-----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, KODvhMqq4pqqQD3olq5j/5F7nV9JWlEihWxo5U3wcbyFl4KAgKHKBgvTpctL7XWD oeQo3sfthasBuQj3LYbFEQ== 0000950137-05-013807.txt : 20051114 0000950137-05-013807.hdr.sgml : 20051111 20051114151438 ACCESSION NUMBER: 0000950137-05-013807 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050930 FILED AS OF DATE: 20051114 DATE AS OF CHANGE: 20051114 EFFECTIVENESS DATE: 20051114 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-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11405 FILM NUMBER: 051200750 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-HR 1 c00051e13fvhr.txt HOLDINGS REPORT 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, 2005 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: 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: Larry W. Martin Title: Vice President Phone: 312-917-7700 Signature, Place, and Date of Signing: /s/ Larry W. Martin Chicago, IL November 14, 2005 - -------------------- ------------------- ------------------ [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) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 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 028-02397 Rittenhouse Asset Management, Inc. 028-05958 Symphony Asset Management, LLC 028-05621 Santa Barbara Asset Management, LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 132 Form 13F Information Table Value Total: $500,810 (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
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 VALUE SHARES/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (x$1000) PRN AMT DISCRETION MGRS. SOLE SHARED NONE 3M CO COM 88579Y101 12186 166,108 DEFINED 166,108 0 0 ABN AMRO HLDG N V ADR COM 937102 0 1 DEFINED 1 0 0 AFLAC INC COM 1055102 3 65 DEFINED 65 0 0 ADOBE SYS INC COM 00724F101 2 68 DEFINED 68 0 0 ADVANCED MICRO DEVICES INC COM 7903107 6 245 DEFINED 245 0 0 AEGON NV ORD AMER REG COM 7924103 0 5 DEFINED 5 0 0 ALCOA INC COM 13817101 4056 166,108 DEFINED 166,108 0 0 ALTRIA GROUP COM 02209S103 28351 384,623 DEFINED 384,623 0 0 AMAZON INC COM 23135106 9 196 DEFINED 196 0 0 AMERICAN ELECTRIC POWER COM 25537101 5 135 DEFINED 135 0 0 AMERICAN EXPRESS CO COM 25816109 9548 166,233 DEFINED 166,233 0 0 AMERICAN INTL GROUP INC COM COM 26874107 10292 166,108 DEFINED 166,108 0 0 AMERITRADE HLDG CORP COM 03074K100 8 364 DEFINED 364 0 0 AMGEN INC COM 31162100 11557 145,060 DEFINED 145,060 0 0 AUTOZONE INC COM 53332102 8658 104,000 DEFINED 104,000 0 0 APOLLO GROUP INC COM 37604105 7807 117,586 DEFINED 117,586 0 0 APPLE COMPUTER INC COM 37833100 2 39 DEFINED 39 0 0 APPLERA CORPORATION APPLIED COM 38020103 9 375 DEFINED 375 0 0 AUTODESK INC COM COM 52769106 3 63 DEFINED 63 0 0 BJ SVCS CO COM COM 55482103 1 36 DEFINED 36 0 0 BAKER HUGHES INC COM COM 57224107 2 33 DEFINED 33 0 0 BED BATH & BEYOND COM 75896100 9174 228,311 DEFINED 228,311 0 0 BEAR STEARNS COS INC COM 73902108 11 98 DEFINED 98 0 0 BEST BUY INC COM 86516101 5 110 DEFINED 110 0 0 BIOTECH HOLDRS TR DEPOSITORY COM 09067D201 10 50 DEFINED 50 0 0 BOEING CO COM 97023105 11290 166,154 DEFINED 166,154 0 0 BOSTON SCIENTIFIC CORP COM 101137107 6427 275,000 DEFINED 275,000 0 0 BROADCOM CORP CALIF COM 111320107 7 149 DEFINED 149 0 0 CSX CORP COM 126408103 2 46 DEFINED 46 0 0 CANADIAN PAC LTD NEW COM 135923100 0 27 DEFINED 27 0 0 CATERPILLAR INC COM 149123101 9759 166,108 DEFINED 166,108 0 0 CHEESECAKE FACTORY INC COM COM 163072101 1 26 DEFINED 26 0 0
CHESAPEAKE ENERGY CORP COM COM 165167107 2 65 DEFINED 65 0 0 CHICAGO MERCANTILE EXCHANGE CL COM 167760107 5 15 DEFINED 15 0 0 CITIGROUP INC COM 172967101 20396 448,064 DEFINED 448,064 0 0 COCA COLA CO COM 191216100 21558 499,143 DEFINED 499,143 0 0 CORNING INC COM 219350105 4 213 DEFINED 213 0 0 COVENTRY HEALTH CARE INC COM COM 222862104 2 38 DEFINED 38 0 0 DELL INC COM 24702R101 7866 230,000 DEFINED 230,000 0 0 DIAMOND OFFSHORE DRILLNG INCCO COM 25271C102 2 38 DEFINED 38 0 0 DISNEY CO COM 254687106 4008 166,108 DEFINED 166,108 0 0 DUKE POWER CO COM 264399106 7 225 DEFINED 225 0 0 DUPONT E I DE NEMOURS CO COM 263534109 17910 457,241 DEFINED 457,241 0 0 EBAY INC COM 278642103 9 230 DEFINED 230 0 0 E*TRADE GROUP INC COM 269246104 12676 720,243 DEFINED 720,243 0 0 EXPRESS SCRIPTS INC-CL A COM 302182100 15301 246,000 DEFINED 246,000 0 0 EXELON CORP COM COM 30161N101 22 409 DEFINED 0 0 409 EXXON MOBIL CORP COM 30231G102 10555 166,108 DEFINED 166,108 0 0 EYECASHNETWORKS INC COM NEW COM 30232F103 0 50 DEFINED 50 0 0 FPL GROUP INC COM 302571104 8 177 DEFINED 177 0 0 FLUOR CORP NEW COM 343412102 4 61 DEFINED 61 0 0 FOREST LABORATORIES INC COM 345838106 8662 222,277 DEFINED 222,277 0 0 FRANCE TELECOM SPONSORED ADR COM 35177Q204 0 27 DEFINED 27 0 0 GENETECH INC COM 368710406 7 85 DEFINED 85 0 0 GENERAL ELECTRIC CO COM 369604103 5599 166,297 DEFINED 166,297 0 0 GENERAL MOTORS CORP COM 370442105 16010 523,036 DEFINED 523,036 0 0 GILEAD SCIENCES INC COM COM 375558103 13878 284,616 DEFINED 284,616 0 0 GLOBAL EMRGNCY MDCL SVCS COM 37942T109 0 250 DEFINED 250 0 0 GLOBAL EMERGENCY MEDICAL COM 37942T208 0 250 DEFINED 250 0 0 GOOGLE INC COM 38259P508 3 10 DEFINED 10 0 0 GRAINGER W W INC COM COM 384802104 3 44 DEFINED 44 0 0 HARRIS CORP COM COM 413875105 3 64 DEFINED 64 0 0 HEWLETT PACKARD CO COM 428236103 4850 166,108 DEFINED 166,108 0 0 HILTON HOTELS CORP COM COM 432848109 2 112 DEFINED 112 0 0 HOME DEPOT INC COM COM 437076102 6335 166,108 DEFINED 166,108 0 0 HONEYWELL INTL INC. COM 438516106 6229 166,108 DEFINED 166,108 0 0 INTEL CORP COM 458140100 4095 166,108 DEFINED 166,108 0 0 INTERNATIONAL BUS MACHINES COM 459200101 13325 166,108 DEFINED 166,108 0 0 JOHNSON CTLS INC COM 478366107 4 66 DEFINED 66 0 0 JOHNSON & JOHNSON COM 478160104 10517 166,200 DEFINED 166,200 0 0
JP MORGAN CHASE & COMPANY COM 46625H100 18058 532,210 DEFINED 532,210 0 0 JUNIPER NETWORKS INC COM 48203R104 8 323 DEFINED 323 0 0 KLA TENCOR CORP COM 482480100 9 189 DEFINED 189 0 0 KOHLS CORP COM 500255104 10034 199,957 DEFINED 199,957 0 0 KROGER CO COM 501044101 11469 557,000 DEFINED 557,000 0 0 LAGARDERE GROUPE S C A ADR COM 507069102 1 8 DEFINED 8 0 0 LEGG MASON INC COM 524901105 4 40 DEFINED 40 0 0 LUCENT TECHNOLOGIES INC COM 549463131 0 89 DEFINED 89 0 0 MARVELL TECHNOLOGY GROUP ORD COM G5876H105 7 149 DEFINED 149 0 0 MCAFEE INC COM COM 579064106 2 70 DEFINED 70 0 0 MCDONALDS CORP COM 580135101 5563 166,108 DEFINED 166,108 0 0 MCLEODUSA INC ESCROW COM 582266995 0 9 DEFINED 9 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 3 46 DEFINED 46 0 0 MED DIVERSIFIED INC COM 58401N102 0 2,800 DEFINED 2,800 0 0 MERCK & CO INC COM 589331107 16589 609,663 DEFINED 609,663 0 0 MICRON TECHNOLOGY INC COM 595112103 10973 825,000 DEFINED 825,000 0 0 MICROSOFT CORP COM 594918104 4284 166,495 DEFINED 166,495 0 0 MLJWH STRAT ALLOC FD LP COM 58899L998 9 42 DEFINED 42 0 0 MOODYS CORP COM COM 615369105 2 46 DEFINED 46 0 0 MONSANTO CO NEW COM 61166W101 5 80 DEFINED 80 0 0 NAYARIT GOLD INC COM 639347103 0 59 DEFINED 59 0 0 NETWORK APPLIANCE INC COM COM 64120L104 7 307 DEFINED 307 0 0 NEWSTAR RES ONTRIO NPV COM 65250E208 0 436 DEFINED 436 0 0 NOKIA CORP ADR SPONSORED COM 654902204 7 400 DEFINED 400 0 0 NORDSTROM INC COM COM 655664100 3 80 DEFINED 80 0 0 NORTHERN TR CORP COM 665859104 6 110 DEFINED 110 0 0 NORTHLAND CABLE PPTYS COM 656995123 0 5 DEFINED 5 0 0 ORACLE CORP COM 68389X105 8370 675600 DEFINED 675,600 0 0 PFIZER INC COM 717081103 17390 696,451 DEFINED 696,451 0 0 PIMCO FLOATING RATE STRATEGY COM 72201J104 268 15,000 DEFINED 15,000 0 0 PREFERRED INCOME STRATEGIES COM 74038E100 0 10 DEFINED 10 0 0 PRIDE INTL INC COM COM 74153Q102 2 84 DEFINED 84 0 0 PROCTER & GAMBLE CO COM 742718109 9877 166,108 DEFINED 166,108 0 0 ROCHE HLDG LTD SPONSORED ADR COM 771195104 3 40 DEFINED 40 0 0 SBC COMMUNICATIONS INC COM 78387G103 17249 719,605 DEFINED 719,605 0 0 SCHLULMBERGER LTD COM 806857108 4 43 DEFINED 43 0 0 SCHWAB CHARLES CORP COM 808513105 6 402 DEFINED 402 0 0 SIRIUS SATELLITE RADIO INC COM COM 82966U103 20 3000 DEFINED 3000 0 0
SOURCE MEDIA INC $0.001 COM 836153304 0 500 DEFINED 500 0 0 SUN MICROSYSTEMS INC COM 866810104 3 746 DEFINED 746 0 0 SWIFT TRANSPORTATION CO COM 870756103 8645 488,400 DEFINED 488,400 0 0 TCC EQUIPMENT INCOME COM 872247101 1 225 DEFINED 225 0 0 TOYOTA MOTOR CORP COM 892331307 5 51 DEFINED 51 0 0 UNITED TECHNOLOGIES CORPORATION COM 913017109 8611 166,108 DEFINED 166,108 0 0 VALUE TRDING INDS 1CT Z COM 92047F108 0 75 DEFINED 75 0 0 VERIZON COMMUNICATIONS COM 92343V104 16953 518,606 DEFINED 518,606 0 0 WAL-MART STORES COM 931142103 7284 166,223 DEFINED 166,223 0 0 WELLPOINT INC COM 94973V107 2 29 DEFINED 29 0 0 WRIGLEY WM JR CO COM 982526105 3 40 DEFINED 40 0 0 WYNN RESORTS LTD COM 983134107 7 150 DEFINED 150 0 0 XM SATELLITE RADIO INC COM 983759101 8 230 DEFINED 230 0 0 YAHOO INC COM 984332106 8 238 DEFINED 238 0 0
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