UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): December 13, 2010
NUVEEN INVESTMENTS, INC.
(Exact name of registrant as specified in its charter)
| | | | | |
| Delaware | | 1-11123 | | 36-3817266 |
(State or other
jurisdiction of
incorporation) | | (Commission File Number) | | (IRS Employer
Identification
Number) |
| | | |
| 333 West Wacker Drive, Chicago, Illinois | | 60606 |
| (Address of principal executive offices) | | (Zip Code) |
(312) 917-7700
(Registrant’s telephone number, including area code)
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Section 2 — Financial Information
Item 2.02 Results of Operations and Financial Condition.
The information in Item 2.02 of this Report and the Exhibits shall be deemed “furnished” and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, except as shall be expressly set forth by specific reference in such filing. Unless otherwise indicated, the terms “we”, “us”, “our”, “the Company” and “Nuveen Investments” refer to Nuveen Investments, Inc. and, where appropriate, its subsidiaries.
As previously announced, Nuveen Investments is hosting a lender conference call on Monday, December 13, 2010 to discuss a proposed amendment and extension of the Company’s credit facilities.
Section 8 — Other Events
Item 8.01 Other Events
Attached hereto as Exhibit 99.1 is a presentation to lenders on the proposed amendment and extension of the Company’s credit facilities.
Section 9 — Financial Statements and Exhibits
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
| | | |
| Exhibit No. | | Description |
| | | |
| 99.1 | | Lender presentation on a proposed amendment and extension of the Company’s credit facilities |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned thereunto duly authorized.
| | | | | |
| Date: December 13, 2010 | NUVEEN INVESTMENTS, INC.
| |
| | By: | /s/ John L. MacCarthy | |
| | | Name: | John L. MacCarthy | |
| | | Title: | Executive Vice President | |
EXHIBIT INDEX
| | | |
| Exhibit No. | | Description |
| | | |
| 99.1 | | Lender presentation on a proposed amendment and extension of the Company’s credit facilities |
