SYMPHONY ASSET MANAGEMENT LLC Historic Quarter Change: USA ETF, Added

SYMPHONY ASSET MANAGEMENT LLC historic quarter change: USA ETF, Added

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), over 13 quarters from 2013-06-30 to 2016-09-30, SYMPHONY ASSET MANAGEMENT LLC opened 34 positions, added to 13, reduced 9 and sold out of 25.

Q3 2016: Stock POWERSHARES SENIOR LOAN PORTFOLIO; Country of operation —; Class ETF; Shares before 1,300,700.
Q3 2016: Stock SJNK; Country of operation —; Class ETF; Shares before 15,000.
Q3 2016: Stock FIRST DEFIANCE FINL CORP COM; Country of operation —; Class SHS; Shares before 6,821.
Q3 2015: Stock FIRST DEFIANCE FINL CORP; Country of operation —; Class COM; Shares before 5,926.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1030815), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-14); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-12); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-05-13); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-12); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-11-10); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-08-12); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-05-13); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-02-09); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-12); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-14); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-15); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-02-11); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-13). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 1999-06-30.

Quarter	Stock	Class	Shares before	Shares after	Share change	Value before	Value after	Value change	Filed
Q3 2016	POWERSHARES SENIOR LOAN PORTFOLIO CUSIP 73936Q769	ETF	1,300,700	2,603,583	+1,302,883	$29,877,000	$60,429,000	+$30,552,000	2016-11-14
Q3 2016	SJNK SPDR BARCLAYS SHORT TERM HIGH YIELD BOND ETF	ETF	15,000	685,115	+670,115	$405,000	$18,971,000	+$18,566,000	2016-11-14
Q3 2016	FIRST DEFIANCE FINL CORP COM CUSIP 32006W106	SHS	6,821	10,675	+3,854	$265,000	$476,000	+$211,000	2016-11-14
Q3 2015	FIRST DEFIANCE FINL CORP CUSIP 32006W106	COM	5,926	15,876	+9,950	$223,000	$580,000	+$357,000	2015-11-10
Q3 2015	FBT FIRST TRUST NYSE ARCA BIOTEC	COM	2,165	4,369	+2,204	$269,000	$443,000	+$174,000	2015-11-10
Q1 2015	FIRST DEFIANCE FINL CORP CUSIP 32006W106	COM	10,159	11,864	+1,705	$346,000	$389,000	+$43,000	2015-05-13
Q4 2014	SPY SPDR S&P 500 ETF TRUST	COM	33,775	49,000	+15,225	$6,654,000	$10,071,000	+$3,417,000	2015-02-09
Q4 2014	FIRST DEFIANCE FINL CORP CUSIP 32006W106	COM	8,028	10,159	+2,131	$217,000	$346,000	+$129,000	2015-02-09
Q3 2014	EUFN ISHARES MSCI EUROPE FINANCIA	COM	15,500	21,650	+6,150	$382,000	$511,000	+$129,000	2014-11-12
Q2 2014	FIRST DEFIANCE FINL CORP CUSIP 32006W106	COM	18,133	23,678	+5,545	$492,000	$680,000	+$188,000	2014-08-14
Q1 2014	FIRST DEFIANCE FINL CORP CUSIP 32006W106	COM	9,138	18,133	+8,995	$237,000	$492,000	+$255,000	2014-05-15
Q4 2013	EFA ISHARES MSCI EAFE ETF	COM	4,509	4,805	+296	$288,000	$322,000	+$34,000	2014-02-11
Q3 2013	EVF Eaton Vance Senior Income Trust	COM	963,820	1,013,600	+49,780	$7,248,000	$7,126,000	-$122,000	2013-11-13

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