0000895421-16-000760.txt : 20161011
0000895421-16-000760.hdr.sgml : 20161011
20161011172026
ACCESSION NUMBER: 0000895421-16-000760
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20161011
DATE AS OF CHANGE: 20161011
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Nuveen High Income 2020 Target Term Fund
CENTRAL INDEX KEY: 0001639457
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-89661
FILM NUMBER: 161931843
BUSINESS ADDRESS:
STREET 1: 333 W. WACKER DR.
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 312-917-8146
MAIL ADDRESS:
STREET 1: 333 W. WACKER DR.
CITY: CHICAGO
STATE: IL
ZIP: 60606
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: MORGAN STANLEY
CENTRAL INDEX KEY: 0000895421
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 363145972
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-761-4000
MAIL ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
FORMER COMPANY:
FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO
DATE OF NAME CHANGE: 19980326
FORMER COMPANY:
FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO
DATE OF NAME CHANGE: 19960315
SC 13G
1
nuveenhighinc.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.)*
Nuveen High Income 2020 Target Term Fund
-----------------------------------------------------
(Name of Issuer)
Common Stock
-----------------------------------------------------
(Title of Class of Securities)
67075L102
-----------------------------------------------------
(CUSIP Number)
September 30, 2016
-----------------------------------------------------
(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)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
Persons who respond to the collection of information contained in this form are
not required to respond unless the form displays a currently valid OMB control
number.
SEC 1745 (3-06)
CUSIP No. 67075L102 13G Page 2 of 8 Pages
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
Morgan Stanley
I.R.S. # 36-3145972
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY:
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
The state of organization is Delaware.
--------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 1,483,914
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
1,043,076
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
1,497,410
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
10.9%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
HC, CO
--------------------------------------------------------------------------------
CUSIP No. 67075L102 13G Page 3 of 8 Pages
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
Morgan Stanley Smith Barney LLC
I.R.S. #26-4310844
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY:
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
The state of organization is Delaware.
--------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 1,483,914
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
1,043,076
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
1,497,410
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
10.9%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
BD
--------------------------------------------------------------------------------
CUSIP No. 67075L102 13G Page 4 of 8 Pages
--------------------------------------------------------------------------------
Item 1. (a) Name of Issuer:
Nuveen High Income 2020 Target Term Fund
--------------------------------------------------------------
(b) Address of Issuer's Principal Executive Offices:
333 W. WACKER DR.
CHICAGO IL 60606
--------------------------------------------------------------
Item 2. (a) Name of Person Filing:
(1) Morgan Stanley
(2) Morgan Stanley Smith Barney LLC
--------------------------------------------------------------
(b) Address of Principal Business Office, or if None, Residence:
(1) 1585 Broadway
New York, NY 10036
(2) 1585 Broadway
New York, NY 10036
--------------------------------------------------------------
(c) Citizenship:
(1) The state of organization is Delaware.
(2) The state of organization is Delaware.
--------------------------------------------------------------
(d) Title of Class of Securities:
Common Stock
--------------------------------------------------------------
(e) CUSIP Number:
67075L102
--------------------------------------------------------------
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [x] Broker or dealer registered under Section 15 of the Act
(15 U.S.C. 78o).
(b) [ ] Bank as defined in Section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with Sections
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance
with Section 240.13d-1(b)(1)(ii)(F);
(g) [x] A parent holding company or control person in accordance
with Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
CUSIP No. 67075L102 13-G Page 5 of 8 Pages
--------------------------------------------------------------------------------
Item 4. Ownership as of September 30, 2016.*
(a) Amount beneficially owned:
See the response(s) to Item 9 on the attached cover page(s).
(b) Percent of Class:
See the response(s) to Item 11 on the attached cover page(s).
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See the response(s) to Item 5 on the attached cover page(s).
(ii) Shared power to vote or to direct the vote:
See the response(s) to Item 6 on the attached cover page(s).
(iii) Sole power to dispose or to direct the disposition of:
See the response(s) to Item 7 on the attached cover page(s).
(iv) Shared power to dispose or to direct the disposition of:
See the response(s) to Item 8 on the attached cover page(s).
Item 5. Ownership of Five Percent or Less of a Class.
Not Applicable
Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
Not Applicable
Item 7. Identification and Classification of the Subsidiary which Acquired
the Security Being Reported on By the Parent Holding Company.
See Exhibit 99.2
Item 8. Identification and Classification of Members of the Group.
Not Applicable
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 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.
* In Accordance with the Securities and Exchange Commission Release
No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the
securities beneficially owned, or that may be deemed to be beneficially owned,
by certain operating units (collectively, the "MS Reporting Units") of Morgan
Stanley and its subsidiaries and affiliates (collectively, "MS"). This filing
does not reflect securities, if any, beneficially owned by any operating units
of MS whose ownership of securities is disaggregated from that of the MS
Reporting Units in accordance with the Release.
CUSIP No. 67075L102 13-G Page 6 of 8 Pages
--------------------------------------------------------------------------------
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.
Date: October 11, 2016
Signature: /s/ Cesar Coy
--------------------------------------------------------------------
Name/Title: Cesar Coy/Authorized Signatory, Morgan Stanley
--------------------------------------------------------------------
MORGAN STANLEY
Date: October 11, 2016
Signature: /s/ David Galasso
--------------------------------------------------------------------
Name/Title: David Galasso/Authorized Signatory,
Morgan Stanley Smith Barney LLC
--------------------------------------------------------------------
Morgan Stanley Smith Barney LLC
EXHIBIT NO. EXHIBITS PAGE
----------- ---------- ----
99.1 Joint Filing Agreement 7
99.2 Item 7 Information 8
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.67075L102 13-G Page 7 of 8 Pages
--------------------------------------------------------------------------------
EXHIBIT NO. 99.1 TO SCHEDULE 13G
JOINT FILING AGREEMENT
---------------------------------------------------
October 11, 2016
---------------------------------------------------
MORGAN STANLEY and Morgan Stanley Smith Barney LLC
hereby agree that, unless differentiated, this
Schedule 13G is filed on behalf of each of the parties.
MORGAN STANLEY
BY: /s/ Cesar Coy
---------------------------------------------------------------------
Cesar Coy/Authorized Signatory, Morgan Stanley
Morgan Stanley Smith Barney LLC
BY: /s/ David Galasso
---------------------------------------------------------------------
David Galasso/Authorized Signatory,
Morgan Stanley Smith Barney LLC
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.67075L102 13-G Page 8 of 8 Pages
--------------------------------------------------------------------------------
EXHIBIT NO. 99.2
------------------
ITEM 7 INFORMATION
The securities being reported on by Morgan Stanley as a parent
holding company are owned, or may be deemed to be beneficially owned, by
Morgan Stanley Smith Barney LLC, a wholly-owned subsidiary of
Morgan Stanley.