0000909012-13-000208.txt : 20130513 0000909012-13-000208.hdr.sgml : 20130513 20130513143108 ACCESSION NUMBER: 0000909012-13-000208 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130513 DATE AS OF CHANGE: 20130513 EFFECTIVENESS DATE: 20130513 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-12572 FILM NUMBER: 13836755 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 1 t307118.txt TRADE 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, 2013 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] 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 5/14/13 Title: Co-Chief Investment Officer Name: Andrew Thelen, Los Angeles 5/14/13 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: 1 Form 13F Information Table Entry Total: 115 Form 13F Information Table Value Total: $4,168,986,916 List of Other Included Managers: 1 - 028-11405 -- Nuveen Investments, Inc.
TITLE OF SH NAME OF ISSUE CLASS CUSIP 13F VALUE SHARES PRN INVT OTHER SOLE SHARED NONE Adecoagro SA COM L00849106 19,416,227.23 2,524,867. SH DEFINED 1 1,865,244. 0 659,623. -------------------------------------------- Advance Auto Parts Inc COM 00751Y106 56,138,194.20 679,228. SH DEFINED 1 501,999. 0 177,229. -------------------------------------------- Aetna Inc COM 00817Y108 41,972,770.39 820,903. SH DEFINED 1 750,104. 0 70,799. -------------------------------------------- AGCO Corp COM 001084102 16,493,165.52 316,446. SH DEFINED 1 289,417. 0 27,029. -------------------------------------------- Alcoa Inc COM 013817101 11,770,771.92 1,381,546. SH DEFINED 1 1,206,987. 0 174,559. -------------------------------------------- Allscripts Healthcare Solutions Inc COM 01988P108 55,817,948.79 4,107,281. SH DEFINED 1 3,088,214. 0 1,019,067. -------------------------------------------- Alumina Ltd ADR 022205108 20,295,686.35 4,402,535. SH DEFINED 1 4,028,806. 0 373,729. -------------------------------------------- American International Group Inc COM 026874784 91,443,072.12 2,355,566. SH DEFINED 1 1,732,848. 0 622,718. -------------------------------------------- AngloGold Ashanti Ltd ADR 035128206 87,803,184.15 3,728,373. SH DEFINED 1 3,059,808. 0 668,565. -------------------------------------------- Aon PLC COM G0408V102 7,893,648.00 128,352. SH DEFINED 1 119,401. 0 8,951. -------------------------------------------- Apache Corp COM 037411105 72,450,848.04 938,969. SH DEFINED 1 693,580. 0 245,389. -------------------------------------------- Arch Coal Inc COM 039380100 62,702,740.38 11,547,466. SH DEFINED 1 8,802,987. 0 2,744,479. -------------------------------------------- Archer-Daniels-Midland Co COM 039483102 37,981,160.55 1,126,035. SH DEFINED 1 882,030. 0 244,005. -------------------------------------------- AstraZeneca PLC ADR 046353108 1,503,448.38 30,081. SH DEFINED 1 59. 0 30,022. -------------------------------------------- Axis Capital Holdings Ltd COM G0692U109 91,565,872.90 2,200,045. SH DEFINED 1 1,946,443. 0 253,602. -------------------------------------------- Baker Hughes Inc COM 057224107 6,277,555.83 135,263. SH DEFINED 1 130,615. 0 4,648. -------------------------------------------- Banco Macro SA ADR 05961W105 1,581,722.88 107,454. SH DEFINED 1 107,454. 0 . -------------------------------------------- Banco Santander Brasil SA/Brazil ADR 05967A107 65,905,394.28 9,077,878. SH DEFINED 1 6,917,794. 0 2,160,084. -------------------------------------------- Banro Corp ORD 066800103 20,152,961.36 11,716,838. SH DEFINED 1 9,087,631. 0 2,629,207. -------------------------------------------- Barrick Gold Corp COM 067901108 179,770,416.00 6,114,640. SH DEFINED 1 4,958,126. 0 1,156,514. -------------------------------------------- Best Buy Co Inc COM 086516101 81,366,297.30 3,673,422. SH DEFINED 1 2,507,511. 0 1,165,911. -------------------------------------------- BP PLC ADR 055622104 16,608,441.85 392,171. SH DEFINED 1 378,291. 0 13,880. -------------------------------------------- Bunge Ltd COM G16962105 54,966,065.85 744,495. SH DEFINED 1 554,140. 0 190,355. -------------------------------------------- Cameco Corp COM 13321L108 165,099,988.42 7,945,139. SH DEFINED 1 6,390,542. 0 1,554,597. -------------------------------------------- CBIZ Inc COM 124805102 8,662,974.54 1,357,833. SH DEFINED 1 1,178,831. 0 179,002. -------------------------------------------- Centrais Eletricas Brasileiras SA ADR 15234Q108 42,219,549.62 6,744,337. SH DEFINED 1 4,924,659. 0 1,819,678. -------------------------------------------- Centrais Eletricas Brasileiras SA ADR 15234Q207 13,248,036.90 3,873,695. SH DEFINED 1 3,491,551. 0 382,144. -------------------------------------------- Cisco Systems Inc COM 17275R102 33,040,323.23 1,581,255. SH DEFINED 1 1,179,269. 0 401,986. -------------------------------------------- CNA Financial Corp COM 126117100 25,263,780.01 772,829. SH DEFINED 1 685,439. 0 87,390. -------------------------------------------- CONSOL Energy Inc COM 20854P109 47,213,406.45 1,403,073. SH DEFINED 1 1,109,982. 0 293,091. -------------------------------------------- Corning Inc COM 219350105 43,065,004.39 3,230,683. SH DEFINED 1 2,279,802. 0 950,881. -------------------------------------------- Credit Suisse Group AG ADR 225401108 27,183,993.40 1,037,557. SH DEFINED 1 751,468. 0 286,089. -------------------------------------------- Cresud SACIF y A ADR 226406106 13,110,167.76 1,396,184. SH DEFINED 1 1,150,536. 0 245,648. -------------------------------------------- Dean Foods Co COM 242370104 2,873,115.49 158,473. SH DEFINED 1 77,673. 0 80,800. -------------------------------------------- Dendreon Corp COM 24823Q107 8,941,252.02 1,888,332. SH DEFINED 1 1,700,036. 0 188,296. -------------------------------------------- Dendreon Corp Convertible 24823QAC1 13,382,680.00 17,048,000. PRN DEFINED 1 15,395,000. 0 1,653,000. -------------------------------------------- Devon Energy Corp COM 25179M103 8,933,881.32 158,346. SH DEFINED 1 153,857. 0 4,489. -------------------------------------------- Dollar Tree Inc COM 256746108 3,874,400.00 80,000. SH DEFINED 1 80,000. 0 . -------------------------------------------- Domtar Corp COM 257559203 15,422,317.80 198,690. SH DEFINED 1 183,459. 0 15,231. -------------------------------------------- Embraer SA ADR 29082A107 714,149.07 20,021. SH DEFINED 1 20,021. 0 . -------------------------------------------- Endurance Specialty Holdings Ltd COM G30397106 29,460,474.19 616,199. SH DEFINED 1 561,226. 0 54,973. -------------------------------------------- Exelon Corp COM 30161N101 73,530,944.64 2,132,568. SH DEFINED 1 1,686,455. 0 446,113. -------------------------------------------- Forest Laboratories Inc COM 345838106 35,855,362.80 942,570. SH DEFINED 1 830,202. 0 112,368. -------------------------------------------- Freeport-McMoRan Copper & Gold Inc COM 35671D857 352,448.80 10,648. SH DEFINED 1 10,648. 0 . -------------------------------------------- Fresh Del Monte Produce Inc COM G36738105 12,602,250.08 467,096. SH DEFINED 1 340,118. 0 126,978. -------------------------------------------- Gafisa SA ADR 362607301 65,914.78 16,858. SH DEFINED 1 16,858. 0 . -------------------------------------------- General Dynamics Corp COM 369550108 12,513,409.70 177,470. SH DEFINED 1 170,842. 0 6,628. -------------------------------------------- General Motors Co COM 37045V100 60,367,953.36 2,169,948. SH DEFINED 1 1,700,558. 0 469,390. -------------------------------------------- GlaxoSmithKline PLC ADR 37733W105 47,954,920.25 1,022,275. SH DEFINED 1 932,964. 0 89,311. -------------------------------------------- Gold Fields Ltd ADR 38059T106 3,826,361.00 493,724. SH DEFINED 1 413,338. 0 80,386. -------------------------------------------- Goodrich Petroleum Corp Convertible 382410AC2 7,729,800.00 7,928,000. PRN DEFINED 1 6,871,000. 0 1,057,000. -------------------------------------------- Health Net Inc/CA COM 42222G108 14,417,496.72 503,756. SH DEFINED 1 460,725. 0 43,031. -------------------------------------------- Industrias Bachoco SAB de CV ADR 456463108 3,669,806.36 114,253. SH DEFINED 1 65,870. 0 48,383. -------------------------------------------- ING Groep NV ADR 456837103 80,180,340.73 11,120,713. SH DEFINED 1 9,625,240. 0 1,495,473. -------------------------------------------- Ingram Micro Inc COM 457153104 44,219,602.08 2,246,931. SH DEFINED 1 1,676,117. 0 570,814. -------------------------------------------- Intel Corp COM 458140100 12,704,934.94 581,861. SH DEFINED 1 569,436. 0 12,425. -------------------------------------------- Interpublic Group of Cos Inc/The COM 460690100 11,936,235.74 916,058. SH DEFINED 1 881,109. 0 34,949. -------------------------------------------- IRSA Inversiones y Representaciones SA ADR 450047204 2,759,529.19 292,633. SH DEFINED 1 189,872. 0 102,761. -------------------------------------------- KB Financial Group Inc ADR 48241A105 70,690,599.84 2,139,546. SH DEFINED 1 1,641,679. 0 497,867. -------------------------------------------- Kinross Gold Corp COM 496902404 155,934,314.64 19,663,848. SH DEFINED 1 16,143,531. 0 3,520,317. -------------------------------------------- Korea Electric Power Corp ADR 500631106 873,075.96 64,244. SH DEFINED 1 141. 0 64,103. -------------------------------------------- Kroger Co/The COM 501044101 52,195,036.04 1,574,986. SH DEFINED 1 1,163,258. 0 411,728. -------------------------------------------- KT Corp ADR 48268K101 2,019,441.95 128,545. SH DEFINED 1 124,682. 0 3,863. -------------------------------------------- Layne Christensen Co COM 521050104 6,633,422.94 310,263. SH DEFINED 1 267,894. 0 42,369. -------------------------------------------- Loews Corp COM 540424108 27,697,333.95 628,485. SH DEFINED 1 605,060. 0 23,425. -------------------------------------------- Manpower Inc COM 56418H100 30,642,526.24 540,242. SH DEFINED 1 476,074. 0 64,168. -------------------------------------------- Microsoft Corp COM 594918104 24,801,049.89 867,018. SH DEFINED 1 842,593. 0 24,425. -------------------------------------------- Molson Coors Brewing Co COM 60871R209 20,592,924.45 420,865. SH DEFINED 1 389,441. 0 31,424. -------------------------------------------- Mosaic Co/The COM 61945C103 29,213,370.75 490,075. SH DEFINED 1 350,440. 0 139,635. -------------------------------------------- Newmont Mining Corp COM 651639106 53,886,374.42 1,286,378. SH DEFINED 1 996,867. 0 289,511. -------------------------------------------- NII Holdings Inc COM 62913F201 28,182,461.20 6,516,176. SH DEFINED 1 4,853,300. 0 1,662,876. -------------------------------------------- Nippon Telegraph & Telephone Corp ADR 654624105 101,414,273.80 4,664,870. SH DEFINED 1 3,933,681. 0 731,189. -------------------------------------------- Nokia OYJ ADR 654902204 5,612,211.20 1,711,040. SH DEFINED 1 1,304,868. 0 406,172. -------------------------------------------- Northern Trust Corp COM 665859104 8,681,646.32 159,124. SH DEFINED 1 153,743. 0 5,381. -------------------------------------------- Novagold Resources Inc COM 66987E206 17,876,109.24 4,924,548. SH DEFINED 1 3,845,889. 0 1,078,659. -------------------------------------------- Novartis AG ADR 66987V109 14,090,274.64 197,786. SH DEFINED 1 149,969. 0 47,817. -------------------------------------------- NTT DOCOMO Inc ADR 62942M201 1,916,237.42 128,866. SH DEFINED 1 69,207. 0 59,659. -------------------------------------------- Old Republic International Corp COM 680223104 17,377,556.85 1,367,235. SH DEFINED 1 1,252,265. 0 114,970. -------------------------------------------- Pampa Energia SA ADR 697660207 731,599.80 181,990. SH DEFINED 1 181,990. 0 . -------------------------------------------- Panasonic Corp ADR 69832A205 39,844,010.85 5,435,745. SH DEFINED 1 4,981,684. 0 454,061. -------------------------------------------- Peabody Energy Corp COM 704549104 52,075,508.85 2,462,199. SH DEFINED 1 1,895,038. 0 567,161. -------------------------------------------- Petrobras Argentina SA ADR 71646J109 11,855,092.26 2,506,362. SH DEFINED 1 2,036,429. 0 469,933. -------------------------------------------- Petroleo Brasileiro SA ADR 71654V101 8,623,264.65 475,111. SH DEFINED 1 359,270. 0 115,841. -------------------------------------------- Potash Corp of Saskatchewan Inc COM 73755L107 579,761.75 14,771. SH DEFINED 1 14,771. 0 . -------------------------------------------- Royal Dutch Shell PLC ADR 780259107 62,766,030.60 939,330. SH DEFINED 1 825,337. 0 113,993. -------------------------------------------- SAIC Inc COM 78390X101 46,010,976.20 3,395,644. SH DEFINED 1 2,501,132. 0 894,512. -------------------------------------------- Sanofi ADR 80105N105 61,177,698.72 1,197,684. SH DEFINED 1 1,088,781. 0 108,903. -------------------------------------------- Siemens AG ADR 826197501 36,657,605.60 340,052. SH DEFINED 1 311,337. 0 28,715. -------------------------------------------- Silver Standard Resources Inc COM 82823L106 19,430,916.15 1,841,793. SH DEFINED 1 1,649,654. 0 192,139. -------------------------------------------- SK Telecom Co Ltd ADR 78440P108 65,231,665.15 3,650,345. SH DEFINED 1 3,108,917. 0 541,428. -------------------------------------------- SkyWest Inc COM 830879102 20,874,020.10 1,300,562. SH DEFINED 1 1,129,287. 0 171,275. -------------------------------------------- Smithfield Foods Inc COM 832248108 23,098,742.32 872,309. SH DEFINED 1 742,473. 0 129,836. -------------------------------------------- Southwest Airlines Co COM 844741108 51,473,636.12 3,818,519. SH DEFINED 1 2,500,639. 0 1,317,880. -------------------------------------------- Suncor Energy Inc COM 867224107 4,033,974.21 134,421. SH DEFINED 1 134,421. 0 . -------------------------------------------- Superior Energy Services Inc COM 868157108 20,746,212.41 798,853. SH DEFINED 1 725,750. 0 73,103. -------------------------------------------- Talisman Energy Inc COM 87425E103 80,275,805.75 6,553,127. SH DEFINED 1 5,746,882. 0 806,245. -------------------------------------------- Tech Data Corp COM 878237106 27,876,689.35 611,465. SH DEFINED 1 555,760. 0 55,705. -------------------------------------------- Telecom Italia SpA ADR 87927Y201 75,594,030.40 12,392,464. SH DEFINED 1 10,847,553. 0 1,544,911. -------------------------------------------- Telefonaktiebolaget LM Ericsson ADR 294821608 46,282,017.60 3,673,176. SH DEFINED 1 3,182,149. 0 491,027. -------------------------------------------- Telekomunikasi Indonesia Persero Tbk PT ADR 715684106 407,613.36 9,042. SH DEFINED 1 14. 0 9,028. -------------------------------------------- Teva Pharmaceutical Industries Ltd ADR 881624209 153,480,017.92 3,867,944. SH DEFINED 1 3,074,555. 0 793,389. -------------------------------------------- Tim Participacoes SA ADR 88706P205 12,160,378.88 555,776. SH DEFINED 1 487,639. 0 68,137. -------------------------------------------- Time Warner Cable Inc COM 88732J207 22,390,625.40 233,090. SH DEFINED 1 224,811. 0 8,279. -------------------------------------------- Time Warner Inc COM 887317303 8,135,252.56 141,188. SH DEFINED 1 135,799. 0 5,389. -------------------------------------------- Toyota Motor Corp ADR 892331307 57,705,439.68 562,212. SH DEFINED 1 484,064. 0 78,148. -------------------------------------------- Transocean Ltd COM H8817H100 603,723.24 11,619. SH DEFINED 1 20. 0 11,599. -------------------------------------------- Turquoise Hill Resources Ltd COM 900435108 40,024,777.44 6,293,204. SH DEFINED 1 4,620,849. 0 1,672,355. -------------------------------------------- Tyson Foods Inc COM 902494103 39,622,275.70 1,596,385. SH DEFINED 1 1,186,980. 0 409,405. -------------------------------------------- UBS AG COM H89231338 89,408,466.63 5,809,517. SH DEFINED 1 4,681,112. 0 1,128,405. -------------------------------------------- USEC Inc Convertible 90333EAC2 2,826,560.00 8,833,000. PRN DEFINED 1 7,946,000. 0 887,000. -------------------------------------------- Vodafone Group PLC ADR 92857W209 68,003,800.00 2,394,500. SH DEFINED 1 2,198,885. 0 195,615. -------------------------------------------- Wacoal Holdings Corp ADR 930004205 38,009,000.60 706,487. SH DEFINED 1 645,932. 0 60,555. -------------------------------------------- Walgreen Co COM 931422109 13,099,555.52 274,739. SH DEFINED 1 263,583. 0 11,156. -------------------------------------------- Weatherford International Ltd/Switzerland COM H27013103 113,953,870.30 9,386,645. SH DEFINED 1 7,768,349. 0 1,618,296. -------------------------------------------- Western Digital Corp COM 958102105 55,311,657.66 1,099,854. SH DEFINED 1 795,351. 0 304,503. --------------------------------------------