Nuveen NMS portfolio manager reports no holdings
A portfolio manager filed an initial Form 3 for Nuveen Minnesota Quality Municipal Income Fund without reporting any holdings or transactions.
Rhea-AI Filing Summary
Nuveen Minnesota Quality Municipal Income Fund (NMS) had an initial insider ownership report filed by Margot Kleinman, identified as a Portfolio Manager. The Form 3 does not list any transactions or current holdings of the fund’s securities for this reporting person.
Positive
- None.
Negative
- None.
Key Figures
Reported transactions: 0 transactions
Reported shares bought: 0 shares
Reported shares sold: 0 shares
3 metrics
Reported transactions
0 transactions
Initial Form 3 for Portfolio Manager Margot Kleinman
Reported shares bought
0 shares
Buy transactions reported in the Form 3
Reported shares sold
0 shares
Sell transactions reported in the Form 3
Key Terms
Form 3, beneficial ownership, Portfolio Manager
3 terms
Form 3 regulatory
"An initial insider ownership report was filed on Form 3"
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 was filed"
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
"The reporting person 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 the Form 3 filing for NMS by Margot Kleinman report?
The Form 3 for NMS reports that Portfolio Manager Margot Kleinman filed an initial statement of beneficial ownership but does not list any transactions or holdings of Nuveen Minnesota Quality Municipal Income Fund securities.
What is Margot Kleinman’s role in relation to NMS?
The filing identifies Margot Kleinman as a Portfolio Manager associated with Nuveen Minnesota Quality Municipal Income Fund (NMS). She is not listed as a director, officer, or 10% owner in the form.
Are there any buy or sell transactions reported in this NMS Form 3?
No. The Form 3 for NMS shows no reported buy or sell transactions, and the transaction section is empty for Portfolio Manager Margot Kleinman.
Is there any Rule 10b5-1 trading plan disclosure in this NMS Form 3?
No. The data for the Rule 10b5-1 plan checkbox is null, and there are no transactions or footnotes describing any trading plan in this Form 3 for NMS.
AI-generated analysis. How Rhea-AI works. Not financial advice.
