-----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, A6i1WKg+34tcGd4AQMqqPYe0xWmLhyBBVJygWR5giQbm8Y+PkDPtt92Bkca4btR1 AOV0THqmMikLtPMX9m/o4A== 0000073076-09-000079.txt : 20091113 0000073076-09-000079.hdr.sgml : 20091113 20091113121203 ACCESSION NUMBER: 0000073076-09-000079 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWESTERN MUTUAL LIFE INSURANCE CO CENTRAL INDEX KEY: 0000073076 IRS NUMBER: 390509570 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00229 FILM NUMBER: 091180076 BUSINESS ADDRESS: STREET 1: 720 E WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142992508 MAIL ADDRESS: STREET 1: 720 EAST WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 13F-HR 1 nml09q3.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: The Northwestern Mutual Life Insurance Company Address: 720 East Wisconsin Avenue Milwaukee, WI 53202 13F File Number: 28-00229 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Mark G. Doll Title: Chief Investment Officer Phone: 414-665-3336 Signature, Place, and Date of Signing: Mark G. Doll Milwaukee, WI November 13, 2009 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-01096 Russell Trust Company 28-01190 Frank Russell Company 28-05583 Northwestern Investment Management Company, LLC 28-10206 Mason Street Advisors, LLC 28-11160 Northwestern Mutual Wealth Management Company FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 75 Form13F Information Table Value Total: $46,852 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALCATEL-LUCENT SPONSORED ADR 013904305 0 16 SH DEFINED 16 BANK OF AMERICA CORPORATION COM 060505104 4 211 SH DEFINED 211 CAPITOL BANCORP LTD COM 14056D105 1 235 SH DEFINED 235 CISCO SYS INC COM 17275R102 5 200 SH DEFINED 200 COCA COLA CO COM 191216100 11 200 SH DEFINED 200 DELL INC COM 24702R101 6 400 SH DEFINED 400 DIAMONDS TR UNIT SER 1 252787106 401 4133 SH DEFINED 4133 EL PASO CORP COM 28336L109 6 575 SH DEFINED 575 FAIRPOINT COMMUNICATIONS INC COM 305560104 0 16 SH DEFINED 16 GEO GROUP INC COM 36159R103 9 445 SH DEFINED 445 HORIZON BANCORP IND COM 440407104 16 945 SH DEFINED 945 INTERDIGITAL INC COM 45867G101 5 200 SH DEFINED 200 ISHARES TR US PFD STK IDX 464288687 33 923 SH DEFINED 923 ISHARES TR S&P NTL AMTFREE 464288414 93 882 SH DEFINED 882 ISHARES TR MSCI VAL IDX 464288877 644 12586 SH DEFINED 12586 ISHARES TR BARCLYS MBS BD 464288588 16 153 SH DEFINED 153 ISHARES TR MSCI GRW IDX 464288885 768 14394 SH DEFINED 14394 ISHARES TR BARCLYS CR BD 464288620 25 240 SH DEFINED 240 ISHARES TR INDEX RUSSELL1000VAL 464287598 2357 42471 SH DEFINED 42471 ISHARES TR INDEX DJ SEL DIV INX 464287168 141 3405 SH DEFINED 3405 ISHARES TR INDEX DJ US REAL EST 464287739 82 1924 SH DEFINED 1924 ISHARES TR INDEX IBOXX INV CPBD 464287242 229 2150 SH DEFINED 2150 ISHARES TR INDEX MSCI EAFE IDX 464287465 4189 76618 SH DEFINED 76618 ISHARES TR INDEX MSCI EMERG MKT 464287234 1047 26901 SH DEFINED 26901 ISHARES TR INDEX RUSSELL 1000 464287622 3788 65196 SH DEFINED 65196 ISHARES TR INDEX BARCLYS 1-3 YR 464287457 961 11445 SH DEFINED 11445 ISHARES TR INDEX RUSSELL1000GRW 464287614 1524 32915 SH DEFINED 32915 ISHARES TR INDEX COHEN&ST RLTY 464287564 3444 70841 SH DEFINED 70841 ISHARES TR INDEX BARCLY USAGG B 464287226 2656 25310 SH DEFINED 25310 ISHARES TR INDEX BARCLYS TIPS BD 464287176 1392 13527 SH DEFINED 13527 ISHARES TR INDEX BARCLYS 20+ YR 464287432 658 6672 SH DEFINED 6672 ISHARES TR INDEX RUSL 2000 VALU 464287630 127 2253 SH DEFINED 2253 ISHARES TR INDEX S&P 500 VALUE 464287408 574 11214 SH DEFINED 11214 ISHARES TR INDEX S&P SMLCP VALU 464287879 74 1321 SH DEFINED 1321 ISHARES TR INDEX S&P SMLCP GROW 464287887 191 3534 SH DEFINED 3534 ISHARES TR INDEX S&P MIDCP VALU 464287705 376 5963 SH DEFINED 5963 ISHARES TR INDEX S&P MC 400 GRW 464287606 347 4701 SH DEFINED 4701 ISHARES TR INDEX S&P500 GRW 464287309 1869 34612 SH DEFINED 34612 ISHARES TR INDEX BARCLYS 7-10 YR 464287440 826 8940 SH DEFINED 8940 ISHARES TR INDEX S&P 500 INDEX 464287200 1815 17125 SH DEFINED 17125 ISHARES TR INDEX S&P SMLCAP 600 464287804 285 5450 SH DEFINED 5450 ISHARES TR INDEX RUSSELL 2000 464287655 629 10437 SH DEFINED 10437 ISHARES TR INDEX S&P GLB100INDX 464287572 112 1919 SH DEFINED 1919 ISHARES TR INDEX RUSSELL MCP VL 464287473 689 19462 SH DEFINED 19462 ISHARES TR INDEX RUSSELL MIDCAP 464287499 1834 23438 SH DEFINED 23438 ISHARES TR INDEX RUSSELL MCP GR 464287481 401 9431 SH DEFINED 9431 ISHARES TR INDEX RUSL 3000 VALU 464287663 1002 13790 SH DEFINED 13790 ISHARES TR INDEX RUSSELL 3000 464287689 362 5838 SH DEFINED 5838 ISHARES TR INDEX RUSL 3000 GROW 464287671 243 6448 SH DEFINED 6448 ISHARES TR INDEX RUSL 2000 GROW 464287648 68 1036 SH DEFINED 1036 ISHARES TR INDEX S&P MIDCAP 400 464287507 1197 17357 SH DEFINED 17357 KOHLS CORP COM 500255104 11 200 SH DEFINED 200 MEDTRONIC INC COM 585055106 5 143 SH DEFINED 143 MIDCAP SPDR TR UNIT SER 1 595635103 26 211 SH DEFINED 211 NICHOLAS-APPLEGATE CV & INC COM 65370F101 20 2323 SH DEFINED 2323 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 23 627 SH DEFINED 627 SCHERING PLOUGH CORP COM 806605101 3 116 SH DEFINED 116 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 181 5130 SH DEFINED 5130 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 68 1769 SH DEFINED 1769 SPDR TR UNIT SER 1 78462F103 929 8799 SH DEFINED 8799 TIME WARNER CABLE INC COM 88732J207 0 8 SH DEFINED 8 TIME WARNER INC COM NEW 887317303 1 33 SH DEFINED 33 VANGUARD INDEX FDS REIT ETF 922908553 1156 27883 SH DEFINED 27883 VANGUARD INDEX FDS STK MRK ETF 922908769 168 3143 SH DEFINED 3143 VANGUARD INDEX FDS SM CP VAL ETF 922908611 111 2073 SH DEFINED 2073 VANGUARD INDEX FDS SML CP GRW ETF 922908595 95 1656 SH DEFINED 1656 VANGUARD INDEX FDS SMALL CP ETF 922908751 395 7113 SH DEFINED 7113 VANGUARD INDEX FDS MID CAP ETF 922908629 1018 17886 SH DEFINED 17886 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1553 32311 SH DEFINED 32311 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 135 3253 SH DEFINED 3253 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 562 13194 SH DEFINED 13194 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 310 6816 SH DEFINED 6816 VANGUARD INDEX FDS VALUE ETF 922908744 871 18913 SH DEFINED 18913 VANGUARD INDEX FDS GROWTH ETF 922908736 608 12336 SH DEFINED 12336 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 1071 27800 SH DEFINED 27800
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