NWQ INVESTMENT MANAGEMENT COMPANY, LLC Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 180
New Positions 16
Increased Positions 83
Decreased Positions 88
Positions with Activity 171
Sold Out Positions 17
Total Mkt Value (in $ millions) 11,768

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

Sector Weighting

Basic Materials 4.51%
Capital Goods 4.81%
Conglomerates
Consumer Cyclical 5.79%
Consumer/Non-Cyclical 2.48%
Energy 14.33%
Financial 28.02%
Healthcare 8.21%
Services 14.46%
Technology 14.58%
Transportation 1.62%
Utilities 1.02%

171 Activity Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NIPPON TELEG & TEL CORP SPONSORED ADR 5,294 18 .35 157,479
ARLINGTON ASSET INVT CORP CL A NEW 5,155 5,155 New 195,648
TEXAS ROADHOUSE INC COM 5,133 -2,309 (31.03) 203,919
MICROCHIP TECHNOLOGY INC COM 5,009 1,310 35.42 108,300
TCP CAP CORP COM 5,003 -303 (5.72) 290,212
ING GROEP N V SPONSORED ADR 4,871 4,871 New 360,797
PENNANTPARK FLOATING RATE CAP COM 4,540 4,540 New 324,492
ANALOG DEVICES INC COM 4,479 107 2.44 88,075
ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 4,283 25 .58 157,120
GENERAL PHYSICS CORP COM 4,240 -57 (1.33) 916,742
SUNCOR ENERGY INC NEW COM 4,097 -31 (0.76) 97,825
TRIPLEPOINT VENTR GRW BDC CORP COM 3,859 3,859 New 248,196
GENERAL ELECTRIC CO COM 3,769 4 .10 147,000
COTT CORP QUE COM 3,494 -5,677 (61.9) 527,050
MATTHEWS INTL CORP CL A 3,310 -2,987 (47.44) 75,424
ORION MARINE GROUP INC COM 3,116 -501 (13.86) 288,743
SELECTIVE INS GROUP INC COM 2,754 2,754 New 121,500
AURICO GOLD INC COM 1,871 -2 (0.11) 451,850
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 1,848 1,848 New 32,600
BOSTON PRIVATE FINL HLDGS INC DEP SHS 1,799 806 81.24 72,060