Diana R. Gonzalez
About Diana R. Gonzalez
Diana R. Gonzalez (born 1978) serves as Vice President and Assistant Secretary of Nuveen S&P 500 Dynamic Overwrite Fund (SPXX) and related Nuveen/TIAA fund entities, with length of service since 2017 and an indefinite term of office . Her principal duties span legal and governance roles across Nuveen Fund Advisors, Nuveen Asset Management, Teachers Advisors, and TIAA‑CREF Investment Management, as an Associate General Counsel and Assistant Secretary . SPXX’s officers receive no compensation from the Fund; compensation for the Chief Compliance Officer is paid by the adviser with partial reimbursement, and individual officer performance metrics (TSR, revenue/EBITDA) tied to pay are not disclosed in SPXX filings .
Past Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| Nuveen Fund Advisors, LLC | Vice President and Assistant Secretary | Since 2017; term indefinite | Legal/governance support for Nuveen closed‑end funds |
| Nuveen Asset Management, LLC | Vice President, Associate General Counsel and Assistant Secretary | Past 5 years (disclosed) | Legal oversight and fund documentation |
| Teachers Advisors, LLC | Vice President, Associate General Counsel and Assistant Secretary | Past 5 years (disclosed) | Legal/governance across adviser platforms |
| TIAA‑CREF Investment Management, LLC | Vice President, Associate General Counsel and Assistant Secretary | Past 5 years (disclosed) | Legal support and compliance coordination |
| Nuveen, LLC | Vice President and Associate General Counsel | Past 5 years (disclosed) | Enterprise legal leadership supporting fund complex |
External Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| Not disclosed in SPXX filings | — | — | — |
Fixed Compensation
| Component | Detail |
|---|---|
| Compensation from SPXX | Officers receive no compensation from the Fund |
| CCO compensation (structure reference) | Paid by adviser; Fund reimburses allocable portion of incentive compensation |
| Retirement/Pension | The Funds do not have retirement or pension plans (for directors; officers uncompensated by Funds) |
Performance Compensation
| Metric | Weighting | Target | Actual | Payout | Vesting |
|---|---|---|---|---|---|
| Not disclosed/applicable for SPXX officers | — | — | — | — | Officers are not paid by the Fund; no performance plan disclosed |
Equity Ownership & Alignment
| Item | Detail |
|---|---|
| Individual officer holdings | Not specifically disclosed for Diana R. Gonzalez in DEF 14A |
| Group beneficial ownership | Board members and executive officers as a group beneficially owned less than 1% of outstanding shares of each Fund as of the record dates |
| SPXX common shares outstanding | 17,960,021 (record date Feb 18, 2025) |
| Pledging/hedging | No pledging/hedging disclosures for officers in SPXX filings |
| Ownership guidelines | Governance principle applies to Board Members (one year of compensation invested in Fund Complex); not specified for officers |
Employment Terms
| Term | Detail |
|---|---|
| Title | Vice President and Assistant Secretary |
| Employment start date | Length of service since 2017 |
| Term length | Indefinite; officers elected annually by the Board |
| Compensation source | No compensation from SPXX; adviser pays CCO; officer compensation not detailed |
| Severance/change‑of‑control | Not disclosed for officers in SPXX filings |
| Non‑compete/non‑solicit/garden leave | Not disclosed in SPXX filings |
| Post‑termination arrangements | Not disclosed in SPXX filings |
Investment Implications
- Alignment: As a fund officer with no direct compensation from SPXX, Gonzalez’s pay is not tied to SPXX‑specific performance metrics; alignment is primarily through enterprise roles at Nuveen/TIAA rather than fund‑level incentives .
- Insider pressure: With group beneficial ownership below 1% and no officer‑level equity grants/options disclosed, insider selling pressure signals are minimal for SPXX; Form 4‑type trading disclosures for officers are not present in SPXX’s proxy materials .
- Retention risk: Employment terms indicate an indefinite, annually elected officer role; no severance/change‑of‑control economics disclosed, suggesting retention dynamics depend on Nuveen/TIAA policies rather than fund‑level agreements .
- Governance: Ownership guidelines apply to Board Members, not officers; the unitary board structure and committee oversight focus on fund performance, risk, compliance, and valuation, with officers supporting governance without direct fund compensation—reducing pay‑for‑performance linkage risks at the officer level .