Nuveen Missouri Fund names VP as reporting insider
NUVEEN MISSOURI QUALITY MUNICIPAL INCOME FUND (NOM) had an initial insider ownership report filed for Parth Doshi, identified as a VP.
Rhea-AI Filing Summary
NUVEEN MISSOURI QUALITY MUNICIPAL INCOME FUND (NOM) had an initial insider ownership report filed for Parth Doshi, identified as a VP. This Form 3 establishes Doshi as a reporting person for the fund but lists no equity transactions or holdings and contains no Rule 10b5-1 plan disclosure.
Positive
- None.
Negative
- None.
Key Terms
Form 3, reporting person, ten percent owner
3 terms
Form 3 regulatory
"This Form 3 establishes Doshi as a 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.
reporting person regulatory
"establishes Doshi as a reporting person for the fund"
ten percent owner regulatory
"is not a director and not a ten percent owner"
FAQ
What does this Form 3 filing mean for NOM?
The Form 3 shows that Parth Doshi, listed as a VP, has become a reporting person for NOM. The filing reports no current holdings or transactions in the fund’s securities.
Is Parth Doshi a director or 10% owner of NOM?
No. The Form 3 indicates Parth Doshi is not a director and not a ten percent owner of NOM. He is identified instead with the role description “VP.”
Does this NOM Form 3 mention a Rule 10b5-1 trading plan?
No. The Form 3 data for NOM shows no Rule 10b5-1 checkbox selection and no footnote disclosure indicating that any trading plan applies.
Are there any derivative securities reported for NOM in this Form 3?
No. The Form 3 derivative summary for NOM is empty, indicating no derivative positions such as options or warrants are reported for Parth Doshi.
AI-generated analysis. How Rhea-AI works. Not financial advice.