5 1 c74741ae5.htm ANNUAL STMT OF CHANGES IN BENEFICIAL OWNERSHIP Annual Stmt of Changes in Beneficial Ownership
 

OMB APPROVAL
OMB Number: 3235-0362
Expires: January 31, 2005
Estimated average burden
hours per response...1.0


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 5

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(h) of the Investment Company Act of 1940

o Check box if no longer
subject to Section 16.
Form 4 or Form 5
obligations may continue.
See Instruction 1(b).
o Form 3 Holdings Reported
o Form 4 Transactions Reported
1. Name and Address of Reporting
Person*		 2. Issuer Name and Ticker or Trading
Symbol		 3. I.R.S. Identification Number of Reporting
Person, if an entity (Voluntary)
  Amboian, John P.
(Last) (First) (Middle)		   Nuveen Investments, Inc. JNC
  
   
                 
  333 West Wacker Drive
 4. Statement for Month/Year 5. If Amendment, Date of Original (Month/Year)
    12/31/2002
    
  (Street) 6. Relationship of Reporting Person(s)
to Issuer (Check All Applicable)		 7. Individual or Joint/Group Reporting
(Check Applicable Line)
  Chicago, IL 60606
(City)        (State)        (Zip)		   o  Director o  10% Owner   x Form filed by One Reporting Person
    x  Officer (give title below)   o Form filed by More than One Reporting Person
    o  Other (specify below)  
      President
      
*   If the form is filed by more than one reporting person, see instruction 4(b)(v).

 

                                                 
Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of
Security
(Instr. 3)		 2. Transaction
Date
(Month/Day/Year)		 2A. Deemed Execution
Date, if any
(Month/Day/Year)		 3. Transaction
Code
(Instr. 8)		 4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 and 5)		 5. Amount of Securities
Beneficially Owned
at the End of Issuer's
Fiscal Year
(Instr. 3 and 4)		 6. Ownership
Form:
Direct (D) or
Indirect (I)
(Instr. 4)		 7. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
                    Amount (A)
or
(D)		 Price            
  Common Stock   05/09/2002     A   90,000(1)(2)   A     234,000(1)(3)     D  
  Common Stock               1,469(1)     I   By 401(k)
                     
                     
                     
                     
                     
                     
                     
                     

Page 2

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative
Security
(Instr. 3)		 2. Conversion or Exercise
Price of Derivative
Security		 3. Transaction Date
(Month/Day/Year)		 3A. Deemed Execution
Date, if any
(Month/Day/Year)		 4. Transaction Code
(Instr. 8)		 5. Number of Derivative Securities
Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
                            (A) (D)
  Non-Qualified Stock Option(right to buy)(4)     $27.115(1)     01/11/2005     A   170,000(1)
  Non-Qualified Stock Option(right to buy)(5)     $27.500(1)     06/10/2002     A   440,000(1)
               
               
               
               
               
               
               
               

Page 3

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)
6. Date Exercisable and
Expiration Date
(Month/Day/Year)		 7. Title and Amount of
Underlying Securities
(Instr. 3 and 4)		 8. Price of Derivative
Security
(Instr. 5)		 9. Number of Derivative
Securities Beneficially
Owned at End of
Year
(Instr. 4)		 10. Ownership of
Derivative Security:
Direct (D)
or Indirect (I)
(Instr. 4)		 11. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
  Date
Exercisable		 Expiration
Date		   Title Amount or
Number of
Shares		                        
  01/11/2005 01/11/2012   Common Stock 170,000(1)           170,000(1)     D  
  06/10/2008 06/10/2012   Common Stock 440,000(1)           440,000(1)     D  
                       
                       
                       
                       
                       
                       
                       
                       

Explanation of Responses:

(1) On June 24, 2002, the Company effected a 2-for-1 split of its common stock. As a result, the number of shares and the number of shares underlying options held by the Reporting Person as of June 3, 2002 have been adjusted to two times their pre-split amounts. In addition, the exercise prices of options held by the Reporting Person as of June 3, 2002 have been adjusted to one-half their pre-split amounts.

(2) Receipt of shares of restricted stock has been deferred by Reporting Person until the end of his employment with the Company.

(3) Total includes 54,000 shares of restricted stock granted in 1996 which were previously reported, but deferred until Reporting Person is no longer employed by the Company.

(4) Non-Qualified Stock Options will become exercisable in a single installment on January 11, 2005.

(5) The options will vest and become exercisable no earlier than June 10, 2005 if the average closing price of the Company's stock on new York Stock Exchange exceeds $39.00 per share for 20 consecutive business days.

   
/s/ LARRY W. MARTIN
**Signature of Reporting Person
Larry W. Martin, signed under POA
John P. Amboian 		  2-13-03
Date

**   Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
 
Note:   File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure.

Page 4