-----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, FYLG9MhleCxj3zkcjhm1txYo9q4FLoOiglewM7NaOyJEfTkdarADrstizCIKh2fu t0uxUama/W+t8waGH/HJuw== 0001209191-07-064270.txt : 20071115 0001209191-07-064270.hdr.sgml : 20071115 20071115170823 ACCESSION NUMBER: 0001209191-07-064270 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071113 FILED AS OF DATE: 20071115 DATE AS OF CHANGE: 20071115 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERKSHIRE ALAN G CENTRAL INDEX KEY: 0001188729 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 071250525 BUSINESS ADDRESS: STREET 1: NUVEEN INVESTMENTS STREET 2: 333 W WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 4 1 c21548_02agb.xml MAIN DOCUMENT DESCRIPTION X0202 4 2007-11-13 1 0000885708 NUVEEN INVESTMENTS INC JNC 0001188729 BERKSHIRE ALAN G 333 W. WACKER DRIVE, SUITE 2900 CHICAGO IL 60606 0 1 0 0 Sr. Executive Vice President Class A Common Stock 2007-11-13 4 D 0 44570 D 12336 D Class A Common Stock 2007-11-13 4 D 0 12336 65 D 0 D Non-qualified stock option 12.00 2007-11-13 4 D 0 10000 53.00 D 2010-01-12 Common Stock 10000 0 D Non-qualified stock option 18.31 2007-11-13 4 D 0 30000 46.69 D 2011-01-11 Common Stock 30000 0 D Non-qualified stock option 18.31 2007-11-13 4 D 0 60000 46.69 D 2011-01-11 Common Stock 60000 0 D Non-qualified stock option 27.12 2007-11-13 4 D 0 76000 37.88 D 2012-01-11 Common Stock 76000 0 D Non-qualified stock option 27.50 2007-11-13 4 D 0 130000 37.50 D 2012-06-10 Common Stock 130000 0 D Non-qualified stock option 25.89 2007-11-13 4 D 0 80000 39.11 D 2013-01-13 Common Stock 80000 0 D Non-qualified stock option 29.04 2007-11-13 4 D 0 90000 35.96 D 2014-01-20 Common Stock 90000 0 D Non-qualified stock option 38.01 2007-11-13 4 D 0 35282 26.99 D 2015-01-14 Common Stock 35282 0 D Non-qualified stock option 38.01 2007-11-13 4 D 0 38000 26.99 D 2015-01-14 Common Stock 38000 0 D Non-qualified stock option 44.58 2007-11-13 4 D 0 25145 20.42 D 2016-01-13 Common Stock 25145 0 D Non-qualified stock option 44.58 2007-11-13 4 D 0 48356 20.42 D 2016-01-13 Common Stock 48356 0 D Non-qualified stock option 51.54 2007-11-13 4 D 0 21757 13.46 D 2017-02-06 Common Stock 21757 0 D Includes 6,000 shares held by Mr. Berkshire's spouse. Disposed of pursuant to merger agreement between the issuer and Windy City Investments, Inc. for a cash payment of $65 per share. 3,775 shares were gifted since the date of the last Form 4 filing and, together with the disposition reported in this report, result in the balance shown. 12,336 shares were disposed of and contributed in exchange for Class A Units in Windy City Investments Holdings, L.L.C. of equal value. This option, which vested on January 12, 2003, was cancelled in the merger in exchange for a cash payment of $530,000, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which vested on January 11, 2004, was cancelled in the merger in exchange for a cash payment of $1,400,700, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which vested on January 11, 2004, was cancelled in the merger in exchange for a cash payment of $2,801,400, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which vested on January 11, 2005, was cancelled in the merger in exchange for a cash payment of $2,878,800, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which will vest on June 10, 2005, was cancelled in the merger in exchange for a cash payment of $4,875,000, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which vested on January 13, 2006, was cancelled in the merger in exchange for a cash payment of $3,128,800, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which vested on January 20, 2007, was cancelled in the merger in exchange for a cash payment of $3,236,400, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which was scheduled to vest on January 14, 2008, was cancelled in the merger in exchange for a cash payment of $952,261.18, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which was scheduled to vest in three installments on January 14, 2009, 2010, and 2011, respectively, was cancelled in the merger in exchange for a cash payment of $1,025,620, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which was scheduled to vest on January 13, 2009, was cancelled in the merger in exchange for a cash payment of $513,460.90, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which was scheduled to vest on January 13, 2009, was cancelled in the merger in exchange for a cash payment of $987,429.52, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). This option, which was scheduled to vest on February 6, 2010, was cancelled in the merger in exchange for a cash payment of $292,849.22, representing the aggregate difference between the exercise price of the option and the market price of the underlying JNC stock on the effective date of the merger ($65 per share). Larry W. Martin / Signed under POA 2007-11-15 -----END PRIVACY-ENHANCED MESSAGE-----