0001106062-12-000009.txt : 20121114
0001106062-12-000009.hdr.sgml : 20121114
20121114121428
ACCESSION NUMBER: 0001106062-12-000009
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: NORTHWESTERN MUTUAL CAPITAL, LLC
CENTRAL INDEX KEY: 0001106062
IRS NUMBER: 391910950
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05583
FILM NUMBER: 121202393
BUSINESS ADDRESS:
STREET 1: 720 EAST WISCONSIN AVENUE
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
BUSINESS PHONE: 4142711444
MAIL ADDRESS:
STREET 1: 720 EAST WISCONSIN AVE
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
FORMER COMPANY:
FORMER CONFORMED NAME: NORTHWESTERN MUTUAL CAPITAL LLC
DATE OF NAME CHANGE: 20110808
FORMER COMPANY:
FORMER CONFORMED NAME: NORTHWESTERN INVESTMENT MANAGEMENT CO LLC
DATE OF NAME CHANGE: 20010725
FORMER COMPANY:
FORMER CONFORMED NAME: NORTHWESTERN INVESTMENT MANAGEMENT CO
DATE OF NAME CHANGE: 20000210
13F-HR
1
nmc12q3.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, 2012
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: Northwestern Mutual Capital, LLC
Address: 720 East Wisconsin Avenue
Milwaukee, WI 53202
13F File Number: 28-05583
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: Gary M. Hewitt
Title: Treasurer
Phone: 414-665-7042
Signature, Place, and Date of Signing:
Gary M. Hewitt Milwaukee, WI November 14, 2012
Report Type (Check only one.):
[ X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 9
Form 13F Information Table Value Total: $57,363 (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.
No. 13F File Number Name
1 028-00229 The Northwestern Mutual Life Insurance Company
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
C&J ENERGY SVCS INC COM 12467B304 9019 453208 SH DEFINED 1 453208
CARTER INC COM 146229109 1344 24956 SH DEFINED 1 24956
CORNERSTONE ONDEMAND INC COM 21925Y103 350 11400 SH DEFINED 1 11400
HORSEHEAD HLDG CORP COM 440694305 5989 640000 SH DEFINED 1 640000
NEWSTAR FINANCIAL INC COM 65251F105 17872 1490588 SH DEFINED 1 1490588
ROUNDYS INC COM 779268101 3982 658264 SH DEFINED 1 658264
SEALY CORP COM 812139301 4323 1982926 SH DEFINED 1 1982926
SEALY CORP SR SECD 3RD 8% 812139400 14295 269971 SH DEFINED 1 269971
SELECT MED HLDGS CORP COM 81619Q105 189 16832 SH DEFINED 1 16832