0000909012-16-000561.txt : 20160810
0000909012-16-000561.hdr.sgml : 20160810
20160810110035
ACCESSION NUMBER: 0000909012-16-000561
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160810
DATE AS OF CHANGE: 20160810
EFFECTIVENESS DATE: 20160810
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: 161820423
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
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0001383221
XXXXXXXX
06-30-2016
06-30-2016
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
08-03-2016
2
174
1539502
false
1
028-11405
Nuveen Investments, Inc.
2
028-16475
SEI Investments Management Corporation
INFORMATION TABLE
2
aci_13f.xml
Aceto Corp
COM
004446100
327
14948
SH
DFND
1
14893
0
55
Adecoagro SA
COM
L00849106
10430
950818
SH
DFND
1
950549
0
269
Advanced Semiconductor Engineering Inc
SPONSORED ADR
00756M404
167
30047
SH
DFND
1
25208
0
4839
AES Corp/VA
COM
00130H105
24392
1954513
SH
DFND
1
1940500
0
14013
Aetna Inc
COM
00817Y108
10792
88373
SH
DFND
1
88373
0
0
Agilent Technologies Inc
COM
00846U101
2439
55000
SH
DFND
1
55000
0
0
Agrium Inc
COM
008916108
52862
584630
SH
DFND
1,2
577623
0
7007
AGRIUM INC JUL16 90 CALL
COM
008916108
56
25000
SH
Call
DFND
1
25000
0
0
Allegiant Travel Co
COM
01748X102
262
1735
SH
DFND
1
1728
0
7
Allied World Assurance Co Holdings AG
SHS
H01531104
7245
206180
SH
DFND
1
200027
0
6153
Allscripts Healthcare Solutions Inc
COM
01988P108
5920
466146
SH
DFND
1
454918
0
11228
Ally Financial Inc
COM
02005N100
23064
1351200
SH
DFND
1
1324887
0
26313
Alphabet Inc
CAP STK CL C
02079K107
7946
11482
SH
DFND
1
11089
0
393
Alphabet Inc
CAP STK CL A
02079K305
204
291
SH
DFND
1
270
0
21
American International Group Inc
COM NEW
026874784
23530
444890
SH
DFND
1
436864
0
8026
Amgen Inc
COM
031162100
207
1365
SH
DFND
1
1303
0
62
AMN Healthcare Services Inc
COM
001744101
256
6411
SH
DFND
1
6382
0
29
Andersons Inc/The
COM
034164103
5753
161900
SH
DFND
1
161900
0
0
Aon PLC
SHS CL A
G0408V102
1027
9403
SH
DFND
1
9319
0
84
Apache Corp
COM
037411105
8981
161343
SH
DFND
1
161343
0
0
Apple Inc
COM
037833100
14707
153844
SH
DFND
1
150689
0
3155
Archer-Daniels-Midland Co
COM
039483102
9972
232520
SH
DFND
1
224487
0
8033
Arctic Cat Inc
COM
039670104
1312
77177
SH
DFND
1
77110
0
67
Ares Commercial Real Estate Corp
COM
04013V108
170
13845
SH
DFND
1
13789
0
56
Atlantica Yield plc
SHS
G0751N103
2510
135145
SH
DFND
1
134929
0
216
Axis Capital Holdings Ltd
SHS
G0692U109
68366
1243032
SH
DFND
1,2
1236291
0
6741
Banco Bilbao Vizcaya Argentaria SA
SPONSORED ADR
05946K101
3759
654981
SH
DFND
1
654981
0
0
Bassett Furniture Industries Inc
COM
070203104
211
8833
SH
DFND
1
8797
0
36
BBCN Bancorp Inc
COM
073295107
239
16057
SH
DFND
1
15998
0
59
Best Buy Co Inc
COM
086516101
2229
72869
SH
DFND
1
72789
0
80
BHP Billiton Ltd
SPONSORED ADR
088606108
1903
66652
SH
DFND
1
66652
0
0
Bloomin' Brands Inc
COM
094235108
324
18140
SH
DFND
1
18070
0
70
BP PLC
SPONSORED ADR
055622104
32409
912678
SH
DFND
1
897209
0
15469
BRF SA
SPONSORED ADR
10552t107
13638
979069
SH
DFND
1
978336
0
733
Bristow Group Inc
COM
110394103
1406
123283
SH
DFND
1
123167
0
116
Bunge Ltd
COM
G16962105
34740
587323
SH
DFND
1
578969
0
8354
Cambrex Corp
COM
132011107
364
7039
SH
DFND
1
7011
0
28
Cameco Corp
COM
13321L108
26633
2427877
SH
DFND
1,2
2416617
0
11260
Canadian Natural Resources Ltd
COM
136385101
29355
952183
SH
DFND
1,2
948849
0
3334
CBIZ Inc
COM
124805102
1432
137567
SH
DFND
1
137421
0
146
CBRE Clarion Global Real Estate Income Fund
COM
12504G100
102
12512
SH
DFND
1
11987
0
525
CenturyLink Inc
COM
156700106
38343
1321724
SH
DFND
1
1304759
0
16965
China Mobile Ltd
SPONSORED ADR
16941M109
5136
88705
SH
DFND
1
88468
0
237
Cia de Saneamento Basico do Estado de Sao Paulo
SPONSORED ADR
20441A102
9423
1051783
SH
DFND
1
1050037
0
1746
Cia Energetica de Minas Gerais
SP ADR N-V PFD
204409601
34
15599
SH
DFND
1
15599
0
0
Cirrus Logic Inc
COM
172755100
251
6472
SH
DFND
1
6400
0
72
Cisco Systems Inc
COM
17275R102
17714
617434
SH
DFND
1
603898
0
13536
CIT Group Inc
COM NEW
125581801
14355
449860
SH
DFND
1
436430
0
13430
Citigroup Inc
COM NEW
172967424
26388
622525
SH
DFND
1
608747
0
13778
Citizens Financial Group Inc
COM
174610105
8672
434080
SH
DFND
1
421485
0
12595
CNA Financial Corp
COM
126117100
11658
371051
SH
DFND
1
370876
0
175
Colony Capital Inc
CL A
19624R106
11172
727852
SH
DFND
1
727490
0
362
Credit Suisse Group AG
SPONSORED ADR
225401108
2351
219778
SH
DFND
1
219778
0
0
CSX Corp
COM
126408103
17242
661124
SH
DFND
1
641361
0
19763
Delek US Holdings Inc
COM
246647101
169
12847
SH
DFND
1
12793
0
54
Deluxe Corp
COM
248019101
255
3857
SH
DFND
1
3809
0
48
DSW Inc
CL A
23334L102
11803
557304
SH
DFND
1
557173
0
131
Edison International
COM
281020107
3684
47434
SH
DFND
1
45358
0
2076
Embraer SA
SP ADR REP 4 COM
29082A107
9974
459240
SH
DFND
1
455011
0
4229
EMCOR Group Inc
COM
29084Q100
255
5194
SH
DFND
1
5173
0
21
Emergent BioSolutions Inc
COM
29089Q105
235
8360
SH
DFND
1
8326
0
34
Endurance Specialty Holdings Ltd
SHS
G30397106
9162
136429
SH
DFND
1
133001
0
3428
Enersis Americas SA
SPONSORED ADR
29274F104
112
13132
SH
DFND
1
11985
0
1147
Ensign Group Inc/The
COM
29358P101
258
12296
SH
DFND
1
12251
0
45
Essent Group Ltd
COM
G3198U102
353
16197
SH
DFND
1
16044
0
153
Exelon Corp
COM
30161N101
12308
338520
SH
DFND
1
327036
0
11484
EXELON CORP JUL16 35 CALL
COM
30161N101
92
64000
SH
Call
DFND
1
64000
0
0
Exxon Mobil Corp
COM
30231G102
10334
110250
SH
DFND
1
105229
0
5021
Federated National Holding Co
COM
31422T101
239
12588
SH
DFND
1
12537
0
51
First Solar Inc
COM
336433107
5873
121143
SH
DFND
1
121078
0
65
Flextronics International Ltd
ORD
Y2573F102
27757
2352359
SH
DFND
1,2
2344441
0
7918
Fossil Group Inc
COM
34988V106
1046
36675
SH
DFND
1
36638
0
37
Franklin Financial Network Inc
COM
35352P104
241
7710
SH
DFND
1
7679
0
31
Fresh Del Monte Produce Inc
ORD
G36738105
2089
38387
SH
DFND
1
38387
0
0
GasLog Ltd
SHS
G37585109
169
13085
SH
DFND
1
13032
0
53
General Electric Co
COM
369604103
13438
426887
SH
DFND
1
409937
0
16950
General Motors Co
COM
37045V100
15812
558733
SH
DFND
1
558029
0
704
Gilead Sciences Inc
COM
375558103
14052
168457
SH
DFND
1
163233
0
5224
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
15730
362947
SH
DFND
1
360696
0
2251
Goodyear Tire & Rubber Co/The
COM
382550101
23870
930258
SH
DFND
1
910891
0
19367
Grand Canyon Education Inc
COM
38526M106
237
5940
SH
DFND
1
5917
0
23
Great Western Bancorp Inc
COM
391416104
252
8008
SH
DFND
1
7973
0
35
Grupo Televisa SAB
SPON ADR REP ORD
40049J206
3870
148648
SH
DFND
1
142096
0
6552
Headwaters Inc
COM
42210P102
337
18804
SH
DFND
1
18728
0
76
HealthSouth Corp
COM NEW
421924309
202
5204
SH
DFND
1
5183
0
21
Hillenbrand Inc
COM
431571108
327
10909
SH
DFND
1
10864
0
45
HSBC Holdings PLC
SPON ADR NEW
404280406
17189
549002
SH
DFND
1
545198
0
3804
ICICI Bank Ltd
ADR
45104G104
188
26259
SH
DFND
1
22696
0
3563
Impax Laboratories Inc
COM
45256B101
9238
320552
SH
DFND
1
312634
0
7918
Industrias Bachoco SAB de CV
SPON ADR B
456463108
1389
28121
SH
DFND
1
28121
0
0
Infoblox Inc
COM
45672H104
6741
359345
SH
DFND
1
359153
0
192
ING Groep NV
SPONSORED ADR
456837103
21018
2034677
SH
DFND
1
2021860
0
12817
Insteel Industries Inc
COM
45774W108
261
9135
SH
DFND
1
9098
0
37
Interpublic Group of Cos Inc/The
COM
460690100
16782
726527
SH
DFND
1
713693
0
12834
iShares iBonds Sep 2017 Term Muni Bond ETF
IBONDS SEP17 ETF
464289271
441
16136
SH
DFND
1
14353
0
1783
j2 Global Inc
COM
48123V102
328
5196
SH
DFND
1
5176
0
20
John B Sanfilippo & Son Inc
COM
800422107
231
5431
SH
DFND
1
5381
0
50
JPMorgan Chase & Co
COM
46625H100
250
4037
SH
DFND
1
3722
0
315
Koninklijke Philips NV
NY REG SH NEW
500472303
2205
88428
SH
DFND
1
88428
0
0
KT Corp
SPONSORED ADR
48268K101
9074
636356
SH
DFND
1
635703
0
653
La-Z-Boy Inc
COM
505336107
266
9563
SH
DFND
1
9525
0
38
Leucadia National Corp
COM
527288104
7208
415971
SH
DFND
1
406692
0
9279
Lexington Realty Trust
COM
529043101
15508
1533973
SH
DFND
1
1510418
0
23555
Lithia Motors Inc
CL A
536797103
289
4078
SH
DFND
1
4062
0
16
LyondellBasell Industries NV
SHS - A -
N53745100
212
2858
SH
DFND
1
2683
0
175
Maiden Holdings Ltd
SHS
G5753U112
322
26312
SH
DFND
1
26215
0
97
ManpowerGroup Inc
COM
56418H100
21175
329120
SH
DFND
1,2
328025
0
1095
Matrix Service Co
COM
576853105
171
10377
SH
DFND
1
10335
0
42
Mercer International Inc
COM
588056101
166
20924
SH
DFND
1
20840
0
84
Micron Technology Inc
COM
595112103
16150
1173749
SH
DFND
1
1153651
0
20098
Microsoft Corp
COM
594918104
248
4848
SH
DFND
1
4505
0
343
Mylan NV
SHS EURO
N59465109
12232
282903
SH
DFND
1
276694
0
6209
National General Holdings Corp
COM
636220303
338
15786
SH
DFND
1
15722
0
64
Navigant Consulting Inc
COM
63935N107
334
20695
SH
DFND
1
20611
0
84
Net 1 UEPS Technologies Inc
COM NEW
64107N206
957
95872
SH
DFND
1
95782
0
90
New Residential Investment Corp
COM NEW
64828T201
349
25271
SH
DFND
1
25165
0
106
NextEra Energy Inc
COM
65339F101
200
1537
SH
DFND
1
1468
0
69
Nippon Telegraph & Telephone Corp
SPONSORED ADR
654624105
52523
1115631
SH
DFND
1,2
1111745
0
3886
Northern Trust Corp
COM
665859104
6623
99965
SH
DFND
1
95432
0
4533
Novartis AG
SPONSORED ADR
66987V109
2820
34189
SH
DFND
1
33954
0
235
NRG Energy Inc
COM NEW
629377508
10468
698368
SH
DFND
1
698267
0
101
NRG Yield Inc
CL A NEW
62942X306
182
11989
SH
DFND
1
11842
0
147
NTT DOCOMO Inc
SPONS ADR
62942M201
459
17006
SH
DFND
1
16721
0
285
Oracle Corp
COM
68389X105
24911
608645
SH
DFND
1
596859
0
11786
Patrick Industries Inc
COM
703343103
273
4535
SH
DFND
1
4517
0
18
Pattern Energy Group Inc
CL A
70338P100
4997
217576
SH
DFND
1
217476
0
100
Pfizer Inc
COM
717081103
25517
724710
SH
DFND
1
713310
0
11400
Phillips 66
COM
718546104
205
2593
SH
DFND
1
2389
0
204
Photronics Inc
COM
719405102
286
32167
SH
DFND
1
32036
0
131
Plantronics Inc
COM
727493108
332
7563
SH
DFND
1
7533
0
30
POSCO
SPONSORED ADR
693483109
16266
365541
SH
DFND
1
362992
0
2549
Preferred Bank/Los Angeles CA
COM NEW
740367404
277
9605
SH
DFND
1
9567
0
38
Regional Management Corp
COM
75902K106
248
16926
SH
DFND
1
16857
0
69
Royal Bank of Scotland Group PLC
SPONS ADR 2 ORD
780097689
21522
4579249
SH
DFND
1
4551585
0
27664
Royal Dutch Shell PLC
SPON ADR B
780259107
56613
1010960
SH
DFND
1,2
1007345
0
3615
Ruby Tuesday Inc
COM
781182100
870
241196
SH
DFND
1
240935
0
261
Rudolph Technologies Inc
COM
781270103
337
21710
SH
DFND
1
21620
0
90
Sanofi
SPONSORED ADR
80105N105
33895
809931
SH
DFND
1
806156
0
3775
SAP SE
SPON ADR
803054204
15629
208339
SH
DFND
1
206989
0
1350
Schlumberger Ltd
COM
806857108
7143
90329
SH
DFND
1
86335
0
3994
Silver Standard Resources Inc
COM
82823L106
5246
403860
SH
DFND
1
403860
0
0
SK Telecom Co Ltd
SPONSORED ADR
78440P108
45589
2179242
SH
DFND
1,2
2171380
0
7862
SkyWest Inc
COM
830879102
11721
442973
SH
DFND
1
442475
0
498
Standex International Corp
COM
854231107
247
2997
SH
DFND
1
2985
0
12
Steelcase Inc
CL A
858155203
319
23552
SH
DFND
1
23457
0
95
Sucampo Pharmaceuticals Inc
CL A
864909106
256
23362
SH
DFND
1
23267
0
95
Suncor Energy Inc
COM
867224107
307
11094
SH
DFND
1
11094
0
0
Sunstone Hotel Investors Inc
COM
867892101
164
13602
SH
DFND
1
13552
0
50
Superior Energy Services Inc
COM
868157108
1282
69660
SH
DFND
1
69599
0
61
Telefonaktiebolaget LM Ericsson
ADR B SEK 10
294821608
33349
4342379
SH
DFND
1,2
4328053
0
14326
Tenaris SA
SPONSORED ADR
88031M109
22610
784015
SH
DFND
1
778860
0
5155
Tenneco Inc
COM
880349105
297
6376
SH
DFND
1
6351
0
25
Tessera Technologies Inc
COM
88164L100
329
10759
SH
DFND
1
10682
0
77
Teva Pharmaceutical Industries Ltd
ADR
881624209
51082
1016970
SH
DFND
1,2
1011578
0
5392
Time Inc
COM
887228104
11803
717110
SH
DFND
1
706909
0
10201
Tower International Inc
COM
891826109
318
15453
SH
DFND
1
15390
0
63
Toyota Motor Corp
SP ADR REP2COM
892331307
46522
465276
SH
DFND
1,2
463722
0
1554
Triumph Group Inc
COM
896818101
8660
243951
SH
DFND
1
237052
0
6899
Turkcell Iletisim Hizmetleri AS
SPON ADR NEW
900111204
4916
537332
SH
DFND
1
537332
0
0
Tyson Foods Inc
CL A
902494103
8079
120970
SH
DFND
1
118687
0
2283
UBS Group AG
SHS
H42097107
51181
3949192
SH
DFND
1,2
3940094
0
9098
Umpqua Holdings Corp
COM
904214103
160
10382
SH
DFND
1
10341
0
41
Union Pacific Corp
COM
907818108
206
2361
SH
DFND
1
2188
0
173
VanEck Vectors AMT-Free Short Municipal Index ETF
AMT FREE SHORT M
92189F528
322
18215
SH
DFND
1
16098
0
2117
Vanguard High Dividend Yield ETF
HIGH DIV YLD
921946406
244
3415
SH
DFND
1
3105
0
310
Vanguard Short-Term Bond ETF
SHORT TRM BOND
921937827
439
5424
SH
DFND
1
5195
0
229
Verizon Communications Inc
COM
92343V104
6441
115356
SH
DFND
1
109936
0
5420
Virtusa Corp
COM
92827P102
210
7278
SH
DFND
1
7248
0
30
Vonage Holdings Corp
COM
92886T201
187
30812
SH
DFND
1
30469
0
343
Wells Fargo & Co
COM
949746101
215
4553
SH
DFND
1
4253
0
300
Western Asset Managed High Income Fund Inc
COM
95766L107
63
13353
SH
DFND
1
12794
0
559
Whirlpool Corp
COM
963320106
233
1403
SH
DFND
1
1304
0
99
Xerox Corp
COM
984121103
109
11534
SH
DFND
1
10506
0
1028
YPF SA
SPON ADR CL D
984245100
3539
184352
SH
DFND
1
184167
0
185