0000909012-18-000143.txt : 20181114
0000909012-18-000143.hdr.sgml : 20181114
20181114104850
ACCESSION NUMBER: 0000909012-18-000143
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181114
DATE AS OF CHANGE: 20181114
EFFECTIVENESS DATE: 20181114
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: 181181304
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
09-30-2018
09-30-2018
SYMPHONY ASSET MANAGEMENT LLC
555 CALIFORNIA STREET
SUITE 3100
SAN FRANCISCO
CA
94104
13F HOLDINGS REPORT
028-05958
N
Judith MacDonald
Chief Compliance Officer
415 676 4144
/s/ JUDITH MACDONALD
San Francisco
CA
11-13-2018
1
178
371786
false
1
028-11405
Nuveen Investments Inc.
INFORMATION TABLE
2
aci_13f.xml
ABBOTT LABORATORIES
SHS
002824100
879
11976
SH
DFND
0
11976
0
0
ACORDA THERAPEUTICS INC
BOND
00484MAA4
1698
2000000
PRN
DFND
0
2000000
0
0
ADVANCED DISP SVCS INC DEL COM
SHS
00790X101
295
10890
SH
DFND
1
10874
0
16
ALLSCRIPTS HEALTHCARE SOLUTICO
SHS
01988P108
1900
133331
SH
DFND
1
133303
0
28
ALPHABET INC
SHS
02079K305
2042
1692
SH
DFND
0
1692
0
0
ALTRIA GROUP INC
SHS
02209S103
700
11599
SH
DFND
0
11599
0
0
AMAZON.COM INC
SHS
023135106
341
170
SH
DFND
0
170
0
0
AMDOCS LTD
SHS
G02602103
929
14074
SH
DFND
0
14074
0
0
AMERICAN AIRLINES GROUP INC
SHS
02376R102
543
13146
SH
DFND
0
13146
0
0
AMERICAN EXPRESS CO
SHS
025816109
361
3393
SH
DFND
0
3393
0
0
AMERICOLD REALTY TRUST
SHS
03064D108
391
15647
SH
DFND
0
15647
0
0
ANADARKO PETROLEUM CORP
SHS
032511107
2057
30517
SH
DFND
0
30517
0
0
ANALOG DEVICES INC
SHS
032654105
651
7038
SH
DFND
0
7038
0
0
ANSYS INC
SHS
03662Q105
692
3707
SH
DFND
0
3707
0
0
APERGY CORP COM
SHS
03755L104
235
5410
SH
DFND
1
5402
0
8
ARCONIC INC
SHS
03965L100
1172
53240
SH
DFND
0
53240
0
0
ARGO GROUP INTL HLDGS LTD COM
SHS
G0464B107
222
3515
SH
DFND
1
3510
0
5
ARTHUR J GALLAGHER & CO
SHS
363576109
381
5113
SH
DFND
0
5113
0
0
ASPEN INSURANCE HOLDINGS LTDSH
SHS
G05384105
248
5950
SH
DFND
1
5941
0
9
ASPEN TECHNOLOGY INC COM
SHS
045327103
309
2718
SH
DFND
1
2714
0
4
AT&T INC
SHS
00206R102
782
23277
SH
DFND
0
23277
0
0
AVALONBAY COMMUNITIES INC
SHS
053484101
382
2110
SH
DFND
0
2110
0
0
AVAYA HOLDINGS CORP
SHS
05351X101
74929
3384312
SH
DFND
0
3384312
0
0
AVID TECHNOLOGY INC
BOND
05367PAB6
8037
9000000
PRN
DFND
0
9000000
0
0
AXIS CAPITAL HLDGS LTD SHS
SHS
G0692U109
589
10206
SH
DFND
1
10201
0
5
BANCO SANTANDER MEXICO SA INSTITUCION DE BANCA MULTIPLE GRUPO FINANCIERO SANTAND
ADR
05969B103
650
83808
SH
DFND
0
83808
0
0
BGC PARTNERS INC CL A
SHS
05541T101
627
53093
SH
DFND
1
53071
0
22
BOEING CO/THE
SHS
097023105
539
1450
SH
DFND
0
1450
0
0
BOTTOMLINE TECH DEL INC COM
SHS
101388106
548
7540
SH
DFND
1
7529
0
11
BOX INC CL A
SHS
10316T104
288
12048
SH
DFND
1
12030
0
18
BROADCOM INC
SHS
11135F101
1595
6466
SH
DFND
0
6466
0
0
BROWN & BROWN INC
SHS
115236101
397
13441
SH
DFND
0
13441
0
0
C&J ENERGY SERVICES INC
SHS
12674R100
6175
296859
SH
DFND
0
296859
0
0
CAESARS ENTERTAINMENT CORP
SHS
127686103
202
19667
SH
DFND
0
19667
0
0
CARETRUST REIT INC COM
SHS
14174T107
867
48987
SH
DFND
1
48963
0
24
CARMAX INC
SHS
143130102
351
4697
SH
DFND
0
4697
0
0
CECO ENVIRONMENTAL CORP COM
SHS
125141101
197
25003
SH
DFND
1
24967
0
36
CHARLES RIV LABORATORIES INTCO
SHS
159864107
314
2336
SH
DFND
1
2333
0
3
CHEVRON CORP
SHS
166764100
382
3128
SH
DFND
0
3128
0
0
CHURCHILL DOWNS INC COM
SHS
171484108
513
1847
SH
DFND
1
1846
0
1
CIENA CORP
SHS
171779309
601
19246
SH
DFND
0
19246
0
0
CIGNA CORP
SHS
125509109
1507
7237
SH
DFND
0
7237
0
0
CINTAS CORP
SHS
172908105
546
2761
SH
DFND
0
2761
0
0
CLEAR CHANNEL OUTDOOR HOLDINGS INC
SHS
18451C109
428
71900
SH
DFND
0
71900
0
0
CLOVIS ONCOLOGY INC
BOND
189464AC4
776
1000000
PRN
DFND
0
1000000
0
0
CM WIND DOWN TOPCO INC
SHS
231082801
16357
961027
SH
DFND
0
961027
0
0
CMS ENERGY CORP
SHS
125896100
457
9326
SH
DFND
0
9326
0
0
COMMSCOPE HOLDING CO INC
SHS
20337X109
634
20599
SH
DFND
0
20599
0
0
CONNS INC COM
SHS
208242107
599
16934
SH
DFND
1
16917
0
17
CSX CORP
SHS
126408103
280
3777
SH
DFND
0
3777
0
0
CTRIP.COM INTERNATIONAL LTD
ADR
22943F100
520
14000
SH
DFND
0
14000
0
0
CURO GROUP HLDGS CORP COM
SHS
23131L107
532
17599
SH
DFND
1
17587
0
12
CVR PARTNERS LP COM
SHS
126633106
124
32452
SH
DFND
1
32404
0
48
DECKERS OUTDOOR CORP COM
SHS
243537107
224
1891
SH
DFND
1
1888
0
3
DELTA AIR LINES INC
SHS
247361702
486
8402
SH
DFND
0
8402
0
0
DEVON ENERGY CORP
SHS
25179M103
4307
107843
SH
DFND
0
107843
0
0
DEXCOM INC
BOND
252131AF4
9233
6000000
PRN
DFND
0
6000000
0
0
DOCUSIGN INC COM
SHS
256163106
1171
22277
SH
DFND
1
22269
0
8
DOVER CORP
SHS
260003108
702
7928
SH
DFND
0
7928
0
0
DTE ENERGY CO
SHS
233331107
421
3860
SH
DFND
0
3860
0
0
EATON VANCE FLOATING-RATE INCOME TRUST
ETF
278279104
5164
353668
SH
DFND
0
353668
0
0
EATON VANCE SENIOR INCOME TRUST
ETF
27826S103
6247
968586
SH
DFND
0
968586
0
0
ELANCO ANIMAL HEALTH INC
SHS
28414H103
483
13839
SH
DFND
0
13839
0
0
ELDORADO RESORTS INC COM
SHS
28470R102
326
6699
SH
DFND
1
6689
0
10
ELECTRONIC ARTS INC
SHS
285512109
842
6988
SH
DFND
0
6988
0
0
ELECTRONICS FOR IMAGING INC
BOND
286082AC6
14552
14729000
PRN
DFND
0
14729000
0
0
EMPLOYERS HOLDINGS INC COM
SHS
292218104
223
4914
SH
DFND
1
4907
0
7
ENOVA INTL INC COM
SHS
29357K103
446
15486
SH
DFND
1
15463
0
23
ENTERPRISE FINL SVCS CORP COM
SHS
293712105
236
4442
SH
DFND
1
4435
0
7
EQT CORP
SHS
26884L109
559
12633
SH
DFND
0
12633
0
0
EQUINIX INC
SHS
29444U700
1573
3633
SH
DFND
0
3633
0
0
EQUITY LIFESTYLE PROPERTIES INC
SHS
29472R108
773
8011
SH
DFND
0
8011
0
0
EQUITY RESIDENTIAL
SHS
29476L107
536
8085
SH
DFND
0
8085
0
0
ESSENT GROUP LTD
SHS
G3198U102
313
7075
SH
DFND
0
7075
0
0
EVERSPIN TECHNOLOGIES INC
SHS
30041T104
202
26322
SH
DFND
0
26322
0
0
EVO PMTS INC CL A COM
SHS
26927E104
314
13123
SH
DFND
1
13104
0
19
EXXON MOBIL CORP
SHS
30231G102
376
4426
SH
DFND
0
4426
0
0
FIREEYE INC
BOND
31816QAD3
2759
3000000
PRN
DFND
0
3000000
0
0
FLUIDIGM CORP
BOND
34385PAA6
10262
11475000
PRN
DFND
0
11475000
0
0
FOUR CORNERS PPTY TR INC COM
SHS
35086T109
818
31846
SH
DFND
1
31828
0
18
GENESEE & WYO INC CL A
SHS
371559105
344
3782
SH
DFND
1
3776
0
6
GOGO INC
BOND
38046CAB5
942
1000000
PRN
DFND
0
1000000
0
0
GREEN DOT CORP CL A
SHS
39304D102
884
9947
SH
DFND
1
9938
0
9
GUIDEWIRE SOFTWARE INC COM
SHS
40171V100
265
2621
SH
DFND
1
2617
0
4
HALCON RESOURCES CORP
SHS
40537Q605
882
197401
SH
DFND
0
197401
0
0
HALCON RESOURCES CORP
SHS
40537Q118
2
21569
SH
DFND
0
21569
0
0
HCP INC
SHS
40414L109
713
27087
SH
DFND
0
27087
0
0
HEXCEL CORP NEW COM
SHS
428291108
321
4779
SH
DFND
1
4772
0
7
HILTON GRAND VACATIONS INC COM
SHS
43283X105
238
7182
SH
DFND
1
7171
0
11
HONEYWELL INTERNATIONAL INC
SHS
438516106
931
5594
SH
DFND
0
5594
0
0
INFINERA CORP
SHS
45667G103
1682
230400
SH
DFND
0
230400
0
0
INGEVITY CORP COM
SHS
45688C107
352
3455
SH
DFND
1
3450
0
5
INOVALON HLDGS INC COM CL A
SHS
45781D101
418
41562
SH
DFND
1
41544
0
18
INTERXION HOLDING NV
SHS
N47279109
612
9101
SH
DFND
0
9101
0
0
INTUIT INC
SHS
461202103
925
4069
SH
DFND
0
4069
0
0
INVESCO SENIOR LOAN ETF
ETF
46138G508
47344
2043313
SH
DFND
0
2043313
0
0
IRONWOOD PHARMACEUTICALS INC
SHS
46333X108
2088
113100
SH
DFND
0
113100
0
0
JETBLUE AIRWAYS CORP
SHS
477143101
363
18737
SH
DFND
0
18737
0
0
KANSAS CITY SOUTHERN
SHS
485170302
743
6563
SH
DFND
0
6563
0
0
KENNAMETAL INC
SHS
489170100
1119
25685
SH
DFND
1
25676
0
9
LIBERTY PPTY TR SH BEN INT
SHS
531172104
863
20426
SH
DFND
1
20416
0
10
LIONS GATE ENTMNT CORP CL B NO
SHS
535919500
592
25422
SH
DFND
1
25405
0
17
LPL FINL HLDGS INC COM
SHS
50212V100
220
3406
SH
DFND
1
3401
0
5
MAGELLAN HEALTH SVCS INC COM N
SHS
559079207
640
8878
SH
DFND
1
8874
0
4
MARSH & MCLENNAN COS INC
SHS
571748102
567
6860
SH
DFND
0
6860
0
0
MASTERCARD INC
SHS
57636Q104
1272
5714
SH
DFND
0
5714
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
991
13497
SH
DFND
0
13497
0
0
MERIT MED SYS INC COM
SHS
589889104
290
4718
SH
DFND
1
4711
0
7
METROPOLITAN BK HLDG CORP COM
SHS
591774104
279
6771
SH
DFND
1
6764
0
7
MICROCHIP TECHNOLOGY INC
SHS
595017104
417
5286
SH
DFND
0
5286
0
0
MICRON TECHNOLOGY INC
SHS
595112103
465
10283
SH
DFND
0
10283
0
0
MICROSOFT CORP
SHS
594918104
2187
19126
SH
DFND
0
19126
0
0
MOLINA HEALTHCARE INC COM
SHS
60855R100
338
2277
SH
DFND
1
2274
0
3
MOODY'S CORP
SHS
615369105
502
3001
SH
DFND
0
3001
0
0
NAVIGANT CONSULTING INC COM
SHS
63935N107
320
13892
SH
DFND
1
13871
0
21
NAVISTAR INTERNATIONAL CORP
BOND
63934EAQ1
1501
1500000
PRN
DFND
0
1500000
0
0
NETGEAR INC COM
SHS
64111Q104
236
3752
SH
DFND
1
3746
0
6
NEWMARK GROUP INC CL A
SHS
65158N102
148
13218
SH
DFND
1
13198
0
20
NEXTERA ENERGY INC
SHS
65339F101
453
2702
SH
DFND
0
2702
0
0
NEXTGEN HEALTHCARE INC COM
SHS
65343C102
336
16739
SH
DFND
1
16714
0
25
NOMAD FOODS LTD
SHS
G6564A105
226
11168
SH
DFND
0
11168
0
0
NORFOLK SOUTHERN CORP
SHS
655844108
1115
6179
SH
DFND
0
6179
0
0
NORTHWEST NAT GAS CO
SHS
667655104
321
4806
SH
DFND
1
4799
0
7
NOVAVAX INC
BOND
670002AB0
1853
3000000
PRN
DFND
0
3000000
0
0
NUTANIX INC
SHS
67059N108
497
11644
SH
DFND
0
11644
0
0
NXP SEMICONDUCTORS NV
SHS
N6596X109
342
4000
SH
DFND
0
4000
0
0
OCEAN RIG UDW INC
SHS
G66964118
14572
420904
SH
DFND
0
420904
0
0
OGE ENERGY CORP
SHS
670837103
468
12892
SH
DFND
0
12892
0
0
OKTA INC CL A
SHS
679295105
315
4467
SH
DFND
1
4460
0
7
ONEMAIN HLDGS INC COM
SHS
68268W103
283
8394
SH
DFND
1
8382
0
12
PALO ALTO NETWORKS INC
SHS
697435105
851
3777
SH
DFND
0
3777
0
0
PENN NATL GAMING INC COM
SHS
707569109
452
13749
SH
DFND
1
13728
0
21
PERSPECTA INC
SHS
715347100
417
16203
SH
DFND
1
16180
0
23
PIPER JAFFRAY COS COM
SHS
724078100
202
2644
SH
DFND
1
2640
0
4
POPULAR INC COM
SHS
733174700
260
5075
SH
DFND
1
5067
0
8
PRIMERICA INC COM
SHS
74164M108
398
3303
SH
DFND
1
3298
0
5
PROGRESSIVE CORP/THE
SHS
743315103
481
6777
SH
DFND
0
6777
0
0
PTC INC COM
SHS
69370C100
930
8752
SH
DFND
1
8749
0
3
RADIAN GROUP INC COM
SHS
750236101
367
17741
SH
DFND
1
17715
0
26
RANGE RES CORP COM
SHS
75281A109
629
37005
SH
DFND
1
36998
0
7
REXFORD INDL RLTY INC COM
SHS
76169C100
232
7261
SH
DFND
1
7250
0
11
ROCKWELL AUTOMATION INC
SHS
773903109
518
2764
SH
DFND
0
2764
0
0
ROGERS COMMUNICATIONS INC
SHS
775109200
779
15147
SH
DFND
0
15147
0
0
ROVI CORP
BOND
779376AD4
14787
15500000
PRN
DFND
0
15500000
0
0
S&P GLOBAL INC
SHS
78409V104
603
3084
SH
DFND
0
3084
0
0
SAILPOINT TECHNLGIES HLDGS ICO
SHS
78781P105
212
6217
SH
DFND
1
6208
0
9
SANTANDER CONSUMER USA HDG ICO
SHS
80283M101
307
15287
SH
DFND
1
15264
0
23
SCHLUMBERGER LTD
SHS
806857108
4252
69800
SH
DFND
0
69800
0
0
SEA LTD
ADR
81141R100
436
31549
SH
DFND
0
31549
0
0
SOUTHWEST AIRLINES CO
SHS
844741108
703
11259
SH
DFND
0
11259
0
0
SPIRE INC COM
SHS
84857L101
281
3822
SH
DFND
1
3816
0
6
SPLUNK INC
SHS
848637104
10217
84500
SH
DFND
0
84500
0
0
STAG INDL INC COM
SHS
85254J102
340
12371
SH
DFND
1
12353
0
18
SUN COMMUNITIES INC
SHS
866674104
624
6150
SH
DFND
0
6150
0
0
SVB FINANCIAL GROUP
SHS
78486Q101
418
1344
SH
DFND
0
1344
0
0
SYNOPSYS INC
SHS
871607107
793
8041
SH
DFND
0
8041
0
0
TAKE-TWO INTERACTIVE SOFTWARCO
SHS
874054109
467
3382
SH
DFND
1
3377
0
5
TELIGENT INC/NJ
BOND
87960WAA2
6524
6088000
PRN
DFND
0
6088000
0
0
TESLA ENERGY OPERATIONS INC/DE
BOND
83416TAA8
8424
8541000
PRN
DFND
0
8541000
0
0
TRIMBLE INC
SHS
896239100
673
15490
SH
DFND
0
15490
0
0
TTM TECHNOLOGIES INC COM
SHS
87305R109
162
10200
SH
DFND
1
10185
0
15
TWITTER INC
BOND
90184LAB8
8855
9122000
PRN
DFND
0
9122000
0
0
UNIFIRST CORP COM
SHS
904708104
258
1485
SH
DFND
1
1483
0
2
UNION PACIFIC CORP
SHS
907818108
589
3616
SH
DFND
0
3616
0
0
UNITEDHEALTH GROUP INC
SHS
91324P102
626
2352
SH
DFND
0
2352
0
0
UNITIL CORP COM
SHS
913259107
289
5690
SH
DFND
1
5681
0
9
VALVOLINE INC COM
SHS
92047W101
708
32940
SH
DFND
1
32920
0
20
VERIZON COMMUNICATIONS INC
SHS
92343V104
776
14528
SH
DFND
0
14528
0
0
VISA INC
SHS
92826C839
1066
7102
SH
DFND
0
7102
0
0
VMWARE INC
SHS
928563402
1077
6904
SH
DFND
0
6904
0
0
WABCO HOLDINGS INC
SHS
92927K102
381
3227
SH
DFND
0
3227
0
0
WALMART INC
SHS
931142103
1106
11775
SH
DFND
0
11775
0
0
WD 40 CO COM
SHS
929236107
231
1341
SH
DFND
1
1339
0
2
WILLSCOT CORP
SHS
971375126
223
14417
SH
DFND
0
14417
0
0
WINDSTREAM HOLDINGS INC
SHS
97382A309
63
12916
SH
DFND
1
12897
0
19
WINTRUST FINL CORP COM
SHS
97650W108
263
3102
SH
DFND
1
3097
0
5
WORKDAY INC
SHS
98138H101
2102
14400
SH
DFND
0
14400
0
0
ZIMMER BIOMET HOLDINGS INC
SHS
98956P102
1338
10176
SH
DFND
0
10176
0
0