Executive Joseph Castro reported as insider at NUVEEN NEW YORK QUALITY MUNICIPAL (NAN)
Rhea-AI Filing Summary
NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND filed a Form 3 for Joseph Castro, who serves as EVP, Chief Risk & Compliance. This filing is an initial statement of beneficial ownership for this officer and does not report any buy, sell, acquire, or dispose transactions in the fund’s shares.
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FAQ
What does the NAN Form 3 filing for Joseph Castro report?
The Form 3 for NAN reports Joseph Castro’s status as an officer and initial beneficial owner. It lists him as EVP, Chief Risk & Compliance and shows no buy, sell, acquire, or dispose transactions in NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND shares.
What is Joseph Castro’s role at NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND (NAN)?
Joseph Castro is identified as an officer of NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND with the title EVP, Chief Risk & Compliance. This means he holds an executive position overseeing risk and compliance functions for the fund, according to the filing details.
Why is a Form 3 filed for NAN and Joseph Castro?
A Form 3 is filed to disclose an insider’s initial beneficial ownership status in NAN. For Joseph Castro, it establishes his position as EVP, Chief Risk & Compliance and confirms that, at this point, there are no reported transactions in the fund’s securities.
Does the NAN Form 3 show Joseph Castro as a 10% owner?
No, the Form 3 indicates Joseph Castro is not a 10% owner of NAN. The data flags him as an officer but specifically marks the ten percent owner field as zero, meaning he is not reported as holding ten percent or more of the fund.
Are there any footnote-based ownership disclaimers in this NAN Form 3?
The Form 3 includes a footnotes section, but it contains no substantive text beyond an empty entry. There are no explicit statements about voting or investment authority, indirect entities, or beneficial ownership disclaimers attached to Joseph Castro’s reported status.