Nuveen NIM portfolio manager reports no holdings
A portfolio manager filed an initial Form 3 for NUVEEN SELECT MATURITIES MUNICIPAL FUND without disclosing any holdings or trades.
Rhea-AI Filing Summary
NUVEEN SELECT MATURITIES MUNICIPAL FUND (NIM) has a new Form 3 on file for Margot Kleinman, who is identified as a Portfolio Manager. The filing is an initial statement of beneficial ownership and lists no reportable transactions or holdings in the fund’s securities.
Positive
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Negative
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Key Terms
Form 3, beneficial ownership, Portfolio Manager
3 terms
Form 3 regulatory
"This Form 3 is an initial statement of beneficial ownership"
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 financial
"an initial statement of beneficial ownership and lists no reportable"
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
"Margot Kleinman, who is 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 this Form 3 filing mean for NIM?
This Form 3 is an initial statement of beneficial ownership by Portfolio Manager Margot Kleinman for NUVEEN SELECT MATURITIES MUNICIPAL FUND. It reports that there are no transactions or holdings in the fund’s securities currently disclosed for this reporting person.
Were any NIM trades reported in this Form 3?
No trades are reported. The insider filing data show no buy, sell, acquire, or dispose transactions and a net buy/sell direction characterized as neutral, indicating no reported trading activity in NIM securities by the reporting person.
Is there a Rule 10b5-1 trading plan associated with this NIM Form 3?
The Form 3 records the Rule 10b5-1 plan field as null, which reflects that the form predates or does not use the new checkbox. The filing does not otherwise state that trades were made under a Rule 10b5-1 plan.
What role does the reporting person have in relation to NIM?
The reporting person, Margot Kleinman, is identified as a Portfolio Manager in relation to NUVEEN SELECT MATURITIES MUNICIPAL FUND. She is not listed as a director, officer, or ten percent owner in this filing.
AI-generated analysis. How Rhea-AI works. Not financial advice.
