Purchases and Sales Made in Q3 2021 in Nuveen Dow 30sm Dynamic Overwrite Fund (DIAX)
This table provides information about the institutional ownership of Nuveen Dow 30sm Dynamic Overwrite Fund (DIAX) during Q3 2021. The information is specifically focused on institutions that hold shares of Nuveen Dow 30sm Dynamic Overwrite Fund.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Oct 19, 2021
Q3 2021
|
Pinnacle Associates LTD
|
SELL
|
- |
-1.35K- 6.16% |
$22.6K - $23.9K
|
20.6K
$307K
|
|
|
Oct 22, 2021
Q3 2021
|
Spire Wealth Management
|
SELL
|
- |
-1.43K- 18.18% |
$23.9K - $25.2K
|
6.41K
$95.7K
|
|
|
Nov 10, 2021
Q3 2021
|
Formidable Asset Management, LLC
Cincinnati, OH |
SELL
|
- |
-1.51K- 1.73% |
$25.3K - $26.8K
|
85.8K
$1.28M
|
|
|
Oct 12, 2021
Q3 2021
|
Tsfg, LLC
|
SELL
|
- |
-1.73KClosed |
$28.9K - $30.5K
|
0
$0
|
|
|
Oct 12, 2021
Q3 2021
|
Pinnacle Bancorp, Inc.
|
SELL
|
- |
-2.18KClosed |
$36.5K - $38.6K
|
0
$0
|
|
|
Oct 19, 2021
Q3 2021
|
Arkadios Wealth Advisors
|
SELL
|
- |
-2.25K- 74.02% |
$37.7K - $39.9K
|
790
$11.8K
|
|
|
Nov 15, 2021
Q3 2021
|
Covington Capital Management
|
SELL
|
- |
-2.4K- 14.16% |
$40.2K - $42.5K
|
14.6K
$217K
|
|
|
Nov 15, 2021
Q3 2021
|
Lpl Financial LLC
Fort Mill, SC |
SELL
|
- |
-3.04K- 4.83% |
$50.8K - $53.7K
|
59.9K
$893K
|
|
|
Nov 05, 2021
Q3 2021
|
Advisory Services Network, LLC
|
SELL
|
- |
-4.3KClosed |
$72K - $76.1K
|
0
$0
|
|
|
Oct 13, 2021
Q3 2021
|
Fny Investment Advisers, LLC
|
SELL
|
- |
-5KClosed |
$83.8K - $88.6K
|
0
$0
|
|
|
Nov 03, 2021
Q3 2021
|
Princeton Global Asset Management LLC
|
SELL
|
- |
-5.27K- 98.32% |
$88.2K - $93.2K
|
90
$1.34K
|
|
|
Nov 16, 2021
Q3 2021
|
Parisi Gray Wealth Management
|
SELL
|
- |
-6KClosed |
$101K - $106K
|
0
$0
|
|
|
Nov 10, 2021
Q3 2021
|
Oxbow Advisors, LLC
Corpus Christi, TX |
SELL
|
- |
-6.05K- 1.51% |
$101K - $107K
|
394K
$5.88M
|
|
|
Nov 12, 2021
Q3 2021
|
Bank Of Montreal
Toronto, A6 |
SELL
|
- |
-8.7K- 21.85% |
$146K - $154K
|
31.1K
$464K
|
|
|
Nov 08, 2021
Q3 2021
|
Texas Yale Capital Corp.
St. Petersburg, FL |
SELL
|
- |
-10.4KClosed |
$174K - $184K
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Walleye Trading LLC
Plymouth, MN |
SELL
|
- |
-11.3KClosed |
$190K - $201K
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Aqr Arbitrage LLC
Greenwich, CT |
SELL
|
- |
-13.1KClosed |
$220K - $232K
|
0
$0
|
|
|
Nov 12, 2021
Q3 2021
|
Baird Financial Group, Inc.
Milwaukee, WI |
SELL
|
- |
-14.1KClosed |
$236K - $250K
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Bank Of America Corp
Charlotte, NC |
SELL
|
- |
-19.1K- 6.6% |
$320K - $338K
|
270K
$4.03M
|
|
|
Nov 15, 2021
Q3 2021
|
Walleye Capital LLC
Plymouth, MN |
SELL
|
- |
-21.2K- 46.78% |
$355K - $376K
|
24.1K
$360K
|
|
|
Nov 15, 2021
Q3 2021
|
Mirae Asset Global Investments Co., Ltd.
|
SELL
|
- |
-38.4K- 66.51% |
$643K - $680K
|
19.3K
$288K
|
|
|
Nov 02, 2021
Q3 2021
|
Raymond James & Associates
St Petersburg, FL |
SELL
|
- |
-39.7K- 28.98% |
$665K - $703K
|
97.3K
$1.45M
|
|
|
Nov 15, 2021
Q3 2021
|
Ionic Capital Management LLC
New York, NY |
SELL
|
- |
-40.6KClosed |
$681K - $720K
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
1607 Capital Partners, LLC
Richmond, VA |
SELL
|
- |
-40.8K- 12.01% |
$683K - $722K
|
299K
$4.46M
|
|
|
Oct 26, 2021
Q3 2021
|
Shulman De Meo Asset Management LLC
|
SELL
|
- |
-67.2KClosed |
$1.13M - $1.19M
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Rivernorth Capital Management, LLC
West Palm Beach, FL |
SELL
|
- |
-472K- 93.88% |
$7.91M - $8.36M
|
30.8K
$459K
|