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Nuveen Floating Rate Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
BRWA
76
B. Riley Wealth Advisors
Florida
$11K +$11K +1,000 New
First Manhattan
77
First Manhattan
New York
$10K
RIM
78
Ranger International Management
Illinois
$10K
TJHA
79
Thomas J. Herzfeld Advisors
Florida
$9K
MA
80
MUFG Americas
New York
$2K
Cambridge Investment Research Advisors
81
Cambridge Investment Research Advisors
Iowa
-$6.57M -581,931 Closed
VNA
82
VNBTrust National Association
Virginia
-$2M -177,170 Closed
DA
83
Doliver Advisors
Texas
-$1.24M -110,160 Closed
IAS
84
IMA Advisory Services
Colorado
-$524K -46,398 Closed
EML
85
Eos Management LP
New York
-$325K -28,776 Closed
VKH
86
Virtu KCG Holdings
New York
-$214K -18,969 Closed
WS
87
Wedbush Securities
California
-$160K -14,175 Closed
HighTower Advisors
88
HighTower Advisors
Illinois
-$154K -13,670 Closed
Bank of New York Mellon
89
Bank of New York Mellon
New York
-$114K -10,047 Closed
TRCT
90
Tower Research Capital (TRC)
New York
-$99K -8,800 Closed
TFA
91
Transamerica Financial Advisors
Florida
-$33K -2,894 Closed
MPWT
92
MassMutual Private Wealth & Trust
Connecticut
-$28.2K -2,500 Closed
WA
93
Waverly Advisors
Alabama
-$19K -1,706 Closed
Barclays
94
Barclays
United Kingdom
-$15K -1,398 Closed
NFG
95
Next Financial Group
Texas
-$5K -420 Closed