Stock Transactions — NUVEEN FLOATING RATE INCOME FD

Total Bought
3,160,671
74 transactions
Total Sold
4,357,674
71 transactions
Net
-1,197,003
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
Kanen Wealth Management LLC138,450507,900+369,4500.451.39+0.94buy
LPL Financial LLC2,792,2473,149,240+356,9930.010.01-0.00buy
Advisors Asset Management, Inc.1,128,6921,371,038+242,3460.170.19+0.02buy
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD35,523255,523+220,0000.030.15+0.13buy
Penserra Capital Management LLC2,086,3782,290,996+204,6180.250.22-0.02buy
ICON ADVISERS INC/CO385,191568,183+182,9920.741.02+0.27buy
Cetera Investment Advisers220,059394,196+174,1370.000.00+0.00buy
BALYASNY ASSET MANAGEMENT L.P.0163,576+163,5760.000.00+0.00buy
Invesco Ltd.2,683,1252,810,032+126,9070.000.00-0.00buy
Logan Stone Capital, LLC0107,222+107,2220.000.40+0.40buy
JANE STREET GROUP, LLC63,664161,959+98,2950.000.00+0.00buy
READYSTATE ASSET MANAGEMENT LP46,975143,473+96,4980.020.06+0.04buy
Blackhawk Capital Partners LLC.086,859+86,8590.000.28+0.28buy
GUGGENHEIM CAPITAL LLC2,089,9522,169,142+79,1900.140.13-0.01buy
AMERIPRISE FINANCIAL INC637,244710,778+73,5340.000.00+0.00buy
WOLVERINE ASSET MANAGEMENT LLC066,623+66,6230.000.01+0.01buy
NewEdge Advisors, LLC148,127204,246+56,1190.010.01+0.00buy
&PARTNERS048,839+48,8390.000.00+0.00buy
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC191,938238,778+46,8400.360.38+0.01buy
FIRST TRUST ADVISORS LP57,24793,807+36,5600.000.00+0.00buy
New England Private Wealth Advisors LLC23,63153,631+30,0000.030.06+0.03buy
GraniteShares Advisors LLC310,253340,224+29,9711.621.61-0.00buy
Beacon Pointe Advisors, LLC026,873+26,8730.000.00+0.00buy
BANK OF AMERICA CORP /DE/2,547,1162,573,208+26,0920.000.00-0.00buy
Virtu Financial LLC022,957+22,9570.000.01+0.01buy
Samalin Investment Counsel, LLC022,285+22,2850.000.06+0.06buy
Marex Group plc021,500+21,5000.000.00+0.00buy
World Investment Advisors020,615+20,6150.000.00+0.00buy
Williams Jones Wealth Management, LLC.015,000+15,0000.000.00+0.00buy
MGO ONE SEVEN LLC011,595+11,5950.000.00+0.00buy
First Heartland Consultants, Inc.011,280+11,2800.000.01+0.01buy
J.W. COLE ADVISORS, INC.359,399370,336+10,9370.060.06-0.01buy
BNP PARIBAS FINANCIAL MARKETS06,258+6,2580.000.00+0.00buy
D.A. DAVIDSON & CO.22,06428,187+6,1230.000.00+0.00buy
HARBOUR INVESTMENTS, INC.100,898106,950+6,0520.020.02-0.00buy
Janney Montgomery Scott LLC93,43899,026+5,5880.000.00-0.00buy
Andrew Hill Investment Advisors, Inc.108,134112,988+4,8540.740.72-0.02buy
Global Wealth Strategies & Associates04,850+4,8500.000.01+0.01buy
UBS Group AG984,051988,761+4,7100.000.00-0.00buy
Virtus Investment Advisers, LLC106,150109,711+3,5610.300.26-0.05buy
ORG Partners LLC36,48540,041+3,5560.070.06-0.01buy
Private Advisor Group, LLC24,50527,813+3,3080.000.00+0.00buy
Advisory Services Network, LLC105,501108,585+3,0840.010.01-0.00buy
Sigma Planning Corp86,88989,954+3,0650.020.02-0.00buy
DIVERSIFY WEALTH MANAGEMENT, LLC27,20129,201+2,0000.010.01-0.00buy
Baird Financial Group, Inc.612,455614,320+1,8650.010.01-0.00buy
STIFEL FINANCIAL CORP78,61480,341+1,7270.000.00-0.00buy
HighTower Advisors, LLC28,05529,534+1,4790.000.00-0.00buy
JONES FINANCIAL COMPANIES LLLP01,339+1,3390.000.00+0.00buy
Aviance Capital Partners, LLC174,449175,654+1,2050.190.17-0.02buy
PNC FINANCIAL SERVICES GROUP, INC.3,3604,560+1,2000.000.00+0.00buy
PRINCIPAL SECURITIES, INC.6,2167,399+1,1830.000.00+0.00buy
NWF Advisory Services Inc.44,10145,064+9630.040.04-0.00buy
COMERICA BANK16,53017,418+8880.000.00-0.00buy
Crews Bank & Trust0676+6760.000.00+0.00buy
OPPENHEIMER & CO INC94,94595,541+5960.010.01-0.00buy
HIGHLINE WEALTH PARTNERS LLC0500+5000.000.00+0.00buy
Stratos Wealth Advisors, LLC13,36413,772+4080.010.01-0.00buy
CAPTRUST FINANCIAL ADVISORS18,27418,639+3650.000.00-0.00buy
MGB Wealth Management, LLC11,34911,691+3420.030.03-0.00buy
LEVEL FOUR ADVISORY SERVICES, LLC14,03214,365+3330.000.00-0.00buy
Seelaus Asset Management LLC69,04169,370+3290.520.45-0.07buy
WORLD EQUITY GROUP, INC.43,97344,273+3000.100.08-0.02buy
PARK AVENUE SECURITIES LLC17,58617,840+2540.000.00-0.00buy
NATIONS FINANCIAL GROUP INC, /IA/ /ADV23,91424,124+2100.010.01-0.00buy
Summit Financial, LLC14,09114,299+2080.000.00-0.00buy
Tower Research Capital LLC (TRC)0160+1600.000.00+0.00buy
Chicago Partners Investment Group LLC13,41213,537+1250.000.00-0.00buy
Cerity Partners LLC39,82639,921+950.000.00-0.00buy
Steward Partners Investment Advisory, LLC57,73057,805+750.000.00-0.00buy
Global Retirement Partners, LLC1,9852,045+600.000.00-0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC282,433282,481+480.190.19-0.00buy
WPG Advisers, LLC3,7343,756+220.030.02-0.00buy
SIGNATUREFD, LLC136140+40.000.00-0.00buy
SHEETS SMITH WEALTH MANAGEMENT36,01036,01000.040.03-0.00hold
Laird Norton Wetherby Wealth Management, LLC19,38219,38200.010.01-0.00hold
COHEN & STEERS, INC.853,263853,26300.010.01-0.00hold
ProVise Management Group, LLC15,19415,19400.010.01-0.00hold
Kimelman & Baird, LLC1,8231,82300.000.00-0.00hold
HBK Sorce Advisory LLC30,89530,89500.010.01-0.00hold
CARY STREET PARTNERS FINANCIAL LLC10,43210,43200.000.00-0.00hold
Allworth Financial LP4,9194,91900.000.00-0.00hold
Camelot Portfolios, LLC16,55016,55000.080.08-0.00hold
GM Advisory Group, LLC11,95011,95000.010.00-0.00hold
ROBINSON CAPITAL MANAGEMENT, LLC60,48060,48000.210.36+0.14hold
Grove Bank & Trust20,00020,00000.020.02-0.00hold
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, LLC1,2001,20000.000.00-0.00hold
Next Capital Management LLC29,78929,78900.090.08-0.01hold
RVW Wealth, LLC40,34940,34900.030.03-0.00hold
Shulman DeMeo Asset Management LLC21,63921,63900.050.04-0.00hold
IEQ CAPITAL, LLC10,37810,37800.000.00-0.00hold
Platform Technology Partners14,05114,05100.030.03-0.00hold
Blue Trust, Inc.54054000.000.00-0.00hold
Investment Advisory Group, LLC18,00118,00100.050.04-0.01hold
Fortitude Advisory Group L.L.C.42,68742,68700.210.19-0.02hold
Centurion Wealth Management LLC23,92423,92400.060.04-0.01hold
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