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) 9,384

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

Sector Weighting

Basic Materials 3.92%
Capital Goods 6.37%
Conglomerates 0.03%
Consumer Cyclical 5.27%
Consumer/Non-Cyclical 2.54%
Energy 9.24%
Financial 29.51%
Healthcare 7.21%
Services 14.29%
Technology 17.64%
Transportation 1.76%
Utilities 1.81%

196 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
GENERAL ELECTRIC CO COM 3,608 -3 (0.08) 139,395
TRIPLEPOINT VENTR GRW BDC CORP COM 3,564 -65 (1.79) 243,766
APPLE INC COM 3,515 3,515 New 31,237
HANNON ARMSTRONG SUST INFR CAP COM 3,279 173 5.55 229,977
SUNCOR ENERGY INC NEW COM 3,179 2 .08 97,900
STONEMOR PARTNERS L P COM UNITS 2,932 2,932 New 114,100
TCP CAP CORP COM 2,833 1,774 167.65 172,000
APOLLO GLOBAL MGMT LLC CL A SHS 2,781 1,995 253.95 118,750
VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 2,719 -1,122 (29.2) 78,361
BOSTON PRIVATE FINL HLDGS INC DEP SHS 2,693 401 17.52 107,673
WHITING USA TR II TR UNIT 2,611 1,909 272.18 434,416
TSAKOS ENERGY NAVIGATION LTD SHS 2,590 2,590 New 371,000
UNITEDHEALTH GROUP INC COM 2,548 228 9.80 24,777
PROCTER & GAMBLE CO COM 2,519 -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 2,511 2,511 New 54,900
HOMESTREET INC COM 2,409 40 1.69 139,323
LINNCO LLC COMSHS LTD INT 2,262 -144 (5.97) 200,000
RETAIL OPPORTUNITY INVTS CORP COM 2,111 2,111 New 125,000
CUSHING RTY & INCOME FD COM SH BEN INT 1,984 322 19.39 231,517