Document:

Exhibit 10.7

 

Schedules

 

	
  Schedule 1.01(a)

  	
  —

  	
  Subsidiary Guarantors

  
	
  Schedule 1.01(b)

  	
  —

  	
  Immaterial Subsidiaries

  
	
  Schedule 2.01

  	
  —

  	
  Lenders and Commitments

  
	
  Schedule 3.04

  	
  —

  	
  Governmental Consents

  
	
  Schedule 3.08

  	
  —

  	
  Subsidiaries

  
	
  Schedule 3.09

  	
  —

  	
  Litigation

  
	
  Schedule 3.14

  	
  —

  	
  Pension Plans

  
	
  Schedule 3.15

  	
  —

  	
  Environmental Matters

  
	
  Schedule 3.17

  	
  —

  	
  Labor Matters

  
	
  Schedule 3.19

  	
  —

  	
  Intellectual Property

  
	
  Schedule 6.01

  	
  —

  	
  Existing Indebtedness

  
	
  Schedule 6.02

  	
  —

  	
  Existing Liens

  

 

 

Schedule 1.01(a)

 

Subsidiary Guarantors

 

Nuveen Asset Management

 

Nuveen Investments Holdings, Inc.

 

Symphony Asset Management LLC

 

Santa Barbara Asset Management, LLC

 

Rittenhouse Asset Management, Inc.

 

NWQ Holdings, LLC

 

NWQ Investment Management Company, LLC

 

Tradewinds Global Investors, LLC

 

Nuveen Investments Institutional Services Group LLC

 

Nuveen Investments Advisers Inc.

 

Richards & Tierney, Inc.

 

Nuveen HydePark Group, LLC

 

 

Schedule 1.01(b)

 

Immaterial Subsidiaries

 

Nuveen Commodities Asset Management, LLC

 

Nuveen Asia Investments, Inc.

 

Nuveen Investments Canada Co.

 

 

Schedule 2.01

 

Lenders and Commitments

 

A. Credit Facilities

 

	
  Lenders

  	
   

  	
  Revolving Credit Commitments

  	
   

  	
  Term Loan

  Commitments

  
	
  DEUTSCHE
  BANK AG, NEW YORK BRANCH

  	
   

  	
  $

  	
  66,666,666.67

  	
   

  	
  $

  	
  617,333,333.33

  
	
  WACHOVIA
  BANK, N.A.

  	
   

  	
  $

  	
  66,666,666.67

  	
   

  	
  $

  	
  617,333,333.33

  
	
  MERRILL
  LYNCH CAPITAL CORPORATION

  	
   

  	
  $

  	
  66,666,666.67

  	
   

  	
  $

  	
  617,333,333.33

  
	
  MORGAN
  STANLEY BANK

  	
   

  	
  $

  	
  50,000,000.00

  	
   

  	
  $

  	
  463,000,000.00

  
	
   

  	
  TOTALS:

  	
   

  	
  $

  	
  250,000,000.00

  	
   

  	
  $

  	
   2,315,000,000.00

  
								

 

B. Lender Addresses

 

	
  LENDERS

  	
   

  	
  ADDRESSES

  
	
  DEUTSCHE
  BANK AG, NEW YORK BRANCH

  	
   

  	
  60
  Wall Street

  New York, NY 10005 

  
	
   

  	
   

  	
  Attention:
  Paul O’Leary

  
	
   

  	
   

  	
  Tel:
  (212) 250-6133

  
	
   

  	
   

  	
  Fax:
  (212) 797-5690

  
	
   

  	
   

  	
   

  
	
  WACHOVIA
  BANK, N.A.

  	
   

  	
  201
  S. College Street

  
	
   

  	
   

  	
  Charlotte,
  NC 28202

  
	
   

  	
   

  	
  Attention:
  Tara Moore

  
	
   

  	
   

  	
  Tel:
  (704) 374 6145

  
	
   

  	
   

  	
  Fax:
  (704) 715 0091 

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  and

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  201
  S. College Street

  
	
   

  	
   

  	
  Charlotte,
  NC 28202

  
	
   

  	
   

  	
  Attention:
  William Dunn

  
	
   

  	
   

  	
  Tel:
  (704) 715 7608

  
	
   

  	
   

  	
  Fax:
  (704) 715 0081

  

 

 

	
  LENDERS

  	
   

  	
  ADDRESSES

  
	
  MERRILL
  LYNCH CAPITAL CORPORATION

  	
   

  	
  4
  World Financial Center, 17th Floor 

  
	
   

  	
   

  	
  New
  York, NY 10080  

  
	
   

  	
   

  	
  Attention:
  Gillian Prince/Joseph Battista

  
	
   

  	
   

  	
  Tel:
  (212) 449 7839/1035

  
	
   

  	
   

  	
  Fax:
  (212) 449 9435

  
	
   

  	
   

  	
   

  
	
  MORGAN
  STANLEY BANK

  	
   

  	
  One
  Pierrepont Plaza, 7th Floor

  
	
   

  	
   

  	
  300
  Cadman Plaza West

  
	
   

  	
   

  	
  Brooklyn
  NY 11201

  
	
   

  	
   

  	
  Attention:
  Edward Henley

  
	
   

  	
   

  	
  Tel:
  (718) 754 7285

  
	
   

  	
   

  	
  Fax:
  (718) 754 7250

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  and

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Attention:
  Martin Telford/Ly Dinh

  
	
   

  	
   

  	
  Tel:
  44 20 7677 2266/0666

  
	
   

  	
   

  	
  Fax:
  ###-##-####

  

 

 

Schedule 3.04

 

Governmental Consents

 

None.

 

 

Schedule 3.08

 

Subsidiaries

 

	
  Subsidiary

  	
   

  	
  Jurisdiction of

  Organization/

  Organizational

  Number

  	
   

  	
  Parent Company

  	
   

  	
  Outstanding

  Number of

  Equity Interest

  /Percentage of

  Ownership of

  Parent

  Company

  	
   

  	
  Subsidiary

  Guarantor

  
	
  Windy City Acquisition Corp.

  	
   

  	
  Delaware 4372687

  	
   

  	
  Windy City Investments, Inc.

  	
   

  	
  1,000

  	
   

  	
  No

  
	
  Nuveen Investments, Inc.(1)

  	
   

  	
  Delaware 2292038

  	
   

  	
  Windy City Investments, Inc.

  	
   

  	
  1,000

  	
   

  	
  No

  
	
  Nuveen Investments Institutional Services Group
  LLC

  	
   

  	
  Delaware 3657563

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  100%

  	
   

  	
  Yes

  
	
  Nuveen Investments Holdings, Inc.

  	
   

  	
  Delaware 3413898

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  1,000

  	
   

  	
  Yes

  
	
  Nuveen Asset Management

  	
   

  	
  Delaware 0859952

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  1,000

  	
   

  	
  Yes

  
	
  Nuveen Investments Advisers Inc.

  	
   

  	
  Delaware 3566797

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  1,000

  	
   

  	
  Yes

  
	
  Santa Barbara  Asset
  Management, LLC

  	
   

  	
  Delaware 3992368

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  200,000 Class 1 Interests

  	
   

  	
  Yes

  
	
  Rittenhouse Asset Management, Inc.

  	
   

  	
  Delaware 0882765

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  1,000

  	
   

  	
  Yes

  
	
  Symphony Asset Management LLC

  	
   

  	
  California 199619810033

  	
   

  	
  Nuveen Investments, Inc.

   Nuveen
  Investments Holdings, Inc.

  	
   

  	
  2,000 Class 1 Interests

  2,000 Class 2 Interests

  	
   

  	
  Yes

  
	
  Richards & Tierney, Inc.

  	
   

  	
  Illinois 5341-398-6

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  57,154.15020

  	
   

  	
  Yes

  
	
  NWQ Holdings, LLC

  	
   

  	
  Delaware 4096396

  	
   

  	
  Nuveen Investments, Inc.

  	
   

  	
  2,000 Class 1 Interests

  	
   

  	
  Yes

  
	
  Nuveen HydePark Group, LLC

  	
   

  	
  Delaware 3378360

  	
   

  	
  Richards & Tierney, Inc.

  	
   

  	
  100%

  	
   

  	
  Yes

  
	
  NWQ Investment Management Company, LLC

  	
   

  	
  Delaware  3528067

  	
   

  	
  NWQ Holdings, LLC

  	
   

  	
  100% of Class

  1 Interests

  	
   

  	
  Yes

  

 

(1) Upon
the effective time of the Merger, this entity will be merged with and into Windy
City Acquisition Corp.

 

 

	
   

   

  Subsidiary

  	
   

  	
  Jurisdiction of

  Organization/

  Organizational

  Number

  	
   

  	
  Parent Company

  	
   

  	
  Outstanding

  Number of

  Equity Interest

  /Percentage of

  Ownership of

  Parent

  Company

  	
   

  	
  Subsidiary

  Guarantor

  
	
  Tradewinds Global Investors, LLC

  	
   

  	
  Delaware 4067912

  	
   

  	
  NWQ
  Holdings, LLC

  	
   

  	
  2,000 Class 1 Interests

  	
   

  	
  Yes

  
	
  Nuveen Commodities Asset Management, LLC

  	
   

  	
  Delaware  4053408

  	
   

  	
  Nuveen
  Investments, Inc.

  	
   

  	
  100%

  	
   

  	
  No

  
	
  Nuveen Investments, LLC

  	
   

  	
  Delaware 0662812

  	
   

  	
  Nuveen
  Investments, Inc.

  	
   

  	
  100%

  	
   

  	
  No

  
	
  Nuveen Asia Investments, Inc.

  	
   

  	
  Delaware 3325143

  	
   

  	
  Nuveen
  Investments, lnc.

  	
   

  	
  100

  	
   

  	
  No

  
	
  Nuveen Investments Canada Co.

  	
   

  	
  Nova Scotia

  	
   

  	
  Nuveen
  Investments Holdings, Inc.

  	
   

  	
  1

  	
   

  	
  No

  

 

 

Schedule 3.09

 

Litigation

 

None.

 

 

Schedule 3.15

 

Environmental Matters

 

None.

 

 

Schedule 3.17

 

Labor Matters

 

None.

 

 

Schedule 3.19

 

Intellectual Property

 

None.

 

 

Schedule 6.01

 

Existing Indebtedness

 

Indebtedness incurred pursuant to the Existing Notes
Documentation

 

Indebtedness incurred by Nuveen Investments, LLC
under the uncommitted line of credit with Citibank, N.A.

 

Indebtedness incurred by Nuveen Investments, LLC
under the uncommitted line of credit with Bank of New York

 

 

Schedule 6.02

 

Existing Liens

 

	
  Debtor

  	
   

  	
  Secured

  Party

  	
   

  	
  Type of Search

  	
   

  	
  Filing

  Number

  	
   

  	
  Filing

  Date

  	
   

  	
  Description

  
	
  Nuveen Investments, Inc. et al

  	
   

  	
  Salman Khan

  	
   

  	
  Local Litigation-Los Angeles County,  California

  	
   

  	
  BC371734

  	
   

  	
  05/25/2007

  	
   

  	
  Civil-Wrongful Termination

  

 

 

EXHIBIT A

to the Credit Agreement

 

FORM OF

ADMINISTRATIVE QUESTIONNAIRE

 

Please
complete and fax to Deutsche Bank AG New York Branch deal administration unit:

 

(Fax: (201)
593-2314 / 2311, Attn: Noreen Young or email: noreen.young@db.com)

 

	
  Nuveen Investments, Inc.

  $2,565,000,000 Credit Facilities

  
	
   

  
	
  Deutsche
  Bank AG New York Branch

  	
  Your institution information

  
	
  Full
  legal name of bank:

  	
   

  
	
  (for
  credit agreement purposes)

  	
   

  
	
  Name
  and title of person:

  	
   

  
	
  (executing
  the credit agreement)

  	
   

  
	
  Address
  for execution copies:

  	
   

  
	
  (provide
  street address for hand deliveries)

  	
   

  
	
   

  	
   

  
	
  Credit contact:

  	
  Credit contact — your institution

  
	
  Name:

  	
  Paul
  O’Leary

  	
   

  
	
  Title:

  	
  Vice
  President

  	
   

  
	
  Address:

  	
  60
  Wall Street

  	
   

  
	
   

  	
  New
  York, NY 10005

  	
   

  
	
  Phone:

  	
  (212)
  250-6133

  	
   

  
	
  Fax:

  	
  (212)
  797-5690

  	
   

  
	
  Email:

  	
  paul.oleary@db.com

  	
   

  
	
   

  	
   

  	
   

  
	
  Operations contact:

  	
  Operations contact — your institution

  
	
  Name:

  	
  Noreen
  Young

  	
   

  
	
  Title:

  	
  Associate

  	
   

  
	
  Address:

  	
  90
  Hudson Street

  	
   

  
	
   

  	
  Jersey
  City, NJ

  	
   

  
	
  Phone:

  	
  (201)
  593-2445

  	
   

  
	
  Fax:

  	
  (201)
  593-2314

  	
   

  
	
  Email:

  	
  noreen.young@.db.com

  	
   

  
	
  Movement of funds (advances):

  	
  Movement of funds to your institution

  (principal payments, interest, fees)

  
	
  Name:

  	
  Deutsche
  Bank AG New York Branch

  	
   

  
	
  City,
  state:

  	
  New
  York, NY 10005

  	
   

  
	
  ABA
  no:

  	
  021001033

  	
   

  
	
  Acct.
  name:

  	
  Loan
  Administration

  	
   

  
	
  Acct.
  no.:

  	
  60200119

  	
   

  
	
  Attn:

  	
  Noreen
  Young

  	
   

  
	
  Reference:

  	
  Nuveen
  Investments, Inc.

  	
   

  

 

FOR WITHHOLDING TAX PURPOSES,
PLEASE IDENTIFY YOUR BANK / COMPANY’S STATUS:

U.S. CORPORATION          NON-U.S.
(FOREIGN) CORPORATION          

 

 

Please advise Noreen
Young if there are any changes to this form after the Closing Date or date upon
which you execute this form, as applicable.

 

	
  Prepared by:

  	
   

  	
   

  	
  Phone:

  	
   

  	
   

  

 

 

2

 

EXHIBIT B

to the Credit Agreement

 

FORM OF 

ASSIGNMENT AND ACCEPTANCE

 

This
Assignment and Acceptance (the “Assignment and
Acceptance”) is dated as of the Effective Date (as defined
below) and is entered into by and between the Assignor (as defined below) and
the Assignee (as defined below). Capitalized terms used but not defined herein
shall have the meanings given to them in the Credit Agreement identified below,
receipt of a copy of which is hereby acknowledged by the Assignee. The Standard
Terms and Conditions set forth in Annex 1 attached hereto are hereby agreed to
and incorporated herein by reference and made a part of this Assignment and
Acceptance as if set forth herein in full.

 

For
an agreed consideration, the Assignor hereby irrevocably sells and assigns to
the Assignee, and the Assignee hereby irrevocably purchases and assumes from
the Assignor, subject to and in accordance with the Standard Terms and
Conditions and the Credit Agreement, as of the Effective Date inserted by the
Administrative Agent as contemplated below, (i) all of the Assignor’s
rights and obligations in its capacity as a Lender under the Credit Agreement
and any other documents or instruments delivered pursuant thereto to the extent
related to the amount and percentage interest identified below of all of such
outstanding rights and obligations of the Assignor under the respective
Commitments or Loans identified below (including without limitation the Term
Loans, the Revolving Loans, any Letters of Credit and Swingline Loans) and (ii) to
the extent permitted to be assigned under applicable law, all claims, suits,
causes of action and any other right of the Assignor (in its capacity as a
Lender) against any person, whether known or unknown, arising under or in
connection with the Credit Agreement, any other documents or instruments
delivered pursuant thereto or the loan transactions governed thereby or in any
way based on or related to any of the foregoing, including, but not limited to,
contract claims, tort claims, malpractice claims, statutory claims and all
other claims at law or in equity related to the rights and obligations sold and
assigned pursuant to clause (i) above (the rights and obligations sold and
assigned pursuant to clauses (1) and (ii) above being referred to
herein collectively as the “Assigned Interest”). Such sale and
assignment is without recourse to the Assignor and, except as expressly
provided in this Assignment and Acceptance, without representation or warranty
by the Assignor except as set forth in The Standard Terms and Conditions
attached hereto and incorporated by reference herein.

 

	
  1.

  	
   

  	
  Assignor
  (the “Assignor”):

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  2.

  	
   

  	
  Assignee
  (the “Assignee”):

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  3.

  	
   

  	
  Borrower
  (the “Borrower”):

  	
   

  	
  [Windy
  City Acquisition Corp.] [Nuveen Investments, Inc.]

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  4.

  	
   

  	
  Administrative
  Agent:

  	
   

  	
  Deutsche
  Bank AG New York Branch, as the Administrative Agent under the Credit
  Agreement

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  5.

  	
   

  	
  Credit
  Agreement:

  	
   

  	
  The
  Credit Agreement dated as of November 13, 2007 (as amended, amended and
  restated,

  

 

 

supplemented
or otherwise modified from time to time, the “Credit Agreement”), among Windy
City Investments, Inc., a Delaware corporation, Windy City Acquisition
Corp., a Delaware Corporation (to be merged with and into Nuveen Investments, Inc.,
a Delaware corporation) as the Borrower, the lenders party thereto (the “Lenders”), Deutsche Bank
AG New York Branch, as administrative agent (in such capacity, the “Administrative
Agent”), and as Collateral Agent (such terms and each other
capitalized term used but not defined herein having the meaning given it in Article I of the Credit
Agreement), Deutsche Bank Securities Inc., Wachovia Capital Markets, LLC,
Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley
Senior Funding, Inc., as Arrangers for the Credit Facilities, Wachovia
Capital Markets, LLC, as syndication agent and Merrill Lynch, Pierce, Fenner &
Smith Incorporated and Morgan Stanley Senior Funding, Inc., as
documentation agents.

 

6.               Assigned Interest:

 

	
  Assignor

  	
   

  	
  Assignee

  	
   

  	
  Class of

  Commitments/

  Loans

  Assigned

  	
   

  	
  Aggregate

  Amount of

  Commitments/

  Loans(1) for all

  Lenders

  	
   

  	
  Amount of

  Commitment/

  Loans

  Assigned

  	
   

  	
  Percentage

  Assigned of

  Commitment/

  Loans(2)

  	
   

  	
  CUSIP

  Number

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

7.                Effective Date
of Assignment (the “Effective Date”):
             , 20              (3)

 

(1)  The
outstanding amount of Loans should be included only to the extent the related
Commitment therefore has terminated.

 

(2)  Set forth, to
at least 9 decimals.

 

(3)  To be inserted
by Administrative Agent and which shall be the effective date of recordation of
transfer in the register therefor.

 

2

 

The terms set forth in this Assignment and Acceptance are
hereby agreed to:

 

 

	
   

  	
  ASSIGNOR:

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  [NAME OF ASSIGNOR]

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  ASSIGNEE:

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  [NAME OF ASSIGNEE]

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
  Name:

  	
   

  
	
   

  	
   

  	
  Title:

  	
   

  
					

 

3

 

[Consented
to and] (4) Accepted:

 

 

DEUTSCHE
BANK AG NEW YORK BRANCH, as Administrative Agent

 

 

	
  By:

  	
   

  	
   

  
	
   

  	
  Name:

  	
   

  	
   

  
	
   

  	
  Title:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  [Consented
  to:

  	
   

  
					

 

 

[WINDY CITY ACQUISITION CORP.][NUVEEN
INVESTMENTS, INC.,] as a Borrower

 

 

	
  By:

  	
   

  	
   

  
	
   

  	
  Name:

  	
   

  	
   

  
	
   

  	
  Title:

  	
  ]

  	
  (5)

  	
   

  
	
   

  	
   

  	
   

  
	
  [Consented
  to:

  	
   

  
						

 

 

[ISSUING
BANK(S)], as an Issuing Bank

 

 

	
  By:

  	
   

  	
   

  
	
   

  	
  Name:

  	
   

  	
   

  
	
   

  	
  Title:

  	
  ]

  	
  (6)

  	
   

  
						

 

 

(4) Consent of the
Administrative Agent is not required for assignments made to a Lender or an
Affiliate or a Related Fund of a Lender (in each case, other than to
Disqualified Institutions).

 

(5) Consent of the
Borrower is not required for assignments made (A) to a Lender or an
Affiliate or a Related Fund of a Lender (in each case, other than to
Disqualified Institutions) or (B) during the continuance of any Event of
Default arising under clause (b), (c), (g), (i) or (h) of Article VII
of the Credit Agreement.

 

(6) Consent of each
Issuing Bank (to the extent its L/C Exposure equals or exceeds $5,000,000) is
required for any assignment of a Revolving Credit Commitment.

 

4

 

ANNEX I

to Assignment and Acceptance

 

STANDARD TERMS AND CONDITIONS FOR

ASSIGNMENT AND ACCEPTANCE

 

1.     Representations and
Warranties.

 

1.1    Assignor. The Assignor (a) represents
and warrants that (i) it is the legal and beneficial owner of the Assigned
Interest, (ii) the Assigned Interest is free and clear of any lien,
encumbrance or other adverse claim and (iii) it has full power and
authority, and has taken all action necessary, to execute and deliver this
Assignment and Acceptance and to consummate the transactions contemplated
hereby; and (b) assumes no responsibility with respect to (i) any
statements, warranties or representations made in or in connection with any
Loan Document, (ii) the execution, legality, validity, enforceability,
genuineness, sufficiency or value of the Credit Agreement, any other Loan
Document or any other instrument or document delivered pursuant thereto (other
than this Assignment), or any other collateral thereunder, (iii) the
financial condition of the Borrower, any subsidiary, or any other person or any
Loan Document or (iv) the performance or observance by the Borrower, any
of their subsidiaries or Affiliates or any other Person of any of their
respective obligations under the Credit Agreement or any other Loan Document.

 

1.2    Assignee. The Assignee (a) represents
and warrants that (i) it has full power and authority, and has taken all
action necessary, to execute and deliver this Assignment and Acceptance and to
consummate the transactions contemplated hereby and to become a Lender under
the Credit Agreement, (ii) it is legally authorized to enter into this
Assignment and Acceptance, (iii) from and after the Effective Date, it
shall be bound by the provisions of the Credit Agreement as a Lender thereunder
and, to the extent of the Assigned Interest, shall have the obligations of a
Lender thereunder, (iv) it is sophisticated with respect to decisions to
acquire assets of the type represented by the Assigned Interest and either it,
or the person exercising discretion in making its decision to acquire the
Assigned Interest, is experienced in acquiring assets of such type, (v) it
has received a copy of the Credit Agreement, and has received or has been
accorded the opportunity to receive copies of the most recent financial statements
referred to in Section 3.05(a) thereof or
delivered pursuant to Section 5.04 thereof, as
applicable, and such other documents and information as it deems appropriate to
make its own credit analysis and decision to enter into this Assignment and Acceptance
and to purchase the Assigned Interest, (vi) it has, independently and
without reliance upon the Administrative Agent, the Collateral Agent, such
assigning Lender or any other Lender and based on such documents and
information as it has deemed appropriate, made its own credit analysis and
decision to enter into this Assignment and Acceptance and to purchase the
Assigned Interest, (vii) attached to the Assignment and Acceptance is any
documentation required to be delivered by it pursuant to Section 2.20(e) of the Credit
Agreement, duly completed and executed by the Assignee, and (viii) that
all representations and warranties set forth in Section 9.04(c) with
respect to the Assignee are true and correct; (b) agrees that (i) it
will, independently and without reliance on the Administrative Agent, the
Assignor or any other Lender, and based on such documents and information as it
shall deem appropriate at the time, continue to make its own credit decisions
in taking or not taking action under the Loan Documents, and (ii) it will
perform in accordance with

 

 

their
terms all of the obligations which by the terms of the Credit Agreement are
required to be performed by it as a Lender; and (c) appoints and
authorizes each of the Administrative Agent, the Syndication Agent and any
Collateral Agent to take such action as agent on its behalf and to exercise
such powers under the Credit Agreement and the other Loan Documents as are
delegated to or otherwise conferred upon the Administrative Agent, the
Syndication Agent or such Collateral Agent, as the case may be, by the terms
thereof, together with such powers as are reasonably incidental thereto.

 

1.3    Payments. From and after the
Effective Date, the Administrative Agent shall make all payments in respect of
the Assigned Interest (including payments of principal, interest, fees and
other amounts) to the Assignor for amounts which have accrued to but excluding
the Effective Date and to the Assignee for amounts which have accrued from and
after the Effective Date.

 

1.4    Effect of Assignment. Upon the
delivery of a fully executed original hereof and the delivery of the other
requirements under Section 9.04(e) of the Credit Agreement to
the Administrative Agent, as of the Effective Date, (i) the Assignee shall
be a party to the Credit Agreement and, to the extent provided in this
Assignment, have the rights and obligations of a Lender thereunder and under
the other Credit Documents and (ii) the Assignor shall, to the extent
provided in this Assignment, relinquish its rights and be released from its
obligations under the Credit Agreement and the other Loan Documents.

 

1.5    General Provisions. This Assignment
and Acceptance shall be binding upon, and inure to the benefit of, the parties
hereto and their respective permitted successors and assigns. This Assignment
and Acceptance may be executed in any number of counterparts, which together
shall constitute one instrument. Delivery of an executed counterpart of a
signature page of this Assignment and Acceptance by telecopy or other
electronic transmission shall be effective as delivery of a manually executed
counterpart of this Assignment and Acceptance. This Assignment and Acceptance
shall be governed by, and construed in accordance with, the law of the State of
New York (including, without limitation, Section 5.1401 of the General
Obligations Law).

 

 

EXHIBIT C-1

to the Credit Agreement

 

FORM OF 

BORROWING REQUEST

 

Deutsche
Bank AG New York Branch

Noreen
Young

100
Plaza - 8th Floor

Jersey
City, NJ 07311-3901

Phone:
(201) 593-2445

Fax:
(201) 593-2314

 

With
a copy to:

 

Paul
J. O’Leary

60
Wall Street, MS NYC60-0208

New
York, New York 10005

Tel:
212 250-6133

Fax: 212 797-5690

 

[DATE](1)

 

Ladies
and Gentlemen:

 

The
undersigned, [Windy City Acquisition Corp., a Delaware corporation (“Merger Sub”), to be
merged with and into Nuveen Investments, Inc., (the “Company”)](2) [Nuveen
Investments, Inc., a Delaware corporation](3), refers to the Credit
Agreement dated as of November 13, 2007 (as amended, restated, amended and
restated, supplemented or otherwise modified from time to time, the “Credit
Agreement”), among the Borrower, [the Company] [Windy City
Acquisition Corp., a Delaware corporation (“Merger Sub”), to be
merged with and into the Borrower], Windy City Investments, Inc., a
Delaware corporation, the lenders from time to time party thereto (the “Lenders”), Deutsche Bank
AG New York Branch, as administrative agent (in such capacity and including any
permitted successor or assign, the “Administrative  Agent”), and as Collateral Agent
(such terms and each other capitalized term used but not defined herein having
the meaning given it in Article I of the Credit Agreement),
Deutsche Bank Securities Inc., Wachovia Capital Markets, LLC, Merrill Lynch,
Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior Funding, Inc.,
as Arrangers for the Credit Facilities,

 

(1) Must
be notified irrevocably by telephone (a) in the case of a Eurodollar
Borrowing, not later than 12:30 p.m. (New York City time), 3 Business Days
before a proposed Borrowing, and (b) in the case of an ABR Borrowing, not
later than 12:30 p.m (New York City time), one Business Day before a proposed
Borrowing, in each case to be promptly confirmed by
hand delivery or fax.

 

(2) Use
this bracketed language for borrowings on the Closing Date.

 

(3) Use this bracketed language for borrowings
after the Closing Date.

 

 

Wachovia
Capital Markets, LLC, as syndication agent and Merrill Lynch, Pierce, Fenner &
Smith Incorporated and Morgan Stanley Senior Funding, Inc., as documentation
agents.

 

The
Borrower hereby gives you notice pursuant to Section 2.03 of the Credit
Agreement that it requests a Borrowing under the Credit Agreement, and in
connection with such Borrowing sets forth below the terms on which the
Borrowing is requested to be made:

 

	
  (A)

  	
   

  	
  Type
  of Borrowing:(4)

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  (B)

  	
   

  	
  Date
  of Borrowing:(5)

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  (C) 

  	
   

  	
  Account
  Number and Location  for disbursement of funds:
  

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  (D)

  	
   

  	
  Principal
  Amount and Currency of Borrowing(6):

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  (E)

  	
   

  	
  Interest
  Period:(7)

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  (F)

  	
   

  	
  Revolving
  Credit Exposure:(8)

  	
   

  	
   

  

 

[Remainder of this page intentionally
left blank]

 

 

(4) Specify
a Term Loan Borrowing or a Revolving Credit Borrowing, and either a Eurodollar
Borrowing or an ABR Borrowing.

 

(5) Date of
Borrowing must be a Business Day.

 

(6) Minimum Borrowing amount is (x) with respect to
Term Loans, (i) $1,000,000 in the case of ABR Loans and (ii) $5,000,000
in the case of Eurodollar Loans, (y) with respect to Revolving Loans, an
aggregate principal amount of at least (i) $250,000 in the case of ABR
Loans and (ii) $1,000,000 in the case of Eurodollar Loans and (z) with respect to Swingline Loans, an aggregate
principal amount at lease $100,000.

 

(7) If such
Borrowing is to be a Eurodollar Borrowing, the initial Interest Period or
Interest Periods with respect thereto.

 

(8) After
giving effect to the proposed Borrowing.

 

2

 

The
undersigned hereby represents and warrants to the Administrative Agent and the
relevant Lenders that, on the date of the related Borrowing, the conditions to
lending specified Section 4.01(b) and (c) [and Section 4.02(9)] of the Credit Agreement have been
satisfied or waived.

 

 

	
   

  	
   

  	
  [WINDY CITY ACQUISITION CORP.]

  
	
   

  	
   

  	
  [NUVEEN INVESTMENTS, INC.]

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:
  [                                  ]

  
	
   

  	
   

  	
   

  	
  Title:  
  [                                  ]

  

 

(9) Use this bracketed language for any
Borrowing made on the Closing Date.

 

3

 

EXHIBIT C-2

 

FORM OF LETTER OF CREDIT REQUEST

 

Dated

 

Deutsche
Bank AG New York Branch, as Administrative Agent, under the Credit Agreement,
dated as of November 13, 2007 (as amended, restated, modified and/or
supplemented from time to time, the “Credit Agreement”), among Windy
City Investments, Inc. (as “Holdings”), Windy City
Acquisition Corporation (to be merged with and into Nuveen Invesments, Inc.)
(the “Borrower”), the lenders from time to time party thereto,
Deutsche Bank Securities Inc., Wachovia Capital Markets, LLC, Merrill Lynch,
Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior Funding
Inc. as Arrangers, Wachovia Capital Markets, LLC, as Syndication Agent, Merrill
Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior
Funding, Inc., as Documentation Agents, and Deutsche Bank AG New York
Branch, as Administrative Agent and Collateral Agent.

 

60
Wall Street

New York, New York 10005

Attention: [                          ]

 

Deutsche Bank AG New York Branch, as Issuing Bank

under
the Credit Agreement

60
Wall Street

New
York, New York 10005 MS NYC-2708

Attention:
Global Loan Operations, Standby Letter of Credit

Unit

 

Ladies
and Gentlemen:

 

Pursuant
to Section 2.23(a) of the Credit
Agreement, we hereby request that the Issuing Bank referred to above issue a standby
Letter of Credit for the account of the undersigned or one of its subsidiaries
on November [    ], 2007 (the “Date of
Issuance”) in the aggregate stated amount of               .

 

For
purposes of this Letter of Credit Request, unless otherwise defined herein, all
capitalized terms used herein which are defined in the Credit Agreement shall
have the respective meaning provided therein.

 

1

 

The beneficiary of the requested Letter of Credit will
be                              ,
and such Letter of Credit will be in support
of               and
will have a stated expiration date
of                         .

 

We
hereby certify that:

 

(A)                         the
representations and warranties contained in the Credit Agreement and in the
other Loan Documents are and will be true and correct in all material respects
on the Date of Issuance, both before and after giving effect to the issuance of
the Letter of Credit requested hereby, unless stated
to relate to a specific earlier date, in which case such representations and
warranties shall be true and correct in all material respects as of such
earlier date; and

 

(B)                           no Default or
Event of Default has occurred and is continuing nor, after giving effect to the
issuance of the Letter of Credit requested hereby, would such a Default or
Event of Default occur.

 

Copies
of all documentation with respect to the supported transaction are attached
hereto.

 

	
   

  	
   

  	
  NUVEEN
  INVESTMENTS INC.

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

2

 

EXHIBIT D

to the Credit Agreement

 

FORM OF 

GUARANTEE AND COLLATERAL AGREEMENT

 

[Form circulated separately]

 

 

EXHIBIT E

to the Credit Agreement

 

FORM OF 

NON-BANK CERTIFICATE

 

Reference
is made to the Credit Agreement dated as of November 13, 2007 (as amended,
restated, amended and restated, supplemented or otherwise modified from time to
time, the “Credit Agreement”), among Windy City Investments, Inc., a Delaware corporation, Windy
City Acquisition Corp., a Delaware corporation, to be merged with and into
Nuveen Investments, Inc., a Delaware corporation, the lenders from time to
time party thereto (the “Lenders”), Deutsche Bank AG New York Branch, as administrative agent (in such
capacity, together with any permitted successor or assign, the “Administrative
Agent”), and as Collateral Agent
(such terms and each other capitalized term used but not defined herein having
the meaning given it in Article I of the Credit Agreement), Deutsche Bank Securities Inc., Wachovia
Capital Markets, LLC, Merrill Lynch, Pierce, Fenner &  Smith
Incorporated and Morgan Stanley Senior Funding, Inc., as Arrangers for the
Credit Facilities, Wachovia Capital Markets, LLC, as syndication agent and
Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley
Senior Funding, Inc., as documentation
agents.               
(the “Non-U.S. Lender”)
is providing this certificate pursuant to Section 2.20(e) of the Credit Agreement. The Non-U.S. Lender
hereby represents and warrants to the Borrower that the Non-U.S. Lender is not
a “bank” for purposes of Section 881(c)(3)(A) of the Internal Revenue
Code of 1986, as amended (the “Code”).

 

IN
WITNESS WHEREOF, the undersigned has duly executed this certificate.

 

 

	
   

  	
   

  	
  [NAME
  OF NON-U.S. LENDER]

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

Date:          ,
20    

 

 

EXHIBIT F-1

to the Credit Agreement

 

FORM OF 

TRADEMARK SECURITY AGREEMENT

 

TRADEMARK
SECURITY AGREEMENT, dated as of
[         ],
200[       ] (this “Agreement”),
among [GRANTOR] (“Grantor”) and DEUTSCHE BANK AG NEW YORK BRANCH, as Collateral
Agent (the “Collateral Agent”) for the Secured Parties.

 

Reference
is made to the Guarantee and Collateral Agreement dated as of November 13,
2007 (as amended, restated, amended and restated, supplemented or otherwise
modified from time to time, the “Security Agreement”), among Windy City
Investments, Inc., a Delaware corporation, Windy City Acquisition Corp., a
Delaware corporation (to be merged with and into Nuveen Investments, Inc.,
a Delaware corporation) and the Collateral Agent. The Lenders have extended
credit to the Borrower subject to the terms and conditions set forth in the
Credit Agreement dated as of November 13, 2007 (as amended, restated,
amended and restated, supplemented or otherwise modified from time to time, the
“Credit Agreement”) among the Borrower (as defined therein), the lenders
from time to time party thereto, Windy City Investments, Inc., Deutsche
Bank AG New York Branch, as administrative agent and as collateral agent,
Deutsche Bank Securities Inc., Wachovia Capital Markets, LLC, Merrill Lynch,
Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior Funding, Inc.,
as Arrangers for the Credit Facilities, Wachovia Capital Markets, LLC, as
syndication agent and Merrill Lynch, Pierce, Fenner & Smith
Incorporated and Morgan Stanley Senior Funding, Inc., as documentation
agents. Consistent with the requirements of the Credit Agreement and pursuant
to and in accordance with Section 3.01(b) and Section 3.02(b)
of the Security Agreement, the parties hereto agree as follows:

 

Section 1.               Terms. Capitalized terms
used in this Agreement and not otherwise defined herein have the meanings
specified in the Security Agreement. The rules of construction specified
in Section 1.02 of the Credit Agreement also apply to this
Agreement.

 

Section 2.               Grant of Security Interest.
As security for the payment or performance, as the case may be, in full of the
Obligations (other than contingent obligations), each Grantor, pursuant to the
Security Agreement, did and hereby does, to the extent required by the Security
Agreement, grant to the Collateral Agent, its permitted successors and assigns,
for the benefit of the Secured Parties, a security interest in, all of its
right, title or interest in or to any and all of the following assets and
properties (solely to the extent that they are part of the Collateral and
expressly excluding the Excluded Collateral) now owned or at any time hereafter
acquired by such Grantor and wherever located or in which such Grantor now has
or at any time in the future may acquire any right, title or interest
(collectively, the “Trademark Collateral”):

 

(a)           all trademarks,
service marks, trade names, corporate names, company names, business names,
fictitious business names, trade styles, trade dress, logos, other source or business
identifiers, designs and general intangibles of like nature, now existing or
hereafter adopted or acquired, all registrations and recordings thereof, and
all registration and recording applications filed in connection therewith,
including

 

 

registrations
and registration applications in the United States Patent and Trademark Office,
and all extensions or renewals thereof, including those registrations and
registration applications in the United States Patent and Trademark Office
listed on Schedule I and II (the “Trademarks”);

 

(b)                                 all goodwill associated with or symbolized by
the Trademarks;

 

(c)                                  all assets, rights and interests that
uniquely reflect or embody the Trademarks;

 

(d)                                 the right to sue third parties for past,
present and future infringements of any Trademark; and

 

(e)                                  all proceeds of and rights associated with
the foregoing.

 

Notwithstanding
the foregoing, in no event shall any Capital Stock (as defined in the Existing
Notes Documentation) of any Significant Subsidiary of the Company or the
Borrower that is owned, directly or indirectly, by the Company or the Borrower
or any of their subsidiaries, in each case, whether on the date hereof or
thereafter acquired, or any interest therein or any income or profits therefrom
(including, without limitation, dividends or distributions), or any proceeds,
interest, income or profit (including, without limitation, dividends or
distributions) obtained from any Capital Stock (as defined in the Existing
Notes Documentation) of any Significant Subsidiary of the Company or the
Borrower that is owned, directly or indirectly, by the Company or the Borrower
or any of their subsidiaries, in each case, whether on the date hereof or
thereafter acquired, or any interest therein or any income or profits therefrom
(including, without limitation, distributions and dividends), constitute
Trademark Collateral for any purpose herein (including, without limitation the
grant of any security interest or lien in favor of the Collateral Agent, on
behalf of the Secured Parties).

 

Section 3.               Security Agreement.            The security interests granted to
the Collateral Agent herein are granted solely in furtherance, and not in
limitation or expansion, of the security interests granted to the Collateral
Agent pursuant to the Security Agreement. The Collateral Agent and each Grantor
hereby acknowledge and affirm that the rights and remedies of the other parties
hereto with respect to the Trademark Collateral are more fully set forth in the
Security Agreement, the terms and provisions of which are hereby incorporated
herein by reference as if fully set forth herein (including, without
limitation, Sections 7.14 and 7.20 of the Security Agreement). In the event of
any conflict between the terms of this Agreement and the Security Agreement, the
terms of the Security Agreement shall govern.

 

Section 4.               Termination. At the
request and expense of the Grantor upon or after the occurrence of the
Termination Date (as defined in the Security Agreement) or permitted
dispositions of the Trademark Collateral, the Collateral Agent shall execute,
acknowledge, and deliver to the Grantor an instrument in writing releasing the
security interest in the Trademark Collateral acquired under this Agreement.

 

[Remainder of this page intentionally left blank]

 

2

 

IN WITNESS WHEREOF, the parties hereto have duly executed this
Agreement as of the day and year first above written.

 

	
   

  	
   

  	
  [GRANTOR]

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  DEUTSCHE BANK AG NEW YORK

  
	
   

  	
   

  	
  BRANCH, as Collateral Agent

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

3

 

Schedule I

 

Trademarks

 

	
  Registered Owner

  	
   

  	
  Mark

  	
   

  	
  Registration

  Number

  	
   

  	
  Expiration

  Date

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

Schedule II

 

Trademark
Applications

 

	
  Registered Owner

  	
   

  	
  Mark

  	
   

  	
  Registration

  Number

  	
   

  	
  Date

  Filed

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

4

 

EXHIBIT F-2

to the Credit Agreement

 

FORM OF

PATENT SECURITY AGREEMENT

 

PATENT
SECURITY AGREEMENT, dated as
of
[              ],
200[    ]
(this “Agreement”), among [GRANTOR] (“Grantor”) and DEUTSCHE BANK
AG NEW YORK BRANCH, as Collateral Agent (the “Collateral Agent”) for the
Secured Parties.

 

Reference
is made to the Guarantee and Collateral Agreement dated as of November 13,
2007 (as amended, restated, amended and restated, supplemented or otherwise
modified from time to time, the “Security Agreement”), among Windy City
Investments, Inc., a Delaware corporation, Windy City Acquisition Corp., a
Delaware corporation (to be merged with and into Nuveen Investments, Inc.,
a Delaware corporation) and the Collateral Agent. The Lenders have extended
credit to the Borrower subject to the terms and conditions set forth in the
Credit Agreement dated as of November 13, 2007 (as amended, restated,
amended and restated, supplemented or otherwise modified from time to time, the
“Credit Agreement”) among the Borrower (as defined therein), the lenders
from time to time party thereto, Windy City Investments, Inc., Deutsche
Bank AG New York Branch, as administrative agent and as collateral agent,
Deutsche Bank Securities Inc., Wachovia Capital Markets, LLC, Merrill Lynch,
Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior Funding, Inc.,
as Arrangers for the Credit Facilities, Wachovia Capital Markets, LLC, as
syndication agent and Merrill Lynch, Pierce, Fenner & Smith
Incorporated and Morgan Stanley Senior Funding, Inc., as documentation
agents. Consistent with the requirements of the Credit Agreement and pursuant
to and in accordance with Section 3.01(b) and Section 3.02(b)
of the Security Agreement, the parties hereto agree as follows:

 

Section 1.               Terms. Capitalized terms
used in this Agreement and not otherwise defined herein have the meanings
specified in the Security Agreement. The rules of construction specified
in Section 1.02 of the Credit Agreement also apply to this
Agreement.

 

Section 2.               Grant of Security Interest.
As security for the payment or performance, as the case may be, in full of the
Obligations (other than contingent obligations), each Grantor, pursuant to the
Security Agreement, did and hereby does, to the extent required by the Security
Agreement, grant to the Collateral Agent, its permitted successors and assigns,
for the benefit of the Secured Parties, a security interest in, all of its
right, title or interest in or to any and all of the following assets and
properties (solely to the extent that they are part of the Collateral and
expressly excluding the Excluded Collateral) now owned or at any time hereafter acquired by such Grantor and wherever located or
in which such Grantor now has or at any time in the future may acquire any
right, title or interest (collectively, the “Patent Collateral”):

 

(a)           all letters patent
of the United States, all registrations and recordings thereof, and all
applications for letters patent of the United States, including registrations,
recordings and pending applications
in the United States Patent and
Trademark Office listed on Schedule I and II (the “Patents”);

 

 

(b)           all reissues,
continuations, divisions, continuations in part, renewals or extensions
thereof, and all inventions disclosed or claimed therein, including the right
to make, use and/or sell the inventions disclosed or claimed therein;

 

(c)           the right to sue
third parties for past, present and future infringements of any Patent; and

 

(d)           all proceeds of and
any right associated with the foregoing.

 

Notwithstanding
the foregoing, in no event shall any Capital Stock (as defined in the Existing
Notes Documentation) of any Significant Subsidiary of the Company or the
Borrower that is owned, directly or indirectly, by the Company or the Borrower
or any of their subsidiaries, in each case, whether on the date hereof or
thereafter acquired, or any interest therein or any income or profits therefrom
(including, without limitation, dividends or distributions), or any proceeds,
interest, income or profit (including, without limitation, dividends or
distributions) obtained from any Capital Stock (as defined in the Existing
Notes Documentation) of any Significant Subsidiary of the Company or the
Borrower that is owned, directly or indirectly, by the Company or the Borrower
or any of their subsidiaries, in each case, whether on the date hereof or
thereafter acquired, or any interest therein or any income or profits therefrom
(including, without limitation, distributions and dividends), constitute Patent
Collateral for any purpose herein (including, without limitation the grant of
any security interest or lien in favor of the Collateral Agent, on behalf of
the Secured Parties).

 

Section 3.               Security Agreement.            The security interests granted to
the Collateral Agent herein are granted solely in furtherance, and not in
limitation or expansion, of the security interests granted to the Collateral
Agent pursuant to the Security Agreement. The Collateral Agent and each Grantor
hereby acknowledge and affirm that the rights and remedies of the other parties
hereto with respect to the Patent Collateral are more fully set forth in the
Security Agreement, the terms and provisions of which are hereby incorporated
herein by reference as if fully set forth herein (including, without
limitation, Sections 7.14 and 7.20 of the Security Agreement). In the event of
any conflict between the terms of this Agreement and the Security Agreement,
the terms of the Security Agreement shall govern.

 

Section 4.               Termination. At the
request and expense of the Grantor upon or after the occurrence of the Termination
Date (as defined in the Security Agreement) or permitted dispositions of the
Patent Collateral, the Collateral Agent shall execute, acknowledge, and deliver
to the Grantor an instrument in writing releasing the security interest in the
Patent Collateral acquired under this Agreement.

 

[Remainder of this page intentionally left blank]

 

2

 

IN WITNESS WHEREOF, the parties hereto have duly executed this
Agreement as of the day and year first above written.

 

	
   

  	
   

  	
  [GRANTOR]

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  DEUTSCHE BANK AG NEW YORK

  
	
   

  	
   

  	
  BRANCH, as Collateral Agent

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

3

 

Schedule I

 

Patents

 

	
  Registered Owner

  	
   

  	
  Type

  	
   

  	
  Registration

  Number

  	
   

  	
  Expiration

  Date

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

Schedule II

 

Patent Applications

 

	
  Registered Owner

  	
   

  	
  Type

  	
   

  	
  Registration

  Number

  	
   

  	
  Date

  Filed

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

4

 

EXHIBIT F-3

to the Credit Agreement

 

FORM OF

COPYRIGHT SECURITY AGREEMENT

 

COPYRIGHT
SECURITY AGREEMENT, dated as of
[          ],
200[        ] (this “Agreement”),
among [GRANTOR] (“Grantor”) and DEUTSCHE BANK AG NEW YORK BRANCH, as
Collateral Agent (the “Collateral Agent”) for the Secured Parties.

 

Reference
is made to the Guarantee and Collateral Agreement dated as of November 13,
2007 (as amended, restated, amended and restated, supplemented or otherwise
modified from time to time, the “Security Agreement”), among Windy City
Investments, Inc., a Delaware corporation, Windy City Acquisition Corp., a
Delaware corporation (to be merged with and into Nuveen Investments, Inc.,
a Delaware corporation) and the Collateral Agent. The Lenders have extended
credit to the Borrower subject to the terms and conditions set forth in the
Credit Agreement dated as of November 13, 2007 (as amended, restated,
amended and restated, supplemented or otherwise modified from time to time, the
“Credit Agreement”) among the Borrower (as defined therein), the lenders
from time to time party thereto, Windy City Investments, Inc., Deutsche
Bank AG New York Branch, as administrative agent and as collateral agent,
Deutsche Bank Securities Inc., Wachovia Capital Markets, LLC, Merrill Lynch,
Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior Funding, Inc.,
as Arrangers for the Credit Facilities, Wachovia Capital Markets, LLC, as
syndication agent and Merrill Lynch, Pierce, Fenner & Smith
Incorporated and Morgan Stanley Senior Funding, Inc., as documentation
agents. Consistent with the requirements of the Credit Agreement and pursuant
to and in accordance with Section 3.01(b) and Section 3.02(b)
of the Security Agreement, the parties hereto agree as follows:

 

Section 1.               Terms. Capitalized terms
used in this Agreement and not otherwise defined herein have the meanings
specified in the Security Agreement. The rules of construction specified
in Section 1.02 of the Credit Agreement also apply to this
Agreement.

 

Section 2.               Grant of Security Interest.
As security for the payment or performance, as the case may be, in full of the
Obligations (other than contingent obligations), each Grantor, pursuant to the
Security Agreement, did and hereby does, to the extent required by the Security
Agreement, grant to the Collateral Agent, its permitted successors and assigns,
for the benefit of the Secured Parties, a security interest in, all of its
right, title or interest in or to any and all of the following assets and
properties (solely to the extent that they are part of the Collateral and
expressly excluding the Excluded Collateral) now owned or at any time hereafter
acquired by such Grantor and wherever located or in which such Grantor now has
or at any time in the future may acquire any right, title or interest
(collectively, the “Copyright Collateral”):

 

(a)           all copyright rights
in any work subject to the copyright laws of the United States whether as
author, assignee, transferee or otherwise,

 

 

(b)           all registrations
and applications for registration of any such copyright in the United States,
including registrations and pending applications for registration in the United
States Copyright Office listed on Schedule I and II (the “Copyrights”);

 

(c)           the right to sue
third parties for past, present and future infringements of any copyright, and

 

(d)           all proceeds of and
rights associated with the foregoing.

 

Notwithstanding
the foregoing, in no event shall any Capital Stock (as defined in the Existing
Notes Documentation) of any Significant Subsidiary of the Company or the
Borrower that is owned, directly or indirectly, by the Company or the Borrower
or any of their subsidiaries, in each case, whether on the date hereof or
thereafter acquired, or any interest therein or any income or profits therefrom
(including, without limitation, dividends or distributions), or any proceeds,
interest, income or profit (including, without limitation, dividends or
distributions) obtained from any Capital Stock (as defined in the Existing
Notes Documentation) of any Significant Subsidiary of the Company or the
Borrower that is owned, directly or indirectly, by the Company or the Borrower
or any of their subsidiaries, in each case, whether on the date hereof or
thereafter acquired, or any interest therein or any income or profits therefrom
(including, without limitation, distributions and dividends), constitute
Copyright Collateral for any purpose herein (including, without limitation the
grant of any security interest or lien in favor of the Collateral Agent, on
behalf of the Secured Parties).

 

Section 3.               Security Agreement.            The security interests granted to
the Collateral Agent herein are granted solely in furtherance, and not in
limitation or expansion, of the security interests granted to the Collateral
Agent pursuant to the Security Agreement. The Collateral Agent and each Grantor
hereby acknowledge and affirm that the rights and remedies of the other parties
hereto with respect to the Copyright Collateral are more fully set forth in the
Security Agreement, the terms and provisions of which are hereby incorporated
herein by reference as if fully set forth herein (including, without
limitation, Sections 7.14 and 7.20 of the Security Agreement). In the event of
any conflict between the terms of this Agreement and the Security Agreement,
the terms of the Security Agreement shall govern.

 

Section 4.               Termination. At the
request and expense of the Grantor upon or after the occurrence of the
Termination Date (as defined in the Security Agreement) or permitted
dispositions of the Copyright Collateral, the Collateral Agent shall execute,
acknowledge, and deliver to the Grantor an instrument in writing releasing the
security interest in the Copyright Collateral acquired under this Agreement.

 

[Remainder of this page intentionally left blank]

 

2

 

IN WITNESS WHEREOF, the parties hereto have duly executed this
Agreement as of the day and year first above written.

 

 

	
   

  	
   

  	
  [GRANTOR]

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  DEUTSCHE BANK AG NEW YORK

  
	
   

  	
   

  	
  BRANCH, as Collateral Agent

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

3

 

Schedule I

 

Copyrights

 

	
  Registered Owner

  	
   

  	
  Title

  	
   

  	
  Registration

  Number

  	
   

  	
  Expiration

  Date

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

Schedule II

 

COPYRIGHT APPLICATIONS

 

	
  Registered Owner

  	
   

  	
  Title

  	
   

  	
  Registration

  Number

  	
   

  	
  Date

  Filed

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

4

 

EXHIBIT G-1

 

[FORM OF]

REVOLVING CREDIT NOTE

 

	
  $[               ]

  	
   

  	
  New York, New York

  
	
   

  	
   

  	
  [                   ],
  20[ ]

  

 

FOR
VALUE RECEIVED, the undersigned, [WINDY CITY ACQUISITION CORP., a Delaware
corporation (“Merger Sub”), to be merged with and into Nuveen
Investments, Inc., a Delaware corporation (the “Company”)](16)
[NUVEEN INVESTMENTS, INC., a Delaware corporation](17) (the “Borrower”),
hereby promises to pay to
[         ] (the “Lender”)
or its registered assigns, at the office of Deutsche Bank AG New York Branch
(the “Administrative Agent”) at 60 Wall Street, New York, NY 10005, on
the dates and in the amounts set forth in the Credit Agreement dated as of November 13,
2007 (as the same may be amended, supplemented or otherwise modified from time
to time, the “Credit Agreement”), among Windy City Investments, Inc.,
a Delaware corporation, the Borrower, [the Company] [Windy City Acquisition
Corp., a Delaware corporation (“Merger Sub”), to be merged with and into
the Borrower], the Lenders (as defined in Article I of the Credit
Agreement), Deutsche Bank AG New York Branch, as Administrative Agent and
collateral agent for the Lenders thereunder (in such capacities, the “Collateral
Agent”) and the other parties thereto from time to time, in immediately
available funds in US dollars, the aggregate unpaid principal amount of all
Revolving Loans made by the Lender to Borrower pursuant to the Credit Agreement
and to pay interest from the date of such Revolving Loans on the principal
amount thereof from time to time outstanding, in like funds, at said office, at
the rate or rates per annum and payable on the dates provided in the Credit
Agreement. Terms used but not defined herein shall have the meanings assigned
to them in the Credit Agreement.

 

The
Borrower promises to pay interest, on demand, on any overdue principal and, to
the extent permitted by law, overdue interest from the due dates at a rate or
rates provided in the Credit Agreement.

 

Pursuant
to the terms of the Credit Agreement, to the extent permitted by applicable
law, the Borrower hereby waives diligence, presentment, demand, protest and
notice of any kind whatsoever. The nonexercise by the holder hereof of any of
its rights hereunder in any particular instance shall not constitute a waiver
thereof in that or any subsequent instance.

 

All
borrowings evidenced by this Note and all payments and prepayments of the
principal hereof and interest hereon and the respective dates thereof shall be
endorsed by the holder hereof on the schedules attached hereto and made a part
hereof or on a continuation thereof which shall be attached hereto and made a
part hereof, or otherwise recorded by such holder in its internal records; provided,
however, that the failure of the holder hereof to make

 

(16) Use this bracketed language for
borrowings on the Closing Date.

 

(17) Use this bracketed language for
borrowings after the Closing Date.

 

 

such
a notation or any error in such notation shall not affect the obligations of
the Borrower under this Note.

 

This
Note is one of the Notes referred to in the Credit Agreement that, among other
things, contains provisions for the acceleration of the maturity hereof upon
the happening of certain events, for optional and mandatory prepayment of the
principal hereof prior to the maturity hereof and for the amendment or waiver
of certain provisions of the Credit Agreement, all upon the terms and
conditions therein specified. This Note is entitled to the benefit of the
Credit Agreement and is guaranteed and secured as provided therein and in the
other Loan Documents referred to in the Credit Agreement. THIS NOTE SHALL BE
CONSTRUED IN ACCORDANCE WITH AND GOVERNED BY THE LAW OF THE STATE OF NEW YORK.

 

 

	
   

  	
   

  	
  [WINDY
  CITY ACQUISITION CORP.]

  
	
   

  	
   

  	
  [NUVEEN INVESTMENTS, INC.]

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

2

 

Schedule A to Note

 

LOANS, CONVERSIONS AND REPAYMENTS OF ABR
LOANS

 

	
  Date

  	
   

  	
  Amount of ABR

  Loans

  	
   

  	
  Amount Converted to

  ABR Loans

  	
   

  	
  Amount of Principal of

  ABR Loans Repaid

  	
   

  	
  Amount of ABR Loans

  Converted to

  Eurodollar Loans

  	
   

  	
  Unpaid Principal

  Balance of ABR Loans

  	
   

  	
  Notation Made 

  By

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

3

 

Schedule B to Note

 

LOANS, CONTINUATIONS, CONVERSIONS AND
REPAYMENTS OF EURODOLLAR LOANS

 

	
  Date

  	
   

  	
  Amount of

  Eurodollar Loans

  	
   

  	
  Amount

  Converted to

  Eurodollar Loans

  	
   

  	
  Interest Period and

  Eurodollar Loans

  with Respect

  Thereto

  	
   

  	
  Amount of

  Principal of

  Eurodollar Loans

  Repaid

  	
   

  	
  Amount of

  Eurodollar Loans

  Converted to ABR

  Loans

  	
   

  	
  Unpaid Principal

  Balance of

  Eurodollar Loans

  	
   

  	
  Notation Made 

  By

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

4

 

EXHIBIT G-2

 

[FORM OF] 

TERM NOTE

 

	
  $[               ]

  	
   

  	
  New York, New York

  
	
   

  	
   

  	
  [                   ],
  20[ ]

  

 

FOR
VALUE RECEIVED, the undersigned, [WINDY CITY ACQUISITION CORP., a Delaware
corporation (“Merger Sub”), to be merged with and into Nuveen Investments, Inc.,
a Delaware corporation (the “Company”)](18)[NUVEEN INVESTMENTS, INC., a Delaware corporation](19) (the “Borrower”),
hereby promises to pay to
[         ] (the “Lender”)
or its registered assigns, at the office of Deutsche Bank AG New York Branch
(the “Agent”) at 60 Wall Street, New York, NY 1000, on the dates and in
the amounts set forth in the Credit Agreement dated as of November 13,
2007 (as the same may be amended, supplemented or otherwise modified from time
to time, the “Credit Agreement”), among Windy City Investments, Inc.,
a Delaware corporation, the Borrower, [the Company][Windy City Acquisition
Corp., a Delaware corporation (“Merger Sub”), to be merged with and into
the Borrower], the Lenders (as defined in Article I of the Credit
Agreement), Windy City Investments, Inc., Deutsche Bank AG New York
Branch, as Administrative Agent and collateral agent for the Lenders thereunder
(in such capacities, the “Collateral Agent”) and the other parties
thereto from time to time, in immediately available funds in US dollars, the
aggregate unpaid principal amount of the Term Loan made by the Lender to the
Borrower pursuant to the Credit Agreement and to pay interest from the date of
such Term Loan on the principal amount thereof from time to time outstanding,
in like funds, at said office, at the rate or rates per annum and payable on
the dates provided in the Credit Agreement. Terms used but not defined herein
shall have the meanings assigned to them in the Credit Agreement.

 

The
Borrower promises to pay interest, on demand, on any overdue principal and, to
the extent permitted by law, overdue interest from the due dates at a rate or
rates provided in the Credit Agreement.

 

Pursuant
to the terms of the Credit Agreement, to the extent permitted by applicable
law, the Borrower hereby waives diligence, presentment, demand, protest and
notice of any kind whatsoever. The nonexercise by the holder hereof of any of
its rights hereunder in any particular instance shall not constitute a waiver
thereof in that or any subsequent instance.

 

All
borrowings evidenced by this Note and all payments and prepayments of the
principal hereof and interest hereon and the respective dates thereof shall be
endorsed by the holder hereof on the schedules attached hereto and made a part
hereof or on a continuation thereof which shall be attached hereto and made a
part hereof, or otherwise recorded by such

 

(18) Use this bracketed language for borrowings on
the Closing Date.

 

(19) Use this bracketed language for borrowings after the Closing Date.

 

 

holder
in its internal records; provided, however, that the failure of the holder hereof to
make such a notation or any error in such notation shall not affect the
obligations of the Borrower under this Note.

 

This
Note is one of the Notes referred to in the Credit Agreement that, among other
things, contains provisions for the acceleration of the maturity hereof upon
the happening of certain events, for optional and mandatory prepayment of the
principal hereof prior to the maturity hereof and for the amendment or waiver
of certain provisions of the Credit Agreement, all upon the terms and
conditions therein specified. This Note is entitled to the benefit of the
Credit Agreement and is guaranteed and secured as provided therein and in the
other Loan Documents referred to in the Credit Agreement. THIS NOTE SHALL BE
CONSTRUED IN ACCORDANCE WITH AND GOVERNED BY THE LAW OF THE STATE OF NEW YORK.

 

 

	
   

  	
   

  	
  [WINDY
  CITY ACQUISITION 

  
	
   

  	
   

  	
  CORP.][NUVEEN INVESTMENTS, INC.]

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

2

 

Schedule A to Note

 

LOANS, CONVERSIONS AND REPAYMENTS OF ABR
LOANS

 

	
  Date

  	
   

  	
  Amount of ABR Loans

  	
   

  	
  Amount Converted to

  ABR Loans

  	
   

  	
  Amount of Principal of

  ABR Loans Repaid

  	
   

  	
  Amount of ABR 

  Converted to

  Eurodollar Loans

  	
   

  	
  Unpaid Principal

  Balance of ABR Loans

  	
   

  	
  Notation Made 

  By

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

3

 

Schedule B to Note

 

LOANS, CONTINUATIONS, CONVERSIONS AND
REPAYMENTS OF EURODOLLAR LOANS

 

	
  Date

  	
   

  	
  Amount
  of

  Eurodollar Loans

  	
   

  	
  Amount

  Converted to

  Eurodollar Loans

  	
   

  	
  Interest
  Period and

  Eurodollar with

  Respect Thereto

  	
   

  	
  Amount
  of

  Principal of

  Eurodollar Loans

  Repaid

  	
   

  	
  Amount
  of

  Eurodollar Loans

  Converted to ABR

  Loans

  	
   

  	
  Unpaid
  Principal

  Balance of

  Eurodollar Loans

  	
   

  	
  Notation
  Made 

  By

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

4

 

EXHIBIT H

 

[FORM OF]

 

SOLVENCY CERTIFICATE

 

November 13, 2007

 

Reference
is hereby made to that certain Credit Agreement (the “Credit
Agreement”), dated as of the
date first written above, among Windy City Investments, Inc., a Delaware
corporation, Windy City Acquisition Corp, a Delaware corporation (the “Borrower”), to be merged with and into Nuveen
Investments, Inc., a Delaware corporation (the “Company”), the subsidiaries of the Borrower (as defined
therein), the lenders from time to time party thereto (each, a “Lender” and, collectively, the “Lenders”), Deutsche Bank AG New York Branch, as
Administrative Agent and Collateral Agent (in each case, as defined therein)
for the Lenders, Deutsche Bank Securities Inc., Wachovia Capital Markets, LLC,
Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley
Senior Funding, Inc., as Arrangers for the Credit Facilities (as defined
therein), Wachovia Capital Markets, LLC, as syndication agent and Merrill
Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley Senior
Funding, Inc., as documentation agents.

 

This
Solvency Certificate is delivered to the Administrative Agent pursuant to Section 4.02(f) of
the Credit Agreement. Unless otherwise defined herein, capitalized terms used
in this Certificate shall have the meanings set forth in the Credit Agreement.

 

I, [                       ], the [Vice President and Corporate Treasurer]
of the Company, hereby certify on behalf of the Company, and not in any
individual capacity, as follows:

 

1.             I am the [Vice
President and Corporate Treasurer] of the Company and, as such, I am familiar
with the properties, business and assets of the Company, and I am authorized to
execute this Solvency Certificate.

 

2.             I have made such
investigations and inquiries as I deem necessary and prudent in connection with
the matters set forth herein and have reviewed the terms of the Credit
Agreement and the other Loan Documents.

 

3.             On the Closing
Date, after giving effect to the Transactions, the Loan Parties (on a
consolidated basis) are Solvent.

 

*    *   *    *    *

 

1

 

IN
WITNESS WHEREOF, the undersigned [Vice President and Corporate Treasurer] of
the Company has executed this Solvency Certificate on behalf of the Company as
of the date first written above.

 

 

	
   

  	
   

  	
  NUVEEN INVESTMENTS, INC.

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  	
  [               ]

  
	
   

  	
   

  	
   

  	
  Title:

  	
  [Vice
  President and Corporate 

  
	
   

  	
   

  	
   

  	
   Treasurer]Exhibit 10.18

 

EXECUTION COPY

 

SERVICES AGREEMENT

 

THIS SERVICES AGREEMENT (this “Agreement”), effective as
of November 13, 2007, is made by and between Nuveen Investments, Inc.,
a Delaware corporation (the “Company”), Madison Dearborn Partners V-B,
L.P., a Delaware limited partnership (“MDP”), MLGPE U.S. Strategies LLC,
a Delaware limited liability company (“Merrill”),  and the other parties appearing on the
signature pages hereto (together with Merrill and MDP, the “Advisors”).

 

WHEREAS, on the terms and subject to the conditions
contained in this Agreement, the Company desires to obtain certain management
and consulting services from the Advisors and the Advisors desire to perform
such services for the Company.

 

NOW, THEREFORE, in consideration of the premises and
the respective mutual agreements, covenants, representations and warranties
contained in this Agreement, the receipt and sufficiency of which are hereby
acknowledged, the parties agree as follows:

 

1.             Appointment
of Advisors.  The Company appoints
the Advisors and the Advisors accept appointment, in each case severally and
not jointly, on the terms and conditions provided in this Agreement as advisors
to the Company, its direct and indirect subsidiaries and Windy City Investments, Inc.
and Windy City Investments Holdings, LLC (collectively, the “Nuveen Group”),
including any other corporations or other entities hereafter formed or acquired
by any member of the Nuveen Group to engage in any business.  The parties expressly acknowledge that (i) MDP
is an affiliate of Madison Dearborn Capital Partners V-A, L.P., a Delaware
limited partnership (“MDCP V-A”), Madison Dearborn Capital Partners V-C,
L.P., a Delaware limited partnership (“MDCP V-C”), and Madison Dearborn
Capital Partners V Executive-A, L.P., a Delaware limited partnership (“MDCP
Executive” and, together with MDCP V-A and MDCP V-C, the “MDP Sponsors”),
all of which are equityholders in the Company’s ultimate parent company, Windy
City Investments Holdings, LLC, a Delaware limited liability company (“Holdings”)
and (ii) the other Advisors are each affiliated with other equityholders
of Holdings (such equityholders, together with the MDP Sponsors, are the “Sponsors”).
 Additionally,
the parties expressly acknowledge that principals of the Sponsors currently
serve as members of the Board of Directors of the Company (the “Board”)
and/or members of the board of directors (or board of managers, as applicable)
of the other companies in the Nuveen Group. 
It is understood that the Advisors’ rights and obligations hereunder
shall be independent of the relationship between the Company and the Sponsors
and the respective boards of directors (or managers, as applicable) of the
Company and the other members of the Nuveen Group, and that, in performing its
services hereunder, the Advisors are not acting in the capacity of
equityholders of Holdings or any of its subsidiaries or members of the board of
directors (or managers, as applicable) of the Company or any other member of
the Nuveen Group.

 

2.             Board
of Directors Supervision.  The
activities of the Advisors to be performed under this Agreement shall be
subject to the supervision of the Board and subject to reasonable policies not
inconsistent with the terms of this Agreement adopted by the Board and in
effect from time to time. 
Notwithstanding the foregoing, the Advisors shall not have the authority
to bind the Company or any other member of the Nuveen Group or any investor in
the Company, and nothing contained herein shall be construed to create an
agency relationship between the 

 

 

Company or any other member of the Nuveen Group, or any investor in any
of them, on the one hand, and the Advisors on the other hand.

 

3.             Services
of the Advisors.  Subject to any
limitations imposed by applicable law or regulation, the Advisors shall render
or cause to be rendered management, consulting and financial services to the
Company and the other members of the Nuveen Group as requested from time to
time by the Board and agreed to by such Advisor(s), which services may include
advice and assistance concerning any and all aspects of the operations,
planning and financing of the Company and the other members of the Nuveen Group
and conducting relations on behalf of the Company or the other members of the
Nuveen Group with accountants, attorneys, financial advisors and other
professionals.  The Advisors shall
provide and devote to the performance of this Agreement such employees,
affiliates and agents of the Advisors as the Advisors shall deem reasonably
sufficient and appropriate to the furnishing of the services hereunder.  In addition, the Advisors shall, as requested
by the Board and agreed to by such Advisor(s), render advice and expertise in
connection with any acquisitions or dispositions undertaken by the Company or
the other members of the Nuveen Group. 
Notwithstanding anything in this Agreement to the contrary, the Advisors
shall not be entitled to a management fee under this Agreement.

 

4.             Reimbursement
of Expenses; Independent Contractor. 
All obligations or expenses incurred by the Advisors in the performance
of their duties under this Agreement shall be for the account of, on behalf of,
and at the expense of the Company, and all such expenses shall be promptly
reimbursed by the Company.  The Advisors
shall not be obligated to make any advance to or for the account of the Company
or any other member of the Nuveen Group or to pay any sums, except out of funds
held in accounts maintained by the Company or any other member of the Nuveen
Group, nor shall the Advisors be obligated to incur any liability or obligation
for the account of the Company or any other member of the Nuveen Group.  The Company shall reimburse the Advisors by
wire transfer of immediately available funds for any amount paid by the
Advisors pursuant to the foregoing, which shall be in addition to any other
amount payable to the Advisors under this Agreement.  The Advisors shall be independent
contractors, and nothing in this Agreement shall be deemed or construed to (i) create
a partnership or joint venture between the Company or any other member of the
Nuveen Group and the Advisors or among the Advisors, (ii) cause the
Advisors to be responsible in any way for the debts, liabilities or obligations
of the Company or any other party, or (iii) cause the Advisors or any of
their employees, partners or members to be officers, employees or agents of the
Company or any other member of the Nuveen Group.

 

5.             Other
Activities of Advisors; Investment Opportunities.  The Company acknowledges and agrees that
neither the Advisors nor any of the Advisors’ employees, officers, directors,
affiliates or associates (collectively, the “Advisors Group”) shall be
required to devote full time and business efforts to the duties of the Advisors
specified in this Agreement, but instead shall devote only so much of such time
and efforts as the Advisors reasonably deem necessary.  The Company further acknowledges and agrees
that members of the Advisors Group are engaged in the business of investing in,
acquiring and/or managing businesses for their own account, for the account of
their affiliates and associates and for the account of other unaffiliated
parties, and understands that the Advisors plan to continue to be engaged in
such business (and other business or investment activities) during the term of
this Agreement.  The Advisors make no
representations or warranties, express or implied, in respect of the services
to be provided by 

 

2

 

the Advisors Group.  Except as
the Advisors may otherwise agree in writing after the date hereof: (a) each
member of the Advisors Group shall have the right to, and shall have no duty
(contractual or otherwise) not to, directly or indirectly (i) engage in
the same or similar business activities or lines of business as the members of
the Nuveen Group or (ii) do business with any client or customer of the
members of the Nuveen Group; (b) no member of the Advisors Group shall be
liable to any member of the Nuveen Group for breach of any duty (contractual or
otherwise) by reason of any of the activities described in (i) or (ii) or
of such member’s participation therein; and (c) in the event that any
member of the Advisors Group acquires knowledge of a potential transaction or
matter that may be a corporate opportunity for any member of the Nuveen Group,
on the one hand, and such member of the Advisors Group, on the other hand, or
any other person or entity, no member of the Advisors Group shall have any duty
(contractual or otherwise) to communicate or present such corporate opportunity
to the Company or any other member of the Nuveen Group, and, notwithstanding
any provision of this Agreement to the contrary, no member of the Advisors
Group shall be liable to any member of the Nuveen Group for breach of any duty
(contractual or otherwise) by reason of the fact that any member of the
Advisors Group directly or indirectly pursues or acquires such opportunity for
itself, directs such opportunity to another person or entity, or does not
present such opportunity to any member of the Nuveen Group.  In no event will any member of the Advisors
Group be liable to any member of the Nuveen Group for any indirect, special,
incidental or consequential damages, including lost profits or savings, whether
or not such damages are foreseeable, or in respect of any liabilities relating
to any third party claims (whether based in contract, tort or otherwise) other
than for claims relating to the services which may be provided by the Advisors
hereunder (subject to Section 8 hereof).

 

6.             Financing
Fees.

 

(a)           At
the time of any equity or debt financing for Holdings, the Company or any of
their respective subsidiaries that occurs after the date hereof and that is
provided by either or both of the Sponsors or their respective affiliates, the
Company shall pay to the Advisors, as well as to the other investors in Windy
City Investments Holdings, LLC, that participate in such financing, in cash an
aggregate placement fee equal to up to four percent (4%) of the gross amount of
any equity financing provided by such investors or its affiliates and up to two
and a half percent (2.5%) of the gross amount of any debt financing provided by
the Sponsors or their respective affiliates, provided that, in each case, MDP
and Merrill shall determine in their joint discretion how large a fee, if any,
to which the Advisors shall be entitled, up to the foregoing caps.

 

(b)           Any
payment pursuant to this Section 6 shall be made in cash by wire
transfer(s) of immediately available funds to or among one or more
accounts as designated from time to time by the Advisors to the Company in
writing.

 

7.             Term.  This Agreement shall commence effective as of
the date hereof and shall remain in effect until the date on which none of the
Sponsors nor any of their respective affiliates hold directly or indirectly any
equity securities of Holdings or its successors.  In addition, MDP may terminate this Agreement
at any time upon written notice to the Company, such termination to be effective
upon the Company’s receipt of such written notice.  No termination of this Agreement, whether
pursuant to this Section 7 or otherwise, shall affect the Company’s

 

3

 

obligations with respect to the fees, costs and expenses incurred by
the Advisors in rendering services hereunder and not reimbursed by the Company
as of the effective date of such termination. 
In addition, the provisions of Sections 8, 9, 16, 17
and 20 shall survive the termination of this Agreement and remain
binding and in effect.

 

8.             Liability.  No member of the Advisors Group (including
any person or entity acting for or on behalf of the Advisors) shall be liable
for any mistakes of fact, errors of judgment, or losses sustained by the
Company or any other members of the Nuveen Group or for any acts or omissions
of any kind (including acts or omissions of the Advisors), except to the extent
caused by intentional misconduct of the applicable Advisors as finally
determined by a court of competent jurisdiction.

 

9.             Indemnification
of Advisors.  If and to the extent
MDP, in its sole discretion, requests, the Company and the other members of the
Nuveen Group hereby agree to jointly and severally indemnify and hold harmless
the Advisors and their present and future officers, directors, affiliates,
employees and agents (“Indemnified Parties”) from and against all
losses, claims, liabilities, suits, costs, damages and expenses (including
attorneys’ fees) arising from their performance of services hereunder.  The Company and the other members of the
Nuveen Group further agree to reimburse the Indemnified Parties on a monthly
basis for any cost of defending any action or investigation (including
attorneys’ fees and expenses), subject to an undertaking from such Indemnified
Party to repay the Company if such party is determined not to be entitled to
such indemnity.

 

10.           Assignment.  Without the consent of the Advisors, the
Company shall not assign, transfer or convey any of its rights, duties or
interest under this Agreement, nor shall it delegate any of the obligations or
duties required to be kept or performed by it hereunder.  The Advisors shall not assign, transfer or
convey any of their rights, duties or interest under this Agreement, nor shall
they delegate any of their obligations or duties required to be kept or
performed under this Agreement, except that the Advisors may transfer their
rights and delegate their obligations hereunder to (i) their respective
affiliates or (ii) to each other.

 

11.           Notices.  All notices, demands, or other communications
to be given or delivered under or by reason of the provisions of this Agreement
shall be in writing and shall be deemed to have been given or made when (i) delivered
personally to the recipient, (ii) telecopied to the recipient (with hard
copy sent to the recipient by reputable overnight courier service (charges
prepaid) that same day) if telecopied before 5:00 p.m. Chicago, Illinois
time on a business day, and otherwise on the next business day, (iii) one
business day after being sent to the recipient by reputable overnight courier
service (charges prepaid) or (iv) received via electronic mail by the
recipient (with hard copy sent to the recipient by reputable overnight courier
service (charges prepaid) that same day) if received via electronic mail before
5:00 p.m. Chicago, Illinois time on a business day, and otherwise on the
next business day after such receipt. 
Such notices, demands, and other communications shall be sent to the
address for such recipient indicated below:

 

 

	
  If to the Company:

  	
   

  	
  Nuveen Investments, Inc.

  
	
   

  	
   

  	
  333 W. Wacker Drive

  
	
   

  	
   

  	
  Chicago, IL 60606

  

 

4

 

	
   

  	
   

  	
  Facsimile: (312) 917-7952

  
	
   

  	
   

  	
  Attention: John L. MacCarthy, Esq

  
	
   

  	
   

  	
   

  
	
  If to the Advisors:

  	
   

  	
  Madison Dearborn Partners V-B, L.P.

  
	
   

  	
   

  	
  Three First National Plaza

  
	
   

  	
   

  	
  38th Floor

  
	
   

  	
   

  	
  Chicago, Illinois 60602

  
	
   

  	
   

  	
  Facsimile: (312) 895-1056

  
	
   

  	
   

  	
  Telephone: (312) 895-1000

  
	
   

  	
   

  	
  Electronic Mail: mtresnowski@MDCP.com

  
	
   

  	
   

  	
  Attention: General Counsel

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  with copies to (which shall not constitute notice):

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Kirkland & Ellis LLP

  
	
   

  	
   

  	
  200 East Randolph Drive

  
	
   

  	
   

  	
  Chicago, IL 60601

  
	
   

  	
   

  	
  Facsimile: (312) 861-2200

  
	
   

  	
   

  	
  Telephone: (312) 861-2000

  
	
   

  	
   

  	
  Electronic Mail:

  	
  rporter@kirkland.com

  
	
   

  	
   

  	
   

  	
  rhayward@kirkland.com

  
	
   

  	
   

  	
  Attention: 

  	
  Richard W. Porter, P.C.

  
	
   

  	
   

  	
   

  	
  Robert M. Hayward, Esq.

  
					

 

or to
such other address or to the attention of such other person as the recipient
party has specified by prior written notice to the sending party.

 

12.           Severability.  Whenever possible, each provision of this
Agreement will be interpreted in such manner as to be effective and valid under
applicable law, but if any provision of this Agreement is held to be invalid,
illegal, or unenforceable in any respect under any applicable law or rule in
any jurisdiction, such invalidity, illegality, or unenforceability will not
affect any other provision or the effectiveness or validity of any provision in
any other jurisdiction, and this Agreement will be reformed, construed, and
enforced in such jurisdiction as if such invalid, illegal, or unenforceable
provision had never been contained herein.

 

13.           No
Waiver.  The failure by any party to
exercise any right, remedy or elections herein contained or permitted by law
shall not constitute or be construed as a waiver or relinquishment for the
future exercise of such right, remedy or election, but the same shall continue
and remain in full force and effect.  All
rights and remedies that any party may have at law, in equity or otherwise upon
breach of any term or condition of this Agreement, shall be distinct, separate
and cumulative rights and remedies and no one of them, whether exercised or
not, shall be deemed to be in exclusion of any other right or remedy.

 

14.           Amendment.  The provisions of this Agreement may be
amended or modified only with the prior written consent of the Company and
MDP.  No other Advisor’s consent is 

 

5

 

required to amend or modify this Agreement, except that the consent of
each Advisor is required to the extent that an amendment imposes any additional
obligation or liability on the Advisor.

 

15.           Entire
Agreement.  This Agreement contains
the entire agreement between the parties hereto with respect to the matters
herein contained and any agreement hereafter made shall be ineffective to
effect any change or modification, in whole or in party, unless such agreement
is in writing and signed by the party against whom enforcement of the change or
modification is sought.

 

16.           Applicable
Law.  This Agreement shall be
governed by, and construed in accordance with, the laws of the State of New
York, without giving effect to any choice of law or conflict of law rules or
provisions (whether of the State of New York or any other jurisdiction) that
would cause the application of the laws of any jurisdiction other than the
State of New York.

 

17.           MUTUAL
WAIVER OF JURY TRIAL.  BECAUSE
DISPUTES ARISING IN CONNECTION WITH COMPLEX TRANSACTIONS ARE MOST QUICKLY AND
ECONOMICALLY RESOLVED BY AN EXPERIENCED AND EXPERT PERSON AND THE PARTIES WISH
APPLICABLE STATE AND FEDERAL LAWS TO APPLY (RATHER THAN ARBITRATION RULES), THE
PARTIES DESIRE THAT THEIR DISPUTES BE RESOLVED BY A JUDGE APPLYING SUCH
APPLICABLE LAWS.  THEREFORE, TO ACHIEVE
THE BEST COMBINATION OF THE BENEFITS OF THE JUDICIAL SYSTEM AND OF ARBITRATION,
EACH PARTY TO THIS AGREEMENT (INCLUDING THE COMPANY) HEREBY WAIVES ALL RIGHTS
TO TRIAL BY JURY IN ANY ACTION, SUIT, OR PROCEEDING BROUGHT TO RESOLVE ANY
DISPUTE BETWEEN OR AMONG ANY OF THE PARTIES HERETO, WHETHER ARISING IN
CONTRACT, TORT, OR OTHERWISE, ARISING OUT OF, CONNECTED WITH, RELATED OR
INCIDENTAL TO THIS AGREEMENT, THE TRANSACTIONS CONTEMPLATED HEREBY AND/OR THE
RELATIONSHIPS ESTABLISHED AMONG THE PARTIES HEREUNDER.

 

18.           Successors.  This Agreement and all the obligations and
benefits hereunder shall inure to the successors and permitted assigns of the
parties.

 

19.           Counterparts.  This Agreement may be executed in multiple
counterparts with the same effect as if all signing parties had signed the same
document.  All counterparts shall be
construed together and constitute the same instrument.

 

20.           Confidentiality.   The Company may not disclose the terms of
this Agreement except as may be required by applicable law or the rules of
any exchange on which the Company’s or its affiliates’ securities are traded.

 

*       *       *       *

 

6

 

IN WITNESS WHEREOF, the parties hereto have caused
this Services Agreement to be executed and delivered as of the date first above
written.

 

 

	
   

  	
  MADISON
  DEARBORN PARTNERS V-B, L.P.

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  Madison Dearborn
  Partners V-B, L.P.

  
	
   

  	
  Its:

  	
  General Partner

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  Madison Dearborn
  Partners, LLC

  
	
   

  	
  Its:

  	
  General Partner

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Timothy M. Hurd

  
	
   

  	
  Name:

  	
  Timothy M. Hurd

  
	
   

  	
  Title:

  	
  Managing Director

  
				

 

Signature Page to Services
Agreement

 

 

	
   

  	
  MLGPE
  U.S. STRATEGIES LLC

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Michael S. Rubinoff

  
	
   

  	
  Name:

  	
  Michael S. Rubinoff

  
	
   

  	
  Title:

  	
  Managing Director

  

 

Signature Page to Services
Agreement

 

 

	
   

  	
  DLJ
  MERCHANT BANKING, INC.

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Kenneth Lohsen

  
	
   

  	
  Name:

  	
  Kenneth Lohsen

  
	
   

  	
  Title:

  	
  Vice President

  

 

Signature Page to Services
Agreement

 

 

	
   

  	
  DB
  INVESTMENT PARTNERS, INC.

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Michael Thomas Iben

  
	
   

  	
  Name:

  	
  Michael Thomas Iben

  
	
   

  	
  Title:

  	
  Director

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Joseph J. Rice

  
	
   

  	
  Name:

  	
  Joseph J. Rice

  
	
   

  	
  Title:

  	
  Director

  

 

Signature Page to Services
Agreement

 

 

	
   

  	
  NUVEEN
  INVESTMENTS, INC.

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Larry W. Martin

  
	
   

  	
  Name:

  	
  Larry W. Martin

  
	
   

  	
  Title:

  	
  Vice President And
  Assistant Secretary

  

 

Signature Page to Services
Agreement

 

 

	
   

  	
  BAMCO,
  INC.

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Linda S. Martinson

  
	
   

  	
  Name:

  	
  Linda S. Martinson

  
	
   

  	
  Title:

  	
  President & COO

  

 

Signature Page to Services
Agreement

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