-----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, Jg3rm4JNc7DXolg7nDxncRWarSmrgbgv/d+u9DJBxYSXRcpNf8OzvK+sLaiYWe09 V+A11pdpy06ODcm6qJGAmA== 0000950137-06-001705.txt : 20060213 0000950137-06-001705.hdr.sgml : 20060213 20060213131522 ACCESSION NUMBER: 0000950137-06-001705 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060213 DATE AS OF CHANGE: 20060213 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AMBOIAN JOHN P CENTRAL INDEX KEY: 0001188721 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: NUVEEN INVESTMENTS STREET 2: 333 W WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN INVESTMENTS INC CENTRAL INDEX KEY: 0000885708 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] 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: 06602204 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 c02358dsc13gza.htm AMENDMENT TO SCHEDULE 13G sc13gza
 

                     
CUSIP No.
 
67090F106 
                 
     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G/A

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. 3)*

Nuveen Investments, Inc.
(Name of Issuer)
Class A Common Stock, $0.01 par value
(Title of Class of Securities)
67090F106
(CUSIP Number)
December 31, 2005
(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)

     þ 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 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).

 
 

Page 1 of 5 Pages
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1   NAMES OF REPORTING PERSONS:
John P. Amboian
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
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:
     
NUMBER OF   2,038,677*
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   2,038,677*
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  2,038,677*
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  2.6%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN

   * Total includes 1,695 shares held in Mr. Amboian’s 401(k) Pooled Account.


 

                     
CUSIP No.
 
67090F106 
13G/A Page  
  of   
  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:
     
 
  John P. Amboian
 
  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: 2,038,677
 
(b)   Percent of class: 2.6%
 
    The percent of class is as of December 31, 2005 and it is based on information provided by Nuveen Investments, Inc.
 

 


 

                     
CUSIP No.
 
67090F106 
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(c)   Number of shares as to which the person has:
 
       
 
  (i)   Sole power to vote or direct the vote: 2,038,677
 
       
 
  (ii)   Shared power to vote or to direct the vote: -0-
 
       
 
  (iii)   Sole power to dispose or to direct the disposition of: 2,038,677
 
       
 
  (iv)   Shared power to dispose or to direct the disposition of : -0-
Mr. Amboian is the beneficial owner of 2,038,677 shares of Class A Common Stock, $0.01 par value per share, including 1,707,633 shares issuable upon the exercise of stock options that, as of December 31, 2005, were exercisable or would be exercisable within 60 days. Mr. Amboian has sole power to vote or direct the vote or to dispose or direct the disposition with respect to 2,038,677 shares of Class A Common Stock, $0.01 par value per share, beneficially owned by him of which 1,707,633 shares are unissued shares subject to the stock options referenced above, 329,349 shares are held directly and 1,695 shares are held in his 401(k) Pooled Account.
     
Item 5.
  Ownership of Five Percent or Less of a Class
 
   
 
  Mr. Amboian’s ownership is less than five percent of the
 
  company’s Class A Common Stock outstanding.
 
   
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 or Control Person
 
   
 
  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 
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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, 2006
 
 
  /s/ John P. Amboian    
  John P. Amboian   
     
 

 

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