1933 Act File No.
1940 Act File No. 811-08103
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-6
For Registration under the Securities Act of 1933 of Securities of
Unit Investment Trusts Registered on Form N-8B-2.
A. Exact Name of Trust: NUVEEN UNIT TRUST, SERIES 96
B. Name of Depositor: JOHN NUVEEN & CO. INCORPORATED
C. Complete address of Depositor's principal executive offices:
333 West Wacker Drive
Chicago, Illinois 60606
D. Name and complete address of agents for service:
JOHN NUVEEN & CO. INCORPORATED
Attention: Alan G. Berkshire
333 West Wacker Drive
Chicago, Illinois 60606
CHAPMAN AND CUTLER
Attention: Eric F. Fess
111 West Monroe Street
Chicago, Illinois 60603
It is proposed that this filing will become effective (check appropriate box)
[ ] immediately upon filing pursuant to paragraph (b)
[ ] on (date) pursuant to paragraph (b)
[ ] 60 days after filing pursuant to paragraph (a)
[ ] on (date) pursuant to paragraph (a) of Rule (485 or 486)
[ ] This Post-effective amendment designates a new effective date
for a previously filed Post-effective amendment.
E. Title of securities being registered: Units of fractional undivided
beneficial interest.
F. Approximate date of proposed public offering: As soon as practicable after
the effective date of the Registration Statement
[ ] Check box if it is proposed that this filing will become
effective on (date) at (time) pursuant to Rule 487.
The registrant hereby amends this Registration Statement on such date
or dates as may be necessary to delay its effective date until the registrant
shall file a further amendment which specifically states that this Registration
Statement shall thereafter become effective in accordance with Section 8(a) of
the Securities Act of 1933 or until the Registration Statement shall become
effective on such date as the Commission, acting pursuant to said Section 8(a),
may determine.
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Preliminary Prospectus Dated June 13, 2000
Subject to Completion
Nuveen Unit Trusts - Series 96
The final Prospectus for a Prior Series is hereby used as part of a
preliminary Prospectus for the above-stated Series. Information with respect to
the actual trust including pricing, the number of units, dates and summary
information regarding the characteristics of securities to be deposited in this
Series is not now available. Accordingly, the information contained herein
should be considered as being included for informational purposes only
The information in this prospectus is not complete and may be changed.
We may not sell these securities unit the registration statement filed with the
Securities and Exchange Commission is effective. This prospectus is not an offer
to sell these securities and is not soliciting an offer to buy these securities
in any state where the offer or sale is not permitted.
(Incorporated herein by reference is the final prospectus from Nuveen
Unit Trusts, Series 39 (Registration No. 333-75111) as filed on June 23, 1999
which shall be used as a preliminary prospectus for Nuveen Unit Trusts, Series
96.)
Series 96.Sticker#1
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CONTENTS OF REGISTRATION STATEMENT
A. Bonding Arrangements of Depositor:
The Depositor has obtained the following Stockbrokers Blanket Bonds for
its officers, directors and employees:
INSURER/POLICY NO. AMOUNT
Reliance Insurance Company $26,000,000
B 262 6895
B. This Registration Statement comprises the following papers and documents:
The facing sheet
The Prospectus
The signatures
Consents of Counsel
The following exhibits:
1.1(a) Copy of Standard Terms and Conditions of Trust for Nuveen Unit Trust,
Series 4 and certain subsequent series, effective May 29, 1997 between John
Nuveen & Co. Incorporated, Depositor and The Chase Manhattan Bank, Trustee
and Evaluator (incorporated by reference to Amendment No. 1 to Form S-6
(File No. 333-25225) filed on behalf of Nuveen Unit Trust, Series 4).
1.1(b) Trust Indenture and Agreement (to be supplied by amendment).
1.2 Copy of Certificate of Incorporation, as amended, of John Nuveen & Co.
Incorporated, Depositor. (Incorporated by reference to Form N-8B-2 (File
No. 811-1547) filed on behalf of Nuveen Tax-Free Unit Trust, Series 16).
1.3 Copy of amendment of Certificate of Incorporation changing name of
Depositor to John Nuveen & Co. Incorporated. (Incorporated by reference to
Form N-8B-2 (File No. 811-2198) on behalf of Nuveen Tax-Free Unit Trust,
Series 37).
2.1 Copy of Certificate of Ownership (included in Exhibit 1.1(a) on pages 2 to
8, inclusive, and incorporated herein by reference).
2.2 Copy of Code of Ethics of the Trust(s) and the Principal Underwriter
(incorporated by reference to Amendment No. 3 to Form S-6 (file No.
333-96279) filed on March 6, 2000 on behalf of Nuveen Unit Trusts, Series
82).
3.1 Opinion of counsel as to legality of securities being registered (to be
supplied by amendment).
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3.2 Opinion of counsel as to Federal income tax status of securities being
registered (to be supplied by amendment).
3.3 Opinion of counsel as to New York income tax status of Securities being
registered (to be supplied by amendment).
3.4 Opinion of counsel as to the Trustee and the Trust(s) (to be supplied by
amendment).
4.2 Consent of The Chase Manhattan Bank (to be supplied by amendment).
4.4 Consent of Arthur Andersen LLP (to be supplied by amendment).
6.1 List of Directors and Officers of Depositor and other related information
(incorporated by reference to Exhibit E to Form N-8B-2 (File No. 811-08103)
filed on March 20, 1997 on behalf of Nuveen Unit Trusts, Series 1 and
subsequent Series).
C. EXPLANATORY NOTE
The Registration Statement may contain multiple separate
prospectuses. Each Prospectus will relate to an individual unit
investment trust and will consist of a Part A, a Part B and an
Information Supplement.
D. UNDERTAKINGS
1. The Information Supplement to the Trust will not include third
party financial information.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the
Registrant, Nuveen Unit Trust, Series 96 has duly caused this Registration
Statement to be signed on its behalf by the undersigned thereunto duly
authorized in the City of Chicago and State of Illinois on the 13th day of June,
2000.
NUVEEN UNIT TRUST, SERIES 96
(Registrant)
By JOHN NUVEEN & CO. INCORPORATED
(Depositor)
By /s/ Benjamin T. Fulton
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Managing Director and Vice President
Attest /s/ Nicholas Dalmaso
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Assistant Secretary
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in the
capacities and on the date indicated:
<TABLE>
<CAPTION>
SIGNATURE TITLE* DATE
<S> <C> <C>
Timothy R. Schwertfeger Chairman, Board of Directors )
Chief Executive Officer )
and Director )
)
John P. Amboian President and Director ) /s/ Jessica Droeger
-----------------------
)
Margaret E. Wilson Vice President and Controller ) June 13, 2000
</TABLE>
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* The titles of the persons named herein represent their capacity in and
relationship to John Nuveen & Co. Incorporated, the Depositor.
** The powers of attorney for Messrs. Amboian and Schwertfeger and for Ms.
Wilson were filed on May 3, 2000 as Exhibit 6.2 to Nuveen Unit Trusts,
Series 94 (File No. 333-35488).
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CONSENT OF INDEPENDENT PUBLIC ACCOUNTANTS
The consent of Arthur Andersen LLP to the use of its report and to the
reference to such firm in the Prospectus included in this Registration Statement
will be filed as Exhibit 4.4 to the Registration Statement.
CONSENT OF CHAPMAN AND CUTLER
The consent of Chapman and Cutler to the use of its name in the
Prospectus included in this Registration Statement will be contained in its
opinions to be filed as Exhibits 3.1 and 3.2 to the Registration Statement.
CONSENT OF THE CHASE MANHATTAN BANK
The consent of The Chase Manhattan Bank to the use of its name in the
Prospectus included in this Registration Statement will be filed as Exhibit 4.2
to the Registration Statement.
CONSENT OF CARTER, LEDYARD & MILBURN
The consent of Carter, Ledyard & Milburn to the use of its name in the
Prospectus included in this Registration Statement will be filed as Exhibit 3.3
to the Registration Statement.
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