NWQ INVESTMENT MANAGEMENT COMPANY, LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 183
New Positions 22
Increased Positions 79
Decreased Positions 99
Positions with Activity 178
Sold Out Positions 19
Total Mkt Value (in $ millions) 11,379

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

Sector Weighting

Basic Materials 5.45%
Capital Goods 4.7%
Conglomerates
Consumer Cyclical 5.08%
Consumer/Non-Cyclical 2.9%
Energy 14.3%
Financial 29.66%
Healthcare 8.6%
Services 11.1%
Technology 15.26%
Transportation 1.76%
Utilities 1.15%

183 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held ▲
ALLEGION PUB LTD CO ORD SHS -39,053 Sold Out 0
ALLIED WRLD ASSUR COM HLDG AG SHS -8,111 Sold Out 0
ARCH COAL INC COM -166 Sold Out 0
ASTRONICS CORP CL B -5,283 Sold Out 0
BANCO SANTANDER BRASIL S A ADS REP 1 UNIT -22 Sold Out 0
BANK OF AMERICA CORPORATION 7.25%CNV PFD L -5,117 Sold Out 0
CAMECO CORP COM -46 Sold Out 0
FEI CO COM -4,000 Sold Out 0
GUESS INC COM -3,207 Sold Out 0
HALLADOR ENERGY COMPANY COM -182 Sold Out 0
HALLIBURTON CO COM -362 Sold Out 0
KINROSS GOLD CORP COM NO PAR -20 Sold Out 0
MISTRAS GROUP INC COM -17,736 Sold Out 0
NEWMONT MINING CORP COM -12 Sold Out 0
PEABODY ENERGY CORP COM -173 Sold Out 0
ROYAL DUTCH SHELL PLC SPON ADR B -41 Sold Out 0
SIMON PPTY GROUP INC NEW COM -3,397 Sold Out 0
TAUBMAN CTRS INC PFD SER K -1,064 Sold Out 0
TOYOTA MOTOR CORP SP ADR REP2COM -33 Sold Out 0
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 380 380 New 1,551