0000909012-16-000431.txt : 20160212
0000909012-16-000431.hdr.sgml : 20160212
20160212114708
ACCESSION NUMBER: 0000909012-16-000431
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160212
DATE AS OF CHANGE: 20160212
EFFECTIVENESS DATE: 20160212
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Tradewinds Global Investors, LLC
CENTRAL INDEX KEY: 0001383221
IRS NUMBER: 020767178
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12572
FILM NUMBER: 161416456
BUSINESS ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 20TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: (310) 552-5114
MAIL ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 20TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
FORMER COMPANY:
FORMER CONFORMED NAME: Tradewinds NWQ Global Investors, LLC
DATE OF NAME CHANGE: 20061211
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001383221
XXXXXXXX
12-31-2015
12-31-2015
Tradewinds Global Investors, LLC
2049 CENTURY PARK EAST
20TH FLOOR
LOS ANGELES
CA
90067
13F HOLDINGS REPORT
028-12572
N
Emily Alejos and Andrew Thelen
Co-Chief Investment Officer
310 552 5114
/s/ EMILY ALEJOS and ANDREW THELEN
Los Angeles
CA
01-29-2016
2
137
1701896
false
1
028-11405
Nuveen Investments, Inc.
2
028-16475
SEI Investments Management Corporation
INFORMATION TABLE
2
aci_13f.xml
Abengoa Yield plc
ORD SHS
G00349103
1651
85595
SH
DFND
1
83989
0
1606
Adecoagro SA
COM
L00849106
13576
1104695
SH
DFND
1
1104695
0
0
AES Corp/VA
COM
00130H105
17389
1817116
SH
DFND
1
1812467
0
4649
Aetna Inc
COM
00817Y108
20452
189168
SH
DFND
1
183525
0
5643
Agilent Technologies Inc
COM
00846U101
7316
175000
SH
DFND
1
175000
0
0
Agrium Inc
COM
008916108
44809
501556
SH
DFND
1
494348
0
7208
Allied World Assurance Co Holdings AG
SHS
H01531104
6757
216763
SH
DFND
1
209888
0
6875
Allscripts Healthcare Solutions Inc
COM
01988P108
7964
517880
SH
DFND
1
499416
0
18464
Ally Financial Inc
COM
02005N100
17690
949060
SH
DFND
1
920396
0
28664
Alphabet Inc
CAP STK CL C
02079K107
10209
13453
SH
DFND
1
12895
0
558
Alphabet Inc
CAP STK CL A
02079K305
240
309
SH
DFND
1
289
0
20
American International Group Inc
COM NEW
026874784
31056
501155
SH
DFND
1
489669
0
11486
Amgen Inc
COM
031162100
207
1278
SH
DFND
1
1216
0
62
Andersons Inc/The
COM
034164103
17749
561150
SH
DFND
1
556535
0
4615
Aon PLC
SHS CL A
G0408V102
8471
91876
SH
DFND
1
87436
0
4440
Apache Corp
COM
037411105
12038
270712
SH
DFND
1
266194
0
4518
Apple Inc
COM
037833100
560
5325
SH
DFND
1
5027
0
298
Archer-Daniels-Midland Co
COM
039483102
13905
379115
SH
DFND
1
373528
0
5587
Arctic Cat Inc
COM
039670104
1018
62155
SH
DFND
1
61424
0
731
Axis Capital Holdings Ltd
SHS
G0692U109
75116
1336116
SH
DFND
1
1326686
0
9430
Banco Bradesco SA
SP ADR PFD NEW
059460303
67
14083
SH
DFND
1
12718
0
1365
Baxalta Inc
COM
07177M103
34386
881033
SH
DFND
1
860492
0
20541
Best Buy Co Inc
COM
086516101
9400
308726
SH
DFND
1
307809
0
917
BHP Billiton Ltd
SPONSORED ADR
088606108
1881
73025
SH
DFND
1
73025
0
0
Boeing Co/The
COM
097023105
261
1808
SH
DFND
1
1657
0
151
BRF SA
SPONSORED ADR
10552t107
8028
580960
SH
DFND
1
580725
0
235
Bristow Group Inc
COM
110394103
2884
111375
SH
DFND
1
110274
0
1101
Bunge Ltd
COM
G16962105
28129
411976
SH
DFND
1
405032
0
6944
Cameco Corp
COM
13321L108
29007
2352594
SH
DFND
1
2342634
0
9960
Canadian Natural Resources Ltd
COM
136385101
14984
686398
SH
DFND
1
683390
0
3008
CBIZ Inc
COM
124805102
1576
159897
SH
DFND
1
158208
0
1689
CenturyLink Inc
COM
156700106
25461
1011968
SH
DFND
1
995617
0
16351
Cia de Saneamento Basico do Estado de Sao Paulo
SPONSORED ADR
20441A102
9451
2054732
SH
DFND
1
2053297
0
1435
Cisco Systems Inc
COM
17275R102
18790
691980
SH
DFND
1
672544
0
19436
CIT Group Inc
COM NEW
125581801
13239
333488
SH
DFND
1
318673
0
14815
Citigroup Inc
COM NEW
172967424
35776
691338
SH
DFND
1
671699
0
19639
Citizens Financial Group Inc
COM
174610105
15984
610312
SH
DFND
1
581791
0
28521
CNA Financial Corp
COM
126117100
10645
302868
SH
DFND
1
292980
0
9888
Colony Capital Inc
CL A
19624R106
10454
536692
SH
DFND
1
534950
0
1742
Comcast Corp
CL A
20030N101
251
4459
SH
DFND
1
4129
0
330
Credit Suisse Group AG
SPONSORED ADR
225401108
3401
156807
SH
DFND
1
156508
0
299
CSX Corp
COM
126408103
16797
647310
SH
DFND
1
626723
0
20587
Dean Foods Co
COM NEW
242370203
2312
134829
SH
DFND
1
133394
0
1435
DSW Inc
CL A
23334L102
16139
676418
SH
DFND
1
674919
0
1499
Empresa Nacional de Electricidad SA/Chile
SPONSORED ADR
29244T101
278
7513
SH
DFND
1
7513
0
0
Endurance Specialty Holdings Ltd
SHS
G30397106
14678
229390
SH
DFND
1
225417
0
3973
Exelon Corp
COM
30161N101
9882
355857
SH
DFND
1
342441
0
13416
Exxon Mobil Corp
COM
30231G102
12674
162592
SH
DFND
1
154016
0
8576
First Solar Inc
COM
336433107
6873
104156
SH
DFND
1
100342
0
3814
FirstEnergy Corp
COM
337932107
1962
61863
SH
DFND
1
61190
0
673
Flextronics International Ltd
ORD
Y2573F102
39877
3557287
SH
DFND
1
3509508
0
47779
Fossil Group Inc
COM
34988V106
1216
33280
SH
DFND
1
32931
0
349
Freeport-McMoRan Inc
CL B
35671D857
1570
231991
SH
DFND
1
231991
0
0
Fresh Del Monte Produce Inc
ORD
G36738105
3693
95006
SH
DFND
1
95006
0
0
General Electric Co
COM
369604103
15728
504927
SH
DFND
1
476318
0
28609
General Motors Co
COM
37045V100
24685
773543
SH
DFND
1
761789
0
11754
General Motors Co
COM
37045V100
88
102000
SH
DFND
1
102000
0
0
Gerdau SA
SPON ADR REP PFD
373737105
77
64706
SH
DFND
1
64706
0
0
Gilead Sciences Inc
COM
375558103
11504
113691
SH
DFND
1
107979
0
5712
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
15782
391129
SH
DFND
1
387987
0
3142
Goodyear Tire & Rubber Co/The
COM
382550101
23732
726426
SH
DFND
1
711030
0
15396
Home Depot Inc/The
COM
437076102
298
2258
SH
DFND
1
2108
0
150
HSBC Holdings PLC
SPON ADR NEW
404280406
21419
542677
SH
DFND
1
538688
0
3989
ICICI Bank Ltd
ADR
45104G104
134
17139
SH
DFND
1
14504
0
2635
Impax Laboratories Inc
COM
45256B101
7881
184317
SH
DFND
1
183276
0
1041
Industrias Bachoco SAB de CV
SPON ADR B
456463108
1290
26222
SH
DFND
1
26222
0
0
Infoblox Inc
COM
45672H104
7217
392456
SH
DFND
1
390571
0
1885
ING Groep NV
SPONSORED ADR
456837103
27481
2041683
SH
DFND
1
2025476
0
16207
Ingram Micro Inc
CL A
457153104
36441
1199511
SH
DFND
1
1186008
0
13503
Ingredion Inc
COM
457187102
13460
140445
SH
DFND
1
137870
0
2575
Intel Corp
COM
458140100
249
7236
SH
DFND
1
6704
0
532
Interpublic Group of Cos Inc/The
COM
460690100
17436
748999
SH
DFND
1
724496
0
24503
iShares iBonds Sep 2017 AMT-Free Muni Bond ETF
17 AMT-FREE ETF
464289271
443
16223
SH
DFND
1
14440
0
1783
iShares MSCI ACWI ETF
MSCI ACWI ETF
464288257
3362
60247
SH
DFND
1
60247
0
0
iShares MSCI EAFE ETF
MSCI EAFE ETF
464287465
14398
245211
SH
DFND
1
239675
0
5536
iShares Russell 2000 Value ETF
RUS 2000 VAL ETF
464287630
6701
72885
SH
DFND
1
72315
0
570
Johnson & Johnson
COM
478160104
242
2365
SH
DFND
1
2210
0
155
JPMorgan Chase & Co
COM
46625H100
263
3996
SH
DFND
1
3812
0
184
Koninklijke Philips NV
NY REG SH NEW
500472303
2385
93729
SH
DFND
1
93729
0
0
KT Corp
SPONSORED ADR
48268K101
8133
682878
SH
DFND
1
680847
0
2031
Leucadia National Corp
COM
527288104
2158
124105
SH
DFND
1
122711
0
1394
Lexington Realty Trust
COM
529043101
16581
2072631
SH
DFND
1
2016618
0
56013
ManpowerGroup Inc
COM
56418H100
29404
348853
SH
DFND
1
347144
0
1709
Market Vectors Short Municipal ETF
MKTVEC SMUNETF
57060U803
324
18485
SH
DFND
1
16197
0
2288
Merck & Co Inc
COM
58933Y105
219
4160
SH
DFND
1
3746
0
414
Micron Technology Inc
COM
595112103
8227
581036
SH
DFND
1
581036
0
0
Microsoft Corp
COM
594918104
291
5249
SH
DFND
1
4886
0
363
Mylan NV
SHS EURO
N59465109
14885
275309
SH
DFND
1
265801
0
9508
Net 1 UEPS Technologies Inc
COM NEW
64107N206
1538
113845
SH
DFND
1
112429
0
1416
Nippon Telegraph & Telephone Corp
SPONSORED ADR
654624105
63523
1598477
SH
DFND
1
1591168
0
7309
Novartis AG
SPONSORED ADR
66987V109
2010
23362
SH
DFND
1
23149
0
213
NRG Energy Inc
COM NEW
629377508
9869
838536
SH
DFND
1
837393
0
1143
NTT DOCOMO Inc
SPONS ADR
62942M201
625
30534
SH
DFND
1
30534
0
0
Old Republic International Corp
COM
680223104
1703
91429
SH
DFND
1
90474
0
955
Oracle Corp
COM
68389X105
22314
610845
SH
DFND
1
596691
0
14154
PepsiCo Inc
COM
713448108
247
2480
SH
DFND
1
2354
0
126
Petrobras Argentina SA
SPONS ADR
71646J109
2984
538794
SH
DFND
1
537097
0
1697
Pfizer Inc
COM
717081103
27269
844768
SH
DFND
1
820267
0
24501
Phillips 66
COM
718546104
251
3070
SH
DFND
1
2871
0
199
POSCO
SPONSORED ADR
693483109
12366
349740
SH
DFND
1
347743
0
1997
Procter & Gamble Co/The
COM
742718109
307
3870
SH
DFND
1
3661
0
209
Questar Corp
COM
748356102
1766
90685
SH
DFND
1
89583
0
1102
Royal Bank of Scotland Group PLC
SPONS ADR 20 ORD
780097689
23281
2624794
SH
DFND
1
2605511
0
19283
Royal Dutch Shell PLC
SPON ADR B
780259107
41570
902914
SH
DFND
1
899658
0
3256
Royal Dutch Shell PLC
SPONS ADR A
780259206
222
4849
SH
DFND
1
4849
0
0
Ruby Tuesday Inc
COM
781182100
1357
246334
SH
DFND
1
243390
0
2944
Sanofi
SPONSORED ADR
80105N105
36772
862192
SH
DFND
1
857094
0
5098
SAP SE
SPON ADR
803054204
18601
235164
SH
DFND
1
233312
0
1852
Schlumberger Ltd
COM
806857108
5632
80750
SH
DFND
1
76595
0
4155
Shinhan Financial Group Co Ltd
SPN ADR RESTRD
824596100
232
6915
SH
DFND
1
6846
0
69
Siliconware Precision Industries Co Ltd
SPONSD ADR SPL
827084864
115
14956
SH
DFND
1
13529
0
1427
SK Telecom Co Ltd
SPONSORED ADR
78440P108
37573
1864668
SH
DFND
1
1856203
0
8465
SkyWest Inc
COM
830879102
9266
487209
SH
DFND
1
482058
0
5151
Suncor Energy Inc
COM
867224107
339
13157
SH
DFND
1
13157
0
0
Superior Energy Services Inc
COM
868157108
814
60501
SH
DFND
1
59862
0
639
Symantec Corp
COM
871503108
11900
566703
SH
DFND
1
542120
0
24583
Taiwan Semiconductor Manufacturing Co Ltd
SPONSORED ADR
874039100
467
20544
SH
DFND
1
19966
0
578
Tata Motors Ltd
SPONSORED ADR
876568502
311
10586
SH
DFND
1
9940
0
646
Tech Data Corp
COM
878237106
7191
108342
SH
DFND
1
107970
0
372
Telefonaktiebolaget LM Ericsson
ADR B SEK 10
294821608
42607
4433704
SH
DFND
1
4415375
0
18329
Telefonica SA
SPONSORED ADR
879382208
1636
147977
SH
DFND
1
147977
0
0
Tenaris SA
SPONSORED ADR
88031M109
13191
554246
SH
DFND
1
550216
0
4030
Teva Pharmaceutical Industries Ltd
ADR
881624209
59351
904202
SH
DFND
1
900478
0
3724
Time Inc
COM
887228104
16147
1030449
SH
DFND
1
1007609
0
22840
Time Warner Inc
COM NEW
887317303
3543
54791
SH
DFND
1
51957
0
2834
Toyota Motor Corp
SP ADR REP2COM
892331307
40911
332508
SH
DFND
1
330796
0
1712
Triumph Group Inc
COM
896818101
6438
161969
SH
DFND
1
156395
0
5574
Turkcell Iletisim Hizmetleri AS
SPON ADR NEW
900111204
5082
598664
SH
DFND
1
598266
0
398
Tyson Foods Inc
CL A
902494103
20113
377158
SH
DFND
1
368232
0
8926
UBS Group AG
SHS
H42097107
82830
4276224
SH
DFND
1
4254824
0
21400
Union Pacific Corp
COM
907818108
250
3199
SH
DFND
1
2987
0
212
Vanguard High Dividend Yield ETF
HIGH DIV YLD
921946406
208
3120
SH
DFND
1
2810
0
310
Verizon Communications Inc
COM
92343V104
11674
252586
SH
DFND
1
238592
0
13994
Wal-Mart Stores Inc
COM
931142103
5954
97139
SH
DFND
1
91774
0
5365
Wells Fargo & Co
COM
949746101
223
4109
SH
DFND
1
3858
0
251
WPP PLC
ADR
92937A102
213
1860
SH
DFND
1
1659
0
201
YPF SA
SPON ADR CL D
984245100
5946
378272
SH
DFND
1
378125
0
147