# SYMPHONY ASSET MANAGEMENT LLC — Form D

SYMPHONY ASSET MANAGEMENT LLC of SAN FRANCISCO, CA, a company, filed a Form D exempt-offering notice with the SEC on 2011-03-18. Industry: Other Banking and Financial Services.

## Offering

- Filed: 2011-03-18
- Form: D
- Accession: 0001030815-11-000003
- Industry: Other Banking and Financial Services
- Exemptions: 06
- Investors: 11
- Date of first sale: 2011-03-15
- Security types: equity
- Revenue range: Decline to Disclose
- SEC file number: 021-156984

## Issuer

- Name: SYMPHONY ASSET MANAGEMENT LLC
- CIK: 0001030815
- Entity type: Limited Liability Company
- Jurisdiction: CALIFORNIA
- Address: 555 CALIFORNIA STREET, SAN FRANCISCO, CA, 94104
- Phone: 4156764000

## Officers, directors & promoters (16)

| Name | Role | Location |
| --- | --- | --- |
| David Goldstein | Executive Officer | Mill Valley, CA |
| Judith R MacDonald | Executive Officer | San Francisco, CA |
| Scott R Grace | Executive Officer | San Francisco, CA |
| Geoffrey William Moore | Executive Officer | San Francisco, CA |
| N/A Nuveen Investments Holdings, Inc. | Promoter | Chicago, IL |
| Angela M McKillen | Executive Officer | San Francisco, CA |
| James R Kim | Executive Officer | San Francisco, CA |
| Scott Caraher | Executive Officer | New York, NY |
| Himani R Trivedi | Executive Officer | San Francisco, CA |
| Jenny R Rhee | Executive Officer | San Francisco, CA |
| Anne B Popkin | Executive Officer | SAN FRANCISCO, CA |
| David C Goldstein | Executive Officer | San Francisco, CA |
| Gunther M Stein | Executive Officer | San Francisco, CA |
| Angela McKillen | Executive Officer | San Francisco, CA |
| Anne Popkin | Executive Officer | San Francisco, CA |
| Ross S Sakamoto | Executive Officer | San Francisco, CA |

## Other filings by this issuer (8)

| Filed | Form | Offering | Sold |
| --- | --- | --- | --- |
| [2020-05-04](https://search.stillhousedata.com/formd/0001393725-20-000092) | D/A | — | — |
| [2019-03-19](https://search.stillhousedata.com/formd/0001393725-19-000054) | D | — | — |
| [2017-06-09](https://search.stillhousedata.com/formd/0000950172-17-000057) | D/A | — | — |
| [2016-06-09](https://search.stillhousedata.com/formd/0000950172-16-000208) | D/A | — | — |
| [2015-03-11](https://search.stillhousedata.com/formd/0000950172-15-000039) | D/A | — | — |
| [2014-03-11](https://search.stillhousedata.com/formd/0000950172-14-000036) | D/A | — | — |
| [2013-03-13](https://search.stillhousedata.com/formd/0000950172-13-000034) | D/A | — | — |
| [2012-03-16](https://search.stillhousedata.com/formd/0000950172-12-000016) | D/A | — | — |

## More

- [CIK 1030815 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1030815&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001030815-11-000003.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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