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) 9,299

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

Sector Weighting

Basic Materials 3.95%
Capital Goods 6.31%
Conglomerates 0.04%
Consumer Cyclical 5.23%
Consumer/Non-Cyclical 2.53%
Energy 9.26%
Financial 29.48%
Healthcare 7.41%
Services 14.22%
Technology 17.61%
Transportation 1.75%
Utilities 1.82%

190 Activity Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
PENNANTPARK FLOATING RATE CAP COM 6,241 1,789 40.18 454,877
GENERAL PHYSICS CORP COM 5,894 157 2.74 1,274,346
ABBVIE INC COM 5,820 140 2.47 85,948
ANALOG DEVICES INC COM 5,726 728 14.56 100,900
MFS INTER INCOME TR SH BEN INT 5,270 -1,406 (21.06) 1,073,254
MERCK & CO INC NEW COM 4,993 -30 (0.59) 83,811
ING GROEP N V SPONSORED ADR 4,717 -40 (0.83) 357,075
CALIFORNIA RES CORP COM 4,639 -294 (5.96) 746,999
NIPPON TELEG & TEL CORP SPONSORED ADR 4,548 -32 (0.7) 172,422
MEDLEY CAP CORP COM 4,181 -182 (4.17) 437,770
NORTHSTAR RLTY FIN CORP COM NEW 4,088 4,088 New 235,500
ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 4,057 -72 (1.74) 153,902
HILTON WORLDWIDE HLDGS INC COM 4,040 4,040 New 154,301
FS INVT CORP COM 3,825 3,825 New 375,700
NAVIOS MARITIME HLDGS INC SPON ADR PFD H 3,800 3,800 New 210,500
TRIPLEPOINT VENTR GRW BDC CORP COM 3,615 -66 (1.79) 243,766
GENERAL ELECTRIC CO COM 3,571 -3 (0.08) 139,395
APPLE INC COM 3,492 3,492 New 31,237
HANNON ARMSTRONG SUST INFR CAP COM 3,298 174 5.55 229,977
SUNCOR ENERGY INC NEW COM 3,123 2 .08 97,900


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