-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, T6n5ChXgxpaSm8sEz1eVH2Wej/M6/hxXrpC24xUN/sCM+ieIkYvBS5v7Cj777XcK aBKNSrl5prJmbdTrbfW8wQ== 0000950005-02-001029.txt : 20021112 0000950005-02-001029.hdr.sgml : 20021111 20021112133245 ACCESSION NUMBER: 0000950005-02-001029 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021112 EFFECTIVENESS DATE: 20021112 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: 02816441 BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA ST STE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 13F-HR 1 p16269_13fhr.txt HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2002 Check here if Amendment [ ]; Amendment Number: ___ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Symphony Asset Management LLC Address: 555 California Street Suite 2975 San Francisco, California 94104 Form 13F File Number: 28-5958 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Neil L. Rudolph Title: Chief Operating Officer Phone: (415) 676-4000 Signature, Place, and Date of Signing: /s/ Neil L. Rudolph San Francisco, California 11/04/2002 ------------------- -------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s). [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------------ Form 13F Information Table Entry Total: 164 ------------------------ Form 13F Information Table Value Total: $ 754,218 ------------------------ (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - --------------------------- ------------- --------- ----------- -------- --- ---- ------- -------- -------- ------ ---- AFLAC Inc COM 001055102 6,365 207,400 SH Sole 207,400 Abercrombie & Fitch Co COM 002896207 454 23,100 SH Sole 23,100 Adobe Sys Inc COM 00724F101 4,326 226,500 SH Sole 226,500 Aetna Inc New COM 00817Y108 6,542 182,700 SH Sole 182,700 Albany Intl Corp COM 012348108 607 32,000 SH Sole 32,000 Alberto Culver Co COM 013068101 985 20,100 SH Sole 20,100 American Std Cos Inc D COM 029712106 928 14,600 SH Sole 14,600 Amerisource Bergen Corp COM 03073E105 6,263 87,700 SH Sole 87,700 Amtek Inc COM 031100100 672 23,100 SH Sole 23,100 Amsouth Bancorporation COM 032165102 2,607 125,700 SH Sole 125,700 Apache Corp COM 037411105 11,146 187,490 SH Sole 187,490 Applera COM 038020103 2,459 134,400 SH Sole 134,400 Arvinmeritor Inc COM 043353101 188 10,100 SH Sole 10,100 Associated Banc Corp COM 045487105 615 19,400 SH Sole 19,400 Autozone Inc COM 053332102 1,908 24,200 SH Sole 24,200 Avery Dennison Corp COM 053611109 2,569 45,100 SH Sole 45,100 BancorpSouth Inc COM 059692103 949 48,200 SH Sole 48,200 Becton Dickinson COM 075887109 2,720 95,800 SH Sole 95,800 Bed Bath & Beyond Inc COM 075896100 7,491 230,000 SH Sole 230,000 Belo A H Corp Del COM 080555105 459 21,000 SH Sole 21,000 Bemis Inc COM 081437105 1,086 22,000 SH Sole 22,000 Big Lots Inc COM 089302103 568 35,900 SH Sole 35,900 Biomet Inc COM 090613100 2,652 99,600 SH Sole 99,600 Block H & R Inc COM 093671105 5,494 130,800 SH Sole 130,800 Boise Cascade Corp COM 097383103 665 29,200 SH Sole 29,200 Borders Group Inc COM 099709107 409 25,900 SH Sole 25,900 Boston Scientific Corp COM 101137107 3,465 109,800 SH Sole 109,800 Brunswick Corp COM 117043109 614 29,200 SH Sole 29,200 Burlington Res Inc COM 122014103 3,333 86,900 SH Sole 86,900 Coors Adolph CL B 217016104 653 11,600 SH Sole 11,600 CVS Corp COM 126650100 6,801 268,300 SH Sole 268,300 Campbell Soup Co COM 134429109 3,400 154,000 SH Sole 154,000 Carlisle Cos Inc COM 142339100 451 12,300 SH Sole 12,300 ChevronTexaxo Corp COM 166764100 11,800 170,400 SH Sole 170,400 Citigroup Inc COM 172967101 21,731 732,929 SH Sole 732,929 City National Corp COM 178566105 28,132 601,500 SH Sole 601,500 Claire's Stores Inc COM 179584107 464 21,300 SH Sole 21,300 Colgate Palmolive Co COM 194162103 12,732 236,000 SH Sole 236,000 Columbia Sportswear COM 198516106 972 28,000 SH Sole 28,000 Commerce Bancorp Inc N COM 200519106 547 13,200 SH Sole 13,200 Compass Bancshares COM 20449H109 884 30,000 SH Sole 30,000 Cooper Tire & Rubr Co COM 216831107 429 26,600 SH Sole 26,600 Corinthian Colleges Inc COM 218868107 411 10,900 SH Sole 10,900 Corn Products Intl Inc COM 219023108 724 25,200 SH Sole 25,200 Cullen Frost Bankers I COM 229899109 495 14,500 SH Sole 14,500 Dean Foods Co. COM 242370104 807 20,300 SH Sole 20,300 Deere & Co COM 244199105 5,426 119,400 SH Sole 119,400 Dell Computer Corp COM 247025109 6,589 280,300 SH Sole 280,300 Deluxe Corp COM 248019101 811 18,000 SH Sole 18,000 Dial Corp COM 25247D101 667 31,100 SH Sole 31,100 Diamonds Trust Series COM 252787106 46,664 614,000 SH Sole 614,000 Dollar Gen Corp COM 256669102 2,646 197,200 SH Sole 197,200 Donnelley (R.R.) & Son COM 257867101 813 34,600 SH Sole 34,600 Doral Financial Corp COM 25811P100 528 21,900 SH Sole 21,900 Du Pont E I De Nemours COM 263534109 3,715 103,000 SH Sole 103,000 Dun & Bradstreet Corp COM 26483E100 1,270 37,800 SH Sole 37,800 Education Management Cor COM 28139T101 531 12,000 SH Sole 12,000 Edwards AG Inc COM 281760108 470 14,700 SH Sole 14,700 Edwards Lifesciences C COM 28176E108 514 20,100 SH Sole 20,100 Entergy Corp New COM 29364G103 5,499 132,200 SH Sole 132,200 Extended Stay America COM 30224P101 796 62,700 SH Sole 62,700 FMC Technologies COM 30249U101 623 37,200 SH Sole 37,200 Fair Isaac & Co Inc COM 303250104 470 14,400 SH Sole 14,400 Federal Home Ln Mtg Co COM 313400301 7,809 139,700 SH Sole 139,700 Federal Natl Mtg Assn COM 313586109 6,960 116,900 SH Sole 116,900 Fedex Corp COM 31428X106 1,867 37,300 SH Sole 37,300 Fifth Third Bancorp COM 316773100 5,669 92,600 SH Sole 92,600 First Midwest Bancorp COM 320867104 829 30,900 SH Sole 30,900 Fisher Scientific Intl COM 338032204 907 29,900 SH Sole 29,900 Fleet Boston Fin Corp COM 339030108 5,289 260,200 SH Sole 260,200 Forest Oil Corp COM 346091705 902 35,400 SH Sole 35,400 Fresh Del Monte Produce COM G36738105 693 27,100 SH Sole 27,100 GTech Holdings Corp COM 400518106 645 26,000 SH Sole 26,000 Guidant Corp COM 401698105 4,949 153,200 SH Sole 153,200 Hearst-Argyle Televisi COM 422317107 1,078 43,400 SH Sole 43,400 Hibernia Corp - Class COM 428656102 845 42,300 SH Sole 42,300 Hillenbrand Inds Inc COM 431573104 499 9,200 SH Sole 9,200 Intuit COM 461202103 3,519 77,300 SH Sole 77,300 Invitrogen Corp COM 46185R100 500 14,700 SH Sole 14,700 Ishares Tr S&P 500 464287200 46,652 569,700 SH Sole 569,700 Johnson Ctls Inc COM 478366107 7,743 100,800 SH Sole 100,800 KB Home COM 48666K109 547 11,200 SH Sole 11,200 Kimberly Clark Corp COM 494368103 11,996 211,800 SH Sole 211,800 Kohls Corp COM 500255104 2,493 41,000 SH Sole 41,000 Lee Enterprises Inc COM 523768109 943 28,700 SH Sole 28,700 Lennar Corp COM 526057104 535 9,600 SH Sole 9,600 Lifepoint Hospitals In COM 53219L109 536 17,200 SH Sole 17,200 Liz Claiborne COM 539320101 434 17,400 SH Sole 17,400 Lowes Companies Inc COM 548661107 8,387 202,600 SH Sole 202,600 Marshall & Isley Corp. COM 571834100 7,881 282,600 SH Sole 282,600 Mcgraw Hill Cos Inc COM 580645109 8,980 146,700 SH Sole 146,700 Mckesson HBOC Inc COM 58155Q103 2,623 92,600 SH Sole 92,600 Mercantile Bankshares COM 587405101 996 26,100 SH Sole 26,100 Mercury Genl Corp New COM 589400100 457 10,700 SH Sole 10,700 Meredith Corp COM 589433101 533 12,400 SH Sole 12,400 Merrill Lynch & Co COM 590188108 11,759 356,900 SH Sole 356,900 Michaels Stores COM 594087108 1,462 32,000 SH Sole 32,000 Microchip Technology I COM 595017104 2,163 105,800 SH Sole 105,800 Microsoft Corp COM 594918104 15,190 347,300 SH Sole 347,300 Mid Cap Spdr Tr UNIT SER 1 595635103 51,135 688,700 SH Sole 688,700 Moody's Corp COM 615369105 3,516 72,500 SH Sole 72,500 Morgan Stanley Group I COM 617446448 11,366 335,500 SH Sole 335,500 Mylan Laboratories COM 628530107 798 24,400 SH Sole 24,400 Nasdaq 100 Tr UNIT SER 1 631100104 45,163 2,179,700 SH Sole 2,179,700 National City Corp COM 635405103 5,163 181,000 SH Sole 181,000 Newfield Expl Co COM 651290108 1,061 31,600 SH Sole 31,600 New York Community Bank COM 649445103 723 25,700 SH Sole 25,700 North Fork Bancorporat COM 659424105 11,155 294,800 SH Sole 294,800 Northern Trust Corp COM 665859104 8,803 233,400 SH Sole 233,400 Occidental Pete Corp D COM 674599105 1,708 60,200 SH Sole 60,200 Office Depot Inc COM 676220106 563 45,700 SH Sole 45,700 Old National Banc Corp COM 680033107 487 19,600 SH Sole 19,600 Old Rep Intl Corp COM 680223104 1,294 45,600 SH Sole 45,600 Omnicare Inc COM 681904108 1,058 50,100 SH Sole 50,100 Payless Shoesource Inc COM 704379106 1,015 18,800 SH Sole 18,800 Pfizer Inc COM 717081103 10,461 360,500 SH Sole 360,500 Pier 1 Imports Inc COM 720279108 448 23,500 SH Sole 23,500 Pitney Bowes Inc COM 724479100 4,451 146,000 SH Sole 146,000 Pittston Brinks Group COM 725701106 1,097 49,000 SH Sole 49,000 Pogo Producing Co COM 730448107 677 19,900 SH Sole 19,900 Praxair Inc COM 74005P104 3,127 61,200 SH Sole 61,200 Precision Castparts Co COM 740189105 581 26,800 SH Sole 26,800 Procter & Gamble Co COM 742718109 13,675 153,000 SH Sole 153,000 Provident Bancorp Inc COM 743866105 725 28,900 SH Sole 28,900 Prudential Financial COM 744320102 5,386 188,600 SH Sole 188,600 Puget Energy Inc COM 745310102 600 29,400 SH Sole 29,400 Pulte Corp COM 745867101 451 10,600 SH Sole 10,600 Qualcomm Inc. COM 747525103 4,433 160,500 SH Sole 160,500 Renal Care Group Inc. COM 759930100 246 7,500 SH Sole 7,500 Rockwell Collins, Inc. COM 774341101 498 22,700 SH Sole 22,700 Ross Stores Inc COM 778296103 470 13,200 SH Sole 13,200 Ruby Tuesday Inc COM 781182100 970 51,700 SH Sole 51,700 Ryder System Inc COM 783549108 1,054 42,300 SH Sole 42,300 Spdr Tr UNIT SER 1 78462F103 46,726 571,300 SH Sole 571,300 Southern Co COM 842587107 1,439 50,000 SH Sole 50,000 Stancorp Financial Group COM 852891100 767 14,500 SH Sole 14,500 Sysco Corp COM 871829107 5,678 200,000 SH Sole 200,000 Target Corp COM 87612E106 7,418 251,300 SH Sole 251,300 Tenet Healthcare Corp COM 88033G100 5,600 113,150 SH Sole 113,150 TXU Corp COM 882848108 2,802 67,200 SH Sole 67,200 Tidewater Inc COM 886423102 885 32,800 SH Sole 32,800 Timberland Co COM 887100105 415 13,100 SH Sole 13,100 Tjx Cos Inc New COM 872540109 2,402 141,300 SH Sole 141,300 Triad Hospitals COM 89579K109 1,142 30,100 SH Sole 30,100 Tribune Co New COM 896047107 9,298 222,400 SH Sole 222,400 Union Pac Corp COM 907818108 5,694 98,400 SH Sole 98,400 United Healthcare Corp COM 91324P102 5,512 63,200 SH Sole 63,200 United Technologies Co COM 913017109 7,835 138,700 SH Sole 138,700 Universal Health Svcs COM 913903100 531 10,400 SH Sole 10,400 VF Corp COM 918204108 906 25,200 SH Sole 25,200 Varco Intl Inc COM 922122106 876 51,800 SH Sole 51,800 Varian Inc. COM 922206107 927 33,600 SH Sole 33,600 Varian Medical Systems COM 92220P105 1,169 27,200 SH Sole 27,200 Verizon Communications COM 92343v104 3,386 123,400 SH Sole 123,400 Viacom Inc CL B 925524308 3,061 75,500 SH Sole 75,500 Wal Mart Stores Inc COM 931142103 11,079 225,000 SH Sole 225,000 Washington Federal Inc COM 938824109 660 29,600 SH Sole 29,600 Washington Mut Inc COM 939322103 4,840 153,800 SH Sole 153,800 Wells Fargo & Co Del COM 949746101 871 18,100 SH Sole 18,100 Werner Enterprises Inc COM 950755108 437 23,800 SH Sole 23,800 Westamerica Bancorpora COM 957090103 620 15,400 SH Sole 15,400 Williams Sonoma Inc COM 969904101 300 12,700 SH Sole 12,700 Winn-Dixie Stores Inc. COM 974280109 390 29,800 SH Sole 29,800 Yum! Brands Inc COM 988498107 2,920 105,400 SH Sole 105,400 REPORT SUMMARY 165 DATA RECORDS 754,218
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