0000909012-12-000360.txt : 20120814 0000909012-12-000360.hdr.sgml : 20120814 20120814132620 ACCESSION NUMBER: 0000909012-12-000360 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120814 DATE AS OF CHANGE: 20120814 EFFECTIVENESS DATE: 20120814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO 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: 121031363 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: NWQ INVESTMENT MANAGEMENT CO /CA/ DATE OF NAME CHANGE: 19990407 13F-HR 1 t306864.txt NWQ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding's entries Institutional Investment Manager Filing this Report: Name: NWQ INVESTMENT MANAGEMENT CO, LLC Address: 2049 Century Park East 16th Floor Los Angeles, CA 90067 13F File Number: 028-01474 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 it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Jon D. Bosse Title: Chief Investment Officer Phone: 310-712-4000 Signature, Place, and Date of Signing: Jon D. Bosse, Los Angeles, CA 8/14/2012 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: 1 Form 13F Information Table Entry Total: 139 Form 13F Information Table Value Total: $13,813,978,067 List of Other Included Managers: No. 13F File Number Name 1 - 028-11405 -- Nuveen Investments, Inc.
TITLE OF SH NAME OF ISSUER CLASS CUSIP NO 13F Value Shares PRN INVT OTHER SOLE SHARED NONE ------------------------------------------------ Albany International Corp COM 012348108 18,223,680.00 984,000. SH DEFINED 1 698,600. 0 285,400. ------------------------------------------------ Allied World Assurance Co Holdings AG COM H01531104 36,131,473.76 456,436. SH DEFINED 1 384,386. 0 72,050. ------------------------------------------------ Alpha Natural Resources Inc COM 02076X102 12,266,233.04 1,411,973. SH DEFINED 1 230,612. 0 1,181,361. ------------------------------------------------ Alterra Capital Holdings Ltd COM G0229R108 12,818,099.25 548,955. SH DEFINED 1 471,355. 0 77,600. ------------------------------------------------ American International Group COM 026874784 227,431,040.75 7,181,534. SH DEFINED 1 6,237,379. 0 944,155. ------------------------------------------------ AngloGold Ashanti Ltd ADR 035128206 432,249,966.57 12,787,187. SH DEFINED 1 11,092,316. 0 1,694,871. ------------------------------------------------ Annaly Capital Management Inc REIT 035710409 6,475,226.00 386,350. SH DEFINED 1 386,350. 0 . ------------------------------------------------ Aon PLC COM G0408V102 294,820,651.16 6,312,140. SH DEFINED 1 5,414,562. 0 897,578. ------------------------------------------------ Apache Corp COM 037411105 478,161,703.56 5,523,031. SH DEFINED 1 4,736,797. 0 786,234. ------------------------------------------------ Arrow Electronics Inc COM 042735100 15,012,641.28 451,101. SH DEFINED 1 436,701. 0 14,400. ------------------------------------------------ Ashford Hospitality Trust Inc PUBLIC 044103505 3,884,019.50 147,850. SH DEFINED 1 147,850. 0 . ------------------------------------------------ Aspen Insurance Holdings Ltd COM G05384105 17,307,464.20 589,090. SH DEFINED 1 419,740. 0 169,350. ------------------------------------------------ AuRico Gold Inc COM 05155C105 57,485,366.88 7,088,208. SH DEFINED 1 6,388,887. 0 699,321. ------------------------------------------------ Aurizon Mines Ltd COM 05155P106 15,564,964.50 3,458,881. SH DEFINED 1 2,927,431. 0 531,450. ------------------------------------------------ Avnet Inc COM 053807103 16,757,168.22 530,458. SH DEFINED 1 515,658. 0 14,800. ------------------------------------------------ Axis Capital Holdings Ltd COM G0692U109 8,601,892.26 262,093. SH DEFINED 1 251,793. 0 10,300. ------------------------------------------------ Baker Hughes Inc COM 057224107 11,318,240.00 278,500. SH DEFINED 1 17,000. 0 261,500. ------------------------------------------------ Bank of America Corp Preferred-Cnv 060505682 975,000.00 1,000. SH DEFINED 1 1,000. 0 . ------------------------------------------------ Barrick Gold Corp COM 067901108 270,928,375.26 7,266,604. SH DEFINED 1 6,180,660. 0 1,085,944. ------------------------------------------------ Best Buy Co Inc COM 086516101 221,196,607.27 9,610,088. SH DEFINED 1 8,323,611. 0 1,286,477. ------------------------------------------------ Bob Evans Farms Inc/DE COM 096761101 52,241,596.50 1,314,254. SH DEFINED 1 1,106,608. 0 207,646. ------------------------------------------------ Brocade Communications Systems Inc COM 111621306 25,480,999.69 5,297,395. SH DEFINED 1 4,461,530. 0 835,865. ------------------------------------------------ Buckeye Technologies Inc COM 118255108 4,263,578.40 150,126. SH DEFINED 1 110,026. 0 40,100. ------------------------------------------------ CA Inc COM 12673P105 789,166,606.75 29,261,912. SH DEFINED 1 25,448,050. 0 3,813,862. ------------------------------------------------ Canadian Natural Resources Ltd COM 136385101 378,354,697.99 14,303,443. SH DEFINED 1 11,656,053. 0 2,647,390. ------------------------------------------------ Capital One Financial Corp COM 14040H105 30,936,919.69 572,305. SH DEFINED 1 476,005. 0 96,300. ------------------------------------------------ Carrizo Oil & Gas Inc COM 144577103 42,422,074.00 1,844,438. SH DEFINED 1 1,023,458. 0 820,980. ------------------------------------------------ Casey's General Stores Inc COM 147528103 12,797,042.94 216,642. SH DEFINED 1 183,232. 0 33,410. ------------------------------------------------ CIRCOR International Inc COM 17273K109 22,717,597.76 679,354. SH DEFINED 1 570,604. 0 108,750. ------------------------------------------------ Cisco Systems Inc COM 17275R102 387,473,127.77 22,747,899. SH DEFINED 1 19,663,085. 0 3,084,814. ------------------------------------------------ Citigroup Inc COM 172967424 340,704,912.41 12,575,778. SH DEFINED 1 10,854,414. 0 1,721,364. ------------------------------------------------ Clearwater Paper Corp COM 18538R103 17,745,619.50 517,365. SH DEFINED 1 496,965. 0 20,400. ------------------------------------------------ Coherent Inc COM 192479103 29,555,869.28 686,707. SH DEFINED 1 577,862. 0 108,845. ------------------------------------------------ CommonWealth REIT PUBLIC 203233606 1,882,300.00 70,000. SH DEFINED 1 70,000. 0 . ------------------------------------------------ Convergys Corp COM 212485106 51,486,839.28 3,468,295. SH DEFINED 1 3,099,372. 0 368,923. ------------------------------------------------ CVS Caremark Corp COM 126650100 298,440,046.67 6,346,190. SH DEFINED 1 5,442,895. 0 903,295. ------------------------------------------------ Delphi Automotive PLC COM G27823106 8,669,769.42 343,902. SH DEFINED 1 328,897. 0 15,005. ------------------------------------------------ Deltic Timber Corp COM 247850100 23,087,979.20 377,872. SH DEFINED 1 318,572. 0 59,300. ------------------------------------------------ Denbury Resources Inc COM 247916208 52,860,047.00 3,583,732. SH DEFINED 1 2,534,856. 0 1,048,876. ------------------------------------------------ Elizabeth Arden Inc COM 28660G106 52,481,047.74 1,317,957. SH DEFINED 1 1,111,508. 0 206,449. ------------------------------------------------ EMC Corp/MA COM 268648102 1,964,518.77 81,669. SH DEFINED 1 81,669. 0 . ------------------------------------------------ Entegris Inc COM 29362U104 11,327,013.75 1,340,475. SH DEFINED 1 954,925. 0 385,550. ------------------------------------------------ Exxon Mobil Corp COM 30231G102 795,424.00 9,380. SH DEFINED 1 9,380. 0 . ------------------------------------------------ FBR & Co COM 30247C301 13,186,241.76 4,847,883. SH DEFINED 1 4,664,749. 0 183,134. ------------------------------------------------ FEI Co COM 30241L109 6,592,059.75 136,623. SH DEFINED 1 130,973. 0 5,650. ------------------------------------------------ Forestar Group Inc COM 346233109 41,736,302.30 3,330,910. SH DEFINED 1 2,797,439. 0 533,471. ------------------------------------------------ Freeport-McMoRan Copper & Gold Inc COM 35671D857 4,846,632.00 144,245. SH DEFINED 1 144,245. 0 . ------------------------------------------------ Frontier Communications Corp COM 35906A108 2,962,982.50 754,900. SH DEFINED 1 754,900. 0 . ------------------------------------------------ General Electric Co COM 369604103 3,068,476.58 150,305. SH DEFINED 1 150,305. 0 . ------------------------------------------------ General Motors Co COM 37045V100 271,767,115.54 13,940,318. SH DEFINED 1 12,012,094. 0 1,928,224. ------------------------------------------------ GlaxoSmithKline PLC ADR 37733W105 7,863,460.00 170,500. SH DEFINED 1 170,500. 0 . ------------------------------------------------ Goldman Sachs Group Inc/The COM 38141G104 230,285,193.27 2,399,947. SH DEFINED 1 2,043,484. 0 356,463. ------------------------------------------------ GP Strategies Corp COM 36225V104 4,577,510.50 247,433. SH DEFINED 1 178,900. 0 68,533. ------------------------------------------------ Griffon Corp COM 398433102 31,747,579.74 3,752,669. SH DEFINED 1 3,192,719. 0 559,950. ------------------------------------------------ Guess? Inc COM 401617105 43,374,256.87 1,452,101. SH DEFINED 1 1,390,506. 0 61,595. ------------------------------------------------ Halliburton Co COM 406216101 194,110,921.95 6,780,623. SH DEFINED 1 5,685,635. 0 1,094,988. ------------------------------------------------ Hartford Financial Services Group Inc COM 416515104 376,417,247.33 21,774,572. SH DEFINED 1 18,842,658. 0 2,931,914. ------------------------------------------------ Hewlett-Packard Co COM 428236103 304,513,704.94 15,201,084. SH DEFINED 1 13,157,090. 0 2,043,994. ------------------------------------------------ HomeStreet Inc COM 43785V102 11,175,523.75 351,985. SH DEFINED 1 250,185. 0 101,800. ------------------------------------------------ Hooker Furniture Corp COM 439038100 9,875,950.92 831,309. SH DEFINED 1 591,522. 0 239,787. ------------------------------------------------ Hormel Foods Corp COM 440452100 8,600,321.70 283,839. SH DEFINED 1 272,839. 0 11,000. ------------------------------------------------ HSBC Holdings PLC PUBLIC 404280604 320,356.50 12,750. SH DEFINED 1 12,750. 0 . ------------------------------------------------ Ingersoll-Rand PLC COM G47791101 221,714,617.91 5,256,735. SH DEFINED 1 4,567,435. 0 689,300. ------------------------------------------------ Inter Parfums Inc COM 458334109 12,347,913.96 716,652. SH DEFINED 1 526,052. 0 190,600. ------------------------------------------------ Interpublic Group of Cos Inc/The COM 460690100 47,452,083.49 4,317,751. SH DEFINED 1 4,173,654. 0 144,097. ------------------------------------------------ Intersil Corp COM 46069S109 30,334,005.25 2,858,732. SH DEFINED 1 2,747,096. 0 111,636. ------------------------------------------------ iShares FTSE NAREIT Mortgage Plus Capped Index Fund ETP 464288539 7,110,000.00 500,000. SH DEFINED 1 500,000. 0 . ------------------------------------------------ iShares iBoxx $ High Yield Corporate Bond Fund ETP 464288513 12,600,591.30 138,900. SH DEFINED 1 138,900. 0 . ------------------------------------------------ iShares iBoxx Investment Grade Corporate Bond Fund ETP 464287242 43,187,477.40 366,306. SH DEFINED 1 332,090. 0 34,216. ------------------------------------------------ iShares Russell 1000 Value Index Fund ETP 464287598 496,108.00 7,300. SH DEFINED 1 7,300. 0 . ------------------------------------------------ iShares Russell Midcap Value Index Fund ETP 464287473 771,198.69 16,689. SH DEFINED 1 16,689. 0 . ------------------------------------------------ JPMorgan Chase & Co COM 46625H100 238,982,416.38 6,662,519. SH DEFINED 1 5,745,124. 0 917,395. ------------------------------------------------ Lincoln National Corp COM 534187109 86,221,876.13 4,071,230. SH DEFINED 1 3,443,860. 0 627,370. ------------------------------------------------ Loews Corp COM 540424108 319,355,910.78 7,819,578. SH DEFINED 1 6,732,399. 0 1,087,179. ------------------------------------------------ Maidenform Brands Inc COM 560305104 14,935,485.50 760,850. SH DEFINED 1 542,750. 0 218,100. ------------------------------------------------ Marten Transport Ltd COM 573075108 7,539,761.10 360,065. SH DEFINED 1 255,915. 0 104,150. ------------------------------------------------ Mattson Technology Inc COM 577223100 3,159,726.18 1,805,661. SH DEFINED 1 1,700,868. 0 104,793. ------------------------------------------------ Merck & Co Inc COM 58933Y105 212,723,780.12 5,098,707. SH DEFINED 1 4,374,185. 0 724,522. ------------------------------------------------ Methode Electronics Inc COM 591520200 7,566,515.12 898,636. SH DEFINED 1 636,343. 0 262,293. ------------------------------------------------ MetLife Inc COM 59156R108 326,098,709.46 10,711,725. SH DEFINED 1 9,194,507. 0 1,517,218. ------------------------------------------------ Microsoft Corp COM 594918104 303,462,609.72 9,987,611. SH DEFINED 1 8,551,331. 0 1,436,280. ------------------------------------------------ Middleby Corp COM 596278101 16,544,687.04 165,978. SH DEFINED 1 139,253. 0 26,725. ------------------------------------------------ Mistras Group Inc COM 60649T107 6,258,322.20 240,890. SH DEFINED 1 231,290. 0 9,600. ------------------------------------------------ MKS Instruments Inc COM 55306N104 50,557,075.32 1,762,799. SH DEFINED 1 1,570,776. 0 192,023. ------------------------------------------------ Mosaic Co/The COM 61945C103 175,386,223.35 3,191,154. SH DEFINED 1 2,696,372. 0 494,782. ------------------------------------------------ National CineMedia Inc COM 635309107 6,078,480.00 399,900. SH DEFINED 1 399,900. 0 . ------------------------------------------------ Neenah Paper Inc COM 640079109 10,842,570.20 402,622. SH DEFINED 1 286,222. 0 116,400. ------------------------------------------------ Newmont Mining Corp COM 651639106 18,213,510.53 378,109. SH DEFINED 1 372,409. 0 5,700. ------------------------------------------------ Noble Energy Inc COM 655044105 252,944,826.24 3,030,076. SH DEFINED 1 2,599,883. 0 430,193. ------------------------------------------------ Northwest Bancshares Inc COM 667340103 10,513,894.80 897,090. SH DEFINED 1 756,640. 0 140,450. ------------------------------------------------ NRG Energy Inc COM 629377508 121,913,137.55 7,086,704. SH DEFINED 1 6,017,211. 0 1,069,493. ------------------------------------------------ Occidental Petroleum Corp COM 674599105 160,608,614.66 1,890,475. SH DEFINED 1 1,622,114. 0 268,361. ------------------------------------------------ Orbital Sciences Corp COM 685564106 29,805,671.93 2,324,029. SH DEFINED 1 1,954,679. 0 369,350. ------------------------------------------------ Orion Marine Group Inc COM 68628V308 7,208,262.00 1,037,160. SH DEFINED 1 735,410. 0 301,750. ------------------------------------------------ PACCAR Inc COM 693718108 196,665,229.64 5,131,608. SH DEFINED 1 4,445,735. 0 685,873. ------------------------------------------------ PacWest Bancorp COM 695263103 5,857,890.00 245,100. SH DEFINED 1 174,150. 0 70,950. ------------------------------------------------ PartnerRe Ltd COM G6852T105 13,915,584.32 183,874. SH DEFINED 1 174,474. 0 9,400. ------------------------------------------------ People's United Financial Inc COM 712704105 7,941,727.62 684,042. SH DEFINED 1 657,042. 0 27,000. ------------------------------------------------ Pfizer Inc COM 717081103 613,857,409.26 26,792,614. SH DEFINED 1 23,289,065. 0 3,503,549. ------------------------------------------------ Philip Morris International Inc COM 718172109 168,974,897.53 1,913,946. SH DEFINED 1 1,615,417. 0 298,529. ------------------------------------------------ Pitney Bowes Inc COM 724479100 100,168,747.49 6,811,346. SH DEFINED 1 5,830,272. 0 981,074. ------------------------------------------------ PMC - Sierra Inc COM 69344F106 48,017,967.66 7,996,331. SH DEFINED 1 7,228,486. 0 767,845. ------------------------------------------------ PrivateBancorp Inc COM 742962103 36,812,543.20 2,487,334. SH DEFINED 1 2,234,390. 0 252,944. ------------------------------------------------ Raytheon Co COM 755111507 184,701,376.85 3,307,502. SH DEFINED 1 2,827,349. 0 480,153. ------------------------------------------------ Redwood Trust Inc REIT 758075402 35,164,327.73 2,761,235. SH DEFINED 1 2,660,835. 0 100,400. ------------------------------------------------ Reinsurance Group of America Inc COM 759351604 44,101,769.58 815,793. SH DEFINED 1 778,799. 0 36,994. ------------------------------------------------ Royal Bank of Scotland Group PLC PUBLIC 780097804 602,940.00 26,000. SH DEFINED 1 26,000. 0 . ------------------------------------------------ Royal Dutch Shell PLC ADR 780259206 7,495,620.00 110,800. SH DEFINED 1 110,800. 0 . ------------------------------------------------ Salix Pharmaceuticals Ltd COM 795435106 35,248,921.40 633,290. SH DEFINED 1 606,138. 0 27,152. ------------------------------------------------ Sanofi ADR 80105N105 516,057,429.41 13,631,387. SH DEFINED 1 11,807,703. 0 1,823,684. ------------------------------------------------ Schawk Inc COM 806373106 11,548,768.00 937,400. SH DEFINED 1 896,300. 0 41,100. ------------------------------------------------ SM Energy Co COM 78454L100 1,848,803.55 38,159. SH DEFINED 1 . 0 38,159. ------------------------------------------------ Smart Balance Inc COM 83169Y108 17,249,668.80 1,785,680. SH DEFINED 1 1,272,230. 0 513,450. ------------------------------------------------ Southwestern Energy Co COM 845467109 5,749,844.04 181,842. SH DEFINED 1 21,842. 0 160,000. ------------------------------------------------ Suncor Energy Inc COM 867224107 10,920,780.50 380,515. SH DEFINED 1 6,000. 0 374,515. ------------------------------------------------ Symetra Financial Corp COM 87151Q106 2,303,328.00 191,944. SH DEFINED 1 191,944. 0 . ------------------------------------------------ Talisman Energy Inc COM 87425E103 479,599,144.98 42,415,372. SH DEFINED 1 35,580,243. 0 6,835,129. ------------------------------------------------ Teradyne Inc COM 880770102 17,241,166.80 1,239,480. SH DEFINED 1 1,191,230. 0 48,250. ------------------------------------------------ Teva Pharmaceutical Industries Ltd ADR 881624209 306,474,425.69 7,837,726. SH DEFINED 1 6,787,817. 0 1,049,909. ------------------------------------------------ Texas Capital Bancshares Inc COM 88224Q107 27,274,470.70 676,031. SH DEFINED 1 566,261. 0 109,770. ------------------------------------------------ Thompson Creek Metals Co Inc COM 884768102 9,246,836.11 2,916,983. SH DEFINED 1 2,490,083. 0 426,900. ------------------------------------------------ Tidewater Inc COM 886423102 14,631,406.00 315,400. SH DEFINED 1 9,400. 0 306,000. ------------------------------------------------ Time Warner Inc COM 887317303 274,176,879.92 7,113,913. SH DEFINED 1 6,038,267. 0 1,075,646. ------------------------------------------------ Timken Co COM 887389104 5,269,464.00 117,360. SH DEFINED 1 112,660. 0 4,700. ------------------------------------------------ TMS International Corp COM 87261Q103 4,612,525.80 463,105. SH DEFINED 1 329,705. 0 133,400. ------------------------------------------------ Total SA ADR 89151E109 4,363,522.50 96,325. SH DEFINED 1 96,325. 0 . ------------------------------------------------ TreeHouse Foods Inc COM 89469A104 26,776,630.08 434,968. SH DEFINED 1 365,668. 0 69,300. ------------------------------------------------ Trimas Corp COM 896215209 16,345,455.24 823,034. SH DEFINED 1 727,834. 0 95,200. ------------------------------------------------ True Religion Apparel Inc COM 89784N104 11,176,437.00 386,060. SH DEFINED 1 274,560. 0 111,500. ------------------------------------------------ Union Pacific Corp COM 907818108 182,604,262.00 1,545,780. SH DEFINED 1 1,317,890. 0 227,890. ------------------------------------------------ Unum Group COM 91529Y106 354,019,181.93 18,484,833. SH DEFINED 1 16,073,984. 0 2,410,849. ------------------------------------------------ Vertex Pharmaceuticals Inc COM 92532F100 10,405,194.20 188,842. SH DEFINED 1 181,617. 0 7,225. ------------------------------------------------ Viacom Inc COM 92553P201 476,973,942.67 10,067,149. SH DEFINED 1 8,717,093. 0 1,350,056. ------------------------------------------------ Vodafone Group PLC ADR 92857W209 7,268,306.50 257,650. SH DEFINED 1 257,650. 0 . ------------------------------------------------ Waste Management Inc COM 94106L109 10,542,211.81 317,771. SH DEFINED 1 306,063. 0 11,708. ------------------------------------------------ Wells Fargo & Co COM 949746101 348,745,812.33 10,460,408. SH DEFINED 1 8,990,044. 0 1,470,364. ------------------------------------------------ WESCO International Inc COM 95082P105 4,990,905.19 86,821. SH DEFINED 1 83,371. 0 3,450. ------------------------------------------------ Western Alliance Bancorp COM 957638109 19,041,975.36 2,051,937. SH DEFINED 1 1,724,137. 0 327,800. ------------------------------------------------ Willis Group Holdings PLC COM G96666105 12,568,993.35 342,854. SH DEFINED 1 328,954. 0 13,900. ------------------------------------------------