0000909012-14-000340.txt : 20140814
0000909012-14-000340.hdr.sgml : 20140814
20140814163223
ACCESSION NUMBER: 0000909012-14-000340
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140630
FILED AS OF DATE: 20140814
DATE AS OF CHANGE: 20140814
EFFECTIVENESS DATE: 20140814
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: 141043433
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/A
1
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06-30-2014
06-30-2014
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1
RESTATEMENT
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
08-14-2014
1
177
9943680
1
028-11405
Nuveen Investments, Inc.
INFORMATION TABLE
2
aci_13f.xml
AbbVie Inc
COM
00287Y109
4734
83878
SH
DFND
1
83878
0
0
Abengoa Yield plc
ORD SHS
G00349103
506
13375
SH
DFND
1
13375
0
0
Actuant Corp
CL A NEW
00508X203
5433
157153
SH
DFND
1
153164
0
3989
Agrium Inc
COM
008916108
106467
1161923
SH
DFND
1
1082100
0
79823
Albany International Corp
CL A
012348108
49735
1310185
SH
DFND
1
1146926
0
163259
AllianceBernstein Global High Income Fund Inc
COM
01879R106
1624
113000
SH
DFND
1
113000
0
0
American International Group Inc
COM NEW
026874784
301224
5518942
SH
DFND
1
5127510
0
391432
Analog Devices Inc
COM
032654105
4762
88075
SH
DFND
1
88075
0
0
Analogic Corp
COM PAR $0.05
032657207
23186
296350
SH
DFND
1
238795
0
57555
AngloGold Ashanti Ltd
SPONSORED ADR
035128206
75616
4393748
SH
DFND
1
4113737
0
280011
Aon PLC
SHS CL A
G0408V102
219020
2431126
SH
DFND
1
2254984
0
176142
Apache Corp
COM
037411105
265523
2638866
SH
DFND
1
2463506
0
175360
Apollo Global Management LLC
CL A SHS
037612306
930
33550
SH
DFND
1
33550
0
0
Ares Capital Corp
COM
04010L103
8564
479500
SH
DFND
1
479500
0
0
Ares Dynamic Credit Allocation Fund Inc
COM
04014F102
3837
210705
SH
DFND
1
210705
0
0
Arlington Asset Investment Corp
CL A NEW
041356205
5180
189548
SH
DFND
1
189548
0
0
Ashford Hospitality Trust Inc
9% CUM PFD SER E
044103505
4315
156620
SH
DFND
1
156620
0
0
AstraZeneca PLC
SPONSORED ADR
046353108
4791
64475
SH
DFND
1
64475
0
0
Astronics Corp
COM
046433108
44486
788064
SH
DFND
1
690152
0
97912
AuRico Gold Inc
COM
05155C105
1795
421350
SH
DFND
1
421350
0
0
Avery Dennison Corp
COM
053611109
45082
879657
SH
DFND
1
852772
0
26885
Avon Products Inc
COM
054303102
103437
7079890
SH
DFND
1
6612258
0
467632
Axis Capital Holdings Ltd
SHS
G0692U109
31601
713664
SH
DFND
1
696482
0
17182
Baker Hughes Inc
COM
057224107
112674
1513415
SH
DFND
1
1407383
0
106032
Bank of New York Mellon Corp/The
COM
064058100
7011
187050
SH
DFND
1
187050
0
0
Barrick Gold Corp
COM
067901108
1213
66274
SH
DFND
1
66274
0
0
Bio-Rad Laboratories Inc
CL A
090572207
62705
523806
SH
DFND
1
508013
0
15793
Bob Evans Farms Inc/DE
COM
096761101
21515
429870
SH
DFND
1
383329
0
46541
Boise Cascade Co
COM
09739D100
22641
790535
SH
DFND
1
630500
0
160035
Boston Private Financial Holdings Inc
DEP SHS
101119303
2281
91623
SH
DFND
1
91623
0
0
Bruker Corp
COM
116794108
29396
1211209
SH
DFND
1
1180965
0
30244
CA Inc
COM
12673P105
200301
6969411
SH
DFND
1
6498621
0
470790
Cambria Shareholder Yield ETF
SHSHLD YIELD ETF
132061201
4267
138725
SH
DFND
1
138725
0
0
Canadian Natural Resources Ltd
COM
136385101
182386
3972693
SH
DFND
1
3699787
0
272906
Capital One Financial Corp
COM
14040H105
143530
1737649
SH
DFND
1
1615818
0
121831
Carrizo Oil & Gas Inc
COM
144577103
23287
336227
SH
DFND
1
299744
0
36483
CenturyLink Inc
COM
156700106
109794
3032985
SH
DFND
1
2826870
0
206115
Cisco Systems Inc
COM
17275R102
113109
4551669
SH
DFND
1
4243089
0
308580
Citigroup Inc
COM NEW
172967424
271934
5773552
SH
DFND
1
5377059
0
396493
Clearwater Paper Corp
COM
18538R103
35508
575313
SH
DFND
1
561384
0
13929
Coherent Inc
COM
192479103
69438
1049391
SH
DFND
1
944581
0
104810
CommonWealth REIT
CV PFD-E 7.25%
203233606
335
12990
SH
DFND
1
12990
0
0
Compass Diversified Holdings
SH BEN INT
20451Q104
932
51347
SH
DFND
1
51347
0
0
Comstock Resources Inc
COM NEW
205768203
39053
1354120
SH
DFND
1
1208145
0
145975
Crestwood Midstream Partners LP
UNIT LTD PARTNER
226378107
913
41375
SH
DFND
1
41375
0
0
Cushing Royalty & Income Fund/The
COM SH BEN INT
23164R104
3925
193923
SH
DFND
1
193923
0
0
CVS Caremark Corp
COM
126650100
159691
2118767
SH
DFND
1
1973829
0
144938
Delphi Automotive PLC
SHS
G27823106
8607
125208
SH
DFND
1
119435
0
5773
Deltic Timber Corp
COM
247850100
32289
534407
SH
DFND
1
477197
0
57210
Denbury Resources Inc
COM NEW
247916208
27469
1488027
SH
DFND
1
1426660
0
61367
Eaton Corp PLC
SHS
G29183103
1130
14640
SH
DFND
1
14640
0
0
Elizabeth Arden Inc
COM
28660G106
55256
2579638
SH
DFND
1
2300104
0
279534
Endurance Specialty Holdings Ltd
SHS
G30397106
3477
67400
SH
DFND
1
67400
0
0
Energy Transfer Equity LP
COM UT LTD PTN
29273V100
2036
34550
SH
DFND
1
34550
0
0
EnerSys
COM
29275Y102
20418
296819
SH
DFND
1
264828
0
31991
Entegris Inc
COM
29362U104
23902
1738944
SH
DFND
1
1411244
0
327700
Esterline Technologies Corp
COM
297425100
25186
218780
SH
DFND
1
175850
0
42930
Euronet Worldwide Inc
COM
298736109
31998
663310
SH
DFND
1
589145
0
74165
Express Inc
COM
30219E103
37438
2198380
SH
DFND
1
1895826
0
302554
Exxon Mobil Corp
COM
30231G102
717
7120
SH
DFND
1
7120
0
0
FBR & Co
COM NEW
30247C400
25350
934406
SH
DFND
1
893011
0
41395
Ford Motor Co
COM PAR $0.01
345370860
133860
7764504
SH
DFND
1
7259619
0
504885
Forestar Group Inc
COM
346233109
83853
4392535
SH
DFND
1
3925213
0
467322
General Electric Co
COM
369604103
3666
139500
SH
DFND
1
139500
0
0
General Motors Co
COM
37045V100
234569
6461951
SH
DFND
1
6001658
0
460293
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
7960
148850
SH
DFND
1
148850
0
0
Goldman Sachs Group Inc/The
COM
38141G104
123976
740419
SH
DFND
1
687976
0
52443
GP Strategies Corp
COM
36225V104
32102
1240406
SH
DFND
1
1000448
0
239958
Griffon Corp
COM
398433102
21813
1759109
SH
DFND
1
1559368
0
199741
GSI Group Inc
COM NEW
36191C205
25391
1994549
SH
DFND
1
1625654
0
368895
Hannon Armstrong Sustainable Infrastructure Capital Inc
COM
41068X100
3124
217877
SH
DFND
1
217877
0
0
Harman International Industries Inc
COM
413086109
41844
389497
SH
DFND
1
347453
0
42044
Hartford Financial Services Group Inc/The
COM
416515104
271236
7574297
SH
DFND
1
7070147
0
504150
Hercules Technology Growth Capital Inc
COM
427096508
4574
283025
SH
DFND
1
283025
0
0
HomeStreet Inc
COM
43785V102
2517
137003
SH
DFND
1
104593
0
32410
Hooker Furniture Corp
COM
439038100
21923
1358287
SH
DFND
1
1060632
0
297655
Impax Laboratories Inc
COM
45256B101
29535
984841
SH
DFND
1
855603
0
129238
ING Groep NV
SPONSORED ADR
456837103
5048
360072
SH
DFND
1
360072
0
0
Ingersoll-Rand PLC
SHS
G47791101
142872
2285593
SH
DFND
1
2133529
0
152064
Integrated Device Technology Inc
COM
458118106
31839
2059470
SH
DFND
1
1663955
0
395515
Intelsat SA
MAN CONV JR PFD
L5140P119
2976
58450
PRN
DFND
1
58450
0
0
Inter Parfums Inc
COM
458334109
40648
1375568
SH
DFND
1
1225138
0
150430
International Game Technology
COM
459902102
14580
916416
SH
DFND
1
875657
0
40759
International Rectifier Corp
COM
460254105
84715
3036365
SH
DFND
1
2709566
0
326799
Interpublic Group of Cos Inc/The
COM
460690100
193559
9920996
SH
DFND
1
9281520
0
639476
iShares Core U.S. Aggregate Bond ETF
CORE TOTUSBD ETF
464287226
438
4000
SH
DFND
1
4000
0
0
iShares iBoxx $ Investment Grade Corporate Bond ETF
IBOXX INV CP ETF
464287242
49874
418193
SH
DFND
1
384038
0
34155
iShares Russell 1000 Value ETF
RUS 1000 VAL ETF
464287598
1636
16155
SH
DFND
1
16155
0
0
iShares US Preferred Stock ETF
U.S. PFD STK ETF
464288687
1365
34200
SH
DFND
1
34200
0
0
Jazz Pharmaceuticals Plc
SHS USD
G50871105
30420
206924
SH
DFND
1
201676
0
5248
JDS Uniphase Corp
COM PAR $0.001
46612J507
17559
1408127
SH
DFND
1
1376724
0
31403
JPMorgan Chase & Co
COM
46625H100
198920
3452281
SH
DFND
1
3231693
0
220588
Key Energy Services Inc
COM
492914106
49446
5409811
SH
DFND
1
4938198
0
471613
Koninklijke Philips NV
NY REG SH NEW
500472303
2492
78450
SH
DFND
1
78450
0
0
Laclede Group Inc/The
COM
505597104
21665
446243
SH
DFND
1
398311
0
47932
Lattice Semiconductor Corp
COM
518415104
32396
3926730
SH
DFND
1
3157105
0
769625
LinnCo LLC
COMSHS LTD INT
535782106
6655
212700
SH
DFND
1
212700
0
0
Loews Corp
COM
540424108
127093
2887817
SH
DFND
1
2680187
0
207630
Louisiana-Pacific Corp
COM
546347105
26685
1776649
SH
DFND
1
1697103
0
79546
Marten Transport Ltd
COM
573075108
28162
1260065
SH
DFND
1
1010295
0
249770
Materion Corp
COM
576690101
7185
194240
SH
DFND
1
161685
0
32555
McDermott International Inc
COM
580037109
69990
8651458
SH
DFND
1
7902794
0
748664
Measurement Specialties Inc
COM
583421102
10450
121416
SH
DFND
1
97552
0
23864
Medley Capital Corp
COM
58503F106
5966
456800
SH
DFND
1
456800
0
0
Merck & Co Inc
COM
58933Y105
4877
84311
SH
DFND
1
84311
0
0
Methode Electronics Inc
COM
591520200
11660
305152
SH
DFND
1
248849
0
56303
MetLife Inc
COM
59156R108
171514
3086997
SH
DFND
1
2868551
0
218446
MFS Intermediate Income Trust
SH BEN INT
55273C107
7179
1359653
SH
DFND
1
1359653
0
0
Microchip Technology Inc
COM
595017104
5284
108250
SH
DFND
1
108250
0
0
Microsemi Corp
COM
595137100
93202
3482887
SH
DFND
1
3128137
0
354750
Microsoft Corp
COM
594918104
265273
6361462
SH
DFND
1
5951365
0
410097
Mitel Networks Corp
COM
60671Q104
30184
2863794
SH
DFND
1
2554889
0
308905
MKS Instruments Inc
COM
55306N104
39854
1275746
SH
DFND
1
1175217
0
100529
National CineMedia Inc
COM
635309107
7727
441300
SH
DFND
1
441300
0
0
Navios Maritime Holdings Inc
SPN ADR RP PFD G
63938Y100
1084
42100
SH
DFND
1
42100
0
0
Neenah Paper Inc
COM
640079109
26093
490931
SH
DFND
1
394116
0
96815
New Residential Investment Corp
COM
64828T102
2590
411125
SH
DFND
1
411125
0
0
Nippon Telegraph & Telephone Corp
SPONSORED ADR
654624105
5419
173629
SH
DFND
1
173629
0
0
Norwegian Cruise Line Holdings Ltd
SHS
G66721104
162445
5124454
SH
DFND
1
4760093
0
364361
NRG Energy Inc
COM NEW
629377508
116561
3133354
SH
DFND
1
2921703
0
211651
Occidental Petroleum Corp
COM
674599105
203809
1985866
SH
DFND
1
1850558
0
135308
Oracle Corp
COM
68389X105
201541
4972647
SH
DFND
1
4642417
0
330230
Orbital Sciences Corp
COM
685564106
48916
1655377
SH
DFND
1
1475776
0
179601
PACCAR Inc
COM
693718108
116601
1855817
SH
DFND
1
1728457
0
127360
PacWest Bancorp
COM
695263103
17252
399620
SH
DFND
1
325670
0
73950
PartnerRe Ltd
COM
G6852T105
14695
134556
SH
DFND
1
130676
0
3880
PennantPark Floating Rate Capital Ltd
COM
70806A106
4637
324492
SH
DFND
1
324492
0
0
PennyMac Financial Services Inc
CL A
70932B101
1647
108444
SH
DFND
1
108444
0
0
PennyMac Mortgage Investment Trust
COM
70931T103
16380
746561
SH
DFND
1
716324
0
30237
Pfizer Inc
COM
717081103
188854
6363006
SH
DFND
1
5939141
0
423865
PH Glatfelter Co
COM
377316104
55961
2109336
SH
DFND
1
1886874
0
222462
Philip Morris International Inc
COM
718172109
61033
723916
SH
DFND
1
673571
0
50345
Phillips 66
COM
718546104
68079
846439
SH
DFND
1
782468
0
63971
PowerShares Buyback Achievers Portfolio
DYNA BUYBK ACH
73935X286
4298
95825
SH
DFND
1
95825
0
0
PrivateBancorp Inc
COM
742962103
33270
1144871
SH
DFND
1
1040941
0
103930
Procter & Gamble Co/The
COM
742718109
2134
27148
SH
DFND
1
27148
0
0
Rambus Inc
COM
750917106
25387
1775289
SH
DFND
1
1742063
0
33226
Raytheon Co
COM NEW
755111507
95920
1039788
SH
DFND
1
962988
0
76800
Redwood Trust Inc
COM
758075402
10753
552305
SH
DFND
1
530943
0
21362
Reinsurance Group of America Inc
COM NEW
759351604
63313
802446
SH
DFND
1
777112
0
25334
Royal Dutch Shell PLC
SPONS ADR A
780259206
7133
86600
SH
DFND
1
86600
0
0
Sagent Pharmaceuticals Inc
COM
786692103
20740
802021
SH
DFND
1
644136
0
157885
Sanofi
SPONSORED ADR
80105N105
138375
2602503
SH
DFND
1
2437942
0
164561
Selective Insurance Group Inc
COM
816300107
1311
53049
SH
DFND
1
53049
0
0
Stoneridge Inc
COM
86183P102
15112
1409698
SH
DFND
1
1131816
0
277882
Suncor Energy Inc
COM
867224107
4170
97825
SH
DFND
1
97825
0
0
Sunstone Hotel Investors Inc
CV 8% CUM PFD-D
867892507
852
32074
SH
DFND
1
32074
0
0
Talisman Energy Inc
COM
87425E103
253472
23912494
SH
DFND
1
22308399
0
1604095
Target Corp
COM
87612E106
136816
2360926
SH
DFND
1
2198218
0
162708
TCP Capital Corp
COM
87238Q103
1170
64262
SH
DFND
1
64262
0
0
Telefonaktiebolaget LM Ericsson
ADR B SEK 10
294821608
8865
733850
SH
DFND
1
733850
0
0
Teradyne Inc
COM
880770102
165893
8463937
SH
DFND
1
8027456
0
436481
Tesoro Corp
COM
881609101
96896
1651536
SH
DFND
1
1547628
0
103908
Teva Pharmaceutical Industries Ltd
ADR
881624209
266593
5085717
SH
DFND
1
4754169
0
331548
Texas Capital Bancshares Inc
COM
88224Q107
45631
845798
SH
DFND
1
754411
0
91387
Texas Roadhouse Inc
COM
882681109
5776
222140
SH
DFND
1
211892
0
10248
Time Inc
COM
887228104
2472
102082
SH
DFND
1
96320
0
5762
Time Warner Inc
COM NEW
887317303
197084
2805469
SH
DFND
1
2592254
0
213215
Total SA
SPONSORED ADR
89151E109
6790
94050
SH
DFND
1
94050
0
0
TreeHouse Foods Inc
COM
89469A104
22443
280292
SH
DFND
1
250127
0
30165
TrimTabs Float Shrink ETF
TRIMTABS FLT
00768Y818
4282
83575
SH
DFND
1
83575
0
0
TriplePoint Venture Growth BDC Corp
COM
89677Y100
4065
248196
SH
DFND
1
248196
0
0
Twenty-First Century Fox Inc
CL A
90130A101
2148
61100
SH
DFND
1
61100
0
0
UMH Properties Inc
CV RED PFD-A
903002202
352
13382
SH
DFND
1
13382
0
0
Union Pacific Corp
COM
907818108
119499
1197980
SH
DFND
1
1113754
0
84226
UnitedHealth Group Inc
COM
91324P102
1845
22565
SH
DFND
1
4565
0
18000
Unum Group
COM
91529Y106
236356
6799655
SH
DFND
1
6356706
0
442949
VeriFone Systems Inc
COM
92342Y109
40593
1104562
SH
DFND
1
1069653
0
34909
Viacom Inc
CL B
92553P201
177375
2045135
SH
DFND
1
1912451
0
132684
Vodafone Group PLC
SPNSR ADR NO PAR
92857W308
3696
110686
SH
DFND
1
110686
0
0
Waste Management Inc
COM
94106L109
888
19857
SH
DFND
1
19809
0
48
Wells Fargo & Co
COM
949746101
200956
3823367
SH
DFND
1
3579259
0
244108
WESCO International Inc
COM
95082P105
16117
186587
SH
DFND
1
181694
0
4893
Western Alliance Bancorp
COM
957638109
48496
2037652
SH
DFND
1
1822451
0
215201
Weyerhaeuser Co
COM
962166104
1372
41457
SH
DFND
1
41189
0
268
Whiting USA Trust II
TR UNIT
966388100
1485
116723
SH
DFND
1
116723
0
0
Woodward Inc
COM
980745103
29595
589778
SH
DFND
1
576867
0
12911