-----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, HM0MZqSHzDrCRpb6qCxr3GwRCG5nfd5fJy/UFOtUIfjKSwtAjuW0U3++EszCQ0Ig EgtR+DcqglH+OP8QS3NfwA== 0001209191-07-064275.txt : 20071115 0001209191-07-064275.hdr.sgml : 20071115 20071115171019 ACCESSION NUMBER: 0001209191-07-064275 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: AMBOIAN JOHN P CENTRAL INDEX KEY: 0001188721 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 071250544 BUSINESS ADDRESS: STREET 1: NUVEEN INVESTMENTS STREET 2: 333 W WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 4 1 c21548_02ja.xml MAIN DOCUMENT DESCRIPTION X0202 4 2007-11-13 1 0000885708 NUVEEN INVESTMENTS INC JNC 0001188721 AMBOIAN JOHN P 333 W. WACKER DRIVE, SUITE 2900 CHICAGO IL 60606 1 1 0 0 Chief Executive Officer Class A Common Stock 2007-11-13 4 D 0 301183 D 0 D Non-qualified stock option 11.85 2007-11-13 4 D 0 78940 53.15 D 2008-02-25 Common Stock 78940 0 D Non-qualified stock option 12.50 2007-11-13 4 D 0 69598 52.50 D 2009-01-11 Common Stock 69598 0 D Non-qualified stock option 12.00 2007-11-13 4 D 0 355332 53.00 D 2010-01-12 Common Stock 355332 0 D Non-qualified stock option 18.31 2007-11-13 4 D 0 193966 46.69 D 2011-01-11 Common Stock 193966 0 D Non-qualified stock option 27.12 2007-11-13 4 D 0 170000 37.88 D 2012-01-11 Common Stock 170000 0 D Non-qualified stock option 27.50 2007-11-13 4 D 0 440000 37.50 D 2012-06-10 Common Stock 440000 0 D Non-qualified stock option 25.89 2007-11-13 4 D 0 209797 39.11 D 2013-01-13 Common Stock 209797 0 D Non-qualified stock option 29.04 2007-11-13 4 D 0 269652 35.96 D 2014-01-20 Common Stock 269652 0 D Non-qualified stock option 38.01 2007-11-13 4 D 0 135618 26.99 D 2015-01-14 Common Stock 135618 0 D Non-qualified stock option 38.01 2007-11-13 4 D 0 342000 26.99 D 2015-01-14 Common Stock 342000 0 D Non-qualified stock option 44.58 2007-11-13 4 D 0 109139 20.42 D 2016-01-13 Common Stock 109139 0 D Non-qualified stock option 51.54 2007-11-13 4 D 0 122200 13.46 D 2017-02-06 Common Stock 122200 0 D Disposed of pursuant to merger agreement between the issuer and Windy City Investments, Inc. for a cash payment of $65 per share. 90,000 shares were gifted since the date of the last Form 4 filing and, together with the disposition reported in this report, result in a balance of zero shares. This option, which vested on February 25, 2001, was cancelled in the merger in exchange for a cash payment of $4,195,661, 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, 2002, was cancelled in the merger in exchange for a cash payment of $3,653,895, 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 12, 2003, was cancelled in the merger in exchange for a cash payment of $18,832,596, 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 $9,056,272.54, 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 $6,439,600, 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 June 10, 2005, was cancelled in the merger in exchange for a cash payment of $16,500,000, 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 $8,205,160.67, 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 $9,696,685.92, 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 14, 2008, was cancelled in the merger in exchange for a cash payment of $3,660,329.82, 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 $9,230,580, 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 $2,228,618.38, 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 $1,644,812, 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-----