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Nuveen Floating Rate Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LTFS
51
Ladenburg Thalmann Financial Services
Florida
$128K +$47.6K +4,000 +60%
DADC
52
D.A. Davidson & Co
Montana
$111K -$23.8K -2,000 -18%
ACM
53
Aviance Capital Management
Florida
$110K -$24.2K -2,032 -18%
AA
54
Apriem Advisors
California
$110K
AIG
55
American International Group
New York
$82.7K +$20.7K +1,737 +33%
WEC
56
Winslow Evans & Crocker
Massachusetts
$75K +$74.5K +6,255 New
MFS
57
MSI Financial Services
Massachusetts
$57K -$19.1K -1,602 -25%
CTC
58
Central Trust Company
Missouri
$38K
Northwestern Mutual Wealth Management
59
Northwestern Mutual Wealth Management
Wisconsin
$29K +$4.41K +370 +18%
NES
60
New England Securities
New York
$22K -$3.95K -332 -15%
WA
61
WealthTrust-Arizona
Arizona
$20K +$20.2K +1,700 New
Fifth Third Bancorp
62
Fifth Third Bancorp
Ohio
$19K +$18.7K +1,573 New
FBT
63
Founders Bank & Trust
Michigan
$17K
WRM
64
Westport Resources Management
Connecticut
$15K
First Manhattan
65
First Manhattan
New York
$11K
MIM
66
Macroview Investment Management
Maryland
$11K
MA
67
MUFG Americas
New York
$2K +$2.05K +172 New
NVIM
68
New Vernon Investment Management
Illinois
-$1.22M -102,250 Closed
OFG
69
OTA Financial Group
New York
-$318K -26,631 Closed
DA
70
Doliver Advisors
Texas
-$303K -25,312 Closed
SCM
71
Saba Capital Management
New York
-$274K -22,925 Closed
VKH
72
Virtu KCG Holdings
New York
-$173K -14,429 Closed
PFO
73
Pathstone Family Office
New Jersey
-$44K -3,692 Closed
TRCT
74
Tower Research Capital (TRC)
New York
-$25K -2,100 Closed