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Nuveen Floating Rate Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
PHS
51
Pekin Hardy Strauss
Illinois
$197K -$46.4K -3,850 -19%
FWM
52
Focused Wealth Management
New York
$196K -$58.3K -4,840 -23%
SRCM
53
Swift Run Capital Management
Virginia
$191K +$193K +16,000 New
BKBG
54
BHF Kleinwort Benson Group
Belgium
$179K +$181K +15,000 New
HCM
55
Hollencrest Capital Management
California
$128K -$40.9K -3,400 -24%
LCM
56
Landscape Capital Management
New Jersey
$128K -$13.6K -1,127 -10%
AA
57
Apriem Advisors
California
$110K
DADC
58
D.A. Davidson & Co
Montana
$102K -$9.03K -750 -8%
WEC
59
Winslow Evans & Crocker
Massachusetts
$74.8K
AIG
60
American International Group
New York
$72K -$11.1K -918 -13%
MFS
61
MSI Financial Services
Massachusetts
$51K -$6.46K -536 -11%
CTC
62
Central Trust Company
Missouri
$38K
Northwestern Mutual Wealth Management
63
Northwestern Mutual Wealth Management
Wisconsin
$29K +$385 +32 +1%
PNC Financial Services Group
64
PNC Financial Services Group
Pennsylvania
$28K +$28.9K +2,400 New
VCM
65
Vigilant Capital Management
Maine
$25K +$25.4K +2,108 New
NES
66
New England Securities
New York
$22K
WA
67
Waverly Advisors
Alabama
$20K +$20.5K +1,706 New
Fifth Third Bancorp
68
Fifth Third Bancorp
Ohio
$19K
FBT
69
Founders Bank & Trust
Michigan
$17K
WRM
70
Westport Resources Management
Connecticut
$16K
MIM
71
Macroview Investment Management
Maryland
$12K
First Manhattan
72
First Manhattan
New York
$11K
MA
73
MUFG Americas
New York
$2K
PC
74
Perry Capital
New York
-$536K -45,000 Closed
SG Americas Securities
75
SG Americas Securities
New York
-$470K -39,405 Closed