Chief Compliance Officer

0000950123-19-004837.txt : 20190514 0000950123-19-004837.hdr.sgml : 20190514 20190514131304 ACCESSION NUMBER: 0000950123-19-004837 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190514 DATE AS OF CHANGE: 20190514 EFFECTIVENESS DATE: 20190514 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: 19821757 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 03-31-2019 03-31-2019 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 05-14-2019 1 175 389049 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 21091 23820000 PRN DFND 0 23820000 0 0 ADVANCED DISP SVCS INC DEL COM SHS 00790X101 282 10053 SH DFND 1 10037 0 16 ALLSCRIPTS HEALTHCARE SOLUTICO SHS 01988P108 867 90885 SH DFND 1 90857 0 28 ALPHABET INC SHS 02079K305 2732 2321 SH DFND 0 2321 0 0 AMAZON.COM INC SHS 023135106 1174 659 SH DFND 0 659 0 0 AMDOCS LTD SHS G02602103 920 16994 SH DFND 0 16994 0 0 AMERICAN EXPRESS CO SHS 025816109 818 7484 SH DFND 0 7484 0 0 AMERICOLD RLTY TR COM SHS 03064D108 857 28108 SH DFND 1 28101 0 7 ANADARKO PETROLEUM CORP SHS 032511107 1090 23973 SH DFND 0 23973 0 0 ANSYS INC SHS 03662Q105 805 4408 SH DFND 0 4408 0 0 APERGY CORP COM SHS 03755L104 208 5076 SH DFND 1 5068 0 8 APTIV PLC SHS G6095L109 425 5350 SH DFND 0 5350 0 0 ARGO GROUP INTL HLDGS LTD COM SHS G0464B107 234 3299 SH DFND 1 3294 0 5 ARISTA NETWORKS INC SHS 040413106 896 2849 SH DFND 0 2849 0 0 ARMSTRONG WORLD INDUSTRIES INC SHS 04247X102 224 2825 SH DFND 0 2825 0 0 AVAYA HOLDINGS CORP SHS 05351X101 44844 2664538 SH DFND 0 2664538 0 0 AVID TECHNOLOGY INC NOTE 2.000% 6/1 05367PAB6 8637 9140000 PRN DFND 0 9140000 0 0 AXIS CAPITAL HLDGS LTD SHS SHS G0692U109 218 3973 SH DFND 1 3967 0 6 BALCHEM CORP CL B SHS 057665200 713 7676 SH DFND 1 7673 0 3 BGC PARTNERS INC CL A SHS 05541T101 127 23794 SH DFND 1 23757 0 37 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 2303 2250000 PRN DFND 0 2250000 0 0 BLOOM ENERGY CORP SHS 093712107 496 38362 SH DFND 0 38362 0 0 BOEING CO/THE SHS 097023105 1075 2819 SH DFND 0 2819 0 0 BOTTOMLINE TECH DEL INC COM SHS 101388106 216 4316 SH DFND 1 4309 0 7 BROADCOM INC SHS 11135F101 1392 4628 SH DFND 0 4628 0 0 BRUKER CORP COM SHS 116794108 252 6555 SH DFND 1 6545 0 10 C&J ENERGY SERVICES INC SHS 12674R100 3216 207248 SH DFND 0 207248 0 0 CARDTRONICS PLC SHS CL A SHS G1991C105 242 6809 SH DFND 1 6798 0 11 CARETRUST REIT INC COM SHS 14174T107 998 42530 SH DFND 1 42506 0 24 CECO ENVIRONMENTAL CORP COM SHS 125141101 164 22790 SH DFND 1 22754 0 36 CHARLES RIV LABORATORIES INTCO SHS 159864107 232 1596 SH DFND 1 1593 0 3 CHEGG INC SHS 163092109 2435 63874 SH DFND 0 63874 0 0 CIENA CORP SHS 171779309 1324 35463 SH DFND 0 35463 0 0 CIGNA CORP SHS 125523100 1057 6571 SH DFND 0 6571 0 0 CINTAS CORP SHS 172908105 523 2588 SH DFND 0 2588 0 0 CIVEO CORP CDA COM SHS 17878Y108 124 59107 SH DFND 1 59016 0 91 CLOVIS ONCOLOGY INC NOTE 2.500% 9/1 189464AB6 13039 14000000 PRN DFND 0 14000000 0 0 CONNS INC COM SHS 208242107 247 10800 SH DFND 1 10783 0 17 COREPOINT LODGING INC SHS 21872L104 124 11121 SH DFND 0 11121 0 0 CTRIP.COM INTERNATIONAL LTD NOTE 1.000% 7/0 22943FAF7 10728 10524000 PRN DFND 0 10524000 0 0 CUMULUS MEDIA INC SHS 231082801 12144 674302 SH DFND 0 674302 0 0 CVR PARTNERS LP COM SHS 126633106 152 38259 SH DFND 1 38198 0 61 DELTA AIR LINES INC SHS 247361702 264 5121 SH DFND 0 5121 0 0 DINEEQUITY INC COM SHS 254423106 603 6602 SH DFND 1 6599 0 3 DOCUSIGN INC COM SHS 256163106 258 4971 SH DFND 1 4963 0 8 DOMINO'S PIZZA INC SHS 25754A201 1147 4444 SH DFND 0 4444 0 0 DTE ENERGY CO SHS 233331107 432 3461 SH DFND 0 3461 0 0 EATON VANCE FLOATING-RATE INCOME TRUST ETF 278279104 4665 353668 SH DFND 0 353668 0 0 EATON VANCE SENIOR INCOME TRUST ETF 27826S103 5957 968586 SH DFND 0 968586 0 0 ELECTRONICS FOR IMAGING INC NOTE 0.750% 9/0 286082AC6 9879 10000000 PRN DFND 0 10000000 0 0 ENOVA INTL INC COM SHS 29357K103 273 11951 SH DFND 1 11932 0 19 EQUINIX INC SHS 29444U700 1198 2644 SH DFND 0 2644 0 0 EQUITY LIFESTYLE PROPERTIES INC SHS 29472R108 837 7327 SH DFND 0 7327 0 0 ESSENT GROUP LTD COM SHS G3198U102 1076 24763 SH DFND 1 24757 0 6 EURONET WORLDWIDE INC COM SHS 298736109 4317 30273 SH DFND 1 30271 0 2 EVERSPIN TECHNOLOGIES INC SHS 30041T104 212 27706 SH DFND 0 27706 0 0 EVERTEC INC COM SHS 30040P103 260 9380 SH DFND 1 9366 0 14 EVO PMTS INC CL A COM SHS 26927E104 355 12225 SH DFND 1 12206 0 19 FIREEYE INC NOTE 1.625% 6/0 31816QAD3 2814 3000000 PRN DFND 0 300000 0 0 FIREEYE INC SHS 31816Q101 714 42502 SH DFND 0 42502 0 0 FISERV INC SHS 337738108 687 7782 SH DFND 0 7782 0 0 FLUIDIGM CORP NOTE 2.750% 2/0 34385PAA6 7162 7575000 PRN DFND 0 7575000 0 0 FOUR CORNERS PPTY TR INC COM SHS 35086T109 1171 39571 SH DFND 1 39554 0 17 GENESEE & WYO INC CL A SHS 371559105 307 3528 SH DFND 1 3523 0 5 GREEN DOT CORP CL A SHS 39304D102 633 10438 SH DFND 1 10433 0 5 GUIDEWIRE SOFTWARE INC COM SHS 40171V100 207 2128 SH DFND 1 2125 0 3 HAWAIIAN ELEC. SHS 419870100 215 5277 SH DFND 1 5269 0 8 HCP INC SHS 40414L109 624 19927 SH DFND 0 19927 0 0 HEALTHCARE RLTY TR SHS 421946104 595 18522 SH DFND 1 18514 0 8 HEXCEL CORP NEW COM SHS 428291108 306 4413 SH DFND 1 4406 0 7 HILTON GRAND VACATIONS INC COM SHS 43283X105 210 6778 SH DFND 1 6767 0 11 HOME DEPOT INC/THE SHS 437076102 762 3973 SH DFND 0 3973 0 0 HONEYWELL INTERNATIONAL INC SHS 438516106 722 4542 SH DFND 0 4542 0 0 INGEVITY CORP COM SHS 45688C107 334 3167 SH DFND 1 3162 0 5 INTERCEPT PHARMACEUTICALS INC SHS 45845P958 308 2800 SH Put DFND 0 2800 0 0 INTUIT INC SHS 461202103 1140 4360 SH DFND 0 4360 0 0 INVESCO SENIOR LOAN ETF ETF 46138G508 8225 363313 SH DFND 0 363313 0 0 ITAU UNIBANCO HOLDING SA ADR 465562106 849 96315 SH DFND 0 96315 0 0 ITT INC COM SHS 45073V108 230 3965 SH DFND 1 3959 0 6 JACK IN THE BOX INC SHS 466367109 261 3226 SH DFND 0 3226 0 0 JOHNSON & JOHNSON SHS 478160104 899 6434 SH DFND 0 6434 0 0 KENNAMETAL INC SHS 489170100 216 5885 SH DFND 1 5876 0 9 L BRANDS INC SHS 501797104 420 15216 SH DFND 0 15216 0 0 LAMAR ADVERTISING CO SHS 512816109 614 7745 SH DFND 0 7745 0 0 LAMB WESTON HLDGS INC COM SHS 513272104 200 2671 SH DFND 1 2667 0 4 LANCASTER COLONY CORP SHS 513847103 1451 9261 SH DFND 1 9260 0 1 LIBERTY PPTY TR SH BEN INT SHS 531172104 240 4957 SH DFND 1 4949 0 8 LIONS GATE ENTMNT CORP CL B NO SHS 535919500 599 39688 SH DFND 1 39672 0 16 MAGELLAN HEALTH SVCS INC COM N SHS 559079207 410 6231 SH DFND 1 6226 0 5 MARATHON PETROLEUM CORP SHS 56585A102 869 14524 SH DFND 0 14524 0 0 MARVELL TECHNOLOGY GROUP LTD SHS G5876H105 495 24888 SH DFND 0 24888 0 0 MASTERCARD INC SHS 57636Q104 821 3485 SH DFND 0 3485 0 0 MEDPACE HOLDINGS INC SHS 58506Q109 605 10253 SH DFND 0 10253 0 0 MEDTRONIC INC SHS G5960L103 615 6750 SH DFND 0 6750 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 1808 15275 SH DFND 0 15275 0 0 MICROSOFT CORP SHS 594918104 2726 23114 SH DFND 0 23114 0 0 MOHAWK INDUSTRIES INC SHS 608190104 438 3471 SH DFND 0 3471 0 0 MOLINA HEALTHCARE INC COM SHS 60855R100 250 1760 SH DFND 1 1757 0 3 MORNINGSTAR INC COM SHS 617700109 218 1731 SH DFND 1 1728 0 3 MYLAN INC SHS N59465909 488 15000 SH Call DFND 0 15000 0 0 NATIONAL INSTRUMENTS CORP SHS 636518102 644 14519 SH DFND 0 14519 0 0 NAVISTAR INTERNATIONAL CORP Note 4.750% 4/1 63934EAS7 29000 29000000 PRN DFND 0 29000000 0 0 NEWMARK GROUP INC CL A SHS 65158N102 156 18702 SH DFND 1 18673 0 29 NEWMARKET CORP SHS 651587107 309 712 SH DFND 0 712 0 0 NEXSTAR BROADCASTING GROUP ICL SHS 65336K103 229 2109 SH DFND 1 2106 0 3 NEXTERA ENERGY INC SHS 65339F101 468 2423 SH DFND 0 2423 0 0 NORFOLK SOUTHERN CORP SHS 655844108 726 3884 SH DFND 0 3884 0 0 NORTHWEST NAT HLDG CO COM SHS 66765N105 291 4434 SH DFND 1 4427 0 7 NVIDIA CORP SHS 67066G104 462 2571 SH DFND 0 2571 0 0 OASIS PETE INC NEW COM SHS 674215108 98 16181 SH DFND 1 16156 0 25 OFG BANCORP SHS 67103X102 246 12423 SH DFND 1 12404 0 19 OGE ENERGY CORP SHS 670837103 421 9758 SH DFND 0 9758 0 0 ONEMAIN HLDGS INC COM SHS 68268W103 743 23405 SH DFND 1 23395 0 10 ONEOK INC SHS 682680103 609 8715 SH DFND 0 8715 0 0 PALO ALTO NETWORKS INC SHS 697435105 934 3846 SH DFND 0 3846 0 0 PERSPECTA INC SHS 715347100 302 14915 SH DFND 1 14892 0 23 PLANET FITNESS INC SHS 72703H101 261 3799 SH DFND 0 3799 0 0 PLURALSIGHT INC SHS 72941B106 749 23596 SH DFND 0 23596 0 0 POPULAR INC COM SHS 733174700 914 17544 SH DFND 1 17535 0 9 PRIMERICA INC COM SHS 74164M108 319 2611 SH DFND 1 2607 0 4 PROGRESSIVE CORP/THE SHS 743315103 735 10190 SH DFND 0 10190 0 0 PTC INC COM SHS 69370C100 1516 16450 SH DFND 1 16447 0 3 RADIAN GROUP INC COM SHS 750236101 911 43913 SH DFND 1 43887 0 26 RADWARE LTD SHS M81873107 616 23590 SH DFND 0 23590 0 0 RED HAT INC SHS 756577102 2137 11695 SH DFND 0 11695 0 0 REDFIN CORP NOTE 1.750% 7/1 75737FAA6 7077 7356000 PRN DFND 0 7356000 0 0 REINSURANCE GROUP OF AMERICA INC SHS 759351604 809 5698 SH DFND 0 5698 0 0 RINGCENTRAL INC NOTE 3/1 76680RAD9 25649 18000000 PRN DFND 0 18000000 0 0 ROCKWELL AUTOMATION INC SHS 773903109 674 3840 SH DFND 0 3840 0 0 ROGERS COMMUNICATIONS INC SHS 775109200 1099 20422 SH DFND 0 20422 0 0 ROVI CORP NOTE 0.500% 3/0 779376AD4 13129 13500000 PRN DFND 0 13500000 0 0 SANTANDER CONSUMER USA HDG ICO SHS 80283M101 250 11860 SH DFND 1 11842 0 18 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 10411 5750000 PRN DFND 0 5750000 0 0 SIGNATURE BANK/NEW YORK NY SHS 82669G104 999 7797 SH DFND 0 7797 0 0 SPDR S&P OIL & GAS EXPLORATION & PRODUCTION ETF ETF 78464A730 200 6497 SH DFND 0 6497 0 0 SPIRE INC COM SHS 84857L101 292 3551 SH DFND 1 3545 0 6 SPLUNK INC SHS 848637104 1632 13100 SH DFND 0 13100 0 0 STAG INDL INC COM SHS 85254J102 342 11541 SH DFND 1 11523 0 18 SUN COMMUNITIES INC SHS 866674104 764 6449 SH DFND 0 6449 0 0 SYNEOS HEALTH INC CL A SHS 87166B102 226 4369 SH DFND 1 4362 0 7 SYNOPSYS INC SHS 871607107 973 8447 SH DFND 0 8447 0 0 SYSCO CORP SHS 871829107 883 13221 SH DFND 0 13221 0 0 TAKE-TWO INTERACTIVE SOFTWARCO SHS 874054109 260 2763 SH DFND 1 2759 0 4 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 23407 15732000 PRN DFND 0 15732000 0 0 TELADOC HEALTH INC SHS 87918A105 264 4744 SH DFND 0 4744 0 0 TELIGENT INC/NJ NOTE 4.750% 5/0 87960WAA2 4232 6088000 PRN DFND 0 6088000 0 0 TERADYNE INC NOTE 1.250%12/1 880770AG7 4199 3000000 PRN DFND 0 3000000 0 0 TERRENO REALTY CORP SHS 88146M101 353 8404 SH DFND 0 8404 0 0 THERMO FISHER SCIENTIFIC INC SHS 883556102 828 3026 SH DFND 0 3026 0 0 TOTAL SYSTEM SERVICES INC SHS 891906109 800 8422 SH DFND 0 8422 0 0 TRANSOCEAN LTD SHS H8817H100 3871 444434 SH DFND 0 444434 0 0 TRIMBLE INC SHS 896239100 561 13882 SH DFND 0 13882 0 0 TTM TECHNOLOGIES INC COM SHS 87305R109 152 12938 SH DFND 1 12918 0 20 TWITTER INC NOTE 0.250% 9/1 90184LAB8 4930 5000000 PRN DFND 0 5000000 0 0 UNIFIRST CORP COM SHS 904708104 213 1386 SH DFND 1 1384 0 2 UNION PACIFIC CORP SHS 907818108 682 4079 SH DFND 0 4079 0 0 UNITED RENTALS INC SHS 911363109 343 3005 SH DFND 0 3005 0 0 UNITEDHEALTH GROUP INC SHS 91324P102 1121 4532 SH DFND 0 4532 0 0 UNITIL CORP COM SHS 913259107 288 5315 SH DFND 1 5307 0 8 US FOODS HOLDING CORP SHS 912008109 968 27734 SH DFND 0 27734 0 0 VERIZON COMMUNICATIONS INC SHS 92343V104 1039 17566 SH DFND 0 17566 0 0 VIRTU FINL INC CL A SHS 928254101 817 34381 SH DFND 1 34360 0 21 VISA INC SHS 92826C839 1277 8174 SH DFND 0 8174 0 0 WASTE MANAGEMENT INC SHS 94106L109 303 2917 SH DFND 0 2917 0 0 WAYFAIR INC SHS 94419L101 594 4000 SH DFND 0 4000 0 0 WEIGHT WATCHERS INTERNATIONAL INC SHS 948626106 299 14850 SH DFND 0 14850 0 0 WEST PHARMACEUTICAL SVCS INCCO SHS 955306105 200 1813 SH DFND 1 1810 0 3 WEX INC SHS 96208T104 830 4326 SH DFND 1 4325 0 1 WEYERHAEUSER CO SHS 962166104 906 34414 SH DFND 0 34414 0 0 WHITING PETROLEUM CORP BOND 966387AL6 2050 2115000 PRN DFND 0 2115000 0 0 WILLSCOT CORP SHS 971375126 160 14417 SH DFND 0 14417 0 0 WYNDHAM HOTELS & RESORTS INCCO SHS 98311A105 803 16047 SH DFND 1 16042 0 5 ZAYO GROUP HOLDINGS INC SHS 98919V105 725 25519 SH DFND 0 25519 0 0 ZENDESK INC BOND 98936JAB7 6941 4750000 PRN DFND 0 4750000 0 0 ZIMMER BIOMET HOLDINGS INC SHS 98956P102 1192 9337 SH DFND 0 9337 0 0