-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BIKZAF/O5ns6MVgwiMBMf4LSDS1MhQKfMFbscJBCxWMpFlvGPDiNJDYYA3ra18OS UNRYuGjoF1cukkyw7X6Isg== 0000950137-05-011004.txt : 20050906 0000950137-05-011004.hdr.sgml : 20050905 20050906111246 ACCESSION NUMBER: 0000950137-05-011004 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050906 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20050906 DATE AS OF CHANGE: 20050906 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 051069406 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 8-K 1 c97947e8vk.txt CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) SEPTEMBER 6, 2005 NUVEEN INVESTMENTS, INC. (Exact name of Registrant as specified in its charter) DELAWARE 1-11123 36-3817266 - ----------------------- -------------------------- ------------------ (State or other (Commission File Number) (IRS Employer jurisdiction of Identification incorporation) Number) 333 WEST WACKER DRIVE, CHICAGO, ILLINOIS 60606 - -------------------------------------------------- --------------- (Address of principal executive offices) (Zip Code) (312) 917-7700 ------------------------------------------------------------------ (Registrant's telephone number, including area code) NOT APPLICABLE -------------------------------------------------------------------- (Former name or former address, if changed since last report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: |_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) - -------------------------------------------------------------------------------- SECTION 8 -- OTHER EVENTS ITEM 8.01 OTHER EVENTS. Attached as Exhibit 25.1 is the Form T-1 of The Bank of New York Trust Company, N.A. to designate The Bank of New York Trust Company, N.A. to act as an eligible trustee pursuant to the Trust Indenture Act of 1939 in connection with the effective Registration Statement on Form S-3 (Registration Statement No. 333-123101) originally filed by Nuveen Investments, Inc. with the Securities and Exchange Commission on March 3, 2005. Exhibit 25.1 is incorporated herein by reference. SECTION 9 - FINANCIAL STATEMENTS AND EXHIBITS ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS. (c) Exhibits EXHIBIT NUMBER DESCRIPTION ---------- ----------------- Exhibit 25.1 Form T-1 Statement of Eligibility under the Trust Indenture Act of 1939 of The Bank of New York Trust Company, N.A. 2 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report to be signed on its behalf by the undersigned thereunto duly authorized. NUVEEN INVESTMENTS, INC. Date: September 6, 2005 By: /s/ Alan G. Berkshire ------------------------------- Name: Alan G. Berkshire Title: Senior Vice President and General Counsel 3 EXHIBIT INDEX EXHIBIT NUMBER DESCRIPTION ---------- ------------------- Exhibit 25.1 Form T-1 Statement of Eligibility under the Trust Indenture Act of 1939 of The Bank of New York Trust Company, N.A. 4 EX-25.1 2 c97947exv25w1.txt FORM T-1 EXHIBIT 25.1 SEC File No. 333-123101 UNITED STATES 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) |X| --------------------------- THE BANK OF NEW YORK TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) 95-3571558 (State of incorporation (I.R.S. employer if not a U.S. national bank) identification no.) 700 SOUTH FLOWER STREET SUITE 500 LOS ANGELES, CALIFORNIA 90017 (Address of principal executive offices) (Zip code) --------------------------- NUVEEN INVESTMENTS, INC. (Exact name of obligor as specified in its charter) DELAWARE 36-3817266 (State or other jurisdiction of (I.R.S. employer incorporation or organization) identification no.) 333 WEST WACKER DRIVE, CHICAGO IL 60606 (Address of principal executive offices) (Zip code) --------------------------- DEBT SECURITIES (Title of the indenture securities) --------------------------- 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.
---------------------------------------------------------------------- Name Address ---------------------------------------------------------------------- Comptroller of the Currency - Washington, D.C. 20219 United States Department of the Treasury Federal Reserve Bank San Francisco, California 94105 Federal Deposit Insurance Washington, D.C. 20429 Corporation
(b) WHETHER IT IS AUTHORIZED TO EXERCISE CORPORATE TRUST POWERS. Yes. 2. AFFILIATIONS WITH OBLIGOR. IF THE OBLIGOR IS AN AFFILIATE OF THE TRUSTEE, DESCRIBE EACH SUCH AFFILIATION. None. 16. LIST OF EXHIBITS. EXHIBITS IDENTIFIED IN PARENTHESES BELOW, ON FILE WITH THE COMMISSION, ARE INCORPORATED HEREIN BY REFERENCE AS AN EXHIBIT HERETO, PURSUANT TO RULE 7A-29 UNDER THE TRUST INDENTURE ACT OF 1939 (THE "ACT") AND 17 C.F.R. 229.10(D). 1. A copy of the articles of association of The Bank of New York Trust Company, N.A. (Exhibit 1 to Form T-1 filed with Registration Statement No. 333-121948). 2. A copy of certificate of authority of the trustee to commence business. (Exhibit 2 to Form T-1 filed with Registration Statement No. 333-121948). 3. A copy of the authorization of the trustee to exercise corporate trust powers. (Exhibit 3 to Form T-1 filed with Registration Statement No. 333-121948). 4. A copy of the existing by-laws of the trustee. (Exhibit 4 to Form T-1 filed with Registration Statement No. 333-121948). 6. The consent of the trustee required by Section 321(b) of the Act. (Exhibit 6 to Form T-1 filed with Registration Statement No. 333-121948). 7. A copy of the latest report of condition of the Trustee published pursuant to law or to the requirements of its supervising or examining authority. 2 SIGNATURE Pursuant to the requirements of the Act, the trustee, The Bank of New York Trust Company, N.A., a banking association organized and existing under the laws of the United States of America, has duly caused this statement of eligibility to be signed on its behalf by the undersigned, thereunto duly authorized, all in The City of Chicago, and State of Illinois, on the 6th day of September, 2005. THE BANK OF NEW YORK TRUST COMPANY, N.A. By: /s/ L. Garcia ------------------------------------- L. Garcia Vice President 3 EXHIBIT 7 Consolidated Report of Condition of THE BANK OF NEW YORK TRUST COMPANY, N.A. of 700 S. Flower Street, 2nd Floor, Los Angeles, CA 90017 At the close of business March 31, 2005, published in accordance with Federal regulatory authority instructions.
Dollar Amounts in Thousands ASSETS Cash and balances due from depository institutions: Noninterest-bearing balances and currency and coin............................................................................. 9,100 Interest-bearing balances............................................................................... 0 Securities: Held-to-maturity securities............................................................................ 75 Available-for-sale securities...................................................................... 57,298 Federal funds sold and securities purchased under agreements to resell: Federal funds sold ................................................................................ 19,000 Securities purchased under agreements to resell.................................................... 95,000 Loans and lease financing receivables: Loans and leases held for sale.......................................................................... 0 Loans and leases, net of unearned income............................................ 0 LESS: Allowance for loan and lease losses...................................................... 0 Loans and leases, net of unearned income and allowance ................................................................................. 0 Trading assets................................................................................................... 0 Premises and fixed assets (including capitalized leases)................................................................................. 3,876 Other real estate owned.......................................................................................... 0 Investments in unconsolidated subsidiaries and associated companies............................................................................................... 0 Customers' liability to this bank on acceptances outstanding.............................................................................. 0 Intangible assets: Goodwill .......................................................................................... 240,005 Other Intangible Assets .............................................................................. 17,839 Other assets................................................................................................ 34,344 ------- Total assets.............................................................................................. $476,537 ========
LIABILITIES Deposits: In domestic offices................................................................................. 7,502 Noninterest-bearing........................................................ 7,502 Interest-bearing............................................................... 0 Not applicable Federal funds purchased and securities sold under agreements to repurchase: Federal funds purchased................................................................................. 0 Securities sold under agreements to repurchase.......................................................... 0 Trading liabilities.............................................................................................. 0 Other borrowed money: (includes mortgage indebtedness and obligations under capitalized leases)............................................................................................ 58,000 Not applicable Bank's liability on acceptances executed and outstanding.............................................................................. 0 Subordinated notes and debentures................................................................................ 0 Other liabilities........................................................................................... 51,452 Total liabilities......................................................................................... $116,954 ======= Minority interest in consolidated subsidiaries................................................................... 0 EQUITY CAPITAL Perpetual preferred stock and related surplus.................................................................... 0 Common stock................................................................................................. 1,000 Surplus.................................................................................................... 294,125 Retained earnings........................................................................................... 64,622 Accumulated other comprehensive income............................................................................................... (164) ----- Other equity capital components.................................................................................. 0 -------- Total equity capital...................................................................................... $359,583 -------- Total liabilities, minority interest, and equity capital.................................................. $476,537 =========
I, Thomas J. Mastro, Comptroller of the above-named bank do hereby declare that this Report of Condition has been prepared in conformance with the instructions issued by the appropriate Federal regulatory authority and is true to the best of my knowledge and belief. Thomas J. Mastro ) Comptroller We, the undersigned directors, attest to the correctness of this Report of Condition and declare that it has been examined by us and to the best of our knowledge and belief has been prepared in conformance with the instructions issued by the appropriate Federal regulatory authority and is true and correct. Richard G. Jackson ) Nicholas C. English ) Directors Karen B. Shupenko ) 2 -----END PRIVACY-ENHANCED MESSAGE-----