0001504304-14-000041.txt : 20141016
0001504304-14-000041.hdr.sgml : 20141016
20141015154459
ACCESSION NUMBER: 0001504304-14-000041
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141015
DATE AS OF CHANGE: 20141015
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 Currency Opportunities Fund
CENTRAL INDEX KEY: 0001390109
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-86553
FILM NUMBER: 141157576
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 Multi-Currency Short-Term Government Income Fund
DATE OF NAME CHANGE: 20070222
FORMER COMPANY:
FORMER CONFORMED NAME: Nuveen International Short-Term Government Income Fund
DATE OF NAME CHANGE: 20070215
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 13D/A
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 13D/A
1
thirda.txt
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
10/8/14
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
1,890,628
8. SHARED VOTING POWER
1,712,242
9. SOLE DISPOSITIVE POWER
1,890,628
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,712,242
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
3,602,870 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.04%
14. TYPE OF REPORTING PERSON
IA
___________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
2. CHECK THE BOX IF MEMBER OF A GROUP a[x]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
1,890,628
8. SHARED VOTING POWER
1,712,242
9. SOLE DISPOSITIVE POWER
1,890,628
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,712,242
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
3,602,870 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.04%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
1,890,628
8. SHARED VOTING POWER
1,712,242
9. SOLE DISPOSITIVE POWER
1,890,628
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,712,242
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
3,602,870 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.04%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
1,890,628
8. SHARED VOTING POWER
1,712,242
9. SOLE DISPOSITIVE POWER
1,890,628
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,712,242
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
3,602,870 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.04%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #2 to the schedule 13d
filed June 9, 2014. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the N-CSR filed on September 4,2014, there were 44,813,135 shares of
common stock outstanding as of June 30, 2014. The percentages set forth
herein were derived using such number. Phillip Goldstein, Andrew Dakos and
Steven Samuels own Bulldog Investors, LLC, a registered investment advisor.
As of October 14, 2014, Bulldog Investors, LLC is deemed to be the beneficial
owner of 3,602,870 shares of JGT (representing 8.04% of JGT's outstanding
shares) solely by virtue of Bulldog Investors LLC's power to direct the vote
of,and dispose of, these shares. These 3,602,870 shares of JGT include 1,890,628
shares (representing 4.21% of JGT's outstanding shares) that are beneficially
owned by the following entities over which Messrs. Goldstein, Dakos and
Mr. 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, LP, and MCM Opportunity
Partners, LP (collectively,"Bulldog Investors Group of Funds").
Bulldog Investors Group of Funds and Mr. Goldstein may be deemed to constitute
a group. All other shares included in the aforementioned 3,602,870 shares of JGT
beneficially 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 1,712,242 shares (representing 3.83% of JGT's
outstanding shares).
(b)Bulldog Investors,LLC has sole power to dispose of and vote 1,890,628 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 1,712,242 shares.
Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more
than 5% of JGT's shares) share this power with Bulldog Investors, LLC. Messrs.
Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC.
c) Since the last filing on 8/25/14 the following shares of JGT were purchased:
Date: Shares: Price:
08/25/14 7,838 11.2066
08/26/14 8,772 11.2257
08/27/14 28,722 11.2643
08/28/14 1,100 11.2600
08/29/14 13,466 11.3238
09/05/14 25,500 11.3403
09/08/14 28,400 11.3284
09/10/14 21,900 11.1920
09/11/14 25,000 11.0000
09/12/14 24,200 10.9487
09/16/14 2,500 10.8400
09/17/14 25,000 10.9442
09/19/14 18,800 10.9384
09/22/14 25,000 10.8322
09/24/14 16,500 10.7992
09/29/14 400 10.7500
09/30/14 50,000 10.7180
10/02/14 4,318 10.7500
10/07/14 35,600 10.8319
10/09/14 19,500 10.8842
10/13/14 20,900 10.7979
10/14/14 25,000 10.7393
d) Clients of Bulldog Investors, LLC are entitled to receive any dividends or
sales proceeds.
e) N/A
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
Bulldog Investors, LLC entered into an agreement with JGT and Nuveen Global
Income Opportunities Fund ("JGG"),effective as of August 7, 2014, pursuant
to which Bulldog Investors agreed to vote the shares of JGG and JGT for
which it has the power to vote or direct the vote in accordance with the
recommendation of the Board of Trustees with respect to the proposals
submitted to shareholders at the annual shareholder meeting.Bulldog
Investors also agreed to be bound by certain "standstill" covenants with
respect to JGG and JGT.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
None.
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.
Dated: 10/15/2014
By: /S/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels
Bulldog Investors, LLC
By: /s/ Andrew Dakos
Andrew Dakos, Member
Footnote 1: The reporting persons disclaim beneficial ownership except
to the extent of any pecuniary interest therein.