Stock Transactions — NUVEEN FLOATING RATE INCOME FD

Total Bought
2,382,734
73 transactions
Total Sold
3,302,938
69 transactions
Net
-920,204
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
Congress Park Capital LLC2,421,5392,818,767+397,2287.777.83+0.06buy
Cyndeo Wealth Partners, LLC1,444,0001,808,320+364,3200.800.91+0.11buy
Thomas J. Herzfeld Advisors, Inc.1,172,9001,331,047+158,1473.384.02+0.64buy
Kanen Wealth Management LLC0138,450+138,4500.000.45+0.45buy
LANDSCAPE CAPITAL MANAGEMENT, L.L.C.0131,286+131,2860.000.09+0.09buy
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC83,418191,938+108,5200.190.36+0.18buy
BANK OF AMERICA CORP /DE/2,444,6352,547,116+102,4810.000.00-0.00buy
GUGGENHEIM CAPITAL LLC1,993,2362,089,952+96,7160.160.14-0.01buy
UBS Group AG919,715984,051+64,3360.000.00+0.00buy
Penserra Capital Management LLC2,024,7242,086,378+61,6540.310.25-0.06buy
FIRST TRUST ADVISORS LP057,247+57,2470.000.00+0.00buy
LPL Financial LLC2,739,5932,792,247+52,6540.010.01-0.00buy
MORGAN STANLEY7,575,4457,622,877+47,4320.000.00-0.00buy
READYSTATE ASSET MANAGEMENT LP046,975+46,9750.000.02+0.02buy
Kestra Advisory Services, LLC29,11571,767+42,6520.000.00+0.00buy
Spire Wealth Management10,50046,050+35,5500.000.01+0.01buy
Advisors Asset Management, Inc.1,093,3741,128,692+35,3180.170.17-0.00buy
J.W. COLE ADVISORS, INC.324,863359,399+34,5360.090.06-0.02buy
Financial & Tax Architects, LLC18,75753,034+34,2770.040.11+0.07buy
Next Capital Management LLC029,789+29,7890.000.09+0.09buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC253,059282,433+29,3740.190.19+0.01buy
ENVESTNET ASSET MANAGEMENT INC688,115717,177+29,0620.000.00-0.00buy
Kovack Advisors, Inc.59,47687,579+28,1030.050.07+0.02buy
Stratos Wealth Partners, LTD.025,050+25,0500.000.00+0.00buy
JANE STREET GROUP, LLC42,06263,664+21,6020.000.00+0.00buy
AMERIPRISE FINANCIAL INC616,628637,244+20,6160.000.00-0.00buy
Invesco Ltd.2,662,6002,683,125+20,5250.000.00-0.00buy
GraniteShares Advisors LLC290,860310,253+19,3931.571.62+0.04buy
BANK OF MONTREAL /CAN/173,267191,695+18,4280.000.00+0.00buy
Cetera Investment Advisers202,997220,059+17,0620.000.00-0.00buy
Summit Financial, LLC014,091+14,0910.000.00+0.00buy
STIFEL FINANCIAL CORP65,32178,614+13,2930.000.00+0.00buy
OSAIC HOLDINGS, INC.241,097253,232+12,1350.000.00-0.00buy
Elequin Capital, LP09,346+9,3460.000.01+0.01buy
HARBOUR INVESTMENTS, INC.91,784100,898+9,1140.020.02-0.00buy
Advisory Services Network, LLC96,903105,501+8,5980.020.01-0.00buy
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD30,35035,523+5,1730.030.03+0.00buy
Concurrent Investment Advisors, LLC51,66756,021+4,3540.010.01-0.00buy
NWF Advisory Services Inc.40,24044,101+3,8610.050.04-0.00buy
CoreFirst Bank & Trust03,742+3,7420.000.02+0.02buy
WORLD EQUITY GROUP, INC.41,04643,973+2,9270.100.10+0.00buy
Merit Financial Group, LLC17,65220,076+2,4240.000.00-0.00buy
ROYAL BANK OF CANADA1,165,4021,167,755+2,3530.000.00-0.00buy
Allworth Financial LP2,7714,919+2,1480.000.00+0.00buy
THRIVENT FINANCIAL FOR LUTHERANS126,769128,855+2,0860.000.00+0.00buy
CALTON & ASSOCIATES, INC.41,34043,420+2,0800.080.06-0.02buy
AVANTAX ADVISORY SERVICES, INC.143,567145,407+1,8400.010.01-0.00buy
Private Advisor Group, LLC23,36724,505+1,1380.000.00-0.00buy
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.7,3178,417+1,1000.010.01-0.00buy
XTX Topco Ltd62,90263,998+1,0960.030.02-0.00buy
RFG Advisory, LLC383,941384,971+1,0300.090.08-0.01buy
Byrne Asset Management LLC6661,666+1,0000.000.01+0.01buy
WESTBOURNE INVESTMENTS, INC.12,95013,950+1,0000.070.06-0.00buy
NATIONS FINANCIAL GROUP INC, /IA/ /ADV22,96023,914+9540.010.01-0.00buy
Bramshill Investments, LLC111,157112,075+9180.100.10+0.00buy
Gladstone Institutional Advisory LLC77,88078,780+9000.030.03-0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO8701,688+8180.000.00+0.00buy
Geneos Wealth Management Inc.21,54622,139+5930.010.00-0.00buy
Larson Financial Group LLC0570+5700.000.00+0.00buy
Blue Trust, Inc.0540+5400.000.00+0.00buy
PRINCIPAL SECURITIES, INC.5,6776,216+5390.000.00-0.00buy
Janney Montgomery Scott LLC92,91993,438+5190.000.00-0.00buy
Stratos Wealth Advisors, LLC12,96013,364+4040.010.01-0.00buy
LEVEL FOUR ADVISORY SERVICES, LLC13,70214,032+3300.000.00-0.00buy
Seelaus Asset Management LLC68,85869,041+1830.560.52-0.04buy
HOLLENCREST CAPITAL MANAGEMENT5,7845,963+1790.000.00+0.00buy
Steward Partners Investment Advisory, LLC57,55657,730+1740.000.00-0.00buy
ACCREDITED INVESTOR SERVICES, LLC26,46026,605+1450.190.17-0.02buy
Global Retirement Partners, LLC1,8871,985+980.000.00-0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC81,69981,774+750.000.00-0.00buy
Farther Finance Advisors, LLC15,23915,287+480.000.00-0.00buy
Ameritas Advisory Services, LLC17,58317,614+310.010.01+0.00buy
SIGNATUREFD, LLC132136+40.000.00-0.00buy
HORIZON KINETICS ASSET MANAGEMENT LLC143,818143,81800.010.01+0.00hold
SHEETS SMITH WEALTH MANAGEMENT36,01036,01000.040.04-0.00hold
COHEN & STEERS, INC.853,263853,26300.010.01-0.00hold
CIBC Private Wealth Group LLC1100.000.00+0.00hold
ProVise Management Group, LLC15,19415,19400.010.01-0.00hold
Kimelman & Baird, LLC1,8231,82300.000.00-0.00hold
CARY STREET PARTNERS FINANCIAL LLC10,43210,43200.000.00-0.00hold
Camelot Portfolios, LLC16,55016,55000.090.08-0.00hold
GM Advisory Group, LLC11,95011,95000.010.01-0.00hold
ROBINSON CAPITAL MANAGEMENT, LLC60,48060,48000.210.21+0.01hold
Koshinski Asset Management, Inc.57,25757,25700.040.04-0.00hold
Bogart Wealth, LLC1,5781,57800.000.00-0.00hold
Trilogy Capital Inc.14,96714,96700.010.01-0.00hold
GPS Wealth Strategies Group, LLC2,9602,96000.000.00-0.00hold
Wealth Alliance Advisory Group, LLC11,74111,74100.020.02-0.00hold
FNY Investment Advisers, LLC1,2001,20000.010.00-0.00hold
RVW Wealth, LLC40,34940,34900.030.03-0.00hold
IEQ CAPITAL, LLC10,37810,37800.000.00-0.00hold
Platform Technology Partners14,05114,05100.030.03-0.00hold
Investment Advisory Group, LLC18,00118,00100.050.05-0.00hold
Fortitude Advisory Group L.L.C.42,68742,68700.240.21-0.04hold
Centurion Wealth Management LLC23,92423,92400.070.06-0.01hold
MELFA WEALTH MANAGEMENT, INC.107,234107,23400.610.57-0.04hold
Wealth Preservation Advisors, LLC96596500.010.01-0.00hold
TD Waterhouse Canada Inc.2,0002,00000.000.00-0.00hold
Burford Brothers, Inc.13,07013,07000.050.05-0.00hold
Quadcap Wealth Management, LLC25,66325,66300.030.03-0.00hold
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