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

SYMPHONY ASSET MANAGEMENT LLC quarter change: USA ETF, Added

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2016-06-30 to 2016-09-30, SYMPHONY ASSET MANAGEMENT LLC opened 7 positions, added to 3, reduced 0, sold out of 0 and left 2 unchanged. The largest increase in value was POWERSHARES SENIOR LOAN PORTFOLIO (+$30,552,000); the largest decrease was FIRST DEFIANCE FINL CORP COM (+$211,000).

POWERSHARES SENIOR LOAN PORTFOLIO: Country of operation —; Class ETF; Shares 2016-06-30 1,300,700; Shares 2016-09-30 2,603,583.
SJNK: Country of operation —; Class ETF; Shares 2016-06-30 15,000; Shares 2016-09-30 685,115.
FIRST DEFIANCE FINL CORP COM: Country of operation —; Class SHS; Shares 2016-06-30 6,821; Shares 2016-09-30 10,675.

Two Form 13F-HR filings compared (SEC CIK 1030815): 2016-06-30 (filed 2016-08-12) and 2016-09-30 (filed 2016-11-14). 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; share change is the position change.

Stock	Class	Shares 2016-06-30	Shares 2016-09-30	Share change	Value 2016-06-30	Value 2016-09-30	Value change
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
SJNK SPDR BARCLAYS SHORT TERM HIGH YIELD BOND ETF	ETF	15,000	685,115	+670,115	$405,000	$18,971,000	+$18,566,000
FIRST DEFIANCE FINL CORP COM CUSIP 32006W106	SHS	6,821	10,675	+3,854	$265,000	$476,000	+$211,000

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