<SEC-DOCUMENT>0001047469-14-006001-index.html : 20140702 <SEC-HEADER>0001047469-14-006001.hdr.sgml : 20140702 <ACCEPTANCE-DATETIME>20140702171430 ACCESSION NUMBER: 0001047469-14-006001 CONFORMED SUBMISSION TYPE: S-4/A PUBLIC DOCUMENT COUNT: 11 FILED AS OF DATE: 20140702 DATE AS OF CHANGE: 20140702 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Fund Advisors, LLC CENTRAL INDEX KEY: 0001311016 IRS NUMBER: 310942504 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-09 FILM NUMBER: 14957605 BUSINESS ADDRESS: STREET 1: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-917-8146 MAIL ADDRESS: STREET 1: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: Nuveen Fund Advisors, Inc. DATE OF NAME CHANGE: 20110224 FORMER COMPANY: FORMER CONFORMED NAME: Nuveen Asset Management Inc. DATE OF NAME CHANGE: 20041209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SYMPHONY ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001030815 IRS NUMBER: 943252504 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-08 FILM NUMBER: 14957606 BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4156764000 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET STREET 2: SUITE 2975 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN INVESTMENTS INC CENTRAL INDEX KEY: 0000885708 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 363817266 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535 FILM NUMBER: 14957608 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 FORMER COMPANY: FORMER CONFORMED NAME: NUVEEN JOHN COMPANY DATE OF NAME CHANGE: 19930328 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen WCM Holdings, LLC CENTRAL INDEX KEY: 0001602161 IRS NUMBER: 371695518 STATE OF INCORPORATION: IL FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-01 FILM NUMBER: 14957611 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Investments Holdings, Inc. CENTRAL INDEX KEY: 0001463885 IRS NUMBER: 367364377 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-11 FILM NUMBER: 14957615 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-917-7700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NWQ INVESTMENT MANAGEMENT COMPANY, LLC CENTRAL INDEX KEY: 0000763848 IRS NUMBER: 470875103 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-06 FILM NUMBER: 14957618 BUSINESS ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 16TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: (310) 552-5114 MAIL ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 16TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO LLC DATE OF NAME CHANGE: 20030416 FORMER COMPANY: FORMER CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO /CA/ DATE OF NAME CHANGE: 19990407 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen NWQ Holdings, LLC CENTRAL INDEX KEY: 0001602171 IRS NUMBER: 364709028 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-03 FILM NUMBER: 14957609 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Santa Barbara Asset Management, LLC CENTRAL INDEX KEY: 0001463898 IRS NUMBER: 203432117 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-05 FILM NUMBER: 14957614 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-917-7700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Windy City Investments, Inc. CENTRAL INDEX KEY: 0001426493 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-13 FILM NUMBER: 14957617 BUSINESS ADDRESS: STREET 1: C/O MADISON DEARBORN PARTNERS, LLC STREET 2: THREE FIRST NATIONAL PLAZA CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 312-895-1001 MAIL ADDRESS: STREET 1: C/O MADISON DEARBORN PARTNERS, LLC STREET 2: THREE FIRST NATIONAL PLAZA CITY: CHICAGO STATE: IL ZIP: 60602 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Commodities Asset Management, LLC CENTRAL INDEX KEY: 0001502102 IRS NUMBER: 421683694 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-10 FILM NUMBER: 14957613 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE, SUITE 2900 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-917-7700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE, SUITE 2900 CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Tradewinds Holdings, LLC CENTRAL INDEX KEY: 0001602169 IRS NUMBER: 020767175 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-02 FILM NUMBER: 14957610 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS, INC. STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tradewinds Global Investors, LLC CENTRAL INDEX KEY: 0001383221 IRS NUMBER: 020767178 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-04 FILM NUMBER: 14957604 BUSINESS ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 20TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: (310) 552-5114 MAIL ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 20TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: Tradewinds NWQ Global Investors, LLC DATE OF NAME CHANGE: 20061211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Investments Advisers Inc. CENTRAL INDEX KEY: 0001463373 IRS NUMBER: 043714572 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-12 FILM NUMBER: 14957616 BUSINESS ADDRESS: STREET 1: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-917-7700 MAIL ADDRESS: STREET 1: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nuveen Asset Management, LLC CENTRAL INDEX KEY: 0001521019 IRS NUMBER: 274357327 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-14 FILM NUMBER: 14957612 BUSINESS ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 917-7700 MAIL ADDRESS: STREET 1: C/O NUVEEN INVESTMENTS STREET 2: 333 W. WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Winslow Capital Management, LLC CENTRAL INDEX KEY: 0000900973 IRS NUMBER: 900860898 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-4/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-194535-07 FILM NUMBER: 14957607 BUSINESS ADDRESS: STREET 1: 4720 IDS TOWER STREET 2: 80 SOUTH 8TH ST CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123769122 MAIL ADDRESS: STREET 1: 4720 IDS TOWER STREET 2: 80 SOUTH 8TH ST CITY: MINNEAPOLIS STATE: MN ZIP: 55402 FORMER COMPANY: FORMER CONFORMED NAME: WINSLOW CAPITAL MANAGEMENT INC /MN DATE OF NAME CHANGE: 19990322 </SEC-HEADER> <DOCUMENT> <TYPE>S-4/A <SEQUENCE>1 <FILENAME>a2219041zs-4a.htm <DESCRIPTION>S-4/A <TEXT> Document 1 - file: a2219041zs-4a.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-12.1 <SEQUENCE>2 <FILENAME>a2219041zex-12_1.htm <DESCRIPTION>EX-12.1 <TEXT> Document 2 - file: a2219041zex-12_1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-23.1 <SEQUENCE>3 <FILENAME>a2219041zex-23_1.htm <DESCRIPTION>EX-23.1 <TEXT> Document 3 - file: a2219041zex-23_1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>4 <FILENAME>a2219041zex-99_1.htm <DESCRIPTION>EX-99.1 <TEXT> Document 4 - file: a2219041zex-99_1.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>5 <FILENAME>g90618.jpg <DESCRIPTION>G90618.JPG <TEXT> Document 5 - file: g90618.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>6 <FILENAME>g776382.jpg <DESCRIPTION>G776382.JPG <TEXT> Document 6 - file: g776382.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>7 <FILENAME>g316906.jpg <DESCRIPTION>G316906.JPG <TEXT> Document 7 - file: g316906.jpg
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</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>9 <FILENAME>g73912ok07i002.gif <DESCRIPTION>G73912OK07I002.GIF <TEXT> Document 9 - file: g73912ok07i002.gif
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>10 <FILENAME>g73912ok07i003.gif <DESCRIPTION>G73912OK07I003.GIF <TEXT> Document 10 - file: g73912ok07i003.gif
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>11 <FILENAME>g73912ok07i004.gif <DESCRIPTION>G73912OK07I004.GIF <TEXT> Document 11 - file: g73912ok07i004.gif
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