8-K
Nuveen Core Equity Alpha Fund (JCE)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 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): October 23, 2020 (October 23, 2020)
Nuveen Core Equity Alpha Fund
(Exact name of registrant as specified in its charter)
| Massachusetts | 811-22003 | 20-8449001 |
|---|---|---|
| (State or other jurisdiction<br><br><br>of incorporation) | (Commission<br><br><br>File Number) | (I.R.S. Employer<br><br><br>Identification No.) |
| 333 West Wacker Drive<br><br><br>Chicago, Illinois | 60606 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: (800) 257-8787
(Former name or former address, if changed since last report): N/A
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:
| ☐ | 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<br>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 20e-4(c) under the Exchange Act (17 CFR 240.20e-4(c)) |
| --- | --- |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading symbol(s) | Name of exchange of which registered |
|---|---|---|
| Common Shares of Beneficial<br><br><br>Interest | JCE | New York Stock Exchange |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 8.01. | Other Events. |
|---|
On October 23, 2020, Nuveen Core Equity Alpha Fund (NYSE: JCE) (the “Fund”), a registered closed-end management investment company, issued a press release announcing the results of a special meeting of the Fund’s shareholders. At the meeting, the Fund’s shareholders voted to approve all items submitted for approval by shareholders, including the proposal changing the Fund’s sub-advisor for its equity portfolio to Nuveen Asset Management, LLC.
| Item 9.01. | Financial Statements and Exhibits. |
|---|---|
| (d) | Exhibits |
| --- | --- |
| 99.1 | Press Release, dated October 23, 2020. |
| --- | --- |
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 CORE EQUITY ALPHA FUND | ||
|---|---|---|
| Date: October 23, 2020 | By: | /s/ Gifford R. Zimmerman |
| Gifford R. Zimmerman | ||
| Vice President and Secretary |
Nuveen Core Equity Alpha Fund Announcement dated October 23, 2020
Nuveen Core Equity Alpha Fund Announces Results of
Special Shareholder Meeting
NEW YORK, October 23, 2020 – Shareholders of Nuveen Core Equity Alpha Fund (NYSE: JCE) approved all items submitted for approval, including the proposal changing the fund’s sub-advisor for its equity portfolio to Nuveen Asset Management. While the investment objective and overall investment strategy of the fund remain the same, going forward the equity portfolio will be managed using Nuveen’s proprietary quantitative model and the related changes to the fund’s investment policies described in the fund’s proxy statement will become effective. As a result of the approval, portfolio management responsibilities will also be updated as described in the table below.
| Ticker | Fund Name | Current Portfolio Management Team | Portfolio<br> <br>Management Team<br><br><br>as of 10/26/2020 |
|---|---|---|---|
| JCE | Nuveen Core Equity Alpha Fund | Adrian Banner<br><br><br>Vassilios Papathanakos<br> <br>David Friar | Max Kozlov<br><br><br>Pei Chen<br> <br>David Friar |
For more information, please visit Nuveen’s CEF homepage www.nuveen.com/closed-end-funds
or contact:
Financial Professionals:
800-752-8700
Investors:
800-257-8787
Media:
media-inquiries@nuveen.com
About Nuveen
Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1 trillion in assets under management as of 30 June 2020 and operations in 27 countries. Its investment specialists offer deep expertise across a
comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information, please visit www.nuveen.com.
Nuveen Securities, LLC, member FINRA and SIPC.
The information contained on the Nuveen website is not a part of this press release.
EPS-1376918PR-E1020X