0000950123-19-002150.txt : 20190214 0000950123-19-002150.hdr.sgml : 20190214 20190214151414 ACCESSION NUMBER: 0000950123-19-002150 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 EFFECTIVENESS DATE: 20190214 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: 19605201 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 true false 0001030815 XXXXXXXX 12-31-2018 12-31-2018 SYMPHONY ASSET MANAGEMENT LLC

555 CALIFORNIA STREET SUITE 3100 SAN FRANCISCO CA 94104

13F HOLDINGS REPORT 028-05958 N Judith MacDonald 415 676 4144 /s/ Judith MacDonald San Francisco CA 02-14-2019 1 164 338069 false 1 028-11405 Nuveen Investments, Inc. INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 1665 2000000 PRN DFND 2000000 0 0 ADOBE INC COM 00724F101 597 2639 SH DFND 2639 0 0 ADVANCED DISP SVCS INC DEL COM 00790X101 252 10523 SH DFND 1 10507 0 16 AFLAC INC COM 001055102 653 14328 SH DFND 14328 0 0 AIR PRODS & CHEMS INC COM 009158106 711 4443 SH DFND 4443 0 0 ALLSCRIPTS HEALTHCARE SOLUTN COM 01988P108 650 67444 SH DFND 1 67416 0 28 ALPHABET INC CAP STK CL A 02079K305 2899 2774 SH DFND 2774 0 0 ALTRIA GROUP INC COM 02209S103 361 7313 SH DFND 7313 0 0 AMAZON COM INC COM 023135106 297 198 SH DFND 198 0 0 AMDOCS LTD SHS G02602103 923 15755 SH DFND 15755 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 375 11681 SH DFND 11681 0 0 AMERICAN EXPRESS CO COM 025816109 425 4457 SH DFND 4457 0 0 ANADARKO PETE CORP COM 032511107 321 7326 SH DFND 7326 0 0 ANSYS INC COM 03662Q105 682 4774 SH DFND 4774 0 0 ARCONIC INC COM 03965L100 837 49647 SH DFND 49647 0 0 ARGO GROUP INTL HLDGS LTD COM G0464B107 230 3425 SH DFND 1 3420 0 5 ARISTA NETWORKS INC COM 040413106 724 3435 SH DFND 3435 0 0 ASPEN INSURANCE HOLDINGS LTD SHS G05384105 242 5770 SH DFND 1 5761 0 9 AVAYA HLDGS CORP COM 05351X101 44139 3031524 SH DFND 3031524 0 0 AVID TECHNOLOGY INC NOTE 2.000% 6/1 05367PAB6 8145 9000000 PRN DFND 9000000 0 0 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 201 3896 SH DFND 1 3890 0 6 BALCHEM CORP COM 057665200 390 4980 SH DFND 4980 0 0 BGC PARTNERS INC CL A 05541T101 116 22519 SH DFND 1 22482 0 37 BOEING CO COM 097023105 652 2023 SH DFND 2023 0 0 BOTTOMLINE TECH DEL INC COM 101388106 215 4483 SH DFND 1 4476 0 7 BROADCOM INC COM 11135F101 684 2688 SH DFND 2688 0 0 BRUKER CORP COM 116794108 233 7816 SH DFND 1 7804 0 12 C&J ENERGY SVCS INC NEW COM 12674R100 2798 207248 SH DFND 207248 0 0 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 248 5664 SH DFND 5664 0 0 CARETRUST REIT INC COM 14174T107 292 15792 SH DFND 1 15768 0 24 CATERPILLAR INC DEL COM 149123101 284 2234 SH DFND 2234 0 0 CECO ENVIRONMENTAL CORP COM 125141101 145 21516 SH DFND 1 21480 0 36 CENTERPOINT ENERGY INC COM 15189T107 434 15374 SH DFND 15374 0 0 CHARLES RIV LABS INTL INC COM 159864107 256 2266 SH DFND 1 2263 0 3 CHENIERE ENERGY INC COM NEW 16411R208 831 14041 SH DFND 14041 0 0 CIGNA CORP NEW COM 125523100 1548 8153 SH DFND 8153 0 0 CINTAS CORP COM 172908105 434 2583 SH DFND 2583 0 0 CLOVIS ONCOLOGY INC NOTE 1.250% 5/0 189464AC4 351 500000 PRN DFND 500000 0 0 CMS ENERGY CORP COM 125896100 458 9215 SH DFND 9215 0 0 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 15611 16104000 PRN DFND 16104000 0 0 CUMULUS MEDIA INC COM CLASS A 231082801 10152 939968 SH DFND 939968 0 0 CVR PARTNERS LP COM 126633106 127 37307 SH DFND 1 37246 0 61 DEERE & CO COM 244199105 242 1622 SH DFND 1622 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 244 4883 SH DFND 4883 0 0 DENNYS CORP COM 24869P104 320 19720 SH DFND 19720 0 0 DINE BRANDS GLOBAL INC COM 254423106 518 7686 SH DFND 1 7683 0 3 DOLLAR TREE INC COM 256746108 493 5454 SH DFND 5454 0 0 DTE ENERGY CO COM 233331107 421 3819 SH DFND 3819 0 0 EATON VANCE FLTING RATE INC COM 278279104 4477 353668 SH DFND 353668 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 5812 968586 SH DFND 968586 0 0 ELECTRONICS FOR IMAGING INC NOTE 0.750% 9/0 286082AC6 15674 16059000 PRN DFND 16059000 0 0 EMPLOYERS HOLDINGS INC COM 292218104 200 4759 SH DFND 1 4752 0 7 ENOVA INTL INC COM 29357K103 237 12201 SH DFND 1 12182 0 19 EQUINIX INC COM PAR $0.001 29444U700 903 2560 SH DFND 2560 0 0 EQUITRANS MIDSTREAM CORPORAT COM 294600101 367 18323 SH DFND 18323 0 0 EQUITY LIFESTYLE PPTYS INC COM 29472R108 534 5497 SH DFND 5497 0 0 ESSENT GROUP LTD COM G3198U102 663 19383 SH DFND 1 19378 0 5 EURONET WORLDWIDE INC COM 298736109 618 6040 SH DFND 1 6038 0 2 EVERSPIN TECHNOLOGIES INC COM 30041T104 180 32168 SH DFND 32168 0 0 EVERTEC INC COM 30040P103 220 7666 SH DFND 1 7654 0 12 EVO PMTS INC CL A COM 26927E104 313 12695 SH DFND 1 12676 0 19 FACTSET RESH SYS INC COM 303075105 504 2519 SH DFND 2519 0 0 FIREEYE INC NOTE 1.625% 6/0 31816QAD3 2740 3000000 PRN DFND 3000000 0 0 FIREEYE INC COM 31816Q101 563 34703 SH DFND 34703 0 0 FISERV INC COM 337738108 569 7739 SH DFND 7739 0 0 FIVE BELOW INC COM 33829M101 306 2994 SH DFND 2994 0 0 FLUIDIGM CORP DEL NOTE 2.750% 2/0 34385PAA6 7841 8475000 PRN DFND 8475000 0 0 FOUR CORNERS PPTY TR INC COM 35086T109 863 32953 SH DFND 1 32935 0 18 GENESEE & WYO INC CL A 371559105 272 3669 SH DFND 1 3663 0 6 GREEN DOT CORP CL A 39304D102 484 6092 SH DFND 1 6087 0 5 HALCON RESOURCES CORP COM 40537Q118 1 21569 SH DFND 21569 0 0 HALCON RESOURCES CORP COM 40537Q605 336 197401 SH DFND 197401 0 0 HASBRO INC COM 418056107 224 2760 SH DFND 2760 0 0 HEXCEL CORP NEW COM 428291108 244 4252 SH DFND 1 4245 0 7 HONEYWELL INTL INC COM 438516106 527 3992 SH DFND 3992 0 0 HORIZON PHARMA INVT LTD NOTE 2.500% 3/1 44052TAB7 9994 10000000 PRN DFND 10000000 0 0 INGEVITY CORP COM 45688C107 275 3285 SH DFND 1 3280 0 5 INPHI CORP COM 45772F107 355 11028 SH DFND 11028 0 0 INTERXION HOLDING N.V SHS N47279109 534 9862 SH DFND 9862 0 0 INTUIT COM 461202103 990 5028 SH DFND 5028 0 0 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 44503 2043313 SH DFND 2043313 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 505 3771 SH DFND 1 3770 0 1 JOHNSON & JOHNSON COM 478160104 594 4599 SH DFND 4599 0 0 JPMORGAN CHASE & CO COM 46625H100 468 4796 SH DFND 4796 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 471 4938 SH DFND 4938 0 0 KENNAMETAL INC COM 489170100 587 17648 SH DFND 1 17639 0 9 LAMB WESTON HLDGS INC COM 513272104 206 2800 SH DFND 1 2796 0 4 LENDINGTREE INC NEW COM 52603B107 790 3600 SH DFND 3600 0 0 LIBERTY PPTY TR SH BEN INT 531172104 291 6953 SH DFND 1 6943 0 10 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 402 27001 SH DFND 1 26994 0 7 MAGELLAN HEALTH INC COM NEW 559079207 457 8025 SH DFND 1 8020 0 5 MARATHON PETE CORP COM 56585A102 558 9461 SH DFND 9461 0 0 MARSH & MCLENNAN COS INC COM 571748102 672 8426 SH DFND 8426 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 680 42014 SH DFND 42014 0 0 MASTERCARD INCORPORATED CL A 57636Q104 647 3429 SH DFND 3429 0 0 MEDTRONIC PLC SHS G5960L103 709 7796 SH DFND 7796 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 729 7887 SH DFND 7887 0 0 METROPOLITAN BK HLDG CORP COM 591774104 200 6473 SH DFND 1 6466 0 7 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 12014 8500000 PRN DFND 8500000 0 0 MICROSOFT CORP COM 594918104 1971 19406 SH DFND 19406 0 0 MOLINA HEALTHCARE INC COM 60855R100 255 2193 SH DFND 1 2190 0 3 MORGAN STANLEY COM NEW 617446448 702 17701 SH DFND 17701 0 0 NAVIGANT CONSULTING INC COM 63935N107 221 9186 SH DFND 1 9172 0 14 NAVISTAR INTERNATIONAL CORP BOND 63934EAS7 20006 20006000 PRN DFND 20006000 0 0 NEWMARK GROUP INC CL A 65158N102 141 17586 SH DFND 1 17556 0 30 NEWMARKET CORP COM 651587107 433 1051 SH DFND 1051 0 0 NEXTERA ENERGY INC COM 65339F101 428 2463 SH DFND 2463 0 0 NORFOLK SOUTHERN CORP COM 655844108 648 4330 SH DFND 4330 0 0 NORTHWEST NAT HLDG CO COM 66765N105 278 4604 SH DFND 1 4597 0 7 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 1838 3000000 PRN DFND 3000000 0 0 NUTANIX INC CL A 67059N108 418 10053 SH DFND 10053 0 0 OFG BANCORP COM 67103X102 165 10007 SH DFND 1 9992 0 15 OGE ENERGY CORP COM 670837103 423 10794 SH DFND 10794 0 0 OLLIES BARGAIN OUTLT HLDGS I COM 681116109 294 4417 SH DFND 4417 0 0 ONEOK INC NEW COM 682680103 742 13752 SH DFND 13752 0 0 PALO ALTO NETWORKS INC COM 697435105 952 5053 SH DFND 5053 0 0 PERSPECTA INC COM 715347100 247 14338 SH DFND 1 14315 0 23 PHILIP MORRIS INTL INC COM 718172109 423 6331 SH DFND 6331 0 0 POPULAR INC COM NEW 733174700 273 5772 SH DFND 1 5763 0 9 PRIMERICA INC COM 74164M108 269 2752 SH DFND 1 2748 0 4 PROGRESSIVE CORP OHIO COM 743315103 607 10056 SH DFND 10056 0 0 PTC INC COM 69370C100 917 11065 SH DFND 1 11062 0 3 RADIAN GROUP INC COM 750236101 282 17248 SH DFND 1 17222 0 26 RED HAT INC COM 756577102 1687 9607 SH DFND 9607 0 0 REINSURANCE GROUP AMER INC COM NEW 759351604 630 4496 SH DFND 4496 0 0 ROAN RES INC CL A COM 769755109 267 31873 SH DFND 31873 0 0 ROCKWELL AUTOMATION INC COM 773903109 258 1715 SH DFND 1715 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 940 18341 SH DFND 18341 0 0 ROSS STORES INC COM 778296103 588 7072 SH DFND 7072 0 0 ROVI CORP NOTE 0.500% 3/0 779376AD4 14783 15500000 PRN DFND 15500000 0 0 ROYAL GOLD INC COM 780287108 578 6751 SH DFND 6751 0 0 SANTANDER CONSUMER USA HDG I COM 80283M101 258 14690 SH DFND 1 14667 0 23 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 302 3047 SH DFND 3047 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 304 5984 SH DFND 5984 0 0 SERVICEMASTER GLOBAL HLDGS I COM 81761R109 348 9460 SH DFND 9460 0 0 SOUTHERN COPPER CORP COM 84265V105 348 11317 SH DFND 11317 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 493 4070 SH DFND 4070 0 0 SPIRE INC COM 84857L101 274 3697 SH DFND 1 3691 0 6 STAG INDL INC COM 85254J102 298 11983 SH DFND 1 11965 0 18 SUN CMNTYS INC COM 866674104 568 5584 SH DFND 5584 0 0 SYNOPSYS INC COM 871607107 1043 12387 SH DFND 12387 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 295 2861 SH DFND 1 2857 0 4 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 9839 7149000 PRN DFND 7149000 0 0 TELIGENT INC NEW NOTE 4.750% 5/0 87960WAA2 4425 6088000 PRN DFND 6088000 0 0 TERADYNE INC NOTE 1.250%12/1 880770AG7 17822 15000000 PRN DFND 15000000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 667 2981 SH DFND 2981 0 0 TRANSOCEAN LTD REG SHS H8817H100 4583 660445 SH DFND 660445 0 0 UNION PAC CORP COM 907818108 557 4032 SH DFND 4032 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1151 4620 SH DFND 4620 0 0 UNITIL CORP COM 913259107 279 5519 SH DFND 1 5510 0 9 VALVOLINE INC COM 92047W101 234 12117 SH DFND 1 12097 0 20 VERIZON COMMUNICATIONS INC COM 92343V104 840 14941 SH DFND 14941 0 0 VIRTU FINL INC CL A 928254101 891 34582 SH DFND 1 34560 0 22 VISA INC COM CL A 92826C839 874 6622 SH DFND 6622 0 0 VMWARE INC CL A COM 928563402 574 4189 SH DFND 4189 0 0 WALMART INC COM 931142103 852 9149 SH DFND 9149 0 0 WASTE MGMT INC DEL COM 94106L109 234 2635 SH DFND 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