-----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, QLmfw7UDCB7LaB0+ms5UEHmS+roq4J5QtE3DMyoFZ3lL2zlcbNN1J3vfGsYPt7sW YkjMNJe7AFKYQAmbNg8baA== 0000950152-07-001173.txt : 20070214 0000950152-07-001173.hdr.sgml : 20070214 20070214140008 ACCESSION NUMBER: 0000950152-07-001173 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 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: 07617913 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: 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 l24649asc13gza.htm NUVEEN INVESTMENTS INC. SC 13G/A NUVEEN INVESTMENTS INC. SC 13G/A
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 5)*

NUVEEN INVESTMENTS, INC.
(Name of Issuer)
Class A Common Stock
(Title of Class of Securities)
67090F106
(CUSIP Number)
For the year ended December 31, 2006
(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).

 
 


 

                     
CUSIP No.
 
67090F106 
  Page  
  of   

 

           
1   NAMES OF REPORTING PERSONS:
NAUTICAL TRUST
   
  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)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  OHIO
       
  5   SOLE VOTING POWER:
     
NUMBER OF   1,701,439
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   1,701,439
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  1,701,439
     
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):
   
  2.2%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  OO(1)
(1) Trust

2


 

SCHEDULE 13G
Item 1(a).   Name of Issuer: Nuveen Investments, Inc.
 
Item 1(b).   Address of Issuer’s Principal Executive Offices:

333 West Wacker Drive
Chicago, Illinois  60606
 
Item 2(a).   Name of Person Filing: Nautical Trust
 
Item 2(b).   Address of Principal Business Office or, if None, Residence:

c/o Thompson Hine LLP
2000 Courthouse Plaza, NE
P.O. Box 8801
Dayton, Ohio  45401
 
Item 2(c).   Citizenship: Ohio
 
Item 2(d).   Title of Class of Securities: Class A Common Stock
 
Item 2(e).   CUSIP Number: 67090F106
 
Item 3.   Rule 13d-1(b), or Rule 13d-2(b) or (c), Information: Not Applicable.
 
Item 4.   Ownership
  (a)   Amount Beneficially Owned: 1,701,439
 
  (b)   Percent of Class: 2.2%
 
  (c)   Number of Shares as to which such person has:
  (i)   Sole power to vote or to direct the vote: 1,701,439
 
  (ii)   Shared power to vote or to direct the vote: -0-
 
  (iii)   Sole power to dispose or to direct the disposition of: 1,701,439
 
  (iv)   Shared power to dispose or to direct the disposition of: -0-

3


 

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 5 percent of the class of securities, check the following box x.
 
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.
 
Item 10.   Certifications:
 
    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.

4


 

SIGNATURE
     After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
February 14, 2007
         
     
    /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   
 

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