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 6, 2006
NUVEEN INVESTMENTS, INC.
(Exact name of Registrant as specified in its charter)
DELAWARE 1-11123 36-3817266
(State or other (Commission File Number) (IRS Employer
jurisdiction of Identification
incorporation) 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:
[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
ITEM 5.02 DEPARTURE OF DIRECTORS OR PRINCIPAL OFFICERS; ELECTION OF DIRECTORS;
APPOINTMENT OF PRINCIPAL OFFICERS
(b) Glenn R. Richter, currently Executive Vice President and Chief
Administrative Officer of Nuveen Investments, Inc. (the "Company") became the
principal financial officer of the Company effective October 6, 2006. In
addition, Sherri A. Hlavacek, Vice President and Corporate Controller of the
Company, became the principal accounting officer of the Company on that same
date. Margaret E. Wilson, who was previously the principal financial and
principal accounting officer, will remain a Senior Vice President of the
Company.
(c) Section 5.02(b) of this Form 8-K is incorporated herein by reference.
Biographical and other required information regarding Mr. Richter were included
in the Company's Current Report on Form 8-K filed with the Securities and
Exchange Commission on May 3, 2006 which is incorporated herein by reference.
Such information remains unchanged. Ms. Hlavacek, age 43, joined the Company in
1998 as Vice President and Assistant Controller. In 2001, she was promoted to
Vice President and Corporate Controller.
There are no arrangements or understandings between either of Mr. Richter or Ms.
Hlavacek and any other persons pursuant to which either was appointed to these
positions.
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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.
NUVEEN INVESTMENTS, INC.
Date: October 6, 2006 By: /s/ John L. MacCarthy
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Name: John L. MacCarthy
Title: Senior Vice President and General
Counsel
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