Symphony Asset Management LLC
Other Filers
Nuveen Asset Management, LLC
Nuveen Commodities Asset Management, LLC
Nuveen Fund Advisors, LLC
Filing:
S-4
Filed On:
03/13/14  4:04 PM  EDT
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Exhibits
S-4
from S-4 327 pages S-4
03/13/14
EX-3.1
from S-4 2 pages Amended and Restated Certificate of Incorporation of Nuveen Investments, Inc
03/13/14
EX-3.2
from S-4 12 pages By-Laws of Nuveen Investments, Inc. a Delaware Corporation
03/13/14
EX-3.3
from S-4 6 pages Certificate of Incorporation of Windy City Investments, Inc
03/13/14
EX-3.4
from S-4 12 pages By-Laws of Windy City Investments, Inc. a Delaware Corporation
03/13/14
EX-3.5
from S-4 1 page Certificate of Formation of Nuveen Asset Management, LLC
03/13/14
EX-3.6
from S-4 1 page Certificate of Formation of Nuveen Commodities Asset Management, LLC
03/13/14
EX-3.7
from S-4 1 page State of Delaware Certificate of Formation of Nuveen Fund Advisors, LLC
03/13/14
EX-3.8
from S-4 2 pages Certificate of Incorporation of Nuveen Investments Advisers Inc. * * * * * * * * * * * * *
03/13/14
EX-3.9
from S-4 10 pages Nuveen Investments Advisers Inc. Bylaws
03/13/14
EX-3.10
from S-4 8 pages Certificate of Incorporation of Nuveen Investments Holdings, Inc
03/13/14
EX-3.11
from S-4 8 pages Meetings of Stockholders
03/13/14
EX-3.12
from S-4 1 page Certificate of Formation of Nuveen Nwq Holdings, LLC
03/13/14
EX-3.13
from S-4 4 pages State of Delaware Certificate of Amendment to Certificate of Formation Pursuant to Section 18-202 of the Delaware Limited Liability Company Act
03/13/14
EX-3.14
from S-4 1 page Certificate of Formation of Nuveen Wcm Holdings, LLC
03/13/14
EX-3.15
from S-4 6 pages Certificate of Formation of Investment Management Acquisition Company, LLC
03/13/14
EX-3.16
from S-4 2 pages Certificate of Formation of Santa Barbara Asset Management, LLC
03/13/14
EX-3.17
from S-4 2 pages Articles of Incorporation or Bylaws
03/13/14
EX-3.18
from S-4 5 pages Certificate of Formation of Nuveen Global Advisors, LLC
03/13/14
EX-3.19
from S-4 3 pages Certificate of Formation of Winslow Capital Management, LLC
03/13/14
EX-4.1
from S-4 143 pages Nuveen Investments, Inc. as Issuer and the Guarantors Party Hereto 91/8% Senior Notes Due 2017 Indenture Dated as of September 19, 2012 U.S. Bank National Association as Trustee
03/13/14
EX-4.3
from S-4 34 pages Nuveen Investments, Inc. 91/8% Senior Notes Due 2017 Guaranteed as to the Payment of Principal, Premium, if Any, and Interest by the Guarantors Signatory Hereto Exchange and Registration Rights Agreement
03/13/14
EX-4.4
from S-4 143 pages Nuveen Investments, Inc. as Issuer and the Guarantors Party Hereto 9½% Senior Notes Due 2020 Indenture Dated as of September 19, 2012 U.S. Bank National Association as Trustee
03/13/14
EX-4.6
from S-4 34 pages Nuveen Investments, Inc. 9½% Senior Notes Due 2020 Guaranteed as to the Payment of Principal, Premium, if Any, and Interest by the Guarantors Signatory Hereto Exchange and Registration Rights Agreement
03/13/14
EX-5.1
from S-4 4 pages Legal opinion
03/13/14
EX-10.1
from S-4 193 pages Credit Agreement Dated as of November 13, 2007, as Amended and Restated as of September 19, 2012 Among Windy City Investments, Inc., as Holdings, Nuveen Investments, Inc., as the Borrower, the Lenders Party Hereto, Deutsche Bank AG New York Branch, as Administrative Agent, Deutsche Bank Securities Inc., Wells Fargo Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior Funding, Inc., as First-Lien Lead Arrangers and Bookrunners, Wells Fargo Bank, National Association, as First-Lien Syndication Agent and as Second-Lien Syndication Agent, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior Funding, Inc., as First-Lien Documentation Agents Deutsche Bank Securities Inc., Wells Fargo Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Senior Funding, Inc., Barclays Capital, Jpmorgan Chase Bank, N.A., Ubs Securities LLC and Citigroup Global Markets Inc., as Second-Lien Lead Arrangers and Bookrunners, and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Senior Funding, Inc., Barclays Bank PLC, Jpmorgan Chase Bank, N.A., Ubs Securities LLC and Citigroup Global Markets Inc., as Second-Lien Documentation Agents With Respect to the Additional Extended First-Lien Term Loans and Revolving Credit Commitments Provided Under the Third Restatement Agreement: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Deutsche Bank Securities Inc., Wells Fargo Securities, LLC, Morgan Stanley Senior Funding, Inc., Ubs Securities LLC, Citigroup Global Markets Inc., Rbc Capital Markets and Bmo Capital Markets as First-Lien Lead Arrangers and Bookrunners
03/13/14
EX-10.2
from S-4 54 pages Second Amended and Restated Guarantee and Collateral Agreement Dated as of November 13, 2007 and Amended and Restated as of February 29, 2012 Among Windy City Investments, Inc., Nuveen Investments, Inc., the Domestic Subsidiaries of Nuveen Investments. Inc. From Time to Time Party Hereto, Deutsche Bank AG New York Branch, as First-Lien Collateral Agent and Deutsche Bank AG New York Branch, as Second-Lien Collateral Agent
03/13/14
EX-10.3
from S-4 29 pages Intercreditor Agreement
03/13/14
EX-10.4
from S-4 8 pages Nuveen Investments 2013 Mutual Fund Incentive Plan
03/13/14
EX-10.5
from S-4 17 pages Nuveen Investments, Inc. Form of Deferred Unit Issuance Agreement
03/13/14
EX-10.6
from S-4 24 pages Nuveen Investments, Inc. Form of Deferred Unit Issuance Agreement
03/13/14
EX-10.7
from S-4 16 pages Nuveen Investments, Inc. Form of Deferred Incentive Unit Issuance Agreement
03/13/14
EX-10.8
from S-4 13 pages Windy City Investments Holdings, L.L.C. Form of Class a Unit Purchase Agreement
03/13/14
EX-10.9
from S-4 12 pages Windy City Investments Holdings, L.L.C. Form of Class a Unit Purchase Agreement
03/13/14
EX-10.10
from S-4 10 pages Windy City Investments Holdings, L.L.C. Form of Continuing Deferred Class a Unit Grant Agreement
03/13/14
EX-10.11
from S-4 15 pages Nuveen Investments, Inc. Form of Special Deferred Unit Issuance Agreement
03/13/14
EX-10.12
from S-4 14 pages Windy City Investments Holding, L.L.C. Second Amended and Restated Unitholders Agreement
03/13/14
EX-10.13
from S-4 6 pages Employment Agreement
03/13/14
EX-10.14
from S-4 5 pages Employment Agreement
03/13/14
EX-10.15
from S-4 11 pages Employment Agreement
03/13/14
EX-10.16
from S-4 10 pages Employment Agreement
03/13/14
EX-10.17
from S-4 10 pages Employment Agreement
03/13/14
EX-12.1
from S-4 ~20 pages Computation of ratios
03/13/14
EX-21.1
from S-4 ~5 pages Subsidiaries of the registrant
03/13/14
EX-23.1
from S-4 1 page Consent of expert or counsel
03/13/14
EX-25.1
from S-4 6 pages Statement of eligibility of trustee
03/13/14
EX-99.1
from S-4 15 pages Letter of Transmittal
03/13/14
EX-99.2
from S-4 2 pages Nuveen Investments, Inc
03/13/14
EX-99.3
from S-4 4 pages Nuveen Investments, Inc
03/13/14
EX-99.4
from S-4 4 pages Notice of Guaranteed Delivery
03/13/14
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