0000950123-18-011855.txt : 20181114
0000950123-18-011855.hdr.sgml : 20181114
20181114153157
ACCESSION NUMBER: 0000950123-18-011855
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181114
DATE AS OF CHANGE: 20181114
EFFECTIVENESS DATE: 20181114
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: 181183192
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
09-30-2018
09-30-2018
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
11-14-2018
2
155
5045196
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
30914
183654
SH
DFND
1
175730
0
7924
ALAMO GROUP INC
COM
011311107
27166
296542
SH
DFND
1
296542
0
0
ALBANY INTL CORP
CL A
012348108
45440
571576
SH
DFND
1
571576
0
0
ALLERGAN PLC
SHS
G0177J108
67487
354302
SH
DFND
1
338272
0
16030
ALPHABET INC
CAP STK CL A
02079K305
40259
33352
SH
DFND
1
31643
0
1709
AMERICAN INTL GROUP INC
COM NEW
026874784
40694
764349
SH
DFND
1
724632
0
39717
AMERIS BANCORP
COM
03076K108
60840
1403449
SH
DFND
1
1403449
0
0
AON PLC
SHS CL A
G0408V102
44877
288230
SH
DFND
1
275880
0
12350
APARTMENT INVT & MGMT CO
CL A
03748R101
9392
218429
SH
DFND
1
218429
0
0
APOGEE ENTERPRISES INC
COM
037598109
30133
729269
SH
DFND
1
729269
0
0
ARES CAP CORP
COM
04010L103
9901
574328
SH
DFND
1
574328
0
0
ARRIS INTL INC
SHS
G0551A103
51022
2042502
SH
DFND
1
1966246
0
76256
ASPEN INSURANCE HOLDINGS LTD
SHS
G05384105
64231
1531126
SH
DFND
1
1531126
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
22616
571541
SH
DFND
1
571541
0
0
ASTRONICS CORP
COM
046433108
31533
724907
SH
DFND
1
724907
0
0
AXIS CAPITAL HOLDINGS LTD
SHS
G0692U109
54053
960264
SH
DFND
1,2
958282
0
1982
B RILEY FINL INC
COM
05580M108
18380
962291
SH
DFND
1
962291
0
0
BANK AMER CORP
COM
060505104
47940
1627297
SH
DFND
1
1547086
0
80211
BANK OF NT BUTTERFIELD&SON L
SHS NEW
G0772R208
79143
1928916
SH
DFND
1
1928879
0
37
BANKUNITED INC
COM
06652K103
16724
505854
SH
DFND
1
505854
0
0
BANNER CORP
COM NEW
06652V208
15245
257950
SH
DFND
1
257950
0
0
BEMIS INC
COM
081437105
50301
1034992
SH
DFND
1
1034992
0
0
BIO RAD LABS INC
CL A
090572207
47165
150691
SH
DFND
1
147441
0
3250
BMC STK HLDGS INC
COM
05591B109
36376
2031027
SH
DFND
1
2031027
0
0
BOISE CASCADE CO DEL
COM
09739D100
15236
475370
SH
DFND
1
475370
0
0
BORGWARNER INC
COM
099724106
5833
136358
SH
DFND
1
136358
0
0
BRANDYWINE RLTY TR
SH BEN INT NEW
105368203
24891
1751652
SH
DFND
1
1751652
0
0
BROADCOM INC
COM
59027A292
21294
92462
SH
DFND
1
92462
0
0
BROADCOM INC
COM
11135F101
12578
54714
SH
DFND
1
51582
0
3132
CANADIAN NAT RES LTD
COM
136385101
26519
917293
SH
DFND
1,2
915117
0
2176
CARRIZO OIL & GAS INC
COM
144577103
71863
3859441
SH
DFND
1
3859441
0
0
CBS CORP NEW
CL B
124857202
32939
563148
SH
DFND
1
537901
0
25247
CENTENNIAL RESOURCE DEV INC
CL A
15136A102
25250
1294193
SH
DFND
1
1294193
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
41574
665827
SH
DFND
1
637352
0
28475
CHEVRON CORP NEW
COM
166764100
44660
401728
SH
DFND
1
387355
0
14373
CHINA PETE & CHEM CORP
SPON ADR H SHS
16941R108
7396
88806
SH
DFND
1
88233
0
573
CIT GROUP INC
COM NEW
125581801
111680
2347197
SH
DFND
1
2268716
0
78481
CITIGROUP INC
COM NEW
172967424
106121
1612042
SH
DFND
1
1554527
0
57515
CNA FINL CORP
COM
126117100
13561
309833
SH
DFND
1
309833
0
0
COCA COLA CO
COM
191216100
45427
951560
SH
DFND
1
896405
0
55155
COHERENT INC
COM
192479103
46770
348590
SH
DFND
1
348579
0
11
COLONY CAP INC NEW
CL A COM
19626G108
44375
7546823
SH
DFND
1
7246397
0
300426
CRAY INC
COM NEW
225223304
8814
363631
SH
DFND
1
363631
0
0
CREDIT SUISSE GROUP
SPONSORED ADR
225401108
2362
182847
SH
DFND
1
182763
0
84
CSX CORP
COM
126408103
205
2765
SH
DFND
1
2765
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
26099
1912016
SH
DFND
1
1911876
0
140
DELTA AIR LINES INC DEL
COM NEW
247361702
69236
1235480
SH
DFND
1
1199380
0
36100
DELTA AIR LINES INC DEL
COM NEW
247361702
6467
115400
SH
Call
DFND
1
115400
0
0
DISCOVER FINL SVCS
COM
254709108
63556
906521
SH
DFND
1
866053
0
40468
DISH NETWORK CORP
NOTE 3.375% 8/1
25470MAB5
272
3025
PRN
DFND
1
3025000
0
0
DOWDUPONT INC
COM
26078J100
57442
985786
SH
DFND
1
953314
0
32472
EATON CORP PLC
SHS
G29183103
7921
107407
SH
DFND
1
107407
0
0
ENERSYS
COM
29275Y102
49940
614722
SH
DFND
1
614722
0
0
ENTEGRIS INC
COM
29362U104
26712
948918
SH
DFND
1
948918
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
26007
962855
SH
DFND
1
962855
0
0
EQT CORP
COM
26884L109
75009
1695894
SH
DFND
1
1605624
0
90270
EQT CORP
COM
59027A318
17901
1119005
SH
DFND
1
1119005
0
0
EURONET WORLDWIDE INC
COM
298736109
30693
275272
SH
DFND
1
275272
0
0
EVERGY INC
COM
30034W106
13579
242009
SH
DFND
1
242009
0
0
EXXON MOBIL CORP
COM
30231G102
471
5835
SH
DFND
1
5835
0
0
FIRST DATA CORP NEW
COM CL A
32008D106
58201
3071290
SH
DFND
1
2940536
0
130754
FIRST HORIZON NATL CORP
COM
320517105
76101
4640319
SH
DFND
1
4554586
0
85733
FIRSTENERGY CORP
COM
337932107
101563
2732392
SH
DFND
1
2651362
0
81030
FLEX LTD
ORD
Y2573F102
17792
2071202
SH
DFND
1,2
2066276
0
4926
FOOT LOCKER INC
COM
344849104
42410
884645
SH
DFND
1
851045
0
33600
FREDS INC
CL A
356108100
7555
2650895
SH
DFND
1
2650895
0
0
GENERAL MTRS CO
COM
37045V100
66260
1816843
SH
DFND
1
1736013
0
80830
GILEAD SCIENCES INC
COM
375558103
49748
707557
SH
DFND
1
684951
0
22606
GLATFELTER
COM
377316104
61388
3356379
SH
DFND
1
3356379
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
79381
2000017
SH
DFND
1,2
1943966
0
56051
GLOBUS MED INC
CL A
379577208
15708
290249
SH
DFND
1
290249
0
0
GP STRATEGIES CORP
COM
36225V104
16913
1151331
SH
DFND
1
1151331
0
0
HAVERTY FURNITURE INC
COM
419596101
7777
380865
SH
DFND
1
380865
0
0
HESS CORP
COM
42809H107
65561
1133494
SH
DFND
1
1083954
0
49540
HILLTOP HOLDINGS INC
COM
432748101
22907
1147648
SH
DFND
1
1147648
0
0
HNI CORP
COM
404251100
16104
420044
SH
DFND
1
420044
0
0
HOMESTREET INC
COM
43785V102
47121
1763492
SH
DFND
1
1763492
0
0
HOOKER FURNITURE CORP
COM
439038100
43161
1454712
SH
DFND
1
1454712
0
0
HOPE BANCORP INC
COM
43940T109
16840
1147137
SH
DFND
1
1147137
0
0
HSBC HLDGS PLC
SPON ADR NEW
404280406
15087
363012
SH
DFND
1
360535
0
2477
ING GROEP N V
SPONSORED ADR
456837103
57424
4503821
SH
DFND
1,2
4386631
0
117190
INGERSOLL-RAND PLC
SHS
G47791101
44447
451466
SH
DFND
1
431311
0
20155
INNOSPEC INC
COM
45768S105
12641
186506
SH
DFND
1
186506
0
0
INTEGRATED DEVICE TECHNOLOGY
COM
458118106
35686
765129
SH
DFND
1
765129
0
0
ISHARES TR
MSCI EAFE ETF
464287465
3863
61062
SH
DFND
1
61062
0
0
ISHARES TR
RUS 1000 VAL ETF
464287598
4094
33812
SH
DFND
1
33343
0
469
JACOBS ENGR GROUP INC DEL
COM
469814107
3486
46149
SH
DFND
1
46149
0
0
JPMORGAN CHASE & CO
COM
46625H100
88895
815698
SH
DFND
1
783366
0
32332
KAISER ALUMINUM CORP
COM PAR $0.01
483007704
24527
250944
SH
DFND
1
250944
0
0
KNIGHT SWIFT TRANSN HLDGS IN
CL A
499049104
46045
1368341
SH
DFND
1
1368341
0
0
LANDEC CORP
COM
514766104
47617
3496105
SH
DFND
1
3496105
0
0
LATTICE SEMICONDUCTOR CORP
COM
518415104
13445
2168581
SH
DFND
1
2168581
0
0
LIBERTY MEDIA CORP
DEB 3.750% 2/1
530715AL5
735
10650
PRN
DFND
1
10650000
0
0
LIVANOVA PLC
SHS
G5509L101
36635
320323
SH
DFND
1
320301
0
22
LOEWS CORP
COM
540424108
28771
610070
SH
DFND
1
587693
0
22377
LOUISIANA PAC CORP
COM
546347105
9766
421317
SH
DFND
1
421317
0
0
LUXOFT HLDG INC
ORD SHS CL A
G57279104
18091
423489
SH
DFND
1,2
422478
0
1011
MATERION CORP
COM
576690101
15448
267126
SH
DFND
1
267126
0
0
MCDERMOTT INTL INC
COM
580037703
33460
3810918
SH
DFND
1
3753900
0
57018
MEDEQUITIES RLTY TR INC
COM
58409L306
5071
608043
SH
DFND
1
608043
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
66845
767446
SH
DFND
1
767413
0
33
METHODE ELECTRS INC
COM
591520200
21139
699258
SH
DFND
1
699258
0
0
MGM GROWTH PPTYS LLC
CL A COM
55303A105
13202
467500
SH
DFND
1
467500
0
0
MICRON TECHNOLOGY INC
COM
595112103
470
11725
SH
DFND
1
11725
0
0
MICROSOFT CORP
COM
594918104
13076
123455
SH
DFND
1
123455
0
0
MITEL NETWORKS CORP
COM
60671Q104
59268
5397790
SH
DFND
1
5397790
0
0
NEENAH INC
COM
640079109
20126
248381
SH
DFND
1
248381
0
0
NEWFIELD EXPL CO
COM
651290108
35310
1505123
SH
DFND
1
1450374
0
54749
NEXTERA ENERGY INC
UNIT 09/01/2019
65339F820
26024
452001
PRN
DFND
1
452001
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
16731
244782
SH
DFND
1
229964
0
14818
ORACLE CORP
COM
68389X105
101039
2079414
SH
DFND
1
2014865
0
64549
PACWEST BANCORP DEL
COM
695263103
30971
748816
SH
DFND
1
748816
0
0
PDC ENERGY INC
COM
69327R101
63206
1438782
SH
DFND
1
1438782
0
0
POSCO
SPONSORED ADR
693483109
10791
183932
SH
DFND
1
182805
0
1127
POTLATCHDELTIC CORPORATION
COM
737630103
4750
127906
SH
DFND
1
127906
0
0
QORVO INC
COM
74736K101
2838
36162
SH
DFND
1
36162
0
0
QUANTA SVCS INC
COM
74762E102
39460
1182132
SH
DFND
1
1182132
0
0
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
38076
2882349
SH
DFND
1
2882349
0
0
RAYTHEON CO
COM NEW
755111507
28608
158203
SH
DFND
1
149159
0
9044
REINSURANCE GROUP AMER INC
COM NEW
759351604
3705
25789
SH
DFND
1
25789
0
0
RELIANCE STEEL & ALUMINUM CO
COM
759509102
6849
84579
SH
DFND
1
84579
0
0
RENAISSANCERE HOLDINGS LTD
COM
G7496G103
54726
439987
SH
DFND
1
422833
0
17154
ROYAL BK SCOTLAND GROUP PLC
SPONS ADR 2 ORD
780097689
16679
2614233
SH
DFND
1,2
2597988
0
16245
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
44016
674678
SH
DFND
1,2
673047
0
1631
SANOFI
SPONSORED ADR
80105N105
6591
146050
SH
DFND
1,2
143451
0
2599
SAP SE
SPON ADR
803054204
10173
95365
SH
DFND
1,2
94752
0
613
SCHLUMBERGER LTD
COM
806857108
17204
333018
SH
DFND
1
312788
0
20230
SEMPRA ENERGY
6.75% CNV PFD B
816851505
28370
285500
PRN
DFND
1
285500
0
0
SK TELECOM LTD
SPONSORED ADR
78440P108
44639
1743724
SH
DFND
1,2
1739468
0
4256
SNAP ON INC
COM
833034101
2494
16014
SH
DFND
1
16014
0
0
SOUTHWEST AIRLS CO
COM
844741108
38920
763888
SH
DFND
1
730446
0
33442
STATE STR CORP
COM
857477103
923
13200
SH
DFND
1
13200
0
0
STONERIDGE INC
COM
86183P102
19624
769278
SH
DFND
1
769278
0
0
SUNCOR ENERGY INC NEW
COM
867224107
49118
1459232
SH
DFND
1
1403471
0
55761
SYMANTEC CORP
COM
871503108
17188
917676
SH
DFND
1
864116
0
53560
SYNCHRONY FINL
COM
87165B103
59102
2007527
SH
DFND
1
1927468
0
80059
TAYLOR MORRISON HOME CORP
CL A
87724P106
46650
2870778
SH
DFND
1
2870700
0
78
TELEFONICA BRASIL SA
SPONSORED ADR
87936R106
976
80428
SH
DFND
1
80428
0
0
TENARIS S A
SPONSORED ADR
88031M109
16515
535496
SH
DFND
1,2
532103
0
3393
TERADYNE INC
COM
880770102
36787
1016486
SH
DFND
1
976339
0
40147
TEREX CORP NEW
COM
880779103
7668
213004
SH
DFND
1
213004
0
0
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
22941
346180
SH
DFND
1
346180
0
0
TOTAL S A
SPONSORED ADR
89151E109
4672
72555
SH
DFND
1
72555
0
0
TOYOTA MOTOR CORP
SP ADR REP2COM
892331307
43202
367049
SH
DFND
1,2
366125
0
924
TRI POINTE GROUP INC
COM
87265H109
44515
3607346
SH
DFND
1
3607205
0
141
TRINITY INDS INC
COM
896522109
39361
1732454
SH
DFND
1
1653622
0
78832
TURKCELL ILETISIM HIZMETLERI
SPON ADR NEW
900111204
6576
1210970
SH
DFND
1
1203247
0
7723
UBS GROUP AG
SHS
H42097107
36637
2581916
SH
DFND
1,2
2575140
0
6776
UNUM GROUP
COM
91529Y106
47774
1292936
SH
DFND
1
1236244
0
56692
VIACOM INC NEW
CL B
92553P201
51243
1563228
SH
DFND
1
1506204
0
57024
VIASAT INC
COM
92552V100
31579
446089
SH
DFND
1
431977
0
14112
VISTRA ENERGY CORP
UNIT 02/02/2024
92840M300
12768
138000
PRN
DFND
1
138000
0
0
WELLS FARGO CO NEW
COM
949746101
24869
464313
SH
DFND
1
438327
0
25986
WELLS FARGO CO NEW
PERP PFD CNV A
949746804
13769
10884
PRN
DFND
1
10884
0
0
WESTERN ALLIANCE BANCORP
COM
957638109
64234
1330163
SH
DFND
1
1330123
0
40