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 195
New Positions 19
Increased Positions 86
Decreased Positions 103
Positions with Activity 189
Sold Out Positions 18
Total Mkt Value (in $ millions) 8,869

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

Sector Weighting

Basic Materials 4.33%
Capital Goods 6.64%
Conglomerates 0.04%
Consumer Cyclical 5.48%
Consumer/Non-Cyclical 2.31%
Energy 9.09%
Financial 28.26%
Healthcare 7.85%
Services 14.65%
Technology 17.3%
Transportation 1.84%
Utilities 1.79%

189 Activity Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CARRIZO OIL & GAS INC COM 15,365 1,149 8.08 363,408
DENBURY RES INC COM NEW 14,534 4,832 49.81 2,229,165
SAGENT PHARMACEUTICALS INC COM 13,709 -7,544 (35.5) 517,326
WESCO INTL INC COM 13,203 661 5.27 196,413
CAPITAL BK FINL CORP CL A COM 12,315 12,315 New 505,124
GRIFFON CORP COM 11,912 -13,718 (53.52) 817,592
LANDEC CORP COM 11,664 11,664 New 867,182
ARES CAP CORP COM 11,273 3,356 42.40 682,800
REDWOOD TR INC COM 10,372 -702 (6.34) 517,299
COMSTOCK RES INC COM NEW 9,458 4,353 85.27 2,508,749
GLAXOSMITHKLINE PLC SPONSORED ADR 9,399 2,677 39.82 208,125
ACTUANT CORP CL A NEW 8,333 4,634 125.26 354,002
METHODE ELECTRS INC COM 7,580 -3,668 (32.61) 205,642
NATIONAL CINEMEDIA INC COM 7,288 739 11.29 491,100
ERICSSON ADR B SEK 10 6,904 -2,166 (23.88) 558,600
ARLINGTON ASSET INVT CORP CL A NEW 6,549 1,460 28.69 243,923
NEW RESIDENTIAL INVT CORP COM NEW 6,507 3,853 145.20 504,038
HERCULES TECH GROWTH CAP INC COM 6,379 2,184 52.07 430,400
ARES DYNAMIC CR ALLOCATION FD COM 6,221 2,860 85.09 390,003
PENNANTPARK FLOATING RATE CAP COM 6,118 1,754 40.18 454,877


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