Oppenheimer & Co’s Nuveen Dow 30SM Dynamic Overwrite Fund DIAX Stock Holding History

Oppenheimer & Co’s Portfolio DIAX Stock Details DIAX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2017 Q1	–	Sell	-11,774	Closed	-$177K	–	1299
2016 Q4	$177K	Buy	+11,774	New	+$171K	0.01%	1175
2016 Q2	–	Sell	-26,779	Closed	-$378K	–	1251
2016 Q1	$378K	Sell	26,779 -780	-3%	-$10.5K	0.01%	856
2015 Q4	$396K	Buy	27,559 +1,052	+4%	+$15K	0.01%	854
2015 Q3	$357K	Sell	26,507 -902	-3%	-$12.9K	0.01%	928
2015 Q2	$407K	Sell	27,409 -1,000	-4%	-$15.2K	0.01%	969
2015 Q1	$431K	Buy	28,409 +15,466	+119%	+$239K	0.01%	942
2014 Q4	$199K	Buy	+12,943	New	+$208K	0.01%	1233

Other funds holding DIAX

PPA

Parametric Portfolio Associates Seattle, Washington $190B AUM 18.52% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

KIM

Karpus Investment Management Pittsford, New York $3.21B AUM 6.83% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

LTFS

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

Oppenheimer & Co's DIAX Position: Q1 2017 in Review

Oppenheimer & Co sold out of Nuveen Dow 30SM Dynamic Overwrite Fund (DIAX) in Q1 2017, closing a stake of 11,774 shares — an estimated $177K sold.

Oppenheimer & Co first reported a position in DIAX in Q4 2014 and held it in 7 quarters. The position peaked at $431K in Q1 2015. 62 funds tracked by Wall St. Rank hold DIAX as of Q1 2017.

Oppenheimer & Co reported no remaining Nuveen Dow 30SM Dynamic Overwrite Fund position as of Q1 2017 after selling out during the quarter.
Oppenheimer & Co sold 11,774 Nuveen Dow 30SM Dynamic Overwrite Fund shares in Q1 2017, an estimated $177K.
Oppenheimer & Co first reported a position in Nuveen Dow 30SM Dynamic Overwrite Fund in Q4 2014 and held it in 7 quarters.
Oppenheimer & Co's Nuveen Dow 30SM Dynamic Overwrite Fund position peaked at $431K in Q1 2015.
62 funds tracked by Wall St. Rank held Nuveen Dow 30SM Dynamic Overwrite Fund as of Q1 2017.

Based on Oppenheimer & Co's 13F filing for Q1 2017, filed 15 May 2017.