0000950123-21-013945.txt : 20211105 0000950123-21-013945.hdr.sgml : 20211105 20211104195127 ACCESSION NUMBER: 0000950123-21-013945 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211105 DATE AS OF CHANGE: 20211104 EFFECTIVENESS DATE: 20211105 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: 211381820 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 09-30-2021 09-30-2021 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 DIFA, Macquarie Investment Management 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 11-04-2021 12 73 63235 false 1 028-10904 Janus Henderson Group Plc 2 028-10368 DIFA, Macquarie Investment Management 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 6717.xml INFORMATION TABLE FOR FORM 13F ACV AUCTIONS INC COM 00091G104 109 6087 SH SOLE 6087 0 0 AGNC INVESTMENT CORP COM 00123Q104 1506 95480 SH SOLE 95480 0 0 AT&T INC COM 00206R102 227 8960 SH SOLE 8960 0 0 ABERDEEN ASIA-PACIFIC INCOME FUND INC COM 003009107 592 142600 SH SOLE 142600 0 0 AMERICAN EQUITY INVT LIFE HL COM 025676206 250 7805 SH SOLE 7805 0 0 ANNALY CAPITAL MANAGEMENT INC COM 035710409 2808 329414 SH SOLE 329414 0 0 ARCUTIS BIOTHERAPEUTICS INC COM 03969K108 129 5413 SH SOLE 5413 0 0 ARGAN INC COM 04010E109 277 6240 SH SOLE 6240 0 0 BWX TECHNOLOGIES INC COM 05605H100 161 2855 SH SOLE 2855 0 0 BANK OF AMERICA CORP COM 060505104 155 3340 SH SOLE 3340 0 0 BARRICK GOLD CORP COM COM 067901108 251 13100 SH SOLE 13100 0 0 BLACKROCK RESOURCES & COMMODITIES STRATEGY TRUST SHS 09257A108 1456 163094 SH SOLE 163094 0 0 BROOKFIELD REAL ASSETS INCOME FUND INC SHS 112830104 88 4202 SH SOLE 4202 0 0 COTERRA ENERGY I COM 127097103 231 11360 SH SOLE 11360 0 0 CALAMP CORP NOTE 128126AD1 620 705 SH SOLE 705 0 0 CAMPING WORLD HOLDINGS INC-A CLA 13462K109 196 5305 SH SOLE 5305 0 0 CAPSTEAD MORTGAGE CORP COM 14067E506 813 121478 SH SOLE 121478 0 0 BED BATH BEYOND NOTE 16411RAG4 2323 227436 SH SOLE 227436 0 0 CISCO SYSTEMS INC COM 17275R102 68 1231 SH SOLE 1231 0 0 COINBASE GLOBAL INC COM 19206Q107 704 3096 SH SOLE 3096 0 0 DEVON ENERGY CORP COM 25179M103 185 4620 SH SOLE 4620 0 0 DIGITALBRIDGE GROUP CLA 25401T108 1216 201609 SH SOLE 201609 0 0 DOMINION ENERGY INC COM 25746U109 907 12425 SH SOLE 12425 0 0 DOUBLELINE YIELD OPPORTUNITIES FUND COM 25862D105 1292 67612 SH SOLE 67612 0 0 DYNE THERAPEUTICS INC COM 26818M108 567 34886 SH SOLE 34886 0 0 EOG RESOURCES INC COM 26875P101 115 1285 SH SOLE 1285 0 0 EDGEWELL PERSONAL CARE CO COM 28035Q102 203 5795 SH SOLE 5795 0 0 ENERGY TRANSFER LP COM 29273V100 915 95500 SH SOLE 95500 0 0 ERICSSON (LM) TEL-SP ADR ADR 294821608 245 20035 SH SOLE 20035 0 0 EXXON MOBILE CORP COM 30231G102 130 2080 SH SOLE 2080 0 0 FEDERAL REALTY INVS TRUST SH 313747206 140 1130 SH SOLE 1130 0 0 FIREEYE INC NOTE 31816QAD3 3 500 SH SOLE 500 0 0 FORTIVE CORP NOTE 34959JAK4 5414 5000400 SH SOLE 5000400 0 0 GENERATION BIO CO COM 37148K100 1631 65040 SH SOLE 65040 0 0 GILEAD SCIENCES INC COM 375558103 241 3570 SH SOLE 3570 0 0 HOLLYFRONTIER CO COM 436106108 292 7955 SH SOLE 7955 0 0 HUNTINGTON INGALLS INDUSTRIE COM 446413106 202 975 SH SOLE 975 0 0 HURCO COMPANIES INC COM 447324104 287 8645 SH SOLE 8645 0 0 INGLES MARKETS INC-CLASS A CLA 457030104 71 1060 SH SOLE 1060 0 0 IBM COM 459200101 228 1575 SH SOLE 1575 0 0 IONS 0 1/8 12/15/24 NOTE 462222AB6 788 856 PRN SOLE 856 0 0 ISHARES JP MORGAN EM LOCAL CURRENCY BOND ETF COM 464286517 89 2109 SH SOLE 2109 0 0 JAZZ INVT I LTD NOTE 472145AD3 529 515 SH SOLE 515 0 0 KIMCO REALTY CORP COM 49446R109 142 6330 SH SOLE 6330 0 0 KRAFT HEINZ CO/THE COM 500754106 174 4705 SH SOLE 4705 0 0 LSI INDUSTRIES INC COM 50216C108 324 40840 SH SOLE 40840 0 0 LIGAND PHARMACEU NOTE 53220KAF5 802 810 SH SOLE 810 0 0 MGP INGREDIENTS INC COM 55303J106 123 1925 SH SOLE 1925 0 0 MARINE PRODUCTS COM 568427108 67 5250 SH SOLE 5250 0 0 MIX TELEMATICS LTD-SP ADR ADR 60688N102 293 23060 SH SOLE 23060 0 0 MORGAN STANLEY EMERGING MARKETS DOMESTIC DEBT FUND INC COM 617477104 5014 857041 SH SOLE 857041 0 0 MOSAIC CO/THE COM 61945C103 167 4020 SH SOLE 4020 0 0 NVE CORP COM 629445206 114 1750 SH SOLE 1750 0 0 NEW RESIDENTIAL INVESTMENT CORP COM 64828T201 6791 627000 SH SOLE 627000 0 0 NUCOR CORP COM 670346105 136 1335 SH SOLE 1335 0 0 NUSTAR ENERGY LP COM 67058H102 168 10700 SH SOLE 10700 0 0 NUVEEN PREFERRED & INCOME SECURITIES FUND COM 67072C105 2692 274709 SH SOLE 274709 0 0 OKTA INC CLA 679295105 1986 8366 SH SOLE 8366 0 0 OLO INC CLA 68134L109 986 32832 SH SOLE 32832 0 0 PGIM GLOBAL HIGH YIELD FUND INC COM 69346J106 203 13152 SH SOLE 13152 0 0 PHATHOM PHARMACEUTICALS INC COM 71722W107 2791 86940 SH SOLE 86940 0 0 PLAINS ALL AMERICAN PIPELINE LP COM 726503105 178 17500 SH SOLE 17500 0 0 ROCKY BRANDS INC COM 774515100 205 3985 SH SOLE 3985 0 0 SHYFT GROUP INC/THE COM 825698103 83 2245 SH SOLE 2245 0 0 SIMON PROPERTY GROUP INC COM 828806109 3930 30240 SH SOLE 30240 0 0 SMITH & WESSON BRANDS INC COM 831754106 130 6150 SH SOLE 6150 0 0 SNAP-ON INC COM 833034101 199 910 SH SOLE 910 0 0 SUPERNUS PHARMAC NOTE 868459AD0 672 675 SH SOLE 675 0 0 TWO HARBORS INVESTMENT CORP COM 90187B408 1566 247000 SH SOLE 247000 0 0 UGI CORP COM 902681105 261 5905 SH SOLE 5905 0 0 GSMS 2018-HULA B COM 902681113 3084 30000 SH SOLE 30000 0 0 UBER TECHNOLOGIES INC COM 905400107 1105 24663 SH SOLE 24663 0 0 UNION BANKSHARES INC/VT COM 905400107 195 6000 SH SOLE 6000 0 0