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| CIK | 1598085 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Diversified Real Asset Income Fund
SEC Filings (Chronological Order)
이 페이지는 다른 곳에서 제공하는 소유권 보고서를 제외한 SEC 보고서의 전체 리스트를 시간 순으로 정리한 것입니다.
| September 27, 2018 |
DRA / Diversified Real Asset Income Fund N-8F ORDR begin 644 filename1.pdf M)5!$1BTQ+C8-)>+CS],-"C0S(# @;V)J#3P\+TQI;F5AF4@-C$O5'EP M92]84F5F+U=;,2 R(#%=/CYS=')E86T-"FC>8F)D$&!@8F#R!A(,K4""D0U( M,!> Q"1 Q"T0\1'.0'B7=S@TP+6(-$)II!T0'0( ! $/B"-D- M"F5N9'-T'@T;V;T9C36*1-,&Q89IC,FE6(;?C^?SVSK]DQK(!^WM[=\VNY^FU:%P3/"5=^43,X*OWTZ.0E%LDY]\W?"7T(-29C*!#K%C#+EP[\]J M5^SZL"?\VI:M?EP7N1-Z^='V\!E[\OC2&%T,&& *DU7[W^\:ADW;PZDC3H M@LI[?VPW:6K85T)JP>(XAEG".L!S(0R |
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| August 31, 2018 |
DRA / Diversified Real Asset Income Fund N-8F NTC begin 644 filename1.pdf M)5!$1BTQ+C8-)>+CS],-"C$P,2 P(&]B:@T\/"],:6YE87)I>F5D(#$O3" Q M.3%LQ,#$@ M,3A=+TQE;F=T:" W,"]07!E+UA2968O5ULQ(#(@,5T^/G-T(> \B7$'$2R#Q4H6!B9'A"Y#%P, ((?XS M9OT#"# 21<)^0T*96YD8F!@8 *B* 86 M!@;.;@8>!@3@ @=>,C#L/\ @O7 7$'$P-' P-EC Q(& MDX'!^2"0Y@9K!0)&(:!8A')QQ.7<3W=G;CUDJ@!6Q\7 X*8*DF9@8/6%V 00 M8 !SQ!8+#0IE;F1S=')E86T-96YD;V)J#3$P,B P(&]B:@T\/"],86YG*/[ M $4 3@ M %4 4RDO36% |
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| August 21, 2018 |
DRA / Diversified Real Asset Income Fund N-8F/A OMB APPROVAL OMB Number: 3235-0157 Expires: August 31, 2019 Estimated average burden hours per response……………………. |
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| July 24, 2018 |
DRA / Diversified Real Asset Income Fund N-8F OMB APPROVAL OMB Number: 3235-0157 Expires: August 31, 2019 Estimated average burden hours per response……………………. |
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| January 26, 2018 |
Form N-SAR, Sub-Item 77C Submission of matters to a vote of security holders Diversified Real Asset Income Fund 811-22936 The annual meeting of shareholders was held in the offices of Nuveen on May 31, 2017; at this meeting the shareholders were asked to approve an Agreement and Plan of Reorganization and to elect Board Members. |
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| October 30, 2017 |
Certifications Exhibit 99.CERT CERTIFICATIONS I, Cedric H. Antosiewicz, certify that: 1. I have reviewed this report on Form N-Q of Diversified Real Asset Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were ma |
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| October 30, 2017 |
Diversified Real Asset Income Fund - DIVERSIFIED REAL ASSET INCOME FUND N-Q 1 d266624dnq.htm DIVERSIFIED REAL ASSET INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22936 Diversified Real Asset Income Fund (Exact name of registrant as specified in charter) 333 West Wacker Drive, Chicago, Illinois 60606 (A |
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| May 15, 2017 |
Diversified Real Asset Income Fund 144 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a |
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| April 28, 2017 |
Certifications Exhibit 99.CERT CERTIFICATIONS I, Cedric H. Antosiewicz, certify that: 1. I have reviewed this report on Form N-Q of Diversified Real Asset Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were ma |
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| April 28, 2017 |
Diversified Real Asset Income Fund - DIVERSIFIED REAL ASSET INCOME FUND N-Q 1 d357077dnq.htm DIVERSIFIED REAL ASSET INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22936 Diversified Real Asset Income Fund (Exact name of registrant as specified in charter) 333 West Wacker Drive, Chicago, Illinois 60606 (A |
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| February 10, 2017 |
DRA / Diversified Real Asset Income Fund / Relative Value Partners Group, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. ) * Diversified Real Asset Income Fund (Name of Issuer) COMMON SHARES (Title of Class of Securities) 25533B108 (CUSIP Number) (Holdings as of December 31, 2016) Check the appropriate box |
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| January 24, 2017 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Diversified Real Asset Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 25533B108 - (CUSIP Number) December 31, 2016 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| January 24, 2017 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| October 28, 2016 |
Diversified Real Asset Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22936 Diversified Real Asset Income Fund (Exact name of registrant as specified in charter) 333 West Wacker Drive, Chicago, Illinois 60606 (Address of principal executive offices) (Zip code) Kevin J. |
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| October 28, 2016 |
Certifications Exhibit 99.CERT CERTIFICATIONS I, Cedric H. Antosiewicz, certify that: 1. I have reviewed this report on Form N-Q of Diversified Real Asset Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were ma |
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| April 29, 2016 |
Exhibit 99.CERT CERTIFICATIONS I, Gifford R. Zimmerman, certify that: 1. I have reviewed this report on Form N-Q of Diversified Real Asset Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| April 29, 2016 |
Diversified Real Asset Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22936 Diversified Real Asset Income Fund (Exact name of registrant as specified in charter) 333 West Wacker Drive, Chicago, Illinois 60606 (Address of principal executive offices) (Zip code) Kevin J. |
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| February 16, 2016 |
DRA / Diversified Real Asset Income Fund / Relative Value Partners Group, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. ) * Diversified Real Asset Income Fund (Name of Issuer) COMMON SHARES (Title of Class of Securities) 25533B108 (CUSIP Number) (Holdings as of December 31, 2014) Check the appropriate box |
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| February 10, 2016 |
DRA / Diversified Real Asset Income Fund / SIT INVESTMENT ASSOCIATES INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Diversified Real Asset Income Fund (DRA) (Amendment No. 2) - (Name of Issuer) Common Stock - (Title of Class of Securities) 25533B108 - (CUSIP Number) December 31, 2015 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| December 8, 2015 |
Diversified Real Asset Income Fund SC TO-I/A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 8, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 8, 2015 |
EX-99.(A)(5)(V) Exhibit (a)(5)(v) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 [email protected] Nuveen Closed-End Fund Announces Final Results of Tender Offer CHICAGO, December 8, 2015 ? Nuveen Investments, a leading global provider of investment services to institutions as well as individual investors, today announced the final |
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| December 2, 2015 |
EX-99.A.5.IV Exhibit (a)(5)(iv) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 [email protected] Nuveen Closed-End Fund Announces Preliminary Results of Tender Offer CHICAGO, December 2, 2015 ? Nuveen Investments, a leading global provider of investment services to institutions as well as individual investors, today announced the pr |
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| December 2, 2015 |
Diversified Real Asset Income Fund SC TO-I/A SC TO-I/A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 2, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 12, 2015 |
DRA / Diversified Real Asset Income Fund / Bulldog Investors, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Diversified Real Asset Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 25533B108 (CUSIP Number) 11/10/15 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| November 2, 2015 |
EX-99.A.1.VI 7 d72032dex99a1vi.htm EX-99.(A)(1)(VI) Exhibit (a)(1)(vi) Instructions for Withdrawal of Previously Tendered Common Shares of Beneficial Interest of Diversified Real Asset Income Fund If you tendered to Diversified Real Asset Income Fund, a Massachusetts business trust (the “Fund”), in connection with the offer by the Fund to purchase for cash up to 10% of its outstanding common share |
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| November 2, 2015 |
Diversified Real Asset Income Fund Exhibit (a)(1)(ii) Diversified Real Asset Income Fund MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 ADD 5 ADD 6 C 1234567890 J N T Tax ID certification on file: TOTAL SHARES 1234567890 LETTER OF TRANSMITTAL TO TENDER SHARES OF DIVERSIFIED REAL ASSET INCOME FUND Pursuant to the Offer to Purchase dated November 2, 2015, Diversified Real Asset Income Fund (the Fund) has offered to purchase up to 10%, or 2,024,155 shares, of its Common Shares. |
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| November 2, 2015 |
EX-99.D.5 10 d72032dex99d5.htm EX-99.(D)(5) Exhibit (d)(5) AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A to the Agreement And State Street Bank and Trust Company This Amendment is made as of this 20th day of July, 2015, to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement” |
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| November 2, 2015 |
EX-99.(a)(5)(iii) Exhibit (a)(5)(iii) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 [email protected] Nuveen Closed-End Fund Announces Commencement of Tender Offer CHICAGO, November 2, 2015?Nuveen Investments, a leading global provider of investment services to institutions as well as individual investors, announced that Diversifie |
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| November 2, 2015 |
EX-99.D.7 12 d72032dex99d7.htm 78EX-99.(D)(9) Exhibit (d)(7) APPENDIX A TO AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT July 15, 2015 (Updated as of September 28, 2015) NUVEEN CLOSED-END MANAGEMENT INVESTMENT COMPANIES Diversified Real Asset Income Fund Nuveen All Cap Energy MLP Opportunities Fund Nuveen AMT-Free Municipal Income Fund Nuveen AMT-Free Municipal Value Fund Nuveen Arizona Premium |
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| November 2, 2015 |
Diversified Real Asset Income Fund SC TO-I SC TO-I 1 d72032dsctoi.htm SC TO-I AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 2, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO ISSUER TENDER OFFER STATEMENT UNDER SECTION 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 DIVERSIFIED REAL ASSET INCOME FUND (Name of Subject Company) DIVERSIFIED REAL ASSET INCOME FUND (Name of Filing Pers |
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| November 2, 2015 |
EX-99.(a)(1)(iii) Exhibit (a)(1)(iii) OFFER BY DIVERSIFIED REAL ASSET INCOME FUND TO PURCHASE FOR CASH UP TO 10% OF ITS COMMON SHARES OF BENEFICIAL INTEREST FOR 99% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON DECEMBER 1, 2015 (?EXPIRATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, BUT |
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| November 2, 2015 |
EX-99.(a)(1)(v) Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF COMMON SHARES OF BENEFICIAL INTEREST OF DIVERSIFIED REAL ASSET INCOME FUND This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders? certificates for common shares of beneficial interest, par value $0.01 per share (the ?Shares?) of Diversified Real Asset Incom |
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| November 2, 2015 |
AMENDMENT To Transfer Agency and Service Agreement State Street Bank and Trust Company EX-99.D.4 9 d72032dex99d4.htm EX-99.(D)(4) Exhibit (d)(4) AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust Company This Amendment is made as of this 15th day of July 2015 to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) be |
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| November 2, 2015 |
EX-99.(a)(1)(iv) Exhibit (a)(1)(iv) OFFER BY DIVERSIFIED REAL ASSET INCOME FUND TO PURCHASE FOR CASH UP TO 10% OF ITS COMMON SHARES OF BENEFICIAL INTEREST FOR 99% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON DECEMBER 1, 2015 (?EXPIRATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, BUT I |
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| November 2, 2015 |
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT EX-99.(d)(6) Exhibit (d)(6) Execution Version AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT This Agreement is made as of July 15, 2015 (this ?Agreement?), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a ?Fund?), including, if applicable, each ser |
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| November 2, 2015 |
Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, Illinois 60606 Table of Contents Exhibit (a)(1)(i) Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, Illinois 60606 Dear Shareholder: On September 22, 2015, the Board of Trustees of the Diversified Real Asset Income Fund (the Fund) approved a tender offer for the Funds common shares of beneficial interest (Common Shares). |
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| October 30, 2015 |
Certifications Exhibit 99.CERT CERTIFICATIONS I, Gifford R. Zimmerman, certify that: 1. I have reviewed this report on Form N-Q of Diversified Real Asset Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were mad |
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| October 30, 2015 |
Diversified Real Asset Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22936 Diversified Real Asset Income Fund (Exact name of registrant as specified in charter) 333 West Wacker Drive, Chicago, Illinois 60606 (Address of principal executive offices) (Zip code) Kevin J. |
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| October 26, 2015 |
Diversified Real Asset Income Fund DIVERSIFIED REAL ASSET INCOME FUND Diversified Real Asset Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 22, 2015 |
Diversified Real Asset Income Fund SC TO-C SC TO-C AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 22, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 9, 2015 |
Diversified Real Asset Income Fund SC TO-C SC TO-C AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 9, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 15, 2015 |
EX-99.A.5.IV 2 d926148dex99a5iv.htm EX-(A)(5)(IV) Exhibit (a)(5)(iv) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 [email protected] Nuveen Closed-End Fund Announces Final Results of Tender Offer CHICAGO, May 15, 2015 – Nuveen Investments, a leading global provider of investment services to institutions as well as individual invest |
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| May 15, 2015 |
Diversified Real Asset Income Fund SC TO-I/A SC TO-I/A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 15, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 11, 2015 |
Diversified Real Asset Income Fund SC TO-I/A SC TO-I/A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 11, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 11, 2015 |
EX-99.(a)(5)(iii) Exhibit (a)(5)(iii) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 [email protected] Nuveen Closed-End Fund Announces Preliminary Results of Tender Offer CHICAGO, May 11, 2015 ? Nuveen Investments, a leading global provider of investment services to institutions as well as individual investors, today announced the |
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| April 29, 2015 |
Exhibit 99.CERT CERTIFICATIONS I, Gifford R. Zimmerman, certify that: 1. I have reviewed this report on Form N-Q of Diversified Real Asset Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| April 29, 2015 |
Diversified Real Asset Income Fund N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22936 Diversified Real Asset Income Fund (Exact name of registrant as specified in charter) 333 West Wacker Drive, Chicago, Illinois 60606 (Address of principal executive offices) (Zip code) Kevin J. |
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| April 6, 2015 |
Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, Illinois 60606 EX-99.(a)(1)(i) Table of Contents Exhibit (a)(1)(i) Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, Illinois 60606 Dear Shareholder: On March 23, 2015, the Board of Trustees of the Diversified Real Asset Income Fund (the ?Fund?) approved a tender offer for the Fund?s common shares of beneficial interest (?Common Shares?). The Fund is commencing an offer to purchase up to 10% of i |
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| April 6, 2015 |
EX-99.(d)(1) Exhibit (d)(1) DEPOSITARY AGREEMENT This Depositary Agreement is entered into as of this 23rd day of March, 2015, by and among Diversified Real Asset Income Fund (NYSE: DRA), a business trust organized and existing under the laws of the Commonwealth of Massachusetts (the ?Company?) and Computershare Inc., a Delaware corporation and its fully owned subsidiary Computershare Trust Compan |
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| April 6, 2015 |
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT EX-99.(d)(6) Exhibit (d)(6) AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT This Agreement between those NUVEEN INVESTMENT COMPANIES (each such investment company and each investment company made subject to this Agreement in accordance with Section 19 herein, be referred to as a ?Fund? and collectively as the ?Funds?) listed on Appendix A hereto (hereinafter ?Appendix A? as it may be amended from |
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| April 6, 2015 |
EX-99.(d)(8) Exhibit (d)(8) AMENDMENT TO AMENDED AND RESTATED CUSTODIAN AGREEMENT DIVERSIFIED REAL ASSET INCOME FUND U.S. BANK NATIONAL ASSOCIATION THIS AMENDMENT to the Amended and Restated Custodian Agreement (the ?Agreement?) dated September 8, 2014, is made this 16th day of December, 2014 by and between Diversified Real Asset Income Fund, a Massachusetts business trust (the ?Fund?), and U.S. B |
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| April 6, 2015 |
EX-99.(d)(7) Exhibit (d)(7) AMENDED AND RESTATED CUSTODIAN AGREEMENT DIVERSIFIED REAL ASSET INCOME FUND U.S. BANK NATIONAL ASSOCIATION THIS AGREEMENT is made this 8th day of September, 2014, by and between Diversified Real Asset Income Fund, a Massachusetts business trust (hereinafter called ?Fund?), and U.S. Bank National Association, a national banking association organized and existing under th |
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| April 6, 2015 |
EX-99.(a)(1)(iv) Exhibit (a)(1)(iv) OFFER BY DIVERSIFIED REAL ASSET INCOME FUND TO PURCHASE FOR CASH UP TO 10% OF ITS COMMON SHARES OF BENEFICIAL INTEREST FOR 99% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON MAY 8, 2015 (?EXPIRATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, BUT IS SUB |
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| April 6, 2015 |
EX-99.(a)(1)(iii) Exhibit (a)(1)(iii) OFFER BY DIVERSIFIED REAL ASSET INCOME FUND TO PURCHASE FOR CASH UP TO 10% OF ITS COMMON SHARES OF BENEFICIAL INTEREST FOR 99% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON MAY 8, 2015 (?EXPIRATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, BUT IS S |
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| April 6, 2015 |
EX-99.(a)(5)(ii) Exhibit (a)(5)(ii) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 [email protected] Nuveen Closed-End Fund Announces Commencement of Tender Offer CHICAGO, April 6, 2015?Nuveen Investments, a leading global provider of investment services to institutions as well as individual investors, today announced that Diversifi |
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| April 6, 2015 |
EX-99.(A)(1)(V) 6 d902757dex99a1v.htm EX-99.(A)(1)(V) Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF COMMON SHARES OF BENEFICIAL INTEREST OF DIVERSIFIED REAL ASSET INCOME FUND This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders’ certificates for common shares of beneficial interest, par value $0.01 per share (the “Sh |
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| April 6, 2015 |
EX-99.(d)(2) Exhibit (d)(2) Georgeson Inc. 480 Washington Blvd., 26th Floor Jersey City, NJ 07310 www.georgeson.com March 23, 2015 Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, IL 60606 Re: Information Agent This Letter of Agreement, including the Appendix attached hereto (collectively, this ?Agreement?), sets forth the terms and conditions of the engagement of Georgeson Inc. ( |
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| April 6, 2015 |
Diversified Real Asset Income Fund SC TO-I SC TO-I AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON APRIL 6, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 6, 2015 |
Diversified Real Asset Income Fund EX-99.(a)(1)(ii) Exhibit (a)(1)(ii) Diversified Real Asset Income Fund MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 ADD 5 ADD 6 C 1234567890 J N T Tax ID certification on file: TOTAL SHARES 1234567890 LETTER OF TRANSMITTAL TO TENDER SHARES OF DIVERSIFIED REAL ASSET INCOME FUND Pursuant to the Offer to Purchase dated April 6, 2015, Diversified Real Asset Income Fund (the ?Fund?) has off |
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| April 6, 2015 |
EX-99.(d)(5) Exhibit (d)(5) Transfer Agency and Service Agreement Among Each of the Nuveen Closed End Investment Companies Listed on Exhibit A Hereto and State Street Bank and Trust Company TABLE OF CONTENTS Page 1. Appointment of Agent 1 2. Standard Services 2 3. Dividend Disbursing Services 3 4. Shareholder Internet Services 4 5. Fees and Expenses 5 6. Representations and Warranties of the Trans |
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| April 6, 2015 |
EX-99.(a)(1)(vi) Exhibit (a)(1)(vi) Instructions for Withdrawal of Previously Tendered Common Shares of Beneficial Interest of Diversified Real Asset Income Fund If you tendered to Diversified Real Asset Income Fund, a Massachusetts business trust (the ?Fund?), in connection with the offer by the Fund to purchase for cash up to 10% of its outstanding common shares of beneficial interest, par value |
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| March 24, 2015 |
Diversified Real Asset Income Fund SC TO-C SC TO-C AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MARCH 24, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 13, 2015 |
DRA / Diversified Real Asset Income Fund / Relative Value Partners, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. ) * Diversified Real Asset Income Fund (Name of Issuer) COMMON SHARES (Title of Class of Securities) 25533B108 (CUSIP Number) (Holdings as of December 31, 2014) Check the appropriate box |
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| February 13, 2015 |
DRA / Diversified Real Asset Income Fund / Bulldog Investors, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Diversified Real Asset Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 25533B108 (CUSIP Number) 9/08/14 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| February 12, 2015 |
DRA / Diversified Real Asset Income Fund / SIT INVESTMENT ASSOCIATES INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Diversified Real Asset Income Fund (DRA) (Amendment No. 1) - (Name of Issuer) Common Stock - (Title of Class of Securities) 25533B108 - (CUSIP Number) December 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| January 29, 2015 |
EX-99.77M MERGERS 2 dra77m1114.txt SUB-ITEM 77M Mergers Diversified Real Asset Income Fund 811-22936 On September 8, 2014 the above-referenced fund was the surviving fund in a merger. All of the assets of the American Strategic Income Portfolio Inc., American Strategic Income Portfolio II Inc., American Strategic Income Portfolio III Inc. and American Select Portfolio Inc. were transferred to the |
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| January 29, 2015 |
Form N-SAR, Sub-Item 77Q1(g) Copies of any merger or consolidation agreements Diversified Real Asset Income Fund 811-22936 On September 8, 2014 the above-referenced fund was the surviving fund in a merger. |
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| November 14, 2014 |
DRA / Diversified Real Asset Income Fund SC TO-I/A - - SCHEDULE TO (AMENDMENT NO. 2) SCHEDULE TO (AMENDMENT NO. 2) AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO ISSUER TENDER OFFER STATEMENT UNDER SECTION 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. 2 DIVERSIFIED REAL ASSET INCOME FUND (Name of Subject Company) DIVERSIFIED REAL ASSET INCOME FUND (Name of |
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| November 14, 2014 |
Exhibit (a)(5)(iv) Exhibit (a)(5)(iv) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 KRISTYNA. |
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| November 10, 2014 |
DRA / Diversified Real Asset Income Fund SC TO-I/A - - SCHEDULE TO (AMENDMENT NO. 1) SCHEDULE TO (Amendment No. 1) AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 10, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO ISSUER TENDER OFFER STATEMENT UNDER SECTION 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. 1 DIVERSIFIED REAL ASSET INCOME FUND (Name of Subject Company) DIVERSIFIED REAL ASSET INCOME FUND (Name of |
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| November 10, 2014 |
Exhibit (a)(5)(iii) Exhibit (a)(5)(iii) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 KRISTYNA. |
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| October 14, 2014 |
EX-99.2 2 d802715dex992.htm BY-LAWS OF THE REGISTRANT, AMENDED AND RESTATED AS OF SEPTEMBER 8, 2014 Exhibit A BY-LAWS OF DIVERSIFIED REAL ASSET INCOME FUND (Amended and Restated as of September 8, 2014) ARTICLE I DECLARATION OF TRUST AND OFFICES Section 1.1. The Trust; Declaration of Trust. These are the By-Laws of Diversified Real Asset Income Fund, a Massachusetts business trust established by i |
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| October 14, 2014 |
EX-99.12 3 d802715dex9912.htm OPINION AND CONSENT OF VEDDER PRICE P.C. 222 NORTH LASALLE STREET CHICAGO, ILLINOIS 60601 T: +1 (312) 609 7500 F: +1 (312) 609 5005 CHICAGO • NEW YORK • WASHINGTON, DC LONDON • SAN FRANCISCO • LOS ANGELES September 8, 2014 American Strategic Income Portfolio Inc. American Strategic Income Portfolio Inc.-II P.O. Box 1330 P.O. Box 1330 Minneapolis, Minnesota 55440 Minne |
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| October 14, 2014 |
DRA / Diversified Real Asset Income Fund POS EX - - DIVERSIFIED REAL ASSET INCOME FUND Diversified Real Asset Income Fund As filed with the Securities and Exchange Commission on October 14, 2014 File No. |
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| October 14, 2014 |
DRA / Diversified Real Asset Income Fund / SIT INVESTMENT ASSOCIATES INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Diversified Real Asset Income Fund (DRA) - (Name of Issuer) Common Stock - (Title of Class of Securities) 25533B108 - (CUSIP Number) October 13, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| October 3, 2014 |
EX-99.(A)(1)(VI) 7 d798192dex99a1vi.htm EX-99.(A)(1)(VI) Exhibit (a)(1)(vi) Instructions for Withdrawal of Previously Tendered Common Shares of Beneficial Interest of Diversified Real Asset Income Fund If you tendered to Diversified Real Asset Income Fund, a Massachusetts business trust (the “Fund”), in connection with the offer by the Fund to purchase for cash up to 10% of its outstanding common |
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| October 3, 2014 |
EX-99.(a)(1)(v) Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF COMMON SHARES OF BENEFICIAL INTEREST OF DIVERSIFIED REAL ASSET INCOME FUND This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders’ certificates for common shares of beneficial interest, par value $0.01 per share (the “Shares”) of Diversified Real Asset Incom |
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| October 3, 2014 |
Diversified Real Asset Income Fund EX-99.(A)(1)(II) 3 d798192dex99a1ii.htm EX-99.(A)(1)(II) Exhibit (a)(1)(ii) Diversified Real Asset Income Fund MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 ADD 5 ADD 6 C 1234567890 J N T Tax ID certification on file: TOTAL SHARES 1234567890 LETTER OF TRANSMITTAL TO TENDER SHARES OF DIVERSIFIED REAL ASSET INCOME FUND Pursuant to the Offer to Purchase dated October 3, 2014, Diversified R |
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| October 3, 2014 |
INVESTMENT MANAGEMENT AGREEMENT EX-99.(d)(3) Exhibit (d)(3) INVESTMENT MANAGEMENT AGREEMENT AGREEMENT made this 1st day of October, 2014, by and between DIVERSIFIED REAL ASSET INCOME FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”). W I T N E S S E T H In consideration of the mutual covenants hereinafter contained, it is hereby agreed by and be |
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| October 3, 2014 |
EX-99.(a)(1)(iii) Exhibit (a)(1)(iii) OFFER BY DIVERSIFIED REAL ASSET INCOME FUND TO PURCHASE FOR CASH UP TO 10% OF ITS COMMON SHARES OF BENEFICIAL INTEREST FOR 99% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 7, 2014 (“EXPIRATION DATE”), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, BUT |
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| October 3, 2014 |
Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, Illinois 60606 EX-99.(a)(1)(i) Table of Contents Exhibit (a)(1)(i) Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, Illinois 60606 Dear Shareholder: On September 22, 2014, the Board of Trustees of the Diversified Real Asset Income Fund (the “Fund”), approved a tender offer for the Fund’s common shares of beneficial interest (“Common Shares”). The Fund is commencing an offer to purchase up to 10% |
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| October 3, 2014 |
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT EX-99.(d)(6) Exhibit (d)(6) AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT This Agreement between those NUVEEN INVESTMENT COMPANIES (each such investment company and each investment company made subject to this Agreement in accordance with Section 19 herein, be referred to as a “Fund” and collectively as the “Funds”) listed on Appendix A hereto (hereinafter “Appendix A” as it may be amended from |
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| October 3, 2014 |
EX-99.(d)(2) Exhibit (d)(2) Georgeson Inc. 480 Washington Blvd., 26th Floor Jersey City, NJ 07310 www.georgeson.com September 23, 2014 Diversified Real Asset Income Fund 333 West Wacker Drive Chicago, IL 60606 Re: Information Agent This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson In |
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| October 3, 2014 |
EX-99.(d)(1) Exhibit (d)(1) DEPOSITARY AGREEMENT This Depositary Agreement is entered into as of this 23rd day of September, 2014, by and among Diversified Real Asset Income Fund Inc. (NYSE: DRA), a business trust organized and existing under the laws of the Commonwealth of Massachusetts (the “Company”) and Computershare Inc., a Delaware corporation and its fully owned subsidiary Computershare Tru |
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| October 3, 2014 |
DRA / Diversified Real Asset Income Fund SC TO-I - - SC TO-I SC TO-I AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 3, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 3, 2014 |
EX-99.(a)(1)(iv) Exhibit (a)(1)(iv) OFFER BY DIVERSIFIED REAL ASSET INCOME FUND TO PURCHASE FOR CASH UP TO 10% OF ITS COMMON SHARES OF BENEFICIAL INTEREST FOR 99% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 7, 2014 (“EXPIRATION DATE”), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, BUT I |
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| October 3, 2014 |
EX-99.(d)(5) Exhibit (d)(5) Transfer Agency and Service Agreement Among Each of the Nuveen Closed End Investment Companies Listed on Exhibit A Hereto and State Street Bank and Trust Company TABLE OF CONTENTS Page 1. Appointment of Agent 1 2. Standard Services 2 3. Dividend Disbursing Services 3 4. Shareholder Internet Services 4 5. Fees and Expenses 5 6. Representations and Warranties of the Trans |
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| October 3, 2014 |
INVESTMENT SUB-ADVISORY AGREEMENT EX-99.(d)(4) Exhibit (d)(4) INVESTMENT SUB-ADVISORY AGREEMENT THIS AGREEMENT is made as of the 1st day of October, 2014, between Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Nuveen Asset Management, LLC, a Delaware limited liability company (the “Sub-Adviser”). WHEREAS, the Adviser acts as the investment adviser for Diversified Real Asset Income Fund (the “F |
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| October 3, 2014 |
EX-99.(a)(5)(ii) Exhibit (a)(5)(ii) FOR IMMEDIATE RELEASE ATTENTION: BUSINESS/FINANCIAL EDITORS MEDIA CONTACT: KRISTYNA MUNOZ (312) 917-8343 [email protected] Nuveen Closed-End Fund Announces Commencement of Tender Offer CHICAGO, October 3, 2014 - Nuveen Investments, a leading global provider of investment services to institutions as well as individual investors, today announced that Diver |
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| September 23, 2014 |
DRA / Diversified Real Asset Income Fund SC TO-C - - SC TO-C SC TO-C AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 23, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 29, 2014 |
DRA / Diversified Real Asset Income Fund 8-A12B - - NUVEEN DIVERSIFIED REAL ASSET INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Diversified Real Asset Income Fund (Exact Name of Registrant as Specified in Its Charter) MASSACHUSETTS (State of Incorporation or Organization) 47-1413799 (I.R.S. Employer Identification No.) 333 |
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| June 26, 2014 |
Transfer Agency and Service Agreement, dated October 7, 2002 Exhibit 13(a) Transfer Agency and Service Agreement Among Each of the Nuveen Closed End Investment Companies Listed on Exhibit A Hereto and State Street Bank and Trust Company TABLE OF CONTENTS Page 1. |
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| June 26, 2014 |
- DIVERSIFIED REAL ASSET INCOME FUND Diversified Real Asset Income Fund As filed with the Securities and Exchange Commission on June 26, 2014 File No. |
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| June 26, 2014 |
DIVERSIFIED REAL ASSET INCOME FUND POWER OF ATTORNEY Powers of Attorney Exhibit 16 DIVERSIFIED REAL ASSET INCOME FUND POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned, a trustee of the above-referenced Massachusetts business trust (the “trust”), hereby constitutes and appoints RICHARD J. |
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| June 26, 2014 |
FORM OF INVESTMENT MANAGEMENT AGREEMENT Form of Investment Management Agreement Exhibit 6(a) FORM OF INVESTMENT MANAGEMENT AGREEMENT AGREEMENT made this day of , 2014, by and between Diversified Real Asset Income Fund, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC a Delaware limited liability company (the “Adviser”). |
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| June 26, 2014 |
Diversified Real Asset Income Fund 222 NORTH LASALLE STREET SUITE 2600 CHICAGO, ILLINOIS 60601-1003 T: +1 (312) 609-7500 F: +1 (312) 609-5005 CHICAGO • NEW YORK • WASHINGTON, D. |
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| June 26, 2014 |
Consent of Independent Registered Public Accounting Firm EX-99.14 10 d725409dex9914.htm CONSENT OF INDEPENDENT AUDITOR Exhibit 14 Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Experts,” “Fees Paid to Ernst & Young,” “Audit Committee Pre-Approval Policies,” “Appointment of the Independent Registered Accounting Firm,” and “Target Funds” in the Joint Proxy Statement/Prospectus and “Exp |
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| June 26, 2014 |
Form of Opinion and Consent of Vedder Price P.C. Exhibit 12 [Form of Tax Opinion] , 201 American Strategic Income Portfolio Inc. P.O. Box 1330 Minneapolis, Minnesota 55440 American Strategic Income Portfolio Inc.-II P.O. Box 1330 Minneapolis, Minnesota 55440 American Strategic Income Portfolio Inc.-III P.O. Box 1330 Minneapolis, Minnesota 55440 American Select Portfolio Inc. P.O. Box 1330 Minneapo |
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| June 26, 2014 |
Bingham McCutchen LLP One Federal Street Boston, Massachusetts 02110-1726 Opinion and Consent of Counsel Exhibit 11 Bingham McCutchen LLP One Federal Street Boston, Massachusetts 02110-1726 June 26, 2014 Vedder Price P. |
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| June 26, 2014 |
CORRESP 1 filename1.htm June 26, 2014 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Re: Diversified Real Asset Income Fund Registration Statement on Form N-14 8C (File No. 333-196063) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended, the undersigned hereby requests that the effective dat |
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| June 26, 2014 |
Appendix A to Custodian Agreement Exhibit 9(b) FORM OF APPENDIX A TO CUSTODIAN AGREEMENT February 25, 2005 (Updated as of , 2014) NUVEEN CLOSED-END MANAGEMENT INVESTMENT COMPANIES Dow 30 SM Enhanced Premium & Income Fund Inc. |
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| June 26, 2014 |
FORM OF AMENDMENT To Transfer Agency and Service Agreement State Street Bank and Trust Company Amendment and Schedule A to Transfer Agency and Service Agreement Exhibit 13(b) FORM OF AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust Company This Amendment is made as of this day of , 2014, to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). |
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| June 26, 2014 |
FORM OF INVESTMENT SUB-ADVISORY AGREEMENT Form of Investment Sub-Advisory Agreement Exhibit 6(b) FORM OF INVESTMENT SUB-ADVISORY AGREEMENT THIS AGREEMENT is made as of the day of , 2014, between Nuveen Fund Advisors, LLC, Delaware limited liability company (the “Adviser”), and Nuveen Asset Management, LLC, a Delaware limited liability company (the “Sub-Adviser”). |
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| June 26, 2014 |
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT Exhibit 9(a) AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT This Agreement between those NUVEEN INVESTMENT COMPANIES (each such investment company and each investment company made subject to this Agreement in accordance with Section 19 herein, be referred to as a “Fund” and collectively as the “Funds”) listed on Appendix A hereto (hereinafter “Appendix A” as it may be amended from time to time), which may be Massachusetts business trusts or have such other form of organization as may be indicated, and STATE STREET BANK and TRUST COMPANY, a Massachusetts trust company (the “Custodian”). |
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| June 26, 2014 |
Letter to SEC 222 NORTH LASALLE STREET SUITE 2600 CHICAGO, ILLINOIS 60601-1003 T: +1 (312) 609-7500 F: +1 (312) 609-5005 CHICAGO • NEW YORK • WASHINGTON, D. |
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| May 23, 2014 |
Nuveen Funds 222 NORTH LASALLE STREET SUITE 2600 CHICAGO, ILLINOIS 60601-1003 T: +1 (312) 609-7500 F: +1 (312) 609-5005 CHICAGO • NEW YORK • WASHINGTON, D. |
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| May 19, 2014 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Auditor Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Experts,” “Fees Paid to Ernst & Young,” “Audit Committee Pre-Approval Policies,” “Appointment of the Independent Registered Accounting Firm,” and “Target Funds” in the Joint Proxy Statement/Prospectus and “Experts” in the Statement of Additional Information and to the incorporation by reference of our report dated October 23, 2013 with respect to the financial statements and financial highlights of American Strategic Income Portfolio Inc. |
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| May 19, 2014 |
By-Laws BY-LAWS OF DIVERSIFIED REAL ASSET INCOME FUND (Amended and Restated as of April 28, 2014) ARTICLE I DECLARATION OF TRUST AND OFFICES Section 1. |
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| May 19, 2014 |
DECLARATION OF TRUST DIVERSIFIED REAL ASSET INCOME FUND Declaration of Trust DECLARATION OF TRUST OF DIVERSIFIED REAL ASSET INCOME FUND DECLARATION OF TRUST made this 21st day of January, 2014 by the initial Trustees hereunder. |
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| May 19, 2014 |
Letter to SEC 222 NORTH LASALLE STREET SUITE 2600 CHICAGO, ILLINOIS 60601-1003 T: +1 (312) 609-7500 F: +1 (312) 609-5005 CHICAGO — NEW YORK — WASHINGTON, D. |
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| May 19, 2014 |
- DIVERSIFIED REAL ASSET INCOME FUND Diversified Real Asset Income Fund As filed with the Securities and Exchange Commission on May 16, 2014 File No. |
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| May 15, 2014 |
- DIVERSIFIED REAL ASSET INCOME FUND N-8A/A 1 d725409dn8aa.htm DIVERSIFIED REAL ASSET INCOME FUND SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8A/A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Inv |
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| February 7, 2014 |
- DIVERSIFIED REAL ASSET INCOME FUND Diversified Real Asset Income Fund SECURITIES AND EXCHANGE COMMISSION Washington, D. |
