NDMO portfolio manager reports no holdings
A portfolio manager associated with NDMO filed an initial Form 3 showing no reported holdings or transactions in the fund’s securities.
Rhea-AI Filing Summary
Nuveen Dynamic Municipal Opportunities Fund (NDMO) has an initial Form 3 on file for reporting person Kristen Dejong, identified as a Portfolio Manager. The Form 3 does not report any equity or derivative holdings in NDMO and lists no transactions in the issuer’s securities.
Positive
- None.
Negative
- None.
Key Terms
Form 3, beneficial ownership, Portfolio Manager
3 terms
Form 3 regulatory
"has an initial Form 3 on file for reporting person"
Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.
beneficial ownership regulatory
"initial statement of beneficial ownership by a reporting person"
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
Portfolio Manager financial
"reporting person Kristen Dejong, identified as a Portfolio Manager"
A portfolio manager is the professional who picks and oversees a collection of investments—such as stocks, bonds, and cash—on behalf of individuals or institutions. They make decisions about which assets to buy, hold or sell and how much risk to take, like a ship captain steering through changing weather; their choices shape an investor’s potential returns, losses and the steadiness of the investment experience.
FAQ
What does the Form 3 for NDMO report about Kristen Dejong’s holdings?
The Form 3 for Nuveen Dynamic Municipal Opportunities Fund (NDMO) reports that Portfolio Manager Kristen Dejong has no reported holdings of the issuer’s equity or derivative securities and lists no transactions in those securities.
Does the NDMO Form 3 show any insider purchases or sales?
No. The Form 3 for NDMO reports no buy or sell transactions by the reporting person. All transaction-related counts, including buys, sells, exercises, gifts, and restructurings, are reported as zero.
What is the role of the reporting person in the NDMO Form 3?
The reporting person, Kristen Dejong, is identified as a Portfolio Manager in relation to Nuveen Dynamic Municipal Opportunities Fund (NDMO). The Form 3 does not indicate that this person is a director, officer, or 10% owner of the issuer.
Are there any derivative securities reported in the NDMO Form 3?
No. The Form 3 for NDMO shows no derivative positions. The derivative summary is empty, and the derivative transaction count and exercise-related share counts are all zero.
Does the NDMO Form 3 indicate use of a Rule 10b5-1 trading plan?
No. The Form 3 data for NDMO does not indicate that transactions were made under a Rule 10b5-1 trading plan, and there are no reported transactions associated with such a plan.
AI-generated analysis. How Rhea-AI works. Not financial advice.
