0000909012-15-000111.txt : 20150213
0000909012-15-000111.hdr.sgml : 20150213
20150213150228
ACCESSION NUMBER: 0000909012-15-000111
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150213
DATE AS OF CHANGE: 20150213
EFFECTIVENESS DATE: 20150213
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: 15613193
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
12-31-2014
12-31-2014
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
02-13-2015
1
172
8333839
false
1
028-11405
Nuveen Investments, Inc.
INFORMATION TABLE
2
aci_13f.xml
AbbVie Inc
COM
00287Y109
6283
96015
SH
DFND
1
95643
0
372
Abengoa Yield plc
ORD SHS
G00349103
1232
45125
SH
DFND
1
45125
0
0
Actuant Corp
CL A NEW
00508X203
12422
456046
SH
DFND
1
455739
0
307
Agrium Inc
COM
008916108
88563
935003
SH
DFND
1
916141
0
18862
Albany International Corp
CL A
012348108
54120
1424595
SH
DFND
1
1424177
0
418
Ally Financial Inc
COM
02005N100
1570
66500
SH
DFND
1
66500
0
0
American International Group Inc
COM NEW
026874784
90476
1615361
SH
DFND
1
1583510
0
31851
Analog Devices Inc
COM
032654105
3672
66140
SH
DFND
1
66140
0
0
Analog Devices Inc
COM
032654105
3658
65900
SH
Call
DFND
1
65900
0
0
Analogic Corp
COM PAR $0.05
032657207
39865
471165
SH
DFND
1
471165
0
0
AngloGold Ashanti Ltd
SPONSORED ADR
035128206
29521
3393286
SH
DFND
1
3325546
0
67740
Aon PLC
SHS CL A
G0408V102
160103
1688326
SH
DFND
1
1652508
0
35818
Apache Corp
COM
037411105
67041
1069750
SH
DFND
1
1049272
0
20478
Apple Inc
COM
037833100
3067
27790
SH
DFND
1
27790
0
0
ArcelorMittal
MAND CV NT 16
L0302D178
3025
174900
PRN
DFND
1
174900
0
0
Ares Capital Corp
COM
04010L103
10766
689928
SH
DFND
1
689928
0
0
Ares Dynamic Credit Allocation Fund Inc
COM
04014F102
4816
304481
SH
DFND
1
304481
0
0
Arlington Asset Investment Corp
CL A NEW
041356205
6102
229348
SH
DFND
1
229348
0
0
Ashford Hospitality Trust Inc
9% CUM PFD SER E
044103505
3942
148892
SH
DFND
1
148892
0
0
AstraZeneca PLC
SPONSORED ADR
046353108
4676
66440
SH
DFND
1
66440
0
0
Astronics Corp
COM
046433108
49345
892163
SH
DFND
1
891933
0
230
AuRico Gold Inc
COM
05155C105
925
282200
SH
DFND
1
282200
0
0
Avery Dennison Corp
COM
053611109
45098
869277
SH
DFND
1
868941
0
336
Axis Capital Holdings Ltd
SHS
G0692U109
38543
754422
SH
DFND
1
753921
0
501
Bank of New York Mellon Corp/The
COM
064058100
7598
187295
SH
DFND
1
187295
0
0
Bio-Rad Laboratories Inc
CL A
090572207
67318
558378
SH
DFND
1
558002
0
376
Boise Cascade Co
COM
09739D100
28528
767915
SH
DFND
1
767915
0
0
Boston Private Financial Holdings Inc
DEP SHS
101119303
2472
98900
SH
DFND
1
98900
0
0
Brandywine Realty Trust
SH BEN INT NEW
105368203
86090
5387401
SH
DFND
1
5385874
0
1527
Bruker Corp
COM
116794108
33322
1698398
SH
DFND
1
1697301
0
1097
CA Inc
COM
12673P105
167098
5487624
SH
DFND
1
5382271
0
105353
Canadian Natural Resources Ltd
COM
136385101
82945
2686062
SH
DFND
1
2631139
0
54923
Capital Bank Financial Corp
CL A COM
139794101
51607
1925636
SH
DFND
1
1925217
0
419
Capital One Financial Corp
COM
14040H105
107317
1300030
SH
DFND
1
1274436
0
25594
Cisco Systems Inc
COM
17275R102
97083
3490326
SH
DFND
1
3416885
0
73441
CIT Group Inc
COM NEW
125581801
105607
2207981
SH
DFND
1
2165450
0
42531
Citigroup Inc
COM NEW
172967424
227641
4207011
SH
DFND
1
4122984
0
84027
Clearwater Paper Corp
COM
18538R103
22007
321046
SH
DFND
1
320835
0
211
Coherent Inc
COM
192479103
109545
1804112
SH
DFND
1
1803367
0
745
Copa Holdings SA
CL A
P31076105
41872
404020
SH
DFND
1
396499
0
7521
Cushing Royalty & Income Fund/The
COM SH BEN INT
23164R104
624
79390
SH
DFND
1
79390
0
0
CVS Health Corp
COM
126650100
123979
1287296
SH
DFND
1
1261296
0
26000
Deltic Timber Corp
COM
247850100
32471
474732
SH
DFND
1
474578
0
154
Denbury Resources Inc
COM NEW
247916208
6480
797112
SH
DFND
1
797001
0
111
Eaton Corp PLC
SHS
G29183103
941
13850
SH
DFND
1
13850
0
0
eBay Inc
COM
278642103
100353
1788194
SH
DFND
1
1753902
0
34292
Elizabeth Arden Inc
COM
28660G106
76379
3570801
SH
DFND
1
3569717
0
1084
EnerSys
COM
29275Y102
42389
686807
SH
DFND
1
686623
0
184
Entegris Inc
COM
29362U104
24829
1879599
SH
DFND
1
1879599
0
0
Equity Commonwealth
CUM PFD E 7.25%
294628409
309
12133
SH
DFND
1
12133
0
0
Euronet Worldwide Inc
COM
298736109
23140
421503
SH
DFND
1
421360
0
143
Express Inc
COM
30219E103
24826
1690025
SH
DFND
1
1689497
0
528
Exxon Mobil Corp
COM
30231G102
639
6916
SH
DFND
1
6916
0
0
FBR & Co
COM NEW
30247C400
21365
868861
SH
DFND
1
868736
0
125
Ford Motor Co
COM PAR $0.01
345370860
91976
5933940
SH
DFND
1
5822275
0
111665
Forestar Group Inc
COM
346233109
77432
5028086
SH
DFND
1
5026412
0
1674
General Electric Co
COM
369604103
3122
123576
SH
DFND
1
123576
0
0
General Motors Co
COM
37045V100
172562
4943069
SH
DFND
1
4845161
0
97908
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
8745
204625
SH
DFND
1
204625
0
0
GP Strategies Corp
COM
36225V104
24878
733226
SH
DFND
1
733226
0
0
GSI Group Inc
COM NEW
36191C205
33949
2306322
SH
DFND
1
2306322
0
0
Hannon Armstrong Sustainable Infrastructure Capital Inc
COM
41068X100
5880
413277
SH
DFND
1
413277
0
0
Hartford Financial Services Group Inc/The
COM
416515104
193146
4632930
SH
DFND
1
4544587
0
88343
Hercules Technology Growth Capital Inc
COM
427096508
4980
334710
SH
DFND
1
334710
0
0
Hilton Worldwide Holdings Inc
COM
43300A104
49750
1906881
SH
DFND
1
1860608
0
46273
HomeStreet Inc
COM
43785V102
4788
275018
SH
DFND
1
275018
0
0
Hooker Furniture Corp
COM
439038100
28963
1686869
SH
DFND
1
1686869
0
0
Impax Laboratories Inc
COM
45256B101
28703
906043
SH
DFND
1
905569
0
474
ING Groep NV
SPONSORED ADR
456837103
4585
353575
SH
DFND
1
353575
0
0
Ingersoll-Rand PLC
SHS
G47791101
112656
1777197
SH
DFND
1
1743385
0
33812
Inland Real Estate Corp
REDM PFD SER B
457461507
2145
84494
SH
DFND
1
84494
0
0
Integrated Device Technology Inc
COM
458118106
40167
2049345
SH
DFND
1
2049345
0
0
Intelsat SA
MAN CONV JR PFD
L5140P119
2751
58550
PRN
DFND
1
58550
0
0
Inter Parfums Inc
COM
458334109
43841
1597146
SH
DFND
1
1596619
0
527
Interpublic Group of Cos Inc/The
COM
460690100
154017
7415392
SH
DFND
1
7284176
0
131216
iShares Core US Value ETF
CORE US VAL ETF
464287663
2897
21225
SH
DFND
1
21225
0
0
iShares iBoxx $ High Yield Corporate Bond ETF
IBOXX HI YD ETF
464288513
5656
63125
SH
DFND
1
63125
0
0
iShares iBoxx $ Investment Grade Corporate Bond ETF
IBOXX INV CP ETF
464287242
24028
201228
SH
DFND
1
184687
0
16541
iShares MSCI EAFE ETF
MSCI EAFE ETF
464287465
218
3585
SH
DFND
1
3316
0
269
iShares Russell 1000 Value ETF
RUS 1000 VAL ETF
464287598
18391
176162
SH
DFND
1
172296
0
3866
iShares US Preferred Stock ETF
U.S. PFD STK ETF
464288687
18820
477200
SH
DFND
1
477200
0
0
Jazz Pharmaceuticals PLC
SHS USD
G50871105
10606
64783
SH
DFND
1
64741
0
42
JDS Uniphase Corp
COM PAR $0.001
46612J507
16014
1167225
SH
DFND
1
1166436
0
789
JPMorgan Chase & Co
COM
46625H100
171120
2734431
SH
DFND
1
2685066
0
49365
Koninklijke Philips NV
NY REG SH NEW
500472303
5035
173630
SH
DFND
1
173630
0
0
Laclede Group Inc/The
COM
505597104
52224
981670
SH
DFND
1
981374
0
296
Landec Corp
COM
514766104
18561
1344072
SH
DFND
1
1344072
0
0
Lattice Semiconductor Corp
COM
518415104
70998
10304609
SH
DFND
1
10301557
0
3052
Loews Corp
COM
540424108
94467
2248160
SH
DFND
1
2201414
0
46746
Louisiana-Pacific Corp
COM
546347105
46505
2808277
SH
DFND
1
2807369
0
908
Marten Transport Ltd
COM
573075108
58796
2689667
SH
DFND
1
2688974
0
693
Materion Corp
COM
576690101
44573
1265213
SH
DFND
1
1264876
0
337
Medley Capital Corp
COM
58503F106
5079
549746
SH
DFND
1
549746
0
0
Merck & Co Inc
COM
58933Y105
4760
83828
SH
DFND
1
83828
0
0
MetLife Inc
COM
59156R108
128044
2367247
SH
DFND
1
2314452
0
52795
MFS Intermediate Income Trust
SH BEN INT
55273C107
4934
1032378
SH
DFND
1
1032378
0
0
Microchip Technology Inc
COM
595017104
3211
71200
SH
DFND
1
71200
0
0
Microsemi Corp
COM
595137100
101445
3574554
SH
DFND
1
3573389
0
1165
Microsoft Corp
COM
594918104
193283
4161108
SH
DFND
1
4085852
0
75256
Mitel Networks Corp
COM
60671Q104
70504
6595414
SH
DFND
1
6593178
0
2236
MKS Instruments Inc
COM
55306N104
11058
302147
SH
DFND
1
302045
0
102
Monsanto Co
COM
61166W101
3300
27625
SH
DFND
1
27625
0
0
National CineMedia Inc
COM
635309107
2118
147425
SH
DFND
1
147425
0
0
Navios Maritime Holdings Inc
SPON ADR PFD H
63938Y308
4031
218505
SH
DFND
1
218505
0
0
Navios Maritime Holdings Inc
SPN ADR RP PFD G
63938Y100
815
42949
SH
DFND
1
42949
0
0
Neenah Paper Inc
COM
640079109
24234
402091
SH
DFND
1
402091
0
0
New Residential Investment Corp
COM NEW
64828T201
6414
502336
SH
DFND
1
502336
0
0
Nippon Telegraph & Telephone Corp
SPONSORED ADR
654624105
5694
222370
SH
DFND
1
222370
0
0
NorthStar Realty Finance Corp
COM NEW
66704R704
6424
365425
SH
DFND
1
365425
0
0
Norwegian Cruise Line Holdings Ltd
SHS
G66721104
74319
1589375
SH
DFND
1
1557153
0
32222
NRG Energy Inc
COM NEW
629377508
118013
4378981
SH
DFND
1
4302253
0
76728
Occidental Petroleum Corp
COM
674599105
124206
1540829
SH
DFND
1
1510030
0
30799
Oracle Corp
COM
68389X105
183400
4078291
SH
DFND
1
4006262
0
72029
Orbital Sciences Corp
COM
685564106
41075
1527524
SH
DFND
1
1527032
0
492
PACCAR Inc
COM
693718108
99740
1466554
SH
DFND
1
1439328
0
27226
PacWest Bancorp
COM
695263103
73687
1620920
SH
DFND
1
1620392
0
528
Paramount Group Inc
COM
69924R108
15516
834658
SH
DFND
1
834573
0
85
PennantPark Floating Rate Capital Ltd
COM
70806A106
5775
420678
SH
DFND
1
420678
0
0
PennyMac Mortgage Investment Trust
COM
70931T103
13880
658177
SH
DFND
1
658091
0
86
Pfizer Inc
COM
717081103
197783
6349377
SH
DFND
1
6232197
0
117180
PH Glatfelter Co
COM
377316104
83108
3250253
SH
DFND
1
3249227
0
1026
Philip Morris International Inc
COM
718172109
45612
560003
SH
DFND
1
547972
0
12031
Phillips 66
COM
718546104
97476
1359509
SH
DFND
1
1333640
0
25869
Pinnacle West Capital Corp
COM
723484101
20815
304715
SH
DFND
1
304516
0
199
PNC Financial Services Group Inc/The
COM
693475105
83371
913865
SH
DFND
1
893241
0
20624
Preferred Apartment Communities Inc
COM
74039L103
3315
364300
SH
DFND
1
364300
0
0
PrivateBancorp Inc
COM
742962103
45625
1366034
SH
DFND
1
1365629
0
405
Procter & Gamble Co/The
COM
742718109
2142
23526
SH
DFND
1
23526
0
0
Rambus Inc
COM
750917106
20881
1882948
SH
DFND
1
1881667
0
1281
Ramco-Gershenson Properties Trust
COM SH BEN INT
751452202
45631
2434957
SH
DFND
1
2434164
0
793
Raytheon Co
COM NEW
755111507
86858
802979
SH
DFND
1
784594
0
18385
Redwood Trust Inc
COM
758075402
9495
482011
SH
DFND
1
481944
0
67
Reinsurance Group of America Inc
COM NEW
759351604
56014
639293
SH
DFND
1
638987
0
306
Rite Aid Corp
COM
767754104
1551
206300
SH
DFND
1
206300
0
0
Royal Dutch Shell PLC
SPONS ADR A
780259206
101343
1513725
SH
DFND
1
1485649
0
28076
Sagent Pharmaceuticals Inc
COM
786692103
13195
525491
SH
DFND
1
525491
0
0
Sanofi
SPONSORED ADR
80105N105
134181
2941923
SH
DFND
1
2887729
0
54194
SPDR S&P MidCap 400 ETF Trust
UTSER1 S&PDCRP
78467Y107
868
3291
SH
DFND
1
3291
0
0
Stonemor Partners LP
COM UNITS
86183Q100
2770
107525
SH
DFND
1
107525
0
0
Stoneridge Inc
COM
86183P102
34896
2713547
SH
DFND
1
2713547
0
0
Suncor Energy Inc
COM
867224107
3050
95975
SH
DFND
1
95975
0
0
Talisman Energy Inc
COM
87425E103
136069
17378001
SH
DFND
1
17038743
0
339258
Target Corp
COM
87612E106
138723
1827472
SH
DFND
1
1791881
0
35591
TCP Capital Corp
COM
87238Q103
4271
254556
SH
DFND
1
254556
0
0
Telefonaktiebolaget LM Ericsson
ADR B SEK 10
294821608
6275
518600
SH
DFND
1
518600
0
0
Tenneco Inc
COM
880349105
3226
57000
SH
DFND
1
57000
0
0
Teradyne Inc
COM
880770102
185233
9359943
SH
DFND
1
9233046
0
126897
Teva Pharmaceutical Industries Ltd
ADR
881624209
230683
4011187
SH
DFND
1
3937518
0
73669
Time Warner Inc
COM NEW
887317303
111571
1306154
SH
DFND
1
1275475
0
30679
Total SA
SPONSORED ADR
89151E109
4677
91365
SH
DFND
1
91365
0
0
TPG Specialty Lending Inc
COM
87265K102
1510
89802
SH
DFND
1
89802
0
0
TreeHouse Foods Inc
COM
89469A104
70443
823608
SH
DFND
1
823343
0
265
TRI Pointe Homes Inc
COM
87265H109
36404
2387164
SH
DFND
1
2386405
0
759
TriplePoint Venture Growth BDC Corp
COM
89677Y100
3713
250066
SH
DFND
1
250066
0
0
UMH Properties Inc
CV RED PFD-A
903002202
1022
38720
SH
DFND
1
38720
0
0
Union Pacific Corp
COM
907818108
107923
905929
SH
DFND
1
883866
0
22063
UnitedHealth Group Inc
COM
91324P102
683
6765
SH
DFND
1
6765
0
0
Unum Group
COM
91529Y106
198848
5700925
SH
DFND
1
5598742
0
102183
Urstadt Biddle Properties Inc
PFD-G CV 6.75%
917286809
1073
41720
SH
DFND
1
41720
0
0
VeriFone Systems Inc
COM
92342Y109
24205
650686
SH
DFND
1
650174
0
512
Viacom Inc
CL B
92553P201
151338
2011147
SH
DFND
1
1973687
0
37460
Virgin America Inc
COM VTG
92765X208
1591
36800
SH
DFND
1
36800
0
0
Vodafone Group PLC
SPNSR ADR NO PAR
92857W308
2522
73825
SH
DFND
1
73825
0
0
Wabash National Corp
COM
929566107
3089
249986
SH
DFND
1
249986
0
0
Waste Management Inc
COM
94106L109
937
18277
SH
DFND
1
18229
0
48
Wells Fargo & Co
COM
949746101
136519
2490328
SH
DFND
1
2439737
0
50591
WESCO International Inc
COM
95082P105
13004
170638
SH
DFND
1
170522
0
116
Western Alliance Bancorp
COM
957638109
65306
2349153
SH
DFND
1
2348387
0
766
Weyerhaeuser Co
COM
962166104
810
22578
SH
DFND
1
22310
0
268
Woodward Inc
COM
980745103
19935
404940
SH
DFND
1
404681
0
259
Wyndham Worldwide Corp
COM
98310W108
3464
40400
SH
DFND
1
40400
0
0
Zions Bancorporation
COM
989701107
60196
2111434
SH
DFND
1
2070653
0
40781