DEALER AGREEMENT Nuveen Securities, LLCDealer Agreement • October 1st, 2018 • Nuveen Dow 30sm Dynamic Overwrite Fund • New York
From time to time Nuveen Securities, LLC (the “Manager”, “we” or “us”) will act as manager of registered at-the-market offerings by Nuveen Dow 30 Dynamic Overwrite Fund, a Massachusetts business trust (the “Fund”), of the Fund’s common stock, par value $0.01 per share (the “Common Stock”). In the case of such offerings, the Fund has agreed with the Manager to issue and sell through or to the Manager, as sales agent and/or principal, a certain number of shares of the Fund’s Common Stock.
FUND] Chicago, Illinois 60606Nuveen Dow 30sm Dynamic Overwrite Fund • July 18th, 2018
[FUND] is a Massachusetts business trust operating as a closed-end management investment company (hereinafter referred to as the “Fund”). The Fund has filed a registration statement on Form N-2 (File Nos. 333-XXXXXX and 811-XXXXX) (the “Registration Statement”) pursuant to the Investment Company Act of 1940, as amended, and the Securities Act of 1933, as amended, to register additional common shares of the Fund, which may be issued and sold from time to time through various specified transactions, including at-the-market (“ATM”) offerings.
FORM OF INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • July 24th, 2014 • Nuveen Dow 30sm Dynamic Overwrite Fund • Illinois
AGREEMENT made as of this day of , 2014, by and between NUVEEN DOW 30SM DYNAMIC OVERWRITE FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A Attached Hereto and Computershare Inc. and Computershare Trust Company, N.A.Agency and Service Agreement • July 18th, 2018 • Nuveen Dow 30sm Dynamic Overwrite Fund • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of June 15, 2017 (“Effective Date”), is by and between each of the Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., a Delaware corporation (“Computershare”), and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Transfer Agent”), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
FIRST AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • July 18th, 2018 • Nuveen Dow 30sm Dynamic Overwrite Fund
This First Amendment (“Amendment”) is entered into and effective as of this the 7th day of September, 2017, and hereby amends that certain Transfer Agency and Service Agreement by and among each Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., (“Computershare”) and its fully owned subsidiary Computershare Trust Company, N.A., (“Trust Company”, and together with Computershare, “Transfer Agent”) dated June 15, 2017 (the “Agreement”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • July 18th, 2018 • Nuveen Dow 30sm Dynamic Overwrite Fund • Illinois
AGREEMENT made as of this 5th day of December, 2014, by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a federally registered investment adviser (the “Adviser”), and Nuveen Asset Management, LLC, a Delaware limited liability company and a federally registered investment adviser (the “Sub-Adviser”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • July 18th, 2018 • Nuveen Dow 30sm Dynamic Overwrite Fund • Illinois
AGREEMENT made this 5th day of December 2014, by and between NUVEEN DOW 30SM DYNAMIC OVERWRITE FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
NUVEEN CLOSED-END FUNDS RENEWAL OF INVESTMENT MANAGEMENT AGREEMENTSInvestment Management Agreements • October 1st, 2018 • Nuveen Dow 30sm Dynamic Overwrite Fund
This Agreement made this 24th day of July 2018 by and between the funds listed on Schedule A (the “Nuveen Closed-End Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”);
FORM OF INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • July 24th, 2014 • Nuveen Dow 30sm Dynamic Overwrite Fund • Illinois
AGREEMENT made as of this day of , 2014, by and between Nuveen Fund Advisors, LLC a Delaware limited liability company and a federally registered investment adviser (the “Adviser”), and Nuveen Asset Management, LLC, a Delaware limited liability company and a federally registered investment adviser (the “Sub-Adviser”).
CONTINUANCE OF MANAGEMENT AGREEMENTSManagement Agreements • October 31st, 2019 • Nuveen Dow 30sm Dynamic Overwrite Fund
Agreement made as of this 30th day of July 2019, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2019.
NUVEEN DOW 30 DYNAMIC OVERWRITE FUND Chicago, Illinois 60606Nuveen Dow 30sm Dynamic Overwrite Fund • October 1st, 2018
Nuveen Dow 30 Dynamic Overwrite Fund is a Massachusetts business trust operating as a closed-end management investment company (hereinafter referred to as the “Fund”). The Fund has filed a registration statement on Form N-2 (File Nos. 333-226218 and 811-22970) (the “Registration Statement”) pursuant to the Investment Company Act of 1940, as amended, and the Securities Act of 1933, as amended, to register additional common shares of the Fund, which may be issued and sold from time to time through various specified transactions, including at-the-market (“ATM”) offerings.
