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DIAX

Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Delisted

DIAX was delisted on the 27th of March, 2026.

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Name Holding Trade Value Shares
Change 		Change in
Stake
SC
1
Stolper & Co
Oklahoma
$10M -$332K -21,781 -60%
FAM
2
Formidable Asset Management
Ohio
$570K – – –
PTC
3
Private Trust Company
Ohio
$45.1K – – –
Morgan Stanley
4
Morgan Stanley
New York
– -$26.2M -1,714,813 Closed
SCM
5
Saba Capital Management
New York
– -$24.4M -1,599,746 Closed
Bank of America
6
Bank of America
North Carolina
– -$17.1M -1,123,777 Closed
Raymond James Financial
7
Raymond James Financial
Florida
– -$11.1M -729,615 Closed
Wells Fargo
8
Wells Fargo
California
– -$9.71M -636,472 Closed
Allspring Global Investments
9
Allspring Global Investments
North Carolina
– -$9.21M -603,228 Closed
Invesco
10
Invesco
Georgia
– -$8.47M -554,865 Closed
GC
11
Guggenheim Capital
Illinois
– -$7.21M -472,794 Closed
UBS Group
12
UBS Group
Switzerland
– -$6.16M -403,874 Closed
CIA
13
Capital Investment Advisors
Georgia
– -$5.39M -353,064 Closed
WAM
14
Wolverine Asset Management
Illinois
– -$3.8M -249,306 Closed
AA
15
AQR Arbitrage
Connecticut
– -$3.12M -204,492 Closed
LPL Financial
16
LPL Financial
California
– -$3.09M -202,293 Closed
SFS
17
Shaker Financial Services
Virginia
– -$3.04M -199,214 Closed
CA
18
Cornerstone Advisors
North Carolina
– -$2.83M -185,466 Closed
TJHA
19
Thomas J. Herzfeld Advisors
Florida
– -$2.8M -183,190 Closed
MML Investors Services
20
MML Investors Services
Massachusetts
– -$2.07M -135,848 Closed
1CP
21
1607 Capital Partners
Virginia
– -$1.8M -118,061 Closed
AC
22
Almitas Capital
California
– -$1.74M -114,201 Closed
RCM
23
Rivernorth Capital Management
Florida
– -$1.71M -112,137 Closed
AIA
24
Absolute Investment Advisers
Florida
– -$1.54M -98,482 Closed
Osaic Holdings
25
Osaic Holdings
Arizona
– -$1.47M -96,637 Closed
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