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Pzena Investment Management LLC – ‘13F-HR’ for 9/30/16 – ‘INFO-TABLE’

On:  Friday, 11/4/16, at 4:02pm ET   ·   Effective:  11/4/16   ·   For:  9/30/16   ·   Accession #:  1140361-16-84894   ·   File #:  28-03791

Previous ‘13F-HR’:  ‘13F-HR’ on 8/5/16 for 6/30/16   ·   Next:  ‘13F-HR’ on 2/10/17 for 12/31/16   ·   Latest:  ‘13F-HR’ on 5/3/24 for 3/31/24

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/04/16  Pzena Investment Management LLC   13F-HR      9/30/16    2:68K                                    Edgarfilings Ltd.

Quarterly Holdings and Combination Report by a Money Manager   —   Form 13F
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 13F-HR      Quarterly Holdings and Combination Report by a      HTML      3K 
                Money Manager -- primary_doc.xml                                 
 2: INFO-TABLE  Portfolio Securities Holdings Info Table --         HTML      3K 
                form13fInfoTable.xml                                             


‘INFO-TABLE’   —   Portfolio Securities Holdings Info Table — form13fInfoTable.xml




        

This ‘INFO-TABLE’ Document is an XML Data File that may be rendered in various formats:

  Information Table    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Portfolio Securities Holdings Info Table
 

Pzena Investment Management LLC  
 NY
  ·   Form 13F Holdings Report

§13(f) Securities Holdings   ·   For:  9/30/16   ·   Assets:  $16,364,819,000   ·   History:  Assets Under Management
Assets Under Management emoji
Assets Under Management emoji
Assets Under Management emoji

1 Related Money Manager also Reported Holdings in this Quarter for this Manager.

Security Market ValueªShares or PrincipalInvestment
Discretion
Other 
Managersº
Voting Authority
Issuer NameIssue ClassOpt.CUSIP/CINS$1000sWeightAmountS/PPriceSoleSharedNone
In ascending orderSort in ascending orderSort in ascending orderSort in ascending orderSort in descending orderSort in ascending orderSort in descending orderSort in ascending order   List(S/P Amounts or For All)
ABBOTT LABORATORIESCOM002824·10·0212,197  1.30%5,017,660Sh.42.29   Defined#12,290,825 2,726,835
ACTUANT CORP – ACOM00508X·20·368,494  0.42%2,947,227Sh.23.24   Sole1,718,023 1,229,204
AECOMCOM00766T·10·083,059  0.51%2,793,775Sh.29.73   Defined#2716,072 2,077,703
AETNA INCCOM00817Y·10·817,923  0.11%155,248Sh.115.45   Sole448 154,800
ALLSTATE CORPCOM020002·10·181,406  0.50%1,176,727Sh.69.18   Defined#2177,205 999,522
AMERICAN EQUITY INVT LIFECOM025676·20·645,000  0.27%2,538,067Sh.17.73   Sole2,271,962 266,105
AMERICAN INTERNATIONAL GROUPCOM026874·78·4363,030  2.22%6,117,797Sh.59.34   Defined#12,828,440 3,289,357
AMGEN INCCOM031162·10·0200  0.00%1,196Sh.167.22   SoleSole
ANIXTER INTERNATIONAL INCCOM035290·10·542,148  0.26%653,454Sh.64.50   Sole585,479 67,975
ANNALY CAPITAL MANAGMENT INCCOM035710·40·9214  0.00%20,355Sh.10.51   SoleSole
APACHE CORPCOM037411·10·51,115  0.01%17,450Sh.63.90   SoleSole
APOLLO GLOBAL MANAGEMENT-ACOM037612·30·66,252  0.04%348,100Sh.17.96   Defined#2Sole
ARC DOCUMENT SOLUTIONS INCCOM00191G·10·314,900  0.09%3,983,936Sh.3.74   Sole3,586,335 397,601
ARGO GROUP INTERNATIONALCOMG0464B·10·729,660  0.18%525,702Sh.56.42   Sole470,977 54,725
ARROW ELECTRONICS INCCOM042735·10·019,490  0.12%304,670Sh.63.97   Sole466 304,204
ASPEN INSURANCE HOLDINGS LTDCOMG05384·10·532,075  0.20%688,448Sh.46.59   Sole616,637 71,811
ASSOCIATED BANC CORPCOM045487·10·547,579  0.29%2,428,717Sh.19.59   Sole2,172,218 256,499
ASSURANT INCCOM04621X·10·87,391  0.05%80,124Sh.92.24   Sole79 80,045
AT&T INCCOM00206R·10·233,462  0.20%823,993Sh.40.61   Sole8,768 815,225
AVNET INCCOM053807·10·3188,303  1.15%4,586,045Sh.41.06   Defined#22,335,550 2,250,495
AXIS CAPITAL HOLDINGS LTDCOMG0692U·10·9264,964  1.62%4,876,934Sh.54.33   Defined#1, 21,795,160 3,081,774
BAKER HUGHES INCCOM057224·10·769,900  0.43%1,384,985Sh.50.47   Sole25,509 1,359,476
BANK OF AMERICA CORPCOM060505·10·4439,937  2.69%28,110,981Sh.15.65   Defined#114,064,165 14,046,816
BAXTER INTERNATIONAL INCCOM071813·10·950,531  0.31%1,061,577Sh.47.60   Defined#1536,714 524,863
BB&T CORPCOM054937·10·718,021  0.11%477,752Sh.37.72   Sole428,844 48,908
BIOGEN INCCOM09062X·10·3201  0.00%642Sh.313.08   SoleSole
BP PLC – SPONS ADRCOM055622·10·4261,831  1.60%7,446,839Sh.35.16   Defined#13,093,206 4,353,633
CAPITAL ONE FINL CORPCOM14040H·10·5229,175  1.40%3,190,520Sh.71.83   Defined#11,431,353 1,759,167
CAPITOL FEDERAL FINANCIAL INCCOM14057J·10·1160  0.00%11,400Sh.14.04   SoleSole
CDW CORPCOM12514G·10·86,680  0.04%146,082Sh.45.73   Sole597 145,485
CENOVUS ENERGY INC.COM15135U·10·9192,206  1.17%13,375,530Sh.14.37   Defined#1, 26,477,942 6,897,588
CHART INDUSTRIES INCCOM16115Q·30·850,726  0.31%1,545,118Sh.32.83   Sole1,388,043 157,075
CHUBB LTDCOMH1467J·10·410,483  0.06%83,429Sh.125.65   Sole34,354 49,075
CIGNA CORPCOM125509·10·9118,086  0.72%906,125Sh.130.32   Defined#1384,134 521,991
CISCO SYSTEMS INCCOM17275R·10·289,860  0.55%2,832,899Sh.31.72   Sole1,095,724 1,737,175
CITIGROUP INCCOM172967·42·4428,608  2.62%9,074,918Sh.47.23   Defined#14,516,231 4,558,687
CITIZENS FINANCIAL GROUPCOM174610·10·551,694  0.32%2,092,046Sh.24.71   Sole29,796 2,062,250
COGNIZANT TECH SOLUTIONS – ACOM192446·10·244,869  0.27%940,451Sh.47.71   Sole379,101 561,350
COLUMBUS MCKINNON CORPCOM199333·10·527,540  0.17%1,543,733Sh.17.84   Sole1,389,422 154,311
COMERICA INCCOM200340·10·7115,921  0.71%2,449,727Sh.47.32   Defined#2277,102 2,172,625
CONOCOPHILLIPSCOM20825C·10·4116,461  0.71%2,679,121Sh.43.47   Sole45,896 2,633,225
CORNING INCCOM219350·10·541,531  0.25%1,756,052Sh.23.65   Defined#11,384,331 371,721
CUBIC CORPCOM229669·10·640,696  0.25%869,384Sh.46.81   Sole778,575 90,809
CVS HEALTH CORPORATIONCOM126650·10·047,152  0.29%529,858Sh.88.99   Sole7,633 522,225
DANA INCCOM235825·20·571,285  0.44%4,572,452Sh.15.59   Defined#22,034,716 2,537,736
DIAMONDROCK HOSPITALITY CO.COM252784·30·17,705  0.05%846,653Sh.9.10   Sole764,068 82,585
DIODES INC.COM254543·10·133,795  0.21%1,583,658Sh.21.34   Sole1,417,094 166,564
DOLLAR GENERAL CORPCOM256677·10·5285  0.00%4,077Sh.69.90   SoleSole
DOVER CORPCOM260003·10·8426,718  2.61%5,794,644Sh.73.64   Defined#1, 22,563,377 3,231,267
EDISON INTERNATIONALCOM281020·10·7114,075  0.70%1,578,886Sh.72.25   Defined#2168,586 1,410,300
ENDURANCE SPECIALTY HOLDINGSCOMG30397·10·653,441  0.33%816,510Sh.65.45   Sole497,835 318,675
ENTERGY CORPCOM29364G·10·361,214  0.37%797,778Sh.76.73   Sole9,004 788,774
ESSENDANT INCCOM296689·10·224,695  0.15%1,203,461Sh.20.52   Sole1,078,911 124,550
EVEREST RE GROUP LTDCOMG3223R·10·817,421  0.11%91,703Sh.189.97   Sole678 91,025
EXELON CORPCOM30161N·10·116,217  0.10%487,151Sh.33.29   Sole3,458 483,693
EXPRESS SCRIPTS HOLDING COCOM30219G·10·8247  0.00%3,507Sh.70.43   SoleSole
EXXON MOBIL CORPCOM30231G·10·2336,130  2.05%3,851,170Sh.87.28   Defined#11,369,291 2,481,879
FIFTH THIRD BANCORPCOM316773·10·079,341  0.48%3,877,875Sh.20.46   Sole40,125 3,837,750
FIRST MIDWEST BANCORP INCCOM320867·10·432,392  0.20%1,673,166Sh.19.36   Sole1,491,916 181,250
FLEX LTDCOMY2573F·10·287,177  0.53%6,400,643Sh.13.62   Defined#21,811,886 4,588,757
FMC TECHNOLOGIES INCCOM30249U·10·127,010  0.17%910,350Sh.29.67   Defined#2272,875 637,475
FORD MOTOR COMPANYCOM345370·86·0210,259  1.28%17,419,992Sh.12.07   Defined#17,075,792 10,344,200
FRANKLIN RESOURCES INC.COM354613·10·1374,753  2.29%10,535,639Sh.35.57   Defined#1, 24,964,056 5,571,583
GENERAL CABLE CORP DEL NECOM369300·10·825,597  0.16%1,708,742Sh.14.98   Sole1,533,142 175,600
GENPACT LTDCOMG3922B·10·758,278  0.36%2,433,316Sh.23.95   Defined#2752,581 1,680,735
GENWORTH FINANCIAL INC CL ACOM37247D·10·634,323  0.21%6,919,984Sh.4.96   Sole1,691,509 5,228,475
GIBRALTAR INDUSTRIES INCCOM374689·10·721,067  0.13%567,077Sh.37.15   Sole510,069 57,008
GOLDMAN SACHS GROUP INCCOM38141G·10·4270,063  1.65%1,674,601Sh.161.27   Defined#1731,726 942,875
HALLIBURTON COCOM406216·10·1140,256  0.86%3,125,142Sh.44.88   Defined#12,021,667 1,103,475
HEWLETT PACKARD ENTERPRISE COMPANYCOM42824C·10·9429,634  2.63%18,885,018Sh.22.75   Defined#1, 28,569,097 10,315,921
HILTON WORLDWIDE HOLDINGS INCOM43300A·10·4224,815  1.37%9,804,419Sh.22.93   Defined#1, 23,453,350 6,351,069
HOPE BANCORP INCCOM43940T·10·940,141  0.25%2,310,964Sh.17.37   Sole2,072,014 238,950
HOSPITALITY PROPERTIES TRUSTCOM44106M·10·217,464  0.11%587,608Sh.29.72   Sole3,808 583,800
HP INCCOM40434L·10·5268,850  1.64%17,311,624Sh.15.53   Defined#1, 28,803,724 8,507,900
INFOSYS LTD – SP ADRCOM456788·10·81,810  0.01%114,700Sh.15.78   SharedNone
INSIGHT ENTERPRISES INCCOM45765U·10·339,787  0.24%1,222,338Sh.32.55   Sole1,094,322 128,016
INTEL CORPORATIONCOM458140·10·0323,232  1.98%8,562,439Sh.37.75   Defined#14,184,323 4,378,116
INTERPUBLIC GROUP OF COS INCCOM460690·10·0247,829  1.51%11,088,543Sh.22.35   Defined#1, 25,129,273 5,959,270
INVESCO LTDCOMG491BT·10·878,901  0.48%2,523,211Sh.31.27   Defined#2326,036 2,197,175
JABIL CIRCUIT INCCOM466313·10·315,557  0.10%712,955Sh.21.82   Sole1,065 711,890
JOHNSON & JOHNSONCOM478160·10·4118,403  0.72%1,002,314Sh.118.13   Sole203,089 799,225
JP MORGAN CHASE & COCOM46625H·10·0329,537  2.01%4,948,740Sh.66.59   Defined#11,838,265 3,110,475
KBR INCCOM48242W·10·672,241  0.44%4,774,681Sh.15.13   Defined#22,187,302 2,587,379
KELLOGG COMPANYCOM487836·10·875,212  0.46%970,849Sh.77.47   Sole8,424 962,425
KEY CORPCOM493267·10·891,117  0.56%7,486,993Sh.12.17   Defined#2962,493 6,524,500
KKR & CO LPCOM48248M·10·28,736  0.05%612,618Sh.14.26   Defined#2Sole
KOHLS CORPCOM500255·10·415,369  0.09%351,299Sh.43.75   Sole7,824 343,475
L-3 COMMUNICATIONSCOM502424·10·425,383  0.16%168,400Sh.150.73   Sole2,350 166,050
LABORATORY CORP OF AMERICA HOLDINGSCOM50540R·40·9300  0.00%2,185Sh.137.30   SoleSole
LAMAR ADVERTISING CO – ACOM512816·10·9116,116  0.71%1,777,927Sh.65.31   Defined#2425,577 1,352,350
LEGG MASON INCCOM524901·10·521,420  0.13%639,775Sh.33.48   SoleNone
MASONITE INTERNATIONAL CORPCOM575385·10·944,862  0.27%721,605Sh.62.17   Sole648,824 72,781
MERCK & CO INCCOM58933Y·10·587,916  0.54%1,408,678Sh.62.41   Sole16,528 1,392,150
METLIFE INCCOM59156R·10·8263,714  1.61%5,935,485Sh.44.43   Defined#12,790,035 3,145,450
MICROSOFT CORPCOM594918·10·4161,934  0.99%2,811,349Sh.57.60   Defined#11,294,019 1,517,330
MORGAN STANLEYCOM617446·44·8363,640  2.22%11,342,485Sh.32.06   Defined#15,896,794 5,445,691
MSC INDUSTRIAL DIRECT CO-ACOM553530·10·6200  0.00%2,730Sh.73.26   SoleSole
MURPHY OIL CORPCOM626717·10·2290,553  1.78%9,557,669Sh.30.40   Defined#1, 24,466,487 5,091,182
NEWS CORP – CLASS ACOM65249B·10·9351,227  2.15%25,123,524Sh.13.98   Defined#1, 212,971,159 12,152,365
NEWS CORP – CLASS BCOM65249B·20·812,639  0.08%888,815Sh.14.22   Defined#1423,995 464,820
OMNICOM GROUPCOM681919·10·6382,774  2.34%4,503,223Sh.85.00   Defined#1, 22,065,723 2,437,500
ON SEMICONDUCTOR CORPCOM682189·10·5153,773  0.94%12,481,544Sh.12.32   Defined#25,410,911 7,070,633
ORACLE CORPCOM68389X·10·5362,103  2.21%9,218,507Sh.39.28   Defined#14,503,644 4,714,863
OWENS & MINOR INCCOM690732·10·232,721  0.20%942,143Sh.34.73   Sole843,953 98,190
OWENS CORNINGCOM690742·10·110,856  0.07%203,330Sh.53.39   SoleNone
PARKER HANNIFIN CORPORATIONCOM701094·10·4440,475  2.69%3,508,922Sh.125.53   Defined#1, 21,404,576 2,104,346
PETROLEO BRASILEIRO S.A. – ADRCOM71654V·40·8710  0.00%76,100Sh.9.33   SoleSole
PFIZER INCCOM717081·10·378,905  0.48%2,329,636Sh.33.87   Sole558,761 1,770,875
PG&E CORPCOM69331C·10·819,133  0.12%312,782Sh.61.17   Sole357 312,425
PNC FINANCIAL SERVICESCOM693475·10·544,134  0.27%489,885Sh.90.09   Sole414,285 75,600
POPULAR INC.COM733174·70·04,373  0.03%114,425Sh.38.22   SoleSole
POSCO – ADRCOM693483·10·9965  0.01%18,900Sh.51.06   SoleSole
PROCTER & GAMBLE COMPANYCOM742718·10·916,081  0.10%179,170Sh.89.75   SoleSole
PROGRESSIVE CORPCOM743315·10·315,632  0.10%496,260Sh.31.50   Sole1,035 495,225
QUALCOMM INCCOM747525·10·360,489  0.37%883,045Sh.68.50   Sole11,495 871,550
REGIONS FINL CORPCOM7591EP·10·0270,936  1.66%27,450,466Sh.9.87   Defined#1, 210,637,191 16,813,275
RENAISSANCE RE HLDGS LTDCOMG7496G·10·3304  0.00%2,530Sh.120.16   SoleSole
RENT A CENTER INCCOM76009N·10·023,074  0.14%1,825,479Sh.12.64   Sole1,630,154 195,325
ROWAN COMPANIES PLC – ACOMG7665A·10·115,110  0.09%996,725Sh.15.16   SoleNone
ROYAL DUTCH SHELL PLC ADRCOM780259·20·6377,390  2.31%7,537,249Sh.50.07   Defined#12,855,651 4,681,598
SCANSOURCE INCCOM806037·10·739,300  0.24%1,076,702Sh.36.50   Sole963,977 112,725
SCHNITZER STEEL INDS INC – ACOM806882·10·621,689  0.13%1,037,754Sh.20.90   Sole926,629 111,125
SEAGATE TECHNOLOGYCOMG7945M·10·7426,676  2.61%11,068,116Sh.38.55   Defined#1, 25,680,945 5,387,171
SHINHAN FINANCIAL GROUP – ADRCOM824596·10·01,224  0.01%33,600Sh.36.43   SoleSole
STANLEY BLACK & DECKER INCCOM854502·10·1222,820  1.36%1,811,837Sh.122.98   Defined#1539,387 1,272,450
STAPLES INCCOM855030·10·2292,192  1.79%34,174,464Sh.8.55   Defined#1, 217,811,989 16,362,475
STATE STREET CORPCOM857477·10·3206,314  1.26%2,963,003Sh.69.63   Defined#11,324,453 1,638,550
STONERIDGE INCCOM86183P·10·226,871  0.16%1,460,399Sh.18.40   Sole1,306,388 154,011
SUPERIOR ENERGY SERVICES INCCOM868157·10·871,887  0.44%4,016,036Sh.17.90   Defined#21,773,804 2,242,232
SYNOVUS FINANCIAL CORPCOM87161C·50·150,641  0.31%1,556,737Sh.32.53   Sole1,013,774 542,963
TAIWAN SEMICONDUCTOR – SP ADRCOM874039·10·09,880  0.06%322,975Sh.30.59   SharedNone
TAIWAN SEMICONDUCTOR – SP ADRCOM874039·10·05,829  0.04%190,553Sh.30.59   SoleSole
TCF FINANCIAL CORPCOM872275·10·222,902  0.14%1,578,394Sh.14.51   Sole1,412,369 166,025
TE CONNECTIVITY LTD.COMH84989·10·456,411  0.34%876,215Sh.64.38   Sole11,205 865,010
TELEFONICA BRASIL – ADRCOM87936R·10·655,261  0.34%3,819,006Sh.14.47   Sole1,420,876 2,398,130
TELEFONICA BRASIL – ADRCOM87936R·10·64,150  0.03%286,800Sh.14.47   SharedNone
TEREX CORPCOM880779·10·3185,326  1.13%7,293,443Sh.25.41   Defined#23,390,240 3,903,203
TETRA TECH INCCOM88162G·10·321,062  0.13%593,806Sh.35.47   Sole533,921 59,885
THE HARTFORD FINANCIAL SERVICES GROUP INCCOM416515·10·413,462  0.08%314,390Sh.42.82   Sole590 313,800
TORCHMARK CORPCOM891027·10·433,147  0.20%518,808Sh.63.89   Defined#292,625 426,183
TRIMAS CORPCOM896215·20·925,609  0.16%1,376,062Sh.18.61   Sole1,229,882 146,180
TRIPLE-S MANAGEMENT CORP-BCOM896749·10·843,240  0.26%1,971,750Sh.21.93   Sole1,764,644 207,106
UBS GROUP AGCOMH42097·10·7157,573  0.96%11,569,209Sh.13.62   Defined#15,459,851 6,109,358
UNIVERSAL CORPCOM913456·10·928,265  0.17%485,490Sh.58.22   Sole451,498 33,992
VALIDUS HOLDINGS LTDCOMG9319H·10·234,957  0.21%701,669Sh.49.82   Defined#2159,744 541,925
VARIAN MEDICAL SYSTEMS INCCOM92220P·10·5298  0.00%2,998Sh.99.40   SoleSole
VOYA FINANCIAL INC.COM929089·10·0492,181  3.01%17,077,755Sh.28.82   Defined#1, 27,707,240 9,370,515
WAL-MART STORESCOM931142·10·3376,238  2.30%5,216,832Sh.72.12   Defined#12,523,282 2,693,550
WEBSTER FINANCIAL CORP.COM947890·10·973,504  0.45%1,933,810Sh.38.01   Defined#21,058,611 875,199
WELLS FARGO COCOM949746·10·145,042  0.28%1,017,204Sh.44.28   Sole14,554 1,002,650
WESCO AIRCRAFT HOLDINGS INCCOM950814·10·35,092  0.03%379,177Sh.13.43   Sole340,502 38,675
WILLIS TOWERS WATSON PLCCOMG96629·10·3140,315  0.86%1,056,829Sh.132.77   Defined#2311,997 744,832
WSFS FINANCIAL CORPCOM929328·10·221,537  0.13%590,212Sh.36.49   Sole527,426 62,786
XL GROUP LTDCOMG98294·10·4170,572  1.04%5,072,010Sh.33.63   Sole1,973,218 3,098,792
151 Issuers152 Issues154 Holdings:  $16,364,819,0003 Managersº
____________
 ª  No market value of any Holding was adjusted.
 º  Other Included Managers with whom investment discretion is shared as to any Holding:  2 Other Included Managers  [ 1 Not Allocated Above ]

Other Included Manager

Securities 

Assets Managed
ID
In ascending order
SEC File # Related Manager Issuers Issues Holdings $1000sOf Above
#1:  028-12230  
 CO
 
Alps Advisors Inc. 40  41  41     11,635,55171.1%  
#2:  028-14511  
 TX
 
American Beacon Advisors, Inc. 38  38  38     7,269,56944.4%  

See:  Recent Holdings Reports for this and Related Money Managers
 

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