13F-HR filed by NWQ Investment Management Company, LLC
NWQ Investment Management Company, LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 178 holding rows worth $9,106,284,000.
- Accession
- 0000909012-14-000427
- Filer
- CIK 763848
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 178 entries on the cover page, a total value of $9,106,284,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,106,281,000 with VALUE read as thousands by filing date, 13F file number 028-01474. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerNuveen Investments, Inc. 028-11405
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Citigroup Inc. | 172967424 | COM | 5,331,898 | $271,438,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 4,698,117 | $248,553,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 2,453,598 | $226,142,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 4,865,012 | $221,884,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 6,404,084 | $216,628,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 5,548,924 | $203,269,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 10,490,318 | $200,964,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 23,489,275 | $200,077,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 2,254,395 | $194,259,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,224,058 | $191,178,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 6,338,458 | $184,769,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 5,804,278 | $182,223,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 6,517,678 | $179,044,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 3,487,441 | $178,177,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,867,497 | $176,683,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 4,639,806 | $174,809,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 8,954,522 | $163,615,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,939,169 | $151,907,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 2,841,413 | $151,110,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 2,815,435 | $148,671,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 1,917,860 | $145,112,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 4,833,193 | $145,074,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 2,171,613 | $133,894,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 2,409,040 | $133,750,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 1,579,336 | $126,987,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 3,578,186 | $126,614,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 4,305,438 | $123,641,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 3,156,241 | $120,488,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 1,613,603 | $119,324,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 1,085,492 | $115,920,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 2,088,985 | $115,891,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 2,675,119 | $109,527,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 7,123,579 | $103,787,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 4,180,554 | $103,594,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 545,817 | $98,437,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 1,110,505 | $97,358,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 1,732,261 | $96,923,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 2,133,003 | $96,416,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 956,869 | $95,554,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 7,445,239 | $93,574,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,420,542 | $90,935,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 3,493,853 | $88,779,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 1,377,489 | $84,537,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 4,670,464 | $82,761,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 1,474,159 | $82,208,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 15,018,625 | $72,402,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 892,781 | $71,317,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 754,730 | $63,588,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 526,106 | $59,338,000 | thousands by filing date | |
| ELIZABETH ARDEN INC | 28660G106 | COM | 3,415,972 | $57,183,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 7,617,005 | $57,128,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 6,002,475 | $54,923,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 4,000,123 | $54,362,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 1,008,075 | $53,912,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 1,330,434 | $53,484,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 648,384 | $53,128,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 2,212,895 | $52,888,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 661,893 | $52,719,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 2,384,678 | $52,344,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 8,989,716 | $51,177,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 4,097,627 | $48,303,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 834,151 | $48,114,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 2,508,749 | $46,713,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 1,310,161 | $44,598,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 1,546,479 | $42,992,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 888,763 | $42,376,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 3,008,070 | $42,156,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 1,469,983 | $40,425,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 898,896 | $39,932,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 897,344 | $36,997,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,274,346 | $36,599,000 | thousands by filing date | |
| PRIVATEBANCORP INC | 742962103 | COM | 1,213,532 | $36,177,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 756,167 | $35,789,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 999,629 | $34,367,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 537,772 | $33,514,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 2,229,165 | $33,299,000 | thousands by filing date | |
| LACLEDE GROUP INC/THE | 505597104 | COM | 711,920 | $33,033,000 | thousands by filing date | |
| ENERSYS COM | 29275Y102 | Stock | 553,556 | $32,461,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 1,298,995 | $30,651,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 625,163 | $29,770,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 1,440,790 | $25,660,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 1,565,715 | $24,973,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 209,186 | $24,730,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 898,782 | $24,353,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 1,312,031 | $24,292,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 2,106,384 | $24,202,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,535,934 | $23,760,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 1,891,899 | $23,611,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 365,630 | $23,386,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 244,360 | $23,168,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 1,506,489 | $22,914,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 2,009,392 | $22,646,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 138,705 | $22,270,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 694,170 | $21,290,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 350,511 | $21,069,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 688,095 | $20,739,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 387,581 | $20,728,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 1,789,419 | $20,578,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 605,156 | $20,200,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 180,160 | $20,046,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 413,268 | $19,750,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 363,408 | $19,559,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 186,889 | $18,323,000 | thousands by filing date | |
| INTERNATIONAL RECTIFIER CORP | 460254105 | COMMON STOCK | 458,272 | $17,983,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 517,326 | $16,089,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 1,232,515 | $15,776,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 196,413 | $15,371,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 721,416 | $15,248,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 505,124 | $12,062,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 682,800 | $11,034,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 354,002 | $10,804,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 867,182 | $10,623,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 208,125 | $9,568,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 817,592 | $9,312,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 517,299 | $8,445,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 205,642 | $7,582,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 187,050 | $7,244,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 491,100 | $7,126,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 558,600 | $7,033,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 390,003 | $6,646,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 86,600 | $6,593,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 454,877 | $6,268,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 430,400 | $6,224,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 243,923 | $6,198,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 94,050 | $6,062,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 200,000 | $5,790,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 1,073,254 | $5,377,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 172,422 | $5,364,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 434,416 | $5,304,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 437,770 | $5,170,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 210,500 | $5,151,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 108,250 | $5,113,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 357,075 | $5,067,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 100,900 | $4,994,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 83,811 | $4,968,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 85,948 | $4,964,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 64,475 | $4,606,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 153,902 | $4,186,000 | thousands by filing date | |
| NORTHSTAR REIT | 66704R704 | Common Stock | 235,500 | $4,161,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 231,517 | $4,158,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 375,700 | $4,008,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 154,301 | $3,800,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 139,395 | $3,571,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 243,766 | $3,561,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 97,900 | $3,539,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 229,977 | $3,178,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 31,237 | $3,147,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 54,900 | $3,039,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 114,100 | $2,943,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 118,750 | $2,831,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 172,000 | $2,764,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 85,450 | $2,710,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 107,673 | $2,678,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 78,361 | $2,577,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 139,323 | $2,381,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 371,000 | $2,367,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 27,000 | $2,261,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 24,777 | $2,137,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 125,000 | $1,838,000 | thousands by filing date | |
| ABENGOA YIELD PLC | G00349103 | ORD SHS | 52,130 | $1,605,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 108,400 | $1,588,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 25,375 | $1,565,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 112,700 | $1,533,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 13,800 | $1,506,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 78,718 | $1,378,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 140,900 | $1,368,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 387,450 | $1,352,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 76,200 | $1,351,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 44,282 | $1,166,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 19,857 | $944,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 14,650 | $928,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 62,000 | $909,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 35,867 | $909,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 24,520 | $781,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 6,875 | $647,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 20,199 | $540,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628409 | CUM PFD E 7.25% | 12,560 | $323,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 58,450 | $3,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000909012-14-000427 | this filing | 2014-11-14 | acceptance time not in the bulk data set |