0000950123-20-001932.txt : 20200213
0000950123-20-001932.hdr.sgml : 20200213
20200213164941
ACCESSION NUMBER: 0000950123-20-001932
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20200213
DATE AS OF CHANGE: 20200213
EFFECTIVENESS DATE: 20200213
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-01474
FILM NUMBER: 20611545
BUSINESS ADDRESS:
STREET 1: 2029 CENTURY PARK EAST
STREET 2: 16TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: (310) 552-5114
MAIL ADDRESS:
STREET 1: 2029 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/A
1
primary_doc.xml
13F-HR/A
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0000763848
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09-30-2019
09-30-2019
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1
RESTATEMENT
NWQ Investment Management Company, LLC
2029 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
02-13-2020
2
155
4132799
false
1
028-11405
Nuveen Investments, Inc.
2
028-16475
SEI Investments Management Corporation
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
ACTIVISION BLIZZARD INC
COM
00507V109
22649
427992
SH
DFND
1
406318
0
21674
ADESTO TECHNOLOGIES CORP
COM
00687D101
11198
1308138
SH
DFND
1
1308138
0
0
ADVANCE AUTO PARTS INC
COM
00751Y106
33472
202367
SH
DFND
1
190930
0
11437
ALAMO GROUP INC
COM
011311107
24861
211185
SH
DFND
1
211185
0
0
ALBANY INTL CORP
CL A
012348108
16219
179891
SH
DFND
1
179891
0
0
ALLERGAN PLC
SHS
G0177J108
55442
329445
SH
DFND
1
314926
0
14519
ALPHABET INC
CAP STK CL A
02079K305
34860
28547
SH
DFND
1
27053
0
1494
AMERICAN INTL GROUP INC
COM NEW
026874784
40070
719382
SH
DFND
1
676299
0
43083
AMERIS BANCORP
COM
03076K108
52402
1302233
SH
DFND
1
1302233
0
0
AON PLC
SHS CL A
G0408V102
38915
201038
SH
DFND
1
192329
0
8709
APARTMENT INVT & MGMT CO
CL A
03748R754
5704
109399
SH
DFND
1
109399
0
0
APOGEE ENTERPRISES INC
COM
037598109
14337
367703
SH
DFND
1
367703
0
0
ARES CAP CORP
COM
04010L103
14490
777565
SH
DFND
1
777565
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
29662
665517
SH
DFND
1
665517
0
0
ASTRONICS CORP
COM
046433108
14257
485269
SH
DFND
1
485269
0
0
AXIS CAPITAL HOLDINGS LTD
SHS
G0692U109
47461
711348
SH
DFND
1,2
710632
0
716
B RILEY FINL INC
COM
05580M108
7632
323133
SH
DFND
1
323133
0
0
BANK AMER CORP
COM
060505104
56201
1926676
SH
DFND
1
1856428
0
70248
BANK AMER CORP
7.25%CNV PFD L
060505682
22
14777
PRN
DFND
1
14777
0
0
BANK OF NT BUTTERFIELD&SON L
SHS NEW
G0772R208
47305
1595994
SH
DFND
1
1595957
0
37
BIO RAD LABS INC
CL A
090572207
49134
147666
SH
DFND
1
143524
0
4142
BMC STK HLDGS INC
COM
05591B109
35859
1369699
SH
DFND
1
1369699
0
0
BOISE CASCADE CO DEL
COM
09739D100
15578
477989
SH
DFND
1
477989
0
0
BORGWARNER INC
COM
099724106
33436
911571
SH
DFND
1
877180
0
34391
BRANDYWINE RLTY TR
SH BEN INT NEW
105368203
32895
2171269
SH
DFND
1
2171269
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
61246
1207764
SH
DFND
1
1178477
0
29287
BROADCOM INC
COM
11135F101
32234
116759
SH
DFND
1
111730
0
5029
BROADCOM INC
COM
11135F200
21
20490
PRN
DFND
1
20490
0
0
CANADIAN NAT RES LTD
COM
136385101
30315
1138383
SH
DFND
1,2
1136966
0
1417
CBS CORP NEW
CL B
124857202
19259
477066
SH
DFND
1
455135
0
21931
CENTENNIAL RESOURCE DEV INC
CL A
15136A102
2783
616376
SH
DFND
1
616376
0
0
CENTERPOINT ENERGY INC
COM
15189T107
52774
1748650
SH
DFND
1
1669799
0
78851
CENTERPOINT ENERGY INC
DEP RP PFD CV B
15189T503
42
808520
PRN
DFND
1
808520
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
26344
417756
SH
DFND
1
400462
0
17294
CHEVRON CORP NEW
COM
166764100
48464
408638
SH
DFND
1
396117
0
12521
CHINA PETE & CHEM CORP
SPON ADR H SHS
16941R108
5178
88218
SH
DFND
1
87899
0
319
CIT GROUP INC
COM NEW
125581801
57470
1268369
SH
DFND
1
1217052
0
51317
CITIGROUP INC
COM NEW
172967424
103453
1497587
SH
DFND
1
1447134
0
50453
CITIZENS FINL GROUP INC
COM
174610105
382
10799
SH
DFND
1
10799
0
0
CNA FINL CORP
COM
126117100
15699
318753
SH
DFND
1
318753
0
0
COCA COLA CO
COM
191216100
40749
748503
SH
DFND
1
704001
0
44502
COHERENT INC
COM
192479103
25231
164137
SH
DFND
1
164129
0
8
COLONY CAP INC NEW
CL A COM
19626G108
38603
6412434
SH
DFND
1
6144049
0
268385
CONCHO RES INC
COM
20605P101
13883
204465
SH
DFND
1
192101
0
12364
CREDIT SUISSE GROUP
SPONSORED ADR
225401108
1915
156872
SH
DFND
1
156788
0
84
CYPRESS SEMICONDUCTOR CORP
COM
232806109
14687
629247
SH
DFND
1
629247
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
78729
1366815
SH
DFND
1
1327233
0
39582
DISCOVER FINL SVCS
COM
254709108
47186
581901
SH
DFND
1
556863
0
25038
DUPONT DE NEMOURS INC
COM
26614N102
49321
691643
SH
DFND
1
668387
0
23256
EATON CORP PLC
SHS
G29183103
10006
120341
SH
DFND
1
120341
0
0
ENERSYS
COM
29275Y102
32020
485599
SH
DFND
1
485599
0
0
ENTEGRIS INC
COM
29362U104
26185
556419
SH
DFND
1
556419
0
0
ENTERGY CORP NEW
COM
29364G103
24952
212613
SH
DFND
1
208363
0
4250
ENTERPRISE PRODS PARTNERS L
COM
293792107
44065
1541807
SH
DFND
1
1541807
0
0
EQT CORP
COM
26884L109
22580
2122208
SH
DFND
1
2044865
0
77343
EQUITRANS MIDSTREAM CORPORAT
COM
294600101
86387
5937231
SH
DFND
1
5796594
0
140637
EURONET WORLDWIDE INC
COM
298736109
8983
61404
SH
DFND
1
61404
0
0
EVERGY INC
COM
30034W106
5525
83009
SH
DFND
1
83009
0
0
EXXON MOBIL CORP
COM
30231G102
300
4255
SH
DFND
1
4255
0
0
FABRINET
SHS
G3323L100
12367
236460
SH
DFND
1
236460
0
0
FEDERAL SIGNAL CORP
COM
313855108
16005
488845
SH
DFND
1
488845
0
0
FIRST HAWAIIAN INC
COM
32051X108
10764
403156
SH
DFND
1
403156
0
0
FIRST HORIZON NATL CORP
COM
320517105
54544
3366938
SH
DFND
1
3287851
0
79087
FIRSTENERGY CORP
COM
337932107
109825
2277106
SH
DFND
1
2210224
0
66882
FISERV INC
COM
337738108
30624
295628
SH
DFND
1
282401
0
13227
FLEX LTD
ORD
Y2573F102
23345
2230817
SH
DFND
1,2
2227960
0
2857
FRESENIUS MED CARE AG&CO KGA
SPONSORED ADR
358029106
13643
406173
SH
DFND
1,2
405333
0
840
GENERAL MTRS CO
COM
37045V100
58589
1563196
SH
DFND
1
1494355
0
68841
GILEAD SCIENCES INC
COM
375558103
56543
892130
SH
DFND
1
867346
0
24784
GLATFELTER
COM
377316104
25208
1637973
SH
DFND
1
1637973
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
85839
2011218
SH
DFND
1,2
1964847
0
46371
GP STRATEGIES CORP
COM
36225V104
11149
868267
SH
DFND
1
868267
0
0
HAVERTY FURNITURE INC
COM
419596101
1406
69366
SH
DFND
1
69366
0
0
HEALTHCARE RLTY TR
COM
421946104
12812
382439
SH
DFND
1
382439
0
0
HESS CORP
COM
42809H107
19684
325457
SH
DFND
1
311581
0
13876
HNI CORP
COM
404251100
15801
445089
SH
DFND
1
445089
0
0
HOMESTREET INC
COM
43785V102
19630
718509
SH
DFND
1
718509
0
0
HOOKER FURNITURE CORP
COM
439038100
23053
1075213
SH
DFND
1
1075213
0
0
HSBC HLDGS PLC
SPON ADR NEW
404280406
11870
310177
SH
DFND
1
309064
0
1113
ING GROEP N V
SPONSORED ADR
456837103
35783
3424227
SH
DFND
1,2
3325177
0
99050
INGERSOLL-RAND PLC
SHS
G47791101
38253
310471
SH
DFND
1
296641
0
13830
INNOSPEC INC
COM
45768S105
10201
114441
SH
DFND
1
114441
0
0
ISHARES TR
RUS 1000 VAL ETF
464287598
380
2963
SH
DFND
1
2321
0
642
JACOBS ENGR GROUP INC
COM
469814107
4340
47436
SH
DFND
1
47436
0
0
JPMORGAN CHASE & CO
COM
46625H100
81887
695789
SH
DFND
1
668994
0
26795
KAISER ALUMINUM CORP
COM PAR $0.01
483007704
19082
192806
SH
DFND
1
192806
0
0
KIMBALL ELECTRONICS INC
COM
49428J109
5470
376999
SH
DFND
1
376999
0
0
KNIGHT SWIFT TRANSN HLDGS IN
CL A
499049104
36841
1014906
SH
DFND
1
1014906
0
0
LANDEC CORP
COM
514766104
29345
2699611
SH
DFND
1
2699611
0
0
LIBERTY MEDIA CORP
DEB 4.000%11/1
530715AG6
2298
31965
PRN
DFND
1
31965
0
0
LIBERTY MEDIA CORP
DEB 3.750% 2/1
530715AL5
1220
17450
PRN
DFND
1
17450
0
0
LIVANOVA PLC
SHS
G5509L101
27674
375040
SH
DFND
1
375018
0
22
LOEWS CORP
COM
540424108
30969
601572
SH
DFND
1
574062
0
27510
MATERION CORP
COM
576690101
11626
189468
SH
DFND
1
189468
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
73610
671682
SH
DFND
1
659647
0
12035
METHODE ELECTRS INC
COM
591520200
18702
555938
SH
DFND
1
555938
0
0
MGM GROWTH PPTYS LLC
CL A COM
55303A105
39378
1310400
SH
DFND
1
1310400
0
0
MICRON TECHNOLOGY INC
COM
595112103
502
11725
SH
DFND
1
11725
0
0
MICROSOFT CORP
COM
594918104
16354
117631
SH
DFND
1
117631
0
0
NATIONAL GRID PLC
SPONSORED ADR NE
636274409
12571
232234
SH
DFND
1,2
231388
0
846
NEENAH INC
COM
640079109
21087
323818
SH
DFND
1
323818
0
0
NEXTERA ENERGY INC
COM
65339F101
25707
110336
SH
DFND
1
110336
0
0
NVENT ELECTRIC PLC
SHS
G6700G107
18929
858841
SH
DFND
1
858841
0
0
OLD REP INTL CORP
COM
680223104
19615
832212
SH
DFND
1
832160
0
52
ORACLE CORP
COM
68389X105
67167
1220557
SH
DFND
1
1179577
0
40980
PACWEST BANCORP DEL
COM
695263103
23982
659928
SH
DFND
1
659928
0
0
PARSLEY ENERGY INC
CL A
701877102
2710
161318
SH
DFND
1
161318
0
0
PDC ENERGY INC
COM
69327R101
15918
573626
SH
DFND
1
573626
0
0
PHILIP MORRIS INTL INC
COM
718172109
33393
439789
SH
DFND
1
424549
0
15240
POSCO
SPONSORED ADR
693483109
9245
196029
SH
DFND
1
195342
0
687
POTLATCHDELTIC CORPORATION
COM
737630103
15363
373935
SH
DFND
1
373935
0
0
QORVO INC
COM
74736K101
2171
29284
SH
DFND
1
29284
0
0
QUANTA SVCS INC
COM
74762E102
55995
1481362
SH
DFND
1
1481362
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
16793
156896
SH
DFND
1
146189
0
10707
RAMBUS INC DEL
COM
750917106
28493
2170928
SH
DFND
1
2170928
0
0
RAYTHEON CO
COM NEW
755111507
26542
135289
SH
DFND
1
127335
0
7954
REINSURANCE GRP OF AMERICA I
COM NEW
759351604
3212
20089
SH
DFND
1
20089
0
0
RELIANCE STEEL & ALUMINUM CO
COM
759509102
6046
60665
SH
DFND
1
60665
0
0
RENAISSANCERE HOLDINGS LTD
COM
G7496G103
116962
604610
SH
DFND
1
590561
0
14049
ROYAL BK SCOTLAND GROUP PLC
SPONS ADR 2 ORD
780097689
12228
2397723
SH
DFND
1,2
2389090
0
8633
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
35263
588706
SH
DFND
1,2
587959
0
747
RPT REALTY
SH BEN INT
74971D101
51767
3820456
SH
DFND
1
3820456
0
0
SANOFI
SPONSORED ADR
80105N105
18047
389527
SH
DFND
1,2
388139
0
1388
SAP SE
SPON ADR
803054204
7569
64217
SH
DFND
1,2
63997
0
220
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
29458
547651
SH
DFND
1
523207
0
24444
SEMPRA ENERGY
6.75% CNV PFD B
816851505
50
426600
PRN
DFND
1
426600
0
0
SK TELECOM LTD
SPONSORED ADR
78440P108
35288
1589570
SH
DFND
1,2
1587560
0
2010
SOUTHERN CO
UNIT 08/01/2022
842587602
11
208000
PRN
DFND
1
208000
0
0
SOUTHWEST AIRLS CO
COM
844741108
254
4695
SH
DFND
1
4695
0
0
STAG INDL INC
COM
85254J102
26817
909659
SH
DFND
1
909659
0
0
STATE STR CORP
COM
857477103
533
9000
SH
DFND
1
9000
0
0
STONERIDGE INC
COM
86183P102
16616
536513
SH
DFND
1
536513
0
0
SUNCOR ENERGY INC NEW
COM
867224107
35500
1124134
SH
DFND
1
1073629
0
50505
SYMANTEC CORP
COM
871503108
31048
1313936
SH
DFND
1
1255322
0
58614
SYNCHRONY FINL
COM
87165B103
20306
595655
SH
DFND
1
569631
0
26024
TAYLOR MORRISON HOME CORP
COM
87724P106
42482
1637687
SH
DFND
1
1637558
0
129
TELEFONICA BRASIL SA
SPONSORED ADR
87936R106
925
70231
SH
DFND
1
70231
0
0
TENARIS S A
SPONSORED ADS
88031M109
12846
606533
SH
DFND
1,2
604223
0
2310
TERADYNE INC
COM
880770102
25337
437527
SH
DFND
1
421312
0
16215
TEREX CORP NEW
COM
880779103
5401
207961
SH
DFND
1
207961
0
0
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
22926
419500
SH
DFND
1
419500
0
0
TOTAL S A
SPONSORED ADS
89151E109
5857
112643
SH
DFND
1
112643
0
0
TOYOTA MOTOR CORP
SP ADR REP2COM
892331307
42440
315564
SH
DFND
1,2
315150
0
414
TRI POINTE GROUP INC
COM
87265H109
14544
967010
SH
DFND
1
967010
0
0
TRINITY INDS INC
COM
896522109
37511
1906043
SH
DFND
1
1823605
0
82438
TURKCELL ILETISIM HIZMETLERI
SPON ADR NEW
900111204
7088
1226241
SH
DFND
1
1222311
0
3930
UBS GROUP AG
SHS
H42097107
27462
2428107
SH
DFND
1,2
2424780
0
3327
UNUM GROUP
COM
91529Y106
33443
1125270
SH
DFND
1
1075301
0
49969
VIACOM INC NEW
CL B
92553P201
36067
1500900
SH
DFND
1
1451194
0
49706
VISHAY PRECISION GROUP INC
COM
92835K103
7660
233960
SH
DFND
1
233960
0
0
VISTRA ENERGY CORP
COM
92840M102
18748
701398
SH
DFND
1
701398
0
0
WELLS FARGO CO NEW
COM
949746101
19162
379899
SH
DFND
1
357531
0
22368
WELLS FARGO CO NEW
PERP PFD CNV A
949746804
40
26398
PRN
DFND
1
26398
0
0
WESTERN ALLIANCE BANCORP
COM
957638109
55191
1197732
SH
DFND
1
1197692
0
40
WPX ENERGY INC
COM
98212B103
17362
1639441
SH
DFND
1
1639441
0
0