Chief Investment Officer

0000909012-15-000346.txt : 20151116 0000909012-15-000346.hdr.sgml : 20151116 20151116135843 ACCESSION NUMBER: 0000909012-15-000346 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151116 EFFECTIVENESS DATE: 20151116 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: 151233329 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 false false 0000763848 XXXXXXXX 09-30-2015 09-30-2015 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 11-16-2015 2 158 6493968 false 1 028-11405 Nuveen Investments, Inc. 2 028-16475 SEI Investments Management Corporation INFORMATION TABLE 2 aci_13f.xml AbbVie Inc COM 00287Y109 83073 1526806 SH DFND 1,2 1496228 0 30578 Agrium Inc COM 008916108 69519 776753 SH DFND 1,2 762751 0 14002 Albany International Corp CL A 012348108 36699 1282760 SH DFND 1,2 1282562 0 198 American International Group Inc COM NEW 026874784 2802 49320 SH DFND 1 49320 0 0 Ameris Bancorp COM 03076K108 12664 440503 SH DFND 1,2 440422 0 81 Analogic Corp COM PAR $0.05 032657207 39440 480742 SH DFND 1 480742 0 0 Aon PLC SHS CL A G0408V102 119359 1347017 SH DFND 1,2 1321450 0 25567 Apache Corp COM 037411105 45396 1159263 SH DFND 1,2 1139624 0 19639 Apartment Investment & Management Co PFD CL A 6.875% 03748R762 1517 57165 SH DFND 1 57165 0 0 Ares Capital Corp COM 04010L103 10116 698678 SH DFND 1 698678 0 0 Ashford Hospitality Trust Inc 9% CUM PFD SER E 044103505 6041 234988 SH DFND 1 234988 0 0 AstraZeneca PLC SPONSORED ADR 046353108 15608 490535 SH DFND 1 490535 0 0 Astronics Corp COM 046433108 10510 299077 SH DFND 1,2 299016 0 61 Avery Dennison Corp COM 053611109 14811 261833 SH DFND 1,2 261737 0 96 Aviva PLC ADR 05382A104 3724 271490 SH DFND 1 271490 0 0 Axis Capital Holdings Ltd SHS G0692U109 21658 403178 SH DFND 1,2 402992 0 186 Bank of America Corp COM 060505104 80533 5169055 SH DFND 1,2 5071167 0 97888 Bank of New York Mellon Corp/The COM 064058100 5684 145200 SH DFND 1 145200 0 0 Barclays PLC ADR 06738E204 2726 184470 SH DFND 1 184470 0 0 Bio-Rad Laboratories Inc CL A 090572207 59580 443605 SH DFND 1,2 443418 0 187 Boise Cascade Co COM 09739D100 22239 881806 SH DFND 1 881806 0 0 Brandywine Realty Trust SH BEN INT NEW 105368203 70657 5735175 SH DFND 1,2 5734250 0 925 Bruker Corp COM 116794108 29917 1820880 SH DFND 1,2 1820051 0 829 CA Inc COM 12673P105 26080 955334 SH DFND 1,2 935384 0 19950 Capital Bank Financial Corp CL A COM 139794101 74785 2473894 SH DFND 1,2 2473540 0 354 Cedar Fair LP DEPOSITRY UNIT 150185106 1554 29550 SH DFND 1 29550 0 0 Cigna Corp COM 125509109 40449 299585 SH DFND 1,2 293067 0 6518 Cisco Systems Inc COM 17275R102 71585 2727052 SH DFND 1,2 2672776 0 54276 CIT Group Inc COM NEW 125581801 99333 2481485 SH DFND 1,2 2435884 0 45601 Citigroup Inc COM NEW 172967424 176616 3560103 SH DFND 1,2 3490438 0 69665 Coherent Inc COM 192479103 106878 1953909 SH DFND 1,2 1953445 0 464 Colony Capital Inc CONV PFD-C 19624R403 3003 137400 SH DFND 1 137400 0 0 Copa Holdings SA CL A P31076105 37236 888065 SH DFND 1,2 873231 0 14834 CVR Partners LP COM 126633106 2653 283765 SH DFND 1 283765 0 0 CVR Partners LP COM 126633106 99 10600 SH Call DFND 1 10600 0 0 CVS Health Corp COM 126650100 75589 783473 SH DFND 1,2 768381 0 15092 Deltic Timber Corp COM 247850100 22184 370918 SH DFND 1,2 370844 0 74 Discover Financial Services COM 254709108 123211 2369904 SH DFND 1,2 2326249 0 43655 eBay Inc COM 278642103 41679 1705380 SH DFND 1,2 1674115 0 31265 Elizabeth Arden Inc COM 28660G106 55287 4729455 SH DFND 1,2 4728537 0 918 EnerSys COM 29275Y102 38448 717589 SH DFND 1,2 717455 0 134 Entegris Inc COM 29362U104 31294 2372601 SH DFND 1 2372601 0 0 Euronet Worldwide Inc COM 298736109 26178 353334 SH DFND 1,2 353239 0 95 Express Inc COM 30219E103 14221 795821 SH DFND 1 795518 0 303 Exxon Mobil Corp COM 30231G102 499 6715 SH DFND 1 6715 0 0 FBR & Co COM NEW 30247C400 16270 796793 SH DFND 1 796793 0 0 Ford Motor Co COM PAR $0.01 345370860 77457 5708025 SH DFND 1,2 5616635 0 91390 Ford Motor Co COM PAR $0.01 345370860 6331 466600 SH Call DFND 1 466600 0 0 Forestar Group Inc COM 346233109 67285 5116742 SH DFND 1,2 5115635 0 1107 Fred's Inc CL A 356108100 33545 2830837 SH DFND 1,2 2830309 0 528 Frontier Communications Corp PFD CONV SER-A 35906A207 17279 185500 PRN DFND 1 185500 0 0 Frontier Communications Corp COM 35906A207 17279 185500 PRN DFND 1 185500 0 0 General Electric Co COM 369604103 82720 3279965 SH DFND 1,2 3213810 0 66155 General Motors Co COM 37045V100 114312 3807891 SH DFND 1,2 3734362 0 73529 Gilead Sciences Inc COM 375558103 16643 169500 SH DFND 1 169500 0 0 GlaxoSmithKline PLC SPONSORED ADR 37733W105 17766 462055 SH DFND 1 462055 0 0 GlaxoSmithKline PLC SPONSORED ADR 37733W105 3183 82800 SH Call DFND 1 82800 0 0 Google Inc CL A 38259P508 2859 74371 SH DFND 1,2 72637 0 1734 GP Strategies Corp COM 36225V104 16965 743431 SH DFND 1 743431 0 0 GSI Group Inc COM NEW 36191C205 33649 2643361 SH DFND 1 2643361 0 0 Haverty Furniture Cos Inc COM 419596101 19678 838108 SH DFND 1,2 837739 0 369 Hercules Technology Growth Capital Inc COM 427096508 5240 518300 SH DFND 1 518300 0 0 Heritage Financial Corp/WA COM 42722X106 16960 901215 SH DFND 1,2 901041 0 174 Hess Corp COM 42809H107 63480 1268095 SH DFND 1,2 1245506 0 22589 HomeStreet Inc COM 43785V102 20987 908569 SH DFND 1 908569 0 0 Hooker Furniture Corp COM 439038100 35236 1496858 SH DFND 1 1496858 0 0 ICF International Inc COM 44925C103 13614 448001 SH DFND 1,2 447796 0 205 Impax Laboratories Inc COM 45256B101 21006 596619 SH DFND 1 596403 0 216 ING Groep NV SPONSORED ADR 456837103 4536 321045 SH DFND 1 321045 0 0 Ingersoll-Rand PLC SHS G47791101 69421 1367380 SH DFND 1,2 1342548 0 24832 Inland Real Estate Corp REDM PFD SER B 457461507 1949 77825 SH DFND 1 77825 0 0 Integrated Device Technology Inc COM 458118106 28933 1425306 SH DFND 1 1425306 0 0 Intelsat SA MAN CONV JR PFD L5140P119 798 42705 PRN DFND 1 42705 0 0 Inter Parfums Inc COM 458334109 36529 1472388 SH DFND 1,2 1472111 0 277 Interpublic Group of Cos Inc/The COM 460690100 82836 4330167 SH DFND 1,2 4257885 0 72282 Interpublic Group of Cos Inc/The COM 460690100 1440 75300 SH Call DFND 1 75300 0 0 iShares Core US Value ETF CORE US VAL ETF 464287663 1920 15793 SH DFND 1 15793 0 0 iShares iBoxx $ Investment Grade Corporate Bond ETF IBOXX INV CP ETF 464287242 704 6067 SH DFND 1 5647 0 420 iShares Russell 1000 Value ETF RUS 1000 VAL ETF 464287598 3651 39149 SH DFND 1 39149 0 0 Jazz Pharmaceuticals PLC SHS USD G50871105 16431 123720 SH DFND 1,2 123663 0 57 John B Sanfilippo & Son Inc COM 800422107 36926 720372 SH DFND 1,2 720244 0 128 JPMorgan Chase & Co COM 46625H100 133300 2186336 SH DFND 1,2 2146665 0 39671 Kimball Electronics Inc COM 49428J109 7339 615239 SH DFND 1 615239 0 0 Koninklijke Philips NV NY REG SH NEW 500472303 62957 2683592 SH DFND 1,2 2636532 0 47060 Laclede Group Inc/The COM 505597104 51330 941318 SH DFND 1,2 941132 0 186 Landec Corp COM 514766104 19977 1711830 SH DFND 1 1711830 0 0 Lattice Semiconductor Corp COM 518415104 50606 13144640 SH DFND 1,2 13142098 0 2542 La-Z-Boy Inc COM 505336107 17330 652522 SH DFND 1,2 652240 0 282 Loews Corp COM 540424108 64078 1773058 SH DFND 1,2 1738172 0 34886 Louisiana-Pacific Corp COM 546347105 27246 1913411 SH DFND 1,2 1913027 0 384 Lumentum Holdings Inc COM 55024U109 2405 141888 SH DFND 1,2 141821 0 67 Marten Transport Ltd COM 573075108 48343 2989691 SH DFND 1,2 2989115 0 576 Materion Corp COM 576690101 55537 1850024 SH DFND 1,2 1849658 0 366 Merck & Co Inc COM 58933Y105 3449 69835 SH DFND 1 69835 0 0 MetLife Inc COM 59156R108 80018 1697107 SH DFND 1,2 1661747 0 35360 Microchip Technology Inc COM 595017104 3057 70965 SH DFND 1 70965 0 0 Microchip Technology Inc COM 595017104 3046 70700 SH Call DFND 1 70700 0 0 Microsemi Corp COM 595137100 94205 2870360 SH DFND 1,2 2869791 0 569 Microsoft Corp COM 594918104 81071 1831708 SH DFND 1,2 1795346 0 36362 Mitel Networks Corp COM 60671Q104 74142 11494898 SH DFND 1,2 11493081 0 1817 Mitsubishi UFJ Financial Group Inc SPONSORED ADR 606822104 62 10291 SH DFND 1 10291 0 0 National CineMedia Inc COM 635309107 5696 424459 SH DFND 1 424459 0 0 National CineMedia Inc COM 635309107 51 3800 SH Call DFND 1 3800 0 0 National Storage Affiliates Trust COM SHS BEN IN 637870106 9187 678065 SH DFND 1 678065 0 0 Neenah Paper Inc COM 640079109 27560 472890 SH DFND 1 472890 0 0 NetApp Inc COM 64110D104 66783 2256197 SH DFND 1,2 2222117 0 34080 NetApp Inc COM 64110D104 9383 317000 SH Call DFND 1 317000 0 0 New Residential Investment Corp COM NEW 64828T201 6258 477724 SH DFND 1 477724 0 0 Nippon Telegraph & Telephone Corp SPONSORED ADR 654624105 6912 195755 SH DFND 1 195755 0 0 NRG Energy Inc COM NEW 629377508 53171 3580592 SH DFND 1,2 3513355 0 67237 Occidental Petroleum Corp COM 674599105 112027 1693535 SH DFND 1,2 1662447 0 31088 Oracle Corp COM 68389X105 123227 3411622 SH DFND 1,2 3357243 0 54379 Orbital ATK Inc COM 68557N103 42844 596145 SH DFND 1,2 596025 0 120 PACCAR Inc COM 693718108 59924 1148644 SH DFND 1,2 1128259 0 20385 PacWest Bancorp COM 695263103 60920 1423047 SH DFND 1,2 1422766 0 281 Paramount Group Inc COM 69924R108 11959 711847 SH DFND 1 711847 0 0 PayPal Holdings Inc COM 70450Y103 54408 1752858 SH DFND 1,2 1721654 0 31204 PennyMac Mortgage Investment Trust COM 70931T103 9129 590140 SH DFND 1 590140 0 0 Pfizer Inc COM 717081103 136868 4357477 SH DFND 1,2 4286038 0 71439 Pfizer Inc COM 717081103 6825 217300 SH Call DFND 1 217300 0 0 PH Glatfelter Co COM 377316104 58438 3393620 SH DFND 1 3392919 0 701 Philip Morris International Inc COM 718172109 35401 446253 SH DFND 1,2 437076 0 9177 Phillips 66 COM 718546104 65527 852779 SH DFND 1,2 837986 0 14793 Phillips 66 COM 718546104 3273 42600 SH Call DFND 1 42600 0 0 PNC Financial Services Group Inc/The COM 693475105 65102 729852 SH DFND 1,2 714751 0 15101 PrivateBancorp Inc COM 742962103 57818 1508452 SH DFND 1,2 1508155 0 297 Ramco-Gershenson Properties Trust COM SH BEN INT 751452202 54722 3645734 SH DFND 1,2 3645026 0 708 Raytheon Co COM NEW 755111507 68406 626088 SH DFND 1,2 612528 0 13560 Redwood Trust Inc COM 758075402 10418 752775 SH DFND 1 752775 0 0 Reinsurance Group of America Inc COM NEW 759351604 24210 267257 SH DFND 1,2 267201 0 56 Royal Dutch Shell PLC SPONS ADR A 780259206 57480 1212921 SH DFND 1,2 1191224 0 21697 Sanofi SPONSORED ADR 80105N105 118761 2501826 SH DFND 1,2 2459310 0 42516 Seagate Technology PLC SHS G7945M107 9043 201860 SH DFND 1 201860 0 0 Seagate Technology PLC SHS G7945M107 6885 153700 SH Call DFND 1 153700 0 0 StoneMor Partners LP COM UNITS 86183Q100 3459 126825 SH DFND 1 126825 0 0 Stoneridge Inc COM 86183P102 39216 3177961 SH DFND 1 3177961 0 0 Suncor Energy Inc COM 867224107 74201 2777017 SH DFND 1,2 2720753 0 56264 Target Corp COM 87612E106 83225 1058037 SH DFND 1,2 1039249 0 18788 Taylor Morrison Home Corp CL A 87724P106 43006 2304728 SH DFND 1,2 2304273 0 455 Telefonaktiebolaget LM Ericsson ADR B SEK 10 294821608 4439 453970 SH DFND 1 453970 0 0 Teradyne Inc COM 880770102 131372 7294404 SH DFND 1,2 7207846 0 86558 Terex Corp COM 880779103 11464 639064 SH DFND 1 639064 0 0 Teva Pharmaceutical Industries Ltd ADR 881624209 136002 2408826 SH DFND 1,2 2367916 0 40910 Time Warner Inc COM NEW 887317303 56590 823137 SH DFND 1,2 805290 0 17847 TOTAL SA SPONSORED ADR 89151E109 2105 47085 SH DFND 1 47085 0 0 TPG Specialty Lending Inc COM 87265K102 3102 188809 SH DFND 1 188809 0 0 TreeHouse Foods Inc COM 89469A104 67728 870662 SH DFND 1,2 870482 0 180 TRI Pointe Group Inc COM 87265H109 54527 4165566 SH DFND 1,2 4164863 0 703 Union Pacific Corp COM 907818108 65154 736958 SH DFND 1,2 720472 0 16486 United Parcel Service Inc CL B 911312106 13602 137830 SH DFND 1 137830 0 0 Unum Group COM 91529Y106 170957 5329105 SH DFND 1,2 5242595 0 86510 Vector Group Ltd COM 92240M108 8770 387902 SH DFND 1 387902 0 0 VeriFone Systems Inc COM 92342Y109 26574 958332 SH DFND 1,2 957803 0 529 Viacom Inc CL B 92553P201 117607 2725548 SH DFND 1,2 2678434 0 47114 Viacom Inc CL B 92553P201 2481 57500 SH Call DFND 1 57500 0 0 Wal-Mart Stores Inc COM 931142103 59057 910823 SH DFND 1,2 894015 0 16808 Wells Fargo & Co COM 949746101 94719 1844588 SH DFND 1,2 1806912 0 37676 Western Alliance Bancorp COM 957638109 67465 2196869 SH DFND 1,2 2196461 0 408