-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OmDGeKUFh2uNdQ9eIFSU8Q59D7CuYRMcLiQE6VZT4cfMPjpcMe6zRdEWr59jaYBW jQPpee5PXmdUl7neUTpqxQ== 0000950116-04-000402.txt : 20040205 0000950116-04-000402.hdr.sgml : 20040205 20040205103928 ACCESSION NUMBER: 0000950116-04-000402 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040205 GROUP MEMBERS: THE JOHN NUVEEN COMPANY GROUP MEMBERS: WILMINGTON TRUST COMPANY GROUP MEMBERS: WILMINGTON TRUST CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN INVESTMENTS INC CENTRAL INDEX KEY: 0000885708 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 363817266 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43420 FILM NUMBER: 04568849 BUSINESS ADDRESS: STREET 1: 333 W WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 MAIL ADDRESS: STREET 1: 333 WEST WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: NUVEEN JOHN COMPANY DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WILMINGTON TRUST CORP CENTRAL INDEX KEY: 0000872821 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 510328154 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: RODNEY SQUARE NORTH STREET 2: 1100 NORTH MARKET ST CITY: WILMINGTON STATE: DE ZIP: 19890-0001 BUSINESS PHONE: 3026518378 MAIL ADDRESS: STREET 1: 1100 NORTH MARKET STREET CITY: WILMINGTON STATE: DE ZIP: 19890-0001 SC 13G/A 1 sc13ga.txt SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)* The John Nuveen Company ------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock ------------------------------------------------------------------------------- (Title of Class of Securities) 67090F-106 ------------------------------------------------------------------------------- (CUSIP Number) December 31, 2003 ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [_] Rule 13d-(c) [_] Rule 13d-1(d) - ---------- * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 67090F-106 ______________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Wilmington Trust Corporation ______________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] ______________________________________________________________________________ 3. SEC USE ONLY ______________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware corporation ______________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER 2,034,582 SHARES ____________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER 6,000 OWNED BY ____________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER 2,004,582 REPORTING ____________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER 6,000 WITH: ______________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,040,582 ______________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] N/A ______________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.6% ______________________________________________________________________________ 12. TYPE OF REPORTING PERSON HC ______________________________________________________________________________ CUSIP No. 67090F-106 ______________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Wilmington Trust Company ______________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] ______________________________________________________________________________ 3. SEC USE ONLY ______________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware banking corporation ______________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER 2,034,582 SHARES ____________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER 6,000 OWNED BY ____________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER 2,004,582 REPORTING ____________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER 6,000 WITH: ______________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,040,582 ______________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] N/A ______________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.6% ______________________________________________________________________________ 12. TYPE OF REPORTING PERSON* BK ______________________________________________________________________________ CUSIP No. 67090F-106 ______________________________________________________________________________ Item 1(a). Name of Issuer: The John Nuveen Company ______________________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: 333 West Wacker Drive Chicago, Illinois 60606 ______________________________________________________________________________ Item 2(a). Name of Person Filing: Wilmington Trust Corporation, Wilmington Trust Company ______________________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: 1100 North Market Street Wilmington, DE 19890 ______________________________________________________________________________ Item 2(c). Citizenship: Wilmington Trust Corporation is a Delaware corporation Wilmington Trust Company is a Delaware banking corporation ______________________________________________________________________________ Item 2(d). Title of Class of Securities: Class A Common Stock ______________________________________________________________________________ Item 2(e). CUSIP Number: 67090F-106 ______________________________________________________________________________ Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [X] Bank as defined in Section 3(a)(6) of the Exchange Act. CUSIP No. 67090F-106 Wilmington Trust Company is a wholly-owned subsidiaries of Wilmington Trust Corporation. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); Wilmington Trust Corporation is a Parent Holding Company. (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [X] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Wilmington Trust Corporation and Wilmington Trust Company are a group Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: Wilmington Trust Corporation and Wilmington Trust Company: 2,040,582 shares (b) Percent of class: Wilmington Trust Corporation and Wilmington Trust Company: 10.6% (c) Number of shares as to which Wilmington Trust Corporation and Wilmington Trust Company have: (i) Sole power to vote or to direct the vote 2,034,582 shares (ii) Shared power to vote or to direct the vote 6,000 shares (iii) Sole power to dispose or to direct the disposition of 2,004,582 shares (iv) Shared power to dispose or to direct the disposition of 6,000 shares ______________________________________________________________________________ Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ] ______________________________________________________________________________ Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not applicable. ______________________________________________________________________________ Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Wilmington Trust Company: BK ______________________________________________________________________________ Item 8. Identification and Classification of Members of the Group. Wilmington Trust Corporation: HC Wilmington Trust Company: BK ______________________________________________________________________________ Item 9. Notice of Dissolution of Group. Not applicable. ______________________________________________________________________________ Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 3, 2004 Wilmington Trust Corporation Wilmington Trust Company By: s/Michael A. DiGregorio ------------------------ Michael A. DiGregorio Senior Vice President Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). WILMINGTON TRUST COMPANY 1100 North Market Street Wilmington, Delaware 19890 February 3, 2004 United States Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Dear Gentlemen/Ladies: Pursuant to Rule 13d-1(b)(1) under the Securities Exchange Act of 1934, as amended, we are filing herewith in electronic format a Schedule 13-G reflecting beneficial ownership as of December 31, 2003 by Wilmington Trust Company, with respect to the following issuer and security: John Nuveen Company Class A Common Stock Please contact me if there are any questions regarding this filing. Sincerely, /s/ Sharon L. Corbett - ---------------------------- Sharon L. Corbett Assistant Vice President and Fiduciary Compliance Counsel (302) 651-8378 -----END PRIVACY-ENHANCED MESSAGE-----