U S SILICA HLDGS INC COM
SHS
90346E103
1418
29542
SH
DFND
1
24504
0
5038
UNION PAC CORP
SHS
907818108
6492
61297
SH
DFND
1
60954
0
343
UNITED CONTL HLDGS INC COM
SHS
910047109
253
3575
SH
DFND
1
3536
0
39
UNITED INS HLDGS CORP COM
SHS
910710102
382
23969
SH
DFND
1
15315
0
8654
UNITEDHEALTH GROUP INC
SHS
91324P102
2265
13812
SH
DFND
1
13615
0
197
UNITIL CORP COM
SHS
913259107
569
12637
SH
DFND
1
8019
0
4618
UNIVERSAL INS HLDGS INC COM
SHS
91359V107
921
37617
SH
DFND
1
31924
0
5693
VAIL RESORTS INC
SHS
91879Q109
359
1873
SH
DFND
1
1873
0
0
VALVOLINE INC COM
SHS
92047W101
836
34052
SH
DFND
1
33562
0
490
VANECK VECTORS OIL SERVICES ET
ETF
92189F718
12875
417900
SH
DFND
1
417900
0
0
VANTIV INC CL A
SHS
92210H105
302
4712
SH
DFND
1
4661
0
51
VEECO INSTRS INC DEL COM
SHS
922417100
830
27822
SH
DFND
1
24300
0
3522
VEECO INSTRUMENTS INC
BOND
922417AD2
15647
15000000
PRN
DFND
1
15000000
0
0
VERISK ANALYTICS
SHS
92345Y106
1111
13691
SH
DFND
1
13642
0
49
VERTEX PHARMACEUTICALS INC COM
SHS
92532F100
565
5164
SH
DFND
1
5084
0
80
VIPSHOP HOLDINGS LTD
BOND
92763WAA1
16190
16000000
PRN
DFND
1
16000000
0
0
VISA INC COM CL A
SHS
92826C839
5720
64373
SH
DFND
1
64030
0
343
VOYA FINL INC COM
SHS
929089100
2038
53684
SH
DFND
1
53133
0
551
WABTEC CORP COM
SHS
929740108
3066
39319
SH
DFND
1
39032
0
287
WAL MART STORES INC
SHS
931142103
832
11540
SH
DFND
1
11359
0
181
WASTE CONNECTIONS INC
SHS
94106B101
1646
18663
SH
DFND
1
14568
0
4095
WASTE MANAGEMENT INC COM
SHS
94106L109
2526
34644
SH
DFND
1
34560
0
84
WATSCO INC COM
SHS
942622200
2353
16440
SH
DFND
1
14481
0
1959
WD 40 CO COM
SHS
929236107
420
3853
SH
DFND
1
2441
0
1412
WEATHERFORD INTERNATIONAL LTD
BOND
947075AH0
305
237000
PRN
DFND
1
237000
0
0
WEBMD HEALTH CORP
BOND
94770VAK8
8334
7000000
PRN
DFND
1
7000000
0
0
WEC ENERGY GROUP INC COM
SHS
92939U106
1118
18436
SH
DFND
1
18390
0
46
WELBILT INC
SHS
949090104
2081
106030
SH
DFND
1
94516
0
11514
WELLS FARGO & CO
PFD CONV
949746804
533
430
SH
DFND
1
430
0
0
WELLS FARGO & CO NEW COM
SHS
949746101
2850
51214
SH
DFND
1
51085
0
129
WESCO INTL INC COM
SHS
95082P105
516
7427
SH
DFND
1
5744
0
1683
WESTERN ALLIANCE BANCORP COM
SHS
957638109
653
13302
SH
DFND
1
8457
0
4845
WESTLAKE CHEM CORP COM
SHS
960413102
1306
19767
SH
DFND
1
19576
0
191
WEYERHAEUSER CO COM
SHS
962166104
250
7346
SH
DFND
1
7269
0
77
WHITING PETROLEUM CORP
BOND
966387AL6
298
340000
PRN
DFND
1
340000
0
0
WINTRUST FINL CORP COM
SHS
97650W108
867
12549
SH
DFND
1
7987
0
4562
WORKDAY INC
BOND
98138HAC5
13544
11829000
PRN
DFND
1
11829000
0
0
XILINX INC COM
SHS
983919101
1778
30707
SH
DFND
1
30639
0
68
YAHOO! INC
BOND
984332AF3
18326
17600000
PRN
DFND
1
17600000
0
0
ZIMMER HLDGS INC COM
SHS
98956P102
3918
32083
SH
DFND
1
31943
0
140
ZOETIS INC CL A
SHS
98978V103
912
17078
SH
DFND
1
16822
0
256