Chief Investment Officer

0000950123-17-007842.txt : 20170814 0000950123-17-007842.hdr.sgml : 20170814 20170814131729 ACCESSION NUMBER: 0000950123-17-007842 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 EFFECTIVENESS DATE: 20170814 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: 171028899 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 true false 0000763848 XXXXXXXX 06-30-2017 06-30-2017 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 08-14-2017 2 194 7230738 false 1 028-11405 Nuveen Investments, Inc. 2 028-16475 SEI Investments Management Corporation INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ABBVIE INC COM 00287Y109 307 4234 SH DFND 1 4234 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 277 2239 SH DFND 1 2239 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 42186 361832 SH DFND 1 348035 0 13797 AGRIUM INC COM 008916108 4514 49880 SH DFND 1 49880 0 0 ALBANY INTL CORP CL A 012348108 76663 1435641 SH DFND 1,2 1435641 0 0 ALLERGAN PLC SHS G0177J108 39931 164265 SH DFND 1 158337 0 5928 ALPHABET INC CAP STK CL A 02079K305 49842 53612 SH DFND 1 51334 0 2278 AMERIS BANCORP COM 03076K108 61056 1266728 SH DFND 1,2 1266728 0 0 ANTHEM INC COM 036752103 1505 8000 SH DFND 1 8000 0 0 AON PLC SHS CL A G0408V102 105080 790372 SH DFND 1 766076 0 24296 APACHE CORP COM 037411105 3406 71057 SH DFND 1 71057 0 0 APARTMENT INVT & MGMT CO CL A 03748R101 6359 147995 SH DFND 1 147995 0 0 APOGEE ENTERPRISES INC COM 037598109 29575 520313 SH DFND 1 520313 0 0 APPLE INC COM 037833100 512 3553 SH DFND 1 3553 0 0 ARES CAP CORP COM 04010L103 18260 1114793 SH DFND 1 1114793 0 0 ARRIS INTL INC SHS G0551A103 15408 549878 SH DFND 1,2 549878 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 16881 495175 SH DFND 1 495175 0 0 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 64465 996978 SH DFND 1,2 994760 0 2218 B RILEY FINL INC COM 05580M108 7725 416466 SH DFND 1 416466 0 0 BANK AMER CORP COM 060505104 82040 3381706 SH DFND 1 3264650 0 117056 BANK OF NT BUTTERFIELD&SON L SHS NEW G0772R208 115998 3401703 SH DFND 1,2 3401630 0 73 BANNER CORP COM NEW 06652V208 20839 375316 SH DFND 1 375316 0 0 BIO RAD LABS INC CL A 090572207 70861 313115 SH DFND 1,2 308768 0 4347 BLOOMIN BRANDS INC COM 094235108 7208 339535 SH DFND 1 339535 0 0 BOISE CASCADE CO DEL COM 09739D100 62294 2049141 SH DFND 1 2049141 0 0 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 41850 2387353 SH DFND 1,2 2387353 0 0 CALPINE CORP COM NEW 131347304 72147 5332365 SH DFND 1 5143318 0 189047 CAMECO CORP COM 13321L108 19023 2090466 SH DFND 1,2 2082493 0 7973 CANADIAN NAT RES LTD COM 136385101 26177 907660 SH DFND 1,2 904831 0 2829 CAPITAL BK FINL CORP CL A COM 139794101 56939 1494461 SH DFND 1,2 1494461 0 0 CARRIZO OIL & GAS INC COM 144577103 56819 3261724 SH DFND 1,2 3261724 0 0 CHENIERE ENERGY INC COM NEW 16411R208 107515 2207242 SH DFND 1 2135699 0 71543 CHEVRON CORP NEW COM 166764100 8586 82299 SH DFND 1 82299 0 0 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 7553 96094 SH DFND 1 95383 0 711 CHUBB LIMITED COM H1467J104 289 1987 SH DFND 1 1987 0 0 CIGNA CORPORATION COM 125509109 66263 395860 SH DFND 1 383067 0 12793 CISCO SYS INC COM 17275R102 14079 449799 SH DFND 1 449799 0 0 CIT GROUP INC COM NEW 125581801 199162 4089560 SH DFND 1,2 3987408 0 102152 CIT GROUP INC COM NEW 125581801 3765 77300 SH Call DFND 1 77300 0 0 CITIGROUP INC COM NEW 172967424 178741 2672568 SH DFND 1 2588046 0 84522 CNA FINL CORP COM 126117100 12777 262095 SH DFND 1 262095 0 0 COCA COLA CO COM 191216100 70997 1582987 SH DFND 1 1513607 0 69380 COHERENT INC COM 192479103 90700 403131 SH DFND 1,2 403116 0 15 COLGATE PALMOLIVE CO COM 194162103 202 2724 SH DFND 1 2724 0 0 COLONY NORTHSTAR INC CL A COM 19625W104 84975 6030888 SH DFND 1 5858017 0 172871 CRAY INC COM NEW 225223304 16288 885223 SH DFND 1 885223 0 0 CREDIT SUISSE GROUP SPONSORED ADR 225401108 2845 194865 SH DFND 1 194760 0 105 CSX CORP COM 126408103 201 3690 SH DFND 1 3690 0 0 CVR PARTNERS LP COM 126633106 5101 1461491 SH DFND 1 1461491 0 0 CVS HEALTH CORP COM 126650100 58815 730987 SH DFND 1 707788 0 23199 CYPRESS SEMICONDUCTOR CORP COM 232806109 32570 2386099 SH DFND 1,2 2385959 0 140 DELTA AIR LINES INC DEL COM NEW 247361702 36872 686116 SH DFND 1 659406 0 26710 DELTIC TIMBER CORP COM 247850100 25009 334972 SH DFND 1,2 334972 0 0 DISCOVER FINL SVCS COM 254709108 110155 1771269 SH DFND 1 1713624 0 57645 DOW CHEM CO COM 260543103 92121 1460616 SH DFND 1 1414372 0 46244 EATON CORP PLC SHS G29183103 8009 102900 SH DFND 1 102900 0 0 EDISON INTL COM 281020107 3056 39090 SH DFND 1 39090 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 75430 1592015 SH DFND 1,2 1591968 0 47 EMBRAER S A SP ADR REP 4 COM 29082A107 10993 603044 SH DFND 1,2 598560 0 4484 ENERGEN CORP COM 29265N108 8820 178655 SH DFND 1,2 178655 0 0 ENERSYS COM 29275Y102 57612 795202 SH DFND 1,2 795202 0 0 ENTEGRIS INC COM 29362U104 44928 2046855 SH DFND 1 2046855 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 16387 605130 SH DFND 1 605130 0 0 EQT CORP COM 26884L109 127032 2168145 SH DFND 1,2 2103620 0 64525 ERICSSON ADR B SEK 10 294821608 32023 4466310 SH DFND 1,2 4453176 0 13134 EURONET WORLDWIDE INC COM 298736109 28033 320853 SH DFND 1,2 320853 0 0 EXXON MOBIL CORP COM 30231G102 522 6469 SH DFND 1 6469 0 0 FLEX LTD ORD Y2573F102 32315 1981314 SH DFND 1,2 1974730 0 6584 FREDS INC CL A 356108100 33113 3587578 SH DFND 1,2 3587578 0 0 GENERAL ELECTRIC CO COM 369604103 58568 2168378 SH DFND 1 2101383 0 66995 GENERAL MTRS CO COM 37045V100 77741 2225626 SH DFND 1 2146009 0 79617 GILEAD SCIENCES INC COM 375558103 3242 45800 SH DFND 1 45800 0 0 GLATFELTER COM 377316104 21844 1117935 SH DFND 1,2 1117935 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 107574 2494769 SH DFND 1,2 2433514 0 61255 GP STRATEGIES CORP COM 36225V104 30658 1161278 SH DFND 1 1161278 0 0 GREAT PLAINS ENERGY INC DEP SHS 1/20 B 391164878 41 776800 PRN DFND 1 776800 0 0 HARLEY DAVIDSON INC COM 412822108 17682 327325 SH DFND 1,2 327325 0 0 HAVERTY FURNITURE INC COM 419596101 25375 1010940 SH DFND 1,2 1010940 0 0 HERITAGE FINL CORP WASH COM 42722X106 39382 1486101 SH DFND 1,2 1486101 0 0 HESS CORP COM 42809H107 95925 2186580 SH DFND 1 2110296 0 76284 HILLTOP HOLDINGS INC COM 432748101 20309 774853 SH DFND 1 774853 0 0 HOMESTREET INC COM 43785V102 36558 1320993 SH DFND 1 1320993 0 0 HONEYWELL INTL INC COM 438516106 307 2300 SH DFND 1 2300 0 0 HOOKER FURNITURE CORP COM 439038100 52012 1263961 SH DFND 1 1263961 0 0 HOPE BANCORP INC COM 43940T109 28197 1511909 SH DFND 1 1511909 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 21618 465995 SH DFND 1,2 462523 0 3472 ING GROEP N V SPONSORED ADR 456837103 77109 4434105 SH DFND 1,2 4327902 0 106203 INGERSOLL-RAND PLC SHS G47791101 76326 835170 SH DFND 1 808888 0 26282 INNOSPEC INC COM 45768S105 13326 203292 SH DFND 1,2 203292 0 0 INTEGRATED DEVICE TECHNOLOGY COM 458118106 39379 1526910 SH DFND 1 1526910 0 0 INTER PARFUMS INC COM 458334109 10561 288151 SH DFND 1,2 288151 0 0 INTERPUBLIC GROUP COS INC COM 460690100 48628 1976733 SH DFND 1 1914125 0 62608 ISHARES TR RUS 2000 VAL ETF 464287630 23832 200490 SH DFND 1 200490 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 4557 39139 SH DFND 1 39139 0 0 ISHARES TR IBOXX INV CP ETF 464287242 529 4387 SH DFND 1 4092 0 295 JOHNSON CTLS INTL PLC SHS G51502105 18866 435095 SH DFND 1 435095 0 0 JPMORGAN CHASE & CO COM 46625H100 148104 1620398 SH DFND 1 1570741 0 49657 KOHLS CORP COM 500255104 1067 27600 SH DFND 1 27600 0 0 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 97509 2722207 SH DFND 1,2 2642580 0 79627 LA Z BOY INC COM 505336107 4497 138380 SH DFND 1,2 138380 0 0 LANDEC CORP COM 514766104 55334 3726173 SH DFND 1 3726173 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 70102 10525852 SH DFND 1,2 10525852 0 0 LEXINGTON REALTY TRUST COM 529043101 156 15779 SH DFND 1 15779 0 0 LIBERTY MEDIA CORP DEB 3.750% 2/1 530715AL5 722 10850000 PRN DFND 1 10850000 0 0 LIFE STORAGE INC COM 53223X107 12060 162755 SH DFND 1 162755 0 0 LIVANOVA PLC SHS G5509L101 17894 292330 SH DFND 1 292330 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 77 21921 SH DFND 1 21921 0 0 LOEWS CORP COM 540424108 8229 175802 SH DFND 1 175802 0 0 LOUISIANA PAC CORP COM 546347105 11618 481868 SH DFND 1 481868 0 0 LUMENTUM HLDGS INC COM 55024U109 5170 90629 SH DFND 1,2 90629 0 0 LUXOFT HLDG INC ORD SHS CL A G57279104 19272 316721 SH DFND 1,2 315703 0 1018 MACYS INC COM 55616P104 35274 1517831 SH DFND 1 1447226 0 70605 MATERION CORP COM 576690101 52122 1393624 SH DFND 1,2 1393624 0 0 MEDEQUITIES RLTY TR INC COM 58409L306 9003 713412 SH DFND 1 713412 0 0 MEDTRONIC PLC SHS G5960L103 305 3432 SH DFND 1 3432 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 57603 1330324 SH DFND 1,2 1330274 0 50 METLIFE INC COM 59156R108 71691 1304894 SH DFND 1 1256796 0 48098 MGM GROWTH PPTYS LLC CL A COM 55303A105 8415 288300 SH DFND 1 288300 0 0 MICRON TECHNOLOGY INC COM 595112103 377 12636 SH DFND 1 12636 0 0 MICROSEMI CORP COM 595137100 7913 169083 SH DFND 1,2 169083 0 0 MICROSOFT CORP COM 594918104 49459 717518 SH DFND 1 697927 0 19591 MITEL NETWORKS CORP COM 60671Q104 121158 16484080 SH DFND 1,2 16484080 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 75 11041 SH DFND 1 11041 0 0 NATIONAL CINEMEDIA INC COM 635309107 3368 453880 SH DFND 1 453880 0 0 NEENAH PAPER INC COM 640079109 14774 184100 SH DFND 1 184100 0 0 NEWFIELD EXPL CO COM 651290108 65407 2298221 SH DFND 1,2 2235004 0 63217 NEXTERA ENERGY INC UNIT 08/31/2018 65339F846 20 318500 PRN DFND 1 318500 0 0 NORDSTROM INC COM 655664100 271 5657 SH DFND 1 5657 0 0 NOVANTA INC COM 67000B104 43252 1201451 SH DFND 1 1201451 0 0 NTT DOCOMO INC SPONS ADR 62942M201 244 10306 SH DFND 1 10306 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 1203 5500 SH DFND 1 5500 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 68781 1148835 SH DFND 1 1109688 0 39147 ORACLE CORP COM 68389X105 192560 3840446 SH DFND 1 3737536 0 102910 ORBITAL ATK INC COM 68557N103 62195 632315 SH DFND 1,2 632315 0 0 PACWEST BANCORP DEL COM 695263103 62194 1331771 SH DFND 1,2 1331771 0 0 PAYPAL HLDGS INC COM 70450Y103 44958 837675 SH DFND 1 807403 0 30272 PDC ENERGY INC COM 69327R101 25255 585833 SH DFND 1,2 585833 0 0 PENNYMAC MTG INVT TR COM 70931T103 5403 295382 SH DFND 1 295382 0 0 PFIZER INC COM 717081103 42403 1262358 SH DFND 1 1225399 0 36959 PHILIP MORRIS INTL INC COM 718172109 4948 42125 SH DFND 1 42125 0 0 PHILLIPS 66 COM 718546104 39910 482650 SH DFND 1 465723 0 16927 PNC FINL SVCS GROUP INC COM 693475105 42222 338130 SH DFND 1 326319 0 11811 POSCO SPONSORED ADR 693483109 15314 244670 SH DFND 1 242875 0 1795 QORVO INC COM 74736K101 11971 189052 SH DFND 1,2 189052 0 0 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 37770 2927911 SH DFND 1,2 2927911 0 0 RAYTHEON CO COM NEW 755111507 71819 444757 SH DFND 1 427695 0 17062 REINSURANCE GROUP AMER INC COM NEW 759351604 16123 125580 SH DFND 1,2 125580 0 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 8277 113673 SH DFND 1,2 113673 0 0 RENAISSANCERE HOLDINGS LTD COM G7496G103 49149 353463 SH DFND 1 342606 0 10857 ROYAL BK SCOTLAND GROUP PLC SPONS ADR 2 ORD 780097689 22349 3422451 SH DFND 1,2 3397479 0 24972 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 41721 766504 SH DFND 1,2 764221 0 2283 SANFILIPPO JOHN B & SON INC COM 800422107 52438 856033 SH DFND 1,2 856033 0 0 SANOFI SPONSORED ADR 80105N105 18882 394104 SH DFND 1,2 391284 0 2820 SAP SE SPON ADR 803054204 12541 119811 SH DFND 1,2 118940 0 871 SELECT SECTOR SPDR TR ENERGY 81369Y506 6155 94814 SH DFND 1 94814 0 0 SK TELECOM LTD SPONSORED ADR 78440P108 48915 1905538 SH DFND 1,2 1899742 0 5796 SOUTHWEST AIRLS CO COM 844741108 82598 1329230 SH DFND 1 1285826 0 43404 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 35889 1124335 SH DFND 1 1124335 0 0 SRC ENERGY INC COM 78470V108 31090 4619650 SH DFND 1,2 4619650 0 0 STATE STR CORP COM 857477103 2037 22700 SH DFND 1 22700 0 0 STONERIDGE INC COM 86183P102 30881 2003958 SH DFND 1 2003958 0 0 SUNCOR ENERGY INC NEW COM 867224107 56477 1934156 SH DFND 1 1861074 0 73082 SVB FINL GROUP COM 78486Q101 4417 25124 SH DFND 1,2 25124 0 0 SYNCHRONY FINL COM 87165B103 4118 138100 SH Call DFND 1 138100 0 0 SYNCHRONY FINL COM 87165B103 94436 3166869 SH DFND 1 3055607 0 111262 TARGET CORP COM 87612E106 44999 860565 SH DFND 1 833183 0 27382 TAYLOR MORRISON HOME CORP CL A 87724P106 52270 2176998 SH DFND 1,2 2176920 0 78 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 894 66268 SH DFND 1 66268 0 0 TENARIS S A SPONSORED ADR 88031M109 18139 582492 SH DFND 1,2 578151 0 4341 TERADYNE INC COM 880770102 74478 2480106 SH DFND 1,2 2418745 0 61361 TEREX CORP NEW COM 880779103 10758 286867 SH DFND 1 286867 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 32133 967279 SH DFND 1,2 964754 0 2525 TEXAS CAPITAL BANCSHARES INC COM 88224Q107 26440 341598 SH DFND 1,2 341598 0 0 TIME WARNER INC COM NEW 887317303 28969 288510 SH DFND 1 275925 0 12585 TOTAL S A SPONSORED ADR 89151E109 3593 72450 SH DFND 1 72450 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 43670 415825 SH DFND 1,2 414533 0 1292 TPG SPECIALTY LENDING INC COM 87265K102 280 13679 SH DFND 1 13679 0 0 TREEHOUSE FOODS INC COM 89469A104 94868 1161319 SH DFND 1,2 1161300 0 19 TRI POINTE GROUP INC COM 87265H109 85914 6513545 SH DFND 1,2 6513404 0 141 TURKCELL ILETISIM HIZMETLERI SPON ADR NEW 900111204 8720 1063439 SH DFND 1 1055728 0 7711 UBS GROUP AG SHS H42097107 47484 2796476 SH DFND 1,2 2786859 0 9617 UNION PAC CORP COM 907818108 66545 611006 SH DFND 1 590570 0 20436 UNITEDHEALTH GROUP INC COM 91324P102 336 1813 SH DFND 1 1813 0 0 UNIVERSAL ELECTRS INC COM 913483103 12181 182214 SH DFND 1,2 182214 0 0 UNUM GROUP COM 91529Y106 125421 2689712 SH DFND 1 2620205 0 69507 VERIFONE SYS INC COM 92342Y109 5440 300538 SH DFND 1 300538 0 0 VIACOM INC NEW CL B 92553P201 67986 2025206 SH DFND 1 1970767 0 54439 VIASAT INC COM 92552V100 43699 660107 SH DFND 1,2 642890 0 17217 WAL-MART STORES INC COM 931142103 4309 56942 SH DFND 1 56942 0 0 WELLS FARGO CO NEW COM 949746101 50898 918573 SH DFND 1 886284 0 32289 WELLS FARGO CO NEW PERP PFD CNV A 949746804 15 11435 PRN DFND 1 11435 0 0 WESTERN ALLIANCE BANCORP COM 957638109 92290 1875812 SH DFND 1,2 1875772 0 40 WOODWARD INC COM 980745103 7893 116789 SH DFND 1,2 116789 0 0 XL GROUP LTD COM G98294104 10029 228976 SH DFND 1,2 228976 0 0