Brian J. Lockhart
About Brian J. Lockhart
Brian J. Lockhart serves as Vice President of the Nuveen S&P 500 Buy-Write Income Fund (BXMX) and is Senior Managing Director and Head of Investment Oversight at Nuveen; he is a Chartered Financial Analyst (CFA) and Certified Financial Risk Manager (FRM) and was born in 1974 . His term of office with BXMX is indefinite with length of service since 2019 (earlier proxies described officer terms as annual), reflecting long-tenured leadership within Nuveen’s fund complex . Fund proxies do not disclose officer-level TSR, revenue growth, or EBITDA growth metrics tied to compensation for BXMX officers, and the officers receive no compensation from the Fund itself .
Past Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| Nuveen | Head of Investment Oversight | Since Sept 2017 | Leads investment oversight function across Nuveen funds |
| Nuveen | Team Leader, Manager Oversight | 2015–2017 | Led manager oversight team prior to investment oversight role |
| Nuveen | Senior Managing Director | Since 2021 | Senior leadership within Nuveen and Nuveen Fund Advisors |
| Nuveen | Managing Director | 2017–2021 | Progression into senior leadership |
| Nuveen | Vice President | 2010–2017 | Earlier leadership roles within Nuveen |
| Nuveen Fund Advisors, LLC | Senior Managing Director | Since 2021 | Senior MD with fund advisor affiliate |
External Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| None disclosed in BXMX proxies | — | — | — |
Fixed Compensation
- Officers receive no compensation from the Fund; BXMX has no employees, and officer compensation is not paid by the Fund .
- The Fund’s Chief Compliance Officer (CCO) compensation is paid by the Adviser (Nuveen Fund Advisors) with Board input; the Funds reimburse an allocable portion of the Adviser’s cost of the CCO’s incentive compensation (framework disclosure; not specific to Lockhart) .
Performance Compensation
- No performance incentive compensation is disclosed for BXMX officers; proxies do not present metrics, targets, or payouts for fund officers .
Equity Ownership & Alignment
- BXMX proxies present compensation and ownership details for Independent Board Members; officers are not compensated by the Fund and are not listed in those compensation tables .
- No BXMX Section 16 ownership filings (Form 3/4/5) were found tied to Brian J. Lockhart in the BXMX document set; security ownership tables focus on Independent Board Members rather than fund officers .
Employment Terms
| Item | Disclosure |
|---|---|
| Position | Vice President, BXMX |
| Year of Birth | 1974 |
| Length of Service | Since 2019 |
| Term of Office | Indefinite in recent proxies; described as annual in older proxy |
| Non-compete / Non-solicit | Not disclosed in BXMX filings |
| Employment Agreement / Severance / CoC | Not disclosed in BXMX filings |
Investment Implications
- Pay-for-performance analysis and insider selling pressure are not applicable at the Fund-officer level because BXMX officers receive no compensation from the Fund; compensation is at the Adviser level and not disclosed in BXMX proxies .
- Alignment signals (ownership guidelines, pledging, hedging, vesting schedules) are not disclosed for fund officers; trading signals from insider filings are absent for Lockhart in BXMX documents .
- Tenure and credentials suggest continuity and strong governance within Nuveen’s oversight function; however, equity-alignment details and change-of-control economics reside outside the Fund’s disclosures, limiting direct inference for BXMX trading impacts .