Nine Masts Capital’s Nuveen NASDAQ 100 Dynamic Overwrite Fund QQQX Stock Holding History

Nine Masts Capital’s Portfolio QQQX Stock Details QQQX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	–	Sell	-125,700	Closed	-$3.02M	–	306
2018 Q3	$3.02M	Buy	125,700 +109,900	+696%	+$2.73M	0.82%	28
2018 Q2	$414K	Buy	+15,800	New	+$416K	0.08%	126
2017 Q2	–	Sell	-8,200	Closed	-$170K	–	200
2017 Q1	$170K	Buy	+8,200	New	+$165K	0.03%	59
2015 Q4	–	Sell	-10,400	Closed	-$180K	–	94
2015 Q3	$180K	Buy	+10,400	New	+$191K	0.05%	56

Other funds holding QQQX

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

Invesco Atlanta, Georgia $1.26T AUM 61.52% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

Janney Montgomery Scott Philadelphia, Pennsylvania $51.6B AUM 27.34% 1-Year Est. Return

LTFS

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

WAM

Wolverine Asset Management Chicago, Illinois $11.4B AUM 5.65% 1-Year Est. Return

Nine Masts Capital's QQQX Position: Q4 2018 in Review

Nine Masts Capital sold out of Nuveen NASDAQ 100 Dynamic Overwrite Fund (QQQX) in Q4 2018, closing a stake of 125,700 shares — an estimated $3.02M sold.

Nine Masts Capital first reported a position in QQQX in Q3 2015 and held it in 4 quarters. The position peaked at $3.02M in Q3 2018. 86 funds tracked by Wall St. Rank hold QQQX as of Q4 2018.

Nine Masts Capital reported no remaining Nuveen NASDAQ 100 Dynamic Overwrite Fund position as of Q4 2018 after selling out during the quarter.
Nine Masts Capital sold 125,700 Nuveen NASDAQ 100 Dynamic Overwrite Fund shares in Q4 2018, an estimated $3.02M.
Nine Masts Capital first reported a position in Nuveen NASDAQ 100 Dynamic Overwrite Fund in Q3 2015 and held it in 4 quarters.
Nine Masts Capital's Nuveen NASDAQ 100 Dynamic Overwrite Fund position peaked at $3.02M in Q3 2018.
86 funds tracked by Wall St. Rank held Nuveen NASDAQ 100 Dynamic Overwrite Fund as of Q4 2018.

Based on Nine Masts Capital's 13F filing for Q4 2018, filed 14 Feb 2019.