o | Preliminary Proxy Statement. | |
o | Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). | |
þ | Definitive Proxy Statement. | |
o | Definitive Additional Materials. | |
o | Soliciting Material Pursuant to §240.14a-11(c) or §240.14a-12 |
þ | No fee required. | |
o | Fee computed on table below per Exchange Act Rules 14a-6(i)(4) and 0-11. |
1) | Title of each class of securities to which transaction applies: | ||
2) | Aggregate number of securities to which transaction applies: | ||
3) | Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined): | ||
4) | Proposed maximum aggregate value of transaction: | ||
5) | Total fee paid: | ||
o | Fee paid previously with preliminary materials. | |
o | Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. |
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4) | Date Filed: | ||
1. | To elect Members to the Board of Directors/Trustees (each a Board and each Director or Trustee a Board Member) of each Fund as outlined below: |
a. | For Insured New York Dividend, New York Dividend, New York Dividend 2 and Insured New York Tax-Free, to elect five (5) Board Members. |
i) | three (3) Class II Board Members to be elected by the holders of Common Shares and Variable Rate Demand Preferred Shares for Insured New York Dividend and Municipal Fund Term Preferred Shares for New York Dividend, New York Dividend 2 and Insured New York Tax-Free (collectively, Preferred Shares), voting together as a single class; and | |
ii) | two (2) Board Members to be elected by the holders of Preferred Shares only, voting separately as a single class. |
b. | For New York Value 2, Core Equity, Equity Premium, Equity Premium Advantage, Equity Premium Income, Equity Premium Opportunity, Tax-Advantaged Dividend, Global Government, Global Value, Multi-Currency, Quality Preferred, Quality Preferred 2, Quality Preferred 3, Real Estate, Diversified Dividend, Tax-Advantaged, Mortgage Opportunity, Mortgage Opportunity 2, Multi-Strategy and Multi-Strategy 2, to elect three (3) Class II Board Members. | |
c. | For Insured New York Premium, New York Performance Plus, New York Investment Quality, New York Quality and New York Select, to elect ten (10) Board Members. |
i) | eight (8) Board Members to be elected by the holders of Common Shares and Variable Rate Demand Preferred Shares for New York Performance Plus, New York Investment Quality, New York Quality and New York Select and Municipal Auction Rate Cumulative Preferred Shares for New York Premium (also referred to, collectively, as Preferred Shares), voting together as a single class; and | |
ii) | two (2) Board Members to be elected by the holders of Preferred Shares only, voting separately as a single class. |
d. | For New York Value, to elect three (3) Class II Board Members. | |
e. | For Dow 30 Premium, Global Income, NASDAQ Premium, Dow 30 Enhanced and MLP & Strategic Equity, to elect ten (10) Board Members. |
2. | To transact such other business as may properly come before the Annual Meeting. |
1
2
Matter | Common Shares | Preferred Shares(1) | ||||
1(a)(i)
|
For Insured New York Dividend, New York Dividend, New York Dividend 2 and Insured New York Tax-Free, election of three (3) Class II Board Members by all shareholders. | X | X | |||
1(a)(ii)
|
For Insured New York Dividend, New York Dividend, New York Dividend 2 and Insured New York Tax-Free, election of two (2) Board Members by Preferred Shares only. | X | ||||
1(b)
|
For New York Value 2, Core Equity, Equity Premium, Equity Premium Opportunity, Equity Premium Advantage, Equity Premium Income, Tax-Advantaged Dividend, Global Government, Global Value, Multi-Currency, Quality Preferred, Quality Preferred 2, Quality Preferred 3, Real Estate, Diversified Dividend, Tax-Advantaged, Mortgage Opportunity, Mortgage Opportunity 2, Multi-Strategy and Multi-Strategy 2, election of three (3) Class II Board Members by all shareholders. | X | N/A | |||
1(c)(i)
|
For Insured New York Premium, New York Performance Plus, New York Investment Quality, New York Quality and New York Select, election of eight (8) Board Members by all shareholders. | X | X | |||
1(c)(ii)
|
For Insured New York Premium, New York Performance Plus, New York Investment Quality, New York Quality and New York Select, election of two (2) Board Members by Preferred Shares only. | X | ||||
1(d)
|
For New York Value, election of three (3) Class II Board Members by all shareholders. | X | N/A | |||
1(e)
|
For Dow 30 Premium, Global Income, NASDAQ Premium, Dow 30 Enhanced and MLP & Strategic Equity, election of ten (10) Board Members by all shareholders. | X | N/A | |||
(1) | Variable Rate Demand Preferred Shares for Insured New York Dividend, New York Performance Plus, New York Investment Quality, New York Quality and New York Select, Municipal Fund Term Preferred Shares for New York Dividend, New York Dividend 2 and Insured New York Tax-Free, and Municipal Auction Rate Cumulative Preferred Shares for New York Premium are collectively referred to as Preferred Shares. |
3
Fund | Ticker Symbol(1) | Common Shares | Preferred Shares(2) | |||||||||
New York Dividend
|
NAN | 9,265,330 | Series 2015 | 3,000,000 | ||||||||
Series 2016 | 2,586,000 | |||||||||||
New York Dividend 2
|
NXK | 6,488,516 | Series 2015 | 3,789,000 | ||||||||
4
Fund | Ticker Symbol(1) | Common Shares | Preferred Shares(2) | |||||||||
New York Investment Quality
|
NQN | 17,518,033 | Series 1 | 1,123 | ||||||||
New York Value
|
NNY | 15,168,676 | N/A | |||||||||
New York Value 2
|
NYV | 2,347,000 | N/A | |||||||||
New York Performance Plus
|
NNP | 15,039,571 | Series 1 | 890 | ||||||||
New York Quality
|
NUN | 23,752,339 | Series 1 | 1,617 | ||||||||
New York Select
|
NVN | 23,198,402 | Series 1 | 1,648 | ||||||||
Insured New York Dividend
|
NKO | 7,937,131 | Series 2 | 500 | ||||||||
Insured New York Premium
|
NNF | 8,243,515 | Series M | 1,022 | ||||||||
Series T | 992 | |||||||||||
Insured New York Tax-Free
|
NRK | 3,506,560 | Series 2015 | 2,768,000 | ||||||||
Core Equity
|
JCE | 16,026,686 | N/A | |||||||||
Real Estate
|
JRS | 28,536,094 | N/A | |||||||||
Diversified Dividend
|
JDD | 19,962,818 | N/A | |||||||||
Equity Premium
|
JPG | 16,311,642 | N/A | |||||||||
Equity Premium Advantage
|
JLA | 25,874,000 | N/A | |||||||||
Equity Premium Income
|
JPZ | 38,661,011 | N/A | |||||||||
Equity Premium Opportunity
|
JSN | 66,559,044 | N/A | |||||||||
Quality Preferred
|
JTP | 64,632,294 | N/A | |||||||||
Quality Preferred 2
|
JPS | 120,321,842 | N/A | |||||||||
Quality Preferred 3
|
JHP | 23,717,066 | N/A | |||||||||
Tax-Advantaged
|
JTA | 13,878,567 | N/A | |||||||||
Tax-Advantaged Dividend
|
JTD | 14,504,240 | N/A | |||||||||
Global Government
|
JGG | 9,359,018 | N/A | |||||||||
Global Value
|
JGV | 19,184,278 | N/A | |||||||||
Mortgage Opportunity
|
JLS | 15,833,756 | N/A | |||||||||
Mortgage Opportunity 2
|
JMT | 4,804,200 | N/A | |||||||||
Multi-Currency
|
JGT | 43,684,788 | N/A | |||||||||
Multi-Strategy
|
JPC | 97,324,765 | N/A | |||||||||
Multi-Strategy 2
|
JQC | 136,792,782 | N/A | |||||||||
Dow 30 Premium
|
DPD | 11,984,212 | N/A | |||||||||
Global Income
|
GCF | 5,642,617 | N/A | |||||||||
NASDAQ Premium
|
QQQX | 18,445,346 | N/A | |||||||||
Dow 30 Enhanced
|
DPO | 27,678,519 | N/A | |||||||||
MLP & Strategic Equity
|
MTP | 14,810,750 | N/A | |||||||||
(1) | The common shares of all of the Funds are listed on the New York Stock Exchange (NYSE), except NXK, NYV, NRK, NKO and JRS, which are listed on the NYSE Amex, and QQQX, which is listed on the NASDAQ Stock Market, LLC. |
(2) | The Preferred Shares for NAN, NXK and NRK are listed on the NYSE. |
5
1. | Election of Board Members |
a. | For Insured New York Dividend, New York Dividend, New York Dividend 2 and Insured New York Tax-Free: |
(i) | three (3) Board Members are to be elected by holders of Common Shares and Preferred Shares, voting together as a single class. Board Members Amboian, Kundert and Toth have been designated as Class II Board Members and as nominees for Board Members for a term expiring at the annual meeting of shareholders in 2014 or until their successors have been duly elected and qualified. Board Members Bremner, Evans, Stockdale, Stone and Stringer are current and continuing Board Members. Board Members Bremner and Evans have been designated as Class III Board Members for a term expiring at the annual meeting of shareholders in 2012 or until their successors have been duly elected and qualified. Board Members Stockdale, Stone and Stringer have been designated as Class I Board Members for a term expiring at the annual meeting of shareholders in 2013 or until their successors have been duly elected and qualified. | |
(ii) | two (2) Board Members are to be elected by holders of Preferred Shares, voting separately as a single class. Board Members Hunter and Schneider are nominees for election by holders of Preferred Shares for a term expiring at the next annual meeting or until their successors have been duly elected and qualified. |
b. | For New York Value 2, Core Equity, Equity Premium, Equity Premium Opportunity, Equity Premium Advantage, Equity Premium Income, Tax-Advantaged Dividend, Global Government, Global Value, Multi-Currency, Quality Preferred, Quality Preferred 2, Quality Preferred 3, Real Estate, Diversified Dividend, Tax-Advantaged, Mortgage Opportunity, Mortgage Opportunity 2, Multi-Strategy and Multi-Strategy 2: |
(i) | three (3) Board Members are to be elected by all shareholders. Board Members Amboian, Kundert and Toth have been designated as Class II Board Members and as nominees for Board Members for a term expiring at the annual meeting of shareholders in 2014 or until their successors have been duly elected and qualified. Board Members Bremner, Evans, Hunter, Schneider, Stockdale, Stone and Stringer are current and continuing Board Members. Board Members Bremner, Evans and Schneider have been designated as Class III Board Members for a term |
6
expiring at the annual meeting of shareholders in 2012 or until their successors have been duly elected and qualified. Board Members Hunter, Stockdale, Stone and Stringer have been designated as Class I Board Members for a term expiring at the annual meeting of shareholders in 2013 or until their successors have been duly elected and qualified. |
c. | For Insured New York Premium, New York Performance Plus, New York Investment Quality, New York Quality and New York Select: |
(i) | eight (8) Board Members are to be elected by holders of Common Shares and Preferred Shares, voting together as a single class. Board Members Amboian, Bremner, Evans, Kundert, Stockdale, Stone, Stringer and Toth are nominees for election by all shareholders. | |
(ii) | two (2) Board Members are to be elected by holders of Preferred Shares. Board Members Hunter and Schneider are nominees for election by holders of Preferred Shares. |
d. | For New York Value: three (3) Board Members are to be elected by all shareholders. Board Members Amboian, Kundert and Toth have been designated as Class II Board Members and as nominees for Board Members for a term expiring at the annual meeting of shareholders in 2014 or until their successors have been duly elected and qualified. Board Members Bremner, Evans, Hunter, Schneider, Stockdale, Stone and Stringer are current and continuing Board Members. Board Members Bremner, Evans and Schneider have been designated as Class III Board Members for a term expiring at the annual meeting of shareholders in 2012 or until their successors have been duly elected and qualified. Hunter, Stockdale, Stone and Stringer have been designated as Class I Board Members for a term expiring at the annual meeting of shareholders in 2013 or until their successors have been duly elected and qualified. |
7
e. | For Dow 30 Premium, Global Income, NASDAQ Premium, Dow 30 Enhanced and MLP & Strategic Equity: ten (10) Board Members are to be elected by all shareholders. Board Members Amboian, Bremner, Evans, Kundert, Hunter, Schneider, Stockdale, Stone, Stringer and Toth are nominees for election by all shareholders. |
8
Number of |
||||||||||||
Portfolios |
||||||||||||
in Fund |
||||||||||||
Complex |
Other |
|||||||||||
Position(s) |
Term of Office |
Overseen |
Directorships Held |
|||||||||
Name, Address |
Held with |
and Length |
Principal Occupation(s) |
by Board |
by Board |
|||||||
and Birth Date | Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
Nominees/Board Members who are not interested persons of the
Fund
|
||||||||||||
Robert P.
Bremner(2) c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (8/22/40) |
Chairman of the Board, Board Member |
Term: Annual or Class III Board Member until 2012 Length of Service: Since 1996; Chairman of the Board since 2008; Lead Independent Director (2005-2008) |
Private Investor and Management Consultant; Treasurer and Director, Humanities Council of Washington D.C.; Board Member, Independent Directors Council, affiliated with the Investment Company Institute. | 246 | N/A |
9
Number of |
||||||||||||
Portfolios |
||||||||||||
in Fund |
||||||||||||
Complex |
Other |
|||||||||||
Position(s) |
Term of Office |
Overseen |
Directorships Held |
|||||||||
Name, Address |
Held with |
and Length |
Principal Occupation(s) |
by Board |
by Board |
|||||||
and Birth Date | Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
Jack B. Evans c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (10/22/48) |
Board Member |
Term: Annual or Class III Board Member until 2012 Length of Service: Since 1999 |
President, The Hall-Perrine Foundation, a private philanthropic corporation (since 1996); Director and Chairman, United Fire Group, a publicly held company; President Pro Tem of the Board of Regents for the State of Iowa University System; Director, Source Media Group; Life Trustee of Coe College and Iowa College Foundation; formerly, Director, Alliant Energy; formerly, Director, Federal Reserve Bank of Chicago; formerly, President and Chief Operating Officer, SCI Financial Group, Inc., a regional financial services firm. | 246 | See Principal Occupation Description | |||||||
William C. Hunter c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (3/6/48) |
Board Member |
Term: Annual or Class I Board Member until 2011 Length of Service: Since 2004 |
Dean (since 2006), Tippie College of Business, University of Iowa; Director (since 2005), Beta Gamma Sigma International Honor Society; Director (since 2004) of Xerox Corporation; formerly, Director (1997-2007), Credit Research Center at Georgetown University; formerly, Dean and Distinguished Professor of Finance, School of Business at the University of Connecticut (2003-2006); previously, Senior Vice President and Director of Research at the Federal Reserve Bank of Chicago (1995-2003). | 246 | See Principal Occupation Description |
10
Number of |
||||||||||||
Portfolios |
||||||||||||
in Fund |
||||||||||||
Complex |
Other |
|||||||||||
Position(s) |
Term of Office |
Overseen |
Directorships Held |
|||||||||
Name, Address |
Held with |
and Length |
Principal Occupation(s) |
by Board |
by Board |
|||||||
and Birth Date | Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
David J.
Kundert(2) c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (10/28/42) |
Board Member |
Term: Annual or Class II Board Member until 2011 Length of Service: Since 2005 |
Director, Northwestern Mutual Wealth Management Company; retired (since 2004) as Chairman, JPMorgan Fleming Asset Management, President and CEO, Banc One Investment Advisors Corporation, and President, One Group Mutual Funds; prior thereto, Executive Vice President, Bank One Corporation and Chairman and CEO, Banc One Investment Management Group; Member, Board of Regents, Luther College; Member of the Wisconsin Bar Association; Member of Board of Directors, Friends of Boerner Botanical Gardens; Member of Board of Directors and Chair of Investment Committee, Greater Milwaukee Foundation. | 246 | See Principal Occupation Description | |||||||
William J.
Schneider(2) c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (9/24/44) |
Board Member |
Term: Annual or Class III Board Member until 2012 Length of Service: Since 1996 |
Chairman of Miller-Valentine Partners Ltd., a real estate investment company; formerly, Senior Partner and Chief Operating Officer (retired, 2004) of Miller-Valentine Group; Member, Mid-America Health System Board; Member, University of Dayton Business School Advisory Council; formerly, Member, Dayton Philharmonic Orchestra Association; formerly, Director, Dayton Development Coalition; formerly, Member, Business Advisory Council, Cleveland Federal Reserve Bank. | 246 | See Principal Occupation Description | |||||||
Judith M. Stockdale c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (12/29/47) |
Board Member |
Term: Annual or Class I Board Member until 2013 Length of Service: Since 1997 |
Executive Director, Gaylord and Dorothy Donnelley Foundation (since 1994); prior thereto, Executive Director, Great Lakes Protection Fund (from 1990 to 1994). | 246 | N/A |
11
Number of |
||||||||||||
Portfolios |
||||||||||||
in Fund |
||||||||||||
Complex |
Other |
|||||||||||
Position(s) |
Term of Office |
Overseen |
Directorships Held |
|||||||||
Name, Address |
Held with |
and Length |
Principal Occupation(s) |
by Board |
by Board |
|||||||
and Birth Date | Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
Carole E.
Stone(2) c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (6/28/47) |
Board Member |
Term: Annual or Class I Board Member until 2013 Length of Service: Since 2007 |
Director, C2 Options Exchange, Incorporated (since 2009); Director, Chicago Board Options Exchange (since 2006); formerly, Commissioner, New York State Commission on Public Authority Reform (2005-2010); formerly, Chair, New York Racing Association Oversight Board (2005-2007). | 246 | See Principal Occupation Description | |||||||
Virginia L.
Stringer(3) 333 West Wacker Drive Chicago, IL 60606 (8/16/44) |
Board Member |
Term: Annual or Class I Board Member until 2013 Length of Service: Since 2011 |
Board Member, Mutual Fund Directors Forum; Member, Governing Board, Investment Company Institutes Independent Directors Council; governance consultant and non-profit board member; former Owner and President, Strategic Management Resources, Inc. a management consulting firm; previously, held several executive positions in general management, marketing and human resources at IBM and The Pillsbury Company; Independent Director, First American Fund Complex from 1987-2010 and Chair from 1997-2010. | 246 | See Principal Occupation Description |
12
Number of |
||||||||||||
Portfolios |
||||||||||||
in Fund |
||||||||||||
Complex |
Other |
|||||||||||
Position(s) |
Term of Office |
Overseen |
Directorships Held |
|||||||||
Name, Address |
Held with |
and Length |
Principal Occupation(s) |
by Board |
by Board |
|||||||
and Birth Date | Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
Terence J.
Toth(2) c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (9/29/59) |
Board Member |
Term: Annual or Class II Board Member until 2011 Length of Service: Since 2008 |
Director, Legal & General Investment Management America, Inc. (since 2008); Managing Partner, Promus Capital (since 2008); formerly, CEO and President, Northern Trust Global Investments (2004-2007); Executive Vice President, Quantitative Management & Securities Lending (2000-2004); prior thereto, various positions with Northern Trust Company (since 1994); Member: Goodman Theatre Board (since 2004); Chicago Fellowship Board (since 2005), and Catalyst Schools of Chicago Board (since 2008); formerly Member: Northern Trust Mutual Funds Board (2005-2007), Northern Trust Global Investments Board (2004-2007), Northern Trust Japan Board (2004-2007), Northern Trust Securities Inc. Board (2003-2007) and Northern Trust Hong Kong Board (1997-2004). | 246 | See Principal Occupation Description | |||||||
Nominee/Board Member who is an interested person of the Fund | ||||||||||||
John P.
Amboian(4) c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (6/14/61) |
Board Member |
Term: Annual or Class II Board Member until 2011 Length of Service: Since 2008 |
Chief Executive Officer and Chairman (since 2007) and Director (since 1999) of Nuveen Investments, Inc.; Chief Executive Officer (since 2007) of Nuveen Investments Advisors, Inc.; Director (since 1998) formerly, Chief Executive Officer (2007-2010) of Nuveen Fund Advisors, Inc. | 246 | See Principal Occupation Description | |||||||
(1) | Length of Service indicates the year in which the individual became a Board Member of a fund in the Nuveen fund complex. | |
(2) | Also serves as a trustee of Nuveen Diversified Commodity Fund, an exchange-traded commodity pool managed by Nuveen Commodities Asset Management, LLC, an affiliate of each Funds Adviser. | |
(3) | In December 2010 Nuveen Investments, Inc. purchased from U.S. Bancorp a portion of FAF Advisors, Inc.s (FAF) asset management business (Nuveen/FAF Transaction). In connection with the Nuveen/FAF Transaction, and pursuant to the Nominating and Governance Committees recommendation and approval, Ms. Stringer resigned as a board member of various funds affiliated with FAF and was appointed Board Member of the Nuveen funds, with such appointment taking effect on January 1, 2011. | |
(4) | Interested person as defined in the 1940 Act, by reason of his positions with Nuveen Investments, Inc. and certain of its subsidiaries. |
13
14
15
Aggregate Compensation from the Funds(1) | ||||||||||||||||||||||||||||||||||||
Robert P. |
Jack B. |
William C. |
David J. |
William J. |
Judith M. |
Carole E. |
Virginia L. |
Terence J. |
||||||||||||||||||||||||||||
Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | Stringer | Toth | ||||||||||||||||||||||||||||
New York Dividend
|
$ | 825 | $ | 625 | $ | 519 | $ | 613 | $ | 627 | $ | 663 | $ | 532 | | $ | 610 | |||||||||||||||||||
New York Dividend 2
|
552 | 433 | 360 | 425 | 435 | 440 | 369 | | 423 | |||||||||||||||||||||||||||
New York Investment Quality
|
1,458 | 1,252 | 1,071 | 1,308 | 1,313 | 1,165 | 1,060 | | 1,228 | |||||||||||||||||||||||||||
New York Value
|
525 | 441 | 366 | 430 | 442 | 391 | 366 | | 428 | |||||||||||||||||||||||||||
New York Value 2
|
129 | 107 | 90 | 106 | 109 | 96 | 90 | | 104 | |||||||||||||||||||||||||||
New York Performance Plus
|
1,413 | 1,152 | 990 | 1,276 | 1,195 | 1,059 | 1,014 | | 1,206 | |||||||||||||||||||||||||||
New York Quality
|
2,236 | 1,835 | 1,595 | 2,054 | 1,926 | 1,665 | 1,633 | | 1,921 | |||||||||||||||||||||||||||
New York Select
|
2,017 | 1,732 | 1,482 | 1,810 | 1,816 | 1,612 | 1,467 | | 1,699 | |||||||||||||||||||||||||||
Insured New York Dividend
|
645 | 530 | 435 | 519 | 532 | 499 | 446 | | 516 | |||||||||||||||||||||||||||
Insured New York Premium
|
678 | 578 | 486 | 573 | 587 | 527 | 498 | | 563 | |||||||||||||||||||||||||||
Insured New York Tax-Free
|
359 | 266 | 221 | 261 | 267 | 290 | 226 | | 260 | |||||||||||||||||||||||||||
Core Equity
|
725 | 614 | 546 | 658 | 675 | 561 | 492 | | 600 | |||||||||||||||||||||||||||
Real Estate
|
1,335 | 1,084 | 985 | 1,287 | 1,197 | 977 | 967 | | 1,167 | |||||||||||||||||||||||||||
Diversified Dividend
|
1,399 | 1,169 | 1,085 | 1,365 | 1,285 | 1,072 | 1,052 | | 1,245 | |||||||||||||||||||||||||||
Equity Premium
|
775 | 657 | 584 | 705 | 723 | 601 | 527 | | 643 | |||||||||||||||||||||||||||
Equity Premium Advantage
|
1,191 | 1,011 | 897 | 1,084 | 1,112 | 924 | 810 | | 989 | |||||||||||||||||||||||||||
Equity Premium Income
|
1,719 | 1,459 | 1,295 | 1,564 | 1,605 | 1,334 | 1,169 | | 1,427 | |||||||||||||||||||||||||||
Equity Premium Opportunity
|
2,993 | 2,541 | 2,255 | 2,723 | 2,794 | 2,323 | 2,035 | | 2,486 | |||||||||||||||||||||||||||
Quality Preferred
|
2,703 | 2,202 | 1,992 | 2,602 | 2,427 | 1,985 | 1,958 | | 2,363 | |||||||||||||||||||||||||||
Quality Preferred 2
|
5,334 | 4,348 | 3,930 | 5,134 | 4,792 | 3,920 | 3,864 | | 4,665 | |||||||||||||||||||||||||||
Quality Preferred 3
|
1,014 | 827 | 747 | 976 | 911 | 745 | 735 | | 887 | |||||||||||||||||||||||||||
Tax-Advantaged
|
884 | 784 | 713 | 840 | 859 | 734 | 656 | | 770 | |||||||||||||||||||||||||||
Tax-Advantaged Dividend
|
1,062 | 882 | 812 | 1,032 | 970 | 806 | 791 | | 940 | |||||||||||||||||||||||||||
Global Government
|
536 | 448 | 370 | 439 | 448 | 396 | 370 | | 436 | |||||||||||||||||||||||||||
Global Value
|
1,352 | 1,168 | 1,063 | 1,252 | 1,282 | 1,081 | 958 | | 1,145 | |||||||||||||||||||||||||||
Mortgage Opportunity
|
1,372 | 2,108 | 986 | 1,148 | 1,183 | 2,133 | 880 | | 2,078 | |||||||||||||||||||||||||||
Mortgage Opportunity 2
|
398 | 261 | 213 | 249 | 255 | 333 | 213 | | 254 | |||||||||||||||||||||||||||
Multi-Currency
|
2,445 | 2,081 | 1,842 | 2,229 | 2,286 | 1,903 | 1,666 | | 2,037 |
16
Aggregate Compensation from the Funds(1) | ||||||||||||||||||||||||||||||||||||
Robert P. |
Jack B. |
William C. |
David J. |
William J. |
Judith M. |
Carole E. |
Virginia L. |
Terence J. |
||||||||||||||||||||||||||||
Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | Stringer | Toth | ||||||||||||||||||||||||||||
Multi-Strategy
|
$ | 5,750 | $ | 4,877 | $ | 4,589 | $ | 5,653 | $ | 5,352 | $ | 4,516 | $ | 4,419 | | $ | 5,163 | |||||||||||||||||||
Multi-Strategy 2
|
8,536 | 7,239 | 6,812 | 8,391 | 7,945 | 6,704 | 6,560 | | 7,663 | |||||||||||||||||||||||||||
Dow 30 Premium
|
| | | | | | | | | |||||||||||||||||||||||||||
Global Income
|
| | | | | | | | | |||||||||||||||||||||||||||
NASDAQ Premium
|
| | | | | | | | | |||||||||||||||||||||||||||
Dow 30 Enhanced
|
| | | | | | | | | |||||||||||||||||||||||||||
MLP & Strategic Equity
|
| | | | | | | | | |||||||||||||||||||||||||||
Total Compensation from Nuveen Funds Paid to
|
||||||||||||||||||||||||||||||||||||
Board Members/Nominees
|
$ | 265,748 | $ | 230,443 | $ | 199,401 | $ | 243,469 | $ | 243,212 | $ | 213,579 | $ | 188,000 | | $ | 230,630 | |||||||||||||||||||
(1) | Includes deferred fees. Pursuant to a deferred compensation agreement with certain of the Funds, deferred amounts are treated as though an equivalent dollar amount has been invested in shares of one or more eligible Nuveen funds. Total deferred fees for the Funds (including the return from the assumed investment in the eligible Nuveen funds) payable are: |
Deferred Fees | ||||||||||||||||||||||||||||||||||||
Robert P. |
Jack B. |
William C. |
David J. |
William J. |
Judith M. |
Carole E. |
Virginia L. |
Terence J. |
||||||||||||||||||||||||||||
Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | Stringer | Toth | ||||||||||||||||||||||||||||
New York Investment Quality
|
$ | 229 | $ | 329 | $ | 509 | $ | 1,308 | $ | 1,313 | $ | 663 | | | $ | 454 | ||||||||||||||||||||
New York Performance Plus
|
223 | 303 | 508 | 1,276 | 1,195 | 600 | | | 427 | |||||||||||||||||||||||||||
New York Quality
|
353 | 483 | 816 | 2,054 | 1,926 | 945 | | | 677 | |||||||||||||||||||||||||||
New York Select
|
317 | 455 | 704 | 1,810 | 1,816 | 917 | | | 628 | |||||||||||||||||||||||||||
Core Equity
|
117 | 167 | 409 | 658 | 675 | 313 | | | 184 | |||||||||||||||||||||||||||
Real Estate
|
216 | 296 | 799 | 1,287 | 1,197 | 538 | | | 330 | |||||||||||||||||||||||||||
Diversified Dividend
|
226 | 318 | 899 | 1,365 | 1,285 | 587 | | | 347 | |||||||||||||||||||||||||||
Equity Premium
|
125 | 179 | 437 | 705 | 723 | 335 | | | 197 | |||||||||||||||||||||||||||
Equity Premium Advantage
|
192 | 276 | 670 | 1,084 | 1,112 | 515 | | | 304 | |||||||||||||||||||||||||||
Equity Premium Income
|
278 | 398 | 969 | 1,564 | 1,605 | 744 | | | 439 | |||||||||||||||||||||||||||
Equity Premium Opportunity
|
483 | 693 | 1,684 | 2,723 | 2,794 | 1,295 | | | 765 | |||||||||||||||||||||||||||
Quality Preferred
|
437 | 601 | 1,605 | 2,602 | 2,427 | 1,095 | | | 672 | |||||||||||||||||||||||||||
Quality Preferred 2
|
862 | 1,186 | 3,159 | 5,134 | 4,792 | 2,162 | | | 1,330 | |||||||||||||||||||||||||||
Quality Preferred 3
|
164 | 225 | 600 | 976 | 911 | 411 | | | 253 | |||||||||||||||||||||||||||
Tax-Advantaged
|
142 | 213 | 575 | 840 | 859 | 403 | | | 222 | |||||||||||||||||||||||||||
Tax-Advantaged Dividend
|
171 | 240 | 662 | 1,032 | 970 | 443 | | | 266 |
17
Deferred Fees | ||||||||||||||||||||||||||||||||||||
Robert P. |
Jack B. |
William C. |
David J. |
William J. |
Judith M. |
Carole E. |
Virginia L. |
Terence J. |
||||||||||||||||||||||||||||
Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | Stringer | Toth | ||||||||||||||||||||||||||||
Global Value
|
$ | 218 | $ | 318 | $ | 835 | $ | 1,252 | $ | 1,282 | $ | 597 | | | $ | 339 | ||||||||||||||||||||
Mortgage Opportunity
|
163 | 512 | 810 | 946 | 976 | 967 | | | 416 | |||||||||||||||||||||||||||
Mortgage Opportunity 2
|
| | | | | | | | | |||||||||||||||||||||||||||
Multi-Currency
|
394 | 567 | 1,349 | 2,229 | 2,286 | 1,064 | | | 636 | |||||||||||||||||||||||||||
Global Government
|
| | | | | | | | | |||||||||||||||||||||||||||
Multi-Strategy
|
927 | 1,325 | 3,879 | 5,653 | 5,352 | 2,464 | | | 1,413 | |||||||||||||||||||||||||||
Multi-Strategy 2
|
1,376 | 1,965 | 5,763 | 8,391 | 7,945 | 3,656 | | | 2,096 | |||||||||||||||||||||||||||
Dow 30 Premium
|
| | | | | | | | | |||||||||||||||||||||||||||
Global Income
|
| | | | | | | | | |||||||||||||||||||||||||||
NASDAQ Premium
|
| | | | | | | | | |||||||||||||||||||||||||||
Dow 30 Enhanced
|
| | | | | | | | | |||||||||||||||||||||||||||
MLP & Strategic Equity
|
| | | | | | | | | |||||||||||||||||||||||||||
18
19
20
21
22
23
24
25
26
Number of |
||||||||||
Term of |
Portfolios |
|||||||||
Office and |
in Fund |
|||||||||
Position(s) |
Length of |
Complex |
||||||||
Name, Address |
Held |
Time |
Principal Occupation(s) |
Served by |
||||||
and Birth Date | with Fund | Served(1) | During Past 5 Years | Officer | ||||||
Gifford R. Zimmerman 333 West Wacker Drive Chicago, IL 60606 (9/9/56) |
President of Maryland Corporations and Chief Administrative Officer of all other Funds | Term: Annual Length of Service: Since 1988 | Managing Director (since 2002), Assistant Secretary and Associate General Counsel of Nuveen Investments, LLC; Managing Director (since 2002), Assistant Secretary (since 1997) and Co-General Counsel (since 2011) of Nuveen Fund Advisors; Managing Director (since 2004) and Assistant Secretary (since 1994) of Nuveen Investments, Inc.; Managing Director, Assistant Secretary and Associate General Counsel of Nuveen Asset Management, LLC (since 2011); Vice President and Assistant Secretary of NWQ Investment Management Company, LLC and Nuveen Investments Advisers Inc. (since 2002); Managing Director, Associate General Counsel and Assistant Secretary of Symphony Asset Management LLC (since 2003); Vice President and Assistant Secretary of Tradewinds Global Investors, LLC and Santa Barbara Asset Management, LLC (since 2006), and Nuveen HydePark Group, LLC and Nuveen Investment Solutions, Inc. (since 2007) and of Winslow Capital Management, Inc. (since 2010); Chief Administrative Officer and Chief Compliance Officer (since 2010) of Nuveen Commodities Asset Management, LLC; Chartered Financial Analyst. | 246 | ||||||
27
Number of |
||||||||||
Term of |
Portfolios |
|||||||||
Office and |
in Fund |
|||||||||
Position(s) |
Length of |
Complex |
||||||||
Name, Address |
Held |
Time |
Principal Occupation(s) |
Served by |
||||||
and Birth Date | with Fund | Served(1) | During Past 5 Years | Officer | ||||||
Williams Adams IV 333 West Wacker Drive Chicago, IL 60606 (6/9/55) |
Vice President | Term: Annual Length of Service: Since 2007 | Senior Executive Vice President, Global Structured Products, formerly, Executive Vice President (1999-2010) of Nuveen Investments, LLC; Co-President of Nuveen Fund Advisors, Inc. (since 2011); Managing Director (since 2010) of Nuveen Commodities Asset Management, LLC. | 132 | ||||||
Cedric H. Antosiewicz 333 West Wacker Drive Chicago, IL 60606 (1/11/62) |
Vice President | Term: Annual Length of Service: Since 2007 | Managing Director (since 2004) of Nuveen Investments LLC. | 132 | ||||||
Margo L. Cook 333 West Wacker Drive Chicago, IL 60606 (4/11/64) |
Vice President | Term: Annual Length of Service: Since 2009 | Executive Vice President (since 2008) of Nuveen Investments, Inc. and of Nuveen Fund Advisors (since 2011); previously, Head of Institutional Asset Management (2007-2008) of Bear Stearns Asset Management; Head of Institutional Asset Mgt. (1986-2007) of Bank of NY Mellon; Chartered Financial Analyst. | 246 | ||||||
Lorna C. Ferguson 333 West Wacker Drive Chicago, IL 60606 (10/24/45) |
Vice President | Term: Annual Length of Service: Since 1998 | Managing Director (since 2004) of Nuveen Investments, LLC; Managing Director (since 2005) of Nuveen Fund Advisors. | 246 | ||||||
Stephen D. Foy 333 West Wacker Drive Chicago, IL 60606 (5/31/54) |
Vice President and Controller | Term: Annual Length of Service: Since 1993 | Senior Vice President (since 2010); formerly, Vice President (1993-2010) and Funds Controller (since 1998) of Nuveen Investments, LLC; Vice President (2005-2010) of Nuveen Fund Advisors; Certified Public Accountant. | 246 | ||||||
28
Number of |
||||||||||
Term of |
Portfolios |
|||||||||
Office and |
in Fund |
|||||||||
Position(s) |
Length of |
Complex |
||||||||
Name, Address |
Held |
Time |
Principal Occupation(s) |
Served by |
||||||
and Birth Date | with Fund | Served(1) | During Past 5 Years | Officer | ||||||
Scott S. Grace 333 West Wacker Drive Chicago, IL 60606 (8/20/70) |
Vice President and Treasurer | Term: Annual Length of Service: Since 2009 | Managing Director, Corporate Finance & Development, Treasurer (since September 2009) of Nuveen Investments, LLC; Managing Director and Treasurer of Nuveen Investment Solutions, Inc., Nuveen Investments Advisers, Inc., Nuveen Investments Holdings, Inc., Nuveen Fund Advisors and (since 2011) of Nuveen Asset Management, LLC; Vice President and Treasurer of NWQ Investment Management Company, LLC, Tradewinds Global Investors, LLC, Symphony Asset Management LLC and Winslow Capital Management, Inc.; Vice President of Santa Barbara Asset Management, LLC; formerly, Treasurer (2006-2009), Senior Vice President (2008-2009), previously, Vice President (2006-2008) of Janus Capital Group, Inc.; formerly, Senior Associate in Morgan Stanleys Global Financial Services Group (2000-2003); Chartered Accountant Designation. | 246 | ||||||
Walter M. Kelly 333 West Wacker Drive Chicago, IL 60606 (2/24/70) |
Chief Compliance Officer and Vice President | Term: Annual Length of Service: Since 2003 | Senior Vice President (since 2008), formerly, Vice President, of Nuveen Investments, LLC; Senior Vice President (since 2008) and Assistant Secretary (since 2003), of Nuveen Fund Advisors; previously, Assistant Vice President and Assistant Secretary of the Nuveen Funds (2003-2006). | 246 | ||||||
Tina M. Lazar 333 West Wacker Drive Chicago, IL 60606 (8/27/61) |
Vice President | Term: Annual Length of Service: Since 2002 | Senior Vice President (since 2009), formerly, Vice President of Nuveen Investments, LLC (1999-2009); Senior Vice President (since 2010), formerly, Vice President (2005-2010) of Nuveen Fund Advisors. | 246 | ||||||
29
Number of |
||||||||||
Term of |
Portfolios |
|||||||||
Office and |
in Fund |
|||||||||
Position(s) |
Length of |
Complex |
||||||||
Name, Address |
Held |
Time |
Principal Occupation(s) |
Served by |
||||||
and Birth Date | with Fund | Served(1) | During Past 5 Years | Officer | ||||||
Larry W. Martin 333 West Wacker Drive Chicago, IL 60606 (7/27/51) |
Vice President and Assistant Secretary | Term: Annual Length of Service: Since 1988 | Senior Vice President (since 2010), formerly, Vice President (1993-2010), Assistant Secretary and Assistant General Counsel of Nuveen Investments, LLC; Senior Vice President (since 2011) of Nuveen Asset Management, LLC; Senior Vice President (since 2010), formerly, Vice President (2005-2010), and Assistant Secretary of Nuveen Investments, Inc.; Senior Vice President (since 2010), formerly, Vice President (2005-2010), and Assistant Secretary (since 1997) of Nuveen Fund Advisors; Vice President and Assistant Secretary of Nuveen Investments Advisers Inc. (since 2002), NWQ Investment Management Company, LLC, Symphony Asset Management, LLC. (since 2003), Tradewinds Global Investors, LLC, Santa Barbara Asset Management LLC (since 2006), Nuveen HydePark Group, LLC, Nuveen Investment Solutions, Inc. (since 2007) and of Winslow Capital Management, Inc. (since 2010); Vice President and Assistant Secretary of Nuveen Commodities Asset Management, LLC (since 2010). | 246 | ||||||
30
Number of |
||||||||||
Term of |
Portfolios |
|||||||||
Office and |
in Fund |
|||||||||
Position(s) |
Length of |
Complex |
||||||||
Name, Address |
Held |
Time |
Principal Occupation(s) |
Served by |
||||||
and Birth Date | with Fund | Served(1) | During Past 5 Years | Officer | ||||||
Kevin J. McCarthy 333 West Wacker Drive Chicago, IL 60606 (3/26/66) |
Vice President and Secretary | Term: Annual Length of Service: Since 2007 | Managing Director (since 2008), formerly, Vice President (2007-2008) of Nuveen Investments, LLC; Managing Director (since 2008), Assistant Secretary (since 2007) and Co-General Counsel (since 2011) of Nuveen Fund Advisors; Managing Director, Assistant Secretary and Associate General Counsel (since 2011) of Nuveen Asset Management, LLC; Vice President and Assistant Secretary of Nuveen Investment Advisers Inc., NWQ Investment Management Company, LLC, Tradewinds Global Investors, LLC, NWQ Holdings, LLC, Symphony Asset Management LLC, Santa Barbara Asset Management, LLC, Nuveen HydePark Group, LLC, Nuveen Investment Solutions, Inc. and of Winslow Capital Management, Inc. (since 2010); Vice President and Secretary (since 2010) of Nuveen Commodities Asset Management, LLC; prior thereto, Partner, Bell, Boyd & Lloyd LLP (1997-2007). | 246 | ||||||
Kathleen L. Prudhomme 800 Nicollet Mall Minneapolis, MN 55402 (3/30/53) |
Vice President and Assistant Secretary | Term: Annual Length of Service: Since 2011 | Managing Director, Assistant Secretary and Co-General Counsel (since 2011) of Nuveen Fund Advisors; Managing Director, Assistant Secretary and Associate General Counsel (since 2011) of Nuveen Asset Management, LLC; Managing Director and Assistant Secretary (since 2011) of Nuveen Investments, LLC; formerly, Secretary of FASF (2004-2010); prior thereto, Assistant Secretary of FASF (1998-2004); Deputy General Counsel, FAF Advisors, Inc. (1998-2010). | 246 | ||||||
(1) | Length of Time Served indicates the year the individual became an officer of a fund in the Nuveen fund complex. |
31
32
Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Adviser and |
Adviser and |
Adviser and |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Funds(1) | Fund(2) | Adviser Entitles | Fund(3) | Adviser Entitles | Fund(4) | Adviser Entitles | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
Fiscal |
|||||||||||||||||||||||||||||||||||||||||||||||
Year |
Year |
Year |
Year |
Year |
Year |
Year |
Year |
Year |
Year |
Year |
Year |
Year |
Year |
|||||||||||||||||||||||||||||||||||||||||||||||
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
Ended |
|||||||||||||||||||||||||||||||||||||||||||||||
2009 | 2010 | 2009 | 2010 | 2009 | 2010 | 2009 | 2010 | 2009 | 2010 | 2009 | 2010 | 2009 | 2010 | |||||||||||||||||||||||||||||||||||||||||||||||
New York Dividend
|
$ | 13,112 | $ | 13,493 | $ | 0 | $ | 20,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 850 | $ | 850 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||||||
New York Dividend 2
|
11,297 | 11,561 | 0 | 12,500 | 0 | 0 | 0 | 0 | 0 | 0 | 850 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
New York Investment Quality
|
19,617 | 19,673 | 0 | 1,500 | 0 | 0 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
New York Value
|
12,084 | 12,200 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
New York Value
2(5)
|
9,000 | 8,493 | 8,000 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
New York Performance Plus
|
17,507 | 17,901 | 0 | 1,500 | 0 | 0 | 0 | 0 | 0 | 0 | 3,400 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
New York Quality
|
24,373 | 24,443 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
New York Select
|
24,162 | 24,439 | 0 | 1,500 | 0 | 0 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Insured New York Dividend
|
12,798 | 12,885 | 6,250 | 1,500 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Insured New York Premium
|
13,075 | 13,096 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Insured New York Tax-Free
|
9,835 | 9,919 | 0 | 12,500 | 0 | 0 | 0 | 0 | 0 | 0 | 850 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Core Equity
|
17,227 | 25,273 | 0 | 0 | 0 | 0 | 2,750 | 2,840 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Real Estate
|
23,500 | 23,600 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Diversified Dividend
|
33,000 | 33,100 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Equity Premium
|
18,224 | 25,425 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Equity Premium Advantage
|
22,782 | 26,485 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Equity Premium Income
|
28,937 | 27,793 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Equity Premium Opportunity
|
42,894 | 30,994 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Quality Preferred
|
22,502 | 22,304 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Quality Preferred 2
|
34,585 | 34,900 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Quality Preferred 3
|
14,163 | 14,346 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Tax-Advantaged
|
26,000 | 26,100 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Tax-Advantaged Dividend
|
22,000 | 22,100 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Global Government
|
26,316 | 38,894 | 0 | 0 | 0 | 0 | 2,500 | 2,575 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Global Value
|
20,530 | 26,472 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Mortgage
Opportunity(6)
|
36,500 | 40,787 | 0 | 5,500 | 0 | 0 | 0 | 15,358 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Mortgage Opportunity
2(7)
|
N/A | 38,519 | N/A | 5,500 | N/A | 0 | N/A | 6,592 | N/A | 0 | N/A | 0 | N/A | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Multi-Currency
|
50,816 | 43,722 | 0 | 0 | 0 | 0 | 2,500 | 2,575 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Multi-Strategy
|
23,436 | 23,484 | 0 | 0 | 0 | 0 | 3,785 | 2,257 | 0 | 0 | 6,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Multi-Strategy 2
|
29,564 | 29,716 | 0 | 0 | 0 | 0 | 3,441 | 2,051 | 0 | 0 | 6,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Dow 30
Premium(8)
|
23,000 | 26,000 | 0 | 0 | 0 | 0 | 8,500 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Global
Income(8)
|
30,000 | 26,000 | 0 | 0 | 0 | 0 | 8,500 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
NASDAQ
Premium(9)
|
31,000 | 26,000 | 0 | 0 | 0 | 0 | 8,500 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
Dow 30
Enhanced(8)
|
31,000 | 26,000 | 0 | 0 | 0 | 0 | 8,500 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
MLP & Strategic
Equity(8)
|
40,000 | 50,000 | 0 | 0 | 0 | 0 | 10,000 | 15,000 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||
(1) | Audit Fees are the aggregate fees billed for professional services for the audit of the Funds annual financial statements and services provided in connection with statutory and regulatory filings or engagements. | |
(2) | Audit Related Fees are the aggregate fees billed for assurance and related services reasonably related to the performance of audit or review of financial statements and are not reported under Audit Fees. | |
(3) | Tax Fees are the aggregate fees billed for professional services for tax advice, tax compliance and tax planning. | |
(4) | All Other Fees are the aggregate fees billed for products and services for agreed-upon procedures engagements for the leveraged Funds. | |
(5) | The Fund commenced operations on April 28, 2009. | |
(6) | The Fund commenced operations on November 25, 2009. | |
(7) | The Fund commenced operations on February 24, 2010. | |
(8) | The Fund was acquired on October 6, 2010. | |
(9) | The Fund was acquired on October 28, 2010. |
33
Total Non-Audit Fees Billed |
||||||||||||||||||||||||||||||||
to |
||||||||||||||||||||||||||||||||
Adviser and Adviser Entitles |
||||||||||||||||||||||||||||||||
(Engagements Related |
Total Non-Audit Fees Billed |
|||||||||||||||||||||||||||||||
Directly to the Operations |
to |
|||||||||||||||||||||||||||||||
Total Non-Audit |
and |
Adviser and Adviser Entitles |
||||||||||||||||||||||||||||||
Fees Billed to Fund | Financial Reporting of Fund) | (All Other Engagements) | Total | |||||||||||||||||||||||||||||
Fiscal Year |
Fiscal Year |
Fiscal Year |
Fiscal Year |
Fiscal Year |
Fiscal Year |
Fiscal Year |
Fiscal Year |
|||||||||||||||||||||||||
Ended 2009 | Ended 2010 | Ended 2009 | Ended 2010 | Ended 2009 | Ended 2010 | Ended 2009 | Ended 2010 | |||||||||||||||||||||||||
New York Dividend
|
$ | 850 | $ | 850 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 850 | $ | 850 | ||||||||||||||||
New York Dividend 2
|
850 | 0 | 0 | 0 | 0 | 0 | 850 | 0 | ||||||||||||||||||||||||
New York Investment Quality
|
3,400 | 3,400 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | ||||||||||||||||||||||||
New York Value
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
New York Value
2(1)
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
New York Performance Plus
|
3,400 | 1,700 | 0 | 0 | 0 | 0 | 3,400 | 1,700 | ||||||||||||||||||||||||
New York Quality
|
3,400 | 3,400 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | ||||||||||||||||||||||||
New York Select
|
3,400 | 3,400 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | ||||||||||||||||||||||||
Insured New York Dividend
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
Insured New York Premium
|
3,400 | 3,400 | 0 | 0 | 0 | 0 | 3,400 | 3,400 | ||||||||||||||||||||||||
Insured New York Tax-Free
|
850 | 0 | 0 | 0 | 0 | 0 | 850 | 0 | ||||||||||||||||||||||||
Core Equity
|
2,750 | 2,840 | 0 | 0 | 0 | 0 | 2,750 | 2,840 | ||||||||||||||||||||||||
Real Estate
|
6,000 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | ||||||||||||||||||||||||
Diversified Dividend
|
2,000 | 0 | 0 | 0 | 0 | 0 | 2,000 | 0 | ||||||||||||||||||||||||
Equity Premium
|
1,850 | 1,905 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | ||||||||||||||||||||||||
Equity Premium Advantage
|
1,850 | 1,905 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | ||||||||||||||||||||||||
Equity Premium Income
|
1,850 | 1,905 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | ||||||||||||||||||||||||
Equity Premium Opportunity
|
1,850 | 1,905 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | ||||||||||||||||||||||||
Quality Preferred
|
6,000 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | ||||||||||||||||||||||||
Quality Preferred 2
|
6,000 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | ||||||||||||||||||||||||
Quality Preferred 3
|
6,000 | 0 | 0 | 0 | 0 | 0 | 6,000 | 0 | ||||||||||||||||||||||||
Tax-Advantaged
|
2,000 | 0 | 0 | 0 | 0 | 0 | 2,000 | 0 | ||||||||||||||||||||||||
Tax-Advantaged Dividend
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
Global Government
|
2,500 | 2,575 | 0 | 0 | 0 | 0 | 2,500 | 2,575 | ||||||||||||||||||||||||
Global Value
|
1,850 | 1,905 | 0 | 0 | 0 | 0 | 1,850 | 1,905 | ||||||||||||||||||||||||
Mortgage
Opportunity(2)
|
0 | 15,358 | 0 | 0 | 0 | 0 | 0 | 15,358 | ||||||||||||||||||||||||
Mortgage Opportunity
2(3)
|
N/A | 6,592 | N/A | 0 | N/A | 0 | N/A | 6,592 | ||||||||||||||||||||||||
Multi-Currency
|
2,500 | 2,575 | 0 | 0 | 0 | 0 | 2,500 | 2,575 | ||||||||||||||||||||||||
Multi-Strategy
|
9,785 | 2,257 | 0 | 0 | 0 | 0 | 9,785 | 2,257 | ||||||||||||||||||||||||
Multi-Strategy 2
|
9,441 | 2,051 | 0 | 0 | 0 | 0 | 9,441 | 2,051 | ||||||||||||||||||||||||
Dow 30
Premium(4)
|
8,500 | 0 | 0 | 0 | 0 | 0 | 8,500 | 0 | ||||||||||||||||||||||||
Global
Income(4)
|
8,500 | 0 | 0 | 0 | 0 | 0 | 8,500 | 0 | ||||||||||||||||||||||||
NASDAQ
Premium(5)
|
8,500 | 0 | 0 | 0 | 0 | 0 | 8,500 | 0 | ||||||||||||||||||||||||
Dow 30
Enhanced(4)
|
8,500 | 0 | 0 | 0 | 0 | 0 | 8,500 | 0 | ||||||||||||||||||||||||
MLP & Strategic
Equity(4)
|
10,000 | 15,000 | 0 | 0 | 0 | 0 | 10,000 | 15,000 | ||||||||||||||||||||||||
(1) | The Fund commenced operations on April 28, 2009. | |
(2) | The Fund commenced operations on November 25, 2009. | |
(3) | The Fund commenced operations on February 24, 2010. | |
(4) | The Fund was acquired on October 6, 2010. | |
(5) | The Fund was acquired on October 28, 2010. |
34
35
36
37
38
Dollar Range of Equity Securities | ||||||||||||||||||||||||||||||||||||
New York |
New York |
Insured |
||||||||||||||||||||||||||||||||||
New York |
New York |
Investment |
New York |
New York |
Performance |
New York |
New York |
New York |
||||||||||||||||||||||||||||
Board Member Nominees | Dividend | Dividend 2 | Quality | Value | Value 2 | Plus | Quality | Select | Dividend | |||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the
Funds
|
||||||||||||||||||||||||||||||||||||
Robert P. Bremner
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
Jack B. Evans
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
William C. Hunter
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
David J. Kundert
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
William J. Schneider
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
Judith M. Stockdale
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
Carole E. Stone
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
Virginia L. Stringer
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
Terence J. Toth
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the
Funds
|
||||||||||||||||||||||||||||||||||||
John P. Amboian
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||
A-1
Dollar Range of Equity Securities | ||||||||||||||||||||||||||||||||
Insured |
Insured |
Equity |
Equity |
|||||||||||||||||||||||||||||
New York |
New York |
Core |
Diversified |
Equity |
Premium |
Premium |
||||||||||||||||||||||||||
Board Member Nominees | Premium | Tax-Free | Equity | Real Estate | Dividend | Premium | Advantage | Income | ||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the
Funds
|
||||||||||||||||||||||||||||||||
Robert P. Bremner
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
Jack B. Evans
|
$ | 0 | $ | 0 | $ | 0 | $ | 10,001-50,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
William C. Hunter
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
David J. Kundert
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
William J. Schneider
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
Judith M. Stockdale
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 10,001-$50,000 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
Carole E. Stone
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
Virginia L. Stringer
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
Terence J. Toth
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
Board Member/Nominee who is an interested person of the
Funds
|
||||||||||||||||||||||||||||||||
John P. Amboian
|
$ | 0 | $ | 0 | Over $ | 100,000 | Over $ | 100,000 | $ | 50,001-$100,000 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||
A-2
Dollar Range of Equity Securities | ||||||||||||||||||||||||||||||||||||||||
Equity |
Tax- |
|||||||||||||||||||||||||||||||||||||||
Premium |
Quality |
Quality |
Quality |
Tax- |
Advantaged |
Global |
Global |
Mortgage |
Mortgage |
|||||||||||||||||||||||||||||||
Board Member Nominees | Opportunity | Preferred | Preferred 2 | Preferred 3 | Advantaged | Dividend | Government | Value | Opportunity | Opportunity 2 | ||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the
Funds
|
||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 50,001-$100,000 | $ | 0 | $ | 0 | Over $ | 100,000 | $ | 0 | $ | 0 | ||||||||||||||||||||
Jack B. Evans
|
$ | 0 | $ | 0 | $ | 10,001-$50,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||
William C. Hunter
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||
David J. Kundert
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||
William J. Schneider
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | $ | 0 | ||||||||||||||||||||
Judith M. Stockdale
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 10,001-$50,000 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||
Carole E. Stone
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||
Virginia L. Stringer
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||||
Terence J. Toth
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||
Board Member/Nominee who is an interested person of the
Funds
|
||||||||||||||||||||||||||||||||||||||||
John P. Amboian
|
$ | 0 | $ | 0 | $ | 10,001-$50,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | $ | 0 | $ | 0 | ||||||||||||||||||||
A-3
Dollar Range of Equity Securities | ||||||||||||||||||||||||||||||||||||
Aggregate |
||||||||||||||||||||||||||||||||||||
Range of Equity; |
||||||||||||||||||||||||||||||||||||
Securities in |
||||||||||||||||||||||||||||||||||||
All Registered |
||||||||||||||||||||||||||||||||||||
Investment |
||||||||||||||||||||||||||||||||||||
Companies |
||||||||||||||||||||||||||||||||||||
Overseen by |
||||||||||||||||||||||||||||||||||||
Board Member |
||||||||||||||||||||||||||||||||||||
Nominees in |
||||||||||||||||||||||||||||||||||||
MLP & |
Family of |
|||||||||||||||||||||||||||||||||||
Multi- |
Multi- |
Multi- |
Dow 30 |
Global |
NASDAQ |
Dow 30 |
Strategic |
Investment |
||||||||||||||||||||||||||||
Board Member Nominees | Currency | Strategy | Strategy 2 | Premium | Income | Premium | Enhanced | Equity | Companies(1) | |||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the
Funds
|
||||||||||||||||||||||||||||||||||||
Robert P. Bremner
|
$ | 0 | $ | 10,001-$50,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
Jack B. Evans
|
$ | 0 | $ | 10,001-$50,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
William C. Hunter
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
David J. Kundert
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
William J. Schneider
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
Judith M. Stockdale
|
$ | 0 | $ | 0 | $ | 1-$10,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
Carole E. Stone
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
Virginia L. Stringer
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
Terence J. Toth
|
$ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the
Funds
|
||||||||||||||||||||||||||||||||||||
John P. Amboian
|
Over $ | 100,000 | $ | 0 | Over $ | 100,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | Over $ | 100,000 | ||||||||||||||||||
(1) | The amounts reflect the aggregate dollar range of equity securities of the number of shares beneficially owned by the Board Member in the Funds and in all Nuveen funds overseen by each Board Member. |
A-4
Fund Shares Owned By Board Member Nominees And Officers(1) | ||||||||||||||||||||||||||||||||||||
New York |
Insured |
|||||||||||||||||||||||||||||||||||
Board Member Nominees/Board |
New York |
New York |
Investment |
New York |
New York |
New York |
New York |
New York |
New York |
|||||||||||||||||||||||||||
Members
|
Dividend | Dividend 2 | Quality | Value | Value 2 | Performance Plus | Quality | Select | Dividend | |||||||||||||||||||||||||||
Nominees/Board Members who are not interested persons of the
Funds
|
||||||||||||||||||||||||||||||||||||
Robert P. Bremner
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Jack B. Evans
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
William C. Hunter
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
David J. Kundert
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
William J. Schneider
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Judith M. Stockdale
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Carole E. Stone
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Virginia L. Stringer
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Terence J. Toth
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Nominee who is an interested person of the Funds
|
||||||||||||||||||||||||||||||||||||
John P. Amboian
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
All Board Member Nominees
and Officers as a Group |
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
A-5
Fund Shares Owned By Board Member Nominees And Officers(1) | ||||||||||||||||||||||||||||||||
Insured |
Insured |
Equity |
Equity |
|||||||||||||||||||||||||||||
New York |
New York |
Core |
Real |
Diversified |
Equity |
Premium |
Premium |
|||||||||||||||||||||||||
Board Member Nominees/Board Members | Premium | Tax-Free | Equity | Estate | Dividend | Premium | Advantage | Income | ||||||||||||||||||||||||
Nominees/Board Members who are not interested persons of the
Funds
|
||||||||||||||||||||||||||||||||
Robert P. Bremner
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
Jack B. Evans
|
0 | 0 | 0 | 1,100 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
William C. Hunter
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
David J. Kundert
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
William J. Schneider
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
Judith M. Stockdale
|
0 | 0 | 0 | 0 | 2,388 | 0 | 0 | 0 | ||||||||||||||||||||||||
Carole E. Stone
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
Virginia L. Stringer
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
Terence J. Toth
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the
Funds
|
||||||||||||||||||||||||||||||||
John P. Amboian
|
0 | 0 | 25,820 | 20,000 | 7,000 | 0 | 0 | 0 | ||||||||||||||||||||||||
All Board Member Nominees and Officers as a Group
|
0 | 0 | 25,820 | 39,400 | 11,388 | 0 | 0 | 0 | ||||||||||||||||||||||||
A-6
Fund Shares Owned By Board Member Nominees And Officers(1) | ||||||||||||||||||||||||||||||||||||
Equity |
Tax- |
|||||||||||||||||||||||||||||||||||
Premium |
Quality |
Quality |
Quality |
Tax- |
Advantaged |
Global |
Global |
Mortgage |
||||||||||||||||||||||||||||
Board Member Nominees/Board Members | Opportunity | Preferred | Preferred 2 | Preferred 3 | Advantaged | Dividend | Government | Value | Opportunity | |||||||||||||||||||||||||||
Nominees/Board Members who are not interested persons of the
Fund
|
||||||||||||||||||||||||||||||||||||
Robert P. Bremner
|
0 | 0 | 0 | 0 | 7,500 | 0 | 0 | 12,500 | 0 | |||||||||||||||||||||||||||
Jack B. Evans
|
0 | 0 | 4,400 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
William C. Hunter
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
David J. Kundert
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
William J. Schneider
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 4,000 | |||||||||||||||||||||||||||
Judith M. Stockdale
|
0 | 0 | 0 | 0 | 0 | 0 | 871 | 0 | 0 | |||||||||||||||||||||||||||
Carole E. Stone
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Virginia L. Stringer
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Terence J. Toth
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Nominee who is an interested person of the Fund
|
||||||||||||||||||||||||||||||||||||
John P. Amboian
|
0 | 0 | 2,000 | 0 | 0 | 0 | 0 | 22,000 | 0 | |||||||||||||||||||||||||||
All Board Members Nominees/Officers as a Group
|
0 | 0 | 6,400 | 0 | 7,500 | 2,000 | 871 | 34,500 | 4,000 | |||||||||||||||||||||||||||
A-7
Fund Shares Owned By Board Member Nominees And Officers(1) | ||||||||||||||||||||||||||||||||||||
MLP & |
||||||||||||||||||||||||||||||||||||
Mortgage |
Multi- |
Multi- |
Multi- |
Dow 30 |
Global |
NASDAQ |
Dow 30 |
Strategic |
||||||||||||||||||||||||||||
Board Member Nominees/Board Members | Opportunity 2 | Currency | Strategy | Strategy 2 | Premium | Income | Premium | Enhanced | Equity | |||||||||||||||||||||||||||
Nominees/Board Members who are not interested persons of the
Fund
|
||||||||||||||||||||||||||||||||||||
Robert P. Bremner
|
0 | 0 | 3,500 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Jack B. Evans
|
0 | 0 | 2,000 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
William C. Hunter
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
David J. Kundert
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
William J. Schneider
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Judith M. Stockdale
|
0 | 0 | 0 | 864 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Carole E. Stone
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Virginia L. Stringer
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Terence J. Toth
|
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
Nominee who is an interested person of the Fund
|
||||||||||||||||||||||||||||||||||||
John P. Amboian
|
0 | 0 | 0 | 32,000 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
All Board Members Nominees/Officers as a Group
|
0 | 4,200 | 7,500 | 32,864 | 0 | 0 | 0 | 0 | 0 | |||||||||||||||||||||||||||
(1) | The numbers include share equivalents of certain Nuveen funds in which the Board Member is deemed to be invested pursuant to the Deferred Compensation Plan for Independent Board Members as more fully described in the Proxy Statement. |
A-8
Amount of |
Percentage |
|||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
New York Dividend (NAN)
Auction Rate Preferred Shares |
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 |
111 | 12.70 | % | ||||||
Blue Ridge Investments, L.L.C. 214 North Tryon Street Charlotte, NC 28255 |
86 | 9.80 | % | |||||||
NAN PrC
MuniFund Term Preferred Shares |
Karpus Management Inc. 183 Sullys Trail Pittsford, NY 14534 |
169,800 | 6.70 | % | ||||||
NAN PrD
MuniFund Term Preferred Shares |
Karpus Management Inc. 183 Sullys Trail Pittsford, NY 14534 |
262,081 | 8.74 | % | ||||||
New York Dividend 2 (NXK PrC)
MuniFund Term Preferred Shares |
Karpus Management Inc. 183 Sullys Trail Pittsford, NY 14534 |
1,048,969 | 27.68 | % | ||||||
New York Investment Quality (NQN)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
1,918,014 | 11.00 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
New York Performance Plus (NNP)
Auction Rate Preferred Shares |
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 |
653 | 18.60 | % | ||||||
Blue Ridge Investments, L.L.C. 214 North Tryon Street Charlotte, NC 28255 |
572 | 16.30 | % |
B-1
Amount of |
Percentage |
|||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
New York Quality (NUN)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
2,034,013 | 8.60 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
New York Select (NVN)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
1,867,799 | 8.10 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Insured New York Premium (NNF)
Auction Rate Preferred Shares |
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland |
146 | 7.25 | % | ||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 |
657 | 32.60 | % | |||||||
Royal Bank of
Canada(2) 200 Bay Street Toronto, Ontario M5J2J5 Canada |
118 | 5.80 | % | |||||||
RBC Capital
Markets(2) One Liberty Plaza 165 Broadway New York, NY 10006 |
||||||||||
Blue Ridge Investments, L.L.C. 214 North Tryon Street Charlotte, NC 28255 |
652 | 32.40 | % |
B-2
Amount of |
Percentage |
|||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Insured New York Tax-Free (NRK PrC)
MuniFund Term Preferred Shares |
Karpus Management Inc. 183 Sullys Trail Pittsford, NY 14534 |
880,875 | 31.82 | % | ||||||
Core Equity (JCE)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
1,204,207 | 7.50 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Real Estate (JDD)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
1,040,564 | 5.20 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Equity Premium (JPG)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
2,273,614 | 13.90 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Equity Premium Advantage (JLA)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
3,851,558 | 14.90 | % |
B-3
Amount of |
Percentage |
|||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Guggenheim Funds Distributors, Inc. 2455 Corporate West Drive Lisle, IL 60532 |
1,674,027 | 6.47 | % | |||||||
Equity Premium Income (JPZ)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
3,324,086 | 8.60 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Equity Premium Opportunity (JSN)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
4,488,857 | 6.80 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Tax-Advantaged (JTA)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
1,428,351 | 10.30 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
B-4
Amount of |
Percentage |
|||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Tax-Advantaged Dividend (JGG)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
909,701 | 9.70 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Global Value (JGV)
Common Shares |
Morgan Stanley(3) 1585 Broadway New York, NY 10036 |
1,987,460 | 10.4 | % | ||||||
Morgan Stanley Smith Barney
LLC(3) 1585 Broadway New York, NY 10036 |
||||||||||
Dow 30 Premium (DPD)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
1,203,941 | 10.10 | % | ||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
Global Income (GCF)
Common Shares |
Wells Fargo and Company 420 Montgomery Street San Francisco, CA 94104 |
578,595 | 10.25 | % | ||||||
MLP & Strategic Equity (MTP)
Common Shares |
First Trust Portfolios
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
2,640,612 | 17.90 | % |
B-5
Amount of |
Percentage |
|||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
First Trust Advisors
L.P.(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
||||||||||
The Charger
Corporation(1) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 |
* | The information contained in this table is based on Schedule 13G filings made on or after December 31, 2009. | |
(1) | First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation filed their Schedule 13G jointly and did not differentiate holdings as between each entity. | |
(2) | Royal Bank of Canada and RBC Capital Markets filed their Schedule 13G jointly and did not differentiate holdings as between each entity. | |
(3) | Morgan Stanley and Morgan Stanley Smith Barney LLC filed their Schedule 13G jointly and did not differentiate holdings as between each entity. |
B-6
Compliance, Risk |
||||||||||||||||||||||||||||
Management |
Nominating |
|||||||||||||||||||||||||||
and Regulatory |
and |
|||||||||||||||||||||||||||
Regular |
Special |
Executive |
Dividend |
Oversight |
Audit |
Governance |
||||||||||||||||||||||
Board |
Board |
Committee |
Committee |
Committee |
Committee |
Committee |
||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
Nuveen New York Dividend Advantage Municipal Fund
|
5 | 11 | 1 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen New York Dividend Advantage Municipal Fund 2
|
5 | 11 | 1 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen New York Investment Quality Municipal Fund, Inc.
|
5 | 11 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen New York Municipal Value Fund, Inc.
|
5 | 4 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen New York Municipal Value Fund 2
|
5 | 4 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen New York Performance Plus Municipal Fund, Inc.
|
5 | 11 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen New York Quality Income Municipal Fund, Inc.
|
5 | 11 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen New York Select Quality Municipal Fund, Inc.
|
5 | 11 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen Insured New York Dividend Advantage Municipal Fund
|
5 | 11 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen Insured New York Premium Income Municipal Fund, Inc.
|
5 | 11 | 0 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen Insured New York Tax-Free Advantage Municipal Fund
|
5 | 11 | 1 | 5 | 4 | 4 | 4 | |||||||||||||||||||||
Nuveen Core Equity Alpha Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Real Estate Income Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Diversified Dividend and Income Fund
|
5 | 12 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Equity Premium and Growth Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Equity Premium Advantage Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Equity Premium Income Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Equity Premium Opportunity Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Quality Preferred Income Fund
|
5 | 12 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Quality Preferred Income Fund 2
|
5 | 12 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Quality Preferred Income Fund 3
|
5 | 12 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Tax-Advantaged Total Return Strategy Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Tax-Advantaged Dividend Growth Fund
|
5 | 12 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Global Government Enhanced Income Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 |
C-1
Compliance, Risk |
||||||||||||||||||||||||||||
Management |
Nominating |
|||||||||||||||||||||||||||
and Regulatory |
and |
|||||||||||||||||||||||||||
Regular |
Special |
Executive |
Dividend |
Oversight |
Audit |
Governance |
||||||||||||||||||||||
Board |
Board |
Committee |
Committee |
Committee |
Committee |
Committee |
||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
Nuveen Global Value Opportunities Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Mortgage Opportunity Term Fund
|
5 | 4 | 1 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Mortgage Opportunity Term Fund 2
|
5 | 4 | 1 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Multi-Currency Short-Term Government Income Fund
|
5 | 4 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Multi-Strategy Income & Growth Fund
|
5 | 10 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Nuveen Multi-Strategy Income & Growth Fund 2
|
5 | 10 | 0 | 4 | 5 | 4 | 4 | |||||||||||||||||||||
Dow
30sm
Premium & Dividend Income Fund, Inc.
|
9 | 1 | 0 | 1 | 4 | 6 | 4 | |||||||||||||||||||||
Global Income & Currency Fund, Inc.
|
9 | 1 | 0 | 1 | 4 | 6 | 4 | |||||||||||||||||||||
NASDAQ Premium Income & Growth Fund Inc.
|
9 | 1 | 0 | 1 | 4 | 6 | 4 | |||||||||||||||||||||
Dow
30sm
Enhanced Premium & Income Fund Inc.
|
9 | 1 | 0 | 1 | 4 | 6 | 4 | |||||||||||||||||||||
MLP & Strategic Equity Fund Inc.
|
8 | 1 | 0 | 0 | 3 | 6 | 3 | |||||||||||||||||||||
C-2
I. | Organization and Membership |
II. | Statement of Policy, Purpose and Processes |
D-1
1. | Reviewing and discussing the annual audited financial statements and semi-annual financial statements with Fund management and the independent auditors including major issues regarding accounting and auditing principles and practices, and the Funds disclosures in its periodic reports under Managements Discussion and Analysis. | |
2. | Requiring the independent auditors to deliver to the Chairman of the Audit Committee a timely report on any issues relating to the significant accounting policies, management judgments and accounting estimates or other matters that would need to be communicated under Statement on Auditing Standards (SAS) No. 90, Audit Committee Communications (which amended SAS No. 61, Communication with Audit Committees), that arise during the auditors review of the Funds financial statements, which information the Chairman shall further communicate to the other members of the Audit Committee, as deemed necessary or appropriate in the Chairmans judgment. | |
3. | Discussing with management the Funds press releases regarding financial results and dividends, as well as financial information and earnings guidance provided to analysts and rating agencies. This discussion may be done generally, consisting of discussing the types of information to be disclosed and the types of presentations to be made. The Chairman of the Audit Committee shall be authorized to have these discussions with management on behalf of the Audit Committee. |
D-2
4. | Discussing with management and the independent auditors (a) significant financial reporting issues and judgments made in connection with the preparation and presentation of the Funds financial statements, including any significant changes in the Funds selection or application of accounting principles and any major issues as to the adequacy of the Funds internal controls and any special audit steps adopted in light of material control deficiencies; and (b) analyses prepared by Fund management and/or the independent auditor setting forth significant financial reporting issues and judgments made in connection with the preparation of the financial statements, including analyses of the effects of alternative GAAP methods on the financial statements. | |
5. | Discussing with management and the independent auditors the effect of regulatory and accounting initiatives on the Funds financial statements. | |
6. | Reviewing and discussing reports, both written and oral, from the independent auditors and/or Fund management regarding (a) all critical accounting policies and practices to be used; (b) all alternative treatments of financial information within generally accepted accounting principles that have been discussed with management, ramifications of the use of such alternative treatments and disclosures, and the treatment preferred by the independent auditors; and (c) other material written communications between the independent auditors and management, such as any management letter or schedule of unadjusted differences. | |
7. | Discussing with Fund management the Funds major financial risk exposures and the steps management has taken to monitor and control these exposures, including the Funds risk assessment and risk management policies and guidelines. In fulfilling its obligations under this paragraph, the Audit Committee may review in a general manner the processes other Board committees have in place with respect to risk assessment and risk management. | |
8. | Reviewing disclosures made to the Audit Committee by the Funds principal executive officer and principal financial officer during their certification process for the Funds periodic reports about any significant deficiencies in the design or operation of internal controls or material weaknesses therein and any fraud involving management or other employees who have a significant role in the Funds internal controls. In fulfilling its obligations under this paragraph, the Audit Committee may review in a general manner the processes other Board committees have in place with respect to deficiencies in internal controls, material weaknesses, or any fraud associated with internal controls. |
1. | Selecting, appointing, retaining or replacing the independent auditors, subject, if applicable, only to Board and shareholder ratification; and compensating, evaluating and overseeing the work of the independent auditor (including the resolution of disagreements between Fund management and the independent auditor regarding financial reporting). | |
2. | Meeting with the independent auditors and Fund management to review the scope, fees, audit plans and staffing for the audit, for the current year. At the conclusion of the audit, reviewing such audit results, including the independent auditors |
D-3
evaluation of the Funds financial and internal controls, any comments or recommendations of the independent auditors, any audit problems or difficulties and managements response, including any restrictions on the scope of the independent auditors activities or on access to requested information, any significant disagreements with management, any accounting adjustments noted or proposed by the auditor but not made by the Fund, any communications between the audit team and the audit firms national office regarding auditing or accounting issues presented by the engagement, any significant changes required from the originally planned audit programs and any adjustments to the financial statements recommended by the auditors. |
3. | Pre-approving all audit services and permitted non-audit services, and the terms thereof, to be performed for the Funds by their independent auditors, subject to the de minimis exceptions for nonaudit services described in Section 10A of the Exchange Act that the Audit Committee approves prior to the completion of the audit, in accordance with any policies or procedures relating thereto as adopted by the Board or the Audit Committee. The Chairman of the Audit Committee shall be authorized to give pre-approvals of such non-audit services on behalf of the Audit Committee. | |
4. | Obtaining and reviewing a report or reports from the independent auditors at least annually (including a formal written statement delineating all relationships between the auditors and the Funds consistent with Independent Standards Board Standard 1, as may be amended, restated, modified or replaced) regarding (a) the independent auditors internal quality-control procedures; (b) any material issues raised by the most recent internal quality-control review, or peer review, of the firm, or by any inquiry or investigation by governmental or professional authorities within the preceding five years, respecting one or more independent audits carried out by the firm; (c) any steps taken to deal with any such issues; and (d) all relationships between the independent auditor and the Funds and their affiliates, in order to assist the Audit committee in assessing the auditors independence. After reviewing the foregoing report[s] and the independent auditors work throughout the year, the Audit Committee shall be responsible for evaluating the qualifications, performance and independence of the independent auditor and their compliance with all applicable requirements for independence and peer review, and a review and evaluation of the lead partner, taking into account the opinions of Fund management and the internal auditors, and discussing such reports with the independent auditors. The Audit Committee shall present its conclusions with respect to the independent auditor to the Board. | |
5. | Reviewing any reports from the independent auditors mandated by Section 10A(b) of the Exchange Act regarding any illegal act detected by the independent auditor (whether or not perceived to have a material effect on the Funds financial statements) and obtaining from the independent auditors any information about illegal acts in accordance with Section 10A(b). | |
6. | Ensuring the rotation of the lead (or coordinating) audit partner having primary responsibility for the audit and the audit partner responsible for reviewing the audit as required by law, and further considering the rotation of the independent auditor firm itself. |
D-4
7. | Establishing and recommending to the Board for ratification policies for the Funds, Fund management or the Fund advisers hiring of employees or former employees of the independent auditor who participated in the audits of the Funds. | |
8. | Taking, or recommending that the Board take, appropriate action to oversee the independence of the outside auditor. |
1. | Reviewing the proposed programs of the internal auditor for the coming year. It is not the obligation or responsibility of the Audit Committee to confirm the independence of any Nuveen internal auditors performing services relating to the Funds or to approve any termination or replacement of the Nuveen Manager of Internal Audit. | |
2. | Receiving a summary of findings from any completed internal audits pertaining to the Funds and a progress report on the proposed internal audit plan for the Funds, with explanations for significant deviations from the original plan. |