0001193125-14-240844.txt : 20140625 0001193125-14-240844.hdr.sgml : 20140625 20140618153234 ACCESSION NUMBER: 0001193125-14-240844 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140618 DATE AS OF CHANGE: 20140618 EFFECTIVENESS DATE: 20140618 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN INVESTMENT FUNDS INC CENTRAL INDEX KEY: 0000820892 IRS NUMBER: 411418224 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: DEFA14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-05309 FILM NUMBER: 14928063 BUSINESS ADDRESS: STREET 1: 333 WEST WACKER DR. CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-917-8146 MAIL ADDRESS: STREET 1: 333 WEST WACKER DR. CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: FIRST AMERICAN INVESTMENT FUNDS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: SECURAL MUTUAL FUNDS INC DATE OF NAME CHANGE: 19910627 0000820892 S000005544 Nuveen High Income Bond Fund C000015076 Class A FJSIX C000015077 Class B FJSBX C000015078 Class C FCSIX C000015079 Class R3 FANSX C000015080 Class I FJSYX 0000820892 S000005545 Nuveen Inflation Protected Securities Fund C000015081 Class A FAIPX C000015082 Class C FCIPX C000015083 Class R3 FRIPX C000015084 Class I FYIPX 0000820892 S000005546 Nuveen Intermediate Government Bond Fund C000015085 Class A FIGAX C000015086 Class I FYGYX C000081079 Class C FYGCX C000081080 Class R3 FYGRX 0000820892 S000005548 Nuveen Core Bond Fund C000015089 Class A FAIIX C000015090 Class I FINIX C000096213 Class C NTIBX 0000820892 S000005550 Nuveen Large Cap Growth Opportunities Fund C000015096 Class A FRGWX C000015097 Class B FETBX C000015098 Class C FAWCX C000015099 Class R3 FLCYX C000015100 Class I FIGWX C000123978 Class R6 FLCFX 0000820892 S000005551 Nuveen Large Cap Select Fund C000015101 Class A FLRAX C000015103 Class C FLYCX C000015105 Class I FLRYX 0000820892 S000005553 Nuveen Mid Cap Growth Opportunities Fund C000015111 Class A FRSLX C000015112 Class B FMQBX C000015113 Class C FMECX C000015114 Class R3 FMEYX C000015115 Class I FISGX C000123979 Class R6 FMEFX 0000820892 S000005555 Nuveen Mid Cap Index Fund C000015121 Class A FDXAX C000015123 Class C FDXCX C000015124 Class R3 FMCYX C000015125 Class I FIMEX 0000820892 S000005556 Nuveen Mid Cap Value Fund C000015126 Class A FASEX C000015127 Class B FAESX C000015128 Class C FACSX C000015129 Class R3 FMVSX C000015130 Class I FSEIX 0000820892 S000005558 Nuveen Minnesota Intermediate Municipal Bond Fund C000015134 Class A FAMAX C000015135 Class I FAMTX C000081082 Class C1 FACMX C000096214 Nuveen Minnesota Intermediate Municipal Bond Fund Class C2 NIBMX C000137678 Nuveen Minnesota Intermediate Municipal Bond Fund Class C NIBCX 0000820892 S000005559 Nuveen Minnesota Municipal Bond Fund C000015136 Class A FJMNX C000015137 Class C1 FCMNX C000015138 Class I FYMNX C000096215 Nuveen Minnesota Municipal Bond Fund Class C2 NMBCX C000137679 Nuveen Minnesota Municipal Bond Fund Class C NTCCX 0000820892 S000005560 Nuveen Nebraska Municipal Bond Fund C000015139 Class A FNTAX C000015140 Class C1 FNTCX C000015141 Class I FNTYX C000096216 Nuveen Nebraska Municipal Bond Fund Class C2 NCNBX C000137680 Nuveen Nebraska Municipal Bond Fund Class C NAAFX 0000820892 S000005562 Nuveen Oregon Intermediate Municipal Bond Fund C000015145 Class A FOTAX C000015146 Class I FORCX C000096217 Nuveen Oregon Intermediate Municipal Bond Fund Class C2 NIMOX C000137681 Nuveen Oregon Intermediate Municipal Bond Fund Class C NAFOX 0000820892 S000005563 Nuveen Real Estate Securities Fund C000015147 Class A FREAX C000015148 Class B FREBX C000015149 Class C FRLCX C000015150 Class R3 FRSSX C000015151 Class I FARCX C000126484 Class R6 FREGX 0000820892 S000005564 Nuveen Short Term Municipal Bond Fund C000015152 Class A FSHAX C000015153 Class I FSHYX C000106247 Nuveen Short Term Municipal Bond Fund Class C2 NSVCX C000137682 Nuveen Short Term Municipal Bond Fund Class C NAAEX 0000820892 S000005566 Nuveen Short Term Bond Fund C000015156 Class A FALTX C000015157 Class I FLTIX C000081083 Class C FBSCX C000104758 Class R3 NSSRX 0000820892 S000005567 Nuveen Small Cap Growth Opportunities Fund C000015158 Class A FRMPX C000015160 Class C FMPCX C000015161 Class R3 FMPYX C000015162 Class I FIMPX 0000820892 S000005568 Nuveen Small Cap Index Fund C000015163 Class A FMDAX C000015165 Class C FPXCX C000015166 Class R3 ARSCX C000015167 Class I ASETX 0000820892 S000005569 Nuveen Small Cap Select Fund C000015168 Class A EMGRX C000015169 Class B ARSBX C000015170 Class C FHMCX C000015171 Class R3 ASEIX C000015172 Class I ARSTX 0000820892 S000005570 Nuveen Small Cap Value Fund C000015173 Class A FSCAX C000015175 Class C FSCVX C000015176 Class R3 FSVSX C000015177 Class I FSCCX 0000820892 S000005573 Nuveen Strategic Income Fund C000015185 Class A FCDDX C000015186 Class B FCBBX C000015187 Class C FCBCX C000015188 Class R3 FABSX C000015189 Class I FCBYX 0000820892 S000005578 Nuveen Core Plus Bond Fund C000015203 Class A FAFIX C000015205 Class C FFAIX C000015206 Class R3 FFISX C000015207 Class I FFIIX 0000820892 S000005579 Nuveen Dividend Value Fund C000015208 Class A FFEIX C000015209 Class B FAEBX C000015210 Class C FFECX C000015211 Class R3 FEISX C000015212 Class I FAQIX C000123980 Class R6 FFEFX 0000820892 S000005580 Nuveen Equity Index Fund C000015213 Class A FAEIX C000015214 Class B FAEQX C000015215 Class C FCEIX C000015216 Class R3 FADSX C000015217 Class I FEIIX 0000820892 S000014927 Nuveen International Select Fund C000040497 Class A ISACX C000040499 Class C ICCSX C000040501 Class I ISYCX 0000820892 S000020012 Nuveen Global Infrastructure Fund C000056118 Class A FGIAX C000056119 Class I FGIYX C000070757 Class C FGNCX C000070758 Class R3 FGNRX 0000820892 S000027104 Nuveen Tactical Market Opportunities Fund C000081650 Class I FGTYX C000100301 Class A NTMAX C000100302 Class C NTMCX 0000820892 S000033768 Nuveen Real Asset Income Fund C000104365 Class A NRIAX C000104366 Class C NRICX C000104368 Class I NRIIX DEFA14A 1 d719954ddefa14a.htm NUVEEN INVESTMENT FUNDS, INC. Nuveen Investment Funds, Inc.

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 14A

Proxy Statement Pursuant to Section 14(a) of the

Securities Exchange Act of 1934

(Amendment No.     )

 

 

Filed by the Registrant  x                             Filed by a Party other than the Registrant  ¨

Check the appropriate box:

 

¨   Preliminary Proxy Statement
¨   Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2))
¨   Definitive Proxy Statement
¨   Definitive Additional Materials
x   Soliciting Material Pursuant to §240.14a-12

Nuveen Investment Funds, Inc.

(Name of Registrant As Specified in its Charter)

(Name of Person(s) Filing Proxy Statement, if other than the Registrant)

Payment of Filing Fee (check the appropriate box):

x   No fee required.
¨   Fee computed on table below per Exchange Act Rules 14a-6(i)(4) and 0-11.
  (1)  

Title of each class of securities to which transaction applies:

 

     

  (2)  

Aggregate number of securities to which transaction applies:

 

     

  (3)  

Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):

 

     

  (4)  

Proposed maximum aggregate value of transaction:

 

     

  (5)  

Total fee paid:

 

     

¨   Fee paid previously with preliminary materials.
¨   Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
  (1)  

Amount Previously Paid:

 

     

  (2)  

Form, Schedule or Registration Statement No.:

 

     

  (3)  

Filing Party:

 

     

  (4)  

Date Filed:

 

     

 

 

 

Nuveen Investments Will Be Acquired by TIAA-CREF

As an important next step in our 116-year history, Nuveen Investments is pleased to announce that it will be acquired by TIAA-CREF, a firm highly respected for its commitment to serving the financial needs of investors in the academic, research, medical and cultural fields since 1918. The acquisition is expected to be completed by year end, subject to customary closing conditions.

This event will create one of the world’s largest diversified investment organizations with aggregated assets under management of $790 billion, including a $181 billion mutual fund platform based on each firm’s AUM.1

How this Transaction Will Benefit Clients

At every life stage, across every asset class, clients will have investment options to help secure their financial well-being.

 

  •   Greater Investment Choice

 

  •   Broader Client Solutions

 

  •   Expanded Alternative Options

As Part of this Acquisition, Nuveen Investments Will:

 

  •   Continue its multi-boutique operating model

 

  •   Benefit from enhanced financial strength, positioning the firm well for future growth

 

  •   Maintain investment and business leadership across Nuveen Investments and its investment affiliates

 

  •   Maintain the independence of its affiliates from a portfolio management and institutional client service perspective

Fund Shareholders Will Receive Proxy Statements Related to this Acquisition

As a result of this acquisition, the current investment management and sub-advisory agreements for each Nuveen fund will terminate. Shareholders will receive a proxy statement asking them to approve a new investment management agreement with Nuveen Fund Advisors, LLC, their fund’s current investment adviser, and new sub-advisory agreement(s) with their fund’s current sub-adviser(s).

The proxy statement may include some of the following additional voting items, depending on the fund:

 

  •   Approval of Revisions to, or Elimination of, Certain Fundamental Investment Policies (most open-end funds)

 

  •   Approval of Fund Board Nominees (all funds other than NNP and JMLP)

 

  •   Approval to Change a Fund’s Investment Sub-Advisor (JPG only)

 

  •   Approval to Change a Fund’s Investment Objective (JPG only)

 

  •   Approval of a Fund Reorganization (NQM, DPD, DPO, QQQX, JLA, JPZ , JSN, NXJ, NUJ, NNJ, NQJ)

Proxy Voting Information

Nuveen fund shareholders can vote their shares by:

 

  •   Completing, signing, and mailing in their proxy card

 

  •   Voting by telephone 1-800-337-3503*

 

  •   Voting by computer using the internet address www.proxy-direct.com*

If you need any assistance or have any questions regarding the proposals or how to vote your shares, please call Computershare Fund Services, your Fund’s proxy solicitor, at 1-866-209-5784 with your proxy materials. You may receive a call from Computershare Fund Services to verify you received your proxy materials, answer any questions you may have about the proposals and encourage you to vote your proxy.

*Please note that if you vote via phone or over the internet you will need both the 14 digit control number from the shaded box on your proxy card and the eight digit security code from the unshaded box on your proxy card

The funds have filed or will file with the SEC solicitation materials in the form of proxy statements and/or joint proxy statement/prospectuses that will be included in registration statements on Form N-14, as applicable. Investors are urged to read the solicitation materials and any other relevant documents when they become available because they will contain important information. After they are filed, free copies of the solicitation materials will be available on the SEC’s web site at www.sec.gov.

The funds, Nuveen Fund Advisors and certain of their respective directors/trustees, officers and affiliates may be deemed under the rules of the SEC to be participants in the solicitation of proxies from shareholders. Information about the directors/trustees and officers of the funds may be found in their respective annual reports and, if applicable, annual proxy statements previously filed with the SEC. This communication is not a solicitation of a proxy from any fund shareholder and does not constitute an offer of any securities for sale. No offer of securities will be made will be made except pursuant to a prospectus meeting the requirements of Section 10 of the Securities Act of 1933.

1 Based on assets under management across Nuveen Investments affiliates and TIAA-CREF investment management teams as of December 31, 2013 and March 31, 2014, respectively.