0000950123-18-005264.txt : 20180514
0000950123-18-005264.hdr.sgml : 20180514
20180514155825
ACCESSION NUMBER: 0000950123-18-005264
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180331
FILED AS OF DATE: 20180514
DATE AS OF CHANGE: 20180514
EFFECTIVENESS DATE: 20180514
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: 18830461
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
03-31-2018
03-31-2018
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
05-14-2018
2
178
6185694
false
1
028-11405
Nuveen Investments, Inc.
2
028-16475
SEI Investments Management Corporation
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
245
1595
SH
DFND
1
1595
0
0
ADVANCE AUTO PARTS INC
COM
00751Y106
44247
373231
SH
DFND
1
358254
0
14977
ALBANY INTL CORP
CL A
012348108
65995
1068742
SH
DFND
1,2
1068742
0
0
ALLERGAN PLC
SHS
G0177J108
69101
410609
SH
DFND
1
392988
0
17621
ALPHABET INC
CAP STK CL A
02079K305
41607
40117
SH
DFND
1
38217
0
1900
AMERICAN INTL GROUP INC
COM NEW
026874784
55332
1014892
SH
DFND
1
971886
0
43006
AMERIS BANCORP
COM
03076K108
53356
1008622
SH
DFND
1,2
1008622
0
0
AON PLC
SHS CL A
G0408V102
70899
505231
SH
DFND
1
489889
0
15342
APACHE CORP
COM
037411105
2618
70082
SH
DFND
1
70082
0
0
APARTMENT INVT & MGMT CO
CL A
03748R101
9145
224429
SH
DFND
1
224429
0
0
APOGEE ENTERPRISES INC
COM
037598109
23028
535163
SH
DFND
1,2
535163
0
0
APPLE INC
COM
037833100
485
2916
SH
DFND
1
2916
0
0
ARES CAP CORP
COM
04010L103
16619
1047195
SH
DFND
1
1047195
0
0
ARRIS INTL INC
SHS
G0551A103
18099
681196
SH
DFND
1,2
681196
0
0
ASPEN INSURANCE HOLDINGS LTD
SHS
G05384105
58907
1313426
SH
DFND
1
1313426
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
21085
600197
SH
DFND
1
600197
0
0
ASTRONICS CORP
COM
046433108
21485
589613
SH
DFND
1,2
589613
0
0
AXIS CAPITAL HOLDINGS LTD
SHS
G0692U109
69329
1204258
SH
DFND
1,2
1201968
0
2290
B RILEY FINL INC
COM
05580M108
19090
978972
SH
DFND
1
978972
0
0
BANK AMER CORP
COM
060505104
71768
2441929
SH
DFND
1
2355331
0
86598
BANK OF NT BUTTERFIELD&SON L
SHS NEW
G0772R208
107591
2397293
SH
DFND
1,2
2397250
0
43
BANKUNITED INC
COM
06652K103
19626
490899
SH
DFND
1
490899
0
0
BANNER CORP
COM NEW
06652V208
19424
350044
SH
DFND
1
350044
0
0
BEMIS INC
COM
081437105
34702
811355
SH
DFND
1,2
811355
0
0
BIO RAD LABS INC
CL A
090572207
53493
216030
SH
DFND
1,2
212387
0
3643
BLOOMIN BRANDS INC
COM
094235108
5714
234955
SH
DFND
1
234955
0
0
BMC STK HLDGS INC
COM
05591B109
35453
1813463
SH
DFND
1,2
1813463
0
0
BOISE CASCADE CO DEL
COM
09739D100
38040
985501
SH
DFND
1,2
985501
0
0
BRANDYWINE RLTY TR
SH BEN INT NEW
105368203
31398
1977180
SH
DFND
1,2
1977180
0
0
CANADIAN NAT RES LTD
COM
136385101
30825
979492
SH
DFND
1,2
976966
0
2526
CARRIZO OIL & GAS INC
COM
144577103
98204
6137745
SH
DFND
1,2
6137745
0
0
CBS CORP NEW
CL B
124857202
32355
629606
SH
DFND
1
602153
0
27453
CHENIERE ENERGY INC
COM NEW
16411R208
60145
1125256
SH
DFND
1
1090149
0
35107
CHEVRON CORP NEW
COM
166764100
54730
479918
SH
DFND
1
464417
0
15501
CHINA PETE & CHEM CORP
SPON ADR H SHS
16941R108
10926
123486
SH
DFND
1
122654
0
832
CIT GROUP INC
COM NEW
125581801
167138
3245392
SH
DFND
1,2
3159380
0
86012
CITIGROUP INC
COM NEW
172967424
125084
1853092
SH
DFND
1
1791267
0
61825
CNA FINL CORP
COM
126117100
16264
329568
SH
DFND
1
329568
0
0
COCA COLA CO
COM
191216100
52193
1201780
SH
DFND
1
1141426
0
60354
COHERENT INC
COM
192479103
72263
385607
SH
DFND
1,2
385596
0
11
COLONY NORTHSTAR INC
CL A COM
19625W104
52455
9333626
SH
DFND
1
9008842
0
324784
COMCAST CORP NEW
CL A
20030N101
206
6041
SH
DFND
1
6041
0
0
CRAY INC
COM NEW
225223304
19326
933606
SH
DFND
1
933606
0
0
CREDIT SUISSE GROUP
SPONSORED ADR
225401108
3093
187139
SH
DFND
1
187055
0
84
CVR PARTNERS LP
COM
126633106
3143
967190
SH
DFND
1
967190
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
26583
1567412
SH
DFND
1,2
1567272
0
140
DECKERS OUTDOOR CORP
COM
243537107
11636
129245
SH
DFND
1,2
129245
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
55877
1019464
SH
DFND
1
989209
0
30255
DELTA AIR LINES INC DEL
COM NEW
247361702
5663
105000
SH
Call
DFND
1
105000
0
0
DISCOVER FINL SVCS
COM
254709108
93432
1298930
SH
DFND
1
1254926
0
44004
DISH NETWORK CORP
NOTE 3.375% 8/1
25470MAB5
295
3075
PRN
DFND
1
3075
0
0
DOWDUPONT INC
COM
26078J100
76279
1197287
SH
DFND
1
1162412
0
34875
EATON CORP PLC
SHS
G29183103
7848
98216
SH
DFND
1
98216
0
0
EDISON INTL
COM
281020107
2489
39100
SH
DFND
1
39100
0
0
EMBRAER S A
SP ADR REP 4 COM
29082A107
10539
405365
SH
DFND
1,2
402699
0
2666
ENERSYS
COM
29275Y102
49273
710292
SH
DFND
1,2
710292
0
0
ENTEGRIS INC
COM
29362U104
38892
1117573
SH
DFND
1
1117573
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
22022
899607
SH
DFND
1
899607
0
0
EQT CORP
COM
26884L109
131710
2772268
SH
DFND
1,2
2678900
0
93368
ERICSSON
ADR B SEK 10
294821608
570
89072
SH
DFND
1
89072
0
0
EURONET WORLDWIDE INC
COM
298736109
17863
226344
SH
DFND
1,2
226344
0
0
EXXON MOBIL CORP
COM
30231G102
466
6244
SH
DFND
1
6244
0
0
FIRST DATA CORP
COM CL A
32008D106
32
65000
SH
Call
DFND
1
65000
0
0
FIRST DATA CORP
COM CL A
32008D106
60395
3774683
SH
DFND
1
3628799
0
145884
FIRST HORIZON NATL CORP
COM
320517105
76303
4052178
SH
DFND
1,2
3959995
0
92183
FIRSTENERGY CORP
COM
337932107
105420
3099682
SH
DFND
1
3012040
0
87642
FLEX LTD
ORD
Y2573F102
30075
1841689
SH
DFND
1,2
1836341
0
5348
FREDS INC
CL A
356108100
8915
2981459
SH
DFND
1,2
2981459
0
0
GENERAL ELECTRIC CO
COM
369604103
1437
106576
SH
DFND
1
106576
0
0
GENERAL MTRS CO
COM
37045V100
68441
1883344
SH
DFND
1
1808291
0
75053
GILEAD SCIENCES INC
COM
375558103
45100
598221
SH
DFND
1
579293
0
18928
GLATFELTER
COM
377316104
57476
2799623
SH
DFND
1,2
2799623
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
107186
2743443
SH
DFND
1,2
2672695
0
70748
GLOBUS MED INC
CL A
379577208
41111
825186
SH
DFND
1,2
825186
0
0
GP STRATEGIES CORP
COM
36225V104
27256
1203337
SH
DFND
1
1203337
0
0
GREAT PLAINS ENERGY INC
COM
391164100
12474
392395
SH
DFND
1
392395
0
0
HAVERTY FURNITURE INC
COM
419596101
12869
638638
SH
DFND
1,2
638638
0
0
HESS CORP
COM
42809H107
88240
1743180
SH
DFND
1
1677740
0
65440
HILLTOP HOLDINGS INC
COM
432748101
18220
776633
SH
DFND
1
776633
0
0
HOMESTREET INC
COM
43785V102
52239
1823337
SH
DFND
1
1823337
0
0
HONEYWELL INTL INC
COM
438516106
231
1599
SH
DFND
1
1599
0
0
HOOKER FURNITURE CORP
COM
439038100
52382
1427293
SH
DFND
1
1427293
0
0
HOPE BANCORP INC
COM
43940T109
28644
1574721
SH
DFND
1
1574721
0
0
HSBC HLDGS PLC
SPON ADR NEW
404280406
19760
414521
SH
DFND
1
411668
0
2853
ING GROEP N V
SPONSORED ADR
456837103
63436
3746982
SH
DFND
1,2
3655596
0
91386
INGERSOLL-RAND PLC
SHS
G47791101
56569
661546
SH
DFND
1
639303
0
22243
INNOSPEC INC
COM
45768S105
18928
275915
SH
DFND
1
275915
0
0
INTEGRATED DEVICE TECHNOLOGY
COM
458118106
33599
1099444
SH
DFND
1
1099444
0
0
ISHARES TR
RUS 1000 VAL ETF
464287598
4620
38515
SH
DFND
1
38515
0
0
ISHARES TR
MSCI EAFE ETF
464287465
2103
30181
SH
DFND
1
30181
0
0
ISHARES TR
RUS 2000 VAL ETF
464287630
588
4825
SH
DFND
1
4825
0
0
ISHARES TR
IBOXX INV CP ETF
464287242
287
2446
SH
DFND
1
2193
0
253
JPMORGAN CHASE & CO
COM
46625H100
127474
1159175
SH
DFND
1
1123774
0
35401
KAISER ALUMINUM CORP
COM PAR $0.01
483007704
33942
336389
SH
DFND
1
336389
0
0
KONINKLIJKE PHILIPS N V
NY REG SH NEW
500472303
10541
275150
SH
DFND
1,2
275150
0
0
LANDEC CORP
COM
514766104
46279
3546255
SH
DFND
1
3546255
0
0
LATTICE SEMICONDUCTOR CORP
COM
518415104
32005
5745967
SH
DFND
1,2
5745967
0
0
LIBERTY MEDIA CORP
DEB 3.750% 2/1
530715AL5
1
10850
PRN
DFND
1
10850
0
0
LIFE STORAGE INC
COM
53223X107
5379
64400
SH
DFND
1
64400
0
0
LIVANOVA PLC
SHS
G5509L101
37116
419394
SH
DFND
1,2
419355
0
39
LOEWS CORP
COM
540424108
36498
733923
SH
DFND
1
710173
0
23750
LOUISIANA PAC CORP
COM
546347105
12658
439967
SH
DFND
1
439967
0
0
LUMENTUM HLDGS INC
COM
55024U109
3077
48236
SH
DFND
1,2
48236
0
0
LUXOFT HLDG INC
ORD SHS CL A
G57279104
23898
583582
SH
DFND
1,2
581999
0
1583
MATERION CORP
COM
576690101
22047
431871
SH
DFND
1,2
431871
0
0
MCDERMOTT INTL INC
COM
580037109
67495
11082991
SH
DFND
1,2
10916326
0
166665
MEDEQUITIES RLTY TR INC
COM
58409L306
6555
623698
SH
DFND
1
623698
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
105278
1445137
SH
DFND
1,2
1445087
0
50
METHODE ELECTRS INC
COM
591520200
19129
489228
SH
DFND
1
489228
0
0
MGM GROWTH PPTYS LLC
CL A COM
55303A105
11938
449800
SH
DFND
1
449800
0
0
MICRON TECHNOLOGY INC
COM
595112103
611
11725
SH
DFND
1
11725
0
0
MICROSEMI CORP
COM
595137100
4366
67465
SH
DFND
1,2
67465
0
0
MICROSOFT CORP
COM
594918104
18695
204834
SH
DFND
1
204834
0
0
MITEL NETWORKS CORP
COM
60671Q104
69231
7460258
SH
DFND
1,2
7460258
0
0
NATIONAL CINEMEDIA INC
COM
635309107
2652
510950
SH
DFND
1
510950
0
0
NEENAH INC
COM
640079109
18862
240593
SH
DFND
1
240593
0
0
NEWFIELD EXPL CO
COM
651290108
43602
1785493
SH
DFND
1
1730754
0
54739
NEXTERA ENERGY INC
UNIT 08/31/2018
65339F846
22725
311600
PRN
DFND
1
311600
0
0
NORDSTROM INC
COM
655664100
274
5657
SH
DFND
1
5657
0
0
NOVANTA INC
COM
67000B104
8137
156027
SH
DFND
1
156027
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
29675
456826
SH
DFND
1
440656
0
16170
ORACLE CORP
COM
68389X105
138516
3027683
SH
DFND
1
2949117
0
78566
PACWEST BANCORP DEL
COM
695263103
41347
834778
SH
DFND
1,2
834778
0
0
PDC ENERGY INC
COM
69327R101
72221
1472995
SH
DFND
1,2
1472995
0
0
PFIZER INC
COM
717081103
36736
1035107
SH
DFND
1
1003030
0
32077
PHILIP MORRIS INTL INC
COM
718172109
4187
42125
SH
DFND
1
42125
0
0
PHILLIPS 66
COM
718546104
260
2708
SH
DFND
1
2708
0
0
PNC FINL SVCS GROUP INC
COM
693475105
10159
67174
SH
DFND
1
67174
0
0
POSCO
SPONSORED ADR
693483109
16490
209130
SH
DFND
1
207759
0
1371
POTLATCHDELTIC CORPORATION
COM
737630103
11910
228821
SH
DFND
1,2
228821
0
0
QORVO INC
COM
74736K101
9745
138332
SH
DFND
1,2
138332
0
0
QORVO INC
COM
74736K101
117
27200
SH
Call
DFND
1
27200
0
0
QORVO INC
COM
74736K101
26
10400
SH
Call
DFND
1
10400
0
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
41213
3334414
SH
DFND
1,2
3334414
0
0
RAYTHEON CO
COM NEW
755111507
70843
328249
SH
DFND
1
315363
0
12886
REINSURANCE GROUP AMER INC
COM NEW
759351604
7113
46191
SH
DFND
1,2
46191
0
0
RELIANCE STEEL & ALUMINUM CO
COM
759509102
13243
154459
SH
DFND
1,2
154459
0
0
RENAISSANCERE HOLDINGS LTD
COM
G7496G103
72789
525512
SH
DFND
1
506956
0
18556
ROYAL BK SCOTLAND GROUP PLC
SPONS ADR 2 ORD
780097689
22011
2974393
SH
DFND
1,2
2955389
0
19004
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
47159
719661
SH
DFND
1,2
717773
0
1888
SANFILIPPO JOHN B & SON INC
COM
800422107
6475
111883
SH
DFND
1,2
111883
0
0
SANOFI
SPONSORED ADR
80105N105
18113
451926
SH
DFND
1,2
448922
0
3004
SAP SE
SPON ADR
803054204
11465
109029
SH
DFND
1,2
108317
0
712
SCHLUMBERGER LTD
COM
806857108
28437
438974
SH
DFND
1
417115
0
21859
SK TELECOM LTD
SPONSORED ADR
78440P108
44051
1822567
SH
DFND
1,2
1817762
0
4805
SNAP ON INC
COM
833034101
6458
43774
SH
DFND
1,2
43774
0
0
SOUTHWEST AIRLS CO
COM
844741108
63173
1102872
SH
DFND
1
1065366
0
37506
SRC ENERGY INC
COM
78470V108
41870
4440102
SH
DFND
1
4440102
0
0
STATE STR CORP
COM
857477103
1366
13700
SH
DFND
1
13700
0
0
STONERIDGE INC
COM
86183P102
37199
1347783
SH
DFND
1
1347783
0
0
SUNCOR ENERGY INC NEW
COM
867224107
51017
1477039
SH
DFND
1
1415710
0
61329
SYNCHRONY FINL
COM
87165B103
78376
2337481
SH
DFND
1
2251613
0
85868
TARGET CORP
COM
87612E106
45366
655772
SH
DFND
1
633420
0
22352
TAYLOR MORRISON HOME CORP
CL A
87724P106
43361
1862572
SH
DFND
1,2
1862494
0
78
TELEFONICA BRASIL SA
SPONSORED ADR
87936R106
1115
72560
SH
DFND
1
72560
0
0
TENARIS S A
SPONSORED ADR
88031M109
23588
680350
SH
DFND
1,2
675858
0
4492
TERADYNE INC
COM
880770102
44983
984097
SH
DFND
1,2
961551
0
22546
TEREX CORP NEW
COM
880779103
7910
211451
SH
DFND
1
211451
0
0
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADR
881624209
3049
178402
SH
DFND
1
178402
0
0
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
24977
277830
SH
DFND
1,2
277830
0
0
TIME WARNER INC
COM NEW
887317303
18679
197497
SH
DFND
1
186431
0
11066
TOTAL S A
SPONSORED ADR
89151E109
4969
80255
SH
DFND
1
80255
0
0
TOYOTA MOTOR CORP
SP ADR REP2COM
892331307
51044
391531
SH
DFND
1,2
390466
0
1065
TRI POINTE GROUP INC
COM
87265H109
66080
4021924
SH
DFND
1,2
4021783
0
141
TRINITY INDS INC
COM
896522109
67707
2075004
SH
DFND
1
1988739
0
86265
TURKCELL ILETISIM HIZMETLERI
SPON ADR NEW
900111204
12203
1276515
SH
DFND
1
1267863
0
8652
UBS GROUP AG
SHS
H42097107
44758
2637713
SH
DFND
1,2
2629904
0
7809
UNION PAC CORP
COM
907818108
65681
488590
SH
DFND
1
471487
0
17103
UNITEDHEALTH GROUP INC
COM
91324P102
276
1288
SH
DFND
1
1288
0
0
UNUM GROUP
COM
91529Y106
67876
1425664
SH
DFND
1
1386455
0
39209
VERIFONE SYS INC
COM
92342Y109
4371
284186
SH
DFND
1
284186
0
0
VIACOM INC NEW
CL B
92553P201
55115
1774484
SH
DFND
1
1712881
0
61603
VIASAT INC
COM
92552V100
33762
513729
SH
DFND
1,2
498653
0
15076
WALMART INC
COM
931142103
5066
56942
SH
DFND
1
56942
0
0
WELLS FARGO CO NEW
COM
949746101
38718
738752
SH
DFND
1
710681
0
28071
WELLS FARGO CO NEW
PERP PFD CNV A
949746804
16912
13110
PRN
DFND
1
13110
0
0
WESTERN ALLIANCE BANCORP
COM
957638109
86698
1491963
SH
DFND
1,2
1491923
0
40
XL GROUP LTD
COM
G98294104
5198
94067
SH
DFND
1,2
94067
0
0