Dow 30 Enhanced Premium & Income Fund (DPO)

FINANCE: GENERAL FINANCE
SIC:
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800 SCUDDERS MILL ROAD PLAINSBORO, NJ 08536

Dow 30 Enhanced Premium & Income Fund is an exchange-traded closed-end fund or a closed-end ETF which is officially described in its prospectus as a diversified, closed-end management investment company. INVESTMENT OBJECTIVE: The Fund's investment objectives are to provide stockholders with a high level of premium and dividend income and the potential for capital appreciation. FUND STRATEGY: Under normal circumstances, the Fund will purchase all of the thirty common stocks included in the Dow Jones Industrial Average (DJIA Index), weighted in approximately the same proportions as in the DJIA Index (the Dow Stocks). The Fund will also purchase other securities or financial instruments, primarily swap contracts, designed to provide additional investment exposure (i.e., leverage) to the return of the Dow Stocks (the Additional Dow Exposure). The Dow Stocks and the Additional Dow Exposure collectively are referred to herein as the Total Dow Exposure. The Fund also will engage in certain option strategies, primarily consisting of writing (selling) covered call options on some or all of the Dow Stocks (the Options). The Options will be written on approximately 50% (or less) of the Total Dow Exposure at the time they are written. As a result, generally 50% (or more) of the Fund's Total Dow Exposure will have the potential for full capital appreciation. The portion of the Total Dow Exposure subject to the Options will be limited in the amount of capital appreciation that may be obtained. The Fund pursues its investment strategy by purchasing the common stock of each company included in the DJIA Index in approximately the amounts such Dow Stocks are weighted in the DJIA Index. The Fund will periodically rebalance its holdings of the Dow Stocks in order to more closely approximate each Dow Stock's weighting in the DJIA Index. The Fund, however, may not hold the Dow Stocks in proportion to their weightings in the DJIA Index if a different proportion is necessary to maintain the Fund's status as a diversified company under the Investment Company Act. To facilitate cash management, the Fund may invest periodically in securities or other financial instruments that share similar economic characteristics with the DJIA Index. The DJIA Index is an unmanaged price weighted index of common stocks selected by the editors of The Wall Street Journal as representative of U.S. industry in general. The DJIA Index consists of companies that are highly capitalized in their respective industries

View SEC Filings from DPO instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
No data found for this quarter.
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding DPO (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding DPO BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

SCHREIER THOMAS S JR

  • TRUSTEE
0 2013-09-01 0

NELSON JOHN KEVIN

  • TRUSTEE
0 2013-09-01 0

SLAGER JOEL T. VICE PRESIDENT

  • Officer
0 2013-07-17 0

STRINGER VIRGINIA

  • TRUSTEE
0 2011-01-03 0

PRUDHOMME KATHLEEN L VICE PRESIDENT AND ASSISTANT S

  • Officer
0 2011-01-03 0

IQ INVESTMENT ADVISORS LLC

  • FORMER INVESTMENT MANAGER
No longer subject to file 2010-11-15 0

MARTIN LARRY W VICE PRESIDENT & ASST. SECR.

  • Officer
0 2010-10-06 0

AMBOIAN JOHN P CEO OF INVESTMENT ADVISER

  • Officer
0 2010-10-06 0

ADAMS WILLIAM IV VICE PRESIDENT

  • Officer
0 2010-10-06 0

BREMNER ROBERT P TRUSTEE

  • Officer
0 2010-10-06 0

SCHNEIDER WILLIAM J

  • TRUSTEE
0 2010-10-06 0

STOCKDALE JUDITH M

  • TRUSTEE
0 2010-10-06 0

EVANS JACK

  • TRUSTEE
0 2010-10-06 0

ATKINSON MICHAEL T VICE PRESIDENT AND ASST. SECR.

  • Officer
0 2010-10-06 0

FERJUSON LORNA C VICE PRESIDENT

  • Officer
0 2010-10-06 0

FOY STEPHEN D VICE PRESIDENT AND CONTROLLER

  • Officer
0 2010-10-06 0

LAMB DAVID J VICE PRESIDENT

  • Officer
0 2010-10-06 0

LAZAR TINA M VICE PRESIDENT

  • Officer
0 2010-10-06 0

ZIMMERMAN GIFFORD R CHIEF ADMINISTRATIVE OFFICER

  • Officer
0 2010-10-06 0

KUNDERT DAVID J

  • TRUSTEE
0 2010-10-06 0

HUNTER WILLIAM CURT TRUSTEE

  • Officer
0 2010-10-06 0

TOTH TERENCE J

  • TRUSTEE
0 2010-10-06 0

NUVEEN ASSET MANAGEMENT INC.

  • INVESTMENT ADVISER
0 2010-10-06 0

GAMBLA JOHN W

  • PORTFOLIO MANAGER
0 2010-10-06 0

GOTTSCHOW ROB A

  • PORTFOLIO MANAGER
0 2010-10-06 0

KELLY WALTER M CHIEF COMPLIANCE OFFICER

  • Officer
0 2010-10-06 0

STONE CAROLE E

  • TRUSTEE
0 2010-10-06 0

ANTOSIEWICZ CEDRIC H VICE PRESIDENT

  • Officer
0 2010-10-06 0

COOK MARGO L. VICE PRESIDENT

  • Officer
0 2010-10-06 0

GRACE SCOTT S VICE PRESIDENT & TREASURER

  • Officer
0 2010-10-06 0

MCCARTHY KEVIN J VICE PRESIDENT & SECRETARY

  • Officer
0 2010-10-06 0

MINO GREGORY T. VICE PRESIDENT

  • Officer
0 2010-10-06 0

ROHRBACHER CHRISTOPHER M. VICE PRESIDENT & ASST. SECR.

  • Officer
0 2010-10-06 0

RUANE JAMES VICE PRESIDENT

  • Officer
0 2010-10-06 0

WINGET DEMARK L VICE PRESIDENT & ASST. SECR.

  • Officer
0 2010-10-06 0

MCCARTHY MICHELLE ANN

  • VICE PRESIDENT
0 2010-10-06 0

NUVEEN HYDEPARK GROUP, LLC

  • SUBADVISER
0 2010-10-06 0

ARRIAGA NIZIDA VICE PRESIDENT

  • Officer
0 2010-10-06 0

RHEE MICHELLE H. CHIEF LEGAL OFFICER

  • Officer
0 2009-06-12 0

ZAKEM ROBERT M CHIEF COMPLIANCE OFFICER

  • Officer
0 2009-06-12 0

MCGOEY JEFF E VICE PRESIDENT

  • Officer
0 2009-03-09 0

GRECO GLORIA CHIEF COMPLIANCE OFFICER

  • Officer
0 2008-09-18 0

HIGUCHI MICHAEL M. VICE PRESIDENT

  • Officer
0 2008-03-11 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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