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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)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| 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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| 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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| 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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| 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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| 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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| 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 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)(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 |
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 |
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 |
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 |
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 |
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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| 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.(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 |
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 |
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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| 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 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 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 |
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 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 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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| 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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| 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 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 |
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.(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.(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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| 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 |
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)(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 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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| 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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| 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 |
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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| 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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| 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 |
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 |
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 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.(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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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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| 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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| 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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
- 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 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 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. |
