0000909012-14-000427.txt : 20141114
0000909012-14-000427.hdr.sgml : 20141114
20141114130243
ACCESSION NUMBER: 0000909012-14-000427
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
EFFECTIVENESS DATE: 20141114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: NWQ INVESTMENT MANAGEMENT COMPANY, LLC
CENTRAL INDEX KEY: 0000763848
IRS NUMBER: 470875103
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-01474
FILM NUMBER: 141222348
BUSINESS ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 16TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: (310) 552-5114
MAIL ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 16TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
FORMER COMPANY:
FORMER CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO LLC
DATE OF NAME CHANGE: 20030416
FORMER COMPANY:
FORMER CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO /CA/
DATE OF NAME CHANGE: 19990407
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0000763848
XXXXXXXX
09-30-2014
09-30-2014
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
2049 CENTURY PARK EAST
16TH FLOOR
LOS ANGELES
CA
90067
13F HOLDINGS REPORT
028-01474
N
Jon D. Bosse
Chief Investment Officer
310 712 4000
/s/ JON D. BOSSE
Los Angeles
CA
11-13-2014
1
178
9106284
false
1
028-11405
Nuveen Investments, Inc.
INFORMATION TABLE
2
aci_13f.xml
AbbVie Inc
COM
00287Y109
4964
85948
SH
DFND
1
85637
0
311
Abengoa Yield plc
ORD SHS
G00349103
1605
52130
SH
DFND
1
52130
0
0
Actuant Corp
CL A NEW
00508X203
10804
354002
SH
DFND
1
353812
0
190
Agrium Inc
COM
008916108
97358
1110505
SH
DFND
1
1090394
0
20111
Albany International Corp
CL A
012348108
44598
1310161
SH
DFND
1
1309827
0
334
AllianceBernstein Global High Income Fund Inc
COM
01879R106
1533
112700
SH
DFND
1
112700
0
0
American International Group Inc
COM NEW
026874784
151110
2841413
SH
DFND
1
2790013
0
51400
Analog Devices Inc
COM
032654105
4994
100900
SH
DFND
1
100900
0
0
Analogic Corp
COM PAR $0.05
032657207
23386
365630
SH
DFND
1
365630
0
0
AngloGold Ashanti Ltd
SPONSORED ADR
035128206
48303
4097627
SH
DFND
1
4025207
0
72420
Aon PLC
SHS CL A
G0408V102
194259
2254395
SH
DFND
1
2208105
0
46290
Apache Corp
COM
037411105
226142
2453598
SH
DFND
1
2409004
0
44594
Apollo Global Management LLC
CL A SHS
037612306
2831
118750
SH
DFND
1
118750
0
0
Apple Inc
COM
037833100
3147
31237
SH
DFND
1
31237
0
0
Ares Capital Corp
COM
04010L103
11034
682800
SH
DFND
1
682800
0
0
Ares Dynamic Credit Allocation Fund Inc
COM
04014F102
6646
390003
SH
DFND
1
390003
0
0
Arlington Asset Investment Corp
CL A NEW
041356205
6198
243923
SH
DFND
1
243923
0
0
Ashford Hospitality Trust Inc
9% CUM PFD SER E
044103505
4186
153902
SH
DFND
1
153902
0
0
AstraZeneca PLC
SPONSORED ADR
046353108
4606
64475
SH
DFND
1
64475
0
0
Astronics Corp
COM
046433108
42376
888763
SH
DFND
1
888546
0
217
AuRico Gold Inc
COM
05155C105
1352
387450
SH
DFND
1
387450
0
0
Avery Dennison Corp
COM
053611109
39932
898896
SH
DFND
1
898611
0
285
Avon Products Inc
COM
054303102
93574
7445239
SH
DFND
1
7294048
0
151191
Axis Capital Holdings Ltd
SHS
G0692U109
35789
756167
SH
DFND
1
755655
0
512
Baker Hughes Inc
COM
057224107
90935
1420542
SH
DFND
1
1391820
0
28722
Bank of New York Mellon Corp/The
COM
064058100
7244
187050
SH
DFND
1
187050
0
0
Barrick Gold Corp
COM
067901108
909
62000
SH
DFND
1
62000
0
0
Bio-Rad Laboratories Inc
CL A
090572207
59338
526106
SH
DFND
1
525808
0
298
Boise Cascade Co
COM
09739D100
20739
688095
SH
DFND
1
688095
0
0
Boston Private Financial Holdings Inc
DEP SHS
101119303
2678
107673
SH
DFND
1
107673
0
0
Brandywine Realty Trust
SH BEN INT NEW
105368203
42156
3008070
SH
DFND
1
3007341
0
729
Bruker Corp
COM
116794108
24292
1312031
SH
DFND
1
1311327
0
704
CA Inc
COM
12673P105
179044
6517678
SH
DFND
1
6404276
0
113402
Canadian Natural Resources Ltd
COM
136385101
120488
3156241
SH
DFND
1
3097332
0
58909
Capital Bank Financial Corp
CL A COM
139794101
12062
505124
SH
DFND
1
504994
0
130
Capital One Financial Corp
COM
14040H105
126987
1579336
SH
DFND
1
1552121
0
27215
Carrizo Oil & Gas Inc
COM
144577103
19559
363408
SH
DFND
1
363305
0
103
CenturyLink Inc
COM
156700106
53484
1330434
SH
DFND
1
1307134
0
23300
Cisco Systems Inc
COM
17275R102
103594
4180554
SH
DFND
1
4101015
0
79539
CIT Group Inc
COM NEW
125581801
96416
2133003
SH
DFND
1
2093331
0
39672
Citigroup Inc
COM NEW
172967424
271438
5331898
SH
DFND
1
5238271
0
93627
Clearwater Paper Corp
COM
18538R103
21069
350511
SH
DFND
1
350320
0
191
Coherent Inc
COM
192479103
84537
1377489
SH
DFND
1
1377104
0
385
Compass Diversified Holdings
SH BEN INT
20451Q104
1378
78718
SH
DFND
1
78718
0
0
Comstock Resources Inc
COM NEW
205768203
46713
2508749
SH
DFND
1
2508111
0
638
Cushing Royalty & Income Fund/The
COM SH BEN INT
23164R104
4158
231517
SH
DFND
1
231517
0
0
CVS Health Corp
COM
126650100
151907
1939169
SH
DFND
1
1899001
0
40168
Deltic Timber Corp
COM
247850100
33514
537772
SH
DFND
1
537612
0
160
Denbury Resources Inc
COM NEW
247916208
33299
2229165
SH
DFND
1
2228324
0
841
Eaton Corp PLC
SHS
G29183103
928
14650
SH
DFND
1
14650
0
0
eBay Inc
COM
278642103
82208
1474159
SH
DFND
1
1448254
0
25905
Elizabeth Arden Inc
COM
28660G106
57183
3415972
SH
DFND
1
3415014
0
958
Energy Transfer Equity LP
COM UT LTD PTN
29273V100
1565
25375
SH
DFND
1
25375
0
0
EnerSys
COM
29275Y102
32461
553556
SH
DFND
1
553414
0
142
Entegris Inc
COM
29362U104
20578
1789419
SH
DFND
1
1789419
0
0
Equity Commonwealth
CUM PFD E 7.25%
294628409
323
12560
SH
DFND
1
12560
0
0
Esterline Technologies Corp
COM
297425100
20046
180160
SH
DFND
1
180160
0
0
Euronet Worldwide Inc
COM
298736109
19750
413268
SH
DFND
1
413148
0
120
Express Inc
COM
30219E103
23760
1535934
SH
DFND
1
1535025
0
909
Exxon Mobil Corp
COM
30231G102
647
6875
SH
DFND
1
6875
0
0
FBR & Co
COM NEW
30247C400
24353
898782
SH
DFND
1
898669
0
113
Ford Motor Co
COM PAR $0.01
345370860
103787
7123579
SH
DFND
1
7002260
0
121319
Forestar Group Inc
COM
346233109
82761
4670464
SH
DFND
1
4669142
0
1322
FS Investment Corp
COM
302635107
4008
375700
SH
DFND
1
375700
0
0
General Electric Co
COM
369604103
3571
139395
SH
DFND
1
139395
0
0
General Motors Co
COM
37045V100
182223
5804278
SH
DFND
1
5700321
0
103957
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
9568
208125
SH
DFND
1
208125
0
0
Goldman Sachs Group Inc/The
COM
38141G104
98437
545817
SH
DFND
1
534509
0
11308
GP Strategies Corp
COM
36225V104
36599
1274346
SH
DFND
1
1274346
0
0
Griffon Corp
COM
398433102
9312
817592
SH
DFND
1
817338
0
254
GSI Group Inc
COM NEW
36191C205
24202
2106384
SH
DFND
1
2106384
0
0
Hannon Armstrong Sustainable Infrastructure Capital Inc
COM
41068X100
3178
229977
SH
DFND
1
229977
0
0
Harman International Industries Inc
COM
413086109
18323
186889
SH
DFND
1
186783
0
106
Hartford Financial Services Group Inc/The
COM
416515104
203269
5548924
SH
DFND
1
5452826
0
96098
Hercules Technology Growth Capital Inc
COM
427096508
6224
430400
SH
DFND
1
430400
0
0
Hilton Worldwide Holdings Inc
COM
43300A104
3800
154301
SH
DFND
1
154301
0
0
HomeStreet Inc
COM
43785V102
2381
139323
SH
DFND
1
139323
0
0
Hooker Furniture Corp
COM
439038100
22914
1506489
SH
DFND
1
1506489
0
0
Impax Laboratories Inc
COM
45256B101
30651
1298995
SH
DFND
1
1298405
0
590
ING Groep NV
SPONSORED ADR
456837103
5067
357075
SH
DFND
1
357075
0
0
Ingersoll-Rand PLC
SHS
G47791101
115891
2088985
SH
DFND
1
2052253
0
36732
Integrated Device Technology Inc
COM
458118106
24973
1565715
SH
DFND
1
1565715
0
0
Intelsat SA
MAN CONV JR PFD
L5140P119
3
58450
PRN
DFND
1
58450
0
0
Inter Parfums Inc
COM
458334109
40425
1469983
SH
DFND
1
1469558
0
425
International Rectifier Corp
COM
460254105
17983
458272
SH
DFND
1
458118
0
154
Interpublic Group of Cos Inc/The
COM
460690100
163615
8954522
SH
DFND
1
8812338
0
142184
iShares Core U.S. Aggregate Bond ETF
CORE US AGGBD ET
464287226
1506
13800
SH
DFND
1
13800
0
0
iShares iBoxx $ Investment Grade Corporate Bond ETF
IBOXX INV CP ETF
464287242
24730
209186
SH
DFND
1
191872
0
17314
Jazz Pharmaceuticals PLC
SHS USD
G50871105
22270
138705
SH
DFND
1
138630
0
75
JDS Uniphase Corp
COM PAR $0.001
46612J507
15776
1232515
SH
DFND
1
1231850
0
665
JPMorgan Chase & Co
COM
46625H100
191178
3224058
SH
DFND
1
3171187
0
52871
Key Energy Services Inc
COM
492914106
72402
15018625
SH
DFND
1
15015166
0
3459
Koninklijke Philips NV
NY REG SH NEW
500472303
2710
85450
SH
DFND
1
85450
0
0
Laclede Group Inc/The
COM
505597104
33033
711920
SH
DFND
1
711725
0
195
Landec Corp
COM
514766104
10623
867182
SH
DFND
1
867182
0
0
Lattice Semiconductor Corp
COM
518415104
57128
7617005
SH
DFND
1
7614861
0
2144
LinnCo LLC
COMSHS LTD INT
535782106
5790
200000
SH
DFND
1
200000
0
0
Loews Corp
COM
540424108
109527
2675119
SH
DFND
1
2625083
0
50036
Louisiana-Pacific Corp
COM
546347105
54362
4000123
SH
DFND
1
3999007
0
1116
Marten Transport Ltd
COM
573075108
25660
1440790
SH
DFND
1
1440790
0
0
Materion Corp
COM
576690101
21290
694170
SH
DFND
1
694170
0
0
McDermott International Inc
COM
580037109
51177
8989716
SH
DFND
1
8987640
0
2076
McDonald's Corp
COM
580135101
23168
244360
SH
DFND
1
235608
0
8752
Medley Capital Corp
COM
58503F106
5170
437770
SH
DFND
1
437770
0
0
Merck & Co Inc
COM
58933Y105
4968
83811
SH
DFND
1
83811
0
0
Methode Electronics Inc
COM
591520200
7582
205642
SH
DFND
1
205642
0
0
MetLife Inc
COM
59156R108
148671
2815435
SH
DFND
1
2758569
0
56866
MFS Intermediate Income Trust
SH BEN INT
55273C107
5377
1073254
SH
DFND
1
1073254
0
0
Microchip Technology Inc
COM
595017104
5113
108250
SH
DFND
1
108250
0
0
Microsemi Corp
COM
595137100
88779
3493853
SH
DFND
1
3492902
0
951
Microsoft Corp
COM
594918104
221884
4865012
SH
DFND
1
4783912
0
81100
Mitel Networks Corp
COM
60671Q104
54923
6002475
SH
DFND
1
6000743
0
1732
MKS Instruments Inc
COM
55306N104
20200
605156
SH
DFND
1
604973
0
183
National CineMedia Inc
COM
635309107
7126
491100
SH
DFND
1
491100
0
0
Navios Maritime Holdings Inc
SPON ADR PFD H
63938Y308
5151
210500
SH
DFND
1
210500
0
0
Navios Maritime Holdings Inc
SPN ADR RP PFD G
63938Y100
909
35867
SH
DFND
1
35867
0
0
Neenah Paper Inc
COM
640079109
20728
387581
SH
DFND
1
387581
0
0
New Residential Investment Corp
COM
64828T102
53912
1008075
SH
DFND
1
1008075
0
0
Nippon Telegraph & Telephone Corp
SPONSORED ADR
654624105
5364
172422
SH
DFND
1
172422
0
0
NorthStar Realty Finance Corp
COM NEW
66704R704
4161
235500
SH
DFND
1
235500
0
0
Norwegian Cruise Line Holdings Ltd
SHS
G66721104
126614
3578186
SH
DFND
1
3512861
0
65325
NRG Energy Inc
COM NEW
629377508
145074
4833193
SH
DFND
1
4750512
0
82681
Occidental Petroleum Corp
COM
674599105
176683
1867497
SH
DFND
1
1834169
0
33328
Oracle Corp
COM
68389X105
174809
4639806
SH
DFND
1
4562542
0
77264
Orbital Sciences Corp
COM
685564106
42992
1546479
SH
DFND
1
1546055
0
424
PACCAR Inc
COM
693718108
96923
1732261
SH
DFND
1
1702905
0
29356
PacWest Bancorp
COM
695263103
36997
897344
SH
DFND
1
897112
0
232
PennantPark Floating Rate Capital Ltd
COM
70806A106
6268
454877
SH
DFND
1
454877
0
0
PennyMac Financial Services Inc
CL A
70932B101
1588
108400
SH
DFND
1
108400
0
0
PennyMac Mortgage Investment Trust
COM
70931T103
15248
721416
SH
DFND
1
721330
0
86
Pfizer Inc
COM
717081103
184769
6338458
SH
DFND
1
6240573
0
97885
PH Glatfelter Co
COM
377316104
52344
2384678
SH
DFND
1
2383991
0
687
Philip Morris International Inc
COM
718172109
53128
648384
SH
DFND
1
635677
0
12707
Phillips 66
COM
718546104
71317
892781
SH
DFND
1
876298
0
16483
PNC Financial Services Group Inc/The
COM
693475105
63588
754730
SH
DFND
1
739764
0
14966
PrivateBancorp Inc
COM
742962103
36177
1213532
SH
DFND
1
1213229
0
303
Procter & Gamble Co/The
COM
742718109
2261
27000
SH
DFND
1
27000
0
0
Rambus Inc
COM
750917106
23611
1891899
SH
DFND
1
1890868
0
1031
Raytheon Co
COM NEW
755111507
95554
956869
SH
DFND
1
936682
0
20187
Redwood Trust Inc
COM
758075402
8445
517299
SH
DFND
1
517232
0
67
Reinsurance Group of America Inc
COM NEW
759351604
52719
661893
SH
DFND
1
661633
0
260
Retail Opportunity Investments Corp
COM
76131N101
1838
125000
SH
DFND
1
125000
0
0
Royal Dutch Shell PLC
SPONS ADR A
780259206
6593
86600
SH
DFND
1
86600
0
0
Sagent Pharmaceuticals Inc
COM
786692103
16089
517326
SH
DFND
1
517326
0
0
SandRidge Permian Trust
COM UNIT BEN INT
80007A102
1368
140900
SH
DFND
1
140900
0
0
Sanofi
SPONSORED ADR
80105N105
133750
2409040
SH
DFND
1
2368330
0
40710
Stonemor Partners LP
COM UNITS
86183Q100
2943
114100
SH
DFND
1
114100
0
0
Stoneridge Inc
COM
86183P102
22646
2009392
SH
DFND
1
2009392
0
0
Suncor Energy Inc
COM
867224107
3539
97900
SH
DFND
1
97900
0
0
Sunstone Hotel Investors Inc
CV 8% CUM PFD-D
867892507
540
20199
SH
DFND
1
20199
0
0
Talisman Energy Inc
COM
87425E103
200077
23489275
SH
DFND
1
23086003
0
403272
Target Corp
COM
87612E106
133894
2171613
SH
DFND
1
2132871
0
38742
TCP Capital Corp
COM
87238Q103
2764
172000
SH
DFND
1
172000
0
0
Telefonaktiebolaget LM Ericsson
ADR B SEK 10
294821608
7033
558600
SH
DFND
1
558600
0
0
Teradyne Inc
COM
880770102
200964
10490318
SH
DFND
1
10355233
0
135085
Teva Pharmaceutical Industries Ltd
ADR
881624209
248553
4698117
SH
DFND
1
4618572
0
79545
Texas Capital Bancshares Inc
COM
88224Q107
48114
834151
SH
DFND
1
833909
0
242
Time Warner Inc
COM NEW
887317303
119324
1613603
SH
DFND
1
1580557
0
33046
Total SA
SPONSORED ADR
89151E109
6062
94050
SH
DFND
1
94050
0
0
TriplePoint Venture Growth BDC Corp
COM
89677Y100
3561
243766
SH
DFND
1
243766
0
0
Tsakos Energy Navigation Ltd
SHS
G9108L108
2367
371000
SH
DFND
1
371000
0
0
UMH Properties Inc
CV RED PFD-A
903002202
1166
44282
SH
DFND
1
44282
0
0
Union Pacific Corp
COM
907818108
115920
1085492
SH
DFND
1
1061292
0
24200
UnitedHealth Group Inc
COM
91324P102
2137
24777
SH
DFND
1
24777
0
0
Unum Group
COM
91529Y106
216628
6404084
SH
DFND
1
6294630
0
109454
VeriFone Systems Inc
COM
92342Y109
34367
999629
SH
DFND
1
998944
0
685
Viacom Inc
CL B
92553P201
145112
1917860
SH
DFND
1
1882748
0
35112
Vodafone Group PLC
SPNSR ADR NO PAR
92857W308
2577
78361
SH
DFND
1
78361
0
0
Waste Management Inc
COM
94106L109
944
19857
SH
DFND
1
19809
0
48
Wells Fargo & Co
COM
949746101
178177
3487441
SH
DFND
1
3421440
0
66001
WESCO International Inc
COM
95082P105
15371
196413
SH
DFND
1
196305
0
108
Western Alliance Bancorp
COM
957638109
52888
2212895
SH
DFND
1
2212319
0
576
Weyerhaeuser Co
COM
962166104
781
24520
SH
DFND
1
24252
0
268
Whiting USA Trust II
TR UNIT
966388100
5304
434416
SH
DFND
1
434416
0
0
Williams Cos Inc/The
COM
969457100
3039
54900
SH
DFND
1
54900
0
0
Woodward Inc
COM
980745103
29770
625163
SH
DFND
1
624842
0
321
Yorkville High Income MLP
YORK HIINC MLP
301505103
1351
76200
SH
DFND
1
76200
0
0
Zions Bancorporation
COM
989701107
123641
4305438
SH
DFND
1
4245046
0
60392