-----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, Gd+oEn4KlEwmqkIWXT2z/HzQ4Dv77rykHKJP9/ayTT59xttffYo7hUDTBHixWoUf oDEaLHheKAH14eijcV9f0A== 0000950137-07-003218.txt : 20070302 0000950137-07-003218.hdr.sgml : 20070302 20070302163018 ACCESSION NUMBER: 0000950137-07-003218 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070227 ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing FILED AS OF DATE: 20070302 DATE AS OF CHANGE: 20070302 FILER: 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 07668102 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 8-K 1 c12920e8vk.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) February 27, 2007 NUVEEN INVESTMENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11123 36-3817266 (State or Other (Commission (I.R.S. Employer Jurisdiction of File Number) Identification No.) Incorporation) 333 West Wacker Drive, Chicago, Illinois 60606 (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code: (312) 917-7700 Not Applicable --------------------------------------------------------------------- (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 l4a-12 under the Exchange Act (17 CFR 240.l4a-12) [ ] Pre-commencement communications pursuant to Rule l4d- 2(b) under the Exchange Act (17 CFR 240.14d- 2(b)) [ ] Pre-commencement communications pursuant to Rule l3e-4(c) under the Exchange Act (17 CFR 240.l3e-4(c)) ITEM 3.01. NOTICE OF DELISTING OR FAILURE TO SATISFY A CONTINUED LISTING RULE OR STANDARD; TRANSFER OF LISTING. (a) On February 27, 2007, the New York Stock Exchange (the "NYSE") notified Nuveen Investments, Inc. (the "Company") in writing that the Company did not meet the requirements of Section 303A.03 of the NYSE's Listed Company Manual, which requires disclosure of the method for interested parties to communicate with non-management directors. The Company's Proxy Statement for its 2006 Annual Meeting of Shareholders, in the section titled "Shareholder Communication with Directors," disclosed how shareholders may communicate with one or more directors of the Company. Such disclosure, however, did not reference similar communication methods for interested parties who are not shareholders. Therefore, the Company has set forth such information below. In future years, the Company will include this disclosure, as required, in its Definitive Proxy Statement. Shareholders, or other interested parties, who wish to communicate with the non-management directors or any individual director should direct their communication to: Nuveen Investments, Inc. Board of Directors, c/o Corporate Secretary, 333 West Wacker Drive, Chicago, Illinois 60606. SIGNATURE 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 hereunto duly authorized. NUVEEN INVESTMENTS, INC. By: /s/ John L. MacCarthy ------------------------------ John L. MacCarthy Senior Vice President Dated: March 2, 2007 -----END PRIVACY-ENHANCED MESSAGE-----