0000950123-19-011225.txt : 20191114 0000950123-19-011225.hdr.sgml : 20191114 20191114124302 ACCESSION NUMBER: 0000950123-19-011225 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 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: 191218334 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 09-30-2019 09-30-2019 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 11-14-2019 1 173 463529 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 18748 23872000 PRN DFND 0 23872000 0 0 ALLSCRIPTS HEALTHCARE SOLUTN COM 01988P108 848 77240 SH DFND 1 77213 0 27 ALLSTATE CORP COM 020002101 595 5471 SH DFND 0 5471 0 0 ALPHABET INC CAP STK CL A 02079K305 1260 1032 SH DFND 0 1032 0 0 AMAZON COM INC COM 023135106 323 186 SH DFND 0 186 0 0 AMDOCS LTD SHS G02602103 1015 15348 SH DFND 0 15348 0 0 AMERICOLD RLTY TR COM 03064D108 1016 27413 SH DFND 1 27401 0 12 APELLIS PHARMACEUTICALS INC COM 03753U106 338 14038 SH DFND 14038 0 0 APTIV PLC SHS G6095L109 468 5350 SH DFND 0 5350 0 0 ARMSTRONG WORLD INDS INC NEW COM 04247X102 682 7056 SH DFND 0 7056 0 0 AUTOZONE INC COM 053332102 473 436 SH DFND 0 436 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 857 1000000 PRN DFND 0 1000000 0 0 AVAYA HLDGS CORP COM 05351X101 19895 1944777 SH DFND 0 1944777 0 0 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 251 3762 SH DFND 1 3756 0 6 BALCHEM CORP COM 057665200 640 6457 SH DFND 1 6453 0 4 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 8855 9000000 PRN DFND 0 9000000 0 0 BLACK KNIGHT INC COM 09215C105 222 3641 SH DFND 0 3641 0 0 BOEING CO COM 097023105 641 1685 SH DFND 0 1685 0 0 BOOKING HLDGS INC COM 09857L108 3415 1740 SH DFND 0 1740 0 0 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 967 13621 SH DFND 0 13621 0 0 BROADCOM INC COM 11135F101 942 3412 SH DFND 0 3412 0 0 BRUKER CORP COM 116794108 267 6071 SH DFND 1 6061 0 10 BWX TECHNOLOGIES INC COM 05605H100 255 4456 SH DFND 1 4449 0 7 CARETRUST REIT INC COM 14174T107 652 27736 SH DFND 1 27717 0 19 CASELLA WASTE SYS INC CL A 147448104 259 6024 SH DFND 1 6014 0 10 CECO ENVIRONMENTAL CORP COM COM 125141101 83 11915 SH DFND 1 11895 0 20 CHARLES RIV LABS INTL INC COM 159864107 201 1517 SH DFND 1 1515 0 2 CHENIERE ENERGY INC COM NEW 16411R208 895 14192 SH DFND 0 14192 0 0 CHURCHILL DOWNS INC COM 171484108 211 1711 SH DFND 1 1708 0 3 CIENA CORP COM NEW 171779309 760 19363 SH DFND 0 19363 0 0 CIGNA CORP NEW COM 125523100 889 5859 SH DFND 0 5859 0 0 CINTAS CORP COM 172908105 601 2243 SH DFND 0 2243 0 0 CIVEO CORP CDA COM COM 17878Y108 84 66247 SH DFND 1 66160 0 87 CLEAR CHANNEL OUTDOOR HLDGS COM 18453H106 20694 8211966 SH DFND 0 8211966 0 0 COCA COLA CO COM 191216100 472 8677 SH DFND 0 8677 0 0 COMCAST CORP NEW CL A 20030N101 732 16230 SH DFND 0 16230 0 0 CORELOGIC INC COM 21871D103 1075 23240 SH DFND 1 23231 0 9 CTRIP COM INTL LTD NOTE 1.000% 7/0 22943FAF7 22466 23000000 PRN DFND 0 23000000 0 0 CUMULUS MEDIA INC COM CLASS A 231082801 8910 612766 SH DFND 0 612766 0 0 DIAMONDBACK ENERGY INC COM 25278X109 586 6514 SH DFND 0 6514 0 0 DOCUSIGN INC COM 256163106 283 4570 SH DFND 1 4563 0 7 EATON VANCE FLTING RATE INC COM 278279104 4675 353668 SH DFND 0 353668 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 5928 968586 SH DFND 0 968586 0 0 ELECTRONIC ARTS INC COM 285512109 580 5927 SH DFND 0 5927 0 0 EMERSON ELEC CO COM 291011104 444 6643 SH DFND 0 6643 0 0 ENSTAR GROUP LIMITED SHS G3075P101 289 1524 SH DFND 1 1521 0 3 EQUITY LIFESTYLE PPTYS INC COM 29472R108 659 4931 SH DFND 0 4931 0 0 ESSENT GROUP LTD COM G3198U102 962 20183 SH DFND 1 20175 0 8 ETSY INC COM 29786A106 4181 74000 SH DFND 0 74000 0 0 EVERSPIN TECHNOLOGIES INC COM 30041T104 190 31019 SH DFND 0 31019 0 0 EVERTEC INC COM 30040P103 271 8693 SH DFND 1 8679 0 14 EVO PMTS INC CL A COM 26927E104 316 11252 SH DFND 1 11233 0 19 FABRINET SHS G3323L100 486 9297 SH DFND 0 9297 0 0 FIRSTSERVICE CORP NEW COM 33767E202 234 2282 SH DFND 1 2278 0 4 FOUR CORNERS PPTY TR INC COM 35086T109 883 31224 SH DFND 1 31208 0 16 FTI CONSULTING INC COM 302941109 277 2617 SH DFND 1 2613 0 4 GLOBAL X FDS GLBL X MLP ETF 37950E473 1021 121813 SH DFND 0 121813 0 0 GLOBE LIFE INC COM 37959E102 638 6659 SH DFND 0 6659 0 0 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 2736 2379000 PRN DFND 0 2379000 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 219 4797 SH DFND 1 4789 0 8 HEALTHCARE RLTY TR COM 421946104 204 6084 SH DFND 1 6074 0 10 HEXCEL CORP NEW COM 428291108 346 4207 SH DFND 1 4200 0 7 HILTON GRAND VACATIONS INC COM 43283X105 202 6305 SH DFND 1 6295 0 10 HONEYWELL INTL INC COM 438516106 957 5654 SH DFND 0 5654 0 0 HORIZON PHARMA INVT LTD NOTE 2.500% 3/1 44052TAB7 17515 15000000 PRN DFND 0 15000000 0 0 IAA INC COM 449253103 504 12081 SH DFND 0 12081 0 0 ICU MED INC COM 44930G107 301 1889 SH DFND 0 1889 0 0 IHEARTMEDIA INC COM CL A 45174J509 43911 2927380 SH DFND 0 2927380 0 0 INGERSOLL-RAND PLC SHS G47791101 550 4460 SH DFND 0 4460 0 0 INGEVITY CORP COM 45688C107 246 2894 SH DFND 1 2889 0 5 INPHI CORP NOTE 0.750% 9/0 45772FAC1 9948 8000000 PRN DFND 0 8000000 0 0 INSULET CORP COM 45784P101 4717 28600 SH DFND 0 28600 0 0 INTEGRA LIFESCIENCES HLDGS C COM NEW 457985208 923 15365 SH DFND 1 15361 0 4 INTERNATIONAL BUSINESS MACHS COM 459200101 1244 8553 SH DFND 0 8553 0 0 INTUIT COM 461202103 1115 4193 SH DFND 0 4193 0 0 ITT INC COM 45073V108 230 3760 SH DFND 1 3754 0 6 JC PENNEY CO INC COM 708160106 70 78491 SH DFND 0 78491 0 0 KIMBERLY CLARK CORP COM 494368103 596 4196 SH DFND 0 4196 0 0 LANCASTER COLONY CORP COM 513847103 228 1644 SH DFND 1 1641 0 3 LEIDOS HLDGS INC COM 525327102 785 9140 SH DFND 0 9140 0 0 LIBERTY PPTY TR SH BEN INT 531172104 238 4640 SH DFND 1 4633 0 7 LIGAND PHARMACEUTICALS INC NOTE 0.750% 5/1 53220KAF5 5434 6500000 PRN DFND 0 6500000 0 0 LIONS GATE ENTMNT CORP CL B NO COM 535919500 87 10015 SH DFND 1 10000 0 15 LUMENTUM HLDGS INC COM 55024U109 564 10533 SH DFND 0 10533 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 836 33498 SH DFND 0 33498 0 0 MASCO CORP COM 574599106 475 11392 SH DFND 0 11392 0 0 MASTERCARD INC CL A 57636Q104 492 1811 SH DFND 0 1811 0 0 MEDPACE HLDGS INC COM 58506Q109 689 8204 SH DFND 1 8200 0 4 MEDTRONIC PLC SHS G5960L103 1166 10739 SH DFND 0 10739 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 1904 17375 SH DFND 0 17375 0 0 MESA LABS INC NOTE 1.375% 8/1 59064RAA7 1606 1500000 PRN DFND 0 1500000 0 0 META FINL GROUP INC COM 59100U108 751 23039 SH DFND 1 23030 0 9 METROPOLITAN BK HLDG CORP COM 591774104 214 5449 SH DFND 1 5444 0 5 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 15174 8000000 PRN DFND 0 8000000 0 0 MICROSOFT CORP COM 594918104 1216 8749 SH DFND 0 8749 0 0 MORGAN STANLEY COM NEW 617446448 448 10506 SH DFND 0 10506 0 0 MORNINGSTAR INC COM 617700109 232 1590 SH DFND 1 1587 0 3 NABORS INDS INC NEW NOTE 0.750% 1/1 62957HAB1 2568 4000000 PRN DFND 0 4000000 0 0 NEW RELIC INC COM 64829B100 221 3600 SH DFND 0 3600 0 0 NOKIA CORP SPONSORED ADR 654902204 686 135510 SH DFND 0 135510 0 0 NORFOLK SOUTHERN CORP COM 655844108 921 5126 SH DFND 0 5126 0 0 NORTHWEST NAT HLDG CO COM 66765N105 293 4112 SH DFND 1 4105 0 7 O REILLY AUTOMOTIVE INC NEW COM 67103H107 497 1247 SH DFND 0 1247 0 0 OFG BANCORP COM 67103X102 864 39445 SH DFND 1 39427 0 18 OKTA INC CL A 679295105 256 2600 SH DFND 0 2600 0 0 ON SEMICONDUCTOR CORP NOTE 1.000%12/0 682189AK1 11868 10146000 PRN DFND 0 10146000 0 0 ONEMAIN HLDGS INC COM 68268W103 755 20575 SH DFND 1 20566 0 9 ONEOK INC NEW COM 682680103 854 11594 SH DFND 0 11594 0 0 PALO ALTO NETWORKS INC COM 697435105 1058 5189 SH DFND 0 5189 0 0 PERFORMANCE FOOD GROUP CO COM 71377A103 233 5068 SH DFND 1 5060 0 8 PERSPECTA INC COM 715347100 229 8770 SH DFND 1 8756 0 14 POPULAR INC COM NEW 733174700 279 5155 SH DFND 1 5147 0 8 PRIMERICA INC COM 74164M108 311 2448 SH DFND 1 2444 0 4 PROCTER & GAMBLE CO COM 742718109 503 4041 SH DFND 0 4041 0 0 PROGRESSIVE CORP OHIO COM 743315103 467 6045 SH DFND 0 6045 0 0 PTC INC COM 69370C100 387 5681 SH DFND 0 5681 0 0 Q2 HLDGS INC COM 74736L109 741 9396 SH DFND 1 9391 0 5 RADIAN GROUP INC COM 750236101 352 15397 SH DFND 1 15372 0 25 RAPID7 INC NOTE 1.250% 8/0 753422AB0 25845 19865000 PRN DFND 0 19865000 0 0 REDFIN CORP NOTE 1.750% 7/1 75737FAA6 13337 14500000 PRN DFND 0 14500000 0 0 REINSURANCE GRP OF AMERICA I COM NEW 759351604 573 3586 SH DFND 0 3586 0 0 REPLIGEN CORP NOTE 0.375% 7/1 759916AB5 1988 2000000 PRN DFND 0 2000000 0 0 REPLIGEN CORP COM COM 759916109 229 2995 SH DFND 1 2990 0 5 RESTAURANT BRANDS INTL INC COM 76131D103 681 9567 SH DFND 0 9567 0 0 RINGCENTRAL INC NOTE 3/1 76680RAD9 16982 10500000 PRN DFND 0 10500000 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 906 18597 SH DFND 0 18597 0 0 ROVI CORP NOTE 0.500% 3/0 779376AD4 10349 10500000 PRN DFND 0 10500000 0 0 SALESFORCE COM INC COM 79466L302 1148 7734 SH DFND 0 7734 0 0 SANTANDER CONSUMER USA HDG I COM 80283M101 765 29985 SH DFND 1 29967 0 18 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1181 19221 SH DFND 0 19221 0 0 SIGNATURE BK NEW YORK N Y COM 82669G104 883 7406 SH DFND 0 7406 0 0 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 3628 4000000 PRN DFND 0 4000000 0 0 SPIRE INC COM 84857L101 248 2837 SH DFND 1 2832 0 5 SPX CORP COM 784635104 319 7968 SH DFND 1 7955 0 13 STAG INDL INC COM 85254J102 315 10695 SH DFND 1 10677 0 18 SUN CMNTYS INC COM 866674104 954 6429 SH DFND 0 6429 0 0 SYNEOS HEALTH INC CL A 87166B102 211 3969 SH DFND 1 3963 0 6 SYNOPSYS INC COM 871607107 1128 8217 SH DFND 0 8217 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 826 17768 SH DFND 0 17768 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 320 2557 SH DFND 1 2553 0 4 TAYLOR MORRISON HOME CORP COM 87724P106 228 8778 SH DFND 1 8764 0 14 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 19683 11500000 PRN DFND 0 11500000 0 0 TELADOC HEALTH INC COM 87918A105 1476 21800 SH DFND 0 21800 0 0 TELIGENT INC NEW NOTE 4.750% 5/0 87960WAA2 3035 6088000 PRN DFND 0 6088000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1033 3546 SH DFND 0 3546 0 0 TRANSOCEAN LTD REG SHS H8817H100 1987 444434 SH DFND 0 444434 0 0 TRIMBLE INC COM 896239100 464 11959 SH DFND 0 11959 0 0 TTM TECHNOLOGIES INC NOTE 1.750%12/1 87305RAD1 13625 10200000 PRN DFND 0 10200000 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 29740 30136000 PRN DFND 0 30136000 0 0 UNIFIRST CORP MASS COM 904708104 301 1541 SH DFND 1 1538 0 3 UNION PACIFIC CORP COM 907818108 972 6003 SH DFND 0 6003 0 0 UNITEDHEALTH GROUP INC COM 91324P102 629 2896 SH DFND 0 2896 0 0 UNITIL CORP COM 913259107 313 4938 SH DFND 1 4930 0 8 URBAN OUTFITTERS INC COM 917047102 406 14452 SH DFND 0 14452 0 0 VALERO ENERGY CORP NEW COM 91913Y100 392 4596 SH DFND 0 4596 0 0 VERISK ANALYTICS INC COM 92345Y106 751 4746 SH DFND 0 4746 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 810 13413 SH DFND 0 13413 0 0 VIRTU FINL INC CL A 928254101 859 52505 SH DFND 1 52485 0 20 VISA INC COM CL A 92826C839 980 5697 SH DFND 0 5697 0 0 VULCAN MATLS CO COM 929160109 625 4135 SH DFND 0 4135 0 0 WALKER & DUNLOP INC COM 93148P102 472 8441 SH DFND 1 8437 0 4 WASTE MGMT INC DEL COM 94106L109 477 4151 SH DFND 0 4151 0 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 236 1661 SH DFND 1 1658 0 3 WEYERHAEUSER CO COM 962166104 279 10062 SH DFND 0 10062 0 0 WINGSTOP INC COM 974155103 277 3171 SH DFND 0 3171 0 0 WIX COM LTD SHS M98068105 619 5300 SH DFND 0 5300 0 0 WORKDAY INC CL A 98138H101 3943 23200 SH DFND 0 23200 0 0 WRIGHT MED GROUP N V ORD SHS N96617118 263 12772 SH DFND 0 12772 0 0 WW INTL INC COM 98262P101 593 15684 SH DFND 0 15684 0 0 ZENDESK INC COM 98936J101 1771 24300 SH DFND 0 24300 0 0 ZILLOW GROUP INC NOTE 1.500% 7/0 98954MAC5 2649 3000000 PRN DFND 0 3000000 0 0 ZILLOW GROUP INC COM 98954M200 1065 35700 SH DFND 0 35700 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 1483 10803 SH DFND 0 10803 0 0