0001504304-15-000101.txt : 20150720
0001504304-15-000101.hdr.sgml : 20150720
20150720115436
ACCESSION NUMBER: 0001504304-15-000101
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150720
DATE AS OF CHANGE: 20150720
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BULLDOG INVESTORS, LLC
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Nuveen Diversified Commodity Fund
CENTRAL INDEX KEY: 0001345801
STANDARD INDUSTRIAL CLASSIFICATION: [6221]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-88937
FILM NUMBER: 15995425
BUSINESS ADDRESS:
STREET 1: 333 WEST WACKER DRIVE
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 312-917-8146
MAIL ADDRESS:
STREET 1: 333 WEST WACKER DRIVE
CITY: CHICAGO
STATE: IL
ZIP: 60606
FORMER COMPANY:
FORMER CONFORMED NAME: Nuveen Commodities Income & Growth Fund
DATE OF NAME CHANGE: 20051201
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors, LLC
CENTRAL INDEX KEY: 0001504304
IRS NUMBER: 270926182
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
FORMER COMPANY:
FORMER CONFORMED NAME: Brooklyn Capital Management LLC
DATE OF NAME CHANGE: 20101026
SC 13G
1
thirteeng.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Nuveen Diversified Commodity Fund
(Name of Issuer)
Common Stock
(Title of Class of Securities)
67074P104
(CUSIP Number)
07/10/15
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
_X_ Rule 13d-1(b)
__ Rule 13d-1(c)
__ Rule 13d-1(d)
CUSIP No.: 67074P104
1. Names of Reporting Persons. I.R.S. Identification Nos. of
above persons (entities only).
Bulldog Investors LLC,
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a)
(b)
3. SEC Use Only
4. Citizenship or Place of Organization
Delaware
Number of Shares Beneficially Owned by Each reporting Person
With:
5. Sole Voting Power
228,262
6. Shared Voting Power
238,845
7. Sole Dispositive Power
228,262
8. Shared Dispositive Power
238,845
467,107 - (footnote 1)
10. Check if the Aggregate Amount in Row ( 9 ) Excludes Certain
Shares (See Instructions)
N/A
11. Percent of Class Represented by Amount in Row ( 9 )
5.16%
12. Type of Reporting Person (See Instructions)
IA
1. Names of Reporting Persons. I.R.S. Identification Nos. of
above persons (entities only).
Phillip Goldstein
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a)
(b)
3. SEC Use Only
4. Citizenship or Place of Organization
USA
Number of Shares Beneficially Owned by Each reporting Person
With:
5. Sole Voting Power
228,262
6. Shared Voting Power
238,845
7. Sole Dispositive Power
228,262
8. Shared Dispositive Power
238,845
9. Aggregate Amount Beneficially Owned by Each Reporting Person
467,107 - (footnote 1)
10. Check if the Aggregate Amount in Row ( 9 ) Excludes Certain
Shares (See Instructions)
N/A
11. Percent of Class Represented by Amount in Row ( 9 )
5.16%
12. Type of Reporting Person (See Instructions)
IN
1. Names of Reporting Persons. I.R.S. Identification Nos. of
above persons (entities only).
Andrew Dakos
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a)
(b)
3. SEC Use Only
4. Citizenship or Place of Organization
USA
Number of Shares Beneficially Owned by Each reporting Person
With:
5. Sole Voting Power
228,262
6. Shared Voting Power
238,845
7. Sole Dispositive Power
228,262
8. Shared Dispositive Power
238,845
9. Aggregate Amount Beneficially Owned by Each Reporting Person
467,107 - (footnote 1)
10. Check if the Aggregate Amount in Row ( 9 ) Excludes Certain
Shares (See Instructions)
N/A
11. Percent of Class Represented by Amount in Row ( 9 )
5.16%
12. Type of Reporting Person (See Instructions)
IN
1. Names of Reporting Persons. I.R.S. Identification Nos. of
above persons (entities only).
Steven Samuels
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a)
(b)
3. SEC Use Only
4. Citizenship or Place of Organization
USA
Number of Shares Beneficially Owned by Each reporting Person
With:
5. Sole Voting Power
228,262
6. Shared Voting Power
238,845
7. Sole Dispositive Power
228,262
8. Shared Dispositive Power
238,845
9. Aggregate Amount Beneficially Owned by Each Reporting Person
467,107 - (footnote 1)
10. Check if the Aggregate Amount in Row ( 9 ) Excludes Certain
Shares (See Instructions)
N/A
11. Percent of Class Represented by Amount in Row ( 9 )
5.16%
12. Type of Reporting Person (See Instructions)
IN
Item 1.
(a) The Name of the Issuer is:
Nuveen Diversified Commodity Fund
(b) The Address of the Issuer's Principal Executive Office is:
333 West Wacker Drive
Chicago, ILL 60606
Item 2.
(a) The names of the Persons Filing are:
Bulldog Investors LLC, Phillip Goldstein, Andrew Dakos and
Steven Samuels
(b) The address of principal place of business and
principal office is:
Park 80 West, 250 Pehle Ave. Suite 708
Saddle Brook, NJ 07663
(c) Citizenship or Place of Organization: Delaware
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 67074P104
Item 3.
This statement is filed pursuant to 240.13d-1(b). The person filing is:
(e) An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E).
Item 4.
(a) Amount beneficially owned: 467,107
(b) Percent of class: 5.16%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 228,262
(ii) Shared power to vote or to direct the vote: 238,845
(iii) Sole power to dispose or to direct the disposition
of: 228,262
(iv) Shared power to dispose or to direct the disposition
of: 238,845
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the
beneficial owner of more than five percent of the class of
securities, check the following: ____.
Item 6. Ownership of More than Five Percent on Behalf of Another
Person.
Clients of Bulldog Investors, LLC are entitled to receive dividends
and sales proceeds.
Item 7. Identification and Classification of the Subsidiary
Which Acquired the Security being Reported on by the Parent
Holding Company.
Not applicable.
Item 8. Identification and Classification of Members of the
Group.
As per the 10-Q filing on 05/07/15, there were 9,047,040 shares
of common stock outstanding as of 05/02/15. The percentages set
forth herein were derived using such number. Phillip Goldstein, Andrew
Dakos and Steven Samuels own Bulldog Investors, LLC, a registered
investment adviser. As of July 17, 2015, Bulldog Investors, LLC
is deemed to be the beneficial owner of 467,107 shares of CFD by
virtue of Bulldog Investors, LLC's power to direct the vote of, and
dispose of, these shares. These 467,107 shares of CFD include
228,262 shares (representing 2.52% of CFD's outstanding shares)
that are beneficially owned by the following entities over which
Messrs. Goldstein, Dakos and Samuels exercise control: Opportunity
Partners LP, Calapasas West Partners LP, Full Value Special Situations
Fund LP, Full Value Offshore Fund Ltd., Full Value Partners LP,
Opportunity Income Plus Fund LP, and MCM Opportunity Partners LP
(collectively, Bulldog Investors Group of Funds). Bulldog Investors
Group of Funds may be deemed to constitute a group. All other shares
included in the aforementioned 467,107 shares of CFD owned by Bulldog
Investors, LLC (solely by virtue of its power to sell or direct the
vote of these shares) are also beneficially owned by clients of
Bulldog Investors, LLC who are not members of any group. The total
number of these "non-group" shares is 238,845 shares (representing
2.64% of CFD's outstanding shares).
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are
held in the ordinary course of business and were not acquired
and are not held for the purpose of or with the effect of
changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose
or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in
this statement is true, complete, and correct.
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
Date: July 20, 2015
By: /s/ Andrew Dako
Name: Andrew Dakos
Date: July 20, 2015
By: /s/ Steven Samuels
Name: Steven Samuels
Date: July 20, 2015
Bulldog Investors, LLC
By: /s/ Andrew Dakos
Andrew Dakos, Member
Date: July 20, 2015
Footnote 1: The reporting persons disclaim beneficial ownership
except to the extent of any pecuniary interest therein.
Exhibit A: Agreement to make joint filings.
Agreement made as of the 20th day of July 2015, by and among
Bulldog Investors, LLC, Phillip Goldstein, Andrew Dakos, and
Steven Samuels.
WHEREAS, Rule 13d-1(k)(1) under the Securities Exchange Act of 1934 provides
that whenever two or more persons are required to file a statement containing
the information required by Schedule 13G with respect to the same securities,
only one such statement need be filed, so long as, among other things, such
filing includes as an exhibit an agreement among such persons that such a
statement is filed on behalf of each of them;
WHEREAS, in connection with certain holdings of Nuveen Diversified Commodity
Fund ("CFD"), each of the parties to this Agreement is required to file a
statement containing the information required by Schedule 13G with respect
to the same holdings of CFD;
NOW THEREFORE, the parties hereby agree that one statement containing the
information required by Schedule 13G shall be filed on behalf of each party
hereto.
IN WITNESS WHEREOF, this Agreement has been duly executed by the parties
hereto as of the day and year first written above.
By:/s/ Phillip Goldstein By:/s/ Andrew Dakos
Phillip Goldstein Andrew Dakos
BULLDOG INVESTORS, LLC
By: /s/ Steven Samuels By: /s/ Andrew Dakos
Steven Samuels Andrew Dakos, Member