Stock Transactions — NUVEEN FLOATING RATE INCOME FD

Total Bought
6,646,063
67 transactions
Total Sold
6,837,767
76 transactions
Net
-191,704
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
MORGAN STANLEY6,069,6599,031,373+2,961,7140.000.00+0.00buy
Thomas J. Herzfeld Advisors, Inc.713,2941,111,921+398,6271.822.62+0.79buy
J.W. COLE ADVISORS, INC.0381,673+381,6730.000.05+0.05buy
Congress Park Capital LLC3,121,3233,477,794+356,4717.217.20-0.01buy
Advisors Asset Management, Inc.1,552,4251,827,295+274,8700.190.21+0.02buy
Atlas Wealth LLC0271,569+271,5690.000.30+0.30buy
North Ground Capital0222,501+222,5010.002.05+2.05buy
ENVESTNET ASSET MANAGEMENT INC474,087691,859+217,7720.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC1,576,4141,782,406+205,9920.000.00+0.00buy
Cyndeo Wealth Partners, LLC1,795,3701,999,420+204,0500.710.72+0.01buy
Kanen Wealth Management LLC813,234959,147+145,9132.201.80-0.40buy
BANK OF AMERICA CORP /DE/1,915,2212,029,187+113,9660.000.00-0.00buy
WELLS FARGO & COMPANY/MN2,493,8612,604,993+111,1320.000.00-0.00buy
Penserra Capital Management LLC2,782,3032,892,702+110,3990.250.17-0.08buy
LOOMIS SAYLES & CO L P2,897,0392,973,326+76,2870.030.03-0.00buy
NewEdge Advisors, LLC223,845277,570+53,7250.010.01+0.00buy
GraniteShares Advisors LLC309,750356,400+46,6501.681.76+0.08buy
Kovack Advisors, Inc.168,666208,325+39,6590.070.08+0.01buy
CHOREO, LLC101,280138,875+37,5950.010.01+0.00buy
Geneos Wealth Management Inc.61236,442+35,8300.000.01+0.01buy
M Holdings Securities, Inc.026,139+26,1390.000.03+0.03buy
Advisory Services Network, LLC125,266149,412+24,1460.010.01+0.00buy
Almitas Capital LLC411,628435,208+23,5800.700.80+0.10buy
ROYAL BANK OF CANADA1,279,1181,301,970+22,8520.000.00-0.00buy
FIFTH THIRD BANCORP23,18741,800+18,6130.000.00+0.00buy
OSAIC HOLDINGS, INC.186,804204,292+17,4880.000.00-0.00buy
Ameritas Advisory Services, LLC017,166+17,1660.000.00+0.00buy
TWO SIGMA SECURITIES, LLC015,638+15,6380.000.01+0.01buy
Sigma Planning Corp97,973113,279+15,3060.020.02+0.00buy
MONETA GROUP INVESTMENT ADVISORS LLC013,337+13,3370.000.00+0.00buy
CoreCap Advisors, LLC34,36847,474+13,1060.010.01+0.00buy
Wealthspire Advisors, LLC012,705+12,7050.000.00+0.00buy
&PARTNERS56,08068,718+12,6380.000.00+0.00buy
BOOTHBAY FUND MANAGEMENT, LLC16,48028,766+12,2860.000.00+0.00buy
Corient Private Wealth LLC011,933+11,9330.000.00+0.00buy
MGO ONE SEVEN LLC010,061+10,0610.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.165,262174,914+9,6520.000.00-0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC18,03827,669+9,6310.000.00+0.00buy
Fortitude Advisory Group L.L.C.45,78154,980+9,1990.150.16+0.01buy
Steward Partners Investment Advisory, LLC55,55062,823+7,2730.000.00+0.00buy
Coastal Bridge Advisors, LLC406,970414,174+7,2040.220.20-0.02buy
Arax Advisory Partners06,770+6,7700.000.00+0.00buy
Pinnacle Wealth Planning Services, Inc.12,13318,627+6,4940.010.01+0.00buy
HARBOUR INVESTMENTS, INC.239,614245,449+5,8350.030.03-0.00buy
WORLD EQUITY GROUP, INC.51,69357,298+5,6050.100.10-0.00buy
OPPENHEIMER & CO INC49,35554,139+4,7840.000.00-0.00buy
Mariner, LLC15,72820,242+4,5140.000.00+0.00buy
Quantum Portfolio Management LLC04,377+4,3770.000.01+0.01buy
Merit Financial Group, LLC15,27019,094+3,8240.000.00+0.00buy
ACCREDITED INVESTOR SERVICES, LLC18,97822,637+3,6590.090.10+0.01buy
PARK AVENUE SECURITIES LLC12,62415,820+3,1960.000.00+0.00buy
Summit Financial, LLC14,98618,033+3,0470.000.00+0.00buy
Calamos Advisors LLC40,41443,300+2,8860.000.00+0.00buy
Seelaus Asset Management LLC60,90863,592+2,6840.330.34+0.01buy
CALTON & ASSOCIATES, INC.31,44533,125+1,6800.030.04+0.00buy
Hunter Perkins Capital Management, LLC13,18414,695+1,5110.020.03+0.00buy
Concurrent Investment Advisors, LLC39,58241,091+1,5090.000.00-0.00buy
Integrated Wealth Concepts LLC31,70333,188+1,4850.000.00-0.00buy
Beacon Pointe Advisors, LLC25,24826,598+1,3500.000.00-0.00buy
LifeSteps Financial, Inc.01,250+1,2500.000.00+0.00buy
Focus Partners Wealth44,43845,443+1,0050.000.00-0.00buy
BNP PARIBAS FINANCIAL MARKETS5,2146,201+9870.000.00-0.00buy
WPG Advisers, LLC2,8713,721+8500.020.02+0.00buy
Western Wealth Management, LLC11,97412,269+2950.000.00-0.00buy
HOLLENCREST CAPITAL MANAGEMENT1,8271,884+570.000.00+0.00buy
Compound Planning, Inc.14,65314,710+570.000.00-0.00buy
SIGNATUREFD, LLC150154+40.000.00-0.00buy
D.A. DAVIDSON & CO.20,31220,31200.000.00-0.00hold
WEDBUSH SECURITIES INC12,43612,43600.000.00-0.00hold
SHEETS SMITH WEALTH MANAGEMENT26,01026,01000.020.02-0.00hold
WHITTIER TRUST CO OF NEVADA INC72672600.000.00-0.00hold
COHEN & STEERS, INC.853,263853,26300.010.01-0.00hold
Edgemoor Investment Advisors, Inc.68,42168,42100.040.04-0.00hold
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC30030000.000.00-0.00hold
HBK Sorce Advisory LLC30,11930,11900.000.00-0.00hold
CAPTRUST FINANCIAL ADVISORS21,83521,83500.000.00-0.00hold
Allworth Financial LP2,8972,89700.000.00+0.00hold
Camelot Portfolios, LLC16,55016,55000.090.09-0.00hold
Blackhawk Capital Partners LLC.75,62075,62000.210.19-0.02hold
New England Private Wealth Advisors LLC52,43152,43100.050.04-0.01hold
ROBINSON CAPITAL MANAGEMENT, LLC73,89573,89500.250.25+0.00hold
M.E. ALLISON & CO., INC.10,78810,78800.050.05-0.01hold
Brick & Kyle, Associates15,12015,12000.040.040.00hold
Koshinski Asset Management, Inc.40,83840,83800.020.02-0.00hold
Grove Bank & Trust20,00020,00000.020.02-0.00hold
Matisse Capital250,000250,00000.800.77-0.04hold
Bogart Wealth, LLC1,5781,57800.000.00-0.00hold
Larson Financial Group LLC0000.000.00-0.00hold
Wealth Alliance Advisory Group, LLC11,74111,74100.010.01-0.00hold
FNY Investment Advisers, LLC1,2001,20000.000.00-0.00hold
Next Capital Management LLC23,40223,40200.050.05-0.00hold
RVW Wealth, LLC40,34940,34900.020.02-0.00hold
IEQ CAPITAL, LLC10,37810,37800.000.00+0.00hold
CastleKnight Management LP87,40087,40000.030.02-0.01hold
CoreFirst Bank & Trust2,0762,07600.010.01-0.00hold
Snowden Capital Advisors LLC17,45317,45300.000.00-0.00hold
Investment Advisory Group, LLC17,98417,98400.030.03-0.00hold
Centurion Wealth Management LLC23,92423,92400.040.04+0.00hold
MELFA WEALTH MANAGEMENT, INC.107,219107,21900.460.44-0.02hold
Cassaday & Co Wealth Management LLC5,4005,40000.000.00-0.00hold
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