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Institutional Investment Manager
LAZARD ASSET MANAGEMENT LLC
LAZARD ASSET MANAGEMENT LLC (CIK: 0001207017) incorporated in Delaware, located at 30 Rockefeller Plz, New York, NY. Institutional holdings reported to the SEC.
Institutional Holdings (2016Q3)
Original 13F HR (0001207017-16-000159) filed in 2016.11.14
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 422,624 47,511 0.10% PRN
2 ISHARES TR 357,871 40,349 0.09% PRN
3 CEMEX SAB DE CV NOTE 3.750 3/1 35,000,000 39,462 0.09% PRN
4 TRINITY INDS INC 25,520,000 30,624 0.07% PRN
5 STARWOOD PPTY TR INC SR CV NT 3.75 17 29,600,000 30,599 0.07% PRN
6 ADVANCED MICRO DEVICES INC SR CV NT2.125 26 28,000,000 30,520 0.07% PRN
7 GREEN PLAINS INC 20,500,000 28,495 0.06% PRN
8 MEDICINES CO SR GLBL CV NT 22 21,500,000 27,936 0.06% PRN
9 AK STL CORP 22,600,000 27,148 0.06% PRN
10 RYLAND GROUP INC SR NT CV 0.25 19 27,134,000 25,268 0.06% PRN
11 WRIGHT MED GROUP INC SR CONV NT 2 20 23,268,000 24,969 0.05% PRN
12 INTEGRA LIFESCIENCES HLDGS C 14,608,000 22,898 0.05% PRN
13 AEGEAN MARINE PETE NETWORK I 22,707,000 22,707 0.05% PRN
14 STARWOOD WAYPOINT 4.5 15OCT17 21,000,000 22,575 0.05% PRN
15 DEPOMED INC NOTE 2.500 9/0 15,515,000 22,147 0.05% PRN
16 SHUTTERFLY INC 22,227,000 21,879 0.05% PRN
17 LEXICON PHARMACEUTICALS INC 9,570,000 21,640 0.05% PRN
18 ALTRA INDL MOTION CORP 18,100,000 21,425 0.05% PRN
19 CARRIAGE SVCS INC NOTE 2.750 3/1 17,559,000 20,664 0.04% PRN
20 HOLOGIC INC 16,500,000 20,274 0.04% PRN
21 ISHARES TR 161,727 19,921 0.04% PRN
22 CEMEX SAB DE CV 18,615,000 19,464 0.04% PRN
23 TOLL BROS FIN CORP 19,725,000 19,441 0.04% PRN
24 PROOFPOINT INC NOTE 1.25012/1 10,035,000 19,417 0.04% PRN
25 LIVE NATION ENTERTAINMENT INC SR CONV BD2.5 19 17,567,000 19,115 0.04% PRN
26 EMERGENT BIOSOLUTIONS INC NOTE 2.875 1/1 15,500,000 19,035 0.04% PRN
27 REDWOOD TR INC 18,681,000 18,832 0.04% PRN
28 BIOMARIN PHARMACEUTICAL INC SR SB CONV NT 20 15,000,000 18,778 0.04% PRN
29 INTERCEPT PHARMACEUTICALS IN 16,500,000 18,531 0.04% PRN
30 STANDARD PAC CORP NEW 17,526,000 18,347 0.04% PRN
31 GREENBRIER COS INC 16,050,000 18,236 0.04% PRN
32 STARWOOD WAYPOINT RESIDENTL 16,544,000 18,012 0.04% PRN
33 TESARO INC 6,000,000 17,651 0.04% PRN
34 AMTRUST FINL SVCS INC 20,000,000 17,450 0.04% PRN
35 WEATHERFORD INTL LTD 15,500,000 17,427 0.04% PRN
36 COWEN GROUP INC NEW 17,500,000 17,073 0.04% PRN
37 RTI INTL METALS INC SR CV NT1.625 19 15,923,000 17,057 0.04% PRN
38 ALLEGHENY TECHNOLOGIES INC SR CV NT 4.75 22 12,000,000 16,987 0.04% PRN
39 LIBERTY MEDIA CORP 27,084,000 16,859 0.04% PRN
40 BROADSOFT INC 12,500,000 16,656 0.04% PRN
41 CORNERSTONE ONDEMAND INC 14,876,000 16,270 0.04% PRN
42 POWERSHARES ETF TR II 850,030 16,040 0.03% PRN
43 LGIH 9,000,000 15,845 0.03% PRN
44 LIBERTY MEDIA CORP DELAWARE 15,000,000 15,712 0.03% PRN
45 HURON CONSULTING GROUP INC 15,487,000 15,680 0.03% PRN
46 SM ENERGY CO 13,000,000 15,665 0.03% PRN
47 SOLAZYME INC 31,437,000 15,543 0.03% PRN
48 ALBANY MOLECULAR RESH INC 13,000,000 15,380 0.03% PRN
49 MERRIMACK PHARMACEUTI 12,469,000 15,349 0.03% PRN
50 ELECTRONICS FOR IMAGING INC 13,815,000 15,317 0.03% PRN
Page 1 of 25
Restatement filing (0001207017-19-000045) filed in 2019.08.07
#
Name
Shares
Value ($)
%
Options
Notes
251 JPMORGAN CHINA REGION FD INC 1,248,976 21,944 0.04%
252 SHUTTERFLY INC 22,227,000 21,879 0.04% PRN
253 XCEL ENERGY INC 530,036 21,805 0.04%
254 PGT INNOVATIONS INC COM 2,035,459 21,718 0.04%
255 LEXICON PHARMACEUTICALS INC 9,570,000 21,640 0.04% PRN
256 INTERNATIONAL BUSINESS MACHS 135,644 21,547 0.04%
257 ALTRA INDL MOTION CORP 18,100,000 21,425 0.04% PRN
258 SYSCO CORP 436,023 21,369 0.04%
259 WAL-MART STORES INC 295,307 21,297 0.04%
260 LEIDOS HLDGS INC 490,940 21,247 0.04%
261 ALTRA INDL MOTION CORP COM 726,916 21,058 0.04%
262 ISHARES TR 189,500 20,862 0.04% PRN
263 RELX NV 1,161,618 20,746 0.04%
264 ZOETIS INC 398,884 20,745 0.04%
265 HEWLETT PACKARD ENTERPRISE C 910,932 20,723 0.04%
266 CARRIAGE SVCS INC NOTE 2.750 3/1 17,559,000 20,664 0.04% PRN
267 GREAT PLAINS ENERGY INC 756,633 20,648 0.04%
268 BLOOMIN BRANDS INC 1,182,650 20,388 0.04%
269 PUBLIC SVC ENTERPRISE GRP IN 485,850 20,342 0.04%
270 HOLOGIC INC 16,500,000 20,274 0.04% PRN
271 ABERDEEN LATIN AMER EQTY FD 946,465 20,197 0.04%
272 EXELON CORP 605,232 20,148 0.04%
273 NCR CORP NEW 624,260 20,094 0.04%
274 ISHARES TR 161,727 19,921 0.04% PRN
275 TYSON FOODS INC 266,448 19,895 0.04%
276 LITTELFUSE INC 153,711 19,799 0.04%
277 WALGREENS BOOTS ALLIANCE INC 245,112 19,760 0.04%
278 SALLY BEAUTY HLDGS INC 758,145 19,469 0.04%
279 CEMEX SAB DE CV 18,615,000 19,464 0.04% PRN
280 TOLL BROS FIN CORP 19,725,000 19,441 0.04% PRN
281 PROOFPOINT INC NOTE 1.25012/1 10,035,000 19,417 0.04% PRN
282 FACTSET RESH SYS INC 119,417 19,357 0.04%
283 UNITEDHEALTH GROUP INC 137,533 19,254 0.04%
284 TANGER FACTORY OUTLET CTRS I 492,344 19,181 0.04%
285 ACTIVISION BLIZZARD INC 432,442 19,157 0.04%
286 LIVE NATION ENTERTAINMENT INC SR CONV BD2.5 19 17,567,000 19,115 0.04% PRN
287 QUALCOMM INC 278,634 19,086 0.04%
288 EMERGENT BIOSOLUTIONS INC NOTE 2.875 1/1 15,500,000 19,035 0.04% PRN
289 PATTERN ENERGY GROUP INC 837,862 18,843 0.04%
290 REDWOOD TR INC 18,681,000 18,832 0.04% PRN
291 GDL FUND 1,887,459 18,780 0.04%
292 BIOMARIN PHARMACEUTICAL INC SR SB CONV NT 20 15,000,000 18,778 0.04% PRN
293 TENNANT CO 289,286 18,745 0.04%
294 AUTOMATIC DATA PROCESSING IN 212,422 18,735 0.04%
295 PAYCHEX INC 321,271 18,591 0.04%
296 INTERCEPT PHARMACEUTICALS IN 16,500,000 18,531 0.04% PRN
297 PROCTER AND GAMBLE CO 206,244 18,510 0.04%
298 INTUIT 167,917 18,472 0.04%
299 ALASKA AIR GROUP INC 279,964 18,438 0.04%
300 POOL CORPORATION 194,378 18,372 0.04%
Page 6 of 29