-----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, TdIm8TcyFgdIiuTEwAWP6iRk9o7/kcrPXB832NxQKj+BCVY/jpxHytwspWkGamgq NPoSCM8iZEMjHsbenWY+qQ== 0001209191-07-064273.txt : 20071115 0001209191-07-064273.hdr.sgml : 20071115 20071115171000 ACCESSION NUMBER: 0001209191-07-064273 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: RICHTER GLENN R CENTRAL INDEX KEY: 0001200237 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 071250541 MAIL ADDRESS: STREET 1: 3333 BEVERLY ROAD STREET 2: B6 277A CITY: HOFFMAN ESTATES STATE: IL ZIP: 60179 4 1 c21548_02gr.xml MAIN DOCUMENT DESCRIPTION X0202 4 2007-11-13 1 0000885708 NUVEEN INVESTMENTS INC JNC 0001200237 RICHTER GLENN R 333 W. WACKER DRIVE, SUITE 2900 CHICAGO IL 60606 0 1 0 0 Executive VP, CAO, and PFO Class A Common Stock 2007-11-13 4 D 0 24151 D 0 D Non-qualified stock option 44.06 2007-11-13 4 D 0 44423 20.94 D 2016-05-30 Common Stock 44423 0 D Non-qualified stock option 51.54 2007-11-13 4 D 0 12691 13.46 D 2017-02-06 Common Stock 12691 0 D Disposed of pursuant to merger agreement between the issuer and Windy City Investments, Inc. for a cash payment of $65 per share. This option, which vested on May 30, 2009, was cancelled in the merger in exchange for a cash payment of $930,217.62, 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 February 6, 2010, was cancelled in the merger in exchange for a cash payment of $170,820.86, 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-----