People: Nuveen Diversified Commodity Fund (CFD)

CFD on American Stock Exchange

19.03USD
20 May 2013
Price Change (% chg)

$0.04 (+0.21%)
Prev Close
$18.99
Open
$19.00
Day's High
$19.10
Day's Low
$18.87
Volume
38,403
Avg. Vol
38,916
52-wk High
$23.25
52-wk Low
$18.01

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Summary

Name Age Since Current Position

William Adams

 57 2011 President, Principal Executive Officer of the Manager of the Fund

Stephen Foy

 58 2010 Chief Financial Officer & Principal Financial Officer of the Manager of the Fund

Gifford Zimmerman

 56 2012 Chief Administrative Officer of the Manager of the Fund

Mary Keefe

 62 2012 Chief Compliance Officer of manager of the fund

Margo Cook

 48 2011 Managing Director of the Manager of the Fund

Carl Katerndahl

 50 2010 Managing Director of the Manager of the Fund

Anne Kritzmire

 50 2012 Managing Director of the manager of the fund

Christopher Cotter

 53 Independent Trustee of the manager of the fund

Jon Hunt

 61 Independent Trustee of the manager of the fund

L. Joe Moravy

 62 Independent Trustee of the manager of the fund

Harry Short

 65 Independent Trustee of the manager of the fund
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Biographies

Name Description

William Adams

 Mr. William Adams, IV, is President, Principal Executive Officer of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. He is the head of product development, managing product design and development of financial products that provide exposure to commodities and monitoring trends that indicate the need for new commodity products and services. Prior to August 30, 2011, Mr. Adams was a Managing Director of NCAM. Mr. Adams is also Executive Vice President, Global Structured Products of Nuveen since December 1999 where he is responsible for Nuveen’s closed-end fund business including the development and launch of new closed-end funds, and he is Co-President of Nuveen Fund Advisors, Inc. since January 2011. Prior thereto, Mr. Adams was Managing Director of Structured Investments effective September 1997 where he headed Nuveen’s closed-end fund and unit investment trust business units, and Vice President and Manager of Corporate Marketing effective August 1994 where he was responsible for the distribution of Nuveen’s investment products, including overseeing all sales and marketing activities. Mr. Adams was listed as a principal and registered as an associated person of the Manager on July 13, 2010.

Stephen Foy

 Mr. Stephen D. Foy is Chief Financial Officer and Principal Financial Officer of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. Mr. Foy supervises the records and accounting systems of NCAM and the preparation of the Fund’s financial reports. Mr. Foy, a certified public accountant, is a Senior Vice President (since May 2010) and Funds Controller (since May 1998) of Nuveen. In his capacity as Funds Controller, Mr. Foy is responsible for overseeing the relationships and operations of the third party fund accountant and custodian for each of the registered investment companies sponsored by Nuveen. In addition, Mr. Foy is responsible for managing the fund administration activities of the funds including shareholder reporting and periodic regulatory filings, preparation of tax returns and performance of tax compliance, preparation of the fund expense budgets and maintenance of accrued expenses. Mr. Foy is also responsible for oversight of the accounting, custody and administration services provided by third parties to certain collective trusts and investment partnerships. Mr. Foy is responsible for maintaining the relationships with the independent accountants and the audit committee of the Boards of Directors/Trustees of the Nuveen funds. He is also a Vice President (since May 2005) of Nuveen Fund Advisors, Inc. Mr. Foy was listed as a principal of the Manager on May 19, 2010.

Gifford Zimmerman

 Mr. Gifford R. Zimmerman is Chief Administrative Officer of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. He has served as Chief Administrative Officer and Chief Compliance Officer of NCAM since August 2006. He is responsible for adopting and implementing a compliance program and internal controls to ensure NCAM’s compliance with applicable regulatory requirements. Prior to August 30, 2011, Mr Zimmerman served as principal executive officer of NCAM. Mr. Zimmerman has been with Nuveen since May 1988. He is a Managing Director (since January 2002), Assistant Secretary and Associate General Counsel of Nuveen. Prior thereto, Mr. Zimmerman was a Vice President and Assistant General Counsel of Nuveen. Mr. Zimmerman also serves as a Managing Director (since May 2002), Co-General Counsel (since January 2011) and Assistant Secretary of Nuveen Fund Advisors, Inc. and Managing Director (since 2004) and Assistant Secretary of Nuveen Investments, Inc. and Nuveen Asset Management, LLC (since January 2011). Mr. Zimmerman’s duties for all three of these entities have included serving since January 1997 as the manager of the sub-unit of the Nuveen Legal Department that handles legal aspects of the Nuveen Fund, as well as participating in the oversight of Fund operations, in Fund governance matters, and in product development activities. Mr. Zimmerman is a Chartered Financial Analyst charterholder. Mr. Zimmerman was listed as a principal and registered as an associated person of the Manager on August 30, 2006.

Mary Keefe

 Ms. Mary Keefe is Chief Compliance Officer of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. She is responsible for implementing a compliance program and internal controls to ensure NCAM’s compliance with applicable regulatory requirements. Ms. Keefe is also Managing Director and Director of Compliance for Nuveen Investments (since May 2004). In such capacity, she manages the Compliance Department for Nuveen Investments and is the Chief Compliance Officer for several of Nuveen Investments’ affiliated registered investment advisers, including NCAM, and Nuveen Investments’ affiliated broker-dealer, Nuveen Securities, LLC. As Director of Compliance for Nuveen Investments, Ms. Keefe serves on a number of Nuveen Investments’ governance committees including the Nuveen Fund Advisor’s Oversight Committee and Nuveen’s Operations Committee and Material Matters Committee. Ms. Keefe chairs the Compliance Committees for Nuveen Investments and for the registered entities for which she serves as Chief Compliance Officer. Previously, Ms. Keefe served as Director of the Chicago Regional Office of the SEC from July 1994 to December 2003, which included managing the enforcement and examination programs and a staff of approximately 250. Prior thereto, she was Associate Director of Enforcement (1993 to 1994) and Associate Director of Regulation (1992 to 1993) of the SEC’s Chicago Regional Office. Ms. Keefe received a law degree from De Paul University College of Law in 1979.

Margo Cook

 Ms. Margo Cook is Managing Director of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. Ms. Cook is the Head of Nuveen’s Investment Services, serving as the key liaison with Nuveen’s investment managers, including six asset management companies and seven sub-advisors. Ms. Cook’s responsibilities include investment oversight, valuation and risk management for all investment teams, as well as overseeing investment issues on behalf of Nuveen Fund Advisors, Inc. Ms. Cook is the chair of Nuveen Fund Advisors, Inc.’s Oversight Committee and a member of Nuveen’s Executive, Product Development, Operations and Valuation Committees. Ms. Cook is also responsible for the co-management of the Nuveen’s Institutional Sales effort, including the Consultant Relations, Taft Hartley and Client Service teams. Prior to joining Nuveen in October 2008, Ms. Cook served as Global Head of Bear Stearns Asset Management’s institutional asset management business, which included managing several equity and fixed income portfolio teams, and serving on the firm’s Executive and Management Committees. Prior to joining Bear Stearns in June 2007, Ms. Cook held a number of leadership roles, starting in September 1986, within The Bank of New York Mellon’s asset management business, including Chief Investment Officer and Head of Institutional Asset Management (2005-2007), Head of Institutional Fixed Income (1996-2005) and Senior Fixed Income Portfolio Manager (1988-1996). Ms. Cook is a Chartered Financial Analyst charterholder. Ms. Cook was listed as a principal of the manager on October 18, 2011.

Carl Katerndahl

 Mr. Carl M. Katerndahl is Managing Director of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. Mr. Katerndahl is the head of sales, identifying potential customers and financial intermediaries for distribution of NCAM’s commodity products and services. Mr. Katerndahl has also been Executive Vice President, Co-Head of Distribution for Nuveen since December 2007, where he has been responsible for all sales and client service, including key accounts for the firm. Mr. Katerndahl was Managing Director and Head of the Private Client Group for Nuveen since July 2002. Prior thereto, Mr. Katerndahl was a Managing Director and Head of Sales for NWQ, a registered investment adviser acquired by Nuveen in August 2002. Mr. Katerndahl was listed as a principal and registered as an associated person of the Manager on July 13, 2010.

Anne Kritzmire

 Ms. Anne Kritzmire is Managing Director of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. Ms. Kritzmire leads Nuveen’s Closed-End Funds and Global Structured Products marketing group, and is responsible for all marketing strategy and implementation, financial advisor and investor education, communications and comprehensive data support exchange-traded commodity products. She manages an integrated program of advisor and investor support activities as well as advertising, analyst relations, sales support, and educational initiatives. Ms. Kritzmire joined Nuveen Investments in April of 1999 as Vice President and Director, Client Development and Customer Insight, to develop the firm’s customer relationship management strategy across multiple product platforms and sales channels. Prior to joining Nuveen, she held senior marketing and business planning positions with the Pharmaceutical Products Division of Abbott Laboratories (October 1993-April 1999), and served in engineering, project management, sales, and business consulting capacities with IBM Corporation (July 1984-October 1993).

Christopher Cotter

 Mr. Christopher A. Cotter is Independent Trustee of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. He is a Managing Director at River Branch Capital, where he is responsible for originating and executing transactions in a financial advisory and merchant banking capacity. Prior to this, from 2009 to 2011, he was the President and Founder of CAC Capital Advisory, LLC, where he served as a consultant to financial services firms and to boutique investment banks. Prior to founding CAC Capital Advisory, Mr. Cotter was a 20-year veteran of William Blair & Company, serving as Principal in the Financial Services Group from 1994 to 2009 and Associate from 1989 to 1993. Mr. Cotter worked on a full range of capital markets transactions, including mergers and acquisitions, private equity placements and public equity offerings for financial institutions. From 1987-1989, Mr. Cotter worked as an investment banking associate at Goldman Sachs in New York. Prior to this, he was a Certified Public Accountant at Price Waterhouse in Dallas, Texas since 1981. He earned a Bachelor of Science in Finance from the University of Illinois and holds an MBA from Harvard Business School.

Jon Hunt

 Mr. Jon C. Hunt is Independent Trustee of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. He is an internal consultant (since July 2012) and former Managing Director and Chief Operating Officer (February 1998 to July 2012) of Convergent Capital Management, a multi-boutique asset management holding company. He is involved in management and acquisition activities and primarily responsible for post-acquisition affiliate support, including strategy design and execution, marketing, financial management, operations, governance, and compliance. He also serves as business manager for CNI Charter Funds, a $6 billion proprietary fund complex, responsible for negotiating contracts, board interaction and advisor/sub-advisor oversight. Prior to joining Convergent Capital, Mr. Hunt worked for the Northern Trust Company from 1973 to 1998. His most recent role was Senior Vice President in the Corporate and Institutional Services group, responsible for product development, product management, and marketing for Northern Trust Global Investments (“NTGI”). His responsibilities also included product management for the Master Trust and Master Custody, as well as Treasury Management businesses. Prior to this role, Mr. Hunt was responsible for NTGI Investment Products and Sales and served as the leader of Treasury Management, Product Management, Marketing, Production and Servicing. He earned a Bachelor of Arts in Economics from Northwestern University, and a Masters of Management from Kellogg Graduate School of Management.

L. Joe Moravy

 Mr. L. Joe Moravy is Independent Trustee of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. He is a Managing Director of Finance Scholars Group, a boutique consulting firm providing litigation support services since March 2010. From November 2008 to March 2010, Mr. Moravy was a Managing Director at LJM Advisory Services, providing audit and accounting related litigation support services. From June 2002 to October 2008, Mr. Moravy was a Partner at Ernst & Young LLP in the Financial Services Practice, providing Assurance and Advisory Services to public and private financial services companies. Prior to Ernst & Young, Mr. Moravy was a Partner from 1987 to 2002 and Manager from 1974 to 1987 at Arthur Andersen LLP. In this role, he provided audit services to public and private financial services companies, as well as advisory services related to derivatives and treasury risk management. Mr. Moravy earned a Bachelor of Science in Business Administration (Economics concentration) from Michigan Technological University in 1972 and an MBA (Accounting concentration) from the University of Michigan in 1974. Mr. Moravy has been a Certified Public Accountant in Illinois since 1975. He serves as a Life Trustee of the Michigan Tech Fund and is a member of the American Institute of Certified Public Accountants, Illinois CPA Society, Independent Directors Council of the Investment Company Institute, and the National Association of Corporate Directors.

Harry Short

 Mr. Harry W. Short is Independent Trustee of Nuveen Commodities Asset Management, LLC, the Manager of Nuveen Diversified Commodity Fund. He retired in April 2005 from a fifteen year career (since January 1990) at The Northern Trust Corporation and The Northern Trust Company, where he served most recently as Executive Vice President and Controller, responsible for all corporate-wide accounting and tax matters, and Sarbanes-Oxley 404 internal controls compliance. He was the Chairman of the Profit Improvement Committee, member of the Corporate Risk Compliance and Credit Policy Committees, and was primary liaison with the Audit Committee of the Board of Directors. Prior to his career at Northern Trust, Mr. Short was a Partner in the Financial Services Practice at the international accounting firm KPMG, where he served from 1969 through 1990, focusing on audit, due diligence, and relationship management for banking and financial services clients. Mr. Short was a Certified Public Accountant in Illinois, New York, and New Jersey. He earned a Bachelor of Business Administration from Siena College, and an MBA from St. John’s University. He served as President of the Board of Directors of the Chicago Children’s Advocacy Center, and previously Treasurer and Executive Committee Member of the Board of Directors of the Boys and Girls Club of Lake County.

Insider Trading

Name Shares Traded Price

HEPWORTH DOUGLAS J

 2,000 $21.65

SCHNEIDER WILLIAM J

 4,110 $18.94

SCHNEIDER WILLIAM J

 5,695 $18.94
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