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) 9,265

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

Sector Weighting

Basic Materials 4.08%
Capital Goods 6.34%
Conglomerates 0.03%
Consumer Cyclical 5.15%
Consumer/Non-Cyclical 2.51%
Energy 10.28%
Financial 29.26%
Healthcare 7.33%
Services 13.69%
Technology 17.11%
Transportation 1.8%
Utilities 2.05%

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 19,500 1,459 8.08 363,408
INTERNATIONAL RECTIFIER CORP COM 18,262 -102,737 (84.91) 458,272
WESCO INTL INC COM 16,785 840 5.27 196,413
JDS UNIPHASE CORP COM PAR $0.001 16,491 -2,350 (12.47) 1,232,515
PENNYMAC MTG INVT TR COM 15,510 -541 (3.37) 721,416
SAGENT PHARMACEUTICALS INC COM 14,154 -7,789 (35.5) 517,326
CAPITAL BK FINL CORP CL A COM 12,719 12,719 New 505,124
LANDEC CORP COM 11,508 11,508 New 867,182
ARES CAP CORP COM 11,048 3,289 42.40 682,800
ACTUANT CORP CL A NEW 11,027 6,132 125.26 354,002
GRIFFON CORP COM 10,253 -11,807 (53.52) 817,592
REDWOOD TR INC COM 9,834 -665 (6.34) 517,299
GLAXOSMITHKLINE PLC SPONSORED ADR 9,657 2,750 39.82 208,125
METHODE ELECTRS INC COM 7,858 -3,802 (32.61) 205,642
BANK NEW YORK MELLON CORP COM 7,499 New 187,050
ERICSSON ADR B SEK 10 7,050 -2,212 (23.88) 558,600
NATIONAL CINEMEDIA INC COM 6,915 701 11.29 491,100
ARLINGTON ASSET INVT CORP CL A NEW 6,715 1,497 28.69 243,923
HERCULES TECH GROWTH CAP INC COM 6,688 2,290 52.07 430,400
PENNANTPARK FLOATING RATE CAP COM 6,423 1,841 40.18 454,877


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