NRK (NRK) Form 3 lists EVP Risk & Compliance as reporting insider
Rhea-AI Filing Summary
NUVEEN NEW YORK AMT-FREE QUALITY MUNICIPAL INCOME FUND reported that Joseph Castro, its EVP, Chief Risk & Compliance, became a reporting person on Form 3. The filing lists his officer role but does not report any share transactions or holdings, serving as an initial ownership disclosure record.
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FAQ
What does the NRK Form 3 filing for Joseph Castro report?
The Form 3 reports that Joseph Castro is a reporting person for NRK as EVP, Chief Risk & Compliance. It is an initial ownership disclosure and does not list any share transactions or balances.
What is Joseph Castro’s role at NUVEEN NEW YORK AMT-FREE QUALITY MUNICIPAL INCOME FUND (NRK)?
Joseph Castro is identified as an officer of NRK with the title EVP, Chief Risk & Compliance. He is not listed as a director or ten percent owner in this Form 3 filing.
Why is there a Form 3 filed for NRK if no transactions occurred?
Form 3 serves as an initial statement of beneficial ownership for insiders. For NRK, it records Joseph Castro’s status as an officer and reporting person, even though no share transactions are reported.
Does the NRK Form 3 indicate Joseph Castro is a 10% owner?
No, the Form 3 explicitly indicates that Joseph Castro is not a ten percent owner of NRK. He is reported solely in his capacity as an officer with a specified executive title.