0001498383-21-000002.txt : 20210514 0001498383-21-000002.hdr.sgml : 20210514 20210514113705 ACCESSION NUMBER: 0001498383-21-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210514 EFFECTIVENESS DATE: 20210514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Asset Allocation & Management Company, LLC CENTRAL INDEX KEY: 0001498383 IRS NUMBER: 364418695 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20383 FILM NUMBER: 21922869 BUSINESS ADDRESS: STREET 1: 30 W. MONROE ST. STREET 2: THIRD FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-263-2900 MAIL ADDRESS: STREET 1: 30 W. MONROE ST. STREET 2: THIRD FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001498383 XXXXXXXX 03-31-2021 03-31-2021 Asset Allocation & Management Company, LLC

30 W. MONROE ST. THIRD FLOOR CHICAGO IL 60603

13F COMBINATION REPORT 028-20383 0001373442 Mariner, LLC 0001009012 ZAZOVE ASSOCIATES LLC 0001618824 Muzinich & Co., Inc. 0001035350 SECURIAN ASSET MANAGEMENT, INC N Chelsea Klassa 312-845-2308 Chelsea Klassa Chicago IL 05-14-2021 0 61 202495 false INFORMATION TABLE 2 13fmarch2021.xml AKAMAI TECHNOLOGIES NOTE 0.375% 9/0 00971TAL5 800 735000 PRN SOLE 0 0 0 ALPHABET INC CAP STK CL A 02079K305 699 339 SH SOLE 0 0 0 ALTERYX INC NOTE 1.000% 8/0 02156BAF0 105 115000 PRN SOLE 0 0 0 ATLAS AIR WORLDWIDE NOTE 1.875% 6/0 049164BJ4 97 80000 PRN SOLE 0 0 0 BP PLC SPONSORED ADR 055622104 292 12000 SH SOLE 0 0 0 BERKSHIRE HATHAWAY I CL A 084670108 1157 3 SH SOLE 0 0 0 BROADCOM INC COM 11135F101 212 457 SH SOLE 0 0 0 CYBERARK SOFTWARE LT NOTE 11/1 23248VAB1 97 90000 PRN SOLE 0 0 0 EATON VANCE FLTING R COM 278279104 183 13000 SH SOLE 0 0 0 EURONET WORLDWIDE IN NOTE 0.750% 3/1 298736AL3 183 160000 PRN SOLE 0 0 0 FBL FINL GROUP INC CL A 30239F106 224 4000 SH SOLE 0 0 0 FLEXION THERAPEUTICS NOTE 3.375% 5/0 33938JAB2 36 40000 PRN SOLE 0 0 0 HOPE BANCORP INC NOTE 2.000% 5/1 43940TAB5 21814 22090000 PRN SOLE 0 0 0 INTERDIGITAL INC NOTE 2.000% 6/0 45867GAB7 21 20000 PRN SOLE 0 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1447 4535 SH SOLE 0 0 0 INVESCO SR INCOME TR COM 46131H107 126 30000 SH SOLE 0 0 0 ISHARES TR CORE S&P TTL STK 464287150 379 4143 SH SOLE 0 0 0 ISHARES TR SELECT DIVID ETF 464287168 1172 10273 SH SOLE 0 0 0 ISHARES TR CORE S&P500 ETF 464287200 8301 20865 SH SOLE 0 0 0 ISHARES TR MSCI EAFE ETF 464287465 2157 28430 SH SOLE 0 0 0 ISHARES TR CORE S&P MCP ETF 464287507 1076 4134 SH SOLE 0 0 0 ISHARES TR IBOXX HI YD ETF 464288513 2428 27845 SH SOLE 0 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 49759 910000 SH SOLE 0 0 0 ISHARES TR CORE MSCI EAFE 46432F842 1709 23723 SH SOLE 0 0 0 ISHARES INC CORE MSCI EMKT 46434G103 3531 54862 SH SOLE 0 0 0 ISHARES TR MORTGE REL ETF 46435G342 2023 5747 SH SOLE 0 0 0 JAZZ INVESTMENTS I L NOTE 1.500% 8/1 472145AD3 359 330000 PRN SOLE 0 0 0 KAMAN CORP NOTE 3.250% 5/0 483548AF0 564 520000 PRN SOLE 0 0 0 LENDINGTREE INC NEW NOTE 0.625% 6/0 52603BAA5 331 275000 PRN SOLE 0 0 0 LUMENTUM HLDGS INC NOTE 0.500%12/1 55024UAD1 373 320000 PRN SOLE 0 0 0 MESA LABS INC NOTE 1.375% 8/1 59064RAA7 252 230000 PRN SOLE 0 0 0 NRG ENERGY INC DBCV 2.750% 6/0 629377CG5 441 380000 PRN SOLE 0 0 0 NEOGENOMICS INC NOTE 0.250% 1/1 64049MAB6 76 75000 PRN SOLE 0 0 0 PEBBLEBROOK HOTEL TR NOTE 1.750%12/1 70509VAA8 53 45000 PRN SOLE 0 0 0 PIMCO INCOME STRATEG COM 72201J104 180 17500 SH SOLE 0 0 0 PINDUODUO INC NOTE 12/0 722304AC6 95 90000 PRN SOLE 0 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 779 660000 PRN SOLE 0 0 0 REVANCE THERAPEUTICS NOTE 1.750% 2/1 761330AB5 269 240000 PRN SOLE 0 0 0 RINGCENTRAL INC NOTE 3/0 76680RAF4 68 62000 PRN SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2224 5611 SH SOLE 0 0 0 SPDR SER TR S&P DIVID ETF 78464A763 631 5348 SH SOLE 0 0 0 SMART GLOBAL HLDGS I NOTE 2.250% 2/1 83205YAB0 290 220000 PRN SOLE 0 0 0 SPLUNK INC NOTE 1.125% 9/1 848637AD6 354 300000 PRN SOLE 0 0 0 SUMMIT HOTEL PPTYS I NOTE 1.500% 2/1 866082AA8 338 305000 PRN SOLE 0 0 0 TPG SPECIALTY LENDIN NOTE 4.500% 8/0 87265KAD4 563 500000 PRN SOLE 0 0 0 TARGET CORP COM 87612E106 283 1430 SH SOLE 0 0 0 VANGUARD WORLD FD ESG US STK ETF 921910733 2843 38545 SH SOLE 0 0 0 VANGUARD BD INDEX FD LONG TERM BOND 921937793 389 3960 SH SOLE 0 0 0 VANGUARD BD INDEX FD INTERMED TERM 921937819 813 9160 SH SOLE 0 0 0 VANGUARD BD INDEX FD SHORT TRM BOND 921937827 1074 13072 SH SOLE 0 0 0 VANGUARD TAX-MANAGED FTSE DEV MKT ETF 921943858 4493 91493 SH SOLE 0 0 0 VANGUARD WHITEHALL F HIGH DIV YLD 921946406 19560 193491 SH SOLE 0 0 0 VANGUARD INTL EQUITY ALLWRLD EX US 922042775 1862 30678 SH SOLE 0 0 0 VANGUARD INTL EQUITY FTSE EMR MKT ETF 922042858 4754 91340 SH SOLE 0 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 14872 40824 SH SOLE 0 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1543 7191 SH SOLE 0 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 2995 13529 SH SOLE 0 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3075 11963 SH SOLE 0 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2043 9545 SH SOLE 0 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 33381 161504 SH SOLE 0 0 0 QIAGEN NV DEBT 1.000%11/1 N72482AT4 247 200000 PRN SOLE 0 0 0