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Nuveen Floating Rate Income Fund
JFR

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$34.7M +$23.6M +2,930,200 +227%
LPL Financial
2
LPL Financial
California
$22.5M +$3.11M +386,215 +16%
Invesco
3
Invesco
Georgia
$20.9M +$12M +1,494,360 +142%
Bank of America
4
Bank of America
North Carolina
$18.4M +$10.5M +1,299,117 +139%
GC
5
Guggenheim Capital
Illinois
$18.2M +$9.73M +1,206,915 +119%
Wells Fargo
6
Wells Fargo
California
$17.2M +$3.3M +409,045 +24%
PCM
7
Penserra Capital Management
California
$11.2M +$753K +93,408 +7%
OCM
8
Oaktree Capital Management
California
$9.79M +$9.61M +1,192,691 New
AAM
9
Advisors Asset Management
Colorado
$9.39M +$5.86M +727,372 +175%
SCM
10
Saba Capital Management
New York
$9M +$8.27M +1,026,390 +1,467%
SIA
11
Sit Investment Associates
Minnesota
$8.78M +$8.62M +1,069,602 New
UBS Group
12
UBS Group
Switzerland
$8.56M +$4.38M +543,094 +109%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$8.3M +$2.54M +314,630 +45%
Goldman Sachs
14
Goldman Sachs
New York
$7.64M +$3.44M +426,822 +85%
Cohen & Steers
15
Cohen & Steers
New York
$5.3M +$1.58M +196,052 +44%
Rockefeller Capital Management
16
Rockefeller Capital Management
New York
$5.03M +$576K +71,457 +13%
TJHA
17
Thomas J. Herzfeld Advisors
Florida
$4.94M +$4.85M +601,434 New
Baird Financial Group
18
Baird Financial Group
Wisconsin
$4.94M +$1.65M +204,829 +52%
NCM
19
Next Capital Management
New York
$4.85M +$4.76M +590,327 New
Osaic Holdings
20
Osaic Holdings
Arizona
$4.42M +$3.04M +377,385 +234%
AA
21
AQR Arbitrage
Connecticut
$4.4M +$4.32M +535,791 New
COLIM
22
City of London Investment Management
United Kingdom
$4.37M +$4.29M +531,802 New
Ameriprise
23
Ameriprise
Minnesota
$4.24M +$1.19M +147,459 +40%
Envestnet Asset Management
24
Envestnet Asset Management
Illinois
$4.18M +$2.85M +353,009 +227%
RJFSA
25
Raymond James Financial Services Advisors
Florida
$4.16M +$3.98M +493,592 +3,760%
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