0000909012-17-000112.txt : 20170622
0000909012-17-000112.hdr.sgml : 20170622
20170622132249
ACCESSION NUMBER: 0000909012-17-000112
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20170622
DATE AS OF CHANGE: 20170622
EFFECTIVENESS DATE: 20170622
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05958
FILM NUMBER: 17924733
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/A
1
primary_doc.xml
13F-HR/A
LIVE
false
false
false
0001030815
XXXXXXXX
03-31-2016
03-31-2016
true
1
RESTATEMENT
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
06-20-2017
1
374
924856
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
ALLERGAN PLC SHS
SHS
G0177J108
7019
26187
SH
DFND
1
26076
0
111
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
AMDOCS LTD ORD
SHS
G02602103
715
11835
SH
DFND
1
11786
0
49
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
1612
28101
SH
DFND
1
23179
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
4274
146369
SH
DFND
1
136013
0
10356
AXCELIS TECHNOLOGIES INC COM
SHS
054540109
490
174810
SH
DFND
1
102075
0
72735
BANK OF AMERICA CORP
PFD CONV
060505682
317
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
478
13633
SH
DFND
1
7954
0
5679
BAXTER INTL INC COM
SHS
071813109
820
19955
SH
DFND
1
19901
0
54
BERKLEY W R CORP COM
SHS
084423102
461
8208
SH
DFND
1
8136
0
72
BERRY PLASTICS GROUP INC COM
SHS
08579W103
1794
49626
SH
DFND
1
42258
0
7368
BIOGEN IDEC INC COM
SHS
09062X103
1615
6204
SH
DFND
1
6146
0
58
BIOMARIN PHARMACEUTICAL INC
BOND
09061GAE1
2326
2000000
PRN
DFND
1
2000000
0
0
BIOMARIN PHARMACEUTICAL INC CO
SHS
09061G101
476
5765
SH
DFND
1
5705
0
60
BLACK KNIGHT FINL SVCS INC CL
SHS
09214X100
1218
39237
SH
DFND
1
31729
0
7508
BLACKHAWK NETWORK HLDGS INC CL
SHS
09238E104
2363
68895
SH
DFND
1
61559
0
7336
BOSTON BEER INC CL A
SHS
100557107
238
1288
SH
DFND
1
762
0
526
BRASKEM SA SP ADR PFD A
ADR
105532105
453
35063
SH
DFND
1
34292
0
771
BRIGGS & STRATTON CORPORATION
SHS
109043109
387
16181
SH
DFND
1
9454
0
6727
BRISTOL MYERS SQUIBB CO
SHS
110122108
1616
25295
SH
DFND
1
25000
0
295
BROADCOM LTD SHS
SHS
Y09827109
4438
28721
SH
DFND
1
28581
0
140
BURLINGTON STORES INC COM
SHS
122017106
735
13077
SH
DFND
1
10047
0
3030
CALATLANTIC GROUP INC
BOND
783764AQ6
22028
18000000
PRN
DFND
1
18000000
0
0
CARLISLE COS INC COM
SHS
142339100
1115
11207
SH
DFND
1
11176
0
31
CARRIZO OIL & CO INC COM
SHS
144577103
294
9532
SH
DFND
1
5605
0
3927
CARTER HLDGS INC COM
SHS
146229109
3046
28906
SH
DFND
1
26242
0
2664
CASELLA WASTE SYS INC CL A
SHS
147448104
221
32909
SH
DFND
1
19240
0
13669
CASEYS GEN STORES INC
SHS
147528103
561
4950
SH
DFND
1
2883
0
2067
CBRE GROUP INC CL A
SHS
12504L109
1198
41573
SH
DFND
1
41079
0
494
CELANESE CORP DEL COM SER A
SHS
150870103
2020
30837
SH
DFND
1
30405
0
432
CELGENE CORP COM
SHS
151020104
1149
11485
SH
DFND
1
11351
0
134
CEPHEID
BOND
15670RAC1
2239
2500000
PRN
DFND
1
2500000
0
0
CHECK POINT SOFTWARE TECH LTOR
SHS
M22465104
238
2731
SH
DFND
1
2532
0
199
CHEVRON CORP NEW
SHS
166764100
461
4838
SH
DFND
1
4825
0
13
CHUBB LIMITED COM
SHS
H1467J104
2493
20927
SH
DFND
1
20881
0
46
CHUNGHWA TELECOM COM LTD SPON
ADR
17133Q502
230
6815
SH
DFND
1
6327
0
488
CHURCH & DWIGHT INC COM
SHS
171340102
2376
25769
SH
DFND
1
25720
0
49
CIENA CORP COM NEW
SHS
171779309
2972
156282
SH
DFND
1
155385
0
897
CIGNA CORP
SHS
125509109
1308
9531
SH
DFND
1
9420
0
111
CINTAS CORP
SHS
172908105
1557
17335
SH
DFND
1
17280
0
55
CITRIX SYSTEMS INC
SHS
177376100
1336
17000
SH
DFND
1
17000
0
0
CIVITAS SOLUTIONS INC
SHS
17887R102
194
11103
SH
DFND
1
11103
0
0
CLOROX CO COM
SHS
189054109
3669
29105
SH
DFND
1
28946
0
159
CMS ENERGY CORP
SHS
125896100
4667
109964
SH
DFND
1
109383
0
581
COBALT INTERNATIONAL ENERGY INC
BOND
19075FAA4
13298
26450000
PRN
DFND
1
26450000
0
0
COCA COLA CO
SHS
191216100
1003
21620
SH
DFND
1
21362
0
258
COGNIZANT TECHNLGY SLTNS CORCL
SHS
192446102
1110
17707
SH
DFND
1
17495
0
212
COMCAST CORP NEW CL A
SHS
20030N101
4424
72424
SH
DFND
1
71800
0
624
COMMUNITY HEALTH SYS INC NEWCO
SHS
203668108
292
15813
SH
DFND
1
15745
0
68
COMMUNITY HEALTH SYSTEMS INC
SHS
203668908
68
4000
SH
Call
DFND
1
0
0
0
CONCHO RES INC COM
SHS
20605P101
274
2713
SH
DFND
1
2689
0
24
CONSTELLATION BRANDS INC CL A
SHS
21036P108
2656
17580
SH
DFND
1
17388
0
192
COOPER COS INC COM NEW
SHS
216648402
1863
12100
SH
DFND
1
10916
0
1184
COOPER TIRE & RUBBER CO
SHS
216831107
607
16403
SH
DFND
1
11779
0
4624
COSTCO WHOLESALE CORP COM
SHS
22160K105
5236
33228
SH
DFND
1
33002
0
226
CROWN CASTLE INTL CORP NEW COM
SHS
22822V101
378
4373
SH
DFND
1
4335
0
38
CSG SYS INTL INC COM
SHS
126349109
511
11301
SH
DFND
1
6661
0
4640
CTRIP.COM INTERNATIONAL LTD
BOND
22943FAD2
23796
18500000
PRN
DFND
1
18500000
0
0
CUBESMART COM
SHS
229663109
1867
56077
SH
DFND
1
47732
0
8345
CUMULUS MEDIA INC
SHS
231082108
10
20612
SH
DFND
1
20612
0
0
CURRENCYSHARES BRITISH POUND STERLING TRUST
SHS
23129S956
417
3000
SH
Put
DFND
1
0
0
0
CURRENCYSHARES CANADIAN DOLLAR TRUST
ETF
23129X105
237
3100
SH
DFND
1
3100
0
0
DANAHER CORP
SHS
235851102
4038
42569
SH
DFND
1
42354
0
215
DAVE & BUSTERS ENTMT INC COM
SHS
238337109
847
21865
SH
DFND
1
18089
0
3776
DCP MIDSTREAM PARTNERS LP
SHS
23311P100
302
11109
SH
DFND
1
11109
0
0
DENTSPLY SIRONA INC COM
SHS
24906P109
254
4132
SH
DFND
1
4096
0
36
DEXCOM INC COM
SHS
252131107
244
3604
SH
DFND
1
2110
0
1494
DHT HOLDINGS INC SHS NEW
SHS
Y2065G121
229
39756
SH
DFND
1
39400
0
356
DIGITAL RLTY TR INC COM
SHS
253868103
1624
18351
SH
DFND
1
18141
0
210
DISNEY WALT CO COM DISNEY
SHS
254687106
3172
31940
SH
DFND
1
31560
0
380
DOLLAR TREE INC
SHS
256746108
307
3723
SH
DFND
1
3690
0
33
DOMINION DIAMOND CORP
SHS
257287102
115
10388
SH
DFND
1
10388
0
0
DOMINION DIAMOND CORP COM
SHS
257287102
538
48568
SH
DFND
1
47280
0
1288
DOMINION RES INC VA NEW COM
SHS
25746U109
1093
14554
SH
DFND
1
14514
0
40
DOW CHEMICAL CORP
SHS
260543103
1434
28191
SH
DFND
1
28129
0
62
DTE ENERGY CO COM
SHS
233331107
2500
27569
SH
DFND
1
27297
0
272
EATON VANCE FLOATING-RATE INCOME TRUST
ETF
278279104
4654
353668
SH
DFND
1
353668
0
0
EATON VANCE SENIOR INCOME TRUST
ETF
27826S103
5608
968586
SH
DFND
1
968586
0
0
EDISON INTERNATIONAL
SHS
281020107
202
2815
SH
DFND
1
2815
0
0
ELECTRONIC ARTS COM
SHS
285512109
237
3589
SH
DFND
1
3558
0
31
ELI LILLY AND CO.
SHS
532457108
921
12791
SH
DFND
1
12641
0
150
EMERGENT BIOSOLUTIONS INC COM
SHS
29089Q105
977
26888
SH
DFND
1
19073
0
7815
ENDO INTL PLC SHS
SHS
G30401106
850
30206
SH
DFND
1
30026
0
180
EOG RES INC COM
SHS
26875P101
1302
17927
SH
DFND
1
17878
0
49
EQUINIX INC COM
SHS
29444U700
5549
16779
SH
DFND
1
16682
0
97
EQUITY LIFESTYLE PROPERTIES INC
SHS
29472R108
407
5599
SH
DFND
1
5599
0
0
ESSEX PPTY TR COM
SHS
297178105
2551
10906
SH
DFND
1
10890
0
16
ETRADE FINANCIAL CORP COM NEW
SHS
269246401
352
14388
SH
DFND
1
14259
0
129
EVERTEC INC COM
SHS
30040P103
310
22149
SH
DFND
1
12925
0
9224
EXPEDIA INC DEL COM NEW
SHS
30212P303
275
2552
SH
DFND
1
2529
0
23
EXPRESS SCRIPTS HOLDING COMPAN
SHS
30219G108
801
11660
SH
DFND
1
11524
0
136
EXTRA SPACE STORAGE INC COM
SHS
30225T102
2166
23174
SH
DFND
1
23093
0
81
EXXON MOBIL CORP
SHS
30231G102
1391
16636
SH
DFND
1
16592
0
44
F5 NETWORKS INC COM
SHS
315616102
1286
12157
SH
DFND
1
12059
0
98
FACEBOOK INC CL A
SHS
30303M102
6024
52792
SH
DFND
1
52243
0
549
FCB FINL HLDGS INC CL A
SHS
30255G103
908
27312
SH
DFND
1
18915
0
8397
FEDERAL RLTY INVT TR SBI NEW
SHS
313747206
2477
15870
SH
DFND
1
15838
0
32
FIDELITY NATIONAL FINANCIAL FN
SHS
31620R303
1306
38499
SH
DFND
1
38394
0
105
FIDELITY NATIONAL FINANCIAL FN
SHS
31620R402
292
26917
SH
DFND
1
15709
0
11208
FIDELITY NATIONAL INFORMATION
SHS
31620M106
3388
53512
SH
DFND
1
53254
0
258
FIREEYE INC
BOND
31816QAA9
10230
12000000
PRN
DFND
1
12000000
0
0
FIRST DEFIANCE FINL CORP COM
SHS
32006W106
431
11219
SH
DFND
1
6595
0
4624
FISERV INC
SHS
337738108
325
3171
SH
DFND
1
3171
0
0
FLOTEK INDUSTRIES INC
SHS
343389952
74
10000
SH
Put
DFND
1
0
0
0
FORTINET INC COM
SHS
34959E109
957
31245
SH
DFND
1
30894
0
351
FOUR CORNERS PPTY TR INC COM
SHS
35086T109
595
33145
SH
DFND
1
24032
0
9113
FRANKLIN RES INC COM
SHS
354613101
802
20542
SH
DFND
1
20486
0
56
G & K SVCS INC
SHS
361268105
705
9633
SH
DFND
1
5656
0
3977
GENERAL DYNAMICS CORP COM
SHS
369550108
1009
7676
SH
DFND
1
7655
0
21
GENERAL ELECTRIC CO
SHS
369604103
3863
121518
SH
DFND
1
121260
0
258
GENERAL MILLS INC COM
SHS
370334104
1120
17686
SH
DFND
1
17647
0
39
GENESEE & WYO INC CL A
SHS
371559105
653
10412
SH
DFND
1
8032
0
2380
GENTEX CORP COM
SHS
371901109
1592
101457
SH
DFND
1
89058
0
12399
G-III APPAREL GROUP LTD
SHS
36237H101
541
11068
SH
DFND
1
11068
0
0
GILEAD SCIENCES INC
BOND
375558AP8
255
62000
PRN
DFND
1
62000
0
0
GILEAD SCIENCES INC COM
SHS
375558103
6086
66247
SH
DFND
1
65707
0
540
GOLDMAN SACHS GROUP INC COM
SHS
38141G104
2826
18005
SH
DFND
1
17977
0
28
GREEN DOT CORP CL A
SHS
39304D102
1413
61489
SH
DFND
1
45748
0
15741
HANESBRANDS INC
SHS
410345102
372
13133
SH
DFND
1
13133
0
0
HANOVER INSURANCE GROUP INC/THE
SHS
410867105
209
2314
SH
DFND
1
2314
0
0
HARRIS CORP COM
SHS
413875105
4903
62972
SH
DFND
1
62658
0
314
HARTFORD FINL SVCS GROUP INCCO
SHS
416515104
4038
87628
SH
DFND
1
87413
0
215
HD SUPPLY HLDGS INC COM
SHS
40416M105
1426
43124
SH
DFND
1
42649
0
475
HELMERICH & PAYNE INC
SHS
423452101
1041
17725
SH
DFND
1
17655
0
70
HERSHEY FOODS CORP
SHS
427866108
1724
18713
SH
DFND
1
18576
0
137
HOLOGIC INC
SHS
436440101
4358
126310
SH
DFND
1
126310
0
0
HOLOGIC INC
BOND
436440AC5
220
170000
PRN
DFND
1
170000
0
0
HOME DEPOT INC COM
SHS
437076102
8884
66585
SH
DFND
1
66134
0
451
HONEYWELL INTERNATIONAL INC.
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
INGERSOLL-RAND PLC
SHS
G47791101
1387
22373
SH
DFND
1
22273
0
100
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
447
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
INTERXION HOLDING NV
SHS
NL0009693
521
15069
SH
DFND
1
15069
0
0
INTUIT INC COM
SHS
461202103
372
3582
SH
DFND
1
3550
0
32
INVESCO LTD SHS
SHS
G491BT108
522
16964
SH
DFND
1
16816
0
148
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF
ETF
464288513
9272
113500
SH
DFND
1
113500
0
0
ISHARES U.S. REAL ESTATE ETF
ETF
464287739
2113
27134
SH
DFND
1
27134
0
0
JARDEN CORP
BOND
471109AL2
264
172000
PRN
DFND
1
172000
0
0
JOHN BEAN TECHNOLOGIES CORP CO
SHS
477839104
1261
22359
SH
DFND
1
15658
0
6701
JOHNSON & JOHNSON
SHS
478160104
1015
9381
SH
DFND
1
9355
0
26
KANSAS CITY SOUTHN INDS INC CO
SHS
485170302
208
2437
SH
DFND
1
2415
0
22
KATE SPADE & CO COM
SHS
485865109
242
9476
SH
DFND
1
9441
0
35
KCG HLDGS INC CL A
SHS
48244B100
220
18364
SH
DFND
1
10683
0
7681
KEYCORP
SHS
493267108
1364
123556
SH
DFND
1
123271
0
285
KIMBERLY CLARK CORP COM
SHS
494368103
3537
26296
SH
DFND
1
26163
0
133
KINDRED HEALTHCARE INC COM
SHS
494580103
277
22464
SH
DFND
1
22379
0
85
KITE RLTY GROUP TR COM NEW
SHS
49803T300
767
27682
SH
DFND
1
21689
0
5993
KOHL'S CORP
SHS
500255104
373
7995
SH
DFND
1
7995
0
0
KOREA ELEC PWR CO ADR SPONS C
ADR
500631106
275
10686
SH
DFND
1
9903
0
783
KRAFT HEINZ COMPANY
SHS
500754106
1856
23621
SH
DFND
1
23556
0
65
KROGER CO COM
SHS
501044101
3572
93397
SH
DFND
1
92797
0
600
LACLEDE GROUP INC COM
SHS
505597104
950
14019
SH
DFND
1
9949
0
4070
LEVEL 3 COMMUNICATIONS INC COM
SHS
52729N308
469
8870
SH
DFND
1
8791
0
79
LIBERTY GLOBAL PLC LILAC SHS C
SHS
G5480U138
430
12259
SH
DFND
1
8957
0
3302
LIBERTY GLOBAL PLC SHS CL C
SHS
G5480U120
906
24123
SH
DFND
1
24057
0
66
LIFEPOINT HOSPS INC COM
SHS
53219L109
299
4324
SH
DFND
1
2541
0
1783
LINKEDIN CORP
BOND
53578AAB4
3487
3829000
PRN
DFND
1
3829000
0
0
LINKEDIN CORP COM CL A
SHS
53578A108
209
1830
SH
DFND
1
1814
0
16
LITHIA MTRS INC CL A
SHS
536797103
660
7555
SH
DFND
1
5599
0
1956
LOCKHEED MARTIN CORP COM
SHS
539830109
3836
17318
SH
DFND
1
17216
0
102
LYONDELLBASELL INDUSTRIES N SH
SHS
N53745100
1131
13214
SH
DFND
1
13179
0
35
M & T BK CORP COM
SHS
55261F104
1363
12280
SH
DFND
1
12247
0
33
MA COM TECHNOLOGY SOLUTIONS CO
SHS
55405Y100
3182
72651
SH
DFND
1
67384
0
5267
MADISON SQUARE GARDEN CO NEWCL
SHS
55825T103
379
2276
SH
DFND
1
1359
0
917
MANHATTAN ASSOCS INC COM
SHS
562750109
590
10369
SH
DFND
1
6087
0
4282
MARRIOTT INTL INC NEW CL A
SHS
571903202
319
4481
SH
DFND
1
4441
0
40
MARRIOTT VACATIONS WRLDWDE CCO
SHS
57164Y107
439
6503
SH
DFND
1
3360
0
3143
MARTIN MARIETTA MATERIALS INC
SHS
573284106
834
5230
SH
DFND
1
5230
0
0
MASCO CORP COM
SHS
574599106
637
20260
SH
DFND
1
20138
0
122
MASTERCARD INC COM
SHS
57636Q104
6097
64517
SH
DFND
1
64143
0
374
MCCORMICK & CO INC COM NON VTG
SHS
579780206
4378
44012
SH
DFND
1
43748
0
264
MCDONALDS CORP
SHS
580135101
4598
36590
SH
DFND
1
36292
0
298
MCKESSON CORP COM
SHS
58155Q103
871
5542
SH
DFND
1
5476
0
66
MEAD JOHNSON NUTRITION CO COM
SHS
582839106
411
4835
SH
DFND
1
4814
0
21
MEDALLION FINANCIAL CORP
SHS
583928956
91
10000
SH
Put
DFND
1
0
0
0
MEDTRONIC PLC
SHS
G5960L103
1664
22182
SH
DFND
1
22129
0
53
MELLANOX TECHNOLOGIES LTD SHS
SHS
M51363113
5788
106519
SH
DFND
1
99662
0
6857
MERCK & COMPANY
SHS
58933Y105
816
15422
SH
DFND
1
15380
0
42
MERIT MED SYS INC COM
SHS
589889104
449
24279
SH
DFND
1
14290
0
9989
MERITAGE HOMES CORP
BOND
59001AAR3
324
325000
PRN
DFND
1
325000
0
0
MICHAEL KORS HLDGS LTD SHS
SHS
G60754101
937
16454
SH
DFND
1
16305
0
149
MICRON TECHNOLOGY INC
BOND
595112AX1
2533
2000000
PRN
DFND
1
2000000
0
0
MICRON TECHNOLOGY INC
BOND
595112AY9
257
375000
PRN
DFND
1
375000
0
0
MICROSEMI CORP COM
SHS
595137100
1113
29041
SH
DFND
1
25680
0
3361
MICROSOFT CORP COM
SHS
594918104
10986
198919
SH
DFND
1
197560
0
1359
MOLSON COORS BREWING COMPANY
SHS
60871R209
4097
42601
SH
DFND
1
42378
0
223
MONSANTO CO NEW COM
SHS
61166W101
594
6773
SH
DFND
1
6694
0
79
MOODYS CORP COM
SHS
615369105
231
2389
SH
DFND
1
2368
0
21
MSCI INC
SHS
55354G100
212
2865
SH
DFND
1
2865
0
0
MYLAN N V ORD SHARES
SHS
N59465109
440
9486
SH
DFND
1
9421
0
65
NATIONAL GEN HLDGS CORP COM
SHS
636220303
1110
51415
SH
DFND
1
37499
0
13916
NATIONAL STORAGE AFFILIATES CO
SHS
637870106
513
24220
SH
DFND
1
14298
0
9922
NET 1 UEPS TECHNOLOGIES INC CO
SHS
64107N206
555
60348
SH
DFND
1
43166
0
17182
NETEASE COM INC SPONSORED ADR
ADR
64110W102
219
1527
SH
DFND
1
1415
0
112
NIKE INC CL B
SHS
654106103
2745
44662
SH
DFND
1
44134
0
528
NISOURCE INC COM
SHS
65473P105
270
11458
SH
DFND
1
11356
0
102
NOBLE ENERGY INC COM
SHS
655044105
200
6357
SH
DFND
1
6300
0
57
NORBORD INC
SHS
65548P403
383
19274
SH
DFND
1
19274
0
0
NORTEK INC
SHS
656559309
333
6905
SH
DFND
1
6905
0
0
NORTEL NETWORKS CORP
BOND
656568AE2
2565
3000000
PRN
DFND
1
3000000
0
0
NORTHROP GRUMMAN CORP
SHS
666807102
440
2222
SH
DFND
1
2222
0
0
NORTHWEST NAT GAS CO
SHS
667655104
927
17215
SH
DFND
1
13093
0
4122
NOVELLUS SYSTEMS INC
BOND
670008AD3
244
100000
PRN
DFND
1
100000
0
0
NUVASIVE INC COM
SHS
670704105
360
7383
SH
DFND
1
4348
0
3035
NVIDIA CORP
BOND
67066GAC8
36065
20155000
PRN
DFND
1
20155000
0
0
NXP SEMICONDUCTORS N V COM
SHS
N6596X109
1188
14656
SH
DFND
1
14496
0
160
NXP SEMICONDUCTORS NV
BOND
62952QAB6
8051
7245000
PRN
DFND
1
7245000
0
0
OCCIDENTAL PETE CORP COM
SHS
674599105
1838
26857
SH
DFND
1
26812
0
45
OLD REP INTL CORP COM
SHS
680223104
2821
154349
SH
DFND
1
154105
0
244
ORACLE CORP
SHS
68389X105
3566
87156
SH
DFND
1
86721
0
435
ORBITAL ATK INC COM
SHS
68557N103
880
10122
SH
DFND
1
7563
0
2559
O'REILLY AUTOMOTIVE INC NEW CO
SHS
67103H107
5297
19357
SH
DFND
1
19233
0
124
OREXIGEN THERAPEUTICS INC
BOND
686164AB0
893
2244000
PRN
DFND
1
2244000
0
0
PACWEST BANCORP DEL COM
SHS
695263103
294
7914
SH
DFND
1
4614
0
3300
PALO ALTO NETWORKS INC
BOND
697435AB1
31238
20000000
PRN
DFND
1
20000000
0
0
PALO ALTO NETWORKS INC COM
SHS
697435105
503
3084
SH
DFND
1
3048
0
36
PARAMOUNT GROUP INC
SHS
69924R108
974
61071
SH
DFND
1
60359
0
712
PATTERSON-UTI ENERGY INC COM
SHS
703481101
344
19520
SH
DFND
1
11427
0
8093
PAYPAL HLDGS INC COM
SHS
70450Y103
4637
120130
SH
DFND
1
119437
0
693
PDC ENERGY INC COM
SHS
69327R101
416
6997
SH
DFND
1
4090
0
2907
PENN NATL GAMING INC COM
SHS
707569109
836
50098
SH
DFND
1
36349
0
13749
PEPSICO INC
SHS
713448108
1783
17400
SH
DFND
1
17197
0
203
PFIZER INC
SHS
717081103
3461
116771
SH
DFND
1
116548
0
223
PHARMERICA CORP COM
SHS
71714F104
214
9714
SH
DFND
1
5667
0
4047
PHILLIPS 66 COM
SHS
718546104
1494
17256
SH
DFND
1
17217
0
39
PINNACLE WEST CAP CORP COM
SHS
723484101
2492
33194
SH
DFND
1
33064
0
130
PNM RES INC COM
SHS
69349H107
1537
45572
SH
DFND
1
45478
0
94
POOL CORP
SHS
73278L105
1172
13356
SH
DFND
1
10026
0
3330
POST PPTYS INC COM
SHS
737464107
474
7936
SH
DFND
1
4640
0
3296
PPG INDS INC COM
SHS
693506107
1453
13036
SH
DFND
1
12884
0
152
PPL CORP COM
SHS
69351T106
450
11824
SH
DFND
1
11720
0
104
PRICELINE COM INC COM NEW
SHS
741503403
3528
2737
SH
DFND
1
2734
0
3
PRICELINE GROUP INC/THE
BOND
741503AQ9
27080
18830000
PRN
DFND
1
18830000
0
0
PRIVATEBANCORP INC COM
SHS
742962103
604
15661
SH
DFND
1
9155
0
6506
PROCTER & GAMBLE CO
SHS
742718109
1527
18551
SH
DFND
1
18500
0
51
PROGENICS PHARMACEUTICALS INCO
SHS
743187106
212
48479
SH
DFND
1
38720
0
9759
PROOFPOINT INC
BOND
743424AB9
30020
20500000
PRN
DFND
1
20500000
0
0
PS BUSINESS PKS INC CALIF COM
SHS
69360J107
630
6269
SH
DFND
1
3723
0
2546
PT TELEKOMUNIKIASI INDONESIAAD
ADR
715684106
256
5043
SH
DFND
1
4668
0
375
PTC INC COM
SHS
69370C100
2158
65086
SH
DFND
1
64621
0
465
QUALCOMM INC COM
SHS
747525103
516
10089
SH
DFND
1
10062
0
27
QUINTILES TRANSNATIO HLDGS ICO
SHS
74876Y101
887
13637
SH
DFND
1
13602
0
35
RADIAN GROUP INC
SHS
750236101
687
55442
SH
DFND
1
55442
0
0
RADWARE LTD ORD
SHS
M81873107
230
19491
SH
DFND
1
11423
0
8068
RAMBUS INC
BOND
750917AE6
20536
16250000
PRN
DFND
1
16250000
0
0
RANGE RES CORP COM
SHS
75281A109
277
8570
SH
DFND
1
8493
0
77
RAYTHEON CO COM NEW
SHS
755111507
1165
9501
SH
DFND
1
9389
0
112
RED HAT INC COM
SHS
756577102
3984
53463
SH
DFND
1
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
RENAISSANCERE HLDGS LTD ORD
SHS
G7496G103
1314
10962
SH
DFND
1
10932
0
30
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
ROYAL CARIBBEAN CRUISES LTD CO
SHS
V7780T103
232
2821
SH
DFND
1
2796
0
25
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
2784
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
7679
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
265
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
215
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
422
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
217
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
24837
15064000
PRN
DFND
1
15064000
0
0
XL GROUP PLC
SHS
G98290102
418
11341
SH
DFND
1
11242
0
99
YAHOO! INC
BOND
984332AF3
2622
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