NWQ INVESTMENT MANAGEMENT COMPANY, LLC Information

2049 CENTURY PARK EAST, LOS ANGELES, California, 90067, (310) 552-5114

Report Date: 09/30/2014

Position Statistics

Total Positions 196
New Positions 19
Increased Positions 86
Decreased Positions 104
Positions with Activity 190
Sold Out Positions 18
Total Mkt Value (in $ millions) 9,014

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 4.03%
Capital Goods 6.28%
Conglomerates 0.04%
Consumer Cyclical 5.21%
Consumer/Non-Cyclical 2.56%
Energy 9.02%
Financial 29.53%
Healthcare 7.41%
Services 14.37%
Technology 17.54%
Transportation 1.76%
Utilities 1.86%

190 Activity Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
JDS UNIPHASE CORP COM PAR $0.001 16,873 -2,404 (12.47) 1,232,515
DENBURY RES INC COM NEW 15,983 5,314 49.81 2,229,165
PENNYMAC MTG INVT TR COM 15,741 -549 (3.37) 721,416
WESCO INTL INC COM 14,509 726 5.27 196,413
CARRIZO OIL & GAS INC COM 13,679 1,023 8.08 363,408
CAPITAL BK FINL CORP CL A COM 13,032 13,032 New 505,124
LANDEC CORP COM 12,522 12,522 New 867,182
SAGENT PHARMACEUTICALS INC COM 12,437 -6,844 (35.5) 517,326
REDWOOD TR INC COM 10,279 -696 (6.34) 517,299
GRIFFON CORP COM 10,220 -11,769 (53.52) 817,592
ARES CAP CORP COM 10,143 3,020 42.40 682,800
ACTUANT CORP CL A NEW 10,135 5,636 125.26 354,002
GLAXOSMITHKLINE PLC SPONSORED ADR 8,750 2,492 39.82 208,125
METHODE ELECTRS INC COM 6,979 -3,377 (32.61) 205,642
NATIONAL CINEMEDIA INC COM 6,708 680 11.29 491,100
ERICSSON ADR B SEK 10 6,659 -2,089 (23.88) 558,600
ARLINGTON ASSET INVT CORP CL A NEW 6,591 1,469 28.69 243,923
NEW RESIDENTIAL INVT CORP COM NEW 6,588 3,901 145.20 504,038
HERCULES TECH GROWTH CAP INC COM 6,193 2,121 52.07 430,400
ARES DYNAMIC CR ALLOCATION FD COM 6,150 2,828 85.09 390,003


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