NWQ INVESTMENT MANAGEMENT COMPANY, LLC Information

2049 CENTURY PARK EAST, LOS ANGELES, California, 90067, (310) 552-5114

Report Date: 03/31/2014

Position Statistics

Total Positions 180
New Positions 16
Increased Positions 83
Decreased Positions 88
Positions with Activity 171
Sold Out Positions 17
Total Mkt Value (in $ millions) 11,769

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

Sector Weighting

Basic Materials 4.54%
Capital Goods 4.87%
Conglomerates
Consumer Cyclical 6.12%
Consumer/Non-Cyclical 2.61%
Energy 14.05%
Financial 28.09%
Healthcare 8.25%
Services 13.88%
Technology 14.62%
Transportation 1.64%
Utilities 1.14%

180 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SELECTIVE INS GROUP INC COM 2,900 2,900 New 121,500
NRG YIELD INC COM CL A 2,678 New 52,700
EATON CORP PLC SHS 2,299 New 29,540
KONINKLIJKE PHILIPS N V NY REG SH NEW 2,115 New 66,950
AURICO GOLD INC COM 1,911 -2 (0.11) 451,850
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 1,875 1,875 New 32,600
BOSTON PRIVATE FINL HLDGS INC DEP SHS 1,794 804 81.24 72,060
PENNYMAC FINL SVCS INC CL A 1,792 New 117,500
VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 1,654 -33 (1.94) 50,820
WEYERHAEUSER CO COM 1,450 -29 (1.96) 44,777
CUSHING RTY & INCOME FD COM SH BEN INT 1,415 919 185.12 71,280
HERCULES TECH GROWTH CAP INC COM 1,127 1,127 New 69,200
TAUBMAN CTRS INC PFD SER K 907 907 New 37,000
SUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D 842 32 3.89 32,074
WASTE MGMT INC DEL COM 804 205 34.20 18,129
EXXON MOBIL CORP COM 713 -4 (0.57) 7,010
NAVIOS MARITIME HLDGS INC SPN ADR RP PFD G 691 691 New 27,100
OXFORD LANE CAP CORP COM 533 533 New 31,862
ISHARES CORE TOTUSBD ETF 491 491 New 4,500
UNITEDHEALTH GROUP INC COM 375 27 7.61 4,525


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