EX-25.1 46 a2218794zex-25_1.htm EX-25.1

Exhibit 25.1

 

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM T-1

 

STATEMENT OF ELIGIBILITY UNDER

THE TRUST INDENTURE ACT OF 1939 OF A

CORPORATION DESIGNATED TO ACT AS TRUSTEE

 

Check if an Application to Determine Eligibility of

a Trustee Pursuant to Section 305(b)(2)  o

 

 

U.S. BANK NATIONAL ASSOCIATION

(Exact name of Trustee as specified in its charter)

 

31-0841368

I.R.S. Employer Identification No.

 

800 Nicollet Mall
Minneapolis, Minnesota

 

55402

(Address of principal executive offices)

 

(Zip Code)

 

Raymond S. Haverstock

U.S. Bank National Association

60 Livingston Avenue

St. Paul, MN 55107

(651) 466-6299

(Name, address and telephone number of agent for service)

 

Nuveen Investments, Inc.*

(Issuer with respect to the Securities)

 

Delaware

 

36-3817266

(State or other jurisdiction of incorporation or organization)

 

(I.R.S. Employer Identification No.)

 

 

 

 

333 West Wacker Drive
Chicago, Illinois

 

60606

(Address of Principal Executive Offices)

 

(Zip Code)

 

SEE TABLE OF ADDITIONAL REGISTRANTS

 

9.125% Senior Notes Due 2017

 Guarantees of 9.125% Senior Notes due 2017

9.50% Senior Notes due 2020

Guarantees of 9.50% Senior Notes due 2017

(Title of the Indenture Securities)

 

 

 


 

*TABLE OF ADDITIONAL REGISTRANTS

 

The address and telephone number of the principal executive office of each additional registrant is c/o Nuveen Investments, Inc., 333 West Wacker Drive, Chicago, Illinois 60606, (312) 917-7700. The name, address and telephone number of the agent for service of each additional registrant is John L. MacCarthy, EVP, Secretary & General Counsel, Nuveen Investments, Inc., 333 West Wacker Drive, Chicago, Illinois 60606, (312) 917-7700.

 

Exact name of registrant as specified in its charter

 

State or other 
jurisdiction of
incorporation or 
organization

 

Primary 
Standard 
Industrial
Classification 
Code Number

 

I.R.S. 
Employer
Identification 
Number

 

Windy City Investments, Inc.

 

Delaware

 

6282

 

26-0373324

 

Nuveen Asset Management, LLC

 

Delaware

 

6282

 

27-4357327

 

Nuveen Commodities Asset Management, LLC

 

Delaware

 

6282

 

42-1683694

 

Nuveen Fund Advisors, LLC

 

Delaware

 

6282

 

31-0942504

 

Nuveen Investments Advisers Inc.

 

Delaware

 

6282

 

04-3714572

 

Nuveen Investments Holdings, Inc.

 

Delaware

 

6282

 

36-7364377

 

Nuveen NWQ Holdings, LLC

 

Delaware

 

6282

 

36-4709028

 

Nuveen Tradewinds Holdings, LLC

 

Delaware

 

6282

 

02-0767175

 

Nuveen WCM Holdings, LLC

 

Delaware

 

6282

 

37-1695518

 

NWQ Investment Management Company, LLC

 

Delaware

 

6282

 

47-0875103

 

Santa Barbara Asset Management, LLC

 

Delaware

 

6282

 

20-3432117

 

Symphony Asset Management LLC

 

California

 

6282

 

94-3252504

 

Tradewinds Global Investors, LLC

 

Delaware

 

6282

 

02-0767178

 

Winslow Capital Management, LLC

 

Delaware

 

6282

 

90-0860898

 

 

2


 

FORM T-1

 

Item 1.                                 GENERAL INFORMATION.  Furnish the following information as to the Trustee.

 

a)                       Name and address of each examining or supervising authority to which it is subject.

Comptroller of the Currency

Washington, D.C.

 

b)             Whether it is authorized to exercise corporate trust powers.

Yes

 

Item 2.                                 AFFILIATIONS WITH OBLIGOR.  If the obligor is an affiliate of the Trustee, describe each such affiliation.

None

 

Items 3-15                                     Items 3-15 are not applicable because to the best of the Trustee’s knowledge, the obligor is not in default under any Indenture for which the Trustee acts as Trustee.

 

Item 16.                               LIST OF EXHIBITS:  List below all exhibits filed as a part of this statement of eligibility and qualification.

 

1.              A copy of the Articles of Association of the Trustee.*

 

2.              A copy of the certificate of authority of the Trustee to commence business, attached as Exhibit 2.

 

3.              A copy of the certificate of authority of the Trustee to exercise corporate trust powers, attached as Exhibit 3.

 

4.              A copy of the existing bylaws of the Trustee.**

 

5.              A copy of each Indenture referred to in Item 4.  Not applicable.

 

6.              The consent of the Trustee required by Section 321(b) of the Trust Indenture Act of 1939, attached as Exhibit 6.

 

7.              Report of Condition of the Trustee as of September 30, 2013 published pursuant to law or the requirements of its supervising or examining authority, attached as Exhibit 7.

 

* Incorporated by reference to Exhibit 25.1 to Amendment No. 2 to registration statement on S-4, Registration Number 333-128217 filed on November 15, 2005.

** Incorporated by reference to Exhibit 25.1 to registration statement on S-4, Registration Number 333-166527 filed on May 5, 2010.

 

3


 

SIGNATURE

 

Pursuant to the requirements of the Trust Indenture Act of 1939, as amended, the Trustee, U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America, has duly caused this statement of eligibility and qualification to be signed on its behalf by the undersigned, thereunto duly authorized, all in the City of St. Paul, State of Minnesota on the 27th of February, 2014.

 

 

By:

/s/ Raymond S. Haverstock

 

 

Raymond S. Haverstock

 

 

Vice President

 

4

Exhibit 2 Comptroller of the Currency Administrator of National Banks Washington, DC 20219 CERTIFICATE OF CORPORATE EXISTENCE I, Thomas J. Curry, Comptroller of the Currency, do hereby certify that: 1. The Comptroller of the Currency, pursuant to Revised Statutes 324, et seq, as amended, and 12 USC 1, et seq, as amended, has possession, custody, and control of all records pertaining to the chartering, regulation, and supervision of all national banking associations. 2. “U.S. Bank National Association,” Cincinnati, Ohio, (Charter No. 24), is a national banking association formed under the laws of the United States and is authorized thereunder to transact the business of banking on the date of this certificate. IN TESTIMONY WHEREOF, today, February 27, 2013, I have hereunto subscribed my name and caused my seal of office to be affixed to these presents at the U.S. Department of the Treasury, in the City of Washington, District of Columbia. /s/ Thomas J. Curry Comptroller of the Currency 5

 

Exhibit 3 Comptroller of the Currency Administrator of National Banks Washington, DC 20219 CERTIFICATION OF FIDUCIARY POWERS I, Thomas J. Curry, Comptroller of the Currency, do hereby certify that: 1. The Office of the Comptroller of the Currency, pursuant to Revised Statutes 324, et seq, as amended, and 12 USC 1, et seq, as amended, has possession, custody, and control of all records pertaining to the chartering, regulation, and supervision of all national banking associations. 2. “U.S. Bank National Association,” Cincinnati, Ohio (Charter No. 24), was granted, under the hand and seal of the Comptroller, the right to act in all fiduciary capacities authorized under the provisions of the Act of Congress approved September 28, 1962, 76 Stat. 668, 12 USC 92a, and that the authority so granted remains in full force and effect on the date of this certificate. IN TESTIMONY WHEREOF, today, February 27, 2013, I have hereunto subscribed my name and caused my seal of office to be affixed to these presents at the U.S. Department of the Treasury, in the City of Washington, District of Columbia. /s/ Thomas J. Curry Comptroller of the Currency 6

 

 

 

Exhibit 6

 

CONSENT

 

In accordance with Section 321(b) of the Trust Indenture Act of 1939, the undersigned, U.S. BANK NATIONAL ASSOCIATION hereby consents that reports of examination of the undersigned by Federal, State, Territorial or District authorities may be furnished by such authorities to the Securities and Exchange Commission upon its request therefor.

 

 

Dated: February 27, 2014

 

 

 

 

 

 

 

 

 

By:

/s/ Raymond S. Haverstock

 

 

Raymond S. Haverstock

 

 

Vice President

 

7


 

Exhibit 7

U.S. Bank National Association

Statement of Financial Condition

As of 12/31/2013

 

($000’s)

 

 

 

12/31/2013

 

 

 

 

 

Assets

 

 

 

Cash and Balances Due From Depository Institutions

 

$

8,472,724

 

Securities

 

79,357,671

 

Federal Funds

 

76,693

 

Loans & Lease Financing Receivables

 

232,699,923

 

Fixed Assets

 

4,466,915

 

Intangible Assets

 

13,365,332

 

Other Assets

 

22,039,020

 

Total Assets

 

$

360,478,278

 

 

 

 

 

Liabilities

 

 

 

Deposits

 

$

271,150,926

 

Fed Funds

 

2,539,914

 

Treasury Demand Notes

 

0

 

Trading Liabilities

 

432,300

 

Other Borrowed Money

 

29,623,570

 

Acceptances

 

0

 

Subordinated Notes and Debentures

 

5,586,320

 

Other Liabilities

 

11,722,618

 

Total Liabilities

 

$

321,055,648

 

 

 

 

 

Equity

 

 

 

Common and Preferred Stock

 

18,200

 

Surplus

 

14,231,212

 

Undivided Profits

 

24,312,465

 

Minority Interest in Subsidiaries

 

$

860,753

 

Total Equity Capital

 

$

39,422,630

 

 

 

 

 

Total Liabilities and Equity Capital

 

$

360,478,278

 

 

8