0000950123-11-077353.txt : 20110815 0000950123-11-077353.hdr.sgml : 20110815 20110815125520 ACCESSION NUMBER: 0000950123-11-077353 CONFORMED SUBMISSION TYPE: 13F-NT/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110815 EFFECTIVENESS DATE: 20110815 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: 13F-NT/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-11405 FILM NUMBER: 111034665 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 13F-NT/A 1 c65843e13fvntza.txt FORM 13F-NT/A ================================================================================ 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 [X]; Amendment Number:1 This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Nuveen Investments, Inc. Address: 333 W. Wacker Drive Chicago, IL 60606 13F File Number: 028-11405 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: Mary E. Keefe Title: Managing Director and Director of Compliance Phone: 312-917-7700 Signature, Place, and Date of Signing: /s/ Mary E. Keefe Chicago, IL August 10, 2011 --------------------- ------------------ ---------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report) [X] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager is reported in this report and a portion is reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section] Form 13F File Number Name 028-01474 NWQ Investment Management Company, LLC 028-05958 Symphony Asset Management, LLC 028-05621 Santa Barbara Asset Management, LLC ================================================================================ Form 13F File Number Name 028-12572 Tradewinds Global Investors, LLC 028-12742 Nuveen HydePark Group, LLC 028-03676 Winslow Capital Management, Inc. 028-13469 Nuveen Investment Solutions, Inc. 028-14498 Nuveen Asset Management, LLC 028-11710 Nuveen Fund Advisors, Inc. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 9 Form 13F Information Table Entry Total: 0 Form 13F Information Table Value Total: $0 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File # Name None