Stock Transactions — NUVEEN FLOATING RATE INCOME FD

Total Bought
10,072,214
72 transactions
Total Sold
8,254,959
81 transactions
Net
+1,817,255
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
LOOMIS SAYLES & CO L P02,897,039+2,897,0390.000.03+0.03buy
1607 Capital Partners, LLC490,6692,164,618+1,673,9490.261.17+0.91buy
Congress Park Capital LLC2,184,7583,121,323+936,5655.117.21+2.10buy
WELLS FARGO & COMPANY/MN1,616,2532,493,861+877,6080.000.00+0.00buy
Saba Capital Management, L.P.0300,025+300,0250.000.07+0.07buy
Almitas Capital LLC117,948411,628+293,6800.200.70+0.50buy
Cyndeo Wealth Partners, LLC1,530,2701,795,370+265,1000.650.71+0.06buy
Penserra Capital Management LLC2,524,7012,782,303+257,6020.230.25+0.01buy
Matisse Capital0250,000+250,0000.000.80+0.80buy
HOURGLASS CAPITAL, LLC0197,523+197,5230.000.31+0.31buy
RAYMOND JAMES FINANCIAL INC1,382,9941,576,414+193,4200.000.00+0.00buy
ROYAL BANK OF CANADA1,100,1411,279,118+178,9770.000.00+0.00buy
Advisors Asset Management, Inc.1,406,7911,552,425+145,6340.180.19+0.01buy
HARBOUR INVESTMENTS, INC.123,969239,614+115,6450.020.03+0.01buy
Arlington Capital Management, Inc.0112,678+112,6780.000.48+0.48buy
ABSOLUTE INVESTMENT ADVISERS, LLC289,182391,237+102,0550.260.35+0.09buy
Ionic Capital Management LLC094,360+94,3600.000.60+0.60buy
RFG Advisory, LLC146,934239,830+92,8960.020.03+0.01buy
UBS Group AG822,484914,688+92,2040.000.00-0.00buy
Kovack Advisors, Inc.86,835168,666+81,8310.030.07+0.03buy
READYSTATE ASSET MANAGEMENT LP128,919196,077+67,1580.040.09+0.04buy
AMERIPRISE FINANCIAL INC767,291831,940+64,6490.000.00+0.00buy
Cetera Investment Advisers390,781453,542+62,7610.000.00+0.00buy
SIT INVESTMENT ASSOCIATES INC4,577,6654,639,416+61,7510.710.71+0.00buy
New England Private Wealth Advisors LLC052,431+52,4310.000.05+0.05buy
Kanen Wealth Management LLC767,434813,234+45,8001.822.20+0.38buy
Focus Partners Wealth044,438+44,4380.000.00+0.00buy
Golden State Equity Partners040,509+40,5090.000.02+0.02buy
Calamos Advisors LLC040,414+40,4140.000.00+0.00buy
Kestra Advisory Services, LLC64,428101,759+37,3310.000.00+0.00buy
Quarry LP115,372150,100+34,7280.150.23+0.08buy
Cerity Partners LLC39,82674,526+34,7000.000.00+0.00buy
NewEdge Advisors, LLC194,749223,845+29,0960.010.01+0.00buy
Arete Wealth Advisors, LLC023,717+23,7170.000.03+0.03buy
FIFTH THIRD BANCORP023,187+23,1870.000.00+0.00buy
Private Advisor Group, LLC43,03065,150+22,1200.000.00+0.00buy
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD364,140384,140+20,0000.210.21-0.00buy
Invesco Ltd.2,924,6692,944,594+19,9250.000.00-0.00buy
ICON ADVISERS INC/CO1,697,4711,716,759+19,2882.872.98+0.11buy
Snowden Capital Advisors LLC017,453+17,4530.000.00+0.00buy
BOOTHBAY FUND MANAGEMENT, LLC016,480+16,4800.000.00+0.00buy
Brick & Kyle, Associates015,120+15,1200.000.04+0.04buy
Aviance Capital Partners, LLC184,842199,524+14,6820.170.18+0.01buy
Hunter Perkins Capital Management, LLC013,184+13,1840.000.02+0.02buy
Bank of New York Mellon Corp012,893+12,8930.000.00+0.00buy
Western Wealth Management, LLC011,974+11,9740.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO76611,273+10,5070.000.00+0.00buy
Creative Planning010,494+10,4940.000.00+0.00buy
Advisory Services Network, LLC116,434125,266+8,8320.010.01-0.00buy
MERCER GLOBAL ADVISORS INC /ADV21,97028,572+6,6020.000.00+0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC283,097289,156+6,0590.150.15-0.00buy
Asset Dedication, LLC05,580+5,5800.000.00+0.00buy
Cassaday & Co Wealth Management LLC05,400+5,4000.000.00+0.00buy
Gladstone Institutional Advisory LLC68,45572,455+4,0000.020.02-0.00buy
WORLD EQUITY GROUP, INC.48,95351,693+2,7400.110.10-0.01buy
Compound Planning, Inc.12,61414,653+2,0390.000.00+0.00buy
FNY Investment Advisers, LLC01,200+1,2000.000.00+0.00buy
Integrated Wealth Concepts LLC30,89331,703+8100.000.00-0.00buy
WHITTIER TRUST CO OF NEVADA INC0726+7260.000.00+0.00buy
Farther Finance Advisors, LLC17,19517,826+6310.000.00-0.00buy
Summit Financial, LLC14,45114,986+5350.000.00-0.00buy
JONES FINANCIAL COMPANIES LLLP0377+3770.000.00+0.00buy
Stratos Wealth Advisors, LLC14,37014,686+3160.010.01+0.00buy
LEVEL FOUR ADVISORY SERVICES, LLC12,45212,747+2950.000.00-0.00buy
Samalin Investment Counsel, LLC10,12210,328+2060.030.03-0.00buy
Chicago Partners Investment Group LLC12,04812,190+1420.000.00-0.00buy
Concurrent Investment Advisors, LLC39,52839,582+540.000.00-0.00buy
HOLLENCREST CAPITAL MANAGEMENT1,7881,827+390.000.00+0.00buy
GILL CAPITAL PARTNERS, LLC69,95369,973+200.170.15-0.01buy
Tower Research Capital LLC (TRC)016+160.000.00+0.00buy
Sigma Planning Corp97,96397,973+100.020.02-0.00buy
SIGNATUREFD, LLC146150+40.000.00-0.00buy
MAI Capital Management1,0001,00000.000.00-0.00hold
HORIZON KINETICS ASSET MANAGEMENT LLC119,308119,30800.010.01-0.00hold
SHEETS SMITH WEALTH MANAGEMENT26,01026,01000.020.02-0.00hold
BNP PARIBAS FINANCIAL MARKETS5,2145,21400.000.00-0.00hold
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 LLC30,11930,11900.010.00-0.00hold
CAPTRUST FINANCIAL ADVISORS21,83521,83500.000.00-0.00hold
Camelot Portfolios, LLC16,55016,55000.080.09+0.01hold
GM Advisory Group, LLC11,95011,95000.000.00-0.00hold
ROBINSON CAPITAL MANAGEMENT, LLC73,89573,89500.240.25+0.01hold
M.E. ALLISON & CO., INC.10,78810,78800.060.05-0.00hold
Grove Bank & Trust20,00020,00000.020.02-0.00hold
Bogart Wealth, LLC1,5781,57800.000.00-0.00hold
Larson Financial Group LLC0000.000.00-0.00hold
Wealth Alliance Advisory Group, LLC11,74111,74100.020.01-0.00hold
RVW Wealth, LLC40,34940,34900.020.02-0.00hold
Geneos Wealth Management Inc.61261200.000.00-0.00hold
IEQ CAPITAL, LLC10,37810,37800.000.00+0.00hold
CastleKnight Management LP87,40087,40000.040.03-0.01hold
CoreFirst Bank & Trust2,0762,07600.010.01-0.00hold
Investment Advisory Group, LLC17,98417,98400.040.03-0.00hold
Global Wealth Strategies & Associates4,8504,85000.010.01-0.00hold
Fortitude Advisory Group L.L.C.45,78145,78100.150.15+0.00hold
Centurion Wealth Management LLC23,92423,92400.040.04-0.00hold
Ethos Financial Group, LLC646,392646,39200.370.37-0.00hold
MELFA WEALTH MANAGEMENT, INC.107,219107,21900.480.46-0.02hold
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