Chief Compliance Officer

0000950123-19-007943.txt : 20190814 0000950123-19-007943.hdr.sgml : 20190814 20190814080025 ACCESSION NUMBER: 0000950123-19-007943 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190814 DATE AS OF CHANGE: 20190814 EFFECTIVENESS DATE: 20190814 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: 191022873 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 06-30-2019 06-30-2019 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 08-14-2019 1 172 478453 false 1 028-11405 Nuveen Investments, Inc. INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ACORDA THERAPEUTICS INC BOND 00484MAA4 20376 23872000 PRN DFND 0 23872000 0 0 AKAMAI TECHNOLOGIES INC SHS 00971T101 783 9769 SH DFND 0 9769 0 0 ALLSCRIPTS HEALTHCARE SOLUTICO SHS 01988P108 1140 98017 SH DFND 1 97990 0 27 ALLSTATE CORP/THE SHS 020002101 782 7688 SH DFND 0 7688 0 0 ALPHABET INC SHS 02079K305 2440 2253 SH DFND 0 2253 0 0 AMAZON.COM INC SHS 023135106 704 372 SH DFND 0 372 0 0 AMDOCS LTD SHS G02602103 1200 19325 SH DFND 0 19325 0 0 AMERICAN EXPRESS CO SHS 025816109 924 7484 SH DFND 0 7484 0 0 AMERICOLD RLTY TR COM SHS 03064D108 1229 37908 SH DFND 1 37896 0 12 AMGEN INC SHS 031162100 371 2013 SH DFND 0 2013 0 0 ANSYS INC SHS 03662Q105 879 4292 SH DFND 0 4292 0 0 APTIV PLC SHS G6095L109 432 5350 SH DFND 0 5350 0 0 ARGO GROUP INTL HLDGS LTD COM SHS G0464B107 240 3243 SH DFND 1 3238 0 5 ARMSTRONG WORLD INDUSTRIES INC SHS 04247X102 686 7056 SH DFND 0 7056 0 0 ATLAS AIR WORLDWIDE HOLDINGS INC SHS 049164205 253 5664 SH DFND 0 5664 0 0 AVAYA HOLDINGS CORP SHS 05351X101 29740 2497088 SH DFND 0 2497088 0 0 AXIS CAPITAL HLDGS LTD SHS SHS G0692U109 703 11787 SH DFND 1 11781 0 6 BALCHEM CORP CL B SHS 057665200 794 7945 SH DFND 1 7941 0 4 BIOMARIN PHARMACEUTICAL INC BOND 09061GAH4 19742 19000000 PRN DFND 0 19000000 0 0 BLACK KNIGHT INC SHS 09215C105 219 3645 SH DFND 0 3645 0 0 BLOOM ENERGY CORP SHS 093712107 1067 86976 SH DFND 0 86976 0 0 BOEING CO/THE SHS 097023105 1495 4107 SH DFND 0 4107 0 0 BROADCOM INC SHS 11135F101 710 2466 SH DFND 0 2466 0 0 BRUKER CORP COM SHS 116794108 318 6355 SH DFND 1 6345 0 10 CARETRUST REIT INC COM SHS 14174T107 1006 42284 SH DFND 1 42260 0 24 CECO ENVIRONMENTAL CORP COM SHS 125141101 161 16756 SH DFND 1 16730 0 26 CHARLES RIV LABORATORIES INTCO SHS 159864107 222 1568 SH DFND 1 1566 0 2 CHENIERE ENERGY INC SHS 16411R208 794 11596 SH DFND 0 11596 0 0 CHURCHILL DOWNS INC COM SHS 171484108 207 1801 SH DFND 1 1798 0 3 CIENA CORP SHS 171779309 449 10912 SH DFND 0 10912 0 0 CIGNA CORP SHS 125523100 629 3990 SH DFND 0 3990 0 0 CINTAS CORP SHS 172908105 710 2991 SH DFND 0 2991 0 0 CIVEO CORP CDA COM SHS 17878Y108 98 57033 SH DFND 1 56942 0 91 CLEAR CHANNEL OUTDOOR HOLDINGS INC SHS 18453H106 38164 8085679 SH DFND 0 8085679 0 0 CLOVIS ONCOLOGY INC BOND 189464AB6 13786 15500000 PRN DFND 0 15500000 0 0 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF 81369Y407 1829 15344 SH DFND 0 15344 0 0 CONSUMER STAPLES SELECT SECTOR SPDR FUND ETF 81369Y308 4399 75755 SH DFND 0 75755 0 0 CORELOGIC INC COM SHS 21871D103 1169 27952 SH DFND 1 27943 0 9 COUPA SOFTWARE INC SHS 22266L106 3406 26900 SH DFND 0 26900 0 0 CTRIP.COM INTERNATIONAL LTD BOND 22943FAF7 22730 23000000 PRN DFND 0 23000000 0 0 CUMULUS MEDIA INC SHS 231082801 11798 636006 SH DFND 0 636006 0 0 DIAMONDBACK ENERGY INC SHS 25278X109 500 4590 SH DFND 0 4590 0 0 DIEBOLD INC COM SHS 253651103 92 10060 SH DFND 1 10044 0 16 DOCUSIGN INC COM SHS 256163106 242 4867 SH DFND 1 4859 0 8 DTE ENERGY CO SHS 233331107 670 5243 SH DFND 0 5243 0 0 EATON VANCE FLOATING-RATE INCOME TRUST ETF 278279104 4767 353668 SH DFND 0 353668 0 0 EATON VANCE SENIOR INCOME TRUST ETF 27826S103 6034 968586 SH DFND 0 968586 0 0 ELECTRONIC ARTS INC SHS 285512109 640 6318 SH DFND 0 6318 0 0 ENSTAR GROUP LIMITED SHS SHS G3075P101 212 1215 SH DFND 1 1213 0 2 EQUINIX INC SHS 29444U700 1022 2027 SH DFND 0 2027 0 0 EQUITY LIFESTYLE PROPERTIES INC SHS 29472R108 893 7358 SH DFND 0 7358 0 0 ESSENT GROUP LTD COM SHS G3198U102 964 20511 SH DFND 1 20503 0 8 EURONET WORLDWIDE INC COM SHS 298736109 206 1228 SH DFND 1 1226 0 2 EVERSPIN TECHNOLOGIES INC SHS 30041T104 202 31019 SH DFND 0 31019 0 0 EVERTEC INC COM SHS 30040P103 302 9214 SH DFND 1 9200 0 14 EVO PMTS INC CL A COM SHS 26927E104 771 24463 SH DFND 1 24444 0 19 FIREEYE INC BOND 31816QAF8 9797 10000000 PRN DFND 0 10000000 0 0 FIREEYE INC BOND 31816QAD3 2835 3000000 PRN DFND 0 3000000 0 0 FIVE BELOW INC SHS 33829M101 460 3832 SH DFND 0 3832 0 0 FLUIDIGM CORP BOND 34385PAA6 7360 7605000 PRN DFND 0 7605000 0 0 FOUR CORNERS PPTY TR INC COM SHS 35086T109 1076 39384 SH DFND 1 39368 0 16 GENESEE & WYO INC CL A SHS 371559105 346 3461 SH DFND 1 3456 0 5 GLOBAL X MLP ETF ETF 37950E473 1248 141489 SH DFND 0 141489 0 0 GUIDEWIRE SOFTWARE INC COM SHS 40171V100 215 2124 SH DFND 1 2121 0 3 HAWAIIAN ELEC. SHS 419870100 226 5175 SH DFND 1 5167 0 8 HCP INC SHS 40414L109 639 19973 SH DFND 0 19973 0 0 HEXCEL CORP NEW COM SHS 428291108 361 4463 SH DFND 1 4456 0 7 HILTON GRAND VACATIONS INC COM SHS 43283X105 212 6644 SH DFND 1 6634 0 10 HONEYWELL INTERNATIONAL INC SHS 438516106 891 5102 SH DFND 0 5102 0 0 HORIZON PHARMA INVESTMENT LTD BOND 44052TAB7 17780 16000000 PRN DFND 0 16000000 0 0 IAA INC SHS 449253103 512 13201 SH DFND 0 13201 0 0 ILLUMINA INC SHS 452327109 1817 4935 SH DFND 0 4935 0 0 INGEVITY CORP COM SHS 45688C107 326 3102 SH DFND 1 3097 0 5 INPHI CORP BOND 45772FAB3 11799 8770000 PRN DFND 0 8770000 0 0 INTUIT INC SHS 461202103 1162 4445 SH DFND 0 4445 0 0 INVESCO SENIOR LOAN ETF ETF 46138G508 3247 143313 SH DFND 0 143313 0 0 IONIS PHARMACEUTICALS INC BOND 464337AJ3 5925 5000000 PRN DFND 0 5000000 0 0 ITT INC COM SHS 45073V108 255 3900 SH DFND 1 3894 0 6 KENNAMETAL INC SHS 489170100 214 5768 SH DFND 1 5759 0 9 KIRKLAND'S INC SHS 497498105 36 15755 SH DFND 0 15755 0 0 KRONOS WORLDWIDE INC SHS 50105F105 284 18538 SH DFND 0 18538 0 0 LIBERTY LATIN AMERICA LTD SHS G9001E128 784 45600 SH DFND 0 45600 0 0 LIBERTY PPTY TR SH BEN INT SHS 531172104 244 4889 SH DFND 1 4882 0 7 LIONS GATE ENTMNT CORP CL B NO SHS 535919500 515 44322 SH DFND 1 44306 0 16 MAGELLAN HEALTH SVCS INC COM N SHS 559079207 461 6205 SH DFND 1 6200 0 5 MARVELL TECHNOLOGY GROUP LTD SHS G5876H105 519 21757 SH DFND 0 21757 0 0 MASTERCARD INC SHS 57636Q104 1017 3844 SH DFND 0 3844 0 0 MEDPACE HLDGS INC COM SHS 58506Q109 897 13711 SH DFND 1 13707 0 4 MEDTRONIC INC SHS G5960L103 1046 10739 SH DFND 0 10739 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 1644 14858 SH DFND 0 14858 0 0 METROPOLITAN BK HLDG CORP COM SHS 591774104 247 5617 SH DFND 1 5612 0 5 MICROSOFT CORP SHS 594918104 2649 19771 SH DFND 0 19771 0 0 MOLINA HEALTHCARE INC COM SHS 60855R100 246 1724 SH DFND 1 1721 0 3 MOODY'S CORP SHS 615369105 670 3433 SH DFND 0 3433 0 0 MORNINGSTAR INC COM SHS 617700109 247 1704 SH DFND 1 1701 0 3 NABORS INDUSTRIES INC BOND 62957HAB1 3592 5000000 PRN DFND 0 5000000 0 0 NATIONAL INSTRUMENTS CORP SHS 636518102 369 8778 SH DFND 0 8778 0 0 NAVIGANT CONSULTING INC COM SHS 63935N107 202 8701 SH DFND 1 8687 0 14 NEWMARK GROUP INC CL A SHS 65158N102 165 18404 SH DFND 1 18375 0 29 NEXSTAR BROADCASTING GROUP ICL SHS 65336K103 210 2076 SH DFND 1 2073 0 3 NEXTERA ENERGY INC SHS 65339F101 730 3565 SH DFND 0 3565 0 0 NOKIA OYJ ADR 654902204 763 152216 SH DFND 0 152216 0 0 NORFOLK SOUTHERN CORP SHS 655844108 908 4557 SH DFND 0 4557 0 0 NORTHWEST NAT HLDG CO COM SHS 66765N105 306 4404 SH DFND 1 4397 0 7 OFG BANCORP SHS 67103X102 856 35985 SH DFND 1 35966 0 19 OGE ENERGY CORP SHS 670837103 597 14039 SH DFND 0 14039 0 0 ON SEMICONDUCTOR CORP BOND 682189AK1 12310 10000000 PRN DFND 0 10000000 0 0 ONEMAIN HLDGS INC COM SHS 68268W103 885 26175 SH DFND 1 26166 0 9 ONEOK INC SHS 682680103 904 13137 SH DFND 0 13137 0 0 O'REILLY AUTOMOTIVE INC SHS 67103H107 565 1530 SH DFND 0 1530 0 0 PALO ALTO NETWORKS INC SHS 697435105 1244 6104 SH DFND 0 6104 0 0 PERFORMANCE FOOD GROUP CO COM SHS 71377A103 213 5324 SH DFND 1 5316 0 8 PERSPECTA INC SHS 715347100 342 14599 SH DFND 1 14576 0 23 POPULAR INC COM SHS 733174700 946 17442 SH DFND 1 17434 0 8 PRIMERICA INC COM SHS 74164M108 311 2599 SH DFND 1 2595 0 4 PROGRESSIVE CORP/THE SHS 743315103 955 11950 SH DFND 0 11950 0 0 PTC INC COM SHS 69370C100 1240 13815 SH DFND 1 13812 0 3 PURE STORAGE INC BOND 74624MAB8 6224 6467000 PRN DFND 0 6467000 0 0 Q2 HLDGS INC COM SHS 74736L109 2132 27920 SH DFND 1 27916 0 4 RADIAN GROUP INC COM SHS 750236101 372 16284 SH DFND 1 16259 0 25 REDFIN CORP BOND 75737FAA6 12553 13500000 PRN DFND 0 13500000 0 0 REINSURANCE GROUP OF AMERICA INC SHS 759351604 889 5698 SH DFND 0 5698 0 0 REPLIGEN CORP COM SHS 759916109 257 2981 SH DFND 1 2976 0 5 RH SHS 74967X103 1168 10100 SH DFND 0 10100 0 0 RINGCENTRAL INC BOND 76680RAD9 30230 20100000 PRN DFND 0 20100000 0 0 ROGERS COMMUNICATIONS INC SHS 775109200 1087 20303 SH DFND 0 20303 0 0 ROVI CORP BOND 779376AD4 13197 13500000 PRN DFND 0 13500000 0 0 S&P GLOBAL INC SHS 78409V104 606 2662 SH DFND 0 2662 0 0 SALESFORCE.COM INC SHS 79466L302 990 6522 SH DFND 0 6522 0 0 SANTANDER CONSUMER USA HDG ICO SHS 80283M101 281 11705 SH DFND 1 11687 0 18 SAREPTA THERAPEUTICS INC BOND 803607AB6 6128 2750000 PRN DFND 0 2750000 0 0 SIGNATURE BANK/NEW YORK NY SHS 82669G104 954 7894 SH DFND 0 7894 0 0 SOTHEBY'S SHS 835898107 470 8081 SH DFND 0 8081 0 0 SPDR S&P OIL & GAS EXPLORATION & PRODUCTION ETF ETF 78464A730 372 13662 SH DFND 0 13662 0 0 SPIRE INC COM SHS 84857L101 292 3481 SH DFND 1 3476 0 5 SPX CORP COM SHS 784635104 241 7289 SH DFND 1 7278 0 11 SPX FLOW INC COM SHS 78469X107 205 4899 SH DFND 1 4891 0 8 STAG INDL INC COM SHS 85254J102 341 11287 SH DFND 1 11269 0 18 SUN COMMUNITIES INC SHS 866674104 827 6449 SH DFND 0 6449 0 0 SYNEOS HEALTH INC CL A SHS 87166B102 221 4332 SH DFND 1 4325 0 7 SYNOPSYS INC SHS 871607107 824 6401 SH DFND 0 6401 0 0 TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD ADR 874039100 696 17768 SH DFND 0 17768 0 0 TAKE-TWO INTERACTIVE SOFTWARCO SHS 874054109 308 2709 SH DFND 1 2705 0 4 TELADOC HEALTH INC BOND 87918AAB1 23987 14108000 PRN DFND 0 14108000 0 0 TELIGENT INC/NJ BOND 87960WAA2 3258 6088000 PRN DFND 0 6088000 0 0 THERMO FISHER SCIENTIFIC INC SHS 883556102 1043 3550 SH DFND 0 3550 0 0 TORCHMARK CORP SHS 891027104 941 10515 SH DFND 0 10515 0 0 TOTAL SYSTEM SERVICES INC SHS 891906109 908 7077 SH DFND 0 7077 0 0 TRANSOCEAN LTD SHS H8817H100 2849 444434 SH DFND 0 444434 0 0 TWITTER INC BOND 90184LAF9 19562 20000000 PRN DFND 0 20000000 0 0 UNIFIRST CORP COM SHS 904708104 311 1649 SH DFND 1 1646 0 3 UNION PACIFIC CORP SHS 907818108 822 4862 SH DFND 0 4862 0 0 UNITEDHEALTH GROUP INC SHS 91324P102 695 2849 SH DFND 0 2849 0 0 UNITIL CORP COM SHS 913259107 313 5213 SH DFND 1 5205 0 8 VALERO ENERGY CORP SHS 91913Y100 512 5978 SH DFND 0 5978 0 0 VERIZON COMMUNICATIONS INC SHS 92343V104 981 17180 SH DFND 0 17180 0 0 VIRTU FINL INC CL A SHS 928254101 1161 53325 SH DFND 1 53304 0 21 VISA INC SHS 92826C839 1720 9910 SH DFND 0 9910 0 0 VMWARE INC SHS 928563402 1144 6839 SH DFND 0 6839 0 0 VONAGE HOLDINGS CORP SHS 92886T201 1002 88400 SH DFND 0 88400 0 0 VULCAN MATERIALS CO SHS 929160109 283 2064 SH DFND 0 2064 0 0 WASTE MANAGEMENT INC SHS 94106L109 481 4167 SH DFND 0 4167 0 0 WEST PHARMACEUTICAL SVCS INCCO SHS 955306105 222 1778 SH DFND 1 1775 0 3 WEYERHAEUSER CO SHS 962166104 934 35441 SH DFND 0 35441 0 0 WHITING PETROLEUM CORP BOND 966387AL6 3507 3615000 PRN DFND 0 3615000 0 0 WILLSCOT CORP SHS 971375126 217 14417 SH DFND 0 14417 0 0 WINTRUST FINL CORP COM SHS 97650W108 206 2814 SH DFND 1 2810 0 4 XILINX INC SHS 983919101 634 5377 SH DFND 0 5377 0 0 ZAYO GROUP HOLDINGS INC SHS 98919V105 1354 41130 SH DFND 0 41130 0 0 ZENDESK INC BOND 98936JAB7 9557 6225000 PRN DFND 0 6225000 0 0 ZIMMER BIOMET HOLDINGS INC SHS 98956P102 1032 8766 SH DFND 0 8766 0 0 ZYNGA INC SHS 98986T108 1829 298350 SH DFND 0 298350 0 0