0000909012-17-000114.txt : 20170623
0000909012-17-000114.hdr.sgml : 20170623
20170623104650
ACCESSION NUMBER: 0000909012-17-000114
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20170623
DATE AS OF CHANGE: 20170623
EFFECTIVENESS DATE: 20170623
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: 17926743
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
06-30-2016
06-30-2016
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
356
928423
false
1
028-11405
NUVEEN INVESTMENTS INC.
INFORMATION TABLE
2
aci_13f.xml
A T & T INC (NEW)
SHS
00206R102
3973
91929
SH
DFND
1
91800
0
129
ABBOTT LABS
SHS
002824100
1709
43481
SH
DFND
1
43427
0
54
ABBVIE INC COM
SHS
00287Y109
2223
35902
SH
DFND
1
35437
0
465
ADOBE SYS INC COM
SHS
00724F101
1701
17757
SH
DFND
1
17580
0
177
AEROJET ROCKETDYNE HLDGS INC C
SHS
007800105
296
16199
SH
DFND
1
15665
0
534
AFLAC INC COM
SHS
001055102
2345
32490
SH
DFND
1
32440
0
50
AGILENT TECHNOLOGIES INC COM
SHS
00846U101
241
5451
SH
DFND
1
5397
0
54
ALLERGAN PLC
PFD CONV
EP0481507
4835
5800
SH
DFND
1
5800
0
0
ALLERGAN PLC SHS
SHS
G0177J108
4979
21545
SH
DFND
1
21447
0
98
ALLSCRIPTS HEALTHCARE SOLUTIONS INC
BOND
01988PAD0
10071
10033000
PRN
DFND
1
10033000
0
0
ALLSTATE CORP/THE
SHS
020002101
633
9050
SH
DFND
1
9050
0
0
ALPHABET CLASS A
SHS
02079K305
16496
23448
SH
DFND
1
23281
0
167
ALTRIA GROUP INC COM
SHS
02209S103
3576
51863
SH
DFND
1
51760
0
103
AMAZON COM INC COM
SHS
023135106
6436
8994
SH
DFND
1
8893
0
101
AMDOCS LTD ORD
SHS
G02602103
2330
40372
SH
DFND
1
40144
0
228
AMEREN CORP COM
SHS
023608102
557
10396
SH
DFND
1
10297
0
99
AMERICAN TOWER REIT COM
SHS
03027X100
1607
14146
SH
DFND
1
14122
0
24
AMERISOURCEBERGEN CORP COM
SHS
03073E105
256
3238
SH
DFND
1
3207
0
31
AMGEN INC COM
SHS
031162100
3999
26282
SH
DFND
1
26048
0
234
AMSURG INC COM
SHS
03232P405
1166
15030
SH
DFND
1
14866
0
164
ANTHEM INC COM
SHS
036752103
2327
17722
SH
DFND
1
17589
0
133
AON PLC SHS CL A
SHS
G0408V102
490
4484
SH
DFND
1
4441
0
43
APPLE COMPUTER INC
SHS
037833100
5933
62066
SH
DFND
1
61258
0
808
ARGO GROUP INTL HLDGS LTD COM
SHS
G0464B107
604
11625
SH
DFND
1
11398
0
227
ARM HLDGS PLC ADR SPONSORED
ADR
042068106
749
16464
SH
DFND
1
16111
0
353
ARTHUR J GALLAGHER & CO
SHS
363576109
609
12794
SH
DFND
1
12794
0
0
ASHLAND INC NEW COM
SHS
044209104
647
5630
SH
DFND
1
5564
0
66
ASSURANT INC COM
SHS
04621X108
534
6180
SH
DFND
1
6077
0
103
AUTOZONE INC COM
SHS
053332102
3160
3981
SH
DFND
1
3973
0
8
AXALTA COATING SYS LTD COM
SHS
G0750C108
2719
102475
SH
DFND
1
101453
0
1022
AXCELIS TECHNOLOGIES INC COM
SHS
054540109
284
105572
SH
DFND
1
102075
0
3497
BANK OF AMERICA CORP
PFD CONV
060505682
333
280
SH
DFND
1
280
0
0
BANNER CORP COM NEW
SHS
06652V208
353
8286
SH
DFND
1
8009
0
277
BATS GLOBAL MARKETS INC
SHS
05491G109
290
11290
SH
DFND
1
11290
0
0
BAXTER INTL INC COM
SHS
071813109
837
18497
SH
DFND
1
18458
0
39
BECTON DICKINSON & CO COM
SHS
075887109
1285
7574
SH
DFND
1
7504
0
70
BEMIS INC COM
SHS
081437105
482
9373
SH
DFND
1
9251
0
122
BERKLEY W R CORP COM
SHS
084423102
487
8121
SH
DFND
1
8045
0
76
BERRY PLASTICS GROUP INC COM
SHS
08579W103
351
9016
SH
DFND
1
8719
0
297
BIOGEN IDEC INC COM
SHS
09062X103
1314
5434
SH
DFND
1
5364
0
70
BIOMARIN PHARMACEUTICAL INC
BOND
09061GAE1
2231
2000000
PRN
DFND
1
2000000
0
0
BIOMARIN PHARMACEUTICAL INC CO
SHS
09061G101
434
5575
SH
DFND
1
5514
0
61
BLACK KNIGHT FINL SVCS INC CL
SHS
09214X100
977
25991
SH
DFND
1
25677
0
314
BLACKHAWK NETWORK HLDGS INC CL
SHS
09238E104
2274
67925
SH
DFND
1
67497
0
428
BRISTOL MYERS SQUIBB CO
SHS
110122108
1770
24058
SH
DFND
1
23763
0
295
BROADCOM LTD SHS
SHS
Y09827109
5256
33817
SH
DFND
1
33672
0
145
BURLINGTON STORES INC COM
SHS
122017106
679
10182
SH
DFND
1
9982
0
200
CABELA'S INC
SHS
126804301
256
5110
SH
DFND
1
5110
0
0
CABOT OIL & GAS CORP CL A
SHS
127097103
1634
63488
SH
DFND
1
63372
0
116
CALATLANTIC GROUP INC
BOND
783764AQ6
20918
16255000
PRN
DFND
1
16255000
0
0
CANADIAN PACIFIC RAILWAY LTD
SHS
13645T100
252
1954
SH
DFND
1
1954
0
0
CARRIZO OIL & CO INC COM
SHS
144577103
265
7405
SH
DFND
1
7178
0
227
CARTER HLDGS INC COM
SHS
146229109
3032
28475
SH
DFND
1
28318
0
157
CASELLA WASTE SYS INC CL A
SHS
147448104
156
19892
SH
DFND
1
19240
0
652
CASEYS GEN STORES INC
SHS
147528103
392
2983
SH
DFND
1
2883
0
100
CATALENT INC COM
SHS
148806102
676
29401
SH
DFND
1
29157
0
244
CELANESE CORP DEL COM SER A
SHS
150870103
1068
16315
SH
DFND
1
15949
0
366
CELGENE CORP COM
SHS
151020104
1077
10923
SH
DFND
1
10789
0
134
CEMEX SAB DE CV
ADR
151290889
294
47649
SH
DFND
1
47649
0
0
CEPHEID
BOND
15670RAC1
12782
14660000
PRN
DFND
1
14660000
0
0
CHEVRON CORP NEW
SHS
166764100
600
5722
SH
DFND
1
5710
0
12
CHUBB LIMITED COM
SHS
H1467J104
3779
28912
SH
DFND
1
28868
0
44
CHUNGHWA TELECOM COM LTD SPON
ADR
17133Q502
213
5884
SH
DFND
1
5491
0
393
CHURCH & DWIGHT CO INC
SHS
171340902
412
8000
SH
Call
DFND
1
0
0
0
CHURCH & DWIGHT INC COM
SHS
171340102
3973
38612
SH
DFND
1
38547
0
65
CIENA CORP COM NEW
SHS
171779309
2410
128520
SH
DFND
1
127615
0
905
CIGNA CORP
SHS
125509109
1585
12386
SH
DFND
1
12275
0
111
CINTAS CORP
SHS
172908105
1377
14029
SH
DFND
1
13999
0
30
CLOROX CO COM
SHS
189054109
4476
32337
SH
DFND
1
32181
0
156
CMS ENERGY CORP
SHS
125896100
4308
93938
SH
DFND
1
93517
0
421
COBALT INTERNATIONAL ENERGY INC
BOND
19075FAA4
11735
30950000
PRN
DFND
1
30950000
0
0
COCA COLA BOTTLING CO CONS COM
SHS
191098102
442
2997
SH
DFND
1
2965
0
32
COCA COLA CO
SHS
191216100
932
20562
SH
DFND
1
20304
0
258
COMCAST CORP NEW CL A
SHS
20030N101
5733
87946
SH
DFND
1
87193
0
753
CONCHO RES INC COM
SHS
20605P101
320
2685
SH
DFND
1
2659
0
26
CONSTELLATION BRANDS INC CL A
SHS
21036P108
1947
11776
SH
DFND
1
11628
0
148
COOPER COS INC COM NEW
SHS
216648402
2163
12607
SH
DFND
1
12531
0
76
CORE LABORATORIES NV
SHS
NL0000200
322
2600
SH
DFND
1
2600
0
0
COSTCO WHOLESALE CORP COM
SHS
22160K105
2849
18139
SH
DFND
1
17951
0
188
CROWN CASTLE INTL CORP NEW COM
SHS
22822V101
591
5820
SH
DFND
1
5763
0
57
CSG SYS INTL INC COM
SHS
126349109
243
6025
SH
DFND
1
5822
0
203
CTRIP.COM INTERNATIONAL LTD
BOND
22943FAD2
17141
14000000
PRN
DFND
1
14000000
0
0
CTRIP.COM INTERNATIONAL LTD
BOND
22943FAF7
3173
3000000
PRN
DFND
1
3000000
0
0
CUBESMART COM
SHS
229663109
1308
42347
SH
DFND
1
42003
0
344
CUMULUS MEDIA INC
SHS
231082108
6
20612
SH
DFND
1
20612
0
0
DANAHER CORP
SHS
235851102
6175
61143
SH
DFND
1
60864
0
279
DAVE & BUSTERS ENTMT INC COM
SHS
238337109
716
15294
SH
DFND
1
15057
0
237
DENTSPLY SIRONA INC COM
SHS
24906P109
561
9050
SH
DFND
1
9001
0
49
DIGITAL RLTY TR INC COM
SHS
253868103
2007
18411
SH
DFND
1
18191
0
220
DISNEY WALT CO COM DISNEY
SHS
254687106
2972
30380
SH
DFND
1
30000
0
380
DOLLAR TREE INC
SHS
256746108
347
3684
SH
DFND
1
3649
0
35
DOMINION RES INC VA NEW COM
SHS
25746U109
1343
17226
SH
DFND
1
17189
0
37
DOW CHEMICAL CORP
SHS
260543103
3466
69737
SH
DFND
1
69628
0
109
DTE ENERGY CO COM
SHS
233331107
1260
12705
SH
DFND
1
12557
0
148
DYNEGY INC
PFD CONV
26817R405
2180
20235
SH
DFND
1
20235
0
0
EATON VANCE FLOATING-RATE INCOME TRUST
ETF
278279104
4750
353668
SH
DFND
1
353668
0
0
EATON VANCE SENIOR INCOME TRUST
ETF
27826S103
5821
968586
SH
DFND
1
968586
0
0
EDISON INTERNATIONAL
SHS
281020107
219
2815
SH
DFND
1
2815
0
0
ELECTRONIC ARTS COM
SHS
285512109
270
3551
SH
DFND
1
3518
0
33
ELI LILLY AND CO.
SHS
532457108
958
12163
SH
DFND
1
12013
0
150
ELLIS PERRY INTL INC COM
SHS
288853104
519
25782
SH
DFND
1
25395
0
387
ENVISION HEALTHCARE HLDGS INCO
SHS
29413U103
754
29720
SH
DFND
1
29645
0
75
EOG RES INC COM
SHS
26875P101
2032
24368
SH
DFND
1
24316
0
52
EQUINIX INC COM
SHS
29444U700
5704
14711
SH
DFND
1
14623
0
88
EQUITY LIFESTYLE PROPERTIES INC
SHS
29472R108
448
5599
SH
DFND
1
5599
0
0
EVERTEC INC COM
SHS
30040P103
208
13353
SH
DFND
1
12925
0
428
EXPEDIA INC DEL COM NEW
SHS
30212P303
278
2614
SH
DFND
1
2589
0
25
EXPRESS SCRIPTS HOLDING COMPAN
SHS
30219G108
840
11089
SH
DFND
1
10953
0
136
EXTRA SPACE STORAGE INC COM
SHS
30225T102
2603
28122
SH
DFND
1
28030
0
92
EXXON MOBIL CORP
SHS
30231G102
6632
70751
SH
DFND
1
70534
0
217
FACEBOOK INC CL A
SHS
30303M102
4686
41001
SH
DFND
1
40477
0
524
FAIRMOUNT SANTROL HOLDINGS INC
SHS
30555Q108
297
38460
SH
DFND
1
38460
0
0
FCB FINL HLDGS INC CL A
SHS
30255G103
657
19322
SH
DFND
1
18915
0
407
FEDERAL RLTY INVT TR SBI NEW
SHS
313747206
4065
24559
SH
DFND
1
24448
0
111
FIAT CHRYSLER AUTOMOBILES NV
SHS
NL0010877
147
24055
SH
DFND
1
24055
0
0
FIDELITY NATIONAL FINANCIAL FN
SHS
31620R303
1405
37475
SH
DFND
1
37395
0
80
FIDELITY NATIONAL FINANCIAL FN
SHS
31620R402
186
16248
SH
DFND
1
15709
0
539
FIDELITY NATIONAL INFORMATION
SHS
31620M106
5941
80627
SH
DFND
1
80246
0
381
FIREEYE INC
BOND
31816QAD3
14633
16500000
PRN
DFND
1
16500000
0
0
FIRST DATA CORP
SHS
32008D106
647
58489
SH
DFND
1
58489
0
0
FIRST DEFIANCE FINL CORP COM
SHS
32006W106
265
6821
SH
DFND
1
6595
0
226
FISERV INC
SHS
337738108
345
3171
SH
DFND
1
3171
0
0
FORTINET INC COM
SHS
34959E109
948
30019
SH
DFND
1
29665
0
354
FOUR CORNERS PPTY TR INC COM
SHS
35086T109
572
27776
SH
DFND
1
27223
0
553
G & K SVCS INC
SHS
361268105
447
5844
SH
DFND
1
5656
0
188
GCP APPLIED TECHNOLOGIES INC
SHS
36164Y101
333
12801
SH
DFND
1
12801
0
0
GENERAL DYNAMICS CORP COM
SHS
369550108
1265
9081
SH
DFND
1
9062
0
19
GENERAL ELECTRIC CO
SHS
369604103
3125
99256
SH
DFND
1
99046
0
210
GENERAL MILLS INC COM
SHS
370334104
2130
29860
SH
DFND
1
29806
0
54
GENESEE & WYO INC CL A
SHS
371559105
338
5732
SH
DFND
1
5618
0
114
GENTEX CORP COM
SHS
371901109
215
13936
SH
DFND
1
13478
0
458
GIBRALTER INDUSTRIES INC
SHS
374689107
633
20059
SH
DFND
1
19711
0
348
G-III APPAREL GROUP LTD COM
SHS
36237H101
812
17739
SH
DFND
1
17706
0
33
GILEAD SCIENCES INC COM
SHS
375558103
5754
68982
SH
DFND
1
68558
0
424
GOLDMAN SACHS GROUP INC COM
SHS
38141G104
2820
18982
SH
DFND
1
18956
0
26
GREEN DOT CORP CL A
SHS
39304D102
906
39380
SH
DFND
1
38616
0
764
HANESBRANDS INC
SHS
410345102
557
22152
SH
DFND
1
22152
0
0
HARRIS CORP COM
SHS
413875105
375
4484
SH
DFND
1
4441
0
43
HARTFORD FINL SVCS GROUP INCCO
SHS
416515104
3027
68195
SH
DFND
1
67997
0
198
HAWAIIAN HOLDINGS INC
SHS
419879101
258
6784
SH
DFND
1
6784
0
0
HD SUPPLY HLDGS INC COM
SHS
40416M105
1123
32257
SH
DFND
1
31871
0
386
HELMERICH & PAYNE INC
SHS
423452101
1729
25760
SH
DFND
1
25671
0
89
HERSHEY FOODS CORP
SHS
427866108
638
5624
SH
DFND
1
5551
0
73
HOLOGIC INC
BOND
436440AC5
218
170000
PRN
DFND
1
170000
0
0
HOME DEPOT INC COM
SHS
437076102
8980
70327
SH
DFND
1
69879
0
448
HONEYWELL INTERNATIONAL INC.
SHS
438516106
4522
38876
SH
DFND
1
38561
0
315
HORNBECK OFFSHORE SERVICES INC
BOND
440543AN6
3757
6464000
PRN
DFND
1
6464000
0
0
HOST MARRIOTT CORP NEW COM
SHS
44107P104
295
18201
SH
DFND
1
18023
0
178
HUDSON PAC PPTYS INC COM
SHS
444097109
211
7222
SH
DFND
1
6985
0
237
HUNTINGTON INGALLS INDS INC CO
SHS
446413106
2309
13740
SH
DFND
1
13555
0
185
HYATT HOTELS CORP COM CL A
SHS
448579102
669
13624
SH
DFND
1
13452
0
172
INFINERA CORPORATION COM
SHS
45667G103
1034
91685
SH
DFND
1
91161
0
524
ING GROEP NV
ADR
456837103
426
41201
SH
DFND
1
41201
0
0
INGERSOLL-RAND PLC
SHS
G47791101
1605
25209
SH
DFND
1
25109
0
100
INPHI CORP COM
SHS
45772F107
2015
62902
SH
DFND
1
62221
0
681
INTEL CORP
BOND
458140AF7
457
281000
PRN
DFND
1
281000
0
0
INTERACTIVE BROKERS GROUP INCO
SHS
45841N107
1308
36966
SH
DFND
1
36903
0
63
INTERCONTINENTALEXCHANGE GROCO
SHS
45866F104
6331
24735
SH
DFND
1
24589
0
146
INTERXION HOLDING NV
SHS
NL0009693
331
8980
SH
DFND
1
8980
0
0
INTRALINKS HLDGS INC COM
SHS
46118H104
76
11777
SH
DFND
1
11393
0
384
INTUIT INC COM
SHS
461202103
396
3544
SH
DFND
1
3510
0
34
IRON MOUNTAIN INC
SHS
46284V101
895
22476
SH
DFND
1
22476
0
0
IRONWOOD PHARMACEUTICALS INC
BOND
46333XAD0
3088
3000000
PRN
DFND
1
3000000
0
0
JAZZ PHARMACEUTICALS PLC
SHS
G50871105
636
4500
SH
DFND
1
4500
0
0
JOHN BEAN TECHNOLOGIES CORP CO
SHS
477839104
979
15980
SH
DFND
1
15658
0
322
JOHNSON & JOHNSON
SHS
478160104
7105
58572
SH
DFND
1
58307
0
265
JONES LANG LASALLE INC
SHS
48020Q107
544
5578
SH
DFND
1
5578
0
0
KANSAS CITY SOUTHN INDS INC CO
SHS
485170302
232
2578
SH
DFND
1
2552
0
26
KATE SPADE & CO COM
SHS
485865109
231
11214
SH
DFND
1
11159
0
55
KELLOGG CO
SHS
487836108
362
4432
SH
DFND
1
4432
0
0
KEYCORP
SHS
493267108
1253
113404
SH
DFND
1
113099
0
305
KIMBERLY CLARK CORP COM
SHS
494368103
3935
28621
SH
DFND
1
28491
0
130
KITE RLTY GROUP TR COM NEW
SHS
49803T300
664
23703
SH
DFND
1
23416
0
287
KRAFT HEINZ COMPANY
SHS
500754106
2066
23360
SH
DFND
1
23310
0
50
KROGER CO COM
SHS
501044101
1447
39338
SH
DFND
1
38836
0
502
LEVEL 3 COMMUNICATIONS INC COM
SHS
52729N308
381
7391
SH
DFND
1
7319
0
72
LIBERTY GLOBAL PLC LILAC SHS C
SHS
G5480U138
294
9115
SH
DFND
1
8957
0
158
LINCOLN ELEC HLDGS INC COM
SHS
533900106
685
11598
SH
DFND
1
11456
0
142
LITHIA MTRS INC CL A
SHS
536797103
271
3815
SH
DFND
1
3729
0
86
LOCKHEED MARTIN CORP COM
SHS
539830109
6663
26849
SH
DFND
1
26737
0
112
LYONDELLBASELL INDUSTRIES N SH
SHS
N53745100
1164
15643
SH
DFND
1
15610
0
33
M & T BK CORP COM
SHS
55261F104
1917
16214
SH
DFND
1
16180
0
34
MA COM TECHNOLOGY SOLUTIONS CO
SHS
55405Y100
2995
90795
SH
DFND
1
90048
0
747
MADISON SQUARE GARDEN CO NEWCL
SHS
55825T103
242
1404
SH
DFND
1
1359
0
45
MANHATTAN ASSOCS INC COM
SHS
562750109
403
6288
SH
DFND
1
6087
0
201
MARRIOTT INTL INC NEW CL A
SHS
571903202
295
4434
SH
DFND
1
4392
0
42
MARRIOTT VACATIONS WRLDWDE CCO
SHS
57164Y107
238
3475
SH
DFND
1
3360
0
115
MASCO CORP COM
SHS
574599106
622
20114
SH
DFND
1
19985
0
129
MASTERCARD INC COM
SHS
57636Q104
5819
66073
SH
DFND
1
65702
0
371
MCCORMICK & CO INC COM NON VTG
SHS
579780206
5563
52157
SH
DFND
1
51883
0
274
MCDONALDS CORP
SHS
580135101
4602
38240
SH
DFND
1
37945
0
295
MELLANOX TECHNOLOGIES LTD SHS
SHS
M51363113
4744
98920
SH
DFND
1
97871
0
1049
MERIT MED SYS INC COM
SHS
589889104
293
14772
SH
DFND
1
14290
0
482
MERITAGE HOMES CORP
BOND
59001AAR3
325
325000
PRN
DFND
1
325000
0
0
MICHAEL KORS HLDGS LTD SHS
SHS
G60754101
785
15850
SH
DFND
1
15653
0
197
MICROCHIP TECHNOLOGY INC
SHS
595017104
3477
68500
SH
DFND
1
68500
0
0
MICRON TECHNOLOGY INC
BOND
595112AX1
3066
2000000
PRN
DFND
1
2000000
0
0
MICRON TECHNOLOGY INC
BOND
595112AY9
288
375000
PRN
DFND
1
375000
0
0
MICROSEMI CORP COM
SHS
595137100
505
15470
SH
DFND
1
15307
0
163
MICROSOFT CORP COM
SHS
594918104
11472
224206
SH
DFND
1
222600
0
1606
MOHAWK INDS INC COM
SHS
608190104
947
4991
SH
DFND
1
4931
0
60
MOLINA HEALTHCARE INC COM
SHS
60855R100
1019
20419
SH
DFND
1
20277
0
142
MOLSON COORS BREWING COMPANY
SHS
60871R209
4217
41703
SH
DFND
1
41482
0
221
MONRO MUFFLER BRAKE INC
SHS
610236101
372
5848
SH
DFND
1
5848
0
0
MONSANTO CO NEW COM
SHS
61166W101
697
6741
SH
DFND
1
6653
0
88
MOODYS CORP COM
SHS
615369105
221
2363
SH
DFND
1
2341
0
22
MSCI INC
SHS
55354G100
279
3621
SH
DFND
1
3621
0
0
MULTI PACKAGING SOLUTIONS INTERNATIONAL LTD
SHS
BMG6331W1
221
16580
SH
DFND
1
16580
0
0
NATIONAL GEN HLDGS CORP COM
SHS
636220303
817
38166
SH
DFND
1
37499
0
667
NATIONAL STORAGE AFFILIATES CO
SHS
637870106
308
14781
SH
DFND
1
14298
0
483
NET 1 UEPS TECHNOLOGIES INC CO
SHS
64107N206
439
43993
SH
DFND
1
43166
0
827
NETEASE COM INC SPONSORED ADR
ADR
64110W102
217
1124
SH
DFND
1
1049
0
75
NETSUITE INC
BOND
64118QAB3
6007
6102000
PRN
DFND
1
6102000
0
0
NEVRO CORP
BOND
64157FAA1
3163
3000000
PRN
DFND
1
3000000
0
0
NIKE INC CL B
SHS
654106103
2050
37131
SH
DFND
1
36664
0
467
NISOURCE INC COM
SHS
65473P105
301
11335
SH
DFND
1
11228
0
107
NOBLE ENERGY INC COM
SHS
655044105
225
6290
SH
DFND
1
6230
0
60
NORBORD INC
SHS
65548P403
361
18494
SH
DFND
1
18494
0
0
NORFOLK SOUTHERN CORP
SHS
655844108
927
10883
SH
DFND
1
10860
0
23
NORTEK INC COM NEW
SHS
656559309
1618
27288
SH
DFND
1
27120
0
168
NORTEL NETWORKS CORP
BOND
656568AE2
2614
3000000
PRN
DFND
1
3000000
0
0
NORTHROP GRUMMAN CORP COM
SHS
666807102
2291
10309
SH
DFND
1
10300
0
9
NORTHWEST NAT GAS CO
SHS
667655104
700
10793
SH
DFND
1
10597
0
196
NUVASIVE INC COM
SHS
670704105
269
4494
SH
DFND
1
4348
0
146
NVIDIA CORP
BOND
67066GAC8
362
155000
PRN
DFND
1
155000
0
0
OCCIDENTAL PETE CORP COM
SHS
674599105
3385
44796
SH
DFND
1
44570
0
226
OLD REP INTL CORP COM
SHS
680223104
3918
203111
SH
DFND
1
202716
0
395
ON SEMICONDUCTOR CORP
BOND
682189AK1
11324
12600000
PRN
DFND
1
12600000
0
0
ONEOK INC NEW COM
SHS
682680103
754
15897
SH
DFND
1
15868
0
29
ORACLE CORP
SHS
68389X105
5558
135799
SH
DFND
1
135120
0
679
ORBITAL ATK INC COM
SHS
68557N103
478
5608
SH
DFND
1
5484
0
124
O'REILLY AUTOMOTIVE INC NEW CO
SHS
67103H107
6200
22868
SH
DFND
1
22732
0
136
OREXIGEN THERAPEUTICS INC
BOND
686164AB0
805
2244000
PRN
DFND
1
2244000
0
0
PALO ALTO NETWORKS INC
BOND
697435AB1
20470
16000000
PRN
DFND
1
16000000
0
0
PATTERSON COS INC COM
SHS
703395103
1372
28661
SH
DFND
1
28609
0
52
PATTERSON-UTI ENERGY INC COM
SHS
703481101
827
38791
SH
DFND
1
38338
0
453
PAYPAL HLDGS INC COM
SHS
70450Y103
4876
133554
SH
DFND
1
132760
0
794
PDC ENERGY INC COM
SHS
69327R101
244
4230
SH
DFND
1
4090
0
140
PENN NATL GAMING INC COM
SHS
707569109
516
37017
SH
DFND
1
36349
0
668
PEPSICO INC
SHS
713448108
1754
16548
SH
DFND
1
16345
0
203
PFIZER INC
SHS
717081103
4992
141772
SH
DFND
1
141566
0
206
PHARMERICA CORP COM
SHS
71714F104
208
8422
SH
DFND
1
8143
0
279
PHILLIPS 66 COM
SHS
718546104
1935
24382
SH
DFND
1
24333
0
49
PINNACLE WEST CAP CORP COM
SHS
723484101
3085
38058
SH
DFND
1
37930
0
128
PNM RES INC COM
SHS
69349H107
2275
64196
SH
DFND
1
64079
0
117
POOL CORP
SHS
73278L105
958
10186
SH
DFND
1
10026
0
160
POST PPTYS INC COM
SHS
737464107
293
4799
SH
DFND
1
4640
0
159
POWERSHARES SENIOR LOAN PORTFOLIO
ETF
73936Q769
29877
1300700
SH
DFND
1
1300700
0
0
PPG INDS INC COM
SHS
693506107
1291
12397
SH
DFND
1
12245
0
152
PPL CORP COM
SHS
69351T106
441
11697
SH
DFND
1
11588
0
109
PRICELINE COM INC COM NEW
SHS
741503403
1617
1296
SH
DFND
1
1294
0
2
PRICELINE GROUP INC/THE
BOND
741503AQ9
28091
20164000
PRN
DFND
1
20164000
0
0
PROCTER & GAMBLE CO
SHS
742718109
560
6615
SH
DFND
1
6601
0
14
PROGENICS PHARMACEUTICALS INC
SHS
743187106
63
14890
SH
DFND
1
14890
0
0
PROOFPOINT INC
BOND
743424AB9
19618
11708000
PRN
DFND
1
11708000
0
0
PS BUSINESS PKS INC CALIF COM
SHS
69360J107
408
3846
SH
DFND
1
3723
0
123
PT TELEKOMUNIKIASI INDONESIAAD
ADR
715684106
222
3622
SH
DFND
1
3389
0
233
PTC INC COM
SHS
69370C100
3381
89964
SH
DFND
1
89351
0
613
QUIDEL CORP
BOND
74838JAA9
4022
4319000
PRN
DFND
1
4319000
0
0
QUINTILES TRANSNATIO HLDGS ICO
SHS
74876Y101
2841
43488
SH
DFND
1
43214
0
274
RADIAN GROUP INC COM
SHS
750236101
1204
115487
SH
DFND
1
114764
0
723
RADWARE LTD ORD
SHS
M81873107
133
11807
SH
DFND
1
11423
0
384
RAMBUS INC
BOND
750917AE6
19858
17000000
PRN
DFND
1
17000000
0
0
RANGE RES CORP COM
SHS
75281A109
366
8481
SH
DFND
1
8399
0
82
RAYTHEON CO COM NEW
SHS
755111507
1228
9036
SH
DFND
1
8924
0
112
RED HAT INC COM
SHS
756577102
2365
32577
SH
DFND
1
32332
0
245
REGENERON PHARMACEUTICALS COM
SHS
75886F107
457
1306
SH
DFND
1
1290
0
16
RELIANCE STL & ALUM CO COM
SHS
759509102
1027
13354
SH
DFND
1
13197
0
157
RENAISSANCERE HLDGS LTD ORD
SHS
G7496G103
1029
8760
SH
DFND
1
8741
0
19
REPUBLIC SVCS INC COM
SHS
760759100
5705
111191
SH
DFND
1
110800
0
391
REX ENERGY CORP
SHS
761565100
30
45000
SH
DFND
1
45000
0
0
ROSS STORES INC COM
SHS
778296103
2425
42781
SH
DFND
1
42256
0
525
SALESFORCE COM INC COM
SHS
79466L302
938
11813
SH
DFND
1
11666
0
147
SALESFORCE.COM INC
BOND
79466LAD6
19416
15000000
PRN
DFND
1
15000000
0
0
SCHLUMBERGER LTD
SHS
806857108
1816
22960
SH
DFND
1
22915
0
45
SCIENCE APPLICATNS INTL CP NCO
SHS
808625107
261
4473
SH
DFND
1
4327
0
146
SCIENTIFIC GAMES CORP
SHS
80874P959
2757
300000
SH
Put
DFND
1
0
0
0
SEI INVTS CO COM
SHS
784117103
222
4610
SH
DFND
1
4566
0
44
SERVICENOW INC
BOND
81762PAB8
19556
17500000
PRN
DFND
1
17500000
0
0
SERVICESOURCE INTERNATIONAL INC
BOND
81763UAB6
4374
4880000
PRN
DFND
1
4880000
0
0
SHERWIN WILLIAMS CO
SHS
824348106
454
1546
SH
DFND
1
1537
0
9
SIMON PPTY GROUP INC NEW COM
SHS
828806109
1826
8421
SH
DFND
1
8318
0
103
SL GREEN REALTY CORP
SHS
78440X951
1065
10000
SH
Put
DFND
1
0
0
0
SMUCKER J M CO COM NEW
SHS
832696405
4499
29522
SH
DFND
1
29351
0
171
SOUTHERN CO
SHS
842587107
1282
23894
SH
DFND
1
23843
0
51
SOUTHWEST AIRLS CO COM
SHS
844741108
2615
66700
SH
DFND
1
65959
0
741
SPDR BARCLAYS SHORT TERM HIGH YIELD BOND ETF
ETF
78468R408
405
15000
SH
DFND
1
15000
0
0
SPECTRANETICS CORP/THE
BOND
84760CAA5
8278
9327000
PRN
DFND
1
9327000
0
0
SPIRE INC COM
SHS
84857L101
719
10145
SH
DFND
1
9949
0
196
SPIRIT AIRLS INC COM
SHS
848577102
409
9105
SH
DFND
1
8953
0
152
STAG INDL INC COM
SHS
85254J102
360
15126
SH
DFND
1
14920
0
206
STANLEY BLACK AND DECKER INC
SHS
854502101
221
1987
SH
DFND
1
1968
0
19
STARBUCKS CORP COM
SHS
855244109
4513
79001
SH
DFND
1
78394
0
607
STARWOOD PROPERTY TRUST INC
BOND
85571BAC9
271
267000
PRN
DFND
1
267000
0
0
STERICYCLE INC COM
SHS
858912108
2779
26695
SH
DFND
1
26558
0
137
STONEGATE BK FT LAUDERDALE FCO
SHS
861811107
247
7652
SH
DFND
1
7402
0
250
STORE CAP CORP COM
SHS
862121100
2289
77740
SH
DFND
1
77638
0
102
SUN CMNTYS INC COM
SHS
866674104
2335
30473
SH
DFND
1
30277
0
196
SUNPOWER CORP
BOND
867652AG4
1909
2000000
PRN
DFND
1
2000000
0
0
SYNCHRONY FINL COM
SHS
87165B103
2464
97505
SH
DFND
1
97367
0
138
SYNNEX CORP COM
SHS
87162W100
207
2177
SH
DFND
1
2105
0
72
TAKE-TWO INTERACTIVE SOFTWARCO
SHS
874054109
304
8024
SH
DFND
1
7766
0
258
TAKE-TWO INTERACTIVE SOFTWARE INC
BOND
874054AD1
28295
15800000
PRN
DFND
1
15800000
0
0
TANDEM DIABETES CARE INC COM
SHS
875372104
364
48312
SH
DFND
1
47927
0
385
TELEFLEX INC COM
SHS
879369106
2084
11749
SH
DFND
1
11621
0
128
TENET HEALTHCARE CORP
SHS
88033G407
284
10269
SH
DFND
1
10269
0
0
TERNIUM SA SPON ADR
ADR
880890108
210
11015
SH
DFND
1
10252
0
763
TESARO INC
BOND
881569AA5
20316
8104000
PRN
DFND
1
8104000
0
0
TESLA MOTORS INC
BOND
88160RAC5
207
250000
PRN
DFND
1
250000
0
0
TJX COMPANIES INC NEW COM
SHS
872540109
5545
71795
SH
DFND
1
71392
0
403
TOLL BROTHERS FINANCE CORP
BOND
88947EAM2
423
430000
PRN
DFND
1
430000
0
0
TRANSDIGM GROUP INC COM
SHS
893641100
2945
11171
SH
DFND
1
11101
0
70
TRIBUNE MEDIA CO
SHS
896047503
5901
150621
SH
DFND
1
150621
0
0
TRICO BANCSHARES COM
SHS
896095106
232
8400
SH
DFND
1
8120
0
280
TRONC INC
SHS
89703P107
520
37653
SH
DFND
1
37653
0
0
TYSON FOODS INC
SHS
902494103
1849
27690
SH
DFND
1
27488
0
202
U S SILICA HLDGS INC COM
SHS
90346E103
398
11560
SH
DFND
1
11405
0
155
UDR INC
SHS
902653104
447
12118
SH
DFND
1
12005
0
113
UNIFIRST CORP COM
SHS
904708104
218
1887
SH
DFND
1
1826
0
61
UNION PAC CORP
SHS
907818108
4421
50666
SH
DFND
1
50415
0
251
UNITED INS HLDGS CORP COM
SHS
910710102
498
30422
SH
DFND
1
29787
0
635
UNITED PARCEL SERVICE INC CL B
SHS
911312106
2515
23347
SH
DFND
1
23184
0
163
UNITEDHEALTH GROUP INC
SHS
91324P102
2195
15545
SH
DFND
1
15353
0
192
UNITIL CORP COM
SHS
913259107
473
11074
SH
DFND
1
10705
0
369
UNIVAR INC
SHS
91336L107
313
16564
SH
DFND
1
16564
0
0
UNIVERSAL HEALTH SVCS INC CL B
SHS
913903100
1572
11724
SH
DFND
1
11710
0
14
VANTIV INC CL A
SHS
92210H105
1435
25350
SH
DFND
1
25233
0
117
VERISK ANALYTICS
SHS
92345Y106
4202
51823
SH
DFND
1
51549
0
274
VERIZON COMMUNICATIONS
SHS
92343V104
4137
74086
SH
DFND
1
73269
0
817
VERTEX PHARMACEUTICALS INC COM
SHS
92532F100
1100
12788
SH
DFND
1
12687
0
101
VISA INC COM CL A
SHS
92826C839
7415
99974
SH
DFND
1
99439
0
535
VISTA OUTDOOR INC COM
SHS
928377100
3039
63681
SH
DFND
1
63198
0
483
VOYA FINL INC COM
SHS
929089100
2306
93131
SH
DFND
1
92645
0
486
WALGREENS BOOTS ALLIANCE INC C
SHS
931427108
779
9355
SH
DFND
1
9256
0
99
WALKER & DUNLOP INC COM
SHS
93148P102
577
25311
SH
DFND
1
25008
0
303
WASTE CONNECTIONS INC
SHS
94106B101
1068
14827
SH
DFND
1
14385
0
442
WASTE MANAGEMENT INC COM
SHS
94106L109
4598
69383
SH
DFND
1
69288
0
95
WATSCO INC COM
SHS
942622200
930
6607
SH
DFND
1
6473
0
134
WD 40 CO COM
SHS
929236107
297
2526
SH
DFND
1
2441
0
85
WEC ENERGY GROUP INC COM
SHS
92939U106
2832
43375
SH
DFND
1
43292
0
83
WELLS FARGO & CO
PFD CONV
949746804
455
350
SH
DFND
1
350
0
0
WELLS FARGO & CO NEW COM
SHS
949746101
2923
61754
SH
DFND
1
61623
0
131
WELLTOWER INC
PFD CONV
95040Q203
238
3496
SH
DFND
1
3496
0
0
WERNER ENTERPRISES INC
SHS
950755108
261
11380
SH
DFND
1
11380
0
0
WESTERN ALLIANCE BANCORP COM
SHS
957638109
281
8617
SH
DFND
1
8336
0
281
WEX INC
SHS
96208T104
3345
37726
SH
DFND
1
37357
0
369
WEYERHAEUSER CO COM
SHS
962166104
403
13514
SH
DFND
1
13389
0
125
WHITEWAVE FOODS CO COM CL A
SHS
966244105
1999
42595
SH
DFND
1
42288
0
307
WINTRUST FINL CORP COM
SHS
97650W108
421
8263
SH
DFND
1
7987
0
276
WNS HOLDINGS LTD SPON ADR
ADR
92932M101
257
9532
SH
DFND
1
9007
0
525
WORKDAY INC
BOND
98138HAC5
6165
5529000
PRN
DFND
1
5529000
0
0
XILINX INC
BOND
983919AF8
14633
9064000
PRN
DFND
1
9064000
0
0
XILINX INC COM
SHS
983919101
2624
56886
SH
DFND
1
56661
0
225
XL GROUP PLC
SHS
G98290102
373
11220
SH
DFND
1
11116
0
104
ZIMMER HLDGS INC COM
SHS
98956P102
399
3309
SH
DFND
1
3278
0
31
ZOETIS INC CL A
SHS
98978V103
1281
26990
SH
DFND
1
26740
0
250