NUVEEN INVESTMENTS INC Contracts & Agreements

96 Contracts & Agreements
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Filed
Incremental Second-Lien Term Loan Agreement among Deutsche Bank AG New York Branch, Windy City Investments, Inc., and Nuveen Investments, Inc. dated August 11, 2009
Credit Agreements
NUVEEN INVESTMENTS INC
2009
Retirement and Transition Agreement among Nuveen Investments, Inc., Windy City Investments Holdings, L.L.C., and Timothy Schwertfeger
Separation Agreements
NUVEEN INVESTMENTS INC
2007
Nuveen Investments, Inc. Restricted Stock Unit Agreement for Directors
Equity Distribution Agreements
NUVEEN INVESTMENTS INC
IL
2007
Nuveen Investments, LLC Employees’ 401(k)/Profit-Sharing Plan (As Amended and Restated Effective January 1, 2007)
Profit Sharing Plans
NUVEEN INVESTMENTS INC
2007
Nuveen Investments, LLC Employees' Retirement Plan (Amended and Restated as of January 1, 2007)
Retirement Agreements
NUVEEN INVESTMENTS INC
IL
2007
Employment Terms Agreement between Nuveen Investments, Inc. and Alan Brown (Executive Vice President, Mutual Funds)
Employment Agreements
NUVEEN INVESTMENTS INC
2006
Nuveen Investments, Inc. Restricted Stock Award Agreement with Alan Brown (January 2006)
Compensation Agreements
NUVEEN INVESTMENTS INC
2006
Underwriting Agreement for Sale of Nuveen Investments, Inc. Class A Common Stock by St. Paul Travelers Companies, Inc. and St. Paul Fire and Marine Insurance Company to...
Underwriting Agreements
NUVEEN INVESTMENTS INC
DE
2005
Merrill Lynch Mandatorily Exchangeable Indemnity Agreement among Merrill Lynch & Co., Nuveen Investments, St. Paul Travelers, Underwriters, and Merrill Lynch International (April...
Indemnification Agreements
NUVEEN INVESTMENTS INC
DE
2005
Morgan Stanley Mandatorily Exchangeable Indemnity Agreement among Morgan Stanley, Nuveen Investments, The St. Paul Travelers Companies, Underwriters, and Forward Counterparty...
Indemnification Agreements
NUVEEN INVESTMENTS INC
DE
2005
Separation Agreement between Nuveen Investments, Inc. and The St. Paul Travelers Companies, Inc. dated April 1, 2005
Separation Agreements
NUVEEN INVESTMENTS INC
IL
2005
Employment Agreement between The John Nuveen Company and Timothy R. Schwertfeger (November 1, 2002)
Employment Agreements
NUVEEN INVESTMENTS INC
2002
Employment Agreement between The John Nuveen Company and John P. Amboian (November 1, 2002)
Employment Agreements
NUVEEN INVESTMENTS INC
2002
Second Amendment and Restatement of the John Nuveen Company 1996 Equity Incentive Award Plan
Bonus & Incentive Agreements
NUVEEN INVESTMENTS INC
DE
2002
Nuveen 2002 Executive Officer Performance Plan
Bonus & Incentive Agreements
NUVEEN INVESTMENTS INC
2002
Nuveen Investments Employees' Retirement Plan (As Amended and Restated Effective January 1, 1997)
Retirement Agreements
NUVEEN INVESTMENTS INC
IL
2002
Employment Offer Letter Terms between Allen J. Williamson and Nuveen Investments
Employment Agreements
NUVEEN INVESTMENTS INC
2001
Agreement and Plan of Merger among Windy City Investments, Inc., Windy City Acquisition Corp., and Nuveen Investments, Inc. (June 19, 2007)
Merger Agreements
NUVEEN INVESTMENTS INC
DE
2007
Non-Qualified Stock Option Agreement – Restrictive Covenants (Nondisclosure, Non-Competition, and Nonsolicitation)
Warrant Agreements
NUVEEN INVESTMENTS INC
2006
Nuveen Investments, Inc. Restricted Stock Award Agreement under 2005 Equity Incentive Plan
Equity Distribution Agreements
NUVEEN INVESTMENTS INC
2006
Nuveen Investments, Inc. Non-Qualified Stock Option Agreement under 2005 Equity Incentive Plan
Warrant Agreements
NUVEEN INVESTMENTS INC
DE
2006
Amendment and Award Agreement between Nuveen Investments, Inc. and Timothy R. Schwertfeger
Modification Agreements
NUVEEN INVESTMENTS INC
2006
Credit Agreement among Nuveen Investments, Inc., Bank of America, N.A., Citibank, N.A., and Other Lenders (September 30, 2005)
Credit Agreements
NUVEEN INVESTMENTS INC
DE
2005
Nuveen Investments, Inc. $550,000,000 Senior Notes Underwriting Agreement with Underwriters (2005)
Underwriting Agreements
NUVEEN INVESTMENTS INC
DE
2005
Indenture Agreement between Nuveen Investments, Inc. and The Bank of New York Trust Company, N.A. dated September 12, 2005
Indenture Agreements
NUVEEN INVESTMENTS INC
NY
2005
First Supplemental Indenture between Nuveen Investments, Inc. and The Bank of New York Trust Company, N.A. (September 12, 2005)
Indenture Agreements
NUVEEN INVESTMENTS INC
IL
2005
Bridge Credit Agreement among Nuveen Investments, Inc., Various Financial Institutions, and Citicorp North America, Inc. (April 1, 2005)
Credit Agreements
NUVEEN INVESTMENTS INC
DE
2005
First Amendment and Waiver to 3-Year Revolving Credit Agreement among Nuveen Investments, Inc. and Lenders
Credit Agreements
NUVEEN INVESTMENTS INC
IL
2005
Repurchase Agreement between Nuveen Investments, Inc. and The St. Paul Travelers Companies, Inc. dated March 29, 2005
Repurchase Agreements
NUVEEN INVESTMENTS INC
NY
2005
Description of Investment Management Agreements by Registered Investment Adviser Subsidiaries
Investment Agreements
NUVEEN INVESTMENTS INC
2005
Investment Management Agreement between Nuveen Tax-Advantaged Total Return Strategy Fund and Nuveen Institutional Advisory Corp.
Advisory Agreements
NUVEEN INVESTMENTS INC
2004
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and NWQ Investment Management Company, LLC
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2004
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Symphony Asset Management LLC
Investment Agreements
NUVEEN INVESTMENTS INC
CA
2004
Investment Management Agreement between Nuveen Floating Rate Income Fund and Nuveen Institutional Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2004
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Symphony Asset Management LLC
Investment Agreements
NUVEEN INVESTMENTS INC
CA
2004
Investment Management Agreement between Nuveen Municipal High Income Opportunity Fund and Nuveen Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2004
Investment Management Agreement between Nuveen Diversified Dividend and Income Fund and Nuveen Institutional Advisory Corp.
Advisory Agreements
NUVEEN INVESTMENTS INC
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and NWQ Investment Management Company, LLC
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Security Capital Research & Management Incorporated
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Symphony Asset Management LLC
Advisory Agreements
NUVEEN INVESTMENTS INC
CA
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Wellington Management Company, LLP
Investment Agreements
NUVEEN INVESTMENTS INC
MA
2003
3-Year Credit Agreement among Nuveen Investments, Inc. and Bank of America, N.A. (Administrative Agent)
Credit Agreements
NUVEEN INVESTMENTS INC
DE
2003
364-Day Credit Agreement among Nuveen Investments, Inc. and Bank of America, N.A. et al. (August 7, 2003)
Credit Agreements
NUVEEN INVESTMENTS INC
DE
2003
Nuveen Investments, Inc. $300,000,000 4.22% Senior Notes Due 2008 Note Purchase Agreement
Note Agreements
NUVEEN INVESTMENTS INC
NY
2003
Investment Management Agreement between Nuveen Preferred and Convertible Income Fund 2 and Nuveen Institutional Advisory Corp.
Advisory Agreements
NUVEEN INVESTMENTS INC
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Spectrum Asset Management, Inc.
Investment Agreements
NUVEEN INVESTMENTS INC
CT
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Froley, Revy Investment Co., Inc.
Investment Agreements
NUVEEN INVESTMENTS INC
CA
2003
Addendum No. 1 to Revolving Loan Agreement between The St. Paul Companies, Inc. and Nuveen Investments, Inc.
Loan Agreements
NUVEEN INVESTMENTS INC
2003
Investment Management Agreement between Nuveen Preferred and Convertible Income Fund and Nuveen Institutional Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Spectrum Asset Management, Inc.
Investment Agreements
NUVEEN INVESTMENTS INC
CT
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Froley, Revy Investment Co., Inc.
Investment Agreements
NUVEEN INVESTMENTS INC
CA
2003
Amendment to Acquisition Agreement among Nuveen Investments, Inc., Barra, Inc., Maestro, LLC, and Others (February 1, 2003)
Modification Agreements
NUVEEN INVESTMENTS INC
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and NWQ Investment Management Company, LLC
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and NWQ Investment Management, LLC (October 4, 2002)
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2003
Investment Management Agreement between Nuveen Senior Income Fund and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Symphony Asset Management LLC
Advisory Agreements
NUVEEN INVESTMENTS INC
CA
2003
Investment Management Agreement between Nuveen Floating Rate Fund and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Symphony Asset Management LLC
Investment Agreements
NUVEEN INVESTMENTS INC
CA
2003
Investment Management Agreement between Nuveen Quality Preferred Income Fund 3 and Nuveen Institutional Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2003
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Spectrum Asset Management Inc.
Advisory Agreements
NUVEEN INVESTMENTS INC
CT
2003
Investment Management Agreement between Nuveen Quality Preferred Income Fund and Nuveen Institutional Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2002
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Spectrum Asset Management Inc.
Investment Agreements
NUVEEN INVESTMENTS INC
CT
2002
Investment Management Agreement between Nuveen Quality Preferred Income Fund 2 and Nuveen Institutional Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2002
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Spectrum Asset Management Inc. (August 1, 2002)
Investment Agreements
NUVEEN INVESTMENTS INC
CT
2002
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and NWQ Investment Management Company, LLC
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2002
First Amendment to Three Year Revolving Credit Agreement among The John Nuveen Company, Nuveen Investments, and Lender Banks
NUVEEN INVESTMENTS INC
IL
2002
First Amendment to 364-Day Revolving Credit Agreement among The John Nuveen Company, Nuveen Investments, and Lender Banks
Modification Agreements
NUVEEN INVESTMENTS INC
IL
2002
Stock Purchase Agreement among Old Mutual (US) Holdings Inc., NWQ Investment Management Company, Inc., and The John Nuveen Company dated May 28, 2002
Purchase Agreements
NUVEEN INVESTMENTS INC
DE
2002
Second Amendment to 364-Day Revolving Credit Agreement among The John Nuveen Company, Nuveen Investments, and Lender Banks
Credit Agreements
NUVEEN INVESTMENTS INC
IL
2002
Revolving Loan Agreement between The St. Paul Companies, Inc. and The John Nuveen Company (Effective July 31, 2002)
Loan Agreements
NUVEEN INVESTMENTS INC
2002
Investment Management Agreement between Nuveen Dividend Advantage Municipal Fund and Nuveen Advisory Corp.
Advisory Agreements
NUVEEN INVESTMENTS INC
2002
Investment Management Agreement between Nuveen Flagship Multistate Trust I and Nuveen Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2002
Renewal of Investment Management Agreement between Nuveen Advisory Corp. and Various Nuveen Funds (June 5, 2001)
Investment Agreements
NUVEEN INVESTMENTS INC
2002
Investment Management Agreement between Nuveen Select Tax-Free Income Portfolio and Nuveen Institutional Advisory Corp.
Advisory Agreements
NUVEEN INVESTMENTS INC
2002
Annual Renewal of Investment Management Agreement between Nuveen Select Tax-Free Income Portfolio and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2002
Management Agreement between Nuveen Investment Trust and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2002
Annual Renewal of Investment Management Agreement between Nuveen Investment Trust and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2002
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Institutional Capital Corporation (May 16, 1998)
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2002
Addendum to Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Institutional Capital Corporation
Investment Agreements
NUVEEN INVESTMENTS INC
2002
Notice of Continuance of Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Institutional Capital Corporation
Advisory Agreements
NUVEEN INVESTMENTS INC
2002
Management Agreement between Nuveen Investment Trust II and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2002
Annual Renewal of Investment Management Agreement between Nuveen Investment Trust II and Nuveen Institutional Advisory Corp.
Advisory Agreements
NUVEEN INVESTMENTS INC
2002
Notice of Continuance of Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Columbus Circle Investors LLC
Advisory Agreements
NUVEEN INVESTMENTS INC
2002
Management Agreement between Nuveen Investment Trust III and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2002
Annual Renewal of Investment Management Agreement between Nuveen Investment Trust III and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2002
Annual Renewal of Investment Management Agreements between Nuveen Funds and Nuveen Senior Loan Asset Management Inc.
Investment Agreements
NUVEEN INVESTMENTS INC
2002
Investment Management Agreement between Nuveen Real Estate Income Fund and Nuveen Institutional Advisory Corp.
Investment Agreements
NUVEEN INVESTMENTS INC
2002
Investment Sub-Advisory Agreement between Nuveen Institutional Advisory Corp. and Security Capital Research & Management Incorporated
Investment Agreements
NUVEEN INVESTMENTS INC
DE
2002
Acquisition Agreement among Barra, Inc., Symphony Asset Management, Inc., Maestro, LLC, Company Principals, Symphony Asset Management LLC, and The John Nuveen Company (June 15,...
Merger Agreements
NUVEEN INVESTMENTS INC
DE
2001
Renewal of Investment Management Agreement between Nuveen Advisory Corp. and Various Nuveen Funds (June 1, 2000)
Investment Agreements
NUVEEN INVESTMENTS INC
2001
Renewal of Investment Management Agreement between Nuveen Institutional Advisory Corp. and Listed Funds (June 1, 2000)
Investment Agreements
NUVEEN INVESTMENTS INC
2001
Renewal of Investment Management Agreement between Nuveen Investment Trust and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2001
Renewal of Investment Management Agreement between Nuveen Investment Trust II and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2001
Renewal of Investment Management Agreement between Nuveen Investment Trust III and Nuveen Institutional Advisory Corp.
Management Agreements
NUVEEN INVESTMENTS INC
2001
364-Day Revolving Credit Agreement among The John Nuveen Company, Nuveen Investments, and Bank Syndicate
Credit Agreements
NUVEEN INVESTMENTS INC
DE
2000
Three Year Revolving Credit Agreement among The John Nuveen Company, Nuveen Investments, and Bank Syndicate (August 10, 2000)
Credit Agreements
NUVEEN INVESTMENTS INC
DE
2000