-----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, JIo+1TKYqTWhPGqRiO3RnEuo1arHBOaOdxNTESlNHOHqStLZVJY0lV2bQp0GUAtQ c6PwqCJXyJcdmH6rx96xmQ== 0000950152-03-000879.txt : 20030203 0000950152-03-000879.hdr.sgml : 20030203 20030203092506 ACCESSION NUMBER: 0000950152-03-000879 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030203 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43420 FILM NUMBER: 03535519 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: NAUTICAL TRUST CENTRAL INDEX KEY: 0001137078 IRS NUMBER: 316468542 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O THOMPSON HINE LLP STREET 2: P O BOX 8801 CITY: DAYTON STATE: OH ZIP: 45401-8801 BUSINESS PHONE: 9374436840 MAIL ADDRESS: STREET 1: C/O THOMPSON HINE LLP STREET 2: P O BOX 8801 CITY: DAYTON STATE: OH ZIP: 45401-8801 SC 13G/A 1 l98472asc13gza.txt JOHN NUVEEN CO./NAUTICAL TRUST SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* The John Nuveen Company -------------------------------- (Name of Issuer) Class A Common Stock -------------------------------- (Title of Class of Securities) 478035108 -------------------------------- (CUSIP Number) December 31, 2002 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this 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 ("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). (Continued on following page(s)) Page 1 of 5 Pages CUSIP NO. 478035108 13G Page 2 of 5 Pages 1 NAME OF REPORTING PERSON NAUTICAL TRUST S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) X 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION OHIO NUMBER OF 5 SOLE VOTING POWER SHARES 1,743,439 BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,743,439 PERSON 8 SHARED DISPOSITIVE POWER WITH -0- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,743,439 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.82% 12 TYPE OF REPORTING PERSON* OO(1) *SEE INSTRUCTION BEFORE FILLING OUT! - ---------- (1) Trust. CUSIP No. 478035108 Page 3 of 5 Pages Item 1. (a) Name of Issuer: The John Nuveen Company (b) Address of Issuer's Principal Executive Offices: 333 West Wacker Drive Chicago, Illinois 60606 Item 2. (a) Name of Person Filing: Nautical Trust (b) Address of Residence: c/o Thompson Hine LLP 2000 Courthouse Plaza, NE P.O. Box 8801 Dayton, Ohio 45401 (c) Citizenship: Ohio (d) Title of Class of Securities: Class A Common Stock (e) CUSIP Number: 478035108 Item 3. Rules 13d-1(b) or 13d-2(b) or (c) Statement. Not applicable. Item 4. Ownership. The following information concerning ownership of Class A Common Stock is given as of December 31, 2002: CUSIP No. 478035108 Page 4 of 5 Pages (a) Amount Beneficially Owned: 1,743,439 shares directly owned. (b) Percent of Class: 8.82%. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,743,439 shares. (ii) shared power to vote or to direct the vote: None. (iii) sole power to dispose or to direct the disposition of: 1,743,439 shares. (iv) shared power to dispose or to direct the disposition of: None. 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. 478035108 Page 5 of 5 Pages Item 10. Certification. By signing below, the undersigned certify that, to the best of their 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 its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: January 28, 2003 /s/ Susan P. Davis ------------------------------------ Susan P. Davis, Trustee Nautical Trust /s/ Michael R. Pleiman ------------------------------------ Michael R. Pleiman, Trustee Nautical Trust /s/ Vernon A. Pleiman ------------------------------------ Vernon A. Pleiman, Trustee Nautical Trust -----END PRIVACY-ENHANCED MESSAGE-----