Stock Transactions — NUVEEN FLOATING RATE INCOME FD

Total Bought
11,267,248
86 transactions
Total Sold
7,033,348
80 transactions
Net
+4,233,900
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
RIVERNORTH CAPITAL MANAGEMENT, LLC02,772,908+2,772,9080.001.03+1.03buy
Logan Stone Capital, LLC107,2221,282,748+1,175,5260.402.48+2.08buy
ICON ADVISERS INC/CO568,1831,697,471+1,129,2881.022.87+1.86buy
WELLS FARGO & COMPANY/MN626,0761,616,253+990,1770.000.00+0.00buy
BALYASNY ASSET MANAGEMENT L.P.163,5761,003,705+840,1290.000.01+0.01buy
1607 Capital Partners, LLC0490,669+490,6690.000.26+0.26buy
JANE STREET GROUP, LLC161,959546,411+384,4520.000.01+0.00buy
ABSOLUTE INVESTMENT ADVISERS, LLC0289,182+289,1820.000.26+0.26buy
Pathstone Holdings, LLC0279,508+279,5080.000.01+0.01buy
Kanen Wealth Management LLC507,900767,434+259,5341.391.82+0.44buy
LANDSCAPE CAPITAL MANAGEMENT, L.L.C.0251,194+251,1940.000.13+0.13buy
Penserra Capital Management LLC2,290,9962,524,701+233,7050.220.23+0.01buy
WOLVERINE ASSET MANAGEMENT LLC66,623287,145+220,5220.010.03+0.02buy
Marex Group plc21,500209,907+188,4070.000.02+0.02buy
XTX Topco Ltd0126,761+126,7610.000.03+0.03buy
Almitas Capital LLC0117,948+117,9480.000.20+0.20buy
Quarry LP0115,372+115,3720.000.15+0.15buy
Invesco Ltd.2,810,0322,924,669+114,6370.000.00-0.00buy
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD255,523364,140+108,6170.150.21+0.06buy
ENVESTNET ASSET MANAGEMENT INC641,527736,691+95,1640.000.00+0.00buy
CastleKnight Management LP087,400+87,4000.000.04+0.04buy
HighTower Advisors, LLC29,534109,377+79,8430.000.00+0.00buy
Virtu Financial LLC22,95796,940+73,9830.010.03+0.02buy
AMERIPRISE FINANCIAL INC710,778767,291+56,5130.000.00+0.00buy
Kovack Advisors, Inc.34,90486,835+51,9310.030.03+0.01buy
TWO SIGMA SECURITIES, LLC047,939+47,9390.000.05+0.05buy
TrueMark Investments, LLC047,308+47,3080.000.07+0.07buy
Global Retirement Partners, LLC2,04547,402+45,3570.000.01+0.01buy
RAYMOND JAMES FINANCIAL INC1,338,7831,382,994+44,2110.000.00-0.00buy
Savvy Advisors, Inc.042,703+42,7030.000.01+0.01buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP041,955+41,9550.000.00+0.00buy
NOMURA HOLDINGS INC037,375+37,3750.000.00+0.00buy
Advisors Asset Management, Inc.1,371,0381,406,791+35,7530.190.18-0.01buy
Kestra Advisory Services, LLC30,82664,428+33,6020.000.00+0.00buy
StoneX Group Inc.029,181+29,1810.000.01+0.01buy
Shaker Financial Services, LLC86,681113,966+27,2850.250.28+0.04buy
M Holdings Securities, Inc.025,881+25,8810.000.01+0.01buy
GUGGENHEIM CAPITAL LLC2,169,1422,194,941+25,7990.130.13-0.01buy
HRT FINANCIAL LP021,849+21,8490.000.00+0.00buy
Keyes, Stange & Wooten Wealth Management, LLC017,321+17,3210.000.06+0.06buy
HARBOUR INVESTMENTS, INC.106,950123,969+17,0190.020.02-0.00buy
Pinnacle Wealth Planning Services, Inc.015,259+15,2590.000.01+0.01buy
Private Advisor Group, LLC27,81343,030+15,2170.000.00+0.00buy
Vident Advisory, LLC014,975+14,9750.000.00+0.00buy
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC238,778252,524+13,7460.380.35-0.02buy
ROBINSON CAPITAL MANAGEMENT, LLC60,48073,895+13,4150.360.24-0.11buy
Compound Planning, Inc.012,614+12,6140.000.00+0.00buy
M.E. ALLISON & CO., INC.010,788+10,7880.000.06+0.06buy
Icon Wealth Advisors, LLC010,625+10,6250.000.01+0.01buy
THRIVENT FINANCIAL FOR LUTHERANS110,502119,828+9,3260.000.00-0.00buy
Aviance Capital Partners, LLC175,654184,842+9,1880.170.17-0.00buy
&PARTNERS48,83957,816+8,9770.000.00-0.00buy
Sigma Planning Corp89,95497,963+8,0090.020.02+0.00buy
Advisory Services Network, LLC108,585116,434+7,8490.010.01-0.00buy
GraniteShares Advisors LLC340,224345,204+4,9801.611.64+0.03buy
WORLD EQUITY GROUP, INC.44,27348,953+4,6800.080.11+0.02buy
BFSG, LLC04,636+4,6360.000.00+0.00buy
CWM, LLC1,2214,690+3,4690.000.00+0.00buy
CAPTRUST FINANCIAL ADVISORS18,63921,835+3,1960.000.00+0.00buy
Greykasell Wealth Strategies, Inc.03,170+3,1700.000.01+0.01buy
Fortitude Advisory Group L.L.C.42,68745,781+3,0940.190.15-0.04buy
J.W. COLE ADVISORS, INC.370,336372,650+2,3140.060.07+0.01buy
Farther Finance Advisors, LLC15,02717,195+2,1680.000.00-0.00buy
CHOREO, LLC154,307156,340+2,0330.020.02-0.00buy
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.8002,100+1,3000.010.01-0.01buy
Janney Montgomery Scott LLC99,026100,225+1,1990.000.00-0.00buy
MAI Capital Management01,000+1,0000.000.00+0.00buy
COMERICA BANK17,41818,382+9640.000.00+0.00buy
ORG Partners LLC40,04140,809+7680.060.06-0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC282,481283,097+6160.190.15-0.04buy
Stratos Wealth Advisors, LLC13,77214,370+5980.010.01+0.00buy
MGB Wealth Management, LLC11,69112,193+5020.030.03+0.00buy
AMERIFLEX GROUP, INC.0500+5000.000.00+0.00buy
MML INVESTORS SERVICES, LLC12,06612,477+4110.000.00-0.00buy
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC0300+3000.000.00+0.00buy
Merit Financial Group, LLC19,01919,308+2890.000.00-0.00buy
Seelaus Asset Management LLC69,37069,593+2230.450.43-0.02buy
ACCREDITED INVESTOR SERVICES, LLC23,56423,744+1800.130.12-0.01buy
WPG Advisers, LLC3,7563,910+1540.020.02-0.00buy
Summit Financial, LLC14,29914,451+1520.000.00-0.00buy
CoreCap Advisors, LLC40,84540,981+1360.010.01-0.00buy
Steward Partners Investment Advisory, LLC57,80557,915+1100.000.00-0.00buy
HOLLENCREST CAPITAL MANAGEMENT1,7131,788+750.000.00-0.00buy
Next Capital Management LLC29,78929,858+690.080.07-0.01buy
PARK AVENUE SECURITIES LLC17,84017,900+600.000.00+0.00buy
SIGNATUREFD, LLC140146+60.000.00-0.00buy
COHEN & STEERS, INC.853,263853,26300.010.01-0.00hold
Edgemoor Investment Advisors, Inc.68,42168,42100.040.04-0.00hold
Allworth Financial LP4,9194,91900.000.00-0.00hold
Camelot Portfolios, LLC16,55016,55000.080.08+0.00hold
Yakira Capital Management, Inc.79,50679,50600.240.21-0.03hold
GM Advisory Group, LLC11,95011,95000.000.00-0.00hold
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, LLC11,74111,74100.020.02-0.00hold
Integrated Wealth Concepts LLC30,89330,89300.000.00+0.00hold
Beacon Pointe Advisors, LLC26,87326,87300.000.00-0.00hold
RVW Wealth, LLC40,34940,34900.030.02-0.00hold
Shulman DeMeo Asset Management LLC21,63921,63900.040.04-0.00hold
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