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) 8,974

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

Sector Weighting

Basic Materials 4.29%
Capital Goods 6.55%
Conglomerates 0.04%
Consumer Cyclical 5.39%
Consumer/Non-Cyclical 2.33%
Energy 9.31%
Financial 28.37%
Healthcare 7.91%
Services 14.57%
Technology 17.19%
Transportation 1.84%
Utilities 1.82%

195 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CARRIZO OIL & GAS INC COM 16,255 1,216 8.08 363,408
DENBURY RES INC COM NEW 15,916 5,292 49.81 2,229,165
SAGENT PHARMACEUTICALS INC COM 13,725 -7,553 (35.5) 517,326
WESCO INTL INC COM 13,134 657 5.27 196,413
CAPITAL BK FINL CORP CL A COM 12,209 12,209 New 505,124
COMSTOCK RES INC COM NEW 11,741 5,404 85.27 2,508,749
LANDEC CORP COM 11,620 11,620 New 867,182
GRIFFON CORP COM 11,340 -13,059 (53.52) 817,592
ARES CAP CORP COM 11,218 3,340 42.40 682,800
REDWOOD TR INC COM 10,418 -705 (6.34) 517,299
GLAXOSMITHKLINE PLC SPONSORED ADR 9,399 2,677 39.82 208,125
ACTUANT CORP CL A NEW 8,287 4,608 125.26 354,002
METHODE ELECTRS INC COM 7,555 -3,656 (32.61) 205,642
NATIONAL CINEMEDIA INC COM 7,293 740 11.29 491,100
BANK NEW YORK MELLON CORP COM 6,872 New 187,050
ERICSSON ADR B SEK 10 6,781 -2,128 (23.88) 558,600
ARLINGTON ASSET INVT CORP CL A NEW 6,586 1,468 28.69 243,923
NEW RESIDENTIAL INVT CORP COM NEW 6,527 3,865 145.20 504,038
HERCULES TECH GROWTH CAP INC COM 6,348 2,174 52.07 430,400
ARES DYNAMIC CR ALLOCATION FD COM 6,197 2,849 85.09 390,003