0000950172-13-000034.txt : 20130313 0000950172-13-000034.hdr.sgml : 20130313 20130313103602 ACCESSION NUMBER: 0000950172-13-000034 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Rule 506 FILED AS OF DATE: 20130313 DATE AS OF CHANGE: 20130313 EFFECTIVENESS DATE: 20130313 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: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-156984 FILM NUMBER: 13686293 BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4156764000 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 D/A 1 primary_doc.xml X0706 D/A LIVE 0001030815 SYMPHONY ASSET MANAGEMENT LLC 555 CALIFORNIA STREET SUITE 2975 SAN FRANCISCO CA CALIFORNIA 94104 4156764000 CALIFORNIA None None Limited Liability Company true N/A Nuveen Investments Holdings, Inc. 333 West Wacker Drive Chicago IL ILLINOIS 60606 Promoter Managing Member Anne Popkin Symphony Asset Management, LLC 555 California Street, Suite 2975 San Francisco CA CALIFORNIA 94104 Executive Officer President David Goldstein Symphony Asset Management, LLC 555 California Street, Suite 2975 San Francisco CA CALIFORNIA 94104 Executive Officer Vice President and Chief Operating Officer Angela McKillen Symphony Asset Management, LLC 555 California Street, Suite 2975 San Francisco CA CALIFORNIA 94104 Executive Officer Vice President and Chief Financial Officer Gunther M. Stein Symphony Asset Management, LLC 555 California Street, Suite 2975 San Francisco CA CALIFORNIA 94104 Executive Officer Chief Investment Officer and Chief Executive Officer Ross S. Sakamoto Symphony Asset Management, LLC 555 California Street, Suite 2975 San Francisco CA CALIFORNIA 94104 Executive Officer Co-Director of Equity and Portfolio Manager Other Banking and Financial Services Decline to Disclose 06 true 0000950172-12-000016 2011-03-15 true true true Limited Liability Company interests in the form of "Units" false 0 Indefinite 0 Indefinite Offering consists of the issuance and grant of certain Units, which represent a profits interest in the Issuer, which were granted without cash consideration. false 17 0 0 0 false SYMPHONY ASSET MANAGEMENT LLC /s/ John MacCarthy John MacCarthy Vice President and Secretary 2013-03-12