Welcome to our dedicated page for Nuveen Dow 30sm Dynamic Overwrite Fund SEC filings (Ticker: DIAX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Nuveen Dow 30sm Dynamic Overwrite Fund (DIAX) received an initial Form 3 filing from reporting person Parth Doshi. Doshi is identified with the relationship code "VP" but is not flagged as a director, officer, or ten percent owner. The filing reports no transactions and no current holdings in DIAX securities.
New York Stock Exchange notified removal of Common Shares of Beneficial Interest of Nuveen Dow 30 Dynamic Overwrite Fund from listing and registration under Section 12(b) of the Exchange Act.
The filing cites compliance with 17 CFR 240.12d2-2 and states the exchange and issuer followed exchange rules for voluntary withdrawal.
DIAX submitted an annual Form N-CEN that records fund governance, service providers and operational details. The report includes securities lending data: monthly average value of portfolio securities on loan was 559,245.29 and net income from securities lending was 232. The filing lists template fields for registrant identification, directors, custodians, transfer agents, advisers and pricing services for completion.
Nuveen Dow 30SM Dynamic Overwrite Fund (DIAX) files its certified shareholder report for the period ended December 31, 2025, disclosing a Board-approved merger plan that would combine BXMX and DIAX into SPXX, subject to shareholder approval and other closing conditions.
The report also discloses an effective May 30, 2025 addition of Nazar Suschko as a portfolio manager, the Funds’ managed distribution policy and estimated per-share distributions (DIAX regular distribution $0.3010; fiscal YTD $1.2040 as of November 30, 2025), SEC‑authorized equity shelf programs for SPXX/QQQX/JCE, and that no share repurchases occurred during the fiscal period.
Nuveen Dow 30sm Dynamic Overwrite Fund filed an initial insider ownership report for Joseph Castro, who serves as EVP, Chief Risk & Compliance. This Form 3 establishes his status as an officer subject to insider reporting rules. The filing does not report any buy or sell transactions.
First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation jointly report beneficial ownership of 1,714,958 common shares of Nuveen Dow 30 Dynamic Overwrite Fund, representing 4.72% of the class as of 12/31/2025.
The firms report no sole or shared voting power over these shares, but shared dispositive power over 1,714,958 shares. The position is largely held in unit investment trusts sponsored by First Trust Portfolios L.P., with no individual trust holding more than 3% of any registered investment company’s shares.
The reporting persons state the securities are held in the ordinary course of business and not for the purpose of changing or influencing control of the fund, and each disclaims beneficial ownership of the shares identified in the filing.
Nuveen Dow 30sm Dynamic Overwrite Fund (DIAX) reported an initial ownership filing on Form 3 for an officer serving as VP and Treasurer. The filing states the reporting person beneficially owns no securities of DIAX as of the event date.
The event date is 09/10/2025, and the form was filed by one reporting person. This is a routine disclosure establishing the officer’s baseline ownership position as none.