-----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, DhskEAZC5W13eExmayTf5Bx974kdsm17OGXzH9QAOG7VAKL6bpO/gK2ODIki+aFS oqKjz3/Kl7F8/8FTTAcxBg== 0000893750-05-000215.txt : 20050414 0000893750-05-000215.hdr.sgml : 20050414 20050414170509 ACCESSION NUMBER: 0000893750-05-000215 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050412 FILED AS OF DATE: 20050414 DATE AS OF CHANGE: 20050414 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ST PAUL FIRE & MARINE INSURANCE CO CENTRAL INDEX KEY: 0000316747 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 05751417 BUSINESS ADDRESS: STREET 1: 385 WASHINGTON ST CITY: ST PAUL STATE: MN ZIP: 55102 BUSINESS PHONE: 6153105458 FORMER NAME: FORMER CONFORMED NAME: SAINT PAUL FIRE & MARINE INSURANCE CO DATE OF NAME CHANGE: 19600201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ST PAUL TRAVELERS COMPANIES INC CENTRAL INDEX KEY: 0000086312 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 05751418 BUSINESS ADDRESS: STREET 1: 385 WASHINGTON ST CITY: SAINT PAUL STATE: MN ZIP: 55102 BUSINESS PHONE: 6123107911 FORMER NAME: FORMER CONFORMED NAME: ST PAUL FIRE & MARINE INSURANCE CO/MD DATE OF NAME CHANGE: 19990219 FORMER NAME: FORMER CONFORMED NAME: ST PAUL COMPANIES INC/MN/ DATE OF NAME CHANGE: 19990219 FORMER NAME: FORMER CONFORMED NAME: ST PAUL COMPANIES INC /MN/ DATE OF NAME CHANGE: 19920703 4 1 form4_ex.xml X0202 4 2005-04-12 0 0000885708 NUVEEN INVESTMENTS INC JNC 0000086312 ST PAUL TRAVELERS COMPANIES INC 385 WASHINGTON ST SAINT PAUL MN 55102 0 0 1 0 0000316747 ST PAUL FIRE & MARINE INSURANCE CO 385 WASHINGTON ST ST PAUL MN 55102 0 0 1 0 Class A common stock 2005-04-12 4 C 0 12325800 A 12325800 I See Class A common stock 2005-04-12 4 C 0 26983355 A 26983355 D Class A common stock 2005-04-12 4 S 0 12325800 32.98 D 0 I See Class A common stock 2005-04-12 4 S 0 26983355 32.98 D 0 D Class A common stock 2005-04-12 4 J 0 0 A 81510 I See Class B common stock 2005-04-12 4 C 0 12325800 D Class A common stock 12325800 0 I See Class B common stock 2005-04-12 4 C 0 26983355 D Class A common stock 26983355 34016059 D Class B common stock 2005-04-12 4 S 0 6064281 32.98 D Class A common stock 6064281 27951778 D Forward Sale 2005-04-12 4 S 0 12128562 32.98 D Class B common stock 12128562 12128562 D Forward Sale 2005-04-12 4 S 0 5824800 30.22 D Class A common stock 5824800 5824800 D Forward Sale 2005-04-12 4 S 0 6067500 30.37 D Class A common stock 6067500 6067500 D Shares of Class B common stock are convertible on a one-to-one basis for shares of Class A common stock at the option of the holder. Shares owned by St. Paul Fire and Marine Insurance Company, a wholly-owned subsidiary of The St. Paul Travelers Companies, Inc. Voluntarily reporting beneficial ownership of shares owned by United States Fidelity and Guaranty Company, a wholly-owned subsidiary of The St. Paul Travelers Companies, Inc. Satisfied on a one-to-one basis for shares of Class A or Class B common stock, as applicable. To be exercised by December 23, 2005 or earlier, upon the receipt of certain consents. The settlement date of the forward sale will be no later than December 23, 2005, provided that the settlement date may be accelerated upon the satisfaction of certain conditions. See Exhibit 99 for joint filer information. /s/ Bruce A. Backberg, Senior Vice President, The St. Paul Travelers Companies, Inc. 2005-04-14 EX-99 2 jointfiler.txt JOINT FILER INFORMATION Exhibit 99 - Joint Filer Information Name: St. Paul Fire and Marine Insurance Company Address: 385 Washington Street St. Paul, MN 55102 Designated Filer: The St. Paul Travelers Companies, Inc. Issuer & Trading Symbol: Nuveen Investments, Inc. [JNC] Date of Event Requiring Statement: 4/12/05 Signature: ST. PAUL FIRE AND MARINE INSURANCE COMPANY By: /s/ Bruce A. Backberg ---------------------------------------- Bruce A. Backberg Senior Vice President -----END PRIVACY-ENHANCED MESSAGE-----