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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM 8-K/A
(Amendment No. 1)
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 31, 1997
The John Nuveen Company
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( Exact name of registrant as specified in its charter)
Delaware 1-11123 36-3817266
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(State or other (Commission (IRS Employer
jurisdiction of File Number) Identification
incorporation) Number)
333 West Wacker Drive, Chicago, IL 60606
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(Address of principal executive offices)
(312) 917-7700
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(Registrant's telephone number, including area code)
This document contains 4 pages.
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Item 2. OTHER EVENTS.
As reported in a current report on a Form 8-K on August 31, 1997 and
filed on September 3, 1997, The John Nuveen Company ("JNC") completed its
purchase of all of the outstanding shares of capital stock of Rittenhouse
Financial Services, Inc. ("Rittenhouse")
Item 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION
AND EXHIBITS.
a) Financial Statements of Business Acquired.
i) Rittenhouse Financial Services, Inc. -
Financial Statements as of December 31, 1996 and 1995 with
accompanying auditors report thereon.
ii) Rittenhouse Financial Services, Inc. -
Unaudited Financial Statements for the period ended August
31, 1997.
b) Pro Forma Financial Information
i) The John Nuveen Company - Unaudited Pro Forma
Consolidated Statement of Income for the Year Ended December
31, 1996.
ii) The John Nuveen Company - Unaudited Pro Forma
Consolidated Statement of Income for the Nine Months Ended
September 30, 1997.
c) Exhibits.
The following exhibits are filed with this reports:
Exhibit No. Description
99.2 Financial Statements of Rittenhouse Financial Services,
Inc.
99.3 Pro Forma Financial Information of the Registrant.
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SIGNATURE
Pursuant to the requirements of the Securities and Exchange Act of
1934, the Registrant has duly caused this report to be signed on its behalf by
the undersigned hereto duly authorized.
THE JOHN NUVEEN COMPANY
BY: /s/ John P. Amboian
John P. Amboian
Executive Vice President and
Chief Financial Officer
Dated: November 13, 1997
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EXHIBIT INDEX
Exhibit No. Description
99.2 Financial Statements of Rittenhouse Financial Services,
Inc.
99.3 Pro Forma Financial Information of the Registrant.