-----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, R+jFJbZkPdKhM3WDVmxegC2ay8jeIQldSfS7mq3x3Ihzz44xLxaGqPfPUGoSM2Rf 8J6fvSKIIsGd2Cpbi+yfZQ== 0000950137-06-001757.txt : 20060213 0000950137-06-001757.hdr.sgml : 20060213 20060213172110 ACCESSION NUMBER: 0000950137-06-001757 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060207 ITEM INFORMATION: Entry into a Material Definitive Agreement FILED AS OF DATE: 20060213 DATE AS OF CHANGE: 20060213 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: 06604951 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 c02435e8vk.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) FEBRUARY 7, 2006 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) N/A (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 1 - REGISTRANT'S BUSINESS AND OPERATIONS ITEM 1.01 ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT. On February 7, 2006, the Compensation Committee (the "Committee") of the Board of Directors of Nuveen Investments, Inc. (the "Company") approved a formula guideline to be used in determining the amount of annual incentive awards to be paid to the Chief Executive Officer, President and other executive officers in 2007, based on 2006 performance. The formula will be applied by the Committee in the exercise of its discretion under the Executive Performance Plan ("Plan"). That Plan, approved by shareholders in May 2005, places a cap on awards to participants equal to 3% of Pre-Bonus Earnings Before Interest and Taxes (as defined in the plan), subject to negative discretion by the Committee. The new formula, which will serve as a guideline for the Committee, is based on the percentage change in the Company's fully-diluted Earnings Per Share ("EPS") in 2006 compared to 2005. The formula guideline does not establish a definite award based solely on EPS levels in 2006, because, in making awards under the Plan, the Committee retains discretion to consider other Company or individual performance measures that it deems appropriate and to increase or decrease the amount of annual incentive awards suggested by the guideline before they are granted, subject to the terms of the Plan. The awards under the Plan can be paid in a combination of cash and equity, in the Committee's discretion. 2 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. NUVEEN INVESTMENTS, INC. Date: February 13, 2006 By: /s/ Alan G. Berkshire --------------------------------------- Name: Alan G. Berkshire Title: Senior Executive Vice President 3 -----END PRIVACY-ENHANCED MESSAGE-----