0000073076-11-000009.txt : 20111114 0000073076-11-000009.hdr.sgml : 20111111 20111114101926 ACCESSION NUMBER: 0000073076-11-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111198682 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 nml11q3.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, 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 November 14, 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 Mutual Capital, 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: 50 Form 13F Information Table Value Total: $42,634 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AASTROM BIOSCIENCES INC COM NEW 00253U305 0 125 SH DEFINED 125 ALCATEL-LUCENT SPONSORED ADR 013904305 0 97 SH DEFINED 97 ALTRIA GROUP INC COM 02209S103 1 52 SH DEFINED 52 AOL INC COM 00184X105 0 3 SH DEFINED 3 AVID TECHNOLOGY INC COM 05367P100 1 75 SH DEFINED 75 BOEING CO COM 097023105 14 225 SH DEFINED 225 BRISTOL MYERS SQUIBB CO COM 110122108 3 100 SH DEFINED 100 CATERPILLAR INC DEL COM 149123101 3 35 SH DEFINED 35 CEDAR FAIR L P DEPOSITRY UNIT 150185106 1 76 SH DEFINED 76 CITIGROUP INC COM NEW 172967424 0 11 SH DEFINED 11 COMCAST CORP NEW CL A 20030N101 1 48 SH DEFINED 48 DWS HIGH INCOME OPPORT FD IN COM NEW 23339M204 3 250 SH DEFINED 250 FIRSTHAND TECH VALUE FD INC COM 33766Y100 1 90 SH DEFINED 90 FORD MTR CO DEL COM PAR $0.01 345370860 8 800 SH DEFINED 800 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1 46 SH DEFINED 46 GOLDMAN SACHS GROUP INC COM 38141G104 2 20 SH DEFINED 20 INTEL CORP COM 458140100 2 105 SH DEFINED 105 ISHARES TR BARCLYS CR BD 464288620 3109 28855 SH DEFINED 28855 ISHARES TR BARCLYS TIPS BD 464287176 2282 19962 SH DEFINED 19962 ISHARES TR DJ INTL SEL DIVD 464288448 1 42 SH DEFINED 42 ISHARES TR MSCI EAFE INDEX 464287465 5857 122591 SH DEFINED 122591 ISHARES TR MSCI EMERG MKT 464287234 3 75 SH DEFINED 75 ISHARES TR S&P 500 INDEX 464287200 7 65 SH DEFINED 65 ISHARES TR S&P MIDCAP 400 464287507 2677 34325 SH DEFINED 34325 ISHARES TR S&P SMLCAP 600 464287804 1261 21549 SH DEFINED 21549 KRAFT FOODS INC CL A 50075N104 1 27 SH DEFINED 27 MAGNUM HUNTER RES CORP DEL COM 55973B102 0 27 SH DEFINED 27 NUVEEN QUALITY PFD INCOME FD COM 67071S101 1 198 SH DEFINED 198 PFIZER INC COM 717081103 3 166 SH DEFINED 166 PHILIP MORRIS INTL INC COM 718172109 2 40 SH DEFINED 40 PIMCO HIGH INCOME FD COM SHS 722014107 1 112 SH DEFINED 112 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 2 186 SH DEFINED 186 PROSHARES TR PSHS ULTSH 20YRS 74347R297 2 80 SH DEFINED 80 SALIX PHARMACEUTICALS INC NOTE 2.750% 5/1 795435AC0 2 2000 SH DEFINED 2000 SCHLUMBERGER LTD COM 806857108 2 35 SH DEFINED 35 SEALY CORP COM 812139301 1 375 SH DEFINED 375 SIRIUS XM RADIO INC COM 82967N108 1 970 SH DEFINED 970 SPDR S&P 500 ETF TR TR UNIT 78462F103 10435 92219 SH DEFINED 92219 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 1481 24641 SH DEFINED 24641 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 1666 46028 SH DEFINED 46028 TIME WARNER CABLE INC COM 88732J207 1 8 SH DEFINED 8 TIME WARNER INC COM NEW 887317303 1 37 SH DEFINED 37 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 2546 31272 SH DEFINED 31272 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 7289 87047 SH DEFINED 87047 VANGUARD INDEX FDS LARGE CAP ETF 922908637 0 1 SH DEFINED 1 VANGUARD INDEX FDS MID CAP ETF 922908629 0 1 SH DEFINED 1 VANGUARD INDEX FDS REIT ETF 922908553 1833 36033 SH DEFINED 36033 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 0 1 SH DEFINED 1 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2124 59272 SH DEFINED 59272 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 2 32 SH DEFINED 32