0000909012-17-000115.txt : 20170623
0000909012-17-000115.hdr.sgml : 20170623
20170623115539
ACCESSION NUMBER: 0000909012-17-000115
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170623
DATE AS OF CHANGE: 20170623
EFFECTIVENESS DATE: 20170623
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05958
FILM NUMBER: 17926899
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/A
1
primary_doc.xml
13F-HR/A
LIVE
false
false
false
0001030815
XXXXXXXX
12-31-2016
12-31-2016
true
1
RESTATEMENT
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
06-20-2017
1
395
978977
false
1
028-11405
NUVEEN INVESTMENTS INC.
INFORMATION TABLE
2
aci_13f.xml
A T & T INC (NEW)
SHS
00206R102
1495
35151
SH
DFND
1
35068
0
83
AAON INC COM PAR $0.004
SHS
000360206
392
11876
SH
DFND
1
7421
0
4455
ABBOTT LABS
SHS
002824100
4094
106580
SH
DFND
1
106114
0
466
ABBVIE INC COM
SHS
00287Y109
1240
19804
SH
DFND
1
19514
0
290
ACACIA COMMUNICATIONS INC
SHS
00401C108
490
7938
SH
DFND
1
7938
0
0
ACORDA THERAPEUTICS INC
BOND
00484MAA4
1913
2500000
PRN
DFND
1
2500000
0
0
ADOBE SYS INC COM
SHS
00724F101
1355
13162
SH
DFND
1
12980
0
182
ADVANSIX INC COM
SHS
00773T101
432
19544
SH
DFND
1
12299
0
7245
AEROJET ROCKETDYNE HLDGS INC C
SHS
007800105
450
25091
SH
DFND
1
15665
0
9426
AGILENT TECHNOLOGIES INC COM
SHS
00846U101
255
5594
SH
DFND
1
5537
0
57
AGNC INVT CORP COM
SHS
00123Q104
754
41579
SH
DFND
1
41481
0
98
AIR PRODS & CHEMS INC COM
SHS
009158106
1914
13307
SH
DFND
1
13280
0
27
AKAMAI TECHNOLOGIES INC COM
SHS
00971T101
1718
25769
SH
DFND
1
25554
0
215
ALBEMARLE CORP COM
SHS
012653101
219
2545
SH
DFND
1
2519
0
26
ALLSCRIPTS HEALTHCARE SOLUTIONS INC
BOND
01988PAD0
12690
13500000
PRN
DFND
1
13500000
0
0
ALPHABET CLASS A
SHS
02079K305
16333
20610
SH
DFND
1
20439
0
171
AMAZON COM INC COM
SHS
023135106
5481
7309
SH
DFND
1
7204
0
105
AMDOCS LTD ORD
SHS
G02602103
2132
36603
SH
DFND
1
36365
0
238
AMEREN CORP COM
SHS
023608102
366
6979
SH
DFND
1
6907
0
72
AMERICAN TOWER REIT COM
SHS
03027X100
1378
13032
SH
DFND
1
13008
0
24
AMGEN INC COM
SHS
031162100
3255
22257
SH
DFND
1
22027
0
230
ANTHEM INC COM
SHS
036752103
1182
8217
SH
DFND
1
8100
0
117
AON PLC SHS CL A
SHS
G0408V102
362
3242
SH
DFND
1
3209
0
33
APPLE COMPUTER INC
SHS
037833100
7254
62626
SH
DFND
1
61706
0
920
ARGO GROUP INTL HLDGS LTD COM
SHS
G0464B107
700
10632
SH
DFND
1
6635
0
3997
ARMSTRONG FLOORING INC COM
SHS
04238R106
411
20603
SH
DFND
1
12934
0
7669
ASSURED GUARANTY LTD COM
SHS
G0585R106
964
25536
SH
DFND
1
19865
0
5671
AUTONATION INC DEL COM
SHS
05329W102
1250
25695
SH
DFND
1
25657
0
38
AUTOZONE INC COM
SHS
053332102
2594
3285
SH
DFND
1
3277
0
8
AXALTA COATING SYS LTD COM
SHS
G0750C108
218
8022
SH
DFND
1
7865
0
157
AXCELIS TECHNOLOGIES INC COM N
SHS
054540208
719
49393
SH
DFND
1
37299
0
12094
B & G FOODS INC NEW CL A
SHS
05508R106
1246
28431
SH
DFND
1
25611
0
2820
BABCOCK & WILCOX ENTERPRIS ICO
SHS
05614L100
811
48915
SH
DFND
1
38657
0
10258
BAKER HUGHES INC COM
SHS
057224107
938
14449
SH
DFND
1
14258
0
191
BANCO BRADESCO S A SPONSORED A
ADR
059460303
485
55659
SH
DFND
1
53920
0
1739
BANK OF AMERICA CORP
PFD CONV
060505682
323
280
SH
DFND
1
280
0
0
BANK OF THE OZARKS INC COM
SHS
063904106
539
10234
SH
DFND
1
6419
0
3815
BANNER CORP COM NEW
SHS
06652V208
575
10316
SH
DFND
1
6441
0
3875
BAXTER INTL INC COM
SHS
071813109
760
17139
SH
DFND
1
17100
0
39
BECTON DICKINSON & CO COM
SHS
075887109
1036
6260
SH
DFND
1
6169
0
91
BERKLEY W R CORP COM
SHS
084423102
555
8343
SH
DFND
1
8258
0
85
BERRY PLASTICS GROUP INC COM
SHS
08579W103
680
13962
SH
DFND
1
8719
0
5243
BIOGEN IDEC INC COM
SHS
09062X103
1578
5562
SH
DFND
1
5496
0
66
BIOMARIN PHARMACEUTICAL INC CO
SHS
09061G101
377
4543
SH
DFND
1
4486
0
57
BOEING CO COM
SHS
097023105
2178
13987
SH
DFND
1
13778
0
209
BOK FINL CORP COM NEW
SHS
05561Q201
946
11393
SH
DFND
1
11366
0
27
BOOZ ALLEN HAMILTON HLDG CORCL
SHS
099502106
705
19549
SH
DFND
1
19260
0
289
BOX INC
SHS
10316T104
182
13109
SH
DFND
1
13109
0
0
BRINKER INTERNATIONAL INC
SHS
109641100
350
7070
SH
DFND
1
7070
0
0
BRISTOL MYERS SQUIBB CO
SHS
110122108
1290
22076
SH
DFND
1
21773
0
303
BROADCOM LTD SHS
SHS
Y09827109
6881
38928
SH
DFND
1
38694
0
234
BROADSOFT INC COM
SHS
11133B409
1505
36487
SH
DFND
1
36106
0
381
BURLINGTON STORES INC COM
SHS
122017106
969
11438
SH
DFND
1
8840
0
2598
BWX TECHNOLOGIES INC COM
SHS
05605H100
489
12330
SH
DFND
1
9475
0
2855
CABOT CORP
SHS
127055101
1088
21536
SH
DFND
1
21350
0
186
CALATLANTIC GROUP INC
BOND
783764AQ6
27629
23000000
PRN
DFND
1
23000000
0
0
CAMPBELL SOUP CO
SHS
134429109
1229
20314
SH
DFND
1
20023
0
291
CARETRUST REIT INC COM
SHS
14174T107
997
65020
SH
DFND
1
55712
0
9308
CARRIZO OIL & CO INC COM
SHS
144577103
424
11359
SH
DFND
1
7178
0
4181
CARTER HLDGS INC COM
SHS
146229109
1500
17363
SH
DFND
1
16096
0
1267
CASELLA WASTE SYS INC CL A
SHS
147448104
258
20752
SH
DFND
1
12975
0
7777
CATALENT INC COM
SHS
148806102
1084
40193
SH
DFND
1
33887
0
6306
CBOE HLDGS INC COM
SHS
12503M108
216
2931
SH
DFND
1
2900
0
31
CELGENE CORP COM
SHS
151020104
1160
10021
SH
DFND
1
9884
0
137
CENTERPOINT ENERGY INC COM
SHS
15189T107
647
26275
SH
DFND
1
26182
0
93
CHART INDS INC COM PAR $0.01
SHS
16115Q308
888
24658
SH
DFND
1
18265
0
6393
CHEMOURS CO COM
SHS
163851108
309
14011
SH
DFND
1
8795
0
5216
CHUBB LIMITED COM
SHS
H1467J104
3419
25880
SH
DFND
1
25836
0
44
CHURCH & DWIGHT INC COM
SHS
171340102
1999
45227
SH
DFND
1
45097
0
130
CIGNA CORP
SHS
125509109
3619
27136
SH
DFND
1
26976
0
160
CINTAS CORP
SHS
172908105
1502
13001
SH
DFND
1
12971
0
30
CITIZENS FINANCIAL GROUP INC.
SHS
174610105
3189
89497
SH
DFND
1
88974
0
523
CITIZENS INC/TX
SHS
174740100
159
16186
SH
DFND
1
16186
0
0
CLOROX CO COM
SHS
189054109
1698
14144
SH
DFND
1
14111
0
33
CMS ENERGY CORP
SHS
125896100
2594
62327
SH
DFND
1
62126
0
201
COBALT INTERNATIONAL ENERGY INC
SHS
19075F106
1211
992813
SH
DFND
1
992813
0
0
COCA COLA BOTTLING CO CONS COM
SHS
191098102
472
2638
SH
DFND
1
1638
0
1000
COMCAST CORP NEW CL A
SHS
20030N101
4151
60118
SH
DFND
1
59345
0
773
COMERICA INC COM
SHS
200340107
4121
60500
SH
DFND
1
60399
0
101
COMSTOCK RESOURCES INC
SHS
205768302
352
35750
SH
DFND
1
35750
0
0
COMSTOCK RESOURCES INC
BOND
205768AM6
8690
9875000
PRN
DFND
1
9875000
0
0
CONCHO RES INC COM
SHS
20605P101
366
2756
SH
DFND
1
2728
0
28
CONSTELLATION BRANDS INC CL A
SHS
21036P108
2396
15627
SH
DFND
1
15498
0
129
CORNERSTONE ONDEMAND INC
SHS
21925Y103
626
14800
SH
DFND
1
14800
0
0
COSTCO WHOLESALE CORP COM
SHS
22160K105
301
1880
SH
DFND
1
1852
0
28
CROWN CASTLE INTL CORP NEW COM
SHS
22822V101
470
5414
SH
DFND
1
5358
0
56
CSG SYS INTL INC COM
SHS
126349109
454
9371
SH
DFND
1
5822
0
3549
CTRIP.COM INTERNATIONAL LTD
BOND
22943FAF7
25781
25000000
PRN
DFND
1
25000000
0
0
CULLEN/FROST BANKERS INC
SHS
229899109
203
2306
SH
DFND
1
2306
0
0
CVR ENERGY INC COM
SHS
12662P108
460
18096
SH
DFND
1
14290
0
3806
CYPRESS SEMICONDUCTOR CORP
SHS
232806109
2525
220750
SH
DFND
1
220750
0
0
DANAHER CORP
SHS
235851102
3184
40893
SH
DFND
1
40552
0
341
DCT INDUSTRIAL TRUST INC
SHS
233153204
977
20404
SH
DFND
1
20404
0
0
DENTSPLY SIRONA INC COM
SHS
24906P109
3362
58248
SH
DFND
1
57985
0
263
DIGITAL RLTY TR INC COM
SHS
253868103
334
3391
SH
DFND
1
3355
0
36
DISNEY WALT CO COM DISNEY
SHS
254687106
2381
22840
SH
DFND
1
22507
0
333
DOMINO'S PIZZA INC
SHS
25754A201
379
2377
SH
DFND
1
2377
0
0
DOW CHEMICAL CORP
SHS
260543103
3021
52795
SH
DFND
1
52686
0
109
DR PEPPER SNAPPLE GROUP INC CO
SHS
26138E109
899
9911
SH
DFND
1
9888
0
23
DTE ENERGY CO COM
SHS
233331107
855
8684
SH
DFND
1
8633
0
51
DUKE REALTY CORP
SHS
264411505
417
15715
SH
DFND
1
15715
0
0
DUNKIN' BRANDS GROUP INC
SHS
265504100
474
9046
SH
DFND
1
9046
0
0
DYCOM INDUSTRIES INC
SHS
267475101
2489
31000
SH
DFND
1
31000
0
0
EAGLE MATLS INC COM
SHS
26969P108
1382
14017
SH
DFND
1
13890
0
127
EATON VANCE FLOATING-RATE INCOME TRUST
ETF
278279104
5270
353668
SH
DFND
1
353668
0
0
EATON VANCE SENIOR INCOME TRUST
ETF
27826S103
6470
968586
SH
DFND
1
968586
0
0
EDWARDS LIFESCIENCES CORP COM
SHS
28176E108
698
7451
SH
DFND
1
7389
0
62
ELECTRONIC ARTS COM
SHS
285512109
4191
53208
SH
DFND
1
52857
0
351
ELI LILLY AND CO.
SHS
532457108
652
8864
SH
DFND
1
8732
0
132
ELLIS PERRY INTL INC COM
SHS
288853104
459
18447
SH
DFND
1
11491
0
6956
ENERNOC INC
SHS
292764107
242
40277
SH
DFND
1
40277
0
0
ENERNOC INC
BOND
292764AB3
7000
8750000
PRN
DFND
1
8750000
0
0
ENOVA INTL INC COM
SHS
29357K103
821
65414
SH
DFND
1
49503
0
15911
ENVISION HEALTHCARE CORP
SHS
29414D100
565
8927
SH
DFND
1
8884
0
43
EOG RES INC COM
SHS
26875P101
2283
22581
SH
DFND
1
22529
0
52
EQUINIX INC COM
SHS
29444U700
4147
11601
SH
DFND
1
11521
0
80
EQUITY LIFESTYLE PROPERTIES INC
SHS
29472R108
307
4253
SH
DFND
1
4253
0
0
ETRADE FINANCIAL CORP COM NEW
SHS
269246401
416
12013
SH
DFND
1
11888
0
125
EVERTEC INC COM
SHS
30040P103
365
20595
SH
DFND
1
12925
0
7670
EXPEDIA INC DEL COM NEW
SHS
30212P303
323
2858
SH
DFND
1
2829
0
29
EXTRA SPACE STORAGE INC COM
SHS
30225T102
276
3576
SH
DFND
1
3538
0
38
EXXON MOBIL CORP
SHS
30231G102
4290
47527
SH
DFND
1
47416
0
111
FACEBOOK INC CL A
SHS
30303M102
4349
37801
SH
DFND
1
37236
0
565
FCB FINL HLDGS INC CL A
SHS
30255G103
1207
25288
SH
DFND
1
18211
0
7077
FEDERAL RLTY INVT TR SBI NEW
SHS
313747206
1087
7646
SH
DFND
1
7549
0
97
FIAT CHRYSLER AUTOMOBILES NV
SHS
NL0010877
197
21565
SH
DFND
1
21565
0
0
FIDELITY NATIONAL INFORMATION
SHS
31620M106
5091
67304
SH
DFND
1
66918
0
386
FIFTH THIRD BANCORP COM
SHS
316773100
277
10264
SH
DFND
1
10156
0
108
FINANCIAL SELECT SECTOR SPDR FUND
ETF
81369Y605
1566
67371
SH
DFND
1
67371
0
0
FIREEYE INC
BOND
31816QAB7
1084
1167000
PRN
DFND
1
1167000
0
0
FIREEYE INC
BOND
31816QAD3
19893
22220000
PRN
DFND
1
22220000
0
0
FIRST DATA CORP
SHS
32008D106
1467
103379
SH
DFND
1
103038
0
341
FIRST DEFIANCE FINL CORP COM
SHS
32006W106
531
10462
SH
DFND
1
6595
0
3867
FLUIDIGM CORP
BOND
34385PAA6
869
1241000
PRN
DFND
1
1241000
0
0
FORTIVE CORP COM
SHS
34959J108
3564
66450
SH
DFND
1
66059
0
391
FOUR CORNERS PPTY TR INC COM
SHS
35086T109
737
35919
SH
DFND
1
26105
0
9814
FREEPORT MCMORAN COPPER&GOLDCL
SHS
35671D857
564
42763
SH
DFND
1
42643
0
120
GAMING AND LEISURE PROPERTIES INC
SHS
36467J108
265
8653
SH
DFND
1
8653
0
0
GCP APPLIED TECHNOLOGIES INCCO
SHS
36164Y101
503
18808
SH
DFND
1
14148
0
4660
GENERAL MILLS INC COM
SHS
370334104
1441
23334
SH
DFND
1
23280
0
54
GENESEE & WYO INC CL A
SHS
371559105
770
11091
SH
DFND
1
8393
0
2698
GIBRALTER INDUSTRIES INC
SHS
374689107
2516
60395
SH
DFND
1
53295
0
7100
GILEAD SCIENCES INC COM
SHS
375558103
4103
57299
SH
DFND
1
56825
0
474
GODADDY INC CL A
SHS
380237107
613
17532
SH
DFND
1
12748
0
4784
GREEN DOT CORP CL A
SHS
39304D102
1087
46164
SH
DFND
1
32709
0
13455
H & E EQUIPMENT SERVICES INCCO
SHS
404030108
965
41496
SH
DFND
1
37231
0
4265
HALCON RESOURCES CORP
SHS
40537Q118
50
21569
SH
DFND
1
21569
0
0
HALCON RESOURCES CORP
SHS
40537Q605
742
79401
SH
DFND
1
79401
0
0
HALLIBURTON CO COM
SHS
406216101
1139
21043
SH
DFND
1
20994
0
49
HANCOCK HLDG CO COM
SHS
410120109
1204
27939
SH
DFND
1
25760
0
2179
HARMONIC INC
BOND
413160AB8
6339
5650000
PRN
DFND
1
5650000
0
0
HARRIS CORP COM
SHS
413875105
472
4605
SH
DFND
1
4558
0
47
HARTFORD FINL SVCS GROUP INCCO
SHS
416515104
1715
35989
SH
DFND
1
35835
0
154
HD SUPPLY HLDGS INC COM
SHS
40416M105
1912
44986
SH
DFND
1
44372
0
614
HELMERICH & PAYNE INC
SHS
423452101
1797
23212
SH
DFND
1
23159
0
53
HOLOGIC INC
BOND
436440AC5
231
170000
PRN
DFND
1
170000
0
0
HOLOGIC INC COM
SHS
436440101
1539
38363
SH
DFND
1
38004
0
359
HOME DEPOT INC COM
SHS
437076102
6724
50151
SH
DFND
1
49704
0
447
HONEYWELL INTERNATIONAL INC.
SHS
438516106
4636
40024
SH
DFND
1
39692
0
332
HOPE BANCORP INC COM
SHS
43940T109
732
33413
SH
DFND
1
20768
0
12645
HORIZON PHARMA PLC SHS
SHS
G4617B105
187
11598
SH
DFND
1
7251
0
4347
HORNBECK OFFSHORE SERVICES INC
BOND
440543AN6
7485
10427000
PRN
DFND
1
10427000
0
0
HUDSON PAC PPTYS INC COM
SHS
444097109
389
11180
SH
DFND
1
6985
0
4195
HUNTINGTON INGALLS INDS INC CO
SHS
446413106
2360
12810
SH
DFND
1
11399
0
1411
ILLUMINA INC
BOND
452327AF6
19254
20069000
PRN
DFND
1
20069000
0
0
INGERSOLL-RAND PLC
SHS
G47791101
1303
17366
SH
DFND
1
17326
0
40
INPHI CORP COM
SHS
45772F107
1693
37950
SH
DFND
1
32067
0
5883
INTEGRATED DEVICE TECH INC COM
SHS
458118106
842
35748
SH
DFND
1
28863
0
6885
INTEL CORP
BOND
458140AF7
496
281000
PRN
DFND
1
281000
0
0
INTERACTIVE BROKERS GROUP INCO
SHS
45841N107
1493
40898
SH
DFND
1
40817
0
81
INTERCONTINENTALEXCHANGE GROCO
SHS
45866F104
4994
88509
SH
DFND
1
87941
0
568
INTUIT INC COM
SHS
461202103
2242
19565
SH
DFND
1
19371
0
194
IRON MOUNTAIN INC
SHS
46284V101
205
6308
SH
DFND
1
6308
0
0
IRONWOOD PHARMACEUTICALS INC
BOND
46333XAD0
2299
2000000
PRN
DFND
1
2000000
0
0
ITAU UNIBANCO BANCO BRASILEIRO
ADR
465562106
521
50667
SH
DFND
1
49331
0
1336
JAZZ INVESTMENTS I LTD
BOND
472145AB7
2949
3062000
PRN
DFND
1
3062000
0
0
JC PENNEY CO INC
SHS
708160106
352
42354
SH
DFND
1
42354
0
0
JOHN BEAN TECHNOLOGIES CORP CO
SHS
477839104
3956
46031
SH
DFND
1
41250
0
4781
JOHNSON & JOHNSON
SHS
478160104
5725
49687
SH
DFND
1
49396
0
291
KANSAS CITY SOUTHN INDS INC CO
SHS
485170302
834
9825
SH
DFND
1
9790
0
35
KB HOME
BOND
48666KAS8
196
200000
PRN
DFND
1
200000
0
0
KEYCORP
SHS
493267108
1260
68979
SH
DFND
1
68597
0
382
KIMBERLY CLARK CORP COM
SHS
494368103
1546
13540
SH
DFND
1
13429
0
111
KIRBY CORP
SHS
497266106
390
5866
SH
DFND
1
5866
0
0
KITE RLTY GROUP TR COM NEW
SHS
49803T300
443
18879
SH
DFND
1
14046
0
4833
KNIGHT TRANSN INC COM
SHS
499064103
2152
65121
SH
DFND
1
64489
0
632
KRAFT HEINZ COMPANY
SHS
500754106
2747
31456
SH
DFND
1
31306
0
150
LAUDER ESTEE COS INC CL A
SHS
518439104
813
10627
SH
DFND
1
10471
0
156
LEGGETT & PLATT INC COM
SHS
524660107
709
14518
SH
DFND
1
14325
0
193
LEIDOS HLDGS INC COM
SHS
525327102
777
15180
SH
DFND
1
15011
0
169
LINCOLN ELEC HLDGS INC COM
SHS
533900106
244
3182
SH
DFND
1
3148
0
34
LINCOLN NATL CORP IND COM
SHS
534187109
2982
44994
SH
DFND
1
44684
0
310
LIONS GATE ENTMNT CORP CL B NO
SHS
535919500
365
14911
SH
DFND
1
14688
0
223
LITHIA MTRS INC CL A
SHS
536797103
830
8581
SH
DFND
1
7048
0
1533
LOCKHEED MARTIN CORP COM
SHS
539830109
2835
11342
SH
DFND
1
11243
0
99
LOUISIANA PACIFIC CORP
SHS
546347105
216
11396
SH
DFND
1
7114
0
4282
LPL FINL HLDGS INC COM
SHS
50212V100
932
26470
SH
DFND
1
22517
0
3953
LYONDELLBASELL INDUSTRIES N SH
SHS
N53745100
1965
22904
SH
DFND
1
22745
0
159
MA COM TECHNOLOGY SOLUTIONS CO
SHS
55405Y100
2793
60337
SH
DFND
1
55204
0
5133
MACQUARIE INFRASTRUCTURE CORP
SHS
55608B105
882
10800
SH
DFND
1
10800
0
0
MACY'S INC
SHS
55616P104
667
18633
SH
DFND
1
18375
0
258
MARATHON OIL CORP COM
SHS
565849106
185
10676
SH
DFND
1
10564
0
112
MARRIOTT INTL INC NEW CL A
SHS
571903202
316
3823
SH
DFND
1
3783
0
40
MARRIOTT VACATIONS WRLDWDE CCO
SHS
57164Y107
456
5375
SH
DFND
1
3360
0
2015
MASCO CORP COM
SHS
574599106
445
14066
SH
DFND
1
13923
0
143
MASTEC INC COM
SHS
576323109
1211
31660
SH
DFND
1
25257
0
6403
MASTERCARD INC COM
SHS
57636Q104
4314
41776
SH
DFND
1
41497
0
279
MCCORMICK & CO INC COM NON VTG
SHS
579780206
3709
39736
SH
DFND
1
39428
0
308
MCDONALDS CORP
SHS
580135101
1530
12576
SH
DFND
1
12393
0
183
MDU RES GROUP INC COM
SHS
552690109
2511
87282
SH
DFND
1
87039
0
243
MELLANOX TECHNOLOGIES LTD SHS
SHS
M51363113
3894
95201
SH
DFND
1
91779
0
3422
MERIT MED SYS INC COM
SHS
589889104
605
22833
SH
DFND
1
14290
0
8543
MERITAGE HOMES CORP
BOND
59001AAR3
324
325000
PRN
DFND
1
325000
0
0
MICROCHIP TECHNOLOGY INC
BOND
595017AD6
12724
9788000
PRN
DFND
1
9788000
0
0
MICRON TECHNOLOGY INC
SHS
595112103
1732
79000
SH
DFND
1
79000
0
0
MICRON TECHNOLOGY INC
BOND
595112AX1
9140
4000000
PRN
DFND
1
4000000
0
0
MICRON TECHNOLOGY INC
BOND
595112AY9
374
375000
PRN
DFND
1
375000
0
0
MICROSEMI CORP COM
SHS
595137100
569
10534
SH
DFND
1
6558
0
3976
MICROSOFT CORP COM
SHS
594918104
14267
229592
SH
DFND
1
227552
0
2040
MOHAWK INDS INC COM
SHS
608190104
1319
6603
SH
DFND
1
6515
0
88
MOLINA HEALTHCARE INC
BOND
60855RAC4
26927
18724000
PRN
DFND
1
18724000
0
0
MOLINA HEALTHCARE INC COM
SHS
60855R100
438
8083
SH
DFND
1
5181
0
2902
MOLSON COORS BREWING COMPANY
SHS
60871R209
3184
32722
SH
DFND
1
32451
0
271
MONRO MUFFLER BRAKE INC COM
SHS
610236101
939
16409
SH
DFND
1
14035
0
2374
MONSANTO CO NEW COM
SHS
61166W101
650
6185
SH
DFND
1
6095
0
90
MOODYS CORP COM
SHS
615369105
228
2425
SH
DFND
1
2401
0
24
MSC INDL DIRECT INC CL A
SHS
553530106
1719
18602
SH
DFND
1
18570
0
32
NATIONAL GEN HLDGS CORP COM
SHS
636220303
988
39537
SH
DFND
1
27789
0
11748
NATIONAL STORAGE AFFILIATES CO
SHS
637870106
397
17962
SH
DFND
1
11232
0
6730
NAVISTAR INTERNATIONAL CORP
BOND
63934EAQ1
743
750000
PRN
DFND
1
750000
0
0
NAVISTAR INTERNATIONAL CORP
BOND
63934EAS7
6948
7000000
PRN
DFND
1
7000000
0
0
NET 1 UEPS TECHNOLOGIES INC CO
SHS
64107N206
523
45505
SH
DFND
1
33250
0
12255
NEWELL RUBBERMAID INC.
SHS
651229106
2490
55759
SH
DFND
1
55360
0
399
NEWFIELD EXPL CO COM
SHS
651290108
366
9042
SH
DFND
1
8907
0
135
NEWMONT MINING CORP
BOND
651639AJ5
5155
5045000
PRN
DFND
1
5045000
0
0
NEXEO SOLUTIONS INC COM SHS
SHS
65342H102
310
33329
SH
DFND
1
25902
0
7427
NEXSTAR BROADCASTING GROUP ICL
SHS
65336K103
758
11965
SH
DFND
1
8923
0
3042
NIKE INC CL B
SHS
654106103
431
8489
SH
DFND
1
8364
0
125
NOBLE ENERGY INC COM
SHS
655044105
320
8419
SH
DFND
1
8334
0
85
NORFOLK SOUTHERN CORP
SHS
655844108
1815
16799
SH
DFND
1
16760
0
39
NORTHROP GRUMMAN CORP COM
SHS
666807102
908
3904
SH
DFND
1
3895
0
9
NOVELLUS SYSTEMS INC
BOND
670008AD3
312
100000
PRN
DFND
1
100000
0
0
NUVASIVE INC COM
SHS
670704105
468
6949
SH
DFND
1
4348
0
2601
NVIDIA CORP
BOND
67066GAC8
822
155000
PRN
DFND
1
155000
0
0
NXP SEMICONDUCTORS NV
SHS
N6596X109
415
4237
SH
DFND
1
4237
0
0
NXP SEMICONDUCTORS NV
SHS
N6596X909
3185
32500
SH
Call
DFND
1
0
0
0
OCCIDENTAL PETE CORP COM
SHS
674599105
1897
26642
SH
DFND
1
26581
0
61
OLD REP INTL CORP COM
SHS
680223104
3974
209144
SH
DFND
1
208680
0
464
ON SEMICONDUCTOR CORP
BOND
682189AK1
206
200000
PRN
DFND
1
200000
0
0
ONEOK INC NEW COM
SHS
682680103
3734
65049
SH
DFND
1
64646
0
403
ORACLE CORP
SHS
68389X105
1753
45580
SH
DFND
1
45475
0
105
O'REILLY AUTOMOTIVE INC NEW CO
SHS
67103H107
5726
20566
SH
DFND
1
20424
0
142
PALO ALTO NETWORKS INC
BOND
697435AB1
31670
24876000
PRN
DFND
1
24876000
0
0
PAREXEL INTL CORP COM
SHS
699462107
1928
29344
SH
DFND
1
28105
0
1239
PATTERSON COS INC COM
SHS
703395103
783
19085
SH
DFND
1
19050
0
35
PATTERSON-UTI ENERGY INC COM
SHS
703481101
1276
47406
SH
DFND
1
38644
0
8762
PAYPAL HLDGS INC COM
SHS
70450Y103
3240
82083
SH
DFND
1
81507
0
576
PBF ENERGY INC
SHS
69318G106
798
28631
SH
DFND
1
28631
0
0
PDC ENERGY INC COM
SHS
69327R101
477
6566
SH
DFND
1
4090
0
2476
PENN NATL GAMING INC COM
SHS
707569109
814
59081
SH
DFND
1
45062
0
14019
PEPSICO INC
SHS
713448108
1589
15183
SH
DFND
1
14975
0
208
PFIZER INC
SHS
717081103
2923
89976
SH
DFND
1
89770
0
206
PHH CORP COM NEW
SHS
693320202
438
28856
SH
DFND
1
22018
0
6838
PHILLIPS 66 COM
SHS
718546104
1271
14706
SH
DFND
1
14675
0
31
PIONEER NAT RES CO COM
SHS
723787107
808
4492
SH
DFND
1
4484
0
8
PIPER JAFFRAY COS COM
SHS
724078100
486
6696
SH
DFND
1
4174
0
2522
PLATFORM SPECIALTY PRODS CORCO
SHS
72766Q105
567
57784
SH
DFND
1
41039
0
16745
PNM RES INC COM
SHS
69349H107
832
24245
SH
DFND
1
24195
0
50
POOL CORP
SHS
73278L105
2363
22645
SH
DFND
1
20270
0
2375
POPULAR INC COM
SHS
733174700
284
6473
SH
DFND
1
6405
0
68
POWERSHARES SENIOR LOAN PORTFOLIO
ETF
73936Q769
60060
2571083
SH
DFND
1
2571083
0
0
PRICELINE COM INC COM NEW
SHS
741503403
6295
4294
SH
DFND
1
4279
0
15
PRICELINE GROUP INC/THE
BOND
741503AQ9
4207
2664000
PRN
DFND
1
2664000
0
0
PRICELINE GROUP INC/THE
BOND
741503AS5
5945
4651000
PRN
DFND
1
4651000
0
0
PRUDENTIAL FINL INC COM
SHS
744320102
900
8646
SH
DFND
1
8631
0
15
PS BUSINESS PKS INC CALIF COM
SHS
69360J107
685
5879
SH
DFND
1
3723
0
2156
PTC INC COM
SHS
69370C100
1386
29944
SH
DFND
1
29732
0
212
QORVO INC
SHS
74736K101
1195
22665
SH
DFND
1
22481
0
184
QUALITY SYS INC COM
SHS
747582104
215
16301
SH
DFND
1
10473
0
5828
QUIDEL CORP
BOND
74838JAA9
2970
3000000
PRN
DFND
1
3000000
0
0
RADIAN GROUP INC COM
SHS
750236101
1839
102236
SH
DFND
1
87186
0
15050
RAMBUS INC
BOND
750917AE6
21817
17614000
PRN
DFND
1
17614000
0
0
RANGE RES CORP COM
SHS
75281A109
1755
51069
SH
DFND
1
50631
0
438
RED HAT INC COM
SHS
756577102
4373
62730
SH
DFND
1
62477
0
253
REGENERON PHARMACEUTICALS COM
SHS
75886F107
440
1197
SH
DFND
1
1181
0
16
REPUBLIC SVCS INC COM
SHS
760759100
1381
24219
SH
DFND
1
24106
0
113
REX ENERGY CORP
SHS
761565100
21
45000
SH
DFND
1
45000
0
0
REXNORD CORP NEW COM
SHS
76169B102
440
22460
SH
DFND
1
16466
0
5994
RICE ENERGY INC COM
SHS
762760106
316
14838
SH
DFND
1
9241
0
5597
ROSS STORES INC COM
SHS
778296103
2109
32153
SH
DFND
1
31759
0
394
RPC INC
SHS
749660106
551
27796
SH
DFND
1
27796
0
0
SALESFORCE.COM INC
BOND
79466LAD6
19837
17000000
PRN
DFND
1
17000000
0
0
SCHLUMBERGER LTD
SHS
806857108
1221
14538
SH
DFND
1
14504
0
34
SCHWAB CHARLES CORP NEW COM
SHS
808513105
2610
66127
SH
DFND
1
65763
0
364
SCIENCE APPLICATNS INTL CP NCO
SHS
808625107
706
8322
SH
DFND
1
5184
0
3138
SCIENTIFIC GAMES CORP CL A
SHS
80874P109
365
26041
SH
DFND
1
16265
0
9776
SEI INVTS CO COM
SHS
784117103
233
4733
SH
DFND
1
4685
0
48
SERVICENOW INC
BOND
81762PAB8
22420
19000000
PRN
DFND
1
19000000
0
0
SERVICESOURCE INTERNATIONAL INC
BOND
81763UAB6
4721
4880000
PRN
DFND
1
4880000
0
0
SIMON PPTY GROUP INC NEW COM
SHS
828806109
364
2049
SH
DFND
1
2019
0
30
SNYDERS LANCE INC COM
SHS
833551104
326
8514
SH
DFND
1
5303
0
3211
SOUTHERN CO
SHS
842587107
1090
22141
SH
DFND
1
22090
0
51
SOUTHWEST AIRLS CO COM
SHS
844741108
3329
66811
SH
DFND
1
66061
0
750
SPDR BLOOMBERG BARCLAYS SHORT TERM HIGH YIELD BOND ETF
ETF
78468R408
8201
296265
SH
DFND
1
296265
0
0
SPDR S&P BANK ETF
ETF
78464A797
10146
233400
SH
DFND
1
233400
0
0
SPDR S&P OIL & GAS EQUIPMENT & SERVICES ETF
ETF
78464A748
2854
127700
SH
DFND
1
127700
0
0
SPDR S&P REGIONAL BANKING ETF
ETF
78464A698
484
8717
SH
DFND
1
8717
0
0
SPDR S&P RETAIL ETF
ETF
78464A714
495
11236
SH
DFND
1
11236
0
0
SPECTRANETICS CORP/THE
BOND
84760CAA5
9136
8827000
PRN
DFND
1
8827000
0
0
SPECTRUM BRANDS HLDGS INC COM
SHS
84763R101
691
5649
SH
DFND
1
5573
0
76
SPIRE INC COM
SHS
84857L101
595
9225
SH
DFND
1
5766
0
3459
SPIRIT AIRLS INC COM
SHS
848577102
882
15254
SH
DFND
1
12585
0
2669
SPROUTS FARMERS MARKET INC
SHS
85208M102
324
17116
SH
DFND
1
17116
0
0
SQUARE INC CL A
SHS
852234103
735
53953
SH
DFND
1
39173
0
14780
STAG INDL INC COM
SHS
85254J102
498
20886
SH
DFND
1
16006
0
4880
STANLEY BLACK AND DECKER INC
SHS
854502101
234
2040
SH
DFND
1
2019
0
21
STARBUCKS CORP COM
SHS
855244109
3969
71486
SH
DFND
1
70864
0
622
STARWOOD PROPERTY TRUST INC
BOND
85571BAC9
275
267000
PRN
DFND
1
267000
0
0
STERICYCLE INC
PFD CONV
858912207
3945
62310
SH
DFND
1
62310
0
0
STERICYCLE INC COM
SHS
858912108
1079
14015
SH
DFND
1
13983
0
32
STMICROELECTRONICS NV
ADR
861012102
238
21000
SH
DFND
1
21000
0
0
STONEGATE BK FT LAUDERDALE FCO
SHS
861811107
624
14954
SH
DFND
1
9333
0
5621
STORE CAP CORP COM
SHS
862121100
1583
64050
SH
DFND
1
63948
0
102
SUN CMNTYS INC COM
SHS
866674104
2401
31343
SH
DFND
1
28504
0
2839
SUPERIOR ENERGY SVCS INC COM
SHS
868157108
566
33490
SH
DFND
1
33031
0
459
SURGERY PARTNERS INC COM
SHS
86881A100
401
25255
SH
DFND
1
19601
0
5654
SWIFT TRANSN CO CL A
SHS
87074U101
812
33364
SH
DFND
1
29528
0
3836
SYNCHRONY FINL COM
SHS
87165B103
3724
102679
SH
DFND
1
102512
0
167
SYNNEX CORP COM
SHS
87162W100
623
5155
SH
DFND
1
3549
0
1606
SYSCO CORP COM
SHS
871829107
2408
43474
SH
DFND
1
43138
0
336
TAILORED BRANDS INC COM
SHS
87403A107
710
27781
SH
DFND
1
19415
0
8366
TAKE-TWO INTERACTIVE SOFTWARCO
SHS
874054109
610
12364
SH
DFND
1
7766
0
4598
TD AMERITRADE HOLDING CORP
SHS
87236Y108
1006
23084
SH
DFND
1
23084
0
0
TELEFLEX INC COM
SHS
879369106
942
5844
SH
DFND
1
5315
0
529
TESLA MOTORS INC
BOND
88160RAC5
218
250000
PRN
DFND
1
250000
0
0
TEXAS CAP BNCSHS INC
SHS
88224Q107
1299
16575
SH
DFND
1
16556
0
19
THERMO FISHER SCIENTIFIC INC
SHS
883556102
1875
13285
SH
DFND
1
13258
0
27
TIFFANY & CO NEW COM
SHS
886547108
1947
25155
SH
DFND
1
25007
0
148
TJX COMPANIES INC NEW COM
SHS
872540109
3659
48706
SH
DFND
1
48293
0
413
TOLL BROTHERS FINANCE CORP
BOND
88947EAM2
425
430000
PRN
DFND
1
430000
0
0
TRANSDIGM GROUP INC COM
SHS
893641100
878
3527
SH
DFND
1
3479
0
48
TRIBUNE MEDIA CO
SHS
896047503
5269
150621
SH
DFND
1
150621
0
0
TRICO BANCSHARES COM
SHS
896095106
442
12911
SH
DFND
1
8120
0
4791
TRIMBLE NAV LTD COM
SHS
896239100
1113
36908
SH
DFND
1
36609
0
299
TRONC INC
SHS
89703P107
522
37653
SH
DFND
1
37653
0
0
TWITTER INC
BOND
90184LAB8
14464
15387000
PRN
DFND
1
15387000
0
0
TWITTER INC COM
SHS
90184L102
311
19102
SH
DFND
1
18847
0
255
U S SILICA HLDGS INC COM
SHS
90346E103
1302
22964
SH
DFND
1
17723
0
5241
ULTA SALON COSMETCS & FRAG ICO
SHS
90384S303
1350
5295
SH
DFND
1
5236
0
59
UNIFIRST CORP COM
SHS
904708104
419
2921
SH
DFND
1
1826
0
1095
UNION PAC CORP
SHS
907818108
6796
65544
SH
DFND
1
65240
0
304
UNITED CONTL HLDGS INC COM
SHS
910047109
541
7420
SH
DFND
1
7404
0
16
UNITED INS HLDGS CORP COM
SHS
910710102
232
15365
SH
DFND
1
9406
0
5959
UNITED PARCEL SERVICE INC CL B
SHS
911312106
2372
20693
SH
DFND
1
20529
0
164
UNITEDHEALTH GROUP INC
SHS
91324P102
2283
14265
SH
DFND
1
14068
0
197
UNITIL CORP COM
SHS
913259107
584
12871
SH
DFND
1
8019
0
4852
UNIVERSAL INS HLDGS INC COM
SHS
91359V107
416
14654
SH
DFND
1
11841
0
2813
US FOODS HOLDING CORP
SHS
912008109
274
9974
SH
DFND
1
9974
0
0
V F CORP
SHS
918204108
453
8482
SH
DFND
1
8358
0
124
VAIL RESORTS INC
SHS
91879Q109
561
3480
SH
DFND
1
3480
0
0
VALERO ENERGY CORP
SHS
91913Y100
345
5050
SH
DFND
1
5050
0
0
VALVOLINE INC COM
SHS
92047W101
651
30272
SH
DFND
1
29861
0
411
VANECK VECTORS OIL SERVICES ET
ETF
92189F718
2931
87900
SH
DFND
1
87900
0
0
VANTIV INC CL A
SHS
92210H105
1944
32603
SH
DFND
1
32489
0
114
VERISK ANALYTICS
SHS
92345Y106
3384
41695
SH
DFND
1
41376
0
319
VERTEX PHARMACEUTICALS INC COM
SHS
92532F100
463
6276
SH
DFND
1
6185
0
91
VISA INC COM CL A
SHS
92826C839
4823
61817
SH
DFND
1
61489
0
328
VISTA OUTDOOR INC COM
SHS
928377100
442
11960
SH
DFND
1
7714
0
4246
VOYA FINL INC COM
SHS
929089100
3957
100886
SH
DFND
1
100180
0
706
WABCO HOLDINGS INC
SHS
92927K102
207
1954
SH
DFND
1
1954
0
0
WABTEC CORP COM
SHS
929740108
2618
31528
SH
DFND
1
31328
0
200
WAL MART STORES INC
SHS
931142103
1689
24440
SH
DFND
1
24203
0
237
WASTE CONNECTIONS INC
SHS
94106B101
1239
15761
SH
DFND
1
11440
0
4321
WASTE MANAGEMENT INC COM
SHS
94106L109
2578
36357
SH
DFND
1
36273
0
84
WATSCO INC COM
SHS
942622200
2888
19497
SH
DFND
1
17439
0
2058
WD 40 CO COM
SHS
929236107
458
3922
SH
DFND
1
2441
0
1481
WEBMD HEALTH CORP
SHS
94770V102
1252
25250
SH
DFND
1
25250
0
0
WEC ENERGY GROUP INC COM
SHS
92939U106
1135
19343
SH
DFND
1
19297
0
46
WELLS FARGO & CO
PFD CONV
949746804
417
350
SH
DFND
1
350
0
0
WELLS FARGO & CO NEW COM
SHS
949746101
3480
63150
SH
DFND
1
63001
0
149
WELLTOWER INC
PFD CONV
95040Q203
211
3496
SH
DFND
1
3496
0
0
WENDYS CO COM
SHS
95058W100
135
10015
SH
DFND
1
9912
0
103
WESCO INTERNATIONAL INC
SHS
95082P105
586
8811
SH
DFND
1
8811
0
0
WESTERN ALLIANCE BANCORP COM
SHS
957638109
659
13529
SH
DFND
1
8457
0
5072
WEX INC
SHS
96208T104
1288
11549
SH
DFND
1
11393
0
156
WEYERHAEUSER CO COM
SHS
962166104
222
7402
SH
DFND
1
7325
0
77
WINTRUST FINL CORP COM
SHS
97650W108
929
12791
SH
DFND
1
7987
0
4804
WORKDAY INC
BOND
98138HAC5
12596
12000000
PRN
DFND
1
12000000
0
0
XILINX INC
BOND
983919AF8
345
164000
PRN
DFND
1
164000
0
0
XILINX INC COM
SHS
983919101
2544
42139
SH
DFND
1
41931
0
208
XL GROUP LTD COM
SHS
G98294104
429
11530
SH
DFND
1
11412
0
118
YAHOO! INC
BOND
984332AF3
4966
5000000
PRN
DFND
1
5000000
0
0
ZIMMER HLDGS INC COM
SHS
98956P102
251
2429
SH
DFND
1
2404
0
25
ZOETIS INC CL A
SHS
98978V103
944
17638
SH
DFND
1
17382
0
256
MANITOWOC FOODSERVICE INC COM
SHS
563568104
1927
99705
SH
DFND
1
87707
0
11998