The Great Red Dragon
(Imperialistic Capital)

Ownership/Control of a Publicly-Listed Corporation

Symbol Name Of Corporation

Nuveen Investments Inc. (As of 30-Jun-2007) (As of 30-Jun-2006)
Top 10 Institutional HoldersShares2007Value2006
Price (T.Rowe) Associates Inc5,531,1506.92%$343,760,9724.21%
State Street Corporation2,735,3583.42%$170,002,4993.20%
Federated Investors, Inc.2,530,9003.17%$157,295,435-.--%
Wellington Management Company, LLP2,523,7153.16%$156,848,8876.80%
Bamco Inc.2,507,0003.14%$155,810,0502.98%
Barclays Global Investors UK Holdings Ltd2,391,3972.99%$148,625,323-.--%
Vanguard Group, Inc. (The)1,808,4262.26%$112,393,675-.--%
Legg Mason Inc.1,799,7752.25%$111,856,016-.--%
Northern Trust Corporation1,558,2831.95%$96,847,288-.--%
Bank Of America Corporation1,497,2501.87%$93,054,087-.--%
% of Shares Held by All Insider and 5% Owners:6%5%
Top 10 [3.9%] of 254 Institutional Holders Control31.13%38.69%
Percentage of Barclays and "Associates" Control22.57%10.97%
NOTE: NWQ Investment Management, a subsidiary of Nuveen Investments, Inc.
Tradewinds Global Investors LLC, a subsidiary of Nuveen Investments, Inc.
UPDATE: JNC links no longer work because Nuveen has been taken private. Business Wire 6/20/2007.
MDP [Madison Dearborn Partners], based in Chicago, has drawn upon its and Nuveen Investments’ relationships to assemble a group of financial advisors and investors that includes Merrill Lynch and Merrill Lynch Global Private Equity, Wachovia and Wachovia Capital Partners, LLC, Citi, Deutsche Bank and Deutsche Bank Investment Partners (Frankfurt, Germany), and Morgan Stanley.

The Special Committee’s financial advisor was Goldman Sachs . . .

© 2007 by Edward Ulysses Cate
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