0000909012-12-000371.txt : 20120815 0000909012-12-000371.hdr.sgml : 20120815 20120815152202 ACCESSION NUMBER: 0000909012-12-000371 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120815 DATE AS OF CHANGE: 20120815 EFFECTIVENESS DATE: 20120815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tradewinds Global Investors, LLC CENTRAL INDEX KEY: 0001383221 IRS NUMBER: 020767178 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-12572 FILM NUMBER: 121036926 BUSINESS ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: (310) 552-5114 MAIL ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: Tradewinds NWQ Global Investors, LLC DATE OF NAME CHANGE: 20061211 13F-HR/A 1 t306874.txt TRADE 3-31-12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2012 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Tradewinds Global Investors, LLC Address: 2049 Century Park East, 20th Floor Los Angeles, CA 90067 13F File Number: 028-12572 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Emily Alejos, Los Angeles 8/15/12 Title: Co-Chief Investment Officer Name: Andrew Thelen, Los Angeles 8/15/12 Title: Co-Chief Investment Officer Phone: 310-552-5114 Signature, Place, and Date of Signing: Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Nuveen Investments, Inc. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 119 Form 13F Information Table Value Total: $15,454,416,540 List of Other Included Managers: 1 - 028-11405 -- Nuveen Investments, Inc. 2 - 028-04547 -- ING Investments, LLC
TITLE OF SH NAME OF ISSUE CLASS CUSIP 13F VALUE SHARES PRN INVT OTHER SOLE SHARED NONE ----------------------------------------------- Aetna Inc COM 00817Y108 60,244,060.80 1,200,320. SH DEFINED 1 1,088,456. 0 111,864. ------------------------------------------------- AGCO Corp COM 001084102 2,914,417.74 61,253. SH DEFINED 1 46,814. 0 14,439. ------------------------------------------------- Alcatel-Lucent USA Inc Convertible 549463AH0 623,091.314 6,319,000. PRN DEFINED 1 6,319,000. 0 . ------------------------------------------------- Alliant Techsystems Inc COM 018804104 183,672,020.70 3,550,590. SH DEFINED 1 2,929,594. 0 620,996. ------------------------------------------------- Alumina Ltd ADR 022205108 73,445,254.80 14,016,270. SH DEFINED 1 12,476,004. 0 1,540,266. ------------------------------------------------- Ameren Corp COM 023608102 103,061,893.20 3,166,264. SH DEFINED 1 2,633,442. 0 532,822. ------------------------------------------------- American International Group Inc COM 026874784 214,690,208.85 6,918,795. SH DEFINED 1 5,501,641. 0 1,417,154. ------------------------------------------------- Amgen Inc COM 031162100 6,887,126.25 101,625. SH DEFINED 1 78,938. 0 22,687. ------------------------------------------------- AngloGold Ashanti Ltd ADR 035128206 392,082,952.07 10,571,123. SH DEFINED 1 8,897,790. 0 1,673,333. ------------------------------------------------- Aon PLC COM 037389103 46,124,277.76 940,544. SH DEFINED 1 837,651. 0 102,893. ------------------------------------------------- Arch Coal Inc COM 039380100 288,193,780.18 26,367,226. SH DEFINED 1 21,863,412. 0 4,503,814. ------------------------------------------------- Archer-Daniels-Midland Co COM 039483102 84,244,438.36 2,603,351. SH DEFINED 1 2,025,518. 0 577,833. ------------------------------------------------- AstraZeneca PLC ADR 046353108 194,517,446.40 4,295,880. SH DEFINED 1 3,882,158. 0 413,722. ------------------------------------------------- Axis Capital Holdings Ltd COM G0692U109 256,151,145.96 7,741,044. SH DEFINED 1 6,409,086. 0 1,331,958. ------------------------------------------------- Banro Corp ORD 066800103 34,936,765.40 7,594,949. SH DEFINED 1 6,779,942. 0 815,007. ------------------------------------------------- Barrick Gold Corp COM 067901108 874,770,216.825 19,748,735. SH DEFINED 1 16,257,728. 0 3,491,007. ------------------------------------------------- Best Buy Co Inc COM 086516101 349,776,316.78 14,858,807. SH DEFINED 1 12,216,905. 0 2,641,902. ------------------------------------------------- BP PLC ADR 055622104 843,689.93 18,580. SH DEFINED 1 18,580. 0 . ------------------------------------------------- Bristow Group Inc COM 110394103 13,950,482.28 290,514. SH DEFINED 1 262,591. 0 27,923. ------------------------------------------------- Cameco Corp COM 13321L108 882,436,282.52 40,891,394. SH DEFINED 1 34,174,812. 0 6,716,582. ------------------------------------------------- Canadian Pacific Railway Ltd COM 13645T100 13,889,279.30 180,310. SH DEFINED 1 163,628. 0 16,682. ------------------------------------------------- CBIZ Inc COM 124805102 9,975,631.05 1,540,638. SH DEFINED 1 1,410,201. 0 130,437. ------------------------------------------------- Centrais Eletricas Brasileiras SA ADR 15234Q108 331,775,878.28 25,210,933. SH DEFINED 1 20,927,643. 0 4,283,290. ------------------------------------------------- Centrais Eletricas Brasileiras SA ADR 15234Q207 91,457,218.10 9,596,770. SH DEFINED 1 8,124,599. 0 1,472,171. ------------------------------------------------- Chesapeake Energy Corp COM 165167107 409,208,111.46 17,442,801. SH DEFINED 1 14,324,732. 0 3,118,069. ------------------------------------------------- Cia de Saneamento Basico do Estado de Sao Paulo ADR 20441A102 698,599.84 8,852. SH DEFINED 1 8,852. 0 . ------------------------------------------------- Cisco Systems Inc COM 17275R102 39,213,262.50 1,845,330. SH DEFINED 1 1,379,098. 0 466,232. ------------------------------------------------- CNA Financial Corp COM 126117100 74,051,764.50 2,497,530. SH DEFINED 1 2,078,287. 0 419,243. ------------------------------------------------- Computer Sciences Corp COM 205363104 218,615,180.66 7,328,702. SH DEFINED 1 5,967,038. 0 1,361,664. ------------------------------------------------- Consol Energy Inc COM 20854P109 128,568,170.64 3,690,246. SH DEFINED 1 3,030,010. 0 660,236. ------------------------------------------------- Corning Inc COM 219350105 2,520,466.34 180,938. SH DEFINED 1 129,554. 0 51,384. ------------------------------------------------- Credit Suisse Group AG ADR 225401108 30,397,559.16 1,059,887. SH DEFINED 1 984,330. 0 75,557. ------------------------------------------------- Cresud SACIF y A ADR 226406106 53,665,335.96 4,427,833. SH DEFINED 1 3,714,409. 0 713,424. ------------------------------------------------- Dean Foods Co COM 242370104 67,228,512.39 5,560,671. SH DEFINED 1 4,523,492. 0 1,037,179. ------------------------------------------------- Dendreon Corp COM 24823Q107 5,085,509.34 485,722. SH DEFINED 1 347,878. 0 137,844. ------------------------------------------------- Dendreon Corp Convertible 24823QAC1 4,092,665.395 50,869,000. PRN DEFINED 1 42,198,000. 0 8,671,000. ------------------------------------------------- Devon Energy Corp COM 25179M103 51,170,799.876 707,287. SH DEFINED 1 500,844. 0 206,443. ------------------------------------------------- Eli Lilly & Co COM 532457108 358,005,997.29 8,846,207. SH DEFINED 1 7,091,804. 0 1,754,403. ------------------------------------------------- Embraer SA ADR 29082A107 9,767,648.42 303,626. SH DEFINED 1 279,962. 0 23,664. ------------------------------------------------- EMC Corp/MA COM 268648102 2,413,745.51 80,971. SH DEFINED 1 80,971. 0 . ------------------------------------------------- Endurance Specialty Holdings Ltd COM G30397106 71,810,996.60 1,777,940. SH DEFINED 1 1,466,921. 0 311,019. ------------------------------------------------- Exelon Corp COM 30161N101 180,852,367.80 4,606,530. SH DEFINED 1 3,669,660. 0 936,870. ------------------------------------------------- Forest Laboratories Inc COM 345838106 96,031,943.28 2,782,728. SH DEFINED 1 2,279,731. 0 502,997. ------------------------------------------------- Fresh Del Monte Produce Inc COM G36738105 59,125,304.70 2,576,266. SH DEFINED 1 2,241,827. 0 334,439. ------------------------------------------------- GlaxoSmithKline PLC ADR 37733W105 196,850,656.36 4,292,426. SH DEFINED 1 3,886,298. 0 406,128. ------------------------------------------------- Gold Fields Ltd ADR 38059T106 199,581,925.6352 14,174,752. SH DEFINED 1 12,740,665. 0 1,434,087. ------------------------------------------------- Goodrich Petroleum Corp Convertible 382410AC2 5,718,104.00 58,348,000. PRN DEFINED 1 52,043,000. 0 6,305,000. ------------------------------------------------- Hess Corp COM 42809H107 72,698,954.36 1,215,092. SH DEFINED 1 927,514. 0 287,578. ------------------------------------------------- Industrias Bachoco SAB de CV ADR 456463108 8,423,035.74 413,502. SH DEFINED 1 315,789. 0 97,713. ------------------------------------------------- Ingram Micro Inc COM 457153104 179,055,799.02 9,611,154. SH DEFINED 1 7,858,648. 0 1,752,506. ------------------------------------------------- IRSA Inversiones y Representaciones SA ADR 450047204 7,143,620.5878 729,678. SH DEFINED 1 585,746. 0 143,932. ------------------------------------------------- iShares MSCI EAFE Index Fund ETP 464287465 319,412.80 5,776. SH DEFINED 1 5,776. 0 . ------------------------------------------------- iShares Silver Trust ETP 46428Q109 2,079,273.30 64,650. SH DEFINED 1 42,375. 0 22,275. ------------------------------------------------- Ivanhoe Mines Ltd/CA COM 46579N103 86,345,229.30 5,413,494. SH DEFINED 1 4,682,871. 0 730,623. ------------------------------------------------- JetBlue Airways Corp Convertible 477143AG6 2,874,319.515 22,350,000. PRN DEFINED 1 17,358,000. 0 4,992,000. ------------------------------------------------- Kinross Gold Corp COM 496902404 565,414,612.08 56,428,604. SH DEFINED 1 47,101,951. 0 9,326,653. ------------------------------------------------- Korea Electric Power Corp ADR 500631106 260,271,280.36 26,343,247. SH DEFINED 1 21,282,379. 0 5,060,868. ------------------------------------------------- Kroger Co/The COM 501044101 195,680,228.64 8,092,648. SH DEFINED 1 6,721,989. 0 1,370,659. ------------------------------------------------- KT Corp ADR 48268K101 188,087,778.72 13,599,984. SH DEFINED 1 11,135,962. 0 2,464,022. ------------------------------------------------- Layne Christensen Co COM 521050104 64,345,356.88 2,830,856. SH DEFINED 1 2,380,678. 0 450,178. ------------------------------------------------- Lockheed Martin Corp COM 539830109 51,126,381.48 563,811. SH DEFINED 1 405,125. 0 158,686. ------------------------------------------------- Manpower Inc COM 56418H100 9,458,194.34 197,953. SH DEFINED 1 78,393. 0 119,560. ------------------------------------------------- Merck & Co Inc COM 58933Y105 2,421,109.45 62,935. SH DEFINED 1 44,430. 0 18,505. ------------------------------------------------- Microsoft Corp COM 594918104 260,314,250.14 8,039,353. SH DEFINED 1 6,341,281. 0 1,698,072. ------------------------------------------------- Molson Coors Brewing Co COM 60871R209 13,604,212.80 298,338. SH DEFINED 1 269,801. 0 28,537. ------------------------------------------------- Mosaic Co/The COM 61945C103 28,415,875.3736 509,828. SH DEFINED 1 382,177. 0 127,651. ------------------------------------------------- Newmont Mining Corp COM 651639106 598,913,765.98 11,439,476. SH DEFINED 1 9,265,924. 0 2,173,552. ------------------------------------------------- Newmont Mining Corp Convertible 651639AJ5 395,761.984 2,963,000. PRN DEFINED 1 1,901,000. 0 1,062,000. ------------------------------------------------- Nexen Inc COM 65334H102 503,183,865.31 26,722,457. SH DEFINED 1 22,512,708. 0 4,209,749. ------------------------------------------------- NII Holdings Inc COM 62913F201 22,080,751.10 1,219,931. SH DEFINED 1 935,716. 0 284,215. ------------------------------------------------- Nippon Telegraph & Telephone Corp ADR 654624105 396,336,089.46 17,591,482. SH DEFINED 1 14,883,834. 0 2,707,648. ------------------------------------------------- Nokia OYJ ADR 654902204 327,061,278.20 59,682,715. SH DEFINED 1 50,145,143. 0 9,537,572. ------------------------------------------------- Northern Trust Corp COM 665859104 68,050,236.70 1,420,673. SH DEFINED 1 1,057,581. 0 363,092. ------------------------------------------------- Novagold Resources Inc COM 66987E206 147,851,292.48 20,198,264. SH DEFINED 1 16,898,041. 0 3,300,223. ------------------------------------------------- Novagold Resources Inc Convertible 66987EAA5 45,576.00 422,000. PRN DEFINED 1 422,000. 0 . ------------------------------------------------- Novartis AG ADR 66987V109 7,000,768.29 124,591. SH DEFINED 1 97,071. 0 27,520. ------------------------------------------------- NTT DoCoMo Inc ADR 62942M201 6,391,840.28 384,356. SH DEFINED 1 303,292. 0 81,064. ------------------------------------------------- Old Republic International Corp COM 680223104 187,169,170.23 17,476,113. SH DEFINED 1 13,793,598. 0 3,682,515. ------------------------------------------------- Omnicare Capital Trust II Convertible 68214Q200 81,427.9923 1,696,770. PRN DEFINED 1 1,288,870. 0 407,900. ------------------------------------------------- Pampa Energia SA ADR 697660207 3,735,241.88 450,572. SH DEFINED 1 349,241. 0 101,331. ------------------------------------------------- Panasonic Corp ADR 69832A205 110,841,862.0014 11,996,262. SH DEFINED 1 10,841,291. 0 1,154,971. ------------------------------------------------- Peabody Energy Corp COM 704549104 70,117,806.72 2,365,648. SH DEFINED 1 1,930,959. 0 434,689. ------------------------------------------------- Petrobras Argentina SA ADR 71646J109 35,168,294.26 2,642,246. SH DEFINED 1 2,205,618. 0 436,628. ------------------------------------------------- Petroleo Brasileiro SA ADR 71654V101 26,601,383.82 1,039,929. SH DEFINED 1 790,039. 0 249,890. ------------------------------------------------- PH Glatfelter Co COM 377316104 14,108,307.84 890,676. SH DEFINED 1 809,313. 0 81,363. ------------------------------------------------- Royal Dutch Shell PLC ADR 780259107 22,164,378.7344 308,562. SH DEFINED 1 308,562. 0 . ------------------------------------------------- SAIC Inc COM 78390X101 56,342,144.76 4,255,449. SH DEFINED 1 3,854,654. 0 400,795. ------------------------------------------------- Sanofi ADR 80105N105 216,090,548.80 5,512,514. SH DEFINED 1 4,999,643. 0 512,871. ------------------------------------------------- Shaw Group Inc/The COM 820280105 96,564,151.04 3,079,214. SH DEFINED 1 2,492,097. 0 587,117. ------------------------------------------------- Siemens AG ADR 826197501 115,177,310.2348 1,132,282. SH DEFINED 1 1,024,084. 0 108,198. ------------------------------------------------- Silver Standard Resources Inc COM 82823L106 95,742,188.243 6,194,099. SH DEFINED 1 5,254,491. 0 939,608. ------------------------------------------------- SK Telecom Co Ltd ADR 78440P108 484,178,175.32 34,241,738. SH DEFINED 1 28,589,925. 0 5,651,813. ------------------------------------------------- SkyWest Inc COM 830879102 94,736,681.03 8,589,001. SH DEFINED 1 7,210,770. 0 1,378,231. ------------------------------------------------- Southwest Airlines Co COM 844741108 269,926,746.36 32,639,268. SH DEFINED 1 26,631,962. 0 6,007,306. ------------------------------------------------- Southwestern Energy Co COM 845467109 83,556,477.27 2,706,721. SH DEFINED 1 2,242,463. 0 464,258. ------------------------------------------------- SPDR Gold Shares ETP 78463V107 9,412,890.565 57,635. SH DEFINED 1 49,085. 0 8,550. ------------------------------------------------- Statoil ASA ADR 85771P102 55,414,946.8474 2,014,459. SH DEFINED 1 1,728,361. 0 286,098. ------------------------------------------------- Suncor Energy Inc COM 867224107 58,381,297.04 1,760,594. SH DEFINED 1 1,403,463. 0 357,131. ------------------------------------------------- Talisman Energy Inc COM 87425E103 240,289,519.68 18,540,858. SH DEFINED 1 15,446,532. 0 3,094,326. ------------------------------------------------- Tech Data Corp COM 878237106 48,244,326.50 885,217. SH DEFINED 1 652,655. 0 232,562. ------------------------------------------------- Teekay Corp COM Y8564W103 397,184.00 11,600. SH DEFINED 1 11,600. 0 . ------------------------------------------------- Telecom Italia SpA ADR 87927Y201 187,690,903.68 18,920,454. SH DEFINED 1 16,987,246. 0 1,933,208. ------------------------------------------------- Telefonaktiebolaget LM Ericsson ADR 294821608 126,615,827.02 12,151,231. SH DEFINED 1 10,194,350. 0 1,956,881. ------------------------------------------------- Telekomunikasi Indonesia Persero Tbk PT ADR 715684106 295,923,729.60 9,558,260. SH DEFINED 1 8,016,624. 0 1,541,636. ------------------------------------------------- Teva Pharmaceutical Industries Ltd ADR 881624209 30,484,130.46 669,172. SH DEFINED 1 534,953. 0 134,219. ------------------------------------------------- Time Warner Cable Inc COM 88732J207 5,697,610.74 69,798. SH DEFINED 1 49,456. 0 20,342. ------------------------------------------------- Toyota Motor Corp ADR 892331307 189,985,474.00 2,193,625. SH DEFINED 1 1,858,403. 0 335,222. ------------------------------------------------- Transocean Ltd/Switzerland COM H8817H100 144,417,929.04 2,575,672. SH DEFINED 1 2,237,344. 0 338,328. ------------------------------------------------- Turkcell Iletisim Hizmetleri AS ADR 900111204 263,190,332.80 20,822,020. SH DEFINED 1 17,015,112. 0 3,806,908. ------------------------------------------------- UBS AG COM H89231338 214,202,172.45 15,224,035. SH DEFINED 1 12,651,541. 0 2,572,494. ------------------------------------------------- USEC Inc Convertible 90333EAC2 4,007,895.14 78,833,500. PRN DEFINED 1 62,205,500. 0 16,628,000. ------------------------------------------------- Vale SA ADR 91912E105 487,152.60 20,460. SH DEFINED 1 20,460. 0 . ------------------------------------------------- Vodafone Group PLC ADR 92857W209 194,317,580.4326 6,891,623. SH DEFINED 1 6,227,485. 0 664,138. ------------------------------------------------- Wacoal Holdings Corp ADR 930004205 122,017,082.88 2,072,301. SH DEFINED 1 1,868,079. 0 204,222. ------------------------------------------------- Walgreen Co COM 931422109 7,959,414.48 230,574. SH DEFINED 1 164,751. 0 65,823. ------------------------------------------------- Wal-Mart Stores Inc COM 931142103 71,132,961.34 1,158,706. SH DEFINED 1 853,416. 0 305,290. ------------------------------------------------- Weatherford International Ltd/Switzerland COM H27013103 6,656,771.04 436,796. SH DEFINED 1 340,953. 0 95,843. ------------------------------------------------- Western Digital Corp COM 958102105 268,225,248.68 6,504,007. SH DEFINED 1 5,292,788. 0 1,211,219. ------------------------------------------------- Zimmer Holdings Inc COM 98956P102 76,233,209.22 1,171,737. SH DEFINED 1 969,726. 0 202,011. -------------------------------------------------