0000909012-17-000183.txt : 20171113 0000909012-17-000183.hdr.sgml : 20171110 20171113132542 ACCESSION NUMBER: 0000909012-17-000183 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 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: 171194926 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 09-30-2017 09-30-2017 SYMPHONY ASSET MANAGEMENT LLC

555 CALIFORNIA STREET SUITE 3100 SAN FRANCISCO CA 94104

13F HOLDINGS REPORT 028-05958 N Amy Chen 415 676 4187 /s/ AMY CHEN San Francisco CA 11-09-2017 1 346 899034 false 1 028-11405 Nuveen Investments Inc. INFORMATION TABLE 2 aci_13f.xml 8POINT3 ENERGY PARTNERS LP SHS 282539105 301 20000 SH DFND 1 20000 0 0 A T & T INC (NEW) SHS 00206R102 1112 28386 SH DFND 1 28386 0 0 ABBOTT LABS SHS 002824100 4767 89339 SH DFND 1 89339 0 0 ABBVIE INC COM SHS 00287Y109 1613 18149 SH DFND 1 18149 0 0 ADIENT PLC ORD SHS SHS G0084W101 1341 15967 SH DFND 1 15962 0 5 ADOBE SYS INC COM SHS 00724F101 1905 12767 SH DFND 1 12767 0 0 ADVANSIX INC COM SHS 00773T101 747 18776 SH DFND 1 18765 0 11 AFLAC INC COM SHS 001055102 2477 30435 SH DFND 1 30435 0 0 AGILENT TECHNOLOGIES INC COM SHS 00846U101 388 6051 SH DFND 1 6051 0 0 AIR PRODS & CHEMS INC COM SHS 009158106 997 6592 SH DFND 1 6592 0 0 AKAMAI TECHNOLOGIES INC BOND 00971TAG6 21447 22025000 PRN DFND 1 22025000 0 0 ALBEMARLE CORP COM SHS 012653101 281 2063 SH DFND 1 2063 0 0 ALLSTATE CORP/THE SHS 020002101 882 9595 SH DFND 1 9595 0 0 ALPHABET CLASS A SHS 02079K305 15472 15890 SH DFND 1 15890 0 0 ALTRIA GROUP INC COM SHS 02209S103 1360 21446 SH DFND 1 21446 0 0 AMAZON COM INC COM SHS 023135106 11123 11571 SH DFND 1 11571 0 0 AMDOCS LTD ORD SHS G02602103 928 14431 SH DFND 1 14431 0 0 AMEREN CORP COM SHS 023608102 318 5488 SH DFND 1 5488 0 0 AMERICAN TOWER REIT COM SHS 03027X100 2545 18619 SH DFND 1 18619 0 0 AMGEN INC COM SHS 031162100 3018 16187 SH DFND 1 16187 0 0 AMPLIFY SNACK BRANDS INC SHS 03211L102 100 14168 SH DFND 1 14168 0 0 ANTHEM INC BOND 94973VBG1 239 92000 PRN DFND 1 92000 0 0 ANTHEM INC COM SHS 036752103 1430 7530 SH DFND 1 7530 0 0 AON PLC SHS CL A SHS G0408V102 3655 25015 SH DFND 1 25015 0 0 APPLE COMPUTER INC SHS 037833100 7945 51548 SH DFND 1 51548 0 0 APPLIED MATLS INC COM SHS 038222105 1901 36496 SH DFND 1 36496 0 0 ARES CAPITAL CORP BOND 04010LAJ2 960 950000 PRN DFND 1 950000 0 0 ARGO GROUP INTL HLDGS LTD COM SHS G0464B107 626 10183 SH DFND 1 10177 0 6 ARMSTRONG FLOORING INC COM SHS 04238R106 418 26554 SH DFND 1 26538 0 16 AVID TECHNOLOGY INC BOND 05367PAB6 5268 7000000 PRN DFND 1 7000000 0 0 AXCELIS TECHNOLOGIES INC COM N SHS 054540208 883 32281 SH DFND 1 32262 0 19 B & G FOODS INC NEW CL A SHS 05508R106 442 13879 SH DFND 1 13871 0 8 BANK OF AMERICA CORP PFD CONV 060505682 482 370 SH DFND 1 370 0 0 BANK OF THE OZARKS INC COM SHS 063904106 708 14736 SH DFND 1 14727 0 9 BANNER CORP COM NEW SHS 06652V208 605 9877 SH DFND 1 9871 0 6 BARRACUDA NETWORKS INC COM SHS 068323104 869 35849 SH DFND 1 35840 0 9 BECTON DICKINSON & CO COM SHS 075887109 2290 11686 SH DFND 1 11686 0 0 BERKLEY W R CORP COM SHS 084423102 324 4854 SH DFND 1 4854 0 0 BERRY PLASTICS GROUP INC COM SHS 08579W103 407 7180 SH DFND 1 7176 0 4 BIOGEN IDEC INC COM SHS 09062X103 3301 10541 SH DFND 1 10541 0 0 BIOMARIN PHARMACEUTICAL INC CO SHS 09061G101 614 6594 SH DFND 1 6594 0 0 BIOVERATIV INC COM SHS 09075E100 611 10701 SH DFND 1 10695 0 6 BOEING CO COM SHS 097023105 6657 26187 SH DFND 1 26187 0 0 BONANZA CREEK ENERGY INC SHS 097793400 4288 129993 SH DFND 1 129993 0 0 BOX INC CL A SHS 10316T104 532 27547 SH DFND 1 27531 0 16 BRISTOL MYERS SQUIBB CO SHS 110122108 2511 39408 SH DFND 1 39408 0 0 BROADCOM LTD SHS SHS Y09827109 6526 26906 SH DFND 1 26906 0 0 BWX TECHNOLOGIES INC COM SHS 05605H100 721 12861 SH DFND 1 12853 0 8 C&J ENERGY SERVICES INC SHS 12674R100 25455 849361 SH DFND 1 849361 0 0 CALATLANTIC GROUP INC BOND 783764AQ6 6648 5500000 PRN DFND 1 5500000 0 0 CARETRUST REIT INC COM SHS 14174T107 1445 75892 SH DFND 1 75871 0 21 CARTER HLDGS INC COM SHS 146229109 310 3147 SH DFND 1 3147 0 0 CATALENT INC COM SHS 148806102 656 16437 SH DFND 1 16427 0 10 CATERPILLAR INC COM SHS 149123101 1105 8860 SH DFND 1 8860 0 0 CAVIUM INC COM SHS 14964U108 1866 28294 SH DFND 1 28294 0 0 CBOE HLDGS INC COM SHS 12503M108 398 3691 SH DFND 1 3691 0 0 CELGENE CORP COM SHS 151020104 1178 8079 SH DFND 1 8079 0 0 CENTERPOINT ENERGY INC COM SHS 15189T107 1890 64700 SH DFND 1 64700 0 0 CHARLES RIV LABORATORIES INTCO SHS 159864107 708 6549 SH DFND 1 6545 0 4 CHART INDS INC COM PAR $0.01 SHS 16115Q308 642 16366 SH DFND 1 16356 0 10 CHEMOURS CO COM SHS 163851108 920 18181 SH DFND 1 18170 0 11 CHENIERE ENERGY SHS 16411R208 1688 37483 SH DFND 1 37483 0 0 CHEVRON CORP NEW SHS 166764100 2162 18398 SH DFND 1 18398 0 0 CHUBB LIMITED COM SHS H1467J104 2244 15746 SH DFND 1 15746 0 0 CHURCH & DWIGHT INC COM SHS 171340102 1973 40722 SH DFND 1 40722 0 0 CIENA CORP COM NEW SHS 171779309 1529 69581 SH DFND 1 69581 0 0 CIGNA CORP SHS 125509109 3839 20539 SH DFND 1 20539 0 0 CINTAS CORP SHS 172908105 1756 12166 SH DFND 1 12166 0 0 CITIZENS FINANCIAL GROUP INC. 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STAG INDL INC COM SHS 85254J102 340 12370 SH DFND 1 12363 0 7 STANLEY BLACK AND DECKER INC SHS 854502101 345 2287 SH DFND 1 2287 0 0 STARBUCKS CORP COM SHS 855244109 1337 24898 SH DFND 1 24898 0 0 STARWOOD PROPERTY TRUST INC BOND 85571BAB1 362 324000 PRN DFND 1 324000 0 0 SUMMIT MATLS INC CL A SHS 86614U100 544 16976 SH DFND 1 16966 0 10 SUN CMNTYS INC COM SHS 866674104 1943 22672 SH DFND 1 22668 0 4 SYNAPTICS INC COM SHS 87157D109 334 8508 SH DFND 1 8503 0 5 SYNNEX CORP COM SHS 87162W100 868 6864 SH DFND 1 6861 0 3 SYSCO CORP COM SHS 871829107 1892 35073 SH DFND 1 35073 0 0 TAKE-TWO INTERACTIVE SOFTWARCO SHS 874054109 1212 11851 SH DFND 1 11844 0 7 TELEFLEX INC COM SHS 879369106 1321 5459 SH DFND 1 5458 0 1 TEXAS CAP BNCSHS INC SHS 88224Q107 886 10335 SH DFND 1 10335 0 0 THERMO FISHER SCIENTIFIC INC SHS 883556102 4055 21433 SH DFND 1 21433 0 0 TIFFANY & CO NEW COM SHS 886547108 1953 21282 SH DFND 1 21282 0 0 TIVITY HEALTH INC COM SHS 88870R102 857 21008 SH DFND 1 21001 0 7 TJX COMPANIES INC NEW COM SHS 872540109 667 9053 SH DFND 1 9053 0 0 T-MOBILE US INC SHS 872590104 369 5980 SH DFND 1 5980 0 0 TRICO BANCSHARES COM SHS 896095106 502 12333 SH DFND 1 12326 0 7 TRIMBLE NAV LTD COM SHS 896239100 1987 50611 SH DFND 1 50611 0 0 TWITTER INC BOND 90184LAD4 20332 22125000 PRN DFND 1 22125000 0 0 UDR INC SHS 902653104 220 5764 SH DFND 1 5764 0 0 UNDER ARMOUR INC CL A SHS 904311107 186 11308 SH DFND 1 11308 0 0 UNION PAC CORP SHS 907818108 4866 41959 SH DFND 1 41959 0 0 UNITED FINL BANCORP INC NEW CO SHS 910304104 393 21470 SH DFND 1 21457 0 13 UNITED RENTALS INC SHS 911363109 377 2714 SH DFND 1 2714 0 0 UNITEDHEALTH GROUP INC SHS 91324P102 2299 11737 SH DFND 1 11737 0 0 UNITIL CORP COM SHS 913259107 608 12298 SH DFND 1 12291 0 7 US CONCRETE INC SHS 90333L201 430 5641 SH DFND 1 5641 0 0 VALIDUS HOLDINGS LTD COM SHS SHS G9319H102 444 9032 SH DFND 1 9027 0 5 VALVOLINE INC COM SHS 92047W101 1168 49807 SH DFND 1 49807 0 0 VANECK VECTORS OIL SERVICES ET ETF 92189F718 10895 417900 SH DFND 1 417900 0 0 VANTIV INC CL A SHS 92210H105 332 4705 SH DFND 1 4705 0 0 VEECO INSTRS INC DEL COM SHS 922417100 549 25659 SH DFND 1 25647 0 12 VERTEX PHARMACEUTICALS INC COM SHS 92532F100 743 4889 SH DFND 1 4889 0 0 VISA INC COM CL A SHS 92826C839 6552 62254 SH DFND 1 62254 0 0 VMWARE INC CL A COM SHS 928563402 1990 18231 SH DFND 1 18231 0 0 VOYA FINL INC COM SHS 929089100 2030 50882 SH DFND 1 50882 0 0 WABTEC CORP/DE SHS 929740108 487 6429 SH DFND 1 6429 0 0 WALKER & DUNLOP INC COM SHS 93148P102 1007 19242 SH DFND 1 19235 0 7 WASTE CONNECTIONS INC SHS 94106B101 2529 36150 SH DFND 1 36140 0 10 WASTE MANAGEMENT INC COM SHS 94106L109 3369 43045 SH DFND 1 43045 0 0 WATERS CORP COM SHS 941848103 1093 6091 SH DFND 1 6091 0 0 WATSCO INC COM SHS 942622200 839 5206 SH DFND 1 5203 0 3 WD 40 CO COM SHS 929236107 418 3734 SH DFND 1 3732 0 2 WEATHERFORD INTERNATIONAL LTD BOND 947075AH0 332 303000 PRN DFND 1 303000 0 0 WEATHERFORD INTERNATIONAL PLC SHS G48833100 528 115300 SH 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