Sr. Compliance Manager/Legal Counsel

0000909012-17-000113.txt : 20170622 0000909012-17-000113.hdr.sgml : 20170622 20170622133519 ACCESSION NUMBER: 0000909012-17-000113 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 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: 17924748 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 09-30-2016 09-30-2016 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 1 394 985866 false 1 028-11405 NUVEEN INVESTMENTS INC. INFORMATION TABLE 2 aci_13f.xml A T & T INC (NEW) SHS 00206R102 5313 130832 SH DFND 1 130164 0 668 AAON INC COM PAR $0.004 SHS 000360206 519 18010 SH DFND 1 13345 0 4665 ABBOTT LABS SHS 002824100 3468 82011 SH DFND 1 81897 0 114 ABBVIE INC COM SHS 00287Y109 2149 34083 SH DFND 1 33618 0 465 ACORDA THERAPEUTICS INC BOND 00484MAA4 2462 3000000 PRN DFND 1 3000000 0 0 ADOBE SYS INC COM SHS 00724F101 1477 13614 SH DFND 1 13437 0 177 ADVANCED MICRO DEVICES INC BOND 007903BD8 1090 1000000 PRN DFND 1 1000000 0 0 AEROJET ROCKETDYNE HLDGS INC C SHS 007800105 449 25564 SH DFND 1 15665 0 9899 AFLAC INC COM SHS 001055102 2313 32178 SH DFND 1 32128 0 50 AGILENT TECHNOLOGIES INC COM SHS 00846U101 262 5544 SH DFND 1 5490 0 54 AIR PRODS & CHEMS INC COM SHS 009158106 1736 11549 SH DFND 1 11526 0 23 AK STEEL HOLDING CORP SHS 001547108 1138 235700 SH DFND 1 235700 0 0 AKAMAI TECHNOLOGIES INC BOND 00971TAG6 14022 14326000 PRN DFND 1 14326000 0 0 AKAMAI TECHNOLOGIES INC COM SHS 00971T101 1353 25538 SH DFND 1 25332 0 206 ALBEMARLE CORP COM SHS 012653101 864 10108 SH DFND 1 10083 0 25 ALLERGAN PLC SHS SHS G0177J108 3977 17266 SH DFND 1 17172 0 94 ALLSCRIPTS HEALTHCARE SOLUTIONS INC BOND 01988PAD0 7716 7500000 PRN DFND 1 7500000 0 0 ALPHABET CLASS A SHS 02079K305 16932 21058 SH DFND 1 20893 0 165 ALTRIA GROUP INC COM SHS 02209S103 1050 16610 SH DFND 1 16572 0 38 AMAZON COM INC COM SHS 023135106 7695 9190 SH DFND 1 9089 0 101 AMDOCS LTD ORD SHS G02602103 2663 46040 SH DFND 1 45759 0 281 AMEREN CORP COM SHS 023608102 419 8514 SH DFND 1 8431 0 83 AMERICAN TOWER REIT COM SHS 03027X100 1507 13293 SH DFND 1 13269 0 24 AMGEN INC COM SHS 031162100 4162 24953 SH DFND 1 24719 0 234 AMSURG INC COM SHS 03232P405 2694 40172 SH DFND 1 39889 0 283 ANTHEM INC COM SHS 036752103 1065 8500 SH DFND 1 8386 0 114 AON PLC SHS CL A SHS G0408V102 361 3213 SH DFND 1 3182 0 31 APPLE COMPUTER INC SHS 037833100 7323 64780 SH DFND 1 63883 0 897 APTARGROUP INC SHS 038336103 344 4443 SH DFND 1 4443 0 0 ARCELORMITTAL ADR 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1835 46720 SH DFND 1 46615 0 105 O'REILLY AUTOMOTIVE INC NEW CO SHS 67103H107 5661 20207 SH DFND 1 20069 0 138 PALO ALTO NETWORKS INC BOND 697435AB1 23132 15125000 PRN DFND 1 15125000 0 0 PAREXEL INTL CORP COM SHS 699462107 1914 27558 SH DFND 1 27485 0 73 PATTERSON COS INC COM SHS 703395103 895 19466 SH DFND 1 19431 0 35 PATTERSON-UTI ENERGY INC COM SHS 703481101 1598 71443 SH DFND 1 62277 0 9166 PAYPAL HLDGS INC COM SHS 70450Y103 3681 89835 SH DFND 1 89329 0 506 PBF ENERGY INC SHS 69318G106 213 9402 SH DFND 1 9402 0 0 PDC ENERGY INC COM SHS 69327R101 448 6685 SH DFND 1 4090 0 2595 PENN NATL GAMING INC COM SHS 707569109 636 46876 SH DFND 1 34658 0 12218 PEPSICO INC SHS 713448108 1708 15708 SH DFND 1 15505 0 203 PERRIGO CO PCL SHS SHS G97822103 307 3321 SH DFND 1 3300 0 21 PFIZER INC SHS 717081103 4043 119361 SH DFND 1 119155 0 206 PHARMERICA CORP COM SHS 71714F104 374 13303 SH DFND 1 8143 0 5160 PINNACLE WEST CAP CORP COM SHS 723484101 2294 30192 SH DFND 1 30124 0 68 PLATFORM SPECIALTY 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1 12044 0 36 QUIDEL CORP BOND 74838JAA9 8313 8251000 PRN DFND 1 8251000 0 0 QUINTILES TRANSNATIO HLDGS ICO SHS 74876Y101 2416 29802 SH DFND 1 29565 0 237 RADIAN GROUP INC COM SHS 750236101 1654 122062 SH DFND 1 108544 0 13518 RADWARE LTD ORD SHS M81873107 256 18652 SH DFND 1 11423 0 7229 RAMBUS INC BOND 750917AE6 20081 17000000 PRN DFND 1 17000000 0 0 RANGE RES CORP COM SHS 75281A109 334 8630 SH DFND 1 8546 0 84 RAYTHEON CO COM NEW SHS 755111507 1167 8577 SH DFND 1 8465 0 112 RED HAT INC COM SHS 756577102 2620 32407 SH DFND 1 32162 0 245 REGENERON PHARMACEUTICALS COM SHS 75886F107 498 1240 SH DFND 1 1224 0 16 RELIANCE STL & ALUM CO COM SHS 759509102 937 12995 SH DFND 1 12835 0 160 REPUBLIC SVCS INC COM SHS 760759100 2347 46519 SH DFND 1 46394 0 125 REX ENERGY CORP SHS 761565100 26 45000 SH DFND 1 45000 0 0 REXNORD CORP NEW COM SHS 76169B102 263 12249 SH DFND 1 7508 0 4741 RICE ENERGY INC COM SHS 762760106 292 11193 SH DFND 1 6858 0 4335 ROSS STORES INC COM SHS 778296103 2251 35002 SH DFND 1 34619 0 383 SALESFORCE COM INC COM SHS 79466L302 757 10620 SH DFND 1 10473 0 147 SALESFORCE.COM INC BOND 79466LAD6 7189 6000000 PRN DFND 1 6000000 0 0 SCHLUMBERGER LTD SHS 806857108 1167 14838 SH DFND 1 14804 0 34 SCIENCE APPLICATNS INTL CP NCO SHS 808625107 588 8473 SH DFND 1 5184 0 3289 SCIENTIFIC GAMES CORP SHS 80874P959 3381 300000 SH Put DFND 1 0 0 0 SCIENTIFIC GAMES CORP CL A SHS 80874P109 197 17475 SH DFND 1 10861 0 6614 SEI INVTS CO COM SHS 784117103 214 4693 SH DFND 1 4647 0 46 SERVICENOW INC BOND 81762PAB8 27751 22700000 PRN DFND 1 22700000 0 0 SERVICESOURCE INTERNATIONAL INC BOND 81763UAB6 4743 4880000 PRN DFND 1 4880000 0 0 SHERWIN WILLIAMS CO SHS 824348106 280 1011 SH DFND 1 1001 0 10 SIMON PPTY GROUP INC NEW COM SHS 828806109 2081 10053 SH DFND 1 9950 0 103 SMUCKER J M CO COM NEW SHS 832696405 2403 17731 SH DFND 1 17604 0 127 SNYDERS LANCE INC COM SHS 833551104 291 8660 SH DFND 1 5303 0 3357 SOUTHERN CO SHS 842587107 1165 22695 SH DFND 1 22644 0 51 SOUTHWEST AIRLS CO COM SHS 844741108 2666 68557 SH DFND 1 67816 0 741 SPDR BARCLAYS SHORT TERM HIGH YIELD BOND ETF ETF 78468R408 18971 685115 SH DFND 1 685115 0 0 SPDR S&P BANK ETF ETF 78464A797 397 11900 SH DFND 1 11900 0 0 SPDR S&P BIOTECH ETF ETF 78464A950 530 8000 PRN Put DFND 1 0 0 0 SPDR S&P RETAIL ETF ETF 78464A714 943 21657 SH DFND 1 21657 0 0 SPECTRANETICS CORP/THE BOND 84760CAA5 9307 8827000 PRN DFND 1 8827000 0 0 SPECTRUM BRANDS HLDGS INC COM SHS 84763R101 216 1571 SH DFND 1 1556 0 15 SPIRE INC COM SHS 84857L101 838 13156 SH DFND 1 9529 0 3627 SPIRIT AIRLS INC COM SHS 848577102 847 19916 SH DFND 1 17132 0 2784 SQUARE INC CL A SHS 852234103 493 42340 SH DFND 1 31515 0 10825 STAG INDL INC COM SHS 85254J102 517 21109 SH DFND 1 16006 0 5103 STANLEY BLACK AND DECKER INC SHS 854502101 248 2023 SH DFND 1 2003 0 20 STARBUCKS CORP COM SHS 855244109 4013 74120 SH DFND 1 73513 0 607 STARWOOD PROPERTY TRUST INC BOND 85571BAC9 276 267000 PRN DFND 1 267000 0 0 STERICYCLE INC PFD CONV 858912207 4102 62310 SH DFND 1 62310 0 0 STERICYCLE INC COM SHS 858912108 3212 40072 SH DFND 1 39889 0 183 STONEGATE BK FT LAUDERDALE FCO SHS 861811107 514 15228 SH DFND 1 9333 0 5895 STORE CAP CORP COM SHS 862121100 2255 76515 SH DFND 1 76413 0 102 SUN CMNTYS INC COM SHS 866674104 2601 33135 SH DFND 1 30168 0 2967 SURGERY PARTNERS INC COM SHS 86881A100 394 19460 SH DFND 1 15674 0 3786 SYNCHRONY FINL COM SHS 87165B103 2664 95136 SH DFND 1 94998 0 138 SYNNEX CORP COM SHS 87162W100 492 4311 SH DFND 1 2650 0 1661 TAILORED BRANDS INC COM SHS 87403A107 496 31626 SH DFND 1 23123 0 8503 TAKE-TWO INTERACTIVE SOFTWARCO SHS 874054109 564 12522 SH DFND 1 7766 0 4756 TAKE-TWO INTERACTIVE SOFTWARE INC BOND 874054AD1 33220 15800000 PRN DFND 1 15800000 0 0 TANDEM DIABETES CARE INC COM SHS 875372104 224 29273 SH DFND 1 22167 0 7106 TELEFLEX INC COM SHS 879369106 1668 9925 SH DFND 1 8563 0 1362 TESARO INC BOND 881569AA5 23841 8104000 PRN DFND 1 8104000 0 0 TESLA MOTORS INC BOND 88160RAC5 215 250000 PRN DFND 1 250000 0 0 THERMO FISHER SCIENTIFIC INC SHS 883556102 1656 10416 SH DFND 1 10395 0 21 TJX COMPANIES INC NEW COM SHS 872540109 4390 58715 SH DFND 1 58311 0 404 TOLL BROTHERS FINANCE CORP BOND 88947EAM2 424 430000 PRN DFND 1 430000 0 0 TRANSDIGM GROUP INC COM SHS 893641100 3089 10684 SH DFND 1 10613 0 71 TRAVELPORT WORLDWIDE LTD SHS SHS G9019D104 572 38068 SH DFND 1 33132 0 4936 TRIBUNE MEDIA CO SHS 896047503 5501 150621 SH DFND 1 150621 0 0 TRICO BANCSHARES COM SHS 896095106 352 13171 SH DFND 1 8120 0 5051 TRONC INC SHS 89703P107 636 37653 SH DFND 1 37653 0 0 TWITTER INC BOND 90184LAB8 965 1000000 PRN DFND 1 1000000 0 0 TWITTER INC BOND 90184LAD4 5806 6100000 PRN DFND 1 6100000 0 0 TYLER TECHNOLOGIES INC COM SHS 902252105 1597 9324 SH DFND 1 9244 0 80 TYSON FOODS INC SHS 902494103 2247 30091 SH DFND 1 29887 0 204 U S SILICA HLDGS INC COM SHS 90346E103 1398 30023 SH DFND 1 24575 0 5448 UNIFIRST CORP COM SHS 904708104 392 2970 SH DFND 1 1826 0 1144 UNION PAC CORP SHS 907818108 5605 57468 SH DFND 1 57201 0 267 UNITED INS HLDGS CORP COM SHS 910710102 761 44805 SH DFND 1 33079 0 11726 UNITED PARCEL SERVICE INC CL B SHS 911312106 2425 22170 SH DFND 1 22007 0 163 UNITED STS STL CORP NEW COM SHS 912909108 198 10529 SH DFND 1 6485 0 4044 UNITEDHEALTH GROUP INC SHS 91324P102 2066 14757 SH DFND 1 14565 0 192 UNITIL CORP COM SHS 913259107 512 13110 SH DFND 1 8019 0 5091 UNIVAR INC SHS 91336L107 465 21291 SH DFND 1 21291 0 0 V F CORP SHS 918204108 492 8772 SH DFND 1 8651 0 121 VALE SA ADR 91912E105 234 42488 SH DFND 1 42488 0 0 VANECK VECTORS J.P. MORGAN EM LOCAL CURRENCY BOND ETF ETF 92189F494 496 26000 SH DFND 1 26000 0 0 VANTIV INC CL A SHS 92210H105 1220 21681 SH DFND 1 21588 0 93 VECTOR GROUP LTD COM SHS 92240M108 287 13341 SH DFND 1 8358 0 4983 VERISK ANALYTICS SHS 92345Y106 3830 47119 SH DFND 1 46841 0 278 VERMILION ENERGY INC SHS 923725105 392 10124 SH DFND 1 10124 0 0 VERTEX PHARMACEUTICALS INC COM SHS 92532F100 566 6493 SH DFND 1 6404 0 89 VIPSHOP HOLDINGS LTD ADR 92763W103 1148 78250 SH DFND 1 78250 0 0 VISA INC COM CL A SHS 92826C839 6695 80961 SH DFND 1 80438 0 523 VISTA OUTDOOR INC COM SHS 928377100 501 12573 SH DFND 1 7714 0 4859 VOYA FINL INC COM SHS 929089100 2939 101977 SH DFND 1 101295 0 682 WABCO HOLDINGS INC SHS 92927K102 222 1954 SH DFND 1 1954 0 0 WABTEC CORP COM SHS 929740108 2160 26459 SH DFND 1 26234 0 225 WAL MART STORES INC SHS 931142103 2116 29330 SH DFND 1 29099 0 231 WASTE CONNECTIONS INC SHS 94106B101 1346 18022 SH DFND 1 13492 0 4530 WASTE MANAGEMENT INC COM SHS 94106L109 2950 46279 SH DFND 1 46195 0 84 WATSCO INC COM SHS 942622200 2556 18137 SH DFND 1 15619 0 2518 WD 40 CO COM SHS 929236107 449 3998 SH DFND 1 2441 0 1557 WEBMD HEALTH CORP SHS 94770V102 964 19400 SH DFND 1 19400 0 0 WEC ENERGY GROUP INC COM SHS 92939U106 2454 40986 SH DFND 1 40903 0 83 WELLS FARGO & CO PFD CONV 949746804 455 350 SH DFND 1 350 0 0 WELLS FARGO & CO NEW COM SHS 949746101 2597 58654 SH DFND 1 58523 0 131 WELLTOWER INC PFD CONV 95040Q203 234 3496 SH DFND 1 3496 0 0 WENDY'S CO/THE SHS 95058W100 239 22153 SH DFND 1 22153 0 0 WESTERN ALLIANCE BANCORP COM SHS 957638109 509 13553 SH DFND 1 8336 0 5217 WEX INC SHS 96208T104 2806 25958 SH DFND 1 24117 0 1841 WEYERHAEUSER CO COM SHS 962166104 1260 39450 SH DFND 1 38965 0 485 WINTRUST FINL CORP COM SHS 97650W108 724 13029 SH DFND 1 7987 0 5042 WNS HOLDINGS LTD SPON ADR ADR 92932M101 441 14731 SH DFND 1 9007 0 5724 WORKDAY INC BOND 98138HAC5 2471 2000000 PRN DFND 1 2000000 0 0 WORLD FUEL SERVICES CORP SHS 981475106 404 8740 SH DFND 1 8740 0 0 XILINX INC BOND 983919AF8 309 164000 PRN DFND 1 164000 0 0 XILINX INC COM SHS 983919101 2615 48134 SH DFND 1 47904 0 230 XL GROUP LTD COM SHS G98294104 385 11428 SH DFND 1 11316 0 112 ZAYO GROUP HLDGS INC COM SHS 98919V105 1272 42818 SH DFND 1 42493 0 325 ZIMMER HLDGS INC COM SHS 98956P102 313 2409 SH DFND 1 2385 0 24 ZOETIS INC CL A SHS 98978V103 1509 29006 SH DFND 1 28756 0 250