401k Plan data: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN plan

NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 401k Plan overview

Plan Name	NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN
Plan identification number	002

NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021). Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).

401k Sponsoring company profile

NUVEEN INVESTMENTS, INC. has sponsored the creation of one or more 401k plans.

Company Name: NUVEEN INVESTMENTS, INC.

Employer identification number (EIN): 363817266

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-01-01 BARBARA FOX
002 2014-01-01 BARBARA FOX BARBARA FOX 2015-10-15
002 2013-01-01 BARBARA FOX
002 2012-01-01 BARBARA FOX ROBERT LUSE 2013-10-15
002 2011-01-01 BARBARA FOX ROBERT LUSE 2012-10-11

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2015-01-01	BARBARA FOX
002	2014-01-01	BARBARA FOX	BARBARA FOX	2015-10-15
002	2013-01-01	BARBARA FOX
002	2012-01-01	BARBARA FOX	ROBERT LUSE	2013-10-15
002	2011-01-01	BARBARA FOX	ROBERT LUSE	2012-10-11

Plan Statistics for NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN

401k plan membership statisitcs for NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN

Measure Date Value
2015: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 577
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 583
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 132
Number of retired or separated participants receiving benefits 2013-01-01 70
Number of other retired or separated participants entitled to future benefits 2013-01-01 360
Total of all active and inactive participants 2013-01-01 562
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 10
Total participants 2013-01-01 572
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 593
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 136
Number of retired or separated participants receiving benefits 2012-01-01 68
Number of other retired or separated participants entitled to future benefits 2012-01-01 370
Total of all active and inactive participants 2012-01-01 574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 9
Total participants 2012-01-01 583
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 606
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 142
Number of retired or separated participants receiving benefits 2011-01-01 61
Number of other retired or separated participants entitled to future benefits 2011-01-01 382
Total of all active and inactive participants 2011-01-01 585
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 8
Total participants 2011-01-01 593

Measure	Date	Value
2015: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	577
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	583
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	132
Number of retired or separated participants receiving benefits	2013-01-01	70
Number of other retired or separated participants entitled to future benefits	2013-01-01	360
Total of all active and inactive participants	2013-01-01	562
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	10
Total participants	2013-01-01	572
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	593
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	136
Number of retired or separated participants receiving benefits	2012-01-01	68
Number of other retired or separated participants entitled to future benefits	2012-01-01	370
Total of all active and inactive participants	2012-01-01	574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	9
Total participants	2012-01-01	583
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	606
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	142
Number of retired or separated participants receiving benefits	2011-01-01	61
Number of other retired or separated participants entitled to future benefits	2011-01-01	382
Total of all active and inactive participants	2011-01-01	585
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	8
Total participants	2011-01-01	593

Financial Data on NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN

Measure	Date	Value
2015 : NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2015 401k financial data
Transfers to/from the plan	2015-05-31	$0
Total plan liabilities at end of year	2015-05-31	$0
Total plan liabilities at beginning of year	2015-05-31	$26,767
Total income from all sources	2015-05-31	$0
Expenses. Total of all expenses incurred	2015-05-31	$33
Total plan assets at end of year	2015-05-31	$0
Total plan assets at beginning of year	2015-05-31	$26,800
Value of fidelity bond covering the plan	2015-05-31	$25,000,000
Expenses. Other expenses not covered elsewhere	2015-05-31	$33
Net income (gross income less expenses)	2015-05-31	$-33
Net plan assets at end of year (total assets less liabilities)	2015-05-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-05-31	$33
2014 : NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$26,767
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$97,732
Total income from all sources (including contributions)	2014-12-31	$3,708,033
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$69,303,200
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$68,703,819
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$-1,729,373
Value of total assets at end of year	2014-12-31	$26,800
Value of total assets at beginning of year	2014-12-31	$65,692,932
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$599,381
Total interest from all sources	2014-12-31	$2,953
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$677,404
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$1
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$26
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$97,732
Other income not declared elsewhere	2014-12-31	$-13
Administrative expenses (other) incurred	2014-12-31	$-78,023
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-65,595,167
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$33
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$65,595,200
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in common/collective trusts at beginning of year	2014-12-31	$43,669,872
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$32
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$9,321,170
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$9,321,170
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$2,953
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$23,179,087
Net investment gain or loss from common/collective trusts	2014-12-31	$5,434,466
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$-1,729,373
Employer contributions (assets) at end of year	2014-12-31	$26,767
Employer contributions (assets) at beginning of year	2014-12-31	$12,701,864
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$45,524,732
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$26,767
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$57,952,601
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$57,952,601
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	KPMG LLP
Accountancy firm EIN	2014-12-31	135565207
2013 : NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$97,732
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$6,676
Total income from all sources (including contributions)	2013-12-31	$24,691,423
Total loss/gain on sale of assets	2013-12-31	$6,381,051
Total of all expenses incurred	2013-12-31	$2,244,713
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,565,580
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$21,901,864
Value of total assets at end of year	2013-12-31	$65,692,932
Value of total assets at beginning of year	2013-12-31	$43,155,166
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$679,133
Total interest from all sources	2013-12-31	$32
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$489,090
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$26
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$-74,991
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$97,732
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$6,676
Other income not declared elsewhere	2013-12-31	$2,741
Administrative expenses (other) incurred	2013-12-31	$184,473
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$22,446,710
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$65,595,200
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$43,148,490
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$5,570
Value of interest in common/collective trusts at end of year	2013-12-31	$43,669,872
Value of interest in common/collective trusts at beginning of year	2013-12-31	$43,230,157
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$9,321,170
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$32
Net investment gain or loss from common/collective trusts	2013-12-31	$-3,594,265
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$21,901,864
Employer contributions (assets) at end of year	2013-12-31	$12,701,864
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,565,580
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$35,552,111
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$29,171,060
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	KPMG LLP
Accountancy firm EIN	2013-12-31	135565207
2012 : NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$6,676
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$8,798
Total income from all sources (including contributions)	2012-12-31	$10,702,981
Total loss/gain on sale of assets	2012-12-31	$1,582
Total of all expenses incurred	2012-12-31	$2,230,865
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,881,025
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$5,511,278
Value of total assets at end of year	2012-12-31	$43,155,166
Value of total assets at beginning of year	2012-12-31	$34,685,172
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$349,840
Total interest from all sources	2012-12-31	$-74
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$882
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$-74,991
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$10
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$6,676
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$8,798
Administrative expenses (other) incurred	2012-12-31	$42,476
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$8,472,116
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$43,148,490
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$34,676,374
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$306,482
Value of interest in common/collective trusts at end of year	2012-12-31	$43,230,157
Value of interest in common/collective trusts at beginning of year	2012-12-31	$33,394,880
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$-74
Net investment gain or loss from common/collective trusts	2012-12-31	$5,190,195
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$5,511,278
Employer contributions (assets) at beginning of year	2012-12-31	$1,290,282
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,881,025
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$1,582
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	KPMG LLP
Accountancy firm EIN	2012-12-31	135565207
2011 : NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2011 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$8,798
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$3,193
Total income from all sources (including contributions)	2011-12-31	$9,104,692
Total loss/gain on sale of assets	2011-12-31	$1,716
Total of all expenses incurred	2011-12-31	$2,146,092
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,837,305
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$7,720,596
Value of total assets at end of year	2011-12-31	$34,685,172
Value of total assets at beginning of year	2011-12-31	$27,720,967
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$308,787
Total interest from all sources	2011-12-31	$1,672
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$21,331
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$21,331
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$10
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$223
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$8,798
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$3,193
Administrative expenses (other) incurred	2011-12-31	$246,333
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$6,958,600
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$34,676,374
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$27,717,774
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$62,454
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$1,043,535
Interest earned on other investments	2011-12-31	$1,672
Value of interest in common/collective trusts at end of year	2011-12-31	$33,394,880
Value of interest in common/collective trusts at beginning of year	2011-12-31	$26,677,209
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$77,720
Net investment gain or loss from common/collective trusts	2011-12-31	$1,281,657
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$7,720,596
Employer contributions (assets) at end of year	2011-12-31	$1,290,282
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,837,305
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$1,716
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	KPMG LLP
Accountancy firm EIN	2011-12-31	135565207

Form 5500 Responses for NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN

2015: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2014: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )

Policy contract number

GA-48030

Policy instance

Insurance contract or identification number	GA-48030
Number of Individuals Covered	147
Insurance policy start date	2014-11-25
Insurance policy end date	2014-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	Yes
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	Yes
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	NUVEEN INVESTMENTS, INC.
Employer identification number (EIN):	363817266
NAIC Classification:	523120
NAIC Description:	Securities Brokerage