0000909012-12-000132.txt : 20120214 0000909012-12-000132.hdr.sgml : 20120214 20120214095707 ACCESSION NUMBER: 0000909012-12-000132 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO 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: 12603280 BUSINESS ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: (310) 552-5114 MAIL ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO /CA/ DATE OF NAME CHANGE: 19990407 13F-HR 1 t306699.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding's entries Institutional Investment Manager Filing this Report: Name: NWQ INVESTMENT MANAGEMENT CO, LLC Address: 2049 Century Park East 16th Floor Los Angeles, CA 90067 13F File Number: 028-01474 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Jon D. Bosse Title: Chief Investment Officer Phone: 310-712-4000 Signature, Place, and Date of Signing: Jon D. Bosse, Los Angeles, CA 2/14/2012 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Nuveen Investments, Inc. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 139 Form 13F Information Table Value Total: $15,440,538,100 List of Other Included Managers: No. 13F File Number Name 1 - 028-11405 -- Nuveen Investments, Inc.
TITLE OF SH NAME OF ISSUER CLASS CUSIP NO 13F Value Shares PRN INVT OTHER SOLE SHARED NONE Albany International Corp COM 012348108 21,099,499.05 882,455 SH DEFINED 1 641,955 0 240,500 Allied World Assurance Co Holdings AG COM H01531104 31,315,559.92 498,338 SH DEFINED 1 425,288 0 73,050 Alpha Natural Resources Inc COM 02076X102 12,766,396.15 576,361 SH DEFINED 1 17,000 0 559,361 Alterra Capital Holdings Ltd COM G0229R108 12,509,463.96 524,286 SH DEFINED 1 446,686 0 77,600 Anglogold Ashanti-Spon Adr ADR 035128206 634,520,136.94 14,559,893 SH DEFINED 1 10,894,787 0 3,665,106 Aon Corp COM 037389103 392,730,887.655 8,309,127 SH DEFINED 1 6,544,062 0 1,765,065 Apache Corp COM 037411105 612,094,055.30 6,439,706 SH DEFINED 1 4,691,426 0 1,748,280 Arch Coal Inc COM 039380100 20,093,580.90 1,317,180 SH DEFINED 1 574,380 0 742,800 Arrow Electronics Inc COM 042735100 19,131,110.40 498,206 SH DEFINED 1 488,706 0 9,500 Ashford Hospitality Trust Inc PUBLIC 044103505 2,550,080.00 104,000 SH DEFINED 1 104,000 0 Aspen Insurance Holdings Ltd COM G05384105 16,430,630.90 615,610 SH DEFINED 1 446,260 0 169,350 AuRico Gold Inc COM 05155C105 62,694,338.31 7,490,363 SH DEFINED 1 6,794,101 0 696,262 Aurizon Mines Ltd COM 05155P106 15,045,626.04 2,915,819 SH DEFINED 1 2,464,669 0 451,150 Avnet Inc COM 053807103 18,725,203.10 592,945 SH DEFINED 1 578,145 0 14,800 Baker Hughes Inc COM 057224107 5,229,310.00 103,000 SH DEFINED 1 3,500 0 99,500 Bank of America Corp Preferred-Cnv 060505682 1,347,514.20 1,710 SH DEFINED 1 1,710 0 Barclays Bank PLC PUBLIC 06739H776 378,963.00 18,450 SH DEFINED 1 0 18,450 Barrick Gold Corp COM 067901108 392,369,254.00 8,348,282 SH DEFINED 1 6,960,316 0 1,387,966 BlackRock Credit Allocation Income Trust II Inc Closed-End Fund 09255H105 1,763,870.2125 177,375 SH DEFINED 1 0 177,375 Bob Evans Farms Inc/DE COM 096761101 51,430,208.90 1,499,423 SH DEFINED 1 1,278,577 0 220,846 Brocade Communications Systems Inc COM 111621306 30,148,989.22 5,731,747 SH DEFINED 1 4,906,647 0 825,100 Buckeye Technologies Inc COM 118255108 7,016,616.09 202,851 SH DEFINED 1 149,051 0 53,800 CA Inc COM 12673P105 762,229,090.35 36,876,105 SH DEFINED 1 27,248,926 0 9,627,179 Canadian Natural Resources Ltd COM 136385101 392,436,422.88 10,150,968 SH DEFINED 1 6,927,874 0 3,223,094 Carrizo Oil & Gas Inc COM 144577103 36,512,081.50 1,317,650 SH DEFINED 1 418,670 0 898,980 Casey's General Stores Inc COM 147528103 27,947,731.83 529,855 SH DEFINED 1 450,855 0 79,000 CIRCOR International Inc COM 17273K109 26,592,029.60 725,765 SH DEFINED 1 615,315 0 110,450 Cisco Systems Inc COM 17275R102 418,012,705.60 22,323,776 SH DEFINED 1 17,037,711 0 5,286,065 Citigroup Inc Convertible 172967416 1,448.168 16,906 PRN DEFINED 1 16,906 0 Citigroup Inc COM 172967424 373,369,761.868 13,240,532 SH DEFINED 1 9,463,280 0 3,777,252 Citigroup Inc Convertible 172967598 451.5761 10,900 PRN DEFINED 1 10,900 0 Clearwater Paper Corp COM 18538R103 19,660,662.08 543,713 SH DEFINED 1 521,413 0 22,300 Coherent Inc COM 192479103 37,057,936.26 675,993 SH DEFINED 1 577,373 0 98,620 CommonWealth REIT PUBLIC 203233606 1,722,000.00 70,000 SH DEFINED 1 70,000 0 Convergys Corp COM 212485106 69,949,735.80 5,401,524 SH DEFINED 1 4,892,179 0 509,345 CVS Caremark Corp COM 126650100 308,620,632.91 7,420,549 SH DEFINED 1 5,766,454 0 1,654,095 Delphi Automotive PLC COM G27823106 30,053,804.76 1,350,126 SH DEFINED 1 913,100 0 437,026 Denbury Resources Inc COM 247916208 80,801,037.80 5,018,698 SH DEFINED 1 2,731,039 0 2,287,659 Elizabeth Arden Inc COM 28660G106 50,194,189.50 1,332,825 SH DEFINED 1 1,133,376 0 199,449 Entegris Inc COM 29362U104 16,350,460.65 1,872,905 SH DEFINED 1 1,363,505 0 509,400 Exxon Mobil Corp COM 30231G102 4,540,641.183 52,455 SH DEFINED 1 52,455 0 FBR & Co COM 30247C301 9,959,524.64 4,788,233 SH DEFINED 1 4,614,966 0 173,267 FEI Co COM 30241L109 7,551,801.60 180,320 SH DEFINED 1 174,670 0 5,650 Flaherty & Crumrine/Claymore Preferred Securities Income Fun Closed-End Fund 338478100 2,617,934.248 149,080 SH DEFINED 1 0 149,080 Forestar Group Inc COM 346233109 51,287,669.00 3,246,055 SH DEFINED 1 2,762,184 0 483,871 Frontier Communications Corp COM 35906A108 4,026,050.28 753,942 SH DEFINED 1 753,942 0 General Electric Co COM 369604103 3,528,848.40 190,955 SH DEFINED 1 190,955 0 General Motors Co COM 37045V100 210,145,816.32 9,950,086 SH DEFINED 1 7,094,791 0 2,855,295 Genworth Financial Inc COM 37247D106 259,445,808.55 37,223,215 SH DEFINED 1 27,777,457 0 9,445,758 GlaxoSmithKline PLC ADR 37733W105 6,457,461.00 138,900 SH DEFINED 1 138,900 0 Goldman Sachs Group Inc/The COM 38141G104 250,460,121.756 2,633,124 SH DEFINED 1 2,018,056 0 615,068 Golfsmith International Holdings Inc COM 38168Y103 2,890,091.148 839,167 SH DEFINED 1 612,603 0 226,564 GP Strategies Corp COM 36225V104 2,010,563.28 146,971 SH DEFINED 1 109,438 0 37,533 Griffon Corp COM 398433102 36,189,099.52 3,801,376 SH DEFINED 1 3,236,326 0 565,050 Guess? Inc COM 401617105 40,203,920.16 1,307,232 SH DEFINED 1 1,253,500 0 53,732 Halliburton Co COM 406216101 138,472,689.5468 3,998,426 SH DEFINED 1 2,836,456 0 1,161,970 Hartford Financial Services Group Inc COM 416515104 428,402,578.50 25,349,265 SH DEFINED 1 19,349,083 0 6,000,182 Hess Corp COM 42809H107 230,193,942.16 3,905,564 SH DEFINED 1 2,912,525 0 993,039 Hewlett-Packard Co COM 428236103 7,504,243.50 280,900 SH DEFINED 1 276,300 0 4,600 Hooker Furniture Corp COM 439038100 10,315,168.30 863,194 SH DEFINED 1 623,407 0 239,787 Hormel Foods Corp COM 440452100 8,394,532.215 284,127 SH DEFINED 1 273,227 0 10,900 HSBC Holdings PLC PUBLIC 404280604 273,081.00 11,350 SH DEFINED 1 0 11,350 Ingersoll-Rand PLC COM G47791101 231,840,469.60 7,233,712 SH DEFINED 1 5,708,579 0 1,525,133 Interpublic Group of Cos Inc/The COM 460690100 53,820,540.20 5,286,890 SH DEFINED 1 4,667,410 0 619,480 iShares iBoxx Investment Grade Corporate Bond Fund ETP 464287242 43,634,649.00 383,770 SH DEFINED 1 344,501 0 39,269 iShares Russell 1000 Value Index Fund ETP 464287598 56,860,952.295 877,687 SH DEFINED 1 797,207 0 80,480 iShares Russell Midcap Value Index Fund ETP 464287473 5,030,605.50 113,686 SH DEFINED 1 113,686 0 John Hancock Preferred Income Fund III Closed-End Fund 41021P103 2,238,761.0216 129,784 SH DEFINED 1 0 129,784 JPMorgan Chase & Co COM 46625H100 261,201,410.2102 7,501,498 SH DEFINED 1 5,805,897 0 1,695,601 Laredo Petroleum Holdings Inc COM 516806106 3,444,875.00 155,000 SH DEFINED 1 5,000 0 150,000 Lincoln National Corp COM 534187109 146,559,740.21 7,180,781 SH DEFINED 1 5,388,060 0 1,792,721 Loews Corp COM 540424108 353,540,922.77 9,148,426 SH DEFINED 1 7,243,900 0 1,904,526 Maidenform Brands Inc COM 560305104 10,414,175.50 567,530 SH DEFINED 1 410,230 0 157,300 Marten Transport Ltd COM 573075108 11,417,864.18 619,526 SH DEFINED 1 449,276 0 170,250 Mattson Technology Inc COM 577223100 4,118,896.39 2,898,590 SH DEFINED 1 2,744,547 0 154,043 Merck & Co Inc COM 58933Y105 223,639,667.16 5,851,378 SH DEFINED 1 4,559,248 0 1,292,130 MetLife Inc COM 59156R108 394,294,502.94 12,180,862 SH DEFINED 1 9,125,868 0 3,054,994 Microsoft Corp COM 594918104 302,135,918.70 11,248,545 SH DEFINED 1 8,763,204 0 2,485,341 Middleby Corp COM 596278101 20,541,950.80 212,035 SH DEFINED 1 180,810 0 31,225 Mistras Group Inc COM 60649T107 5,888,596.62 230,654 SH DEFINED 1 221,854 0 8,800 MKS Instruments Inc COM 55306N104 71,495,584.50 2,508,617 SH DEFINED 1 2,267,909 0 240,708 Motorola Solutions Inc COM 620076307 291,598,181.322 6,178,713 SH DEFINED 1 4,705,978 0 1,472,735 National CineMedia Inc COM 635309107 5,162,475.00 404,900 SH DEFINED 1 404,900 0 Neenah Paper Inc COM 640079109 6,074,999.70 262,987 SH DEFINED 1 189,787 0 73,200 Newmont Mining Corp COM 651639106 21,995,444.35 353,909 SH DEFINED 1 348,209 0 5,700 Nielsen Holdings NV COM N63218106 2,334,590.00 78,500 SH DEFINED 1 78,500 0 Noble Energy Inc COM 655044105 337,110,254.04 3,449,757 SH DEFINED 1 2,725,918 0 723,839 Northwest Bancshares Inc COM 667340103 18,344,305.60 1,451,290 SH DEFINED 1 1,225,340 0 225,950 NRG Energy Inc COM 629377508 141,978,545.80 7,801,019 SH DEFINED 1 6,025,674 0 1,775,345 Occidental Petroleum Corp COM 674599105 207,787,219.03 2,142,799 SH DEFINED 1 1,609,384 0 533,415 Old Republic International Corp COM 680223104 184,112.24 19,780 SH DEFINED 1 19,780 0 Orbital Sciences Corp COM 685564106 19,842,139.59 1,337,973 SH DEFINED 1 1,137,423 0 200,550 Orion Marine Group Inc COM 68628V308 7,575,475.50 1,097,895 SH DEFINED 1 796,145 0 301,750 PACCAR Inc COM 693718108 229,368,630.18 5,846,766 SH DEFINED 1 4,650,149 0 1,196,617 PacWest Bancorp COM 695263103 7,757,776.95 387,695 SH DEFINED 1 277,945 0 109,750 PartnerRe Ltd COM G6852T105 13,099,200.40 202,774 SH DEFINED 1 193,374 0 9,400 People's United Financial Inc COM 712704105 12,595,240.6797 970,081 SH DEFINED 1 931,981 0 38,100 Pfizer Inc COM 717081103 769,739,669.00 35,083,850 SH DEFINED 1 26,879,983 0 8,203,867 Philip Morris International Inc COM 718172109 165,644,282.9925 2,072,691 SH DEFINED 1 1,725,751 0 346,940 Pitney Bowes Inc COM 724479100 135,772,958.16 7,161,021 SH DEFINED 1 5,692,324 0 1,468,697 PMC - Sierra Inc COM 69344F106 89,250,401.535 16,212,607 SH DEFINED 1 14,755,345 0 1,457,262 PrivateBancorp Inc COM 742962103 52,538,847.90 4,548,818 SH DEFINED 1 4,099,388 0 449,430 Raytheon Co COM 755111507 238,383,237.5232 4,847,168 SH DEFINED 1 4,083,175 0 763,993 Redwood Trust Inc REIT 758075402 24,348,523.50 2,318,907 SH DEFINED 1 2,227,456 0 91,451 Reinsurance Group of America Inc COM 759351604 46,976,676.485 874,717 SH DEFINED 1 837,207 0 37,510 Royal Gold Inc COM 780287108 23,307,394.89 333,869 SH DEFINED 1 290,169 0 43,700 Salix Pharmaceuticals Ltd COM 795435106 51,908,049.34 1,100,213 SH DEFINED 1 1,055,490 0 44,723 Sanofi ADR 80105N105 588,913,859.08 15,771,662 SH DEFINED 1 11,966,335 0 3,805,327 Schawk Inc COM 806373106 8,936,949.00 777,126 SH DEFINED 1 742,626 0 34,500 SM Energy Co COM 78454L100 5,323,309.29 69,759 SH DEFINED 1 0 69,759 Smart Balance Inc COM 83169Y108 9,704,263.95 1,827,545 SH DEFINED 1 1,324,195 0 503,350 SPDR S&P 500 ETF Trust ETP 78462F103 399,952.80 3,120 SH DEFINED 1 2,560 0 560 Standard Microsystems Corp COM 853626109 25,439,120.50 976,175 SH DEFINED 1 709,555 0 266,620 Suncor Energy Inc COM 867224107 14,384,339.215 474,715 SH DEFINED 1 19,200 0 455,515 Symetra Financial Corp COM 87151Q106 2,537,350.04 269,644 SH DEFINED 1 269,644 0 Talisman Energy Inc COM 87425E103 457,350,656.40 34,647,777 SH DEFINED 1 25,181,233 0 9,466,544 Teradyne Inc COM 880770102 19,811,261.334 1,420,977 SH DEFINED 1 1,370,627 0 50,350 Teva Pharmaceutical Industries Ltd ADR 881624209 333,553,889.76 7,863,128 SH DEFINED 1 5,910,610 0 1,952,518 Texas Capital Bancshares Inc COM 88224Q107 32,808,155.40 1,031,703 SH DEFINED 1 870,133 0 161,570 Thompson Creek Metals Co Inc COM 884768102 21,975,748.34 3,047,954 SH DEFINED 1 2,608,354 0 439,600 Tidewater Inc COM 886423102 2,236,266.00 43,900 SH DEFINED 1 5,900 0 38,000 Time Warner Inc COM 887317303 270,499,092.85 7,412,965 SH DEFINED 1 5,477,829 0 1,935,136 Timken Co COM 887389104 6,187,057.50 153,525 SH DEFINED 1 144,825 0 8,700 Total SA ADR 89151E109 6,512,238.00 123,525 SH DEFINED 1 123,525 0 TreeHouse Foods Inc COM 89469A104 26,932,224.64 411,556 SH DEFINED 1 350,056 0 61,500 Trimas Corp COM 896215209 3,756,538.95 201,423 SH DEFINED 1 194,423 0 7,000 Trinity Industries Inc COM 896522109 16,572,181.20 527,105 SH DEFINED 1 504,390 0 22,715 True Religion Apparel Inc COM 89784N104 8,685,416.10 242,745 SH DEFINED 1 176,645 0 66,100 Union Pacific Corp COM 907818108 261,287,473.20 2,405,962 SH DEFINED 1 1,875,554 0 530,408 Unum Group COM 91529Y106 350,025,108.40 16,152,520 SH DEFINED 1 12,674,554 0 3,477,966 Vertex Pharmaceuticals Inc COM 92532F100 39,991,823.20 1,223,740 SH DEFINED 1 1,176,953 0 46,787 Viacom Inc COM 92553P201 669,159,547.85 14,543,785 SH DEFINED 1 11,075,171 0 3,468,614 Vodafone Group PLC ADR 92857W209 7,264,028.70 256,500 SH DEFINED 1 256,500 0 Warren Resources Inc COM 93564A100 1,168,566.93 340,700 SH DEFINED 1 215,350 0 125,350 Waste Management Inc COM 94106L109 7,324,919.00 221,900 SH DEFINED 1 217,100 0 4,800 Wells Fargo & Co COM 949746101 353,748,431.151 12,534,714 SH DEFINED 1 9,720,051 0 2,814,663 WESCO International Inc COM 95082P105 7,219,458.96 133,768 SH DEFINED 1 126,618 0 7,150 Western Alliance Bancorp COM 957638109 21,202,682.54 3,282,149 SH DEFINED 1 2,785,349 0 496,800 Willis Group Holdings PLC COM G96666105 9,052,412.46 231,342 SH DEFINED 1 222,242 0 9,100