0000950123-20-011199.txt : 20201110 0000950123-20-011199.hdr.sgml : 20201110 20201110155652 ACCESSION NUMBER: 0000950123-20-011199 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201110 DATE AS OF CHANGE: 20201110 EFFECTIVENESS DATE: 20201110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Penn Mutual Asset Management, LLC CENTRAL INDEX KEY: 0000855702 IRS NUMBER: 232566941 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18923 FILM NUMBER: 201301016 BUSINESS ADDRESS: STREET 1: 600 DRESHER ROAD STREET 2: SUITE 100 CITY: HORSHAM STATE: PA ZIP: 19044 BUSINESS PHONE: 215-956-8114 MAIL ADDRESS: STREET 1: 600 DRESHER ROAD STREET 2: SUITE 100 CITY: HORSHAM STATE: PA ZIP: 19044 FORMER COMPANY: FORMER CONFORMED NAME: INDEPENDENCE CAPITAL MANAGEMENT INC /ADV DATE OF NAME CHANGE: 19890926 13F-HR 1 primary_doc.xml 13F-HR LIVE 0000855702 XXXXXXXX 09-30-2020 09-30-2020 false Penn Mutual Asset Management, LLC

600 Dresher Road Suite 100 Horsham PA 19044

13F COMBINATION REPORT 028-18923 028-10904 Janus Henderson Group Plc 028-10368 Ivy Investment Management Co. 028-10562 AllianceBernstein L.P. 028-01091 American Century Investment Management, Inc. 028-11197 Cohen & Steers Capital Management, Inc. 028-10981 Goldman Sachs Asset Management, L.P. 028-04968 MFS Investment Management 028-03432 Morgan Stanley Investment Management, Inc. 028-00399 SSgA Funds Management, Inc. 028-00115 T. Rowe Price Associates, Inc. 028-04490 Vontobel Asset Management, Inc. 028-04139 Eaton Vance Management N Keith Huckerby 215-956-8033 Keith Huckerby Horsham PA 11-10-2020 12 50 70872 false 1 028-10904 Janus Henderson Group Plc 2 028-10368 Ivy Investment Management Co. 3 028-10562 AllianceBernstein L.P. 4 028-01091 American Century Investment Management, Inc. 5 028-11197 Cohen & Steers Capital Management, Inc. 6 028-10981 Goldman Sachs Asset Management, L.P. 7 028-04968 MFS Investment Management 8 028-03432 Morgan Stanley Investment Management, Inc. 9 028-00399 SSgA Funds Management, Inc. 10 028-00115 T. Rowe Price Associates, Inc. 11 028-04490 Vontobel Asset Management, Inc. 12 028-04139 Eaton Vance Management INFORMATION TABLE 2 1692.xml INFORMATION TABLE FOR FORM 13F 3M CO COM 88579Y101 196 1225 SH SOLE 1225 0 0 AGNC INVESTMENT CORP COM 00123Q104 7050 506800 SH SOLE 506800 0 0 AIMMUNE THERAPEUTICS INC COM 00900T107 5470 158783 SH SOLE 158783 0 0 AT&T INC COM 00206R102 4068 142700 SH SOLE 142700 0 0 AVROBIO INC COM 05455M100 486 37306 SH SOLE 37306 0 0 BLACKROCK RESOURCES & COMMODITIES STRATEGY TRUST SHS 09257A108 896 150600 SH SOLE 150600 0 0 BWX TECHNOLOGOES INC COM 05605H100 184 3210 SH SOLE 3210 0 0 CAMP 2 08/01/25 NOTE 128126AD1 392 480000 PRN SOLE 0 0 0 CAPSTEAD MORTGAGE CORP COM 14067E506 2659 473165 SH SOLE 473165 0 0 CISCO SYSTEMS INC COM 17275R102 97 2496 SH SOLE 2496 0 0 COLONY CAPITAL INC COM 19626G108 964 352939 SH SOLE 352939 0 0 DENBURY INC COM 24790A101 1563 88798 SH SOLE 88798 0 0 DOMINION ENERGY INC COM 25746U109 981 12426 SH SOLE 12426 0 0 DOUBLELINE YIELD OPPORTUNITIES FUND COM 25862D105 4573 250000 SH SOLE 250000 0 0 ENERGY TRANSFER LP COM 29273V100 518 95500 SH SOLE 95500 0 0 EOG RESOURCES INC COM 26875P101 147 4060 SH SOLE 4060 0 0 ERICSSON (LM) TEL-SP ADR ADR B SEK 10 294821608 78 7200 SH SOLE 7200 0 0 FLIR SYSTEMS INC COM 302445101 210 5895 SH SOLE 5895 0 0 FORTIVE CORP NOTE 34959JAK4 5407 5400000 PRN SOLE 0 0 0 FUTUREFUEL CORP COM 36116M106 97 8595 SH SOLE 8595 0 0 GOLD RESOURCE CORP COM 38068T105 195 56220 SH SOLE 56220 0 0 HARTFORD FINANCIAL SVCS GRP COM 416515104 102 2790 SH SOLE 2790 0 0 HUNTINGTON INGALLS INDUSTRIE COM 446413106 203 1435 SH SOLE 1435 0 0 JAZZ INVESTMENTS I LTD 1.5 08/15/2024 NOTE 472145AD3 518 515000 PRN SOLE 0 0 0 KIMCO REALTY CORP COM 49446R109 99 8755 SH SOLE 8755 0 0 KRAFT HEINZ CO/THE COM 500754106 101 3415 SH SOLE 3415 0 0 LIGAND PHARMACEUTICALS I 0.75 05/15/2023 NOTE 53220KAF5 555 615000 PRN SOLE 0 0 0 MGP INGREDIENTS INC COM 55303J106 212 5385 SH SOLE 5385 0 0 MIX TELEMATICS LTD-SP ADR SPONSORED ADR 60688N102 103 11745 SH SOLE 11745 0 0 MYERS INDUSTRIES INC COM 628464109 100 7525 SH SOLE 7525 0 0 NATIONAL PRESTO INDS INC COM 637215104 199 2455 SH SOLE 2455 0 0 NEW RESIDENTIAL INVESTMENT CORP COM 64828T201 4221 531000 SH SOLE 531000 0 0 NEWELL BRANDS INC COM 651229106 95 5555 SH SOLE 5555 0 0 NUSTAR ENERGY LP COM 67058H102 114 10700 SH SOLE 10700 0 0 NUVEEN PREFERRED & INCOME SECURITIES FUND COM 67072C105 3683 418033 SH SOLE 418033 0 0 OMNICOM GROUP COM 681919106 100 2040 SH SOLE 2040 0 0 PGIM GLOBAL HIGH YIELD FUND INC COM 69346J106 2190 165301 SH SOLE 165301 0 0 PHATHOM PHARMACEUTICALS INC COM 71722W107 3188 86940 SH SOLE 86940 0 0 REPLIMUNE GROUP INC COM 76029N106 365 15877 SH SOLE 15877 0 0 ROCKY BRANDS INC COM 774515100 173 7040 SH SOLE 7040 0 0 SHYFT GROUP INC/THE COM 825698103 154 8200 SH SOLE 8200 0 0 SNAP-ON INC COM 833034101 145 1000 SH SOLE 1000 0 0 STEWART INFORMATION SERVICES COM 860372101 105 2400 SH SOLE 2400 0 0 SUPERNUS PHARMACEUTICALS 0.625 04/01/2023 NOTE 868459AD0 493 540000 PRN SOLE 0 0 0 TWITTER INC 1 09/15/2021 NOTE 90184LAD4 199 200000 PRN SOLE 0 0 0 TWO HARBORS INVESTMENT CORP COM 90187B408 1603 315000 SH SOLE 315000 0 0 UGI CORP COM 902681105 204 6265 SH SOLE 6265 0 0 VANECK VECTORS J.P. MORGAN EM LOCAL CURRENCY BOND ETF JP MORGAN MKTS 92189H300 10908 353693 SH SOLE 353693 0 0 VISTRA CORP COM 92840M102 208 11235 SH SOLE 11235 0 0 WESTERN ASSET EMERGING MARKETS DEBT FUND INC COM 95766A101 4301 349101 SH SOLE 349101 0 0