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) 9,400

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

Sector Weighting

Basic Materials 3.97%
Capital Goods 6.4%
Conglomerates 0.04%
Consumer Cyclical 5.28%
Consumer/Non-Cyclical 2.54%
Energy 9.12%
Financial 29.41%
Healthcare 7.26%
Services 14.31%
Technology 17.66%
Transportation 1.76%
Utilities 1.86%

196 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 6,368 1,825 40.18 454,877
ARES DYNAMIC CR ALLOCATION FD COM 6,248 2,872 85.09 390,003
ROYAL DUTCH SHELL PLC SPONS ADR A 5,968 New 86,600
GENERAL PHYSICS CORP COM 5,894 157 2.74 1,274,346
ABBVIE INC COM 5,757 139 2.47 85,948
ANALOG DEVICES INC COM 5,679 722 14.56 100,900
MFS INTER INCOME TR SH BEN INT 5,259 -1,403 (21.06) 1,073,254
TOTAL S A SPONSORED ADR 4,999 New 94,050
MICROCHIP TECHNOLOGY INC COM 4,948 New 108,250
MERCK & CO INC NEW COM 4,843 -29 (0.59) 83,811
ING GROEP N V SPONSORED ADR 4,792 -40 (0.83) 357,075
ASTRAZENECA PLC SPONSORED ADR 4,572 New 64,475
NIPPON TELEG & TEL CORP SPONSORED ADR 4,500 -32 (0.7) 172,422
CALIFORNIA RES CORP COM 4,243 -269 (5.96) 746,999
NORTHSTAR RLTY FIN CORP COM NEW 4,142 4,142 New 235,500
ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 4,118 -73 (1.74) 153,902
HILTON WORLDWIDE HLDGS INC COM 4,055 4,055 New 154,301
MEDLEY CAP CORP COM 4,041 -176 (4.17) 437,770
NAVIOS MARITIME HLDGS INC SPON ADR PFD H 3,783 3,783 New 210,500
FS INVT CORP COM 3,757 3,757 New 375,700


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