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) 9,276

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

Sector Weighting

Basic Materials 4.06%
Capital Goods 6.4%
Conglomerates 0.03%
Consumer Cyclical 5.2%
Consumer/Non-Cyclical 2.5%
Energy 9.95%
Financial 29.4%
Healthcare 7.31%
Services 13.81%
Technology 17.17%
Transportation 1.79%
Utilities 2.01%

189 Activity Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SUNCOR ENERGY INC NEW COM 3,450 3 .08 97,900
HANNON ARMSTRONG SUST INFR CAP COM 3,185 168 5.55 229,977
WILLIAMS COS INC DEL COM 3,015 3,015 New 54,900
STONEMOR PARTNERS L P COM UNITS 2,995 2,995 New 114,100
APOLLO GLOBAL MGMT LLC CL A SHS 2,930 2,102 253.95 118,750
TCP CAP CORP COM 2,924 1,832 167.65 172,000
VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 2,766 -1,141 (29.2) 78,361
TSAKOS ENERGY NAVIGATION LTD SHS 2,708 2,708 New 371,000
BOSTON PRIVATE FINL HLDGS INC DEP SHS 2,686 400 17.52 107,673
KONINKLIJKE PHILIPS N V NY REG SH NEW 2,522 207 8.92 85,450
UNITEDHEALTH GROUP INC COM 2,426 217 9.80 24,777
HOMESTREET INC COM 2,403 40 1.69 139,323
PROCTER & GAMBLE CO COM 2,398 -13 (0.55) 27,000
RETAIL OPPORTUNITY INVTS CORP COM 2,050 2,050 New 125,000
PENNYMAC FINL SVCS INC CL A 1,717 -1 (0.04) 108,400
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 1,614 -584 (26.56) 25,375
ABENGOA YIELD PLC ORD SHS 1,546 1,149 289.76 52,130
ALLIANCEBERNSTEIN GBL HGH INCM COM 1,524 -4 (0.27) 112,700
ISHARES TR CORE US AGGBD ET 1,520 1,080 245 13,800
AURICO GOLD INC COM 1,507 -132 (8.05) 387,450