IPO registrations (S-1, F-1) · Registrants
Nuveen Diversified Commodity Fund
- SEC CIK
- 1345801 · filings on EDGAR ↗
- Former names
- Nuveen Commodities Income & Growth Fund (2005–2009)
- Registration
- Form S-1, first filed 2005-12-15, last 2011-06-08; 2 initial registrations, 9 amendments
- Outcome
- Final prospectus filed 2010-09-28; declared effective 2010-09-27; withdrawal requested 2012-10-05
- Industry (SIC)
- Commodity Contracts Brokers & Dealers 6221
- Incorporated in
- DE
- Business address
- 333 WEST WACKER DRIVE, Chicago, IL 60606
- EDGAR entity type
- operating
- Insiders and CEO pay
- Nuveen Diversified Commodity Fund on the corporate pages
Offering terms
- Final price
- $25.00 per share (424B4 filed 2010-09-28)
- Shares sold
- 8,550,000
- Gross proceeds
- $213,750,000 before underwriting discounts and any over-allotment option
- Lead underwriters
- Wells Fargo; UBS; Merrill Lynch
- Syndicate
- Maxim Group; RBC Capital Markets
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- SEC filer: Nuveen Diversified Commodity Fund EXACT (CIK (EXACT))
- Person page: Gifford R Zimmerman Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
Filings 14
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2005-12-15 | S-1 | S-1 (registration) | Nuveen Commodities Income & Growth Fund | 0001193125-05-243479 ↗ |
| 2006-03-10 | S-1/A | S-1/A (amendment) | Nuveen Commodities Income & Growth Fund | 0001193125-06-051176 ↗ |
| 2006-07-12 | S-1/A | S-1/A (amendment) | Nuveen Commodities Income & Growth Fund | 0001193125-06-144886 ↗ |
| 2009-09-04 | S-1/A | S-1/A (amendment) | Nuveen Commodities Income & Growth Fund | 0001193125-09-187773 ↗ |
| 2010-03-23 | S-1/A | S-1/A (amendment) | Nuveen Diversified Commodity Fund | 0001193125-10-064493 ↗ |
| 2010-07-21 | S-1/A | S-1/A (amendment) | Nuveen Diversified Commodity Fund | 0001193125-10-162686 ↗ |
| 2010-08-25 | S-1/A | S-1/A (amendment) | Nuveen Diversified Commodity Fund | 0001193125-10-196083 ↗ |
| 2010-08-31 | S-1/A | S-1/A (amendment) | Nuveen Diversified Commodity Fund | 0001193125-10-201961 ↗ |
| 2010-09-23 | S-1/A | S-1/A (amendment) | Nuveen Diversified Commodity Fund | 0001193125-10-215211 ↗ |
| 2010-09-27 | EFFECT | EFFECT (declared effective) | Nuveen Diversified Commodity Fund | 9999999995-10-002775 ↗ |
| 2010-09-28 | 424B4 | 424B4 (final prospectus) | Nuveen Diversified Commodity Fund | 0001193125-10-218652 ↗ |
| 2011-04-15 | S-1 | S-1 (registration) | Nuveen Diversified Commodity Fund | 0001193125-11-099785 ↗ |
| 2011-06-08 | S-1/A | S-1/A (amendment) | Nuveen Diversified Commodity Fund | 0001193125-11-161232 ↗ |
| 2012-10-05 | RW | RW (withdrawal request) | Nuveen Diversified Commodity Fund | 0001193125-12-416819 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2010-09-23 | S-1/A | registration statement | $25.00 | - | - | 6 | primary document; price sentence, cover names 3 | document ↗ | ||
| 2010-09-28 | 424B4 | final prospectus | $25.00 | 8,550,000 | $213,750,000 | 5 | primary document; price sentence, shares headline, proceeds table, cover names 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| ADAMS WILLIAM IV | Officer | Mng. Dir. of issuer's manager; Vice President | 2 | 2010–2013 | |
| BREMNER ROBERT P | Other | 1 | 2010 | ||
| FOY STEPHEN D | Officer | CFO of the issuer's manager | 1 | 2010 | |
| Katerndahl Carl M. | Officer | Mng. Dir. of issuer's manager | 1 | 2010 | |
| KUNDERT DAVID J | Other | 1 | 2010 | ||
| Nuveen Commodities Asset Management, LLC | Officer | Manager of the issuer | 1 | 2010 | |
| SCHNEIDER WILLIAM J | Other | 8 | 2010–2011 | ||
| Stone Carole E | Other | 1 | 2010 | ||
| TOTH TERENCE J | Other | 2 | 2010 | ||
| ZIMMERMAN GIFFORD R | Officer | CAO of the issuer's manager | 1 | 2010 | person page Fuzzy |
| Baker Douglas M. | Officer | SVP and Pf Mgr of subadvisor | 1 | 2010 | |
| Hepworth Douglas J | Other | 2 | 2010–2012 | ||
| Migdal Randy | Other | 1 | 2010 | ||
| Spencer Jonathan S | Other | 1 | 2010 | ||
| Wager Susan | Other | 1 | 2010 | ||
| Prudhomme Kathleen L | Officer | Vice President | 1 | 2011 | |
| STRINGER VIRGINIA | Other | 1 | 2011 | ||
| Cotter Christopher A. | Other | 1 | 2012 | ||
| Hunt Jon C. | Other | 1 | 2012 | ||
| Moravy L. Joe | Other | 1 | 2012 | ||
| SHORT HARRY W | Other | 2 | 2012–2013 | ||
| Hlavacek Sherri A | Officer | Vice President & Treasurer | 1 | 2015 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| SEC filer | Nuveen Diversified Commodity Fund | SEC filers (EDGAR) | CIK (EXACT) | |
| Person page | Gifford R Zimmerman | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
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In other datasets, the same topic (Finance) in IL:
- Form D issuer: Adams Street Associates, L.P. (Form D private offerings)
- Lobbying client: 2020 ADVISOR LLC (Federal lobbying (LDA))
Interests: Commodity Contracts Brokers & Dealers · Finance