Nuveen California muni fund lists VP insider
NUVEEN CALIFORNIA AMT-FREE QUALITY MUNICIPAL INCOME FUND (NKX) filed an initial statement of beneficial ownership (Form 3) for reporting person Parth Doshi, identified in the filing as "VP" and not marked as a director, officer, or ten percent owner.
Rhea-AI Filing Summary
NUVEEN CALIFORNIA AMT-FREE QUALITY MUNICIPAL INCOME FUND (NKX) filed an initial statement of beneficial ownership (Form 3) for reporting person Parth Doshi, identified in the filing as "VP" and not marked as a director, officer, or ten percent owner. The filing lists no reportable transactions or holdings at this time.
Positive
- None.
Negative
- None.
Key Figures
Reported buy transactions: 0 transactions
Reported sell transactions: 0 transactions
Holding entries reported: 0 entries
3 metrics
Reported buy transactions
0 transactions
BuyCount in the transaction summary for this Form 3
Reported sell transactions
0 transactions
SellCount in the transaction summary for this Form 3
Holding entries reported
0 entries
HoldingEntries field in the transaction summary
Key Terms
Form 3, ten percent owner, derivative transactions
3 terms
Form 3 regulatory
"filed an initial statement of beneficial ownership (Form 3) 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.
ten percent owner regulatory
"not marked as a director, officer, or ten percent owner"
derivative transactions financial
"no buys, sells, acquisitions, dispositions, or derivative transactions"
Derivative transactions are contracts whose value depends on the price or performance of something else—like stocks, bonds, currencies, interest rates or commodities. Think of them as insurance or bets about a future price: investors use them to protect against losses, lock in prices, or try to amplify returns, but they can also magnify losses, create cash demands and expose a firm to the risk that the other party won’t meet its obligation, so they can materially affect a company’s financial stability and volatility.
FAQ
What does the Form 3 filing for NKX disclose about Parth Doshi?
The Form 3 identifies Parth Doshi as a reporting person associated with NUVEEN CALIFORNIA AMT-FREE QUALITY MUNICIPAL INCOME FUND (NKX), with the role noted as "VP" and not flagged as a director, officer, or ten percent owner. It does not report any specific holdings or transactions.
Are any transactions reported in the NKX Form 3 for Parth Doshi?
No. The Form 3 shows 0 reported transactions for Parth Doshi. The transaction summary indicates no buys, sells, acquisitions, dispositions, or derivative transactions and no holding entries.
Does the NKX Form 3 indicate that Parth Doshi is a ten percent owner?
No. The reporting fields in the Form 3 do not mark Parth Doshi as a ten percent owner. He is instead described under the "other" category with the designation "VP."
What role is listed for Parth Doshi in the NKX Form 3?
The Form 3 lists Parth Doshi with the "other" relationship description of "VP". He is not flagged in the filing as a director or officer in the specific checkboxes, even though this separate description is provided.
Does the NKX Form 3 show any derivative positions for Parth Doshi?
No. The derivative summary and transaction summary both indicate 0 derivative transactions and no remaining derivative holdings reported for this Form 3 filing.
AI-generated analysis. How Rhea-AI works. Not financial advice.
