NUVEEN INVESTMENTS, INC. has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan 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 |
