LAMB DAVID J — SEC Form 4 filings
SEC reporting owner CIK 1189649. 7 Form 4 filings on record with FilingPulse; latest filed 2026-03-17.
Transaction summary — filings shown
Covers all 7 filings on record, filed 2024-03-27 to 2026-03-17. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 2 legs across 2 filings — 9,000 shares, $103,560 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 2 legs across 2 filings — 7,000 shares, $73,960 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 4.
- Largest priced transaction: purchase of 6,000 shares @ $11.04 ($66,240) in Nuveen AMT-Free Quality Municipal Income Fund, filed 2024-03-27.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Nuveen AMT-Free Quality Municipal Income Fund (NEA) | Vice President | 1 | 1 leg · 6,000 sh · $66,240 | — | — |
| Nuveen S&P 500 BuyWrite Income Fund (BXMX) | Vice President | 1 | — | 1 leg · 3,000 sh · $42,600 | — |
| Nuveen AMT-Free Municipal Credit Income Fund (NVG) | Vice President | 1 | 1 leg · 3,000 sh · $37,320 | — | — |
| NUVEEN FLOATING RATE INCOME FUND (JFR) | Vice President | 2 | — | 1 leg · 4,000 sh · $31,360 | 2 |
| Nuveen Real Asset Income & Growth Fund (JRI) | Chief Administrative Officer | 2 | — | — | 2 |
Form 4 filings — LAMB DAVID J
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-03-17 | 4 | Nuveen Real Asset Income & Growth Fund (JRI) | Option exercise/expiry (X): 1,968 @ $12.40 | EDGAR |
| 2026-03-17 | 4 | Nuveen Real Asset Income & Growth Fund (JRI) | Option exercise/expiry (X): 7,872 (derivative) @ $12.40 | EDGAR |
| 2026-01-02 | 4 | NUVEEN FLOATING RATE INCOME FUND (JFR) | Sale (S): 4,000 @ $7.84 | EDGAR |
| 2025-02-27 | 4 | NUVEEN FLOATING RATE INCOME FUND (JFR) | Option exercise/expiry (X): 13,631 @ $8.20 · Option exercise/expiry (X): 8,707 (derivative) @ $0 | EDGAR |
| 2025-02-21 | 4 | Nuveen S&P 500 BuyWrite Income Fund (BXMX) | Sale (S): 3,000 @ $14.20 | EDGAR |
| 2024-11-07 | 4 | Nuveen AMT-Free Municipal Credit Income Fund (NVG) | Purchase (P): 3,000 @ $12.44 | EDGAR |
| 2024-03-27 | 4 | Nuveen AMT-Free Quality Municipal Income Fund (NEA) | Purchase (P): 6,000 @ $11.04 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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