Chief Investment Officer

0000909012-16-000568.txt : 20160812 0000909012-16-000568.hdr.sgml : 20160812 20160812142315 ACCESSION NUMBER: 0000909012-16-000568 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160812 DATE AS OF CHANGE: 20160812 EFFECTIVENESS DATE: 20160812 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: 161827709 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 06-30-2016 06-30-2016 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 08-12-2016 2 152 5825419 false 1 028-11405 Nuveen Investments, Inc. 2 028-16475 SEI Investments Management Corporation INFORMATION TABLE 2 aci_13f.xml AbbVie Inc COM 00287Y109 34811 562288 SH DFND 1,2 549407 0 12881 Agrium Inc COM 008916108 40777 450973 SH DFND 1,2 441456 0 9517 Albany International Corp CL A 012348108 31180 780868 SH DFND 1,2 780822 0 46 Alphabet Inc CAP STK CL A 02079K305 39352 55935 SH DFND 1,2 54470 0 1465 Ameris Bancorp COM 03076K108 37261 1254563 SH DFND 1,2 1254496 0 67 Analogic Corp COM PAR $0.05 032657207 43457 547037 SH DFND 1 547037 0 0 Aon PLC SHS CL A G0408V102 125895 1152571 SH DFND 1,2 1129257 0 23314 Apache Corp COM 037411105 37795 678918 SH DFND 1,2 665676 0 13242 Apartment Investment & Management Co CL A 03748R101 6615 149805 SH DFND 1 149805 0 0 Apartment Investment & Management Co PFD CL A 6.875% 03748R762 1549 57165 SH DFND 1 57165 0 0 Ares Capital Corp COM 04010L103 9861 694403 SH DFND 1 694403 0 0 ARRIS International PLC SHS G0551A103 14710 701799 SH DFND 1,2 701756 0 43 Ashford Hospitality Trust Inc 9% CUM PFD SER E 044103505 3834 149174 SH DFND 1 149174 0 0 AstraZeneca PLC SPONSORED ADR 046353108 17298 572985 SH DFND 1 572985 0 0 Atmos Energy Corp COM 049560105 16900 207824 SH DFND 1,2 207797 0 27 Avery Dennison Corp COM 053611109 9456 126501 SH DFND 1,2 126482 0 19 Aviva PLC ADR 05382A104 1970 184250 SH DFND 1 184250 0 0 Axis Capital Holdings Ltd SHS G0692U109 39052 710041 SH DFND 1,2 704428 0 5613 Bank of America Corp COM 060505104 53390 4023331 SH DFND 1,2 3937848 0 85483 Bio-Rad Laboratories Inc CL A 090572207 72006 503466 SH DFND 1,2 500678 0 2788 Boise Cascade Co COM 09739D100 33728 1469644 SH DFND 1,2 1469552 0 92 Brandywine Realty Trust SH BEN INT NEW 105368203 98344 5853831 SH DFND 1,2 5853547 0 284 Bruker Corp COM 116794108 3686 162115 SH DFND 1,2 162091 0 24 Capital Bank Financial Corp CL A COM 139794101 49350 1713529 SH DFND 1,2 1713440 0 89 Cedar Fair LP DEPOSITRY UNIT 150185106 2446 42300 SH DFND 1 42300 0 0 Cheniere Energy Inc COM NEW 16411R208 80872 2153721 SH DFND 1,2 2112276 0 41445 Cigna Corp COM 125509109 86056 672362 SH DFND 1,2 658435 0 13927 Cisco Systems Inc COM 17275R102 48613 1694411 SH DFND 1,2 1658548 0 35863 CIT Group Inc COM NEW 125581801 120408 3773376 SH DFND 1,2 3704519 0 68857 CIT GROUP INC JULY16 CALL 36 COM NEW 125581801 1615 50600 SH Call DFND 1 50600 0 0 Citigroup Inc COM NEW 172967424 131563 3103639 SH DFND 1,2 3040252 0 63387 Coherent Inc COM 192479103 121643 1325374 SH DFND 1,2 1325168 0 206 Colony Capital Inc CONV PFD-C 19624R403 2574 110040 SH DFND 1 110040 0 0 Copa Holdings SA CL A P31076105 11532 220659 SH DFND 1,2 214215 0 6444 CVR Partners LP COM 126633106 4644 568426 SH DFND 1 568426 0 0 CVR PARTNERS LP AUG16 10 CALL COM 126633106 1882 230300 SH Call DFND 1 230300 0 0 CVS Health Corp COM 126650100 58170 607584 SH DFND 1,2 594719 0 12865 Deltic Timber Corp COM 247850100 23015 342849 SH DFND 1,2 342828 0 21 Discover Financial Services COM 254709108 103079 1923482 SH DFND 1,2 1885574 0 37908 Eaton Corp PLC SHS G29183103 3129 52380 SH DFND 1 52380 0 0 Edison International COM 281020107 29603 381141 SH DFND 1,2 373646 0 7495 Elizabeth Arden Inc COM 28660G106 35647 2590623 SH DFND 1,2 2590445 0 178 EnerSys COM 29275Y102 68403 1150211 SH DFND 1,2 1150137 0 74 Ensco PLC SHS CLASS A G3157S106 795 81863 SH DFND 1 81863 0 0 Entegris Inc COM 29362U104 40936 2829026 SH DFND 1 2829026 0 0 EQT Corp COM 26884L109 123388 1593547 SH DFND 1,2 1560589 0 32958 Euronet Worldwide Inc COM 298736109 28327 409405 SH DFND 1,2 409378 0 27 Exxon Mobil Corp COM 30231G102 599 6395 SH DFND 1 6395 0 0 FBR & Co COM NEW 30247C400 10863 727609 SH DFND 1 727609 0 0 Ford Motor Co COM PAR $0.01 345370860 30777 2448436 SH DFND 1,2 2399222 0 49214 Forestar Group Inc COM 346233109 60938 5125123 SH DFND 1,2 5124806 0 317 Fred's Inc CL A 356108100 53470 3319082 SH DFND 1,2 3318903 0 179 Frontier Communications Corp PFD CONV SER-A 35906A207 12240 129083 PRN DFND 1 129083 0 0 General Electric Co COM 369604103 56258 1787110 SH DFND 1,2 1750952 0 36158 General Motors Co COM 37045V100 85066 3005868 SH DFND 1,2 2942248 0 63620 Gilead Sciences Inc COM 375558103 9034 108300 SH DFND 1 108300 0 0 GlaxoSmithKline PLC SPONSORED ADR 37733W105 89939 2075187 SH DFND 1,2 2043004 0 32183 GP Strategies Corp COM 36225V104 17247 795151 SH DFND 1 795151 0 0 Haverty Furniture Cos Inc COM 419596101 27148 1505739 SH DFND 1,2 1505539 0 200 Hercules Capital Inc COM 427096508 3944 317572 SH DFND 1 317572 0 0 Heritage Financial Corp/WA COM 42722X106 34254 1948471 SH DFND 1,2 1948369 0 102 Hess Corp COM 42809H107 63306 1053350 SH DFND 1,2 1032741 0 20609 HomeStreet Inc COM 43785V102 17811 894114 SH DFND 1 894114 0 0 Hooker Furniture Corp COM 439038100 32843 1528313 SH DFND 1 1528313 0 0 ICF International Inc COM 44925C103 18731 457960 SH DFND 1,2 457891 0 69 Impax Laboratories Inc COM 45256B101 5372 186406 SH DFND 1 186197 0 209 ING Groep NV SPONSORED ADR 456837103 31879 3086014 SH DFND 1,2 3022787 0 63227 Ingersoll-Rand PLC SHS G47791101 69937 1098257 SH DFND 1,2 1076851 0 21406 Integrated Device Technology Inc COM 458118106 28916 1436476 SH DFND 1 1436476 0 0 Inter Parfums Inc COM 458334109 40932 1432676 SH DFND 1,2 1432598 0 78 INTERPUBLIC GROUP JUL16 25 CALL COM 460690100 1551 54300 SH Call DFND 1 54300 0 0 Interpublic Group of Cos Inc/The COM 460690100 63396 2744402 SH DFND 1,2 2694430 0 49972 iShares iBoxx $ Investment Grade Corporate Bond ETF IBOXX INV CP ETF 464287242 582 4738 SH DFND 1 4414 0 324 iShares Russell 1000 Value ETF RUS 1000 VAL ETF 464287598 713 6911 SH DFND 1 6911 0 0 John B Sanfilippo & Son Inc COM 800422107 41780 1034869 SH DFND 1,2 1034816 0 53 JPMorgan Chase & Co COM 46625H100 108538 1746671 SH DFND 1,2 1713075 0 33596 Kimball Electronics Inc COM 49428J109 9396 754699 SH DFND 1 754699 0 0 Koninklijke Philips NV NY REG SH NEW 500472303 73240 2936664 SH DFND 1,2 2883800 0 52864 Landec Corp COM 514766104 30686 2851850 SH DFND 1 2851850 0 0 Lattice Semiconductor Corp COM 518415104 76637 14324684 SH DFND 1,2 14323878 0 806 La-Z-Boy Inc COM 505336107 24426 878000 SH DFND 1,2 877881 0 119 Lloyds Banking Group PLC SPONSORED ADR 539439109 65 21921 SH DFND 1 21921 0 0 Louisiana-Pacific Corp COM 546347105 28302 1631216 SH DFND 1,2 1631121 0 95 Lumentum Holdings Inc COM 55024U109 4851 200437 SH DFND 1,2 200418 0 19 Marten Transport Ltd COM 573075108 25578 1291837 SH DFND 1,2 1291756 0 81 Materion Corp COM 576690101 50503 2039683 SH DFND 1,2 2039547 0 136 MetLife Inc COM 59156R108 55141 1384402 SH DFND 1,2 1353495 0 30907 MGM Growth Properties LLC CL A COM 55303A105 6270 235000 SH DFND 1 235000 0 0 Microsoft Corp COM 594918104 35490 693572 SH DFND 1,2 680199 0 13373 Mitel Networks Corp COM 60671Q104 92023 14629970 SH DFND 1,2 14629229 0 741 Mitsubishi UFJ Financial Group Inc SPONSORED ADR 606822104 49 11041 SH DFND 1 11041 0 0 National CineMedia Inc COM 635309107 6559 423734 SH DFND 1 423734 0 0 NATIONAL CINEMEDIA INC DEC16 17.5 CALL COM 635309107 1548 100000 SH Call DFND 1 100000 0 0 Neenah Paper Inc COM 640079109 24138 333535 SH DFND 1 333535 0 0 Nippon Telegraph & Telephone Corp SPONSORED ADR 654624105 10221 217090 SH DFND 1 217090 0 0 NiSource Inc COM 65473P105 16556 624265 SH DFND 1,2 624174 0 91 Nordstrom Inc COM 655664100 12221 321179 SH DFND 1,2 321008 0 171 Novanta Inc COM 67000B104 41613 2746706 SH DFND 1 2746706 0 0 Occidental Petroleum Corp COM 674599105 102342 1354443 SH DFND 1,2 1327406 0 27037 Oracle Corp COM 68389X105 144571 3532160 SH DFND 1,2 3470288 0 61872 Orbital ATK Inc COM 68557N103 36429 427872 SH DFND 1,2 427847 0 25 PacWest Bancorp COM 695263103 48525 1219846 SH DFND 1,2 1219788 0 58 Paramount Group Inc COM 69924R108 9529 597797 SH DFND 1 597797 0 0 PayPal Holdings Inc COM 70450Y103 51396 1407732 SH DFND 1,2 1381061 0 26671 PennyMac Mortgage Investment Trust COM 70931T103 9525 586853 SH DFND 1 586853 0 0 Pfizer Inc COM 717081103 73781 2095468 SH DFND 1,2 2052186 0 43282 PH Glatfelter Co COM 377316104 22919 1171714 SH DFND 1 1171646 0 68 Philip Morris International Inc COM 718172109 32245 316994 SH DFND 1,2 309161 0 7833 Phillips 66 COM 718546104 42519 535909 SH DFND 1,2 525337 0 10572 PNC Financial Services Group Inc/The COM 693475105 43610 535818 SH DFND 1,2 523102 0 12716 PNM Resources Inc COM 69349H107 30073 848555 SH DFND 1 848555 0 0 PrivateBancorp Inc COM 742962103 37992 862872 SH DFND 1,2 862840 0 32 Ramco-Gershenson Properties Trust COM SH BEN INT 751452202 80923 4126644 SH DFND 1,2 4126409 0 235 Raytheon Co COM NEW 755111507 65552 482175 SH DFND 1,2 470925 0 11250 Redwood Trust Inc COM 758075402 7831 567063 SH DFND 1 567063 0 0 Reinsurance Group of America Inc COM NEW 759351604 23988 247321 SH DFND 1,2 247305 0 16 Sagent Pharmaceuticals Inc COM 786692103 18624 1243252 SH DFND 1 1243252 0 0 Seagate Technology PLC SHS G7945M107 1726 70840 SH DFND 1 70840 0 0 Select Comfort Corp COM 81616X103 15823 740085 SH DFND 1 740085 0 0 Southwest Airlines Co COM 844741108 21680 552911 SH DFND 1,2 543739 0 9172 Spire Inc COM 84857L101 66543 939345 SH DFND 1,2 939292 0 53 State Street Corp COM 857477103 1494 27700 SH DFND 1 27700 0 0 StoneMor Partners LP COM UNITS 86183Q100 2087 83325 SH DFND 1 83325 0 0 Stoneridge Inc COM 86183P102 43341 2900981 SH DFND 1 2900981 0 0 Suncor Energy Inc COM 867224107 62016 2236426 SH DFND 1,2 2188240 0 48186 Synchrony Financial COM 87165B103 21695 858183 SH DFND 1,2 837705 0 20478 Target Corp COM 87612E106 68098 975338 SH DFND 1,2 957638 0 17700 Taylor Morrison Home Corp CL A 87724P106 54499 3672439 SH DFND 1,2 3671622 0 817 Telefonaktiebolaget LM Ericsson ADR B SEK 10 294821608 7579 986870 SH DFND 1 977051 0 9819 Teradyne Inc COM 880770102 94919 4820670 SH DFND 1,2 4765189 0 55481 Terex Corp COM 880779103 6004 295636 SH DFND 1 295636 0 0 Teva Pharmaceutical Industries Ltd ADR 881624209 84278 1677841 SH DFND 1,2 1644932 0 32909 Teva Pharmaceutical Industries Ltd ADR M8769Q136 20794 25144 PRN DFND 1 25144 0 0 Time Warner Inc COM NEW 887317303 60361 820792 SH DFND 1,2 800687 0 20105 TOTAL SA SPONSORED ADR 89151E109 2149 44680 SH DFND 1 44680 0 0 TPG Specialty Lending Inc COM 87265K102 3757 226209 SH DFND 1 226209 0 0 TreeHouse Foods Inc COM 89469A104 92790 903945 SH DFND 1,2 903814 0 131 TRI Pointe Group Inc COM 87265H109 51887 4389781 SH DFND 1,2 4389552 0 229 TriState Capital Holdings Inc COM 89678F100 1466 106761 SH DFND 1 106761 0 0 UBS Group AG SHS H42097107 1154 89040 SH DFND 1 89040 0 0 Union Pacific Corp COM 907818108 50853 582844 SH DFND 1,2 568778 0 14066 United Parcel Service Inc CL B 911312106 12694 117840 SH DFND 1 117840 0 0 Universal Electronics Inc COM 913483103 16377 226573 SH DFND 1,2 226540 0 33 Unum Group COM 91529Y106 149356 4698220 SH DFND 1,2 4617479 0 80741 UNUMPROVIDENT CORP SEP16 CALL 36 COM 91529Y106 6918 217600 SH DFND 1 217600 0 0 Vector Group Ltd COM 92240M108 8704 388247 SH DFND 1 388247 0 0 VeriFone Systems Inc COM 92342Y109 12706 685316 SH DFND 1 685020 0 296 Viacom Inc CL B 92553P201 117544 2834430 SH DFND 1,2 2783569 0 50861 Wal-Mart Stores Inc COM 931142103 36342 497706 SH DFND 1,2 486786 0 10920 Wells Fargo & Co COM 949746101 72860 1539400 SH DFND 1,2 1507398 0 32002 Wells Fargo & Co PERP PFD CNV A 949746804 16939 13038 PRN DFND 1 13038 0 0 Western Alliance Bancorp COM 957638109 61420 1881152 SH DFND 1,2 1881070 0 82