-----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, VDRza28x1YQZNh6dV06YMqMtPBeur/dsdObNvitDFt5X29Vepuj7uFuIpSo+e53y rGp+d6N4cLp9i0vD0dePyw== 0000950137-04-000838.txt : 20040212 0000950137-04-000838.hdr.sgml : 20040212 20040212113201 ACCESSION NUMBER: 0000950137-04-000838 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040212 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SCHWERTFEGER TIMOTHY R CENTRAL INDEX KEY: 0001015680 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O JOHN NUVEEN & CO INC STREET 2: 333 WEST WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 MAIL ADDRESS: STREET 1: C/O JOHN NUVEEN & CO INC STREET 2: 333 WEST WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 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: 04589024 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 SC 13G/A 1 c82813asc13gza.htm AMENDMENT TO SCHEDULE 13G sc13gza
 

     
CUSIP No. 67090F106 13 G Page 1 of 5 Pages

         
    OMB APPROVAL
   
    OMB Number:   3235-0145
    Expires:   December 31, 2005
    Estimated average burden
hours per response		 11

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

Nuveen Investments, Inc.

(Name of Issuer)

Class A Common Stock, $0.01 par value

(Title of Class of Securities)

67090F106

(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:

     
o Rule 13d-1(b)
x Rule 13d-1(c)
o 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 on 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).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

SEC 1745 (12-02)

Page 1 of 5 Pages
No Exhibit Index

 

     
CUSIP No. 67090F106 13 G Page 2 of 5 Pages

  1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Timothy R. Schwertfeger

  2. Check the Appropriate Box if a Member of a Group (See Instructions)

     (a)   o

     (b)   o

  3. SEC Use Only

  4. Citizenship or Place of Organization
 
U.S.A.

  5.   Sole Voting Power
     
    2,006,720*
Number of   6.   Shared Voting Power
Shares      
Beneficially       636,477**
Owned by Each   7.   Sole Dispositive Power
Reporting    
Person     2,006,720*
With:   8.   Shared Dispositive Power
    636,477**
  9. Aggregate Amount Beneficially Owned by Each Reporting Person
 
2,643,197

  10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
 

  11. Percent of Class Represented by Amount In Row (9)
 
12.5%

  12. Type of Reporting Person (See Instructions)
 
IN

 

* Includes 3,000 shares of Class A Common Stock in which Mr. Schwertfeger is the custodian for his son Andrew Schwertfeger.
** The 636,477 shares set forth are beneficially owned by Mr. Schwertfeger and his spouse M. Gail Waller as joint tenants with right of survivorship.

 

         
CUSIP No. 67090F106   13G   Page 3 of 5 Pages

Item 1.

(a) Name of Issuer:

     Nuveen Investments, Inc.

(b) Address of Issuer’s Principal Executive Offices:

     333 West Wacker Drive, Chicago, IL 60606

Item 2.

(a) — (c) Name, Principal Business Address and Citizenship of Person Filing:

  Timothy R. Schwertfeger
c/o Nuveen Investments, Inc.
333 West Wacker Drive
Chicago, IL 60606

  Citizen of the United States of America

(d) Title of Class of Securities: Class A Common Stock, $0.01 par value

(e) CUSIP Number: 67090F106

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) — (j) Not Applicable

This statement is filed pursuant to Rule 13d-1(c).

Item 4. Ownership

(a) Amount beneficially owned: 2,643,197

(b) Percent of class: 12.5%

The percent of class is as of December 31, 2003 and it is based on information provided by Nuveen Investments, Inc.

(c) Number of shares as to which the person has:

 

 

         
CUSIP No. 67090F106   13G   Page 4 of 5 Pages

  (i)   Sole power to vote or direct the vote: 2,006,720

  (ii)   Shared power to vote or to direct the vote: 636,477

  (iii)   Sole power to dispose or to direct the disposition of: 2,006,720

  (iv)   Shared power to dispose or to direct the disposition of: 636,477

Mr. Schwertfeger is the beneficial owner of 2,643,197 shares of Class A Common Stock, $.01 par value per share, including 2,003,720 shares issuable upon the exercise of stock options that, as of December 31, 2003, were exercisable or would be exercisable within 60 days. Mr. Schwertfeger has sole power to vote or direct the vote or to dispose or direct the disposition with respect to 2,006,720 shares of Class A Common Stock, $.01 par value per share, including 2,003,720 shares beneficially owned by him that are unissued shares subject to these stock options referenced above and 3,000 shares in which he is the custodian for his son Andrew Schwertfeger. Mr. Schwertfeger has shared power to vote or direct the vote and to dispose or direct the disposition of 636,477 shares of Class A Common Stock that are held in joint tenancy with rights of survivorship with his wife M. Gail Waller.

Item 5. Ownership of Five Percent or Less of a Class

     Not Applicable

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

     Not Applicable

Item 8. Identification and Classification of Members of the Group

     Not Applicable

Item 9. Notice of Dissolution of Group

     Not Applicable

 

 

         
CUSIP No. 67090F106   13G   Page 5 of 5 Pages

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.

         
        Dated: February 10, 2004
 
        /s/ Timothy R. Schwertfeger
Timothy R. Schwertfeger

  -----END PRIVACY-ENHANCED MESSAGE-----