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Nuveen NASDAQ 100 Dynamic Overwrite Fund
QQQX

55 hedge funds and large institutions have $115M invested in Nuveen NASDAQ 100 Dynamic Overwrite Fund in 2016 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 21 increasing their positions, 15 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

40% more repeat investments, than reductions

Existing positions increased: 21 | Existing positions reduced: 15

3% more capital invested

Capital invested by funds: $111M → $115M (+$3.63M)

7% less funds holding

Funds holding: 59 → 55 (-4)

25% less first-time investments, than exits

New positions opened: 6 | Existing positions closed: 8

Holders
55
Holders Change
-4
Holders Change %
-6.78%
% of All Funds
1.47%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
6
Increased
21
Reduced
15
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Bank of Nova Scotia
Bank of Nova Scotia
Ontario, Canada
+$1.83M
2
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$866K
3
Invesco
Invesco
Georgia
+$750K
4
RJFSA
Raymond James Financial Services Advisors
Florida
+$438K
5
AAM
Advisors Asset Management
Colorado
+$404K

Top Sellers

Rank Fund Capital Flow
1
KIM
Karpus Investment Management
New York
-$3.01M
2
DA
Doliver Advisors
Texas
-$970K
3
VKH
Virtu KCG Holdings
New York
-$916K
4
Northwestern Mutual Wealth Management
Northwestern Mutual Wealth Management
Wisconsin
-$907K
5
Morgan Stanley
Morgan Stanley
New York
-$664K
Name Holding Trade Value Shares
Change 		Change in
Stake
GEM
26
Global Endowment Management
North Carolina
$378K – – –
MFS
27
MSI Financial Services
Massachusetts
$374K -$120K -6,484 -25%
CRC
28
Curi RMB Capital
Illinois
$361K +$353K +19,065 New
Bank of New York Mellon
29
Bank of New York Mellon
New York
$270K -$97.4K -5,259 -27%
CAN
30
Cetera Advisor Networks
California
$229K +$224K +12,096 New
AIA
31
Allegis Investment Advisors
Idaho
$227K +$222K +12,002 New
NPC
32
National Planning Corporation
California
$196K +$371 +20 +0.2%
ANBT
33
American National Bank & Trust
Texas
$189K – – –
LAM
34
Lebenthal Asset Management
New York
$158K +$154K +8,325 New
AWMS
35
Advocacy Wealth Management Services
Georgia
$149K -$151K -8,174 -51%
AG
36
Advisor Group
Arizona
$106K +$14.9K +805 +17%
GWM
37
Geneos Wealth Management
Colorado
$93K -$4.63K -250 -5%
IA
38
IFP Advisors
Florida
$82K – – –
Citigroup
39
Citigroup
New York
$74K -$4.65K -251 -6%
Creative Planning
40
Creative Planning
Kansas
$73K – – –
AF
41
Allworth Financial
California
$68K – – –
SEI Investments
42
SEI Investments
Pennsylvania
$62K +$33.1K +1,789 +119%
EWM
43
Evercore Wealth Management
New York
$47K +$37.1K +2,000 +400%
NFG
44
Next Financial Group
Texas
$43K +$22.1K +1,193 +108%
BBPWM
45
Blue Bell Private Wealth Management
Pennsylvania
$28K -$38.6K -2,083 -59%
Fifth Third Bancorp
46
Fifth Third Bancorp
Ohio
$27K – – –
TJHA
47
Thomas J. Herzfeld Advisors
Florida
$27K +$500 +27 +2%
CPIG
48
Chicago Partners Investment Group
Illinois
$19K – – –
BWP
49
Baldwin Wealth Partners
Massachusetts
$14K – – –
HNB
50
Huntington National Bank
Ohio
$13K – – –
1
2
3

QQQX Hedge Fund Activity: Q3 2016 in Review

55 of the 3,748 institutional investors tracked by Wall St. Rank reported a position in Nuveen NASDAQ 100 Dynamic Overwrite Fund (QQQX) for Q3 2016, worth a combined $115M — up 3.3% from $111M a quarter earlier.

Sellers outnumbered buyers: 8 funds closed out of QQQX and 6 opened new positions — a net loss of 2 holders — while 15 trimmed existing stakes and 21 added.

The largest buyer was Bank of Nova Scotia, opening a new position worth an estimated $1.83M. The largest seller was Karpus Investment Management, exiting entirely with an estimated $3.01M sold.

  • 55 institutional investors held Nuveen NASDAQ 100 Dynamic Overwrite Fund (QQQX) as of Q3 2016, down from 59 in Q2 2016.
  • Funds reported $115M of Nuveen NASDAQ 100 Dynamic Overwrite Fund stock for Q3 2016, up 3.3% quarter-over-quarter.
  • 6 funds opened new Nuveen NASDAQ 100 Dynamic Overwrite Fund positions in Q3 2016 and 8 closed out, a net change of -2 holders.
  • The largest Nuveen NASDAQ 100 Dynamic Overwrite Fund buyer in Q3 2016 was Bank of Nova Scotia, an estimated $1.83M added.
  • The largest Nuveen NASDAQ 100 Dynamic Overwrite Fund seller in Q3 2016 was Karpus Investment Management, an estimated $3.01M sold.

Based on aggregated 13F filings for Q3 2016.