Mark Winget
About Mark Winget
Mark L. Winget (born 1968) serves as Vice President and Secretary of Nuveen Dow 30SM Dynamic Overwrite Fund (DIAX) and has held officer roles across the Nuveen/TIAA complex; he has served in this capacity since 2008 . His recent principal responsibilities include Vice President and Assistant Secretary roles at Nuveen Securities, LLC and Nuveen Fund Advisors, LLC, and Associate General Counsel roles at Teachers Advisors, LLC, TIAA-CREF Investment Management, LLC, and Nuveen Asset Management, LLC . Fund documents state officers receive no compensation from the Funds, and the CCO’s compensation is paid by the Adviser; no performance-linked pay metrics for officers are disclosed, so pay-for-performance alignment to DIAX is not assessable from fund filings . He signs certain SEC filings on behalf of DIAX (e.g., 8-K), evidencing his senior administrative authority .
Past Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| Nuveen Securities, LLC | Vice President & Assistant Secretary | Past 5 years (as of Mar 1, 2025) | Legal/administrative oversight for fund governance operations |
| Nuveen Fund Advisors, LLC | Vice President & Assistant Secretary | Past 5 years (as of Mar 1, 2025) | Fund administration and governance support |
| Teachers Advisors, LLC | Vice President, Associate General Counsel & Assistant Secretary | Past 5 years (as of Mar 1, 2025) | Cross-entity legal support aligning TIAA/Nuveen fund governance |
| TIAA-CREF Investment Management, LLC | Vice President, Associate General Counsel & Assistant Secretary | Past 5 years (as of Mar 1, 2025) | Compliance and legal risk management across investment platforms |
| Nuveen Asset Management, LLC | Vice President & Associate General Counsel | Past 5 years (as of Mar 1, 2025) | Investment management legal coverage; policy and disclosure |
External Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| DIAX (SEC filings) | Authorized signatory on SEC filings | 2023 (example) | Executes board/administrative actions; ensures regulatory compliance |
Fixed Compensation
| Component | Amount/Status | Source |
|---|---|---|
| Compensation from DIAX (Fund) | $0 (officers receive no compensation from the Funds) | |
| Compensation source for CCO (reference) | Paid by Adviser; Fund reimburses portion of incentive compensation | |
| Board member compensation (context, not applicable to Winget) | Independent Board Members paid retainers/fees (structure disclosed) |
Fund filings do not disclose Winget’s base salary, bonus, or equity awards at Nuveen/TIAA. Officer pay is outside the Fund and not reported in DIAX proxy statements .
Performance Compensation
- Not disclosed for officers; proxies provide Board compensation only. No DIAX-linked performance metrics (e.g., TSR, revenue/EBITDA goals) tied to officer pay are reported .
Equity Ownership & Alignment
| Metric | Value | Source |
|---|---|---|
| DIAX Common Shares Outstanding (record date) | 36,366,913 (as of Feb 18, 2025) | |
| Individual beneficial ownership (Winget) | Not disclosed in proxy | |
| Group ownership (Board Members and executive officers as a group) | Less than 1% of DIAX shares outstanding | |
| Pledged shares (Winget) | Not disclosed |
Board Members are expected to invest at least one year of compensation in funds within the complex; this governance principle applies to Board Members, not officers . DIAX filings do not show pledged or hedged holdings by Winget .
Employment Terms
| Term | Detail | Source |
|---|---|---|
| Position | Vice President and Secretary | |
| Year of birth | 1968 | |
| Start of service in Nuveen fund complex | Since 2008 | |
| Term of office | Indefinite; officers elected annually to serve until successors elected and qualified | |
| Compensation from Fund | None (officers receive no compensation from the Funds) | |
| Filing authority | Authorized signatory for DIAX on SEC filings |
Investment Implications
- Pay-for-performance alignment: With officer compensation not paid by DIAX and no disclosed metrics tied to fund performance for officers, there is limited direct alignment between Winget’s compensation and DIAX shareholder outcomes; his role is legal/administrative rather than investment or portfolio management .
- Retention risk: Tenure since 2008 and cross-entity legal roles suggest institutional continuity; no employment contract terms, severance, or change-of-control provisions are disclosed for officers in DIAX filings .
- Trading signals and insider selling pressure: Section 16(a) compliance is reported as timely for officers; no Form 4 activity or pledging by Winget is disclosed in DIAX proxies, limiting tradable insider signals from officer activity .
- Governance: Winget enables regulatory and governance execution (e.g., signing 8-Ks) but is not a voting Trustee; board compensation structures and committee oversight are separate from officer roles .
Overall, Winget’s disclosure profile indicates an operational legal/governance function with no Fund-reported compensation or equity linkage, implying neutrality for DIAX’s pay-for-performance analysis and minimal direct trading signal relevance from his personal incentives per Fund filings .