-----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, ABk9gMP4txp2fNAEfOmwROnMPtrX+aaRsEynNrZYMJX5E+MFPzpVfnrUAzSVhixw Cb+qw2+jyItC8ELe//dO2g== 0001209191-07-064281.txt : 20071115 0001209191-07-064281.hdr.sgml : 20071115 20071115171141 ACCESSION NUMBER: 0001209191-07-064281 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: SCHWERTFEGER TIMOTHY R CENTRAL INDEX KEY: 0001015680 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 071250579 MAIL ADDRESS: STREET 1: C/O JOHN NUVEEN & CO INC STREET 2: 333 WEST WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60606 4 1 c21548_02ts.xml MAIN DOCUMENT DESCRIPTION X0202 4 2007-11-13 1 0000885708 NUVEEN INVESTMENTS INC JNC 0001015680 SCHWERTFEGER TIMOTHY R 333 W. WACKER DRIVE, SUITE 2900 CHICAGO IL 60606 1 1 0 0 Chairman Class A Common Stock 2007-11-13 4 D 0 436544 D 251991 D Class A Common Stock 2007-11-13 4 D 0 251991 65 D 0 D Non-qualified stock option 11.85 2007-11-13 4 D 0 253080 53.15 D 2008-02-25 Common Stock 253080 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 418000 53.00 D 2010-01-12 Common Stock 418000 0 D Non-qualified stock option 18.31 2007-11-13 4 D 0 228042 46.69 D 2011-01-11 Common Stock 228042 0 D Non-qualified stock option 27.12 2007-11-13 4 D 0 200000 37.88 D 2012-01-11 Common Stock 200000 0 D Non-qualified stock option 27.50 2007-11-13 4 D 0 540000 37.50 D 2012-06-10 Common Stock 540000 0 D Non-qualified stock option 25.89 2007-11-13 4 D 0 246959 39.11 D 2013-01-13 Common Stock 246959 0 D Non-qualified stock option 29.04 2007-11-13 4 D 0 317190 35.96 D 2014-01-20 Common Stock 317190 0 D Non-qualified stock option 38.01 2007-11-13 4 D 0 159543 26.99 D 2015-01-14 Common Stock 159543 0 D Non-qualified stock option 38.01 2007-11-13 4 D 0 405000 26.99 D 2015-01-14 Common Stock 405000 0 D Non-qualified stock option 44.58 2007-11-13 4 D 0 128385 20.42 D 2016-01-13 Common Stock 128385 0 D Non-qualified stock option 51.54 2007-11-13 4 D 0 146096 13.46 D 2017-02-06 Common Stock 146096 0 D Disposed of pursuant to merger agreement between the issuer and Windy City Investments, Inc. for a cash payment of $65 per share. 315,914 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. 251,991 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 February 25, 2001, was cancelled in the merger in exchange for a cash payment of $13,451,202, 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 $22,154,000, 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 $10,647,280.98, 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 $7,576,000, 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 June 10, 2005, was cancelled in the merger in exchange for a cash payment of $20,250,000, 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 $9,658,566.49, 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 $11,406,152.40, 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 $4,306,065.57, 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 $10,930,950, 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 $2,621,621.70, 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 $1,966,452.16, 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-----