-----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, Epul8CPR3PUxkDCutlhdttwVToJmn6di7sVsPDyismNYh565O/pmDgrfDF4mH3Ch nDFt2mgdt7qNzhu3tXqRwA== 0000950137-00-000501.txt : 20000215 0000950137-00-000501.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950137-00-000501 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: FRANKE FAMILY CHARITABLE FOUNDATION GROUP MEMBERS: FRANKE RICHARD J /NEW/ GROUP MEMBERS: RICHARD J. FRANKE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN JOHN COMPANY 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 SEC ACT: SEC FILE NUMBER: 005-43420 FILM NUMBER: 537729 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FRANKE RICHARD J /NEW/ CENTRAL INDEX KEY: 0001015683 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 333 WEST WACKER DRIVBE CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* The John Nuveen Company ----------------------------------------------------------------- (Name of Issuer) Class A Common Stock ----------------------------------------------------------------- (Title of Class of Securities) 478035108 --------------------------------------------- (CUSIP Number) December 31, 1999 ----------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which the Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(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 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). Page 1 of 8 pages 2 SCHEDULE 13G Cusip No. 478035108 Page 2 of __ pages 1 Name of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Richard J. Franke - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization U.S.A. - -------------------------------------------------------------------------------- 5 Sole Voting Power 393,815 ---------------------------------------------------------- Number of Shares 6 Shared Voting Power beneficially 151,556* ---------------------------------------------------------- owned 7 Sole Dispositive Power by each 393,815 ---------------------------------------------------------- reporting 8 Shared Dispositive Power person with: 151,556* ---------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 545,371* - -------------------------------------------------------------------------------- 10 Check Box if the Aggregate amount in Row (9) Excludes Certain Shares* [ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 7.9% - -------------------------------------------------------------------------------- 12 Type of Reporting Person* IN - -------------------------------------------------------------------------------- This Schedule 13G constitutes an amendment to the Schedule 13D of Richard J. Franke currently file with the Securities and Exchange Commission. * SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 8 *Includes 151,556 shares held in the Franke Family Charitable Foundation. The Franke Family Charitable Foundation is a charitable family trust established by Richard J. Franke and his family. Richard J. Franke is a trustee of the foundation and shares voting and dispositive rights regarding the shares with the other trustees who are members of his immediate family. 3 SCHEDULE 13G Cusip No. 478035108 Page 3 of __ pages 1 Name of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Franke Family Charitable Foundation* 36-3662848 - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Illinois - -------------------------------------------------------------------------------- 5 Sole Voting Power ---------------------------------------------------------- Number of Shares 6 Shared Voting Power beneficially 151,556* ---------------------------------------------------------- owned 7 Sole Dispositive Power by each None ---------------------------------------------------------- reporting 8 Shared Dispositive Power person with: 151,556* ---------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 151,556* - -------------------------------------------------------------------------------- 10 Check Box if the Aggregate amount in Row (9) Excludes Certain Shares* [ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 2.3% - -------------------------------------------------------------------------------- 12 Type of Reporting Person* Charitable Foundation - Trust - -------------------------------------------------------------------------------- This Schedule 13G constitutes an amendment to the Schedule 13D of Richard J. Franke currently file with the Securities and Exchange Commission. * SEE INSTRUCTIONS BEFORE FILLING OUT! *See footnote on page 2. Page 3 of 8 4 Answer every item. If an item is inapplicable or the answer is in the negative, so state. 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, IL 60606 --------------------------------------------------------------------- ITEM 2(a). Name of Person Filing: Richard J. Franke and the Franke Family Charitable Foundation --------------------------------------------------------------------- ITEM 2(b). Address of Principal Business Office or, if None, Residence: 400 N. Michigan Ave., Suite 300, Chicago, Illinois 60611 --------------------------------------------------------------------- ITEM 2(c). Citizenship: U.S.A. --------------------------------------------------------------------- ITEM 2(d). Title of Class of Securities: Class A Common Stock --------------------------------------------------------------------- ITEM 2(e). CUSIP Number: 478035108 --------------------------------------------------------------------- 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 Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Act. (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). Page 4 of 8 5 (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (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 of 1940. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] ITEM 4. Ownership. For Richard J. Franke: (a) Amount beneficially owned: 545,371* (b) Percent of class: 7.9% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 393,815 (ii) Shared power to vote or to direct the vote: 151,556* (iii) Sole power to dispose or to direct the disposition of: 393,815 (iv) Shared power to dispose or to direct the disposition of: 151,556* For the Franke Family Charitable Foundation**: (a) Amount beneficially owned: 151,556* (b) Percent of class: 2.3% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: None (ii) Shared power to vote or to direct the vote: 151,556 (iii) Sole power to dispose or to direct the disposition of: None (iv) Shared power to dispose or to direct the disposition of: 151,556 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. None ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A ITEM 8. Identification and Classification of Members of the Group. *See Exhibit B to Schedule 13G. **See footnote on page 2. Page 5 of 8 6 ITEM 9. Notice of Dissolution of Group. N/A ITEM 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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 11, 2000 (Date) /s/ Richard J. Franke ----------------------------- Richard J. Franke /s/ Richard J. Franke ----------------------------- Richard J. Franke, Trustee Franke Family Charitable Foundation Page 6 of 8 7 CUSIP NO. 478035108 13G EXHIBIT A TO SCHEDULE 13G Agreement Relating to the Filing of Joint Statements Pursuant to Rule 13d-1(k) ------------------------------------------ Pursuant to Rule 13d-1(k)(1) of the General Rules and Regulations of the Securities Exchange Act of 1934, as amended, the undersigned agree that the Schedule 13G Statement to which this Exhibit is attached is filed on their behalf in the capacities set out herein below. Dated: February 11, 2000 /s/ Richard J. Franke ----------------------------- Richard J. Franke /s/ Richard J. Franke ----------------------------- Richard J. Franke, Trustee Franke Family Charitable Foundation Page 7 of 8 8 CUSIP NO. 478035108 13G EXHIBIT B TO SCHEDULE 13G ------------ The following is a complete and accurate list of each number of the group: 1. Richard J. Franke 2. Franke Family Charitable Foundation Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----