SEC Info - Nuveen Preferred & Income Opportunities Fund, et al. - ‘N-2ASR’ on 3/19/24

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Nuveen Preferred & Income Opportunities Fund, et al. – ‘N-2ASR’ on 3/19/24 – ‘XML’

On: Tuesday, 3/19/24, at 3:53pm ET · Effective: 3/19/24 · Accession #: 1193125-24-71227 · File #s: 811-21293, 333-278059

Previous ‘N-2ASR’: ‘N-2ASR’ on 3/19/21 · Latest ‘N-2ASR’: This Filing · 18 References:

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/19/24  Nuveen Pfd & Income Opportuni… Fd N-2ASR      3/19/24   16:1.7M                                   Donnelley … Solutions/FA
          Nuveen Preferred & Income Opportunities Fund

Automatic Shelf Registration Statement by a Well-Known Closed-End Investment Company — Form N-2 — ICA’40

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N-2ASR      Nuveen Preferred & Income Opportunities Fund        HTML    898K 
11: EX-FILING FEES  Filing Fee Table                                HTML     54K 
 2: EX-99.L1    Opinion and Consent of Stradley                     HTML     15K 
 3: EX-99.L2    Opinion and Consent of Morgan, Lewis                HTML     34K 
 6: EX-99.N     Consent of Kpmg LLC                                 HTML      7K 
 4: EX-99.T1    Powers of Attorney                                  HTML     34K 
 5: EX-99.T2    Powers of Attorney                                  HTML     22K 
12: R1          N-2                                                 HTML    156K 
13: XML         IDEA XML File -- Filing Summary                      XML     14K 
16: XML         XBRL Instance -- d780875dn2asr_htm                   XML     90K 
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10: EX-101.PRE  XBRL Presentations -- cik0001216583-20240319_pre     XML     14K 
 7: EX-101.SCH  XBRL Schema -- cik0001216583-20240319                XSD     22K 
14: JSON        XBRL Instance as JSON Data -- MetaLinks               83±    89K 
15: ZIP         XBRL Zipped Folder -- 0001193125-24-071227-xbrl      Zip    237K

‘XML’ — XBRL Instance — d780875dn2asr_htm

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<div style="margin-top: 0px; margin-bottom: 0px; font-size: 12pt;;text-indent: 0px;"> </div> <div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The following provides information about the Fund’s outstanding Common Shares and Preferred Shares as of February 29, 2024: </div> <div style="margin-top: 0px; margin-bottom: 0px; font-size: 12pt;;text-indent: 0px;"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;width:100%;border:0;margin:0 auto;text-indent: 0px;"> <tr> <td style="width:66%"></td> <td style="vertical-align:bottom;width:4%"></td> <td></td> <td></td> <td></td> <td style="vertical-align:bottom;width:4%"></td> <td></td> <td></td> <td></td> <td style="vertical-align:bottom;width:4%"></td> <td></td> <td></td> <td></td></tr> <tr style="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt"> <td style="vertical-align:bottom;white-space:nowrap"><div style="margin-top: 0pt; margin-bottom: 0pt; font-size: 8pt; font-family: "Times New Roman"; line-height: normal;"><div style="font-weight:bold;display:inline;">Title of Class</div></div></td> <td style="vertical-align:bottom"> </td> <td colspan="2" style="vertical-align:bottom;text-align:center;"><div style="letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-weight:bold;display:inline;">Amount<br/>Authorized</div></div> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td colspan="2" style="vertical-align:bottom;text-align:center;"><div style="letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-weight:bold;display:inline;">Amount Held<br/>by the Fund or<br/>for its Account</div></div> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td colspan="2" style="vertical-align:bottom;text-align:center;"><div style="letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-weight:bold;display:inline;">Amount<br/>Outstanding</div></div> </td> <td style="vertical-align:bottom"> </td></tr> <tr style="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt"> <td style="vertical-align:top"><div style="margin-top: 0pt; margin-bottom: 0pt; margin-left: 1em; text-indent: -1em; font-size: 10pt; font-family: "Times New Roman"; line-height: normal;">Common Shares</div></td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">Unlimited</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">0</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">319,483,952</td> <td style="white-space:nowrap;vertical-align:bottom"> </td></tr> <tr style="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt"> <td style="vertical-align:top"><div style="margin-top: 0pt; margin-bottom: 0pt; margin-left: 1em; text-indent: -1em; font-size: 10pt; font-family: "Times New Roman"; line-height: normal;">Preferred Shares</div></td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">Unlimited</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">—</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">—</td> <td style="white-space:nowrap;vertical-align:bottom"> </td></tr> <tr style="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt"> <td style="vertical-align:top"><div style="margin-top: 0pt; margin-bottom: 0pt; margin-left: 3em; text-indent: -1em; font-size: 10pt; font-family: "Times New Roman"; line-height: normal;">TFP Series A</div></td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">150,000</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">0</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">150,000</td> <td style="white-space:nowrap;vertical-align:bottom"> </td></tr> <tr style="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt"> <td style="vertical-align:top"><div style="margin-top: 0pt; margin-bottom: 0pt; margin-left: 3em; text-indent: -1em; font-size: 10pt; font-family: "Times New Roman"; line-height: normal;">TFP Series B</div></td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">270,000</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">0</td> <td style="white-space:nowrap;vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom"> </td> <td style="vertical-align:bottom;text-align:right;">270,000</td> <td style="white-space:nowrap;vertical-align:bottom"> </td></tr></table>

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<cef:OutstandingSecurityHeldShares contextRef="P02_29_2024To02_29_2024_CommonSharesMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7513" unitRef="Unit_shares"> 0 </cef:OutstandingSecurityHeldShares>

<cef:OutstandingSecurityNotHeldShares contextRef="P02_29_2024To02_29_2024_CommonSharesMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7514" unitRef="Unit_shares"> 319483952 </cef:OutstandingSecurityNotHeldShares>

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<cef:OutstandingSecurityHeldShares contextRef="P02_29_2024To02_29_2024_PreferredSharesMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7516" unitRef="Unit_shares"> 0 </cef:OutstandingSecurityHeldShares>

<cef:OutstandingSecurityNotHeldShares contextRef="P02_29_2024To02_29_2024_PreferredSharesMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7517" unitRef="Unit_shares"> 0 </cef:OutstandingSecurityNotHeldShares>

<cef:OutstandingSecurityTitleTextBlock contextRef="P02_29_2024To02_29_2024_TfpSeriesAMemberusgaapStatementClassOfStockAxis" id="ixv-7518"> TFP Series A </cef:OutstandingSecurityTitleTextBlock>

<cef:OutstandingSecurityAuthorizedShares contextRef="P02_29_2024To02_29_2024_TfpSeriesAMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7519" unitRef="Unit_shares"> 150000 </cef:OutstandingSecurityAuthorizedShares>

<cef:OutstandingSecurityHeldShares contextRef="P02_29_2024To02_29_2024_TfpSeriesAMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7520" unitRef="Unit_shares"> 0 </cef:OutstandingSecurityHeldShares>

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<cef:OutstandingSecurityTitleTextBlock contextRef="P02_29_2024To02_29_2024_TfpSeriesBMemberusgaapStatementClassOfStockAxis" id="ixv-7522"> TFP Series B </cef:OutstandingSecurityTitleTextBlock>

<cef:OutstandingSecurityAuthorizedShares contextRef="P02_29_2024To02_29_2024_TfpSeriesBMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7523" unitRef="Unit_shares"> 270000 </cef:OutstandingSecurityAuthorizedShares>

<cef:OutstandingSecurityHeldShares contextRef="P02_29_2024To02_29_2024_TfpSeriesBMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7524" unitRef="Unit_shares"> 0 </cef:OutstandingSecurityHeldShares>

<cef:OutstandingSecurityNotHeldShares contextRef="P02_29_2024To02_29_2024_TfpSeriesBMemberusgaapStatementClassOfStockAxis" decimals="INF" id="ixv-7525" unitRef="Unit_shares"> 270000 </cef:OutstandingSecurityNotHeldShares>

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<div style="margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; font-family: "Times New Roman";;text-indent: 0px;"><div style="font-weight:bold;display:inline;">Investment Objectives and Policies </div></div> <div style="margin-top: 0px; margin-bottom: 0px; font-size: 7pt;;text-indent: 0px;"> </div> <div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Please refer to the section of the Fund’s most recent annual report on Form N-CSR entitled “Shareholder Update—Current Investment Objectives, Investment Policies and Principal Risks of the Funds—Investment Objectives” and “—Investment Policies,” as such investment objectives and investment policies may be supplemented from time to time, which is incorporated by reference herein, for a discussion of the Fund’s investment objectives and policies. </div>

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<div style="margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; font-family: "Times New Roman";;text-indent: 0px;"><div style="font-weight:bold;display:inline;">Effects of Leverage </div></div> <div style="margin-top: 0px; margin-bottom: 0px; font-size: 7pt;;text-indent: 0px;"> </div> <div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Please refer to the section of the Fund’s most recent annual report on Form N-CSR entitled “Shareh<div style="letter-spacing: 0px; top: 0px;;display:inline;">ol</div>der Update—Current Investment Objectives, Investment Policies and Principal Risks of the Fund<div style="display:inline;">s</div>—Effects of Leverage,” as such may be supplemented from time to time, which is incorporated by reference herein, for a discussion of the effects of leverage. </div>

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<div id="toc780875_9" style="margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; font-family: "Times New Roman"; text-align: center;;text-indent: 0px;"><div style="font-weight:bold;display:inline;">RISK FACTORS </div></div> <div style="margin-top: 0px; margin-bottom: 0px; font-size: 12pt;;text-indent: 0px;"> </div> <div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Risk is inherent in all investing. Investing in any investment company security involves risk, including the risk that you may receive little or no return on your investment or even that you may lose part or all of your investment. Please refer to the section of the Fund’s most recent annual report on Form N-CSR entitled “Shareholder Update—Current Investment Objectives, Investment Policies and Principal Risks of the Funds—Principal Risks of the Funds,” as such principal risks may be supplemented from time to time, which is incorporated by reference herein, for a discussion of the principal risks you should consider before making an investment in the Fund. The specific risks applicable to a particular offering of Securities will be set forth in the related prospectus supplement. </div>

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<div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Risk is inherent in all investing. Investing in any investment company security involves risk, including the risk that you may receive little or no return on your investment or even that you may lose part or all of your investment. Please refer to the section of the Fund’s most recent annual report on Form N-CSR entitled “Shareholder Update—Current Investment Objectives, Investment Policies and Principal Risks of the Funds—Principal Risks of the Funds,” as such principal risks may be supplemented from time to time, which is incorporated by reference herein, for a discussion of the principal risks you should consider before making an investment in the Fund. The specific risks applicable to a particular offering of Securities will be set forth in the related prospectus supplement. </div>

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<cef:CapitalStockTableTextBlock contextRef="P03_19_2024To03_19_2024" id="ixv-1417">

<div id="toc780875_15" style="margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; font-family: "Times New Roman"; text-align: center;"><div style="font-weight:bold;display:inline;">DESCRIPTION OF SHARES </div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; font-family: "Times New Roman";"><div style="font-weight:bold;display:inline;">Common Shares </div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Declaration of Trust authorizes the issuance of an unlimited number of Common Shares. The Common Shares have a par value of $0.01 per share and, subject to the rights of holders of any Preferred Shares, have equal rights to the payment of dividends and the distribution of assets upon liquidation. The Common Shares when issued, are fully paid and, subject to matters discussed in “Certain Provisions in the Declaration of Trust and By-Laws,” non-assessable, and have no preemptive or conversion rights or rights to cumulative voting. A copy of the Declaration of Trust is filed with the SEC as an exhibit to the Fund’s registration statement of which this Prospectus is a part. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Each whole Common Share has one vote with respect to matters submitted for a vote by the Fund’s Common Shareholders and on which the shareholder is entitled to vote, and each fractional share shall be entitled to a proportional fractional vote consist<div style="display:inline;">ent </div>with the requirements of the 1940 Act and the rules promulgated thereunder, and will vote together as a single class. Whenever the Fund incurs borrowings and/or Preferred Shares are outstanding, Common Shareholders will not be entitled to receive any cash distributions from the Fund unless all interest on such borrowings has been paid and all accumulated dividends on Preferred Shares have been paid, unless asset coverage (as defined in the 1940 Act) with respect to any borrowings would be at least 300% after giving effect to the distributions and asset coverage (as defined in the 1940 Act) with respect to Preferred Shares would be at least 200% after giving effect to the distributions. See “—Preferred Shares” below. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Common Shares are listed on the NYSE and trade under the ticker symbol “JPC.” The Fund intends to hold annual meetings of shareholders so long as the Common Shares are listed on a national securities exchange and such meetings are required as a condition to such listing. The Fund does not issue share certificates. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Unlike open-end funds, closed-end funds like the Fund do not provide daily redemptions. Rather, if a shareholder determines to buy additional Common Shares or sell shares already held, the shareholder may </div><div style="margin-top:0pt;margin-bottom:0pt ; font-size:8pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman;text-align:center"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">conveniently do so by trading on the exchange through a broker or otherwise. Common shares of closed-end investment companies may frequently trade on an exchange at prices lower than NAV. Common shares of closed-end investment companies like the Fund have during some periods traded at prices higher than NAV and have during other periods traded at prices lower than NAV. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Because the market value of the Common Shares may be influenced by such factors as distribution levels (which are in turn affected by expenses), call protection, dividend stability, portfolio credit quality, NAV, relative demand for and supply of such shares in the market, general market and economic conditions, and other factors beyond the control of the Fund, the Fund cannot assure you that Common Shares will trade at a price equal to or higher than NAV in the future. The Common Shares are designed primarily for long-term investors, and investors in the Common Shares should not view the Fund as a vehicle for trading purposes. See “Repurchase of Fund Shares; Conversion to Open-End Fund.” </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:18pt"> </div><div style="margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; font-family: "Times New Roman";"><div style="font-weight:bold;display:inline;">Preferred Shares </div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Fund’s Declaration of Trust authorizes the issuance of an unlimited number of Preferred Shares in one or more classes or series, with rights as determined by the Board, by action of the Board without the approval of the Common Shareholders. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On August 18, 2022, the Fund issued 150,000 Series A Taxable Fund Preferred Shares in a single series, in the variable rate demand mode (the “Series A TFP Shares”). On November 6, 2023, the Fund issued 270,000 Series B Taxable Fund Preferred Shares in a single series, in the variable rate demand mode (the “Series B TFP Shares,” and together with the Series A TFP Shares, the “TFP Shares”). The Series A TFP Shares and the Series B TFP Shares have various rights that were approved by the Board without the approval of Common Shareholders, which are specified in the Fund’s statement establishing and fixing the rights and preferences with respect to such Shares (each, a “Statement”). The discussion below generally describes the rights of the holders of Preferred Shares, including rights generally applicable to the holders of the Fund’s outstanding TFP Shares, although the terms of any Preferred Shares that may be issued by the Fund may be the same as, or different from, the terms described below, subject to the applicable Statement, applicable law and the Declaration of Trust. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Under the 1940 Act, the Fund is not permitted to issue “senior securities” that are Preferred Shares if, immediately after the issuance of Preferred Shares, the asset coverage ratio would be less than 200%. See “Leverage.” Additionally, the Fund will generally not be permitted to purchase any of its Common Shares or declare dividends (except a dividend payable in Common Shares) or other distributions on its Common Shares unless, at the time of such purchase or declaration, the asset coverage ratio with respect to such Preferred Shares, after taking into account such purchase or distribution, is at least 200%. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Preferred Shares issued by the Fund have priority over the Common Shares. For so long as any Preferred Shares are outstanding, the Fund will not: (1) declare or pay any dividend or other distribution (other than a dividend or distribution paid in Common Shares) in respect of the Common Shares, (2) call for redemption, redeem, purchase or otherwise acquire for consideration any Common Shares, or (3) pay any proceeds of the liquidation of the Fund in respect of the Common Shares, unless, in each case, (A) immediately thereafter, the Fund shall be in compliance with the 200% asset coverage limitations set forth under the 1940 Act after deducting the amount of such dividend or other distribution or redemption or purchase price or liquidation proceeds and (B) all cumulative dividends and other distributions of shares of all series of Preferred Shares of the Fund due on or prior to the date of the applicable dividend, distribution, redemption, purchase or acquisition shall have been declared and paid. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:18pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><div style="font-style: normal; letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-style:italic;display:inline;">Distribution Preference </div></div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Fund’s Preferred Shares have complete priority over the Common Shares as to distribution of assets. </div><div style="margin-top:0pt;margin-bottom:0pt ; font-size:8pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman;text-align:center"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><div style="font-style: normal; letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-style:italic;display:inline;">Liquidation Preference </div></div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In the event of any voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Fund, holders of Preferred Shares would be entitled to receive a preferential liquidating distribution (expected to equal the original purchase price per share plus accumulated and unpaid dividends thereon, whether or not earned or declared) before any distribution of assets is made to Common Shareholders. After payment of the full amount of the liquidating distribution to which they are entitled, holders of Preferred Shares will not be entitled to any further participation in any distribution of assets by the Fund. A consolidation or merger of the Fund with or into another entity or a sale of all or substantially all of the assets of the Fund shall not be deemed to be a liquidation, dissolution or winding up of the Fund. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:18pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><div style="font-style: normal; letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-style:italic;display:inline;">Voting Rights </div></div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In connection with any issuance of Preferred Shares, the Fund must comply with Section 18(i) of the 1940 Act, which requires, among other things, that Preferred Shares be voting shares and have equal voting rights with Common Shares. Except with respect to certain matters affecting only the holders of the Preferred Shares and except as discussed further below, holders of Preferred Shares vote together with Common Shareholders as a single class on matters submitted to Fund shareholders. In connection with the election of the Fund’s trustees, holders of Preferred Shares, voting as a separate class, are entitled to elect two of the Fund’s trustees, and the remaining trustees are elected by Common Shareholders and holders of Preferred Shares, voting together as a single class. In addition, if at any time dividends on the Fund’s outstanding Preferred Shares are unpaid in an amount equal to two full years’ dividends thereon, the holders of all outstanding Preferred Shares, voting as a separate class, would be entitled to elect a majority of the Fund’s trustees until all dividends in arrears have been paid or declared and set apart for payment. The Statement with respect to each series of the Fund’s Preferred Shares sets forth certain voting and consent rights of the holders of such Preferred Shares, including with respect to certain actions that would affect the preferences, rights, or powers of such class or series or the authorization or issuance of any class or series ranking prior to the Preferred Shares. Except as may otherwise be required by law, the Fund’s Declaration of Trust requires that (1) the affirmative vote of the holders of at least two-thirds of the Fund’s Preferred Shares outstanding at the time, voting as a separate class, would be required to approve any conversion of the Fund from a closed-end to an open-end investment company and (2) the affirmative vote of the holders of at least two-thirds of the outstanding Preferred Shares, voting as a separate class, would be required to approve any plan of reorganization (as such term is used in the 1940 Act) adversely affecting such shares; provided however, that such separate class vote would be a majority vote if the action in question has previously been approved, adopted or authorized by the affirmative vote of two-thirds of the total number of trustees fixed in accordance with the Declaration of Trust or the By-laws. The affirmative vote of the holders of a majority of the outstanding Preferred Shares, voting as a separate class, would be required to approve any action not described in the preceding sentence requiring a vote of security holders under Section 13(a) of the 1940 Act including, among other things, changes in the Fund’s investment objectives or changes in the investment restrictions described as fundamental policies under “Investment Restrictions” in the SAI. The class or series vote of holders of Preferred Shares described above would in each case be in addition to any separate vote of the requisite percentage of Common Shares and Preferred Shares necessary to authorize the action in question. The foregoing voting provisions would not apply with respect to the Fund’s Preferred Shares if, at or prior to the time when a vote was required, such shares have been (1) redeemed or (2) called for redemption and sufficient funds would have been deposited in trust to effect such redemption. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:18pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><div style="font-style: normal; letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-style:italic;display:inline;">Redemption, Purchase and Sale of Preferred Shares </div></div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The terms of the Preferred Shares may provide that they are redeemable by the Fund at certain times, in whole or in part, at the liquidation preference of such share plus accumulated dividends, that the Fund may tender for or purchase Preferred Shares and that the Fund may subsequently resell any shares so tendered for or purchased. Any redemption or purchase of Preferred Shares by the Fund would reduce the leverage applicable to Common Shares, while any resale of such shares by the Fund would increase such leverage. </div>

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<cef:SecurityTitleTextBlock contextRef="P03_19_2024To03_19_2024_CommonSharesMemberusgaapStatementClassOfStockAxis" id="ixv-7526"> Common Shares </cef:SecurityTitleTextBlock>

<cef:SecurityTitleTextBlock contextRef="P03_19_2024To03_19_2024_PreferredSharesMemberusgaapStatementClassOfStockAxis" id="ixv-7528"> Preferred Shares </cef:SecurityTitleTextBlock>

<cef:SecurityLiquidationRightsTextBlock contextRef="P03_19_2024To03_19_2024" id="ixv-1464">

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<cef:SecurityVotingRightsTextBlock contextRef="P03_19_2024To03_19_2024" id="ixv-1471">

<div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><div style="font-style: normal; letter-spacing: 0px; top: 0px;;display:inline;"><div style="font-style:italic;display:inline;">Voting Rights </div></div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In connection with any issuance of Preferred Shares, the Fund must comply with Section 18(i) of the 1940 Act, which requires, among other things, that Preferred Shares be voting shares and have equal voting rights with Common Shares. Except with respect to certain matters affecting only the holders of the Preferred Shares and except as discussed further below, holders of Preferred Shares vote together with Common Shareholders as a single class on matters submitted to Fund shareholders. In connection with the election of the Fund’s trustees, holders of Preferred Shares, voting as a separate class, are entitled to elect two of the Fund’s trustees, and the remaining trustees are elected by Common Shareholders and holders of Preferred Shares, voting together as a single class. In addition, if at any time dividends on the Fund’s outstanding Preferred Shares are unpaid in an amount equal to two full years’ dividends thereon, the holders of all outstanding Preferred Shares, voting as a separate class, would be entitled to elect a majority of the Fund’s trustees until all dividends in arrears have been paid or declared and set apart for payment. The Statement with respect to each series of the Fund’s Preferred Shares sets forth certain voting and consent rights of the holders of such Preferred Shares, including with respect to certain actions that would affect the preferences, rights, or powers of such class or series or the authorization or issuance of any class or series ranking prior to the Preferred Shares. Except as may otherwise be required by law, the Fund’s Declaration of Trust requires that (1) the affirmative vote of the holders of at least two-thirds of the Fund’s Preferred Shares outstanding at the time, voting as a separate class, would be required to approve any conversion of the Fund from a closed-end to an open-end investment company and (2) the affirmative vote of the holders of at least two-thirds of the outstanding Preferred Shares, voting as a separate class, would be required to approve any plan of reorganization (as such term is used in the 1940 Act) adversely affecting such shares; provided however, that such separate class vote would be a majority vote if the action in question has previously been approved, adopted or authorized by the affirmative vote of two-thirds of the total number of trustees fixed in accordance with the Declaration of Trust or the By-laws. The affirmative vote of the holders of a majority of the outstanding Preferred Shares, voting as a separate class, would be required to approve any action not described in the preceding sentence requiring a vote of security holders under Section 13(a) of the 1940 Act including, among other things, changes in the Fund’s investment objectives or changes in the investment restrictions described as fundamental policies under “Investment Restrictions” in the SAI. The class or series vote of holders of Preferred Shares described above would in each case be in addition to any separate vote of the requisite percentage of Common Shares and Preferred Shares necessary to authorize the action in question. The foregoing voting provisions would not apply with respect to the Fund’s Preferred Shares if, at or prior to the time when a vote was required, such shares have been (1) redeemed or (2) called for redemption and sufficient funds would have been deposited in trust to effect such redemption. </div>

</cef:SecurityVotingRightsTextBlock>

<cef:OtherSecurityDescriptionTextBlock contextRef="P03_19_2024To03_19_2024" id="ixv-1487">

<div id="toc780875_16" style="margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; font-family: "Times New Roman"; text-align: center;"><div style="font-weight:bold;display:inline;">RIGHTS OFFERINGS </div></div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Fund may in the future, and at its discretion, choose to make offerings of Rights to its shareholders to purchase Common Shares. Rights may be issued independently or together with any other offered security and may or may not be transferable by the person purchasing or receiving the rights. In connection with a Rights offering to shareholders, the Fund would distribute certificates or other documentation evidencing the Rights and a prospectus supplement to the Fund’s shareholders as of the record date that the Fund sets for determining the shareholders eligible to receive Rights in such Rights offering. Any such future Rights offering will be made in accordance with the 1940 Act and, to the extent such Rights are transferable, will comply with applicable interpretations of the SEC or its staff, as such interpretations may be modified in the future, which currently require that: (i) the Fund’s Board make a good faith determination that such offering would result in a net benefit to existing shareholders; (ii) the offering fully protects shareholders’ preemptive rights and does not discriminate among shareholders (except for the possible effect of not offering fractional rights); (iii) management uses its best efforts to ensure an adequate trading market in the Rights for use by shareholders who do not exercise such Rights; and (iv) the ratio of such transferable Rights offering does not exceed one new share for each three rights held. </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The applicable prospectus supplement would describe the following terms of the Rights (to the extent each is applicable) in respect of which this Prospectus is being delivered: </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the period of time the offering would remain open; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the underwriter or distributor, if any, of the Rights and any associated underwriting fees or discounts applicable to purchases of the Rights; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the title of such Rights; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the exercise price for such Rights (or method of calculation thereof); </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the number of such Rights issued in respect of each share; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the number of Rights required to purchase a single share </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the extent to which such Rights are transferable and the market on which they may be traded if they are transferable; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">if such Rights are transferable, a discussion regarding the Board’s basis for determining that such offering would result in a net benefit to existing shareholders; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">if applicable, a discussion of the material U.S. federal income tax considerations applicable to the issuance or exercise of such Rights; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the date on which the right to exercise such Rights will commence, and the date on which such right will expire (subject to any extension); </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the extent to which such Rights include an over-subscription privilege with respect to unsubscribed securities and the terms of such over-subscription privilege; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">termination rights the Fund may have in connection with such Rights offering; </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">the expected trading market, if any, for such Rights; and </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:7pt"> </div> <table cellpadding="0" cellspacing="0" style="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt;border:0;width:100%"> <tr style="page-break-inside:avoid"> <td style="width:4%"> </td> <td style="width:2%;vertical-align:top;text-align:left;">•</td> <td style="width:1%;vertical-align:top"> </td> <td style="vertical-align:top;text-align:left;">any other terms of such Rights, including exercise, settlement and other procedures and limitations relating to the transfer and exercise of such Rights. </td></tr></table><div style="margin-top:0pt; margin-bottom:0pt; font-size:12pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">A certain number of Rights would entitle the holder of the Right(s) to purchase for cash such number of shares at such exercise price as in each case is set forth in, or be determinable as set forth in, the prospectus supplement relating to the Rights offered thereby. Rights would be exercisable at any time up to the close of business on the expiration date for such Rights set forth in the prospectus supplement. After the close of business </div><div style="margin-top:0pt;margin-bottom:0pt ; font-size:8pt"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman;text-align:center"> </div><div style="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">on the expiration date, all unexercised Rights would become void. Upon expiration of the Rights offering and the receipt of payment and the Rights certificate or other appropriate documentation properly executed and completed and duly executed at the corporate trust office of the Rights agent, or any other office indicated in the prospectus supplement, the Common Shares purchased as a result of such exercise will be issued as soon as practicable. To the extent permissible under applicable law, the Fund may determine to offer any unsubscribed offered securities directly to persons other than shareholders, to or through agents, underwriters or dealers or through a combination of such methods, as set forth in the applicable prospectus supplement. </div>

</cef:OtherSecurityDescriptionTextBlock>

<cef:OtherSecurityTitleTextBlock contextRef="P03_19_2024To03_19_2024" id="ixv-7530"> RIGHTS OFFERINGS </cef:OtherSecurityTitleTextBlock>

</xbrl>

1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/19/24  Nuveen Pfd & Income Opportuni… Fd 424B2                  9:987K                                   Donnelley … Solutions/FA

17 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/08/24  Nuveen Muni High Income Oppor… Fd N-2ASR      3/08/24   17:1.9M                                   Donnelley … Solutions/FA
 2/29/24  Nushares ETF Trust                485BPOS     2/29/24   31:15M                                    Donnelley … Solutions/FA
10/06/23  Nuveen Pfd & Income Opportuni… Fd N-CSR       7/31/23   12:8.8M                                   Donnelley … Solutions/FA
 8/23/23  Nushares ETF Trust                485APOS                6:1.5M                                   Donnelley … Solutions/FA
 7/28/23  Nuveen Enhanced High Yield Mu… Fd 486BPOS     7/28/23   12:3.2M                                   Donnelley … Solutions/FA
 5/12/23  Nuveen Cal Select Tax Free … Port N-2                    9:1.5M                                   Donnelley … Solutions/FA
12/29/22  Nuveen Investment Trust V         485BPOS    12/29/22   20:11M                                    Donnelley … Solutions/FA
11/25/22  Nushares ETF Trust                485BPOS    11/30/22   17:2.7M                                   Donnelley … Solutions/FA
 3/19/21  Nuveen Pfd & Income Opportuni… Fd POS EX      3/19/21    3:202K                                   Donnelley … Solutions/FA
 8/31/20  Nuveen Taxable Muni Income Fund   N-2         8/28/20   16:2.1M                                   Donnelley … Solutions/FA
10/05/18  Nuveen Pfd & Income Opportuni… Fd N-CSR       7/31/18    5:2.9M                                   Donnelley … Solutions/FA
 3/20/18  Nuveen Taxable Muni Income Fund   N-14 8C¶              17:6.1M                                   Donnelley … Solutions/FA
12/13/16  Nuveen Pfd & Income Opportuni… Fd N-14 8C¶              24:6.4M                                   Donnelley … Solutions/FA
 5/07/03  Nuveen Pfd & Income Opportuni… Fd N-2/A       5/06/03   11:1.1M                                   Bowne Boc/FA
 3/25/03  Nuveen Pfd & Income Opportuni… Fd N-2/A                 18:1M                                     Donnelley Fin’l S… 03/FA
 2/19/03  Nuveen Pfd & Income Opportuni… Fd 8-A12B                 1:4K                                     Donnelley Fin’l S… 03/FA
 2/12/03  Nuveen Pfd & Income Opportuni… Fd N-2/A                  8:646K                                   Donnelley Fin’l S… 03/FA

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Filing Submission 0001193125-24-071227 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Nuveen Preferred & Income Opportunities Fund, et al. – ‘N-2ASR’ on 3/19/24 – ‘XML’

On: Tuesday, 3/19/24, at 3:53pm ET · Effective: 3/19/24 · Accession #: 1193125-24-71227 · File #s: 811-21293, 333-278059

Automatic Shelf Registration Statement by a Well-Known Closed-End Investment Company — Form N-2 — ICA’40Filing Table of Contents

‘XML’ — XBRL Instance — d780875dn2asr_htm

This Document is an XBRL File.

1 Subsequent Filing that References this Filing

17 Previous Filings that this Filing References

Automatic Shelf Registration Statement by a Well-Known Closed-End Investment Company — Form N-2 — ICA’40

Filing Table of Contents