0000950123-18-008763.txt : 20180814
0000950123-18-008763.hdr.sgml : 20180814
20180814133155
ACCESSION NUMBER: 0000950123-18-008763
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180630
FILED AS OF DATE: 20180814
DATE AS OF CHANGE: 20180814
EFFECTIVENESS DATE: 20180814
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: 181016050
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
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0000763848
XXXXXXXX
06-30-2018
06-30-2018
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
08-14-2018
2
161
5550711
false
1
028-11405
Nuveen Investments, Inc.
2
028-16475
SEI Investments Management Corporation
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
ADVANCE AUTO PARTS INC
COM
00751Y106
43388
319733
SH
DFND
1
305506
0
14227
ALBANY INTL CORP
CL A
012348108
52014
864734
SH
DFND
1,2
864734
0
0
ALLERGAN PLC
SHS
G0177J108
62216
373179
SH
DFND
1
356360
0
16819
ALPHABET INC
CAP STK CL A
02079K305
38893
34443
SH
DFND
1
32647
0
1796
AMERICAN INTL GROUP INC
COM NEW
026874784
41569
784030
SH
DFND
1
742939
0
41091
AMERIS BANCORP
COM
03076K108
49805
933552
SH
DFND
1,2
933552
0
0
AON PLC
SHS CL A
G0408V102
40636
296247
SH
DFND
1
283525
0
12722
APARTMENT INVT & MGMT CO
CL A
03748R101
9070
214429
SH
DFND
1
214429
0
0
APOGEE ENTERPRISES INC
COM
037598109
30007
622934
SH
DFND
1,2
622934
0
0
APPLE INC
COM
037833100
523
2823
SH
DFND
1
2823
0
0
ARES CAP CORP
COM
04010L103
16604
1009344
SH
DFND
1
1009344
0
0
ARRIS INTL INC
SHS
G0551A103
52323
2140450
SH
DFND
1,2
2062307
0
78143
ASPEN INSURANCE HOLDINGS LTD
SHS
G05384105
52499
1289906
SH
DFND
1
1289906
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
21301
606687
SH
DFND
1
606687
0
0
ASTRONICS CORP
COM
046433108
28171
783177
SH
DFND
1,2
783177
0
0
AT&T INC
COM
00206R102
8512
265084
SH
DFND
1
250209
0
14875
AXIS CAPITAL HOLDINGS LTD
SHS
G0692U109
56489
1015621
SH
DFND
1,2
1013647
0
1974
B RILEY FINL INC
COM
05580M108
21098
935606
SH
DFND
1
935606
0
0
BANK AMER CORP
COM
060505104
47372
1680448
SH
DFND
1
1597604
0
82844
BANK AMER CORP
7.25%CNV PFD L
060505682
6625
5300
PRN
DFND
1
5300
0
0
BANK OF NT BUTTERFIELD&SON L
SHS NEW
G0772R208
101038
2209940
SH
DFND
1,2
2209897
0
43
BANKUNITED INC
COM
06652K103
19721
482759
SH
DFND
1
482759
0
0
BANNER CORP
COM NEW
06652V208
19158
318604
SH
DFND
1
318604
0
0
BEMIS INC
COM
081437105
30213
715784
SH
DFND
1,2
715784
0
0
BIO RAD LABS INC
CL A
090572207
50137
173760
SH
DFND
1,2
170347
0
3413
BMC STK HLDGS INC
COM
05591B109
44152
2117614
SH
DFND
1,2
2117614
0
0
BOISE CASCADE CO DEL
COM
09739D100
29118
651406
SH
DFND
1,2
651406
0
0
BRANDYWINE RLTY TR
SH BEN INT NEW
105368203
30805
1824947
SH
DFND
1,2
1824947
0
0
CANADIAN NAT RES LTD
COM
136385101
33620
932090
SH
DFND
1,2
929914
0
2176
CARRIZO OIL & GAS INC
COM
144577103
112893
4053623
SH
DFND
1,2
4053623
0
0
CBS CORP NEW
CL B
124857202
32874
584736
SH
DFND
1
558544
0
26192
CHENIERE ENERGY INC
COM NEW
16411R208
44494
682526
SH
DFND
1
653224
0
29302
CHEVRON CORP NEW
COM
166764100
53069
419748
SH
DFND
1
405010
0
14738
CHINA PETE & CHEM CORP
SPON ADR H SHS
16941R108
8252
91851
SH
DFND
1
91280
0
571
CISCO SYS INC
COM
17275R102
534
12416
SH
DFND
1
12416
0
0
CIT GROUP INC
COM NEW
125581801
126492
2509263
SH
DFND
1,2
2427697
0
81566
CITIGROUP INC
COM NEW
172967424
110268
1647757
SH
DFND
1
1588528
0
59229
CNA FINL CORP
COM
126117100
13756
301128
SH
DFND
1
301128
0
0
COCA COLA CO
COM
191216100
43387
989208
SH
DFND
1
931705
0
57503
COHERENT INC
COM
192479103
57155
365397
SH
DFND
1,2
365386
0
11
COLONY CAP INC NEW
CL A COM
19626G108
47375
7592122
SH
DFND
1
7283864
0
308258
CRAY INC
COM NEW
225223304
12691
515881
SH
DFND
1
515881
0
0
CREDIT SUISSE GROUP
SPONSORED ADR
225401108
2775
186509
SH
DFND
1
186425
0
84
CYPRESS SEMICONDUCTOR CORP
COM
232806109
31077
1994674
SH
DFND
1,2
1994534
0
140
DELTA AIR LINES INC DEL
COM NEW
247361702
49332
995796
SH
DFND
1
966875
0
28921
DELTA AIR LINES INC DEL
COM NEW
247361702
5717
115400
SH
Call
DFND
1
115400
0
0
DISCOVER FINL SVCS
COM
254709108
66073
938397
SH
DFND
1
896381
0
42016
DISH NETWORK CORP
NOTE 3.375% 8/1
25470MAB5
294
3025
PRN
DFND
1
3025
0
0
DOMINION ENERGY MIDSTRM PRTN
COM UT REP LTD
257454108
10939
804320
SH
DFND
1
804320
0
0
DOWDUPONT INC
COM
26078J100
69975
1061510
SH
DFND
1
1028069
0
33441
EATON CORP PLC
SHS
G29183103
9820
131394
SH
DFND
1
131394
0
0
EMBRAER S A
SP ADR REP 4 COM
29082A107
6690
268690
SH
DFND
1,2
267041
0
1649
ENERSYS
COM
29275Y102
48805
653876
SH
DFND
1,2
653876
0
0
ENTEGRIS INC
COM
29362U104
37129
1095243
SH
DFND
1
1095243
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
24064
869664
SH
DFND
1
869664
0
0
EQT CORP
COM
26884L109
132858
2407715
SH
DFND
1,2
2318918
0
88797
EURONET WORLDWIDE INC
COM
298736109
24128
288027
SH
DFND
1,2
288027
0
0
EVERGY INC
COM
30034W106
12876
229309
SH
DFND
1
229309
0
0
EXXON MOBIL CORP
COM
30231G102
483
5835
SH
DFND
1
5835
0
0
FIRST DATA CORP NEW
COM CL A
32008D106
67450
3222648
SH
DFND
1
3083944
0
138704
FIRST HORIZON NATL CORP
COM
320517105
55647
3119240
SH
DFND
1,2
3031172
0
88068
FIRSTENERGY CORP
COM
337932107
99955
2783493
SH
DFND
1
2699649
0
83844
FLEX LTD
ORD
Y2573F102
29656
2101795
SH
DFND
1,2
2096891
0
4904
FOOT LOCKER INC
COM
344849104
38192
725396
SH
DFND
1
699122
0
26274
FREDS INC
CL A
356108100
6317
2770654
SH
DFND
1,2
2770654
0
0
GENERAL MTRS CO
COM
37045V100
63659
1615707
SH
DFND
1
1544019
0
71688
GILEAD SCIENCES INC
COM
375558103
51087
721158
SH
DFND
1
697756
0
23402
GLATFELTER
COM
377316104
59706
3047786
SH
DFND
1,2
3047786
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
86666
2149989
SH
DFND
1,2
2092151
0
57838
GLOBUS MED INC
CL A
379577208
29073
576152
SH
DFND
1,2
576152
0
0
GP STRATEGIES CORP
COM
36225V104
14550
826697
SH
DFND
1
826697
0
0
HAVERTY FURNITURE INC
COM
419596101
11173
517260
SH
DFND
1,2
517260
0
0
HESS CORP
COM
42809H107
90396
1351416
SH
DFND
1
1290663
0
60753
HILLTOP HOLDINGS INC
COM
432748101
25457
1153448
SH
DFND
1
1153448
0
0
HNI CORP
COM
404251100
10029
269595
SH
DFND
1
269595
0
0
HOMESTREET INC
COM
43785V102
47935
1778662
SH
DFND
1
1778662
0
0
HONEYWELL INTL INC
COM
438516106
221
1533
SH
DFND
1
1533
0
0
HOOKER FURNITURE CORP
COM
439038100
65263
1391542
SH
DFND
1
1391542
0
0
HOPE BANCORP INC
COM
43940T109
20487
1149006
SH
DFND
1
1149006
0
0
HSBC HLDGS PLC
SPON ADR NEW
404280406
17778
377130
SH
DFND
1
374665
0
2465
ING GROEP N V
SPONSORED ADR
456837103
44616
3115640
SH
DFND
1,2
3028770
0
86870
INGERSOLL-RAND PLC
SHS
G47791101
42010
468177
SH
DFND
1
447012
0
21165
INNOSPEC INC
COM
45768S105
16297
212897
SH
DFND
1
212897
0
0
INTEGRATED DEVICE TECHNOLOGY
COM
458118106
34124
1070394
SH
DFND
1
1070394
0
0
ISHARES TR
RUS 2000 VAL ETF
464287630
40050
303590
SH
DFND
1
303590
0
0
ISHARES TR
RUS 1000 VAL ETF
464287598
3869
31878
SH
DFND
1
31878
0
0
ISHARES TR
MSCI EAFE ETF
464287465
3123
46637
SH
DFND
1
46637
0
0
JACOBS ENGR GROUP INC DEL
COM
469814107
3879
61099
SH
DFND
1
61099
0
0
JPMORGAN CHASE & CO
COM
46625H100
88179
846251
SH
DFND
1
812672
0
33579
KAISER ALUMINUM CORP
COM PAR $0.01
483007704
38950
374124
SH
DFND
1
374124
0
0
LANDEC CORP
COM
514766104
51498
3456270
SH
DFND
1
3456270
0
0
LATTICE SEMICONDUCTOR CORP
COM
518415104
31345
4778216
SH
DFND
1,2
4778216
0
0
LIBERTY MEDIA CORP
DEB 3.750% 2/1
530715AL5
739
10650
PRN
DFND
1
10650
0
0
LIVANOVA PLC
SHS
G5509L101
38856
389262
SH
DFND
1,2
389223
0
39
LOEWS CORP
COM
540424108
30051
622427
SH
DFND
1
599653
0
22774
LOUISIANA PAC CORP
COM
546347105
11590
425802
SH
DFND
1
425802
0
0
LUMENTUM HLDGS INC
COM
55024U109
1952
33710
SH
DFND
1,2
33710
0
0
LUXOFT HLDG INC
ORD SHS CL A
G57279104
20451
554977
SH
DFND
1,2
553601
0
1376
MATERION CORP
COM
576690101
15122
279261
SH
DFND
1,2
279261
0
0
MCDERMOTT INTL INC
COM
580037703
59587
3032395
SH
DFND
1,2
2972884
0
59511
MEDEQUITIES RLTY TR INC
COM
58409L306
6821
618982
SH
DFND
1
618982
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
69782
827786
SH
DFND
1,2
827753
0
33
METHODE ELECTRS INC
COM
591520200
27908
692513
SH
DFND
1
692513
0
0
MGM GROWTH PPTYS LLC
CL A COM
55303A105
13061
428800
SH
DFND
1
428800
0
0
MICRON TECHNOLOGY INC
COM
595112103
615
11725
SH
DFND
1
11725
0
0
MICROSOFT CORP
COM
594918104
13352
135400
SH
DFND
1
135400
0
0
MITEL NETWORKS CORP
COM
60671Q104
65514
5972116
SH
DFND
1,2
5972116
0
0
NEENAH INC
COM
640079109
20311
239376
SH
DFND
1
239376
0
0
NEWFIELD EXPL CO
COM
651290108
49140
1624476
SH
DFND
1
1567299
0
57177
NEXTERA ENERGY INC
UNIT 08/31/2018
65339F846
22845
306400
PRN
DFND
1
306400
0
0
NORDSTROM INC
COM
655664100
293
5657
SH
DFND
1
5657
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
21305
254598
SH
DFND
1
239302
0
15296
ORACLE CORP
COM
68389X105
107626
2442711
SH
DFND
1
2367396
0
75315
PACWEST BANCORP DEL
COM
695263103
38579
780628
SH
DFND
1,2
780628
0
0
PDC ENERGY INC
COM
69327R101
90549
1497922
SH
DFND
1,2
1497922
0
0
PFIZER INC
COM
717081103
24639
679136
SH
DFND
1
648574
0
30562
POSCO
SPONSORED ADR
693483109
14104
190292
SH
DFND
1
189082
0
1210
POTLATCHDELTIC CORPORATION
COM
737630103
6270
123295
SH
DFND
1,2
123295
0
0
QORVO INC
COM
74736K101
6186
77164
SH
DFND
1,2
77164
0
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
26278
1989219
SH
DFND
1,2
1989219
0
0
RAYTHEON CO
COM NEW
755111507
31614
163648
SH
DFND
1
154311
0
9337
REINSURANCE GROUP AMER INC
COM NEW
759351604
4638
34748
SH
DFND
1,2
34748
0
0
RELIANCE STEEL & ALUMINUM CO
COM
759509102
9930
113429
SH
DFND
1,2
113429
0
0
RENAISSANCERE HOLDINGS LTD
COM
G7496G103
54246
450848
SH
DFND
1
433096
0
17752
ROYAL BK SCOTLAND GROUP PLC
SPONS ADR 2 ORD
780097689
18291
2689820
SH
DFND
1,2
2673629
0
16191
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
49787
685302
SH
DFND
1,2
683671
0
1631
SANOFI
SPONSORED ADR
80105N105
16449
411129
SH
DFND
1,2
408535
0
2594
SAP SE
SPON ADR
803054204
11479
99244
SH
DFND
1,2
98631
0
613
SCHLUMBERGER LTD
COM
806857108
23977
357708
SH
DFND
1
336867
0
20841
SK TELECOM LTD
SPONSORED ADR
78440P108
46441
1991458
SH
DFND
1,2
1986747
0
4711
SNAP ON INC
COM
833034101
6123
38097
SH
DFND
1,2
38097
0
0
SOUTHWEST AIRLS CO
COM
844741108
49573
974310
SH
DFND
1
930169
0
44141
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
40011
112700
SH
DFND
1
112700
0
0
SRC ENERGY INC
COM
78470V108
51306
4655687
SH
DFND
1
4655687
0
0
STATE STR CORP
COM
857477103
1229
13200
SH
DFND
1
13200
0
0
STONERIDGE INC
COM
86183P102
27133
772128
SH
DFND
1
772128
0
0
SUNCOR ENERGY INC NEW
COM
867224107
50924
1251807
SH
DFND
1
1193772
0
58035
SYNCHRONY FINL
COM
87165B103
67237
2014282
SH
DFND
1
1932198
0
82084
TARGET CORP
COM
87612E106
26466
347682
SH
DFND
1
332493
0
15189
TAYLOR MORRISON HOME CORP
CL A
87724P106
58131
2797473
SH
DFND
1,2
2797395
0
78
TELEFONICA BRASIL SA
SPONSORED ADR
87936R106
883
74405
SH
DFND
1
74405
0
0
TENARIS S A
SPONSORED ADR
88031M109
20046
550865
SH
DFND
1,2
547493
0
3372
TERADYNE INC
COM
880770102
41761
1096956
SH
DFND
1,2
1055565
0
41391
TEREX CORP NEW
COM
880779103
9011
213577
SH
DFND
1
213577
0
0
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
23802
260130
SH
DFND
1,2
260130
0
0
TOTAL S A
SPONSORED ADR
89151E109
4860
80255
SH
DFND
1
80255
0
0
TOYOTA MOTOR CORP
SP ADR REP2COM
892331307
48054
373059
SH
DFND
1,2
372138
0
921
TRI POINTE GROUP INC
COM
87265H109
61584
3764328
SH
DFND
1,2
3764187
0
141
TRINITY INDS INC
COM
896522109
61332
1790188
SH
DFND
1
1708114
0
82074
TURKCELL ILETISIM HIZMETLERI
SPON ADR NEW
900111204
7617
1164660
SH
DFND
1
1157177
0
7483
UBS GROUP AG
SHS
H42097107
38983
2541250
SH
DFND
1,2
2534520
0
6730
UNION PAC CORP
COM
907818108
8990
63453
SH
DFND
1
63405
0
48
UNION PAC CORP
COM
907818108
737
5200
SH
Call
DFND
1
5200
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
303
1233
SH
DFND
1
1233
0
0
UNUM GROUP
COM
91529Y106
48470
1310363
SH
DFND
1
1252429
0
57934
VIACOM INC NEW
CL B
92553P201
48877
1620574
SH
DFND
1
1561792
0
58782
VIASAT INC
COM
92552V100
31127
473637
SH
DFND
1,2
459203
0
14434
WELLS FARGO CO NEW
COM
949746101
29876
538887
SH
DFND
1
512002
0
26885
WELLS FARGO CO NEW
PERP PFD CNV A
949746804
15215
12085
PRN
DFND
1
12085
0
0
WESTERN ALLIANCE BANCORP
COM
957638109
78689
1390011
SH
DFND
1,2
1389971
0
40