Symphony Asset Management LLC 

CA

  SEC # 1030815

        

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159  SEC Filings   from  6/11/99  to  2/16/21  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘13F-NT’ — Quarterly Holdings Notice by a Money Manager — Form 13F — for 12/31/20 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Symphony Asset Management LLC

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Forms , Documents & Exhibits  in  156 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
2/16/21	OLD		13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F  OLD  — Assets Under Management	5
2/12/21	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	10
8/14/20	OLD		13F-HR		Ownership:		Quarterly Holdings and Combination Reports by Money Managers — Form 13F  OLD  — Assets Under Management	112
5/4/20	OLD		D		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	9
5/29/19	OLD		40-APP		Registration:		Applications for Exemption Orders and Other Relief by Investment Companies  OLD	8
7/2/14	OLD		S-4		Registration:		Registration Statements – Securities for Mergers — Form S-4  OLD	6
3/3/10	OLD		APP WD		Registration:		Withdrawal of an Application for an Exemption Order or Other Relief  OLD	1
1/20/10	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	2
11/16/09	OLD		424B3		Registration:		Prospectuses – New Facts or Events  OLD	2
11/12/09	OLD		EFFECT		SEC:		SEC Notice of Effectiveness  OLD	1
10/9/09	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	4
					Form-Specific Documents:
8/14/20	OLD		INFO-TABLE		Portfolio Securities Holdings – Info Tables — Form 13F  OLD  — Assets Under Management			36
					General Exhibits:
7/2/14	OLD		EX-23		Consents of Experts and Counsel  OLD			6
3/13/14	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			59
3/13/14	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			5
3/13/14	OLD		EX-10		Material Contracts  OLD			34
3/13/14	OLD		EX-5		Opinions of Counsel re: Legality  OLD			4
3/13/14	OLD		EX-25		Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD			2
3/13/14	OLD		EX-21		Subsidiaries Lists  OLD			2
					Additional Exhibits:
7/2/14	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			13
					Financials:
7/2/14	OLD		EX-12		Statements re: Computations of Ratios  OLD			5
					Graphics:
10/23/18	OLD		GRAPHIC		Photos, Images and Graphs  OLD			30

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2021		3
2020		7
2019		11
2018		6
2017		11
2016		5
2015		5
2014		7
2013		7
2012		5
2011		9
2010		6
2009		14
2008		6
2007		4
2006		6
2005		5
2004		5
2003		4
2002		4
2001		16
2000		10
1999		3