0000909012-15-000216.txt : 20150514
0000909012-15-000216.hdr.sgml : 20150514
20150514150724
ACCESSION NUMBER: 0000909012-15-000216
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150331
FILED AS OF DATE: 20150514
DATE AS OF CHANGE: 20150514
EFFECTIVENESS DATE: 20150514
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: 15862320
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
03-31-2015
03-31-2015
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
310 552 5114
/s/ JON D. BOSSE
Los Angeles
CA
05-13-2015
1
155
8018797
false
1
028-11405
Nuveen Investments, Inc.
INFORMATION TABLE
2
aci_13f.xml
AbbVie Inc
COM
00287Y109
107655
1839012
SH
DFND
1
1805831
0
33181
Abengoa Yield plc
ORD SHS
G00349103
1672
49525
SH
DFND
1
49525
0
0
Agrium Inc
COM
008916108
89305
856479
SH
DFND
1
841305
0
15174
Albany International Corp
CL A
012348108
67622
1701197
SH
DFND
1
1700779
0
418
American International Group Inc
COM NEW
026874784
4907
89576
SH
DFND
1
89460
0
116
Analog Devices Inc
COM
032654105
4171
66210
SH
DFND
1
66210
0
0
Analogic Corp
COM PAR $0.05
032657207
48224
530517
SH
DFND
1
530517
0
0
Aon PLC
SHS CL A
G0408V102
146772
1526973
SH
DFND
1
1497785
0
29188
Apache Corp
COM
037411105
60828
1008256
SH
DFND
1
991188
0
17068
Ares Capital Corp
COM
04010L103
10890
634263
SH
DFND
1
634263
0
0
Arlington Asset Investment Corp
CL A NEW
041356205
4962
206248
SH
DFND
1
206248
0
0
Ashford Hospitality Trust Inc
9% CUM PFD SER E
044103505
5616
211138
SH
DFND
1
211138
0
0
AstraZeneca PLC
SPONSORED ADR
046353108
3576
52265
SH
DFND
1
52265
0
0
Astronics Corp
COM
046433108
48000
651289
SH
DFND
1
651125
0
164
Avery Dennison Corp
COM
053611109
42349
800403
SH
DFND
1
800067
0
336
Aviva PLC
ADR
05382A104
2742
169620
SH
DFND
1
169620
0
0
Axis Capital Holdings Ltd
SHS
G0692U109
40794
790894
SH
DFND
1
790427
0
467
Bank of America Corp
COM
060505104
49951
3245680
SH
DFND
1
3181084
0
64596
Bank of New York Mellon Corp/The
COM
064058100
7126
177100
SH
DFND
1
177100
0
0
Barclays PLC
ADR
06738E204
2291
157285
SH
DFND
1
157285
0
0
Bio-Rad Laboratories Inc
CL A
090572207
70543
521847
SH
DFND
1
521545
0
302
Boise Cascade Co
COM
09739D100
18775
501206
SH
DFND
1
501206
0
0
Brandywine Realty Trust
SH BEN INT NEW
105368203
93864
5873864
SH
DFND
1
5872279
0
1585
Bruker Corp
COM
116794108
31417
1700988
SH
DFND
1
1699891
0
1097
CA Inc
COM
12673P105
87202
2674096
SH
DFND
1
2628721
0
45375
Capital Bank Financial Corp
CL A COM
139794101
61218
2217264
SH
DFND
1
2216730
0
534
Caterpillar Inc
COM
149123101
5169
64600
SH
DFND
1
64600
0
0
Caterpillar Inc
COM
149123101
5017
62700
SH
Call
DFND
1
62700
0
0
Cisco Systems Inc
COM
17275R102
87641
3184076
SH
DFND
1
3124920
0
59156
CIT Group Inc
COM NEW
125581801
112179
2486228
SH
DFND
1
2443106
0
43122
Citigroup Inc
COM NEW
172967424
214690
4167132
SH
DFND
1
4090825
0
76307
Clearwater Paper Corp
COM
18538R103
18335
280796
SH
DFND
1
280607
0
189
Coherent Inc
COM
192479103
118381
1822380
SH
DFND
1
1821751
0
629
Copa Holdings SA
CL A
P31076105
39380
390023
SH
DFND
1
383915
0
6108
CVS Health Corp
COM
126650100
121133
1173665
SH
DFND
1
1152804
0
20861
Deltic Timber Corp
COM
247850100
33162
500569
SH
DFND
1
500401
0
168
Discover Financial Services
COM
254709108
127964
2270889
SH
DFND
1
2230988
0
39901
eBay Inc
COM
278642103
115362
2000045
SH
DFND
1
1966167
0
33878
Elizabeth Arden Inc
COM
28660G106
60456
3875424
SH
DFND
1
3874340
0
1084
EnerSys
COM
29275Y102
46358
721649
SH
DFND
1
721465
0
184
Entegris Inc
COM
29362U104
31844
2326111
SH
DFND
1
2326111
0
0
Euronet Worldwide Inc
COM
298736109
27398
466360
SH
DFND
1
466217
0
143
Express Inc
COM
30219E103
30153
1824164
SH
DFND
1
1823438
0
726
Exxon Mobil Corp
COM
30231G102
579
6815
SH
DFND
1
6815
0
0
FBR & Co
COM NEW
30247C400
19623
849150
SH
DFND
1
849015
0
135
Ford Motor Co
COM PAR $0.01
345370860
96258
5963982
SH
DFND
1
5871950
0
92032
Ford Motor Co
COM PAR $0.01
345370860
5739
355600
SH
Call
DFND
1
355600
0
0
Forestar Group Inc
COM
346233109
81338
5157783
SH
DFND
1
5156109
0
1674
General Electric Co
COM
369604103
74754
3013077
SH
DFND
1
2956370
0
56707
General Motors Co
COM
37045V100
166213
4432358
SH
DFND
1
4353133
0
79225
Gilead Sciences Inc
COM
375558103
11098
113100
SH
DFND
1
113100
0
0
Gilead Sciences Inc
COM
375558103
5416
55200
SH
Call
DFND
1
55200
0
0
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
21061
456380
SH
DFND
1
456380
0
0
Google Inc
CL A
38259P508
47518
85665
SH
DFND
1
83798
0
1867
GP Strategies Corp
COM
36225V104
30785
832052
SH
DFND
1
832052
0
0
GSI Group Inc
COM NEW
36191C205
35178
2641021
SH
DFND
1
2641021
0
0
Hannon Armstrong Sustainable Infrastructure Capital Inc
COM
41068X100
2893
158295
SH
DFND
1
158295
0
0
Hartford Financial Services Group Inc/The
COM
416515104
80807
1932276
SH
DFND
1
1898465
0
33811
Hercules Technology Growth Capital Inc
COM
427096508
5455
404700
SH
DFND
1
404700
0
0
Hilton Worldwide Holdings Inc
COM
43300A104
72189
2437177
SH
DFND
1
2382317
0
54860
HomeStreet Inc
COM
43785V102
6395
349081
SH
DFND
1
349081
0
0
Hooker Furniture Corp
COM
439038100
35138
1844546
SH
DFND
1
1844546
0
0
ICF International Inc
COM
44925C103
11417
279494
SH
DFND
1
279313
0
181
Impax Laboratories Inc
COM
45256B101
43876
936127
SH
DFND
1
935868
0
259
ING Groep NV
SPONSORED ADR
456837103
4589
314155
SH
DFND
1
314155
0
0
Ingersoll-Rand PLC
SHS
G47791101
107067
1572673
SH
DFND
1
1545557
0
27116
Inland Real Estate Corp
REDM PFD SER B
457461507
1793
70424
SH
DFND
1
70424
0
0
Integrated Device Technology Inc
COM
458118106
28686
1432891
SH
DFND
1
1432891
0
0
Intelsat SA
MAN CONV JR PFD
L5140P119
1898
54550
PRN
DFND
1
54550
0
0
Inter Parfums Inc
COM
458334109
48306
1480879
SH
DFND
1
1480471
0
408
Interpublic Group of Cos Inc/The
COM
460690100
123653
5590137
SH
DFND
1
5503660
0
86477
iShares iBoxx $ Investment Grade Corporate Bond ETF
IBOXX INV CP ETF
464287242
23178
190441
SH
DFND
1
175238
0
15203
iShares US Preferred Stock ETF
U.S. PFD STK ETF
464288687
3008
75000
SH
DFND
1
75000
0
0
Jazz Pharmaceuticals PLC
SHS USD
G50871105
11200
64824
SH
DFND
1
64782
0
42
JDS Uniphase Corp
COM PAR $0.001
46612J507
9535
726776
SH
DFND
1
726263
0
513
JPMorgan Chase & Co
COM
46625H100
155230
2562407
SH
DFND
1
2518683
0
43724
Kimball Electronics Inc
COM
49428J109
3807
269278
SH
DFND
1
269278
0
0
Koninklijke Philips NV
NY REG SH NEW
500472303
4956
174910
SH
DFND
1
174910
0
0
Laclede Group Inc/The
COM
505597104
62950
1229018
SH
DFND
1
1228663
0
355
Landec Corp
COM
514766104
21339
1529680
SH
DFND
1
1529680
0
0
Lattice Semiconductor Corp
COM
518415104
74845
11805312
SH
DFND
1
11802033
0
3279
La-Z-Boy Inc
COM
505336107
12949
460667
SH
DFND
1
460364
0
303
Loews Corp
COM
540424108
84412
2067410
SH
DFND
1
2028939
0
38471
Louisiana-Pacific Corp
COM
546347105
49873
3020831
SH
DFND
1
3019923
0
908
Marten Transport Ltd
COM
573075108
73135
3152375
SH
DFND
1
3151488
0
887
Marvell Technology Group Ltd
ORD
G5876H105
5023
341733
SH
DFND
1
341487
0
246
Materion Corp
COM
576690101
54350
1414281
SH
DFND
1
1413944
0
337
Merck & Co Inc
COM
58933Y105
4384
76286
SH
DFND
1
76286
0
0
MetLife Inc
COM
59156R108
113944
2254102
SH
DFND
1
2210910
0
43192
Microchip Technology Inc
COM
595017104
3270
66875
SH
DFND
1
66875
0
0
MICROCHIP TECHNOLOGY INC APRIL CALL 50
COM
595017103
3256
66600
SH
Call
DFND
1
66600
0
0
Microsemi Corp
COM
595137100
113507
3206428
SH
DFND
1
3205508
0
920
Microsoft Corp
COM
594918104
116130
2856486
SH
DFND
1
2812706
0
43780
Mitel Networks Corp
COM
60671Q104
78299
7699067
SH
DFND
1
7696732
0
2335
Mitsubishi UFJ Financial Group Inc
SPONSORED ADR
606822104
64
10316
SH
DFND
1
10316
0
0
MKS Instruments Inc
COM
55306N104
9294
274904
SH
DFND
1
274841
0
63
National CineMedia Inc
COM
635309107
1166
77282
SH
DFND
1
77282
0
0
Navios Maritime Holdings Inc
SPON ADR PFD H
63938Y308
3972
189161
SH
DFND
1
189161
0
0
Neenah Paper Inc
COM
640079109
30285
484265
SH
DFND
1
484265
0
0
New Residential Investment Corp
COM NEW
64828T201
6401
425924
SH
DFND
1
425924
0
0
Nippon Telegraph & Telephone Corp
SPONSORED ADR
654624105
8773
284655
SH
DFND
1
284655
0
0
NorthStar Realty Finance Corp
COM NEW
66704R704
5897
325475
SH
DFND
1
325475
0
0
Norwegian Cruise Line Holdings Ltd
SHS
G66721104
41782
773599
SH
DFND
1
758080
0
15519
NRG Energy Inc
COM NEW
629377508
105490
4187778
SH
DFND
1
4115837
0
71941
Occidental Petroleum Corp
COM
674599105
139828
1915455
SH
DFND
1
1881802
0
33653
Oracle Corp
COM
68389X105
162896
3775116
SH
DFND
1
3716618
0
58498
Orbital ATK Inc
COM
68557N103
57087
744982
SH
DFND
1
744762
0
220
PACCAR Inc
COM
693718108
89376
1415524
SH
DFND
1
1393428
0
22096
PacWest Bancorp
COM
695263103
77818
1659600
SH
DFND
1
1659096
0
504
Paramount Group Inc
COM
69924R108
16266
842811
SH
DFND
1
842726
0
85
PennyMac Mortgage Investment Trust
COM
70931T103
14723
691588
SH
DFND
1
691502
0
86
Pfizer Inc
COM
717081103
206218
5927532
SH
DFND
1
5833299
0
94233
Pfizer Inc
COM
717081103
5684
163400
SH
Call
DFND
1
163400
0
0
PH Glatfelter Co
COM
377316104
98497
3577811
SH
DFND
1
3576784
0
1027
Philip Morris International Inc
COM
718172109
37948
503759
SH
DFND
1
493842
0
9917
Phillips 66
COM
718546104
106066
1349449
SH
DFND
1
1328353
0
21096
Phillips 66
COM
718546104
5352
68100
SH
Call
DFND
1
68100
0
0
Pinnacle West Capital Corp
COM
723484101
27978
438883
SH
DFND
1
438593
0
290
PNC Financial Services Group Inc/The
COM
693475105
77909
835583
SH
DFND
1
818908
0
16675
PrivateBancorp Inc
COM
742962103
46613
1325364
SH
DFND
1
1325004
0
360
Rambus Inc
COM
750917106
21616
1718983
SH
DFND
1
1717836
0
1147
Ramco-Gershenson Properties Trust
COM SH BEN INT
751452202
48606
2613252
SH
DFND
1
2612439
0
813
Raytheon Co
COM NEW
755111507
80570
737484
SH
DFND
1
722670
0
14814
Redwood Trust Inc
COM
758075402
10281
575355
SH
DFND
1
575288
0
67
Reinsurance Group of America Inc
COM NEW
759351604
41860
449191
SH
DFND
1
448987
0
204
Royal Dutch Shell PLC
SPONS ADR A
780259206
124056
2079748
SH
DFND
1
2045574
0
34174
Sagent Pharmaceuticals Inc
COM
786692103
1682
72373
SH
DFND
1
72373
0
0
Sanofi
SPONSORED ADR
80105N105
194176
3927517
SH
DFND
1
3864328
0
63189
Seagate Technology PLC
SHS
G7945M107
11352
218200
SH
DFND
1
218200
0
0
Seagate Technology PLC
SHS
G7945M107
5395
103700
SH
Call
DFND
1
103700
0
0
Stonemor Partners LP
COM UNITS
86183Q100
2095
72725
SH
DFND
1
72725
0
0
Stoneridge Inc
COM
86183P102
35402
3135746
SH
DFND
1
3135746
0
0
Suncor Energy Inc
COM
867224107
75074
2566665
SH
DFND
1
2519751
0
46914
Target Corp
COM
87612E106
113534
1383390
SH
DFND
1
1359431
0
23959
Telefonaktiebolaget LM Ericsson
ADR B SEK 10
294821608
6262
499040
SH
DFND
1
499040
0
0
Teradyne Inc
COM
880770102
165835
8797643
SH
DFND
1
8694081
0
103562
Terex Corp
COM
880779103
11975
450388
SH
DFND
1
450312
0
76
Teva Pharmaceutical Industries Ltd
ADR
881624209
228583
3669079
SH
DFND
1
3609454
0
59625
Time Warner Inc
COM NEW
887317303
100878
1194677
SH
DFND
1
1170027
0
24650
TOTAL SA
SPONSORED ADR
89151E109
2876
57915
SH
DFND
1
57915
0
0
TPG Specialty Lending Inc
COM
87265K102
5595
325102
SH
DFND
1
325102
0
0
TreeHouse Foods Inc
COM
89469A104
80048
941524
SH
DFND
1
941249
0
275
TRI Pointe Homes Inc
COM
87265H109
52994
3434531
SH
DFND
1
3433612
0
919
UBS Group AG
SHS
H42097107
250
13345
SH
DFND
1
13345
0
0
UMH Properties Inc
CV RED PFD-A
903002202
321
12393
SH
DFND
1
12393
0
0
Union Pacific Corp
COM
907818108
89620
827445
SH
DFND
1
809597
0
17848
United Parcel Service Inc
CL B
911312106
7173
74000
SH
DFND
1
74000
0
0
Unum Group
COM
91529Y106
202296
5997511
SH
DFND
1
5903828
0
93683
Urstadt Biddle Properties Inc
PFD-G CV 6.75%
917286809
758
28725
SH
DFND
1
28725
0
0
VeriFone Systems Inc
COM
92342Y109
20118
576629
SH
DFND
1
576268
0
361
Viacom Inc
CL B
92553P201
147543
2160221
SH
DFND
1
2124764
0
35457
Waste Management Inc
COM
94106L109
325
6002
SH
DFND
1
5954
0
48
Wells Fargo & Co
COM
949746101
121324
2230230
SH
DFND
1
2189122
0
41108
Western Alliance Bancorp
COM
957638109
65042
2194406
SH
DFND
1
2193792
0
614
Weyerhaeuser Co
COM
962166104
503
15189
SH
DFND
1
15054
0
135