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) 8,810

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

Sector Weighting

Basic Materials 3.99%
Capital Goods 6.29%
Conglomerates 0.04%
Consumer Cyclical 5.25%
Consumer/Non-Cyclical 2.54%
Energy 8.84%
Financial 29.6%
Healthcare 7.49%
Services 14.39%
Technology 17.58%
Transportation 1.76%
Utilities 1.84%

196 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
PENNYMAC FINL SVCS INC CL A 1,810 -1 (0.04) 108,400
ISHARES TR CORE US AGGBD ET 1,525 1,083 245 13,800
ALLIANCEBERNSTEIN GBL HGH INCM COM 1,404 -4 (0.27) 112,700
ABENGOA YIELD PLC ORD SHS 1,318 980 289.76 52,130
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 1,281 -463 (26.56) 25,375
COMPASS DIVERSIFIED HOLDINGS SH BEN INT 1,262 439 53.31 78,718
AURICO GOLD INC COM 1,193 -104 (8.05) 387,450
U M H PROPERTIES INC CV RED PFD-A 1,169 816 230.91 44,282
WASTE MGMT INC DEL COM 981 New 19,857
EATON CORP PLC SHS 955 1 .07 14,650
EXCHANGE TRADED CONCEPTS TR YORK HIINC MLP 919 919 New 76,200
SANDRIDGE PERMIAN TR COM UNIT BEN INT 898 898 New 140,900
WEYERHAEUSER CO COM 852 -588 (40.85) 24,520
BARRICK GOLD CORP COM 640 -44 (6.45) 62,000
NAVIOS MARITIME HLDGS INC SPN ADR RP PFD G 634 -110 (14.81) 35,867
EXXON MOBIL CORP COM 594 -21 (3.44) 6,875
SUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D 528 -310 (37.02) 20,199
EQUITY COMWLTH CUM PFD E 7.25% 322 -11 (3.31) 12,560
ADVISORSHARES TR TRIMTABS FLT -4,474 Sold Out 0
ASTRONICS CORP CL B -8,494 Sold Out 0


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