Sr. Compliance Manager/Legal Counsel

0000909012-15-000268.txt : 20150812 0000909012-15-000268.hdr.sgml : 20150812 20150812131950 ACCESSION NUMBER: 0000909012-15-000268 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150812 DATE AS OF CHANGE: 20150812 EFFECTIVENESS DATE: 20150812 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: 151046327 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 06-30-2015 06-30-2015 SYMPHONY ASSET MANAGEMENT LLC

555 CALIFORNIA STREET SUITE 3100 SAN FRANCISCO CA 94104

13F HOLDINGS REPORT 028-05958 N Amy Chen Sr. Compliance Manager/Legal Counsel 415 676 4187 /s/ AMY CHEN San Francisco CA 08-12-2015 1 412 801562 false 1 028-11405 Nuveen Investments Inc. 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742962103 1493 37481 SH DFND 1 37404 0 77 PROGENICS PHARMACEUTICALS COM 743187106 260 34833 SH DFND 1 34739 0 94 PROGRESSIVE WASTE SOLUTIONS COM 74339G101 439 16339 SH DFND 1 16339 0 0 PROLOGIS INC COM 74340W103 291 7857 SH DFND 1 7857 0 0 PROOFPOINT INC 1.250% 12/15/18 CVT BND 743424AB9 16906 10000000 PRN DFND 1 10000000 0 0 PTC INC COM 69370C100 4415 107644 SH DFND 1 107602 0 42 PUBLIC STORAGE COM 74460D109 1138 6170 SH DFND 1 6170 0 0 QIHOO 360 TECHNOLOGY CO-ADR ADR 74734M109 470 6942 SH DFND 1 6942 0 0 QUALCOMM INC COM 747525103 1068 17057 SH DFND 1 17057 0 0 QUANTA SERVICES INC COM 74762E102 1253 43478 SH DFND 1 43478 0 0 RADIAN GROUP INC 3.000% 11/15/17 CVT BND 750236AK7 166 100000 PRN DFND 1 100000 0 0 RADWARE LTD COM M81873107 230 10365 SH DFND 1 10288 0 77 RAMBUS INC 1.125% 08/15/18 CVT BND 750917AE6 12871 9700000 PRN DFND 1 9700000 0 0 RANGE RESOURCES CORP COM 75281A109 410 8292 SH DFND 1 8292 0 0 RED HAT INC COM 756577102 2172 28600 SH DFND 1 28600 0 0 REGENERON PHARMACEUTICALS COM 75886F107 766 1501 SH DFND 1 1501 0 0 RELIANCE STEEL & ALUMINUM COM 759509102 1016 16803 SH DFND 1 16803 0 0 RENAISSANCERE HOLDINGS LTD COM G7496G103 509 5022 SH DFND 1 5022 0 0 RITE AID CORP COM 767754104 704 84388 SH DFND 1 84144 0 244 ROSS STORES INC COM 778296103 3269 67252 SH DFND 1 67252 0 0 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 417 5303 SH DFND 1 5303 0 0 ROYAL DUTCH SHELL-SPON ADR-A ADR 780259206 931 16339 SH DFND 1 16339 0 0 ROYAL DUTCH SHELL-SPON ADR-B ADR 780259107 714 12446 SH DFND 1 12446 0 0 RPM INTERNATIONAL INC 2.250% 12/15/20 CVT BND 749685AT0 140 120000 PRN DFND 1 120000 0 0 RYANAIR HOLDINGS PLC-SP ADR ADR 783513104 663 9302 SH DFND 1 9302 0 0 RYLAND GROUP 0.250% 06/01/19 CVT BND 783764AS2 227 235000 PRN DFND 1 235000 0 0 SALESFORCE.COM INC COM 79466L302 1551 22276 SH DFND 1 22276 0 0 SANDISK CORP 1.500% 08/15/17 CVT BND 80004CAD3 17729 13710000 PRN DFND 1 13710000 0 0 SANOFI-ADR ADR 80105N105 954 19258 SH DFND 1 19258 0 0 SCHLUMBERGER LTD COM 806857108 1757 20392 SH DFND 1 20392 0 0 SCHWAB (CHARLES) CORP COM 808513105 1239 37938 SH DFND 1 37938 0 0 SEI INVESTMENTS COMPANY COM 784117103 3931 80164 SH DFND 1 80164 0 0 SEMGROUP CORP-CLASS A COM 81663A105 642 8082 SH DFND 1 8057 0 25 SEMPRA ENERGY COM 816851109 690 6979 SH DFND 1 6979 0 0 SERVICENOW INC 0.000% 11/01/18 CVT BND 81762PAB8 9998 8500000 PRN DFND 1 8500000 0 0 SERVICESOURCE INTL INC 1.500% 08/01/18 CVT BND 81763UAB6 1932 2268000 PRN DFND 1 2268000 0 0 SHIRE PLC-ADR ADR 82481R106 782 3238 SH DFND 1 3238 0 0 SIGNATURE BANK COM 82669G104 709 4844 SH DFND 1 4844 0 0 SIGNET JEWELERS LTD COM G81276100 694 5414 SH DFND 1 5414 0 0 SIMON PROPERTY GROUP INC COM 828806109 2045 11820 SH DFND 1 11820 0 0 SIRONA DENTAL SYSTEMS INC COM 82966C103 366 3645 SH DFND 1 3645 0 0 SONIC CORP COM 835451105 1075 37339 SH DFND 1 37272 0 67 SOUTHWEST AIRLINES CO COM 844741108 1348 40727 SH DFND 1 40727 0 0 SPECTRANETICS CORP 2.625% 06/01/34 CVT BND 84760CAA5 10300 10000000 PRN DFND 1 10000000 0 0 STANDARD PACIFIC CORP 1.250% 08/01/32 CVT BND 85375CBC4 13987 11500000 PRN DFND 1 11500000 0 0 STANLEY BLACK & DECKER INC COM 854502101 474 4506 SH DFND 1 4506 0 0 STARBUCKS CORP COM 855244109 1674 31225 SH DFND 1 31225 0 0 STARWOOD HOTELS & RESORTS COM 85590A401 1683 20757 SH DFND 1 20757 0 0 STARWOOD PROPERTY TRUST 3.750% 10/15/17 CVT BND 85571BAC9 269 267000 PRN DFND 1 267000 0 0 STARZ - A COM 85571Q102 313 6994 SH DFND 1 6942 0 52 STATOIL ASA-SPON ADR ADR 85771P102 510 28528 SH DFND 1 28528 0 0 SUMITOMO MITSUI-SPONS ADR ADR 86562M209 783 88130 SH DFND 1 88130 0 0 SUN COMMUNITIES INC COM 866674104 2193 35477 SH DFND 1 35446 0 31 SUN LIFE FINANCIAL INC COM 866796105 529 15836 SH DFND 1 15836 0 0 SUNCOR ENERGY INC COM 867224107 604 21934 SH DFND 1 21934 0 0 SUPERVALU INC COM 868536103 2109 260671 SH DFND 1 260482 0 189 SVB FINANCIAL GROUP COM 78486Q101 1959 13606 SH DFND 1 13606 0 0 SYNGENTA AG-ADR ADR 87160A100 426 5223 SH DFND 1 5223 0 0 SYNNEX CORP COM 87162W100 232 3171 SH DFND 1 3148 0 23 TAKE-TWO INTERACTIVE SOF 1.000% 07/01/18 CVT BND 874054AD1 13158 9500000 PRN DFND 1 9500000 0 0 TALLGRASS ENERGY PARTNERS LP COM 874697105 706 14674 SH DFND 1 14674 0 0 TANDEM DIABETES CARE INC COM 875372104 215 19788 SH DFND 1 19788 0 0 TATA MOTORS LTD-SPON ADR ADR 876568502 451 13099 SH DFND 1 13099 0 0 TEAM HEALTH HOLDINGS INC COM 87817A107 323 4948 SH DFND 1 4912 0 36 TELEFLEX INC COM 879369106 3166 23379 SH DFND 1 23361 0 18 TELEKOMUNIK INDONESIA-SP ADR ADR 715684106 511 11783 SH DFND 1 11783 0 0 TESLA MOTORS INC 1.250% 03/01/21 CVT BND 88160RAC5 245 250000 PRN DFND 1 250000 0 0 TESLA MOTORS INC 1.500% 06/01/18 CVT BND 88160RAA9 109 50000 PRN DFND 1 50000 0 0 TEVA PHARMACEUTICAL-SP ADR ADR 881624209 774 13096 SH DFND 1 13096 0 0 TITAN MACHINERY INC 3.750% 05/01/19 CVT BND 88830RAB7 7796 9500000 PRN DFND 1 9500000 0 0 TJX COMPANIES INC COM 872540109 2618 39563 SH DFND 1 39563 0 0 TOLL BROS FINANCE CORP 0.500% 09/15/32 CVT BND 88947EAM2 83 80000 PRN DFND 1 80000 0 0 TOTAL SYSTEM SERVICES INC COM 891906109 1827 43739 SH DFND 1 43739 0 0 TOYOTA MOTOR CORP -SPON ADR ADR 892331307 1185 8864 SH DFND 1 8864 0 0 TRANSDIGM GROUP INC COM 893641100 2646 11774 SH DFND 1 11774 0 0 Tribune Media Company COM 896082104 585 37653 SH DFND 1 37653 0 0 TWENTY-FIRST CENTURY FOX-A COM 90130A101 786 24170 SH DFND 1 24170 0 0 TYSON FOODS INC-CL A COM 902494103 435 10213 SH DFND 1 10213 0 0 UDR INC COM 902653104 400 12497 SH DFND 1 12497 0 0 UNILEVER N V -NY SHARES COM 904784709 500 11943 SH DFND 1 11943 0 0 UNILEVER PLC-SPONSORED ADR ADR 904767704 684 15932 SH DFND 1 15932 0 0 UNION PACIFIC CORP COM 907818108 4354 45655 SH DFND 1 45655 0 0 UNITED CONTINENTAL HOLDINGS COM 910047109 1122 21172 SH DFND 1 21172 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 897 9254 SH DFND 1 9254 0 0 UNITED STATES OIL FUND LP COM 91232N108 1200 60384 SH DFND 1 60384 0 0 UNITED TECHNOLOGIES CORP COM 913017109 819 7385 SH DFND 1 7385 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2253 18468 SH DFND 1 18468 0 0 UNITIL CORP COM 913259107 225 6832 SH DFND 1 6781 0 51 UNIVERSAL AMERICAN CORP COM 91338E101 198 19577 SH DFND 1 19430 0 147 VALEANT PHARMACEUTICALS INTE COM 91911K102 1917 8630 SH DFND 1 8630 0 0 VANTIV INC - CL A COM 92210H105 2026 53050 SH DFND 1 53050 0 0 VENTAS INC COM 92276F100 415 6684 SH DFND 1 6684 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 861 18475 SH DFND 1 18475 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1058 8574 SH DFND 1 8574 0 0 VIACOM INC-CLASS B COM 92553P201 840 12986 SH DFND 1 12986 0 0 VIPSHOP HOLDINGS LTD - ADS COM 92763W103 600 26975 SH DFND 1 26975 0 0 VISA INC-CLASS A SHARES COM 92826C839 3096 46115 SH DFND 1 46115 0 0 VOYA FINANCIAL INC COM 929089100 4388 94427 SH DFND 1 94427 0 0 WABCO HOLDINGS INC COM 92927K102 3719 30062 SH DFND 1 30062 0 0 WABTEC CORP COM 929740108 1813 19235 SH DFND 1 19235 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 4694 55584 SH DFND 1 55584 0 0 WALKER & DUNLOP INC COM 93148P102 436 16315 SH DFND 1 16194 0 121 WASTE MANAGEMENT INC COM 94106L109 691 14917 SH DFND 1 14917 0 0 WATSCO INC COM 942622200 423 3422 SH DFND 1 3397 0 25 WEC ENERGY GROUP INC COM 92939U106 483 10752 SH DFND 1 10752 0 0 WELLS FARGO & CO COM 949746101 3664 65144 SH DFND 1 65144 0 0 WELLS FARGO & COMPANY 7.500% PERP SR:L CVT BND 949746804 411 350 PRN DFND 1 350 0 0 WESCO INTERNATIONAL INC 6.000% 09/15/29 CVT BND 95082PAH8 109 45000 PRN DFND 1 45000 0 0 WESTERN DIGITAL CORP COM 958102105 289 3682 SH DFND 1 3682 0 0 WESTLAKE CHEMICAL CORP COM 960413102 349 5087 SH DFND 1 5087 0 0 WEYERHAEUSER CO COM 962166104 439 13941 SH DFND 1 13941 0 0 WHITEWAVE FOODS CO - CL A COM 966244105 364 7439 SH DFND 1 7439 0 0 WILLIAMS COS INC COM 969457100 775 13500 SH DFND 1 13500 0 0 WINTRUST FINANCIAL CORP COM 97650W108 351 6577 SH DFND 1 6528 0 49 WORKDAY INC 0.750% 07/15/18 CVT BND 98138HAC5 8452 7500000 PRN DFND 1 7500000 0 0 WPP PLC-SPONSORED ADR ADR 92937A102 647 5733 SH DFND 1 5733 0 0 WR BERKLEY CORP COM 084423102 435 8372 SH DFND 1 8372 0 0 WRIGHT MEDICAL GROUP INC 2.000% 08/15/17 CVT BND 98235TAC1 158 135000 PRN DFND 1 135000 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 3677 44880 SH DFND 1 44880 0 0 XCERRA CORP COM 98400J108 94 12351 SH DFND 1 12260 0 91 XILINX INC 2.625% 06/15/17 CVT BND 983919AF8 18646 12064000 PRN DFND 1 12064000 0 0 XL GROUP PLC COM G98290102 430 11579 SH DFND 1 11579 0 0 XPO LOGISTICS INC COM 983793100 1496 33122 SH DFND 1 33067 0 55 YAHOO INC 0.000% 12/01/18 CVT BND 984332AF3 144 140000 PRN DFND 1 140000 0 0 ZAYO GROUP HOLDINGS INC COM 98919V105 1529 59441 SH DFND 1 59441 0 0 ZEBRA TECHNOLOGIES CORP-CL A COM 989207105 267 2407 SH DFND 1 2389 0 18 ZIMMER BIOMET HOLDINGS INC COM 98956P102 373 3412 SH DFND 1 3412 0 0