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Nuveen Mortgage and Income Fund
JLS

Overview Fund Activity

35 hedge funds and large institutions have $64.4M invested in Nuveen Mortgage and Income Fund in 2013 Q4 according to their latest regulatory filings, with 9 funds opening new positions, 8 increasing their positions, 16 reducing their positions, and 6 closing their positions.

Holders
35
Holders Change
+3
Holders Change %
+9.38%
% of All Funds
1.02%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
9
Increased
8
Reduced
16
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SCM
1
Saba Capital Management
New York
$12.1M
2
RCM
2
Rivernorth Capital Management
Florida
$10.2M
3
Invesco
3
Invesco
Georgia
$4.17M
4
PP
4
Paloma Partners
Connecticut
$990K
5
CAN
5
Cetera Advisor Networks
California
$878K

Top Sellers

1
SIA
1
Sit Investment Associates
Minnesota
$449K
2
GC
2
Guggenheim Capital
Illinois
$1.93M
3
IA
3
Icon Advisers
Colorado
$0
4
MWM
4
Merriman Wealth Management
Washington
$0
5
FWM
5
Focused Wealth Management
New York
$109K
Name Market Value Shares Shares
Change 		Shares
Change %
SCM
1
Saba Capital Management
New York
$12.1M 522,948 +338,670 +184%
Bank of America
2
Bank of America
North Carolina
$11.8M 509,422 -14,991 -3%
PRCM
3
Pine River Capital Management
Minnesota
$10.6M 458,000 – –
RCM
4
Rivernorth Capital Management
Florida
$10.2M 440,801 +317,386 +257%
Invesco
5
Invesco
Georgia
$4.17M 180,135 +57,145 +46%
Morgan Stanley
6
Morgan Stanley
New York
$3.32M 143,622 +13,125 +10%
GC
7
Guggenheim Capital
Illinois
$1.93M 83,244 -40,303 -33%
PP
8
Paloma Partners
Connecticut
$990K 42,776 +42,776 New
Goldman Sachs
9
Goldman Sachs
New York
$920K 39,737 -3,468 -8%
CAN
10
Cetera Advisor Networks
California
$878K 38,076 +38,076 New
Geode Capital Management
11
Geode Capital Management
Massachusetts
– – – –
Wells Fargo
12
Wells Fargo
California
$778K 33,641 -4,255 -11%
DA
13
Doliver Advisors
Texas
$740K 32,000 +5,427 +20%
Cohen & Steers
14
Cohen & Steers
New York
$664K 28,705 +688 +2%
HB
15
Homrich & Berg
Georgia
$650K 28,102 -547 -2%
SFS
16
Shaker Financial Services
Virginia
$463K 20,022 -6,800 -25%
SIA
17
Sit Investment Associates
Minnesota
$449K 19,400 -54,882 -74%
RJFSA
18
Raymond James Financial Services Advisors
Florida
$438K 18,937 -550 -3%
CAS
19
CTC Alternative Strategies
Illinois
$410K 17,720 +17,720 New
Janney Montgomery Scott
20
Janney Montgomery Scott
Pennsylvania
$393K 16,967 -2,936 -15%
U
21
UBS
Switzerland
$365K 15,763 +3,398 +27%
LPL Financial
22
LPL Financial
California
$328K 14,169 -3,418 -19%
RJA
23
Raymond James & Associates
Florida
$244K 10,534 -2,469 -19%
RGC
24
Roberts, Glore & Co
Illinois
$219K 9,450 +9,450 New
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$191K 8,241 -4,772 -37%
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