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Nuveen Floating Rate Income Fund
JFR

Name Holding Trade Value Shares
Change 		Change in
Stake
GC
1
Guggenheim Capital
Illinois
$26.9M +$27.5M +2,132,992 New
Invesco
2
Invesco
Georgia
$26.4M +$27.1M +2,098,552 New
Morgan Stanley
3
Morgan Stanley
New York
$15.3M +$15.7M +1,215,116 New
AAM
4
Advisors Asset Management
Colorado
$12M +$12.3M +953,529 New
UCFA
5
United Capital Financial Advisors
Texas
$6.71M +$1.8M +139,243 New
Bank of America
6
Bank of America
North Carolina
$6.08M +$6.23M +482,213 New
LPL Financial
7
LPL Financial
California
$4.54M +$4.65M +360,372 New
U
8
UBS
Switzerland
$4.46M +$4.58M +354,399 New
Wells Fargo
9
Wells Fargo
California
$4.14M +$4.25M +328,826 New
Cohen & Steers
10
Cohen & Steers
New York
$3.1M +$3.18M +246,200 New
VNA
11
VNBTrust National Association
Virginia
$2.67M +$2.74M +212,170 New
ARC
12
Absolute Return Capital
Massachusetts
$2.39M +$2.45M +189,404 New
CS
13
Credit Suisse
Switzerland
$1.91M +$1.95M +151,373 New
HK
14
Horizon Kinetics
New York
$1.74M +$1.78M +138,203 New
NVIM
15
New Vernon Investment Management
Illinois
$1.29M +$1.32M +102,250 New
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$1.09M +$1.12M +86,646 New
CI
17
Conning Inc
Connecticut
$1.08M +$1.11M +85,900 New
SIA
18
SeaBridge Investment Advisors
New Jersey
$1.07M +$1.1M +84,870 New
EIA
19
Edgemoor Investment Advisors
Maryland
$1.04M +$1.07M +82,942 New
NCM
20
Newgate Capital Management
Connecticut
$1.03M +$1.05M +81,420 New
PPA
21
Parametric Portfolio Associates
Washington
$887K +$909K +70,415 New
RJFSA
22
Raymond James Financial Services Advisors
Florida
$715K +$733K +56,772 New
First Trust Advisors
23
First Trust Advisors
Illinois
$649K +$665K +51,479 New
SFS
24
Shaker Financial Services
Virginia
$625K +$641K +49,622 New
Jane Street
25
Jane Street
New York
$620K +$636K +49,245 New
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