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EX-99.1 - EX-99.1 - Nuveen Diversified Commodity Fundd234787dex991.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

 

FORM 8-K

 

 

Current Report

Pursuant to Section 13 or 15(d)

of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): July 28, 2016

 

 

Nuveen Diversified Commodity Fund

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-34879   27-2048014

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

333 West Wacker Drive

Chicago, Illinois

  60606
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (877) 827-5920

N/A

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


Item 8.01. Other Events

On July 28, 2016, Nuveen, an operating division of TIAA Global Asset Management, announced that the Securities and Exchange Commission (“SEC”) has extended the review period for the proposed new exchange rule pursuant to which shares of Nuveen Diversified Commodity Fund (“CFD”) and Nuveen Long/Short Commodity Total Return Fund (“CTF,” and together with CFD, the “Funds”) would be able to trade upon conversion of each respective Fund into an exchange-traded fund (ETF).

A copy of the press release regarding the notice of the proposed new exchange rule, dated July 28, 2016, is filed as Exhibit 99.1 to this report and is incorporated by reference into this Item 8.01.

A registration statement relating to the securities each Fund intends to issue following the conversion has been filed with the SEC but has not yet become effective. These securities may not be sold nor may offers to buy be accepted prior to the time the registration statement of each Fund becomes effective.

Shareholders are able to obtain, free of charge, copies of the registration statements referred to above and any prospectus included therein, as well as any other documents filed by the Funds with the SEC at the SEC’s website at www.sec.gov, by calling NCAM at 877-827-5920 or by writing to the Funds at 333 W. Wacker Drive, Chicago, Illinois, 60606.

 

Item 9.01. Financial Statements and Exhibits

(d)

 

Exhibit
Number

  

Description of Exhibit

99.1    Press Release, dated July 28, 2016


Signatures

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

NUVEEN DIVERSIFIED COMMODITY FUND
By: Nuveen Commodities Asset Management, LLC, its Manager
Date: July 29, 2016

/s/ William Adams IV

William Adams IV
President
(Principal Executive Officer)