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): October 19, 2004
NUVEEN INVESTMENTS, INC.
(Exact Name of Registrant as Specified in Charter)
Delaware 1-11123 36-3817266
(State or Other Jurisdiction of (Commission (I.R.S. Employer
Incorporation) File Number) Identification No.)
333 West Wacker Drive, Chicago, Illinois 60606
(Address of Principal Executive Offices) (Zip Code)
Registrant's telephone number, including area code: (312) 917-7700
Not Applicable
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(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:
[ ] Written communications pursuant to Rule 425 under the Securities Act
(17 CFR 230.425)
[ ] Soliciting material pursuant to Rule l4a-12 under the Exchange Act
(17 CFR 240.l4a-12)
[ ] Pre-commencement communications pursuant to Rule l4d- 2(b) under the
Exchange Act (17 CFR 240.14d- 2(b))
[ ] Pre-commencement communications pursuant to Rule l3e-4(c) under the
Exchange Act (17 CFR 240.l3e-4(c))
Item 2.02. Results of Operations and Financial Condition.
The following information is being furnished under Item 2.02 of Form
8-K: On October 19, 2004, Nuveen Investments, Inc. (the "Company") issued a
press release announcing the Company's Third Quarter 2004 earnings. The text of
the press release is attached as Exhibit 99 to this Form 8-K and incorporated
herein by reference.
The information in this Report is being furnished and shall not be
deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of
1934, as amended, or otherwise subject to the liabilities of that Section. The
information in this Report shall not be deemed incorporated by reference into
any filing under the Securities Act of 1933, as amended, except as shall be
expressly set forth by specific reference in such filing.
Item 9.01. Financial Statements and Exhibits.
(c) Exhibits
99 Earnings press release of Nuveen Investments, Inc. issued October
19, 2004: Nuveen Investments, Inc. Reports Record Third Quarter
Earnings (furnished solely pursuant to Item 2.02 of Form 8-K)
SIGNATURE
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 hereunto duly authorized.
NUVEEN INVESTMENTS, INC.
By: /s/ Alan G. Berkshire
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Alan G. Berkshire
Senior Vice President
Dated: October 19, 2004
EXHIBIT INDEX
Exhibit No. Description
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99 Earnings press release of Nuveen Investments, Inc. issued
October 19, 2004: Nuveen Investments Reports Record
Earnings Driven By Increasingly Diversified Assets,
Products and Client Relationships (furnished solely
pursuant to Item 2.02 of Form 8-K)