8-K 1 c08821e8vk.txt CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) OCTOBER 6, 2006 NUVEEN INVESTMENTS, INC. (Exact name of Registrant as specified in its charter) DELAWARE 1-11123 36-3817266 (State or other (Commission File Number) (IRS Employer jurisdiction of Identification incorporation) Number) 333 WEST WACKER DRIVE, CHICAGO, ILLINOIS 60606 (Address of principal executive offices) (Zip Code) (312) 917-7700 (Registrant's telephone number, including area code) N/A (Former name or former address, if changed since last report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: [ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) [ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) [ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) [ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ITEM 5.02 DEPARTURE OF DIRECTORS OR PRINCIPAL OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF PRINCIPAL OFFICERS (b) Glenn R. Richter, currently Executive Vice President and Chief Administrative Officer of Nuveen Investments, Inc. (the "Company") became the principal financial officer of the Company effective October 6, 2006. In addition, Sherri A. Hlavacek, Vice President and Corporate Controller of the Company, became the principal accounting officer of the Company on that same date. Margaret E. Wilson, who was previously the principal financial and principal accounting officer, will remain a Senior Vice President of the Company. (c) Section 5.02(b) of this Form 8-K is incorporated herein by reference. Biographical and other required information regarding Mr. Richter were included in the Company's Current Report on Form 8-K filed with the Securities and Exchange Commission on May 3, 2006 which is incorporated herein by reference. Such information remains unchanged. Ms. Hlavacek, age 43, joined the Company in 1998 as Vice President and Assistant Controller. In 2001, she was promoted to Vice President and Corporate Controller. There are no arrangements or understandings between either of Mr. Richter or Ms. Hlavacek and any other persons pursuant to which either was appointed to these positions. 2 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. NUVEEN INVESTMENTS, INC. Date: October 6, 2006 By: /s/ John L. MacCarthy -------------------------------------- Name: John L. MacCarthy Title: Senior Vice President and General Counsel 3