0000073076-11-000005.txt : 20110516 0000073076-11-000005.hdr.sgml : 20110516 20110516134245 ACCESSION NUMBER: 0000073076-11-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 EFFECTIVENESS DATE: 20110516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWESTERN MUTUAL LIFE INSURANCE CO CENTRAL INDEX KEY: 0000073076 IRS NUMBER: 390509570 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00229 FILM NUMBER: 11845310 BUSINESS ADDRESS: STREET 1: 720 E WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142992508 MAIL ADDRESS: STREET 1: 720 EAST WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 13F-HR 1 nml11q1.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: March 31, 2011 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: The Northwestern Mutual Life Insurance Company Address: 720 East Wisconsin Avenue Milwaukee, WI 53202 13F File Number: 28-00229 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: Mark G. Doll Title: Chief Investment Officer Phone: 414-665-3336 Signature, Place, and Date of Signing: Mark G. Doll Milwaukee, WI May 16, 2011 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 028-01096 Russell Trust Company 028-01190 Frank Russell Company 028-05583 Northwestern Investment Management Company, LLC 028-10206 Mason Street Advisors, LLC 028-11160 Northwestern Mutual Wealth Management Company FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 39 Form 13F Information Table Value Total: $33,524 (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. NONE 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 6 946 SH DEFINED 946 AVON PRODS INC COM 054303102 7 250 SH DEFINED 250 BOEING CO COM 097023105 7 100 SH DEFINED 100 CITIGROUP INC COM 172967101 3 590 SH DEFINED 590 CONCEPTUS INC COM 206016107 51 3500 SH DEFINED 3500 CORNING INC COM 219350105 5 250 SH DEFINED 250 FORD MTR CO DEL COM PAR $0.01 345370860 12 800 SH DEFINED 800 GOLDMAN SACHS GROUP INC COM 38141G104 16 100 SH DEFINED 100 H & Q HEALTHCARE FD SH BEN INT 404052102 7 512 SH DEFINED 512 HALLIBURTON CO COM 406216101 10 200 SH DEFINED 200 ING GLOBAL EQTY DIV & PREM O COM 45684E107 16 1476 SH DEFINED 1476 ISHARES TR BARCLYS 1-3YR CR 464288646 16 152 SH DEFINED 152 ISHARES TR BARCLYS CR BD 464288620 2074 19879 SH DEFINED 19879 ISHARES TR BARCLYS TIPS BD 464287176 1490 13651 SH DEFINED 13651 ISHARES TR MSCI EAFE INDEX 464287465 5156 85818 SH DEFINED 85818 ISHARES TR S&P MIDCAP 400 464287507 2441 24724 SH DEFINED 24724 ISHARES TR S&P SMLCAP 600 464287804 1120 15227 SH DEFINED 15227 KAYNE ANDERSON ENRGY TTL RT COM 48660P104 57 1810 SH DEFINED 1810 KRISPY KREME DOUGHNUTS INC COM 501014104 0 50 SH DEFINED 50 LAYNE CHRISTENSEN CO COM 521050104 3 100 SH DEFINED 100 MATTEL INC COM 577081102 6 250 SH DEFINED 250 MCDONALDS CORP COM 580135101 11 138 SH DEFINED 138 MERCK & CO INC NEW COM 58933Y105 4 110 SH DEFINED 110 MICROSOFT CORP COM 594918104 30 1200 SH DEFINED 1200 NUVEEN QUALITY PFD INCOME FD COM 67072C105 23 2739 SH DEFINED 2739 NYSE EURONEXT COM 629491101 3 75 SH DEFINED 75 SALIX PHARMACEUTICALS INC NOTE 2.750% 5/1 795435AC0 2 2000 SH DEFINED 2000 SIRIUS XM RADIO INC COM 82967N108 1 656 SH DEFINED 656 SPDR GOLD TRUST GOLD SHS 78463V107 10 71 SH DEFINED 71 SPDR S&P 500 ETF TR TR UNIT 78462F103 8829 66591 SH DEFINED 66591 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 995 16637 SH DEFINED 16637 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 1256 30997 SH DEFINED 30997 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1640 20461 SH DEFINED 20461 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 4647 58067 SH DEFINED 58067 VANGUARD INDEX FDS REIT ETF 922908553 1492 25522 SH DEFINED 25522 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2054 41951 SH DEFINED 41951 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 4 59 SH DEFINED 59 WISDOMTREE TRUST INTL SMCAP DIV 97717W760 4 75 SH DEFINED 75 WISDOMTREE TRUST SMALLCAP DIVID 97717W604 16 335 SH DEFINED 335