Nuveen’s Pioneer Floating Rate Fund PHD Stock Holding History

Nuveen’s Portfolio PHD Stock Details PHD Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	–	Sell	-58,036	Closed	-$640K	–	1054
2018 Q3	$640K	Sell	58,036 -3,000	-5%	-$33.2K	﹤0.01%	819
2018 Q2	$682K	Sell	61,036 -9,000	-13%	-$103K	﹤0.01%	817
2018 Q1	$816K	Hold	70,036	–	–	0.01%	794
2017 Q4	$803K	Hold	70,036	–	–	0.01%	803
2017 Q3	$838K	Sell	70,036 -8,000	-10%	-$94.9K	0.01%	810
2017 Q2	$929K	Sell	78,036 -11,000	-12%	-$133K	0.01%	774
2017 Q1	$1.09M	Sell	89,036 -33,000	-27%	-$402K	0.01%	935
2016 Q4	$1.45M	Hold	122,036	–	–	0.01%	1011
2016 Q3	$1.44M	Hold	122,036	–	–	0.01%	932
2016 Q2	$1.38M	Hold	122,036	–	–	0.01%	894
2016 Q1	$1.37M	Sell	122,036 -7,500	-6%	-$79.4K	0.01%	901
2015 Q4	$1.41M	Sell	129,536 -10,000	-7%	-$109K	0.01%	917
2015 Q3	$1.58M	Sell	139,536 -22,464	-14%	-$257K	0.01%	870
2015 Q2	$1.84M	Hold	162,000	–	–	0.01%	854
2015 Q1	$1.88M	Sell	162,000 -5,000	-3%	-$57K	0.01%	874
2014 Q4	$1.9M	Sell	167,000 -5,000	-3%	-$57.2K	0.01%	870
2014 Q3	$2.02M	Sell	172,000 -27,000	-14%	-$329K	0.01%	812
2014 Q2	$2.48M	Hold	199,000	–	–	0.02%	739
2014 Q1	$2.52M	Hold	199,000	–	–	0.02%	716
2013 Q4	$2.53M	Hold	199,000	–	–	0.02%	692
2013 Q3	$2.5M	Hold	199,000	–	–	0.02%	713
2013 Q2	$2.63M	Buy	+199,000	New	+$2.73M	0.02%	660

Other funds holding PHD

RVPG

Relative Value Partners Group $772M AUM 15.6% 1-Year Est. Return

AAMU

Amundi Asset Management US Boston, Massachusetts $131B AUM 73.57% 1-Year Est. Return

ISSM

Invesco Senior Secured Management New York $40.9M AUM 3.88% 1-Year Est. Return

Baillie Gifford & Co Edinburgh, United Kingdom $110B AUM 4.8% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $15.9B AUM 53.4% 1-Year Est. Return

CIA

Capital Investment Advisors Atlanta, Georgia $7.59B AUM 23.38% 1-Year Est. Return

RCM

Rivernorth Capital Management West Palm Beach, Florida $2.1B AUM 2.15% 1-Year Est. Return

SFS

Shaker Financial Services Arlington, Virginia $319M AUM 3.9% 1-Year Est. Return

FIMG

Financial & Investment Management Group Traverse City, Michigan $274M AUM 8.43% 1-Year Est. Return

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

Nuveen's PHD Position: Q4 2018 in Review

Nuveen sold out of Pioneer Floating Rate Fund (PHD) in Q4 2018, closing a stake of 58,036 shares — an estimated $640K sold.

Nuveen first reported a position in PHD in Q2 2013 and held it in 22 quarters. The position peaked at $2.63M in Q2 2013. 60 funds tracked by Wall St. Rank hold PHD as of Q4 2018.

Nuveen reported no remaining Pioneer Floating Rate Fund position as of Q4 2018 after selling out during the quarter.
Nuveen sold 58,036 Pioneer Floating Rate Fund shares in Q4 2018, an estimated $640K.
Nuveen first reported a position in Pioneer Floating Rate Fund in Q2 2013 and held it in 22 quarters.
Nuveen's Pioneer Floating Rate Fund position peaked at $2.63M in Q2 2013.
60 funds tracked by Wall St. Rank held Pioneer Floating Rate Fund as of Q4 2018.

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