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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
$45.4M +$10.4M +1,304,657 +31%
LPL Financial
2
LPL Financial
California
$20.1M -$2.38M -297,363 -11%
Invesco
3
Invesco
Georgia
$19.9M -$1.04M -129,740 -5%
Bank of America
4
Bank of America
North Carolina
$16.8M -$1.54M -193,179 -9%
GC
5
Guggenheim Capital
Illinois
$14.7M -$3.43M -429,241 -19%
SIA
6
Sit Investment Associates
Minnesota
$12.4M +$3.49M +436,483 +41%
PCM
7
Penserra Capital Management
California
$12.1M +$814K +101,815 +7%
Wells Fargo
8
Wells Fargo
California
$10.9M -$6.2M -775,797 -37%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$8.32M +$9.77K +1,222 +0.1%
Goldman Sachs
10
Goldman Sachs
New York
$7.65M – – –
CPC
11
Congress Park Capital
New York
$7.64M +$4.51M +564,042 +155%
UBS Group
12
UBS Group
Switzerland
$7.15M -$1.38M -172,663 -17%
AA
13
AQR Arbitrage
Connecticut
$6.85M +$2.37M +297,087 +55%
RJFSA
14
Raymond James Financial Services Advisors
Florida
$6.18M +$1.96M +244,924 +48%
AAM
15
Advisors Asset Management
Colorado
$6.03M -$3.28M -409,915 -36%
Envestnet Asset Management
16
Envestnet Asset Management
Illinois
$5.83M +$1.6M +199,845 +39%
TJHA
17
Thomas J. Herzfeld Advisors
Florida
$5.51M +$552K +69,021 +11%
LCM
18
Landscape Capital Management
New Jersey
$5.41M +$4.72M +591,014 +888%
Cohen & Steers
19
Cohen & Steers
New York
$5.31M – – –
1CP
20
1607 Capital Partners
Virginia
$5.2M +$2.55M +319,600 +102%
Rockefeller Capital Management
21
Rockefeller Capital Management
New York
$4.95M -$88.8K -11,114 -2%
NCM
22
Next Capital Management
New York
$4.87M +$19.9K +2,493 +0.4%
COLIM
23
City of London Investment Management
United Kingdom
$4.61M +$228K +28,500 +5%
Baird Financial Group
24
Baird Financial Group
Wisconsin
$4.53M -$404K -50,596 -8%
Ameriprise
25
Ameriprise
Minnesota
$4.41M +$164K +20,494 +4%
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