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
TRIPLEPOINT VENTR GRW BDC CORP COM 3,603 -65 (1.79) 243,766
GENERAL ELECTRIC CO COM 3,594 -3 (0.08) 139,395
APPLE INC COM 3,561 3,561 New 31,237
HANNON ARMSTRONG SUST INFR CAP COM 3,300 174 5.55 229,977
SUNCOR ENERGY INC NEW COM 3,150 2 .08 97,900
STONEMOR PARTNERS L P COM UNITS 2,939 2,939 New 114,100
APOLLO GLOBAL MGMT LLC CL A SHS 2,798 2,007 253.95 118,750
TCP CAP CORP COM 2,795 1,751 167.65 172,000
VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 2,731 -1,127 (29.2) 78,361
BOSTON PRIVATE FINL HLDGS INC DEP SHS 2,702 403 17.52 107,673
WHITING USA TR II TR UNIT 2,598 1,900 272.18 434,416
TSAKOS ENERGY NAVIGATION LTD SHS 2,593 2,593 New 371,000
UNITEDHEALTH GROUP INC COM 2,541 227 9.80 24,777
PROCTER & GAMBLE CO COM 2,523 -14 (0.55) 27,000
KONINKLIJKE PHILIPS N V NY REG SH NEW 2,517 206 8.92 85,450
WILLIAMS COS INC DEL COM 2,505 2,505 New 54,900
HOMESTREET INC COM 2,419 40 1.69 139,323
LINNCO LLC COMSHS LTD INT 2,190 -139 (5.97) 200,000
RETAIL OPPORTUNITY INVTS CORP COM 2,127 2,127 New 125,000
PENNYMAC FINL SVCS INC CL A 1,894 -1 (0.04) 108,400


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