-----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, WHz8AabhONvqWdXzrIG7Jywh4HjTnimQ7Eek46yCLZ21tLFXKaI5E3RVyklyYjhy B3ifvEif08LOXcMW5YdRYw== 0000950137-01-500467.txt : 20010329 0000950137-01-500467.hdr.sgml : 20010329 ACCESSION NUMBER: 0000950137-01-500467 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010328 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN JOHN COMPANY CENTRAL INDEX KEY: 0000885708 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 363817266 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-43420 FILM NUMBER: 1582792 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NAUTICAL TRUST CENTRAL INDEX KEY: 0001137078 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 316468542 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O THOMPSON HINE LLP STREET 2: P O BOX 8801 CITY: DAYTON STATE: OH ZIP: 45401-8801 BUSINESS PHONE: 9374436840 MAIL ADDRESS: STREET 1: C/O THOMPSON HINE LLP STREET 2: P O BOX 8801 CITY: DAYTON STATE: OH ZIP: 45401-8801 SC 13G 1 c60185gsc13g.txt STATEMENT OF ACQUISITION OF BENEFICIAL OWNERSHIP 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* The John Nuveen Company ----------------------------------------------------------------- (Name of Issuer) Class A Common Stock ----------------------------------------------------------------- (Title of Class of Securities) 478035108 --------------------------------------------- (CUSIP Number) March 26, 2000 ----------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which the Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act, but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 5 pages 2 SCHEDULE 13G Cusip No. 478035108 1 Name of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Nautical Trust - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Ohio - -------------------------------------------------------------------------------- 5 Sole Voting Power 623,870* ---------------------------------------------------------- Number of Shares 6 Shared Voting Power beneficially 0 ---------------------------------------------------------- owned 7 Sole Dispositive Power by each 623,870* ---------------------------------------------------------- reporting 8 Shared Dispositive Power person with: 0 ---------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 0 - -------------------------------------------------------------------------------- 10 Check Box if the Aggregate amount in Row (9) Excludes Certain Shares* [ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 8.6% - -------------------------------------------------------------------------------- 12 Type of Reporting Person* Trust - -------------------------------------------------------------------------------- * Includes 577,500 shares of Class A Common Stock for The John Nuveen Company ("JNC") issuable upon conversion of the shares of the JNC 5% Cumulative Convertible Preferred Stock held by the Trust. There are three Trustees of Trust whose powers are to be exercised with the concurrence of a majority of the Trustees. The Trust is irrevocable. * SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 3 Answer every item. If an item is inapplicable or the answer is in the negative, so state. ITEM 1(a). Name of Issuer: The John Nuveen Company --------------------------------------------------------------------- ITEM 1(b). Address of Issuer's Principal Executive Offices: 333 West Wacker Drive, Chicago, IL 60606 --------------------------------------------------------------------- ITEM 2(a). Name of Person Filing: Nautical Trust --------------------------------------------------------------------- ITEM 2(b). Address of Principal Business Office or, if None, Residence: c/o Thompson, Hine LLP, 2000 Courthouse Place, NE, P.O. Box 8801, Dayton, Ohio 45401 --------------------------------------------------------------------- ITEM 2(c). Citizenship: Ohio --------------------------------------------------------------------- ITEM 2(d). Title of Class of Securities: Class A Common Stock --------------------------------------------------------------------- ITEM 2(e). CUSIP Number: 478035108 --------------------------------------------------------------------- ITEM 3. If This Statement Is Filed Pursuant To Rule 13d-1(b), or 13d-2(b) or (c), Check Whether The Person Filing Is A: (a) [ ] Broker or dealer registered under Section 15 of the Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Act. (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). Page 3 of 10 4 (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] ITEM 4. Ownership. I. For Nautical Trust: (a) Amount beneficially owned: 623,870* (b) Percent of class: 8.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 623,870* (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 623,870* (iv) Shared power to dispose or to direct the disposition of: 0 ITEM 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. ITEM 6. Ownership of More than Five Percent on Behalf of Another Person. None ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A ITEM 8. Identification and Classification of Members of the Group. *See Exhibit A to Schedule 13G. *See footnote on page 2. Page 4 of 5 5 ITEM 9. Notice of Dissolution of Group. N/A ITEM 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. March 28, 2001 /s/ SUSAN P. DAVIS ----------------------------- Susan P. Davis, Trustee Nautical Trust /s/ MICHAEL R. PLEIMAN ----------------------------- Michael R. Pleiman, Trustee Nautical Trust /s/ VERNON A. PLEIMAN ----------------------------- Vernon A. Pleiman, Trustee Nautical Trust Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----