SEC Form SC 13G/A filed by Nuveen Core Equity Alpha Fund (Amendment)
$JCE
Trusts Except Educational Religious and Charitable
Finance
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 4)*
Nuveen Core Equity Alpha Fund
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(NAME OF ISSUER)
Common Stock
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(TITLE OF CLASS OF SECURITIES)
67090X107
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(CUSIP NUMBER)
July 31, 2021
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(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).
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CUSIP NO. 67090X107 13G PAGE 2 OF 5 PAGES
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1 Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Advisors Asset Management, Inc.
20-0532180
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2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [_]
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3 SEC Use Only
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4 Citizenship or Place of Organization
Delaware, U.S.A.
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5 Sole Voting Power
622,616
NUMBER OF ---------------------------------------------------------------
SHARES 6 Shared Voting Power
BENEFICIALLY 0
OWNED BY ---------------------------------------------------------------
EACH 7 Sole Dispositive Power
REPORTING 622,616
PERSON WITH ---------------------------------------------------------------
8 Shared Dispositive Power
0
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9 Aggregate Amount Beneficially Owned by Each Reporting Person
622,616
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10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
instructions) [_]
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11 Percent of Class Represented by Amount in Row 9
3.884%
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12 Type of Reporting Person (See instructions)
BD
IA
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CUSIP NO. 67090X107 13G PAGE 3 OF 5 PAGES
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ITEM 1.
(a) Name of Issuer:
Nuveen Core Equity Alpha Fund
(b) Address of Issuer's Principal Executive Offices:
333 West Wacker Drive
Chicago, IL 60606
ITEM 2.
(a) Name of Person Filing:
Advisors Asset Management, Inc.
(b) Address of Principal Business Office:
18925 Base Camp Road, Monument, Colorado 80132
(c) Citizenship: Delaware, U.S.A.
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 67090X107
ITEM 3. If this statement is filed pursuant to ss. 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) [X] An investment adviser in accordance with ss. 240.13d-1(b)(ii)(E).
(f) [_] An employee benefit plan or endowment fund in accordance with
ss. 240.13d-1(b)(1)(ii)(F).
(g) [_] A parent holding company or control person in accordance with
ss. 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 ss. 240.13d-1(b)(1)(ii)(J).
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CUSIP NO. 67090X107 13G PAGE 4 OF 5 PAGES
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ITEM 4. Ownership:
(a) Amount Beneficially Owned: 622,616
(b) Percent of Class: 3.884%
(c) Number of Shares as to which such person has:
(i) Sole power to vote or to direct the vote: 622,616
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 622,616
(iv) Shared power to dispose or to direct the disposition of: 0
ITEM 5. Ownership of Five Percent or Less of a Class:
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner
of more that five percent of the class of securities, check the
following [X].
ITEM 6. Ownership of More than Five Percent on Behalf of Another:
Advisors Asset Management, Inc. is sponsor of several unit investment
trusts which hold shares of common stock of the issuer. No unit investment
trust sponsored by Advisors Asset Management, Inc. holds 5% or more of the
issuer's common stock. Advisors Asset Management, Inc. disclaims
beneficial ownership of such shares of the issuer identified in this
filing.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company:
See Item 6
ITEM 8. Identification and Classification of Members of the Group:
N/A
ITEM 9. Notice of Dissolution of Group:
N/A
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.
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CUSIP NO. 67090X107 13G PAGE 5 OF 5 PAGES
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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.
Advisors Asset Management, Inc.
By: /s/ Scott Colyer
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Scott Colyer
Chief Executive Officer
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
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