0000950123-21-006254.txt : 20210513 0000950123-21-006254.hdr.sgml : 20210513 20210513140011 ACCESSION NUMBER: 0000950123-21-006254 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210513 DATE AS OF CHANGE: 20210513 EFFECTIVENESS DATE: 20210513 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: 21918584 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 03-31-2021 03-31-2021 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 05-10-2021 12 82 88516 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 4541.xml INFORMATION TABLE FOR FORM 13F ABERDEEN ASIA-PACIFIC INCOME FUND INC COM 003009107 1583 387100 SH SOLE 387100 0 0 ALTABANCORP COM 021347109 203 4835 SH SOLE 4835 0 0 AMERICAN EQUITY INVT LIFE HL COM 025676206 246 7805 SH SOLE 7805 0 0 ANNALY CAPITAL MANAGEMENT INC COM 035710409 6450 750000 SH SOLE 750000 0 0 BWX TECHNOLOGIES INC COM 05605H100 226 3425 SH SOLE 3425 0 0 BANK OF AMERICA CORP COM 060505104 265 6840 SH SOLE 6840 0 0 BLACKROCK RESOURCES & COMMODITIES STRATEGY TRUST SHS 09257A108 872 98300 SH SOLE 98300 0 0 BROOKFIELD REAL ASSETS INCOME FUND INC COM 112830104 270 13054 SH SOLE 13054 0 0 CAMP 2 08/01/25 NOTE 128126AD1 636 705000 PRN SOLE 705000 0 0 CAMPING WORLD HOLDINGS INC-A COM 13462K109 71 1945 SH SOLE 1945 0 0 CAPSTEAD MORTGAGE CORP COM 14067E506 651 104528 SH SOLE 104528 0 0 CISCO SYSTEMS INC COM 17275R102 64 1231 SH SOLE 1231 0 0 COLLEGIUM PHARMACEUTICAL INC COM 17275R102 39 1656 SH SOLE 1656 0 0 COLONY CAPITAL INC COM 19626G108 1597 246456 SH SOLE 246456 0 0 DENBURY INC COM 24790A101 839 19946 SH SOLE 19946 0 0 DEVON ENERGY CORP COM 25179M103 63 2875 SH SOLE 2875 0 0 DOMINION ENERGY INC COM 25746U109 944 12425 SH SOLE 12425 0 0 DOUBLELINE YIELD OPPORTUNITIES FUND COM 25862D105 4785 250000 SH SOLE 250000 0 0 EOG RESOURCES INC COM 26875P101 126 1735 SH SOLE 1735 0 0 EDGEWELL PERSONAL CARE CO COM 28035Q102 251 6345 SH SOLE 6345 0 0 89BIO INC COM 282559103 383 16190 SH SOLE 16190 0 0 ELANCO ANIMAL HEALTH INC COM 28414H202 262 5700 SH SOLE 5700 0 0 ENERGY TRANSFER LP COM 29273V100 733 95500 PRN SOLE 95500 0 0 ERICSSON (LM) TEL-SP ADR ADR 294821608 228 17285 SH SOLE 17285 0 0 FEDERAL REALTY INVS TRUST COM 313747206 191 1880 SH SOLE 1880 0 0 FUTUREFUEL CORP COM 36116M106 219 15080 SH SOLE 15080 0 0 GENERATION BIO CO COM 37148K100 1702 59809 SH SOLE 59809 0 0 GILEAD SCIENCES INC COM 375558103 219 3385 SH SOLE 3385 0 0 GOLD RESOURCE CORP COM 38068T105 59 22285 SH SOLE 22285 0 0 GRITSTONE ONCOLOGY INC COM 39868T105 103 10952 SH SOLE 10952 0 0 HARTFORD FINANCIAL SVCS GRP COM 416515104 245 3675 SH SOLE 3675 0 0 HUNTINGTON INGALLS INDUSTRIE COM 446413106 269 1305 SH SOLE 1305 0 0 HURCO COMPANIES INC COM 447324104 212 6010 SH SOLE 6010 0 0 IMMUNITYBIO INC COM 45256X103 508 21416 SH SOLE 21416 0 0 INGLES MARKETS INC-CLASS A COM 457030104 180 2925 SH SOLE 2925 0 0 INTL FLAVOR & FRAGRANCES COM 459506309 216 4400 SH SOLE 4400 0 0 IONS 0 1/8 12/15/24 NOTE 462222AB6 531 556000 PRN SOLE 556000 0 0 ISHARES JP MORGAN EM LOCAL CURRENCY BOND ETF COM 464286517 90 2109 SH SOLE 2109 0 0 KIMCO REALTY CORP COM 49446R109 133 7085 SH SOLE 7085 0 0 KRAFT HEINZ CO/THE COM 500754106 256 6390 SH SOLE 6390 0 0 KYMERA THERAPEUTICS INC COM 501575104 1179 30327 SH SOLE 30327 0 0 LSI INDUSTRIES INC COM 50216C108 248 29085 SH SOLE 29085 0 0 MGP INGREDIENTS INC COM 55303J106 214 3610 SH SOLE 3610 0 0 MIX TELEMATICS LTD-SP ADR ADR 60688N102 134 9705 SH SOLE 9705 0 0 MORGAN STANLEY EMERGING MARKETS DOMESTIC DEBT FUND INC COM 617477104 6118 1016241 SH SOLE 1016241 0 0 MOSAIC CO/THE COM 61945C103 236 7455 SH SOLE 7455 0 0 MYERS INDUSTRIES INC COM 628464109 114 5790 SH SOLE 5790 0 0 NVE CORP COM 629445206 97 1380 SH SOLE 1380 0 0 NATIONAL PRESTO INDS INC COM 637215104 240 2355 SH SOLE 2355 0 0 NEW RESIDENTIAL INVESTMENT CORP COM 64828T201 5974 531000 SH SOLE 531000 0 0 NEWELL BRANDS INC COM 651229106 220 8200 SH SOLE 8200 0 0 NUCOR CORP COM 670346105 155 1930 SH SOLE 1930 0 0 NUSTAR ENERGY LP COM 67058H102 183 10700 SH SOLE 10700 0 0 NUVEEN PREFERRED & INCOME SECURITIES FUND COM 67072C105 4063 418033 SH SOLE 418033 0 0 OMNICOM GROUP COM 681919106 234 3160 SH SOLE 3160 0 0 PGIM GLOBAL HIGH YIELD FUND INC COM 69346J106 2466 165301 SH SOLE 165301 0 0 PHATHOM PHARMACEUTICALS INC COM 71722W107 3265 86940 SH SOLE 86940 0 0 PLAINS ALL AMERICAN PIPELINE LP COM 726503105 359 39500 SH SOLE 39500 0 0 ROCKY BRANDS INC COM 774515100 282 5225 SH SOLE 5225 0 0 SHYFT GROUP INC/THE COM 825698103 174 4670 SH SOLE 4670 0 0 SIMON PROPERTY GROUP INC COM 828806109 3527 31000 SH SOLE 31000 0 0 SMITH & WESSON BRANDS INC COM 831754106 229 13120 SH SOLE 13120 0 0 SNAP-ON INC COM 833034101 233 1010 SH SOLE 1010 0 0 STEWART INFORMATION SERVICES COM 860372101 178 3415 SH SOLE 3415 0 0 3M CO COM 88579Y101 247 1280 SH SOLE 1280 0 0 TWO HARBORS INVESTMENT CORP COM 90187B408 2309 315000 SH SOLE 315000 0 0 UGI CORP COM 902681105 243 5935 SH SOLE 5935 0 0 UNION BANKSHARES INC/VT COM 905400107 99 3300 SH SOLE 3300 0 0 VALE SA COM 91912E105 503 28953 SH SOLE 28953 0 0 VANECK VECTORS J.P. MORGAN EM LOCAL CURRENCY BOND ETF COM 92189H300 10851 353693 SH SOLE 353693 0 0 VAXCYTE INC COM 92243G108 439 22227 SH SOLE 22227 0 0 VISTRA CORP COM 92840M102 125 7095 SH SOLE 7095 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 134 2440 SH SOLE 2440 0 0 WELLS FARGO & CO COM 949746101 2618 67000 SH SOLE 67000 0 0 WESTERN ASSET EMERGING MARKETS DEBT FUND INC COM 95766A101 4615 349101 SH SOLE 349101 0 0 XPERI HOLDING CORP COM 98390M103 125 5725 SH SOLE 5725 0 0 CHENIERE ENERGY INC 4.25 03/15/45 NOTE 16411RAG4 1825 2236000 SH SOLE 2236000 0 0 FORTIVE CORPORATION 0.875 02/15/2022 NOTE 34959JAK4 5474 5400000 SH SOLE 5400000 0 0 GNERATION BIO CO NOTE 37148K100 235 8256 SH SOLE 8256 0 0 JAZZ INVESTMENTS I LTD 1.5 08/15/2024 NOTE 472145AD3 557 515000 SH SOLE 515000 0 0 LIGAND PHARMACEUTICALS I 0.75 05/15/2023 NOTE 53220KAF5 424 410000 SH SOLE 410000 0 0 SUPERNUS PHARMACEUTICALS 0.625 04/01/2023 NOTE 868459AD0 651 675000 SH SOLE 675000 0 0