X0202 4 2007-11-13 1 0000885708 NUVEEN INVESTMENTS INC JNC 0001355020 MacCarthy John L 333 W. WACKER DRIVE, SUITE 2900 CHICAGO IL 60606 0 1 0 0 Sr. VP, Sec'y, General Counsel Class A Common Stock 2007-11-13 4 D 0 13756 D 0 D Non-qualified stock option 46.39 2007-11-13 4 D 0 46860 18.61 D 2016-03-06 Common Stock 46860 0 D Non-qualified stock option 51.54 2007-11-13 4 D 0 10153 13.46 D 2017-02-06 Common Stock 10153 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 was scheduled to vest on March 6, 2009, was cancelled in the merger in exchange for a cash payment of $872,064.60, 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 $136,659.38, 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). Larry W. Martin / Signed under POA 2007-11-15