Stock Transactions — Nuveen NASDAQ 100 Dynamic Over

Total Bought
788,280
66 transactions
Total Sold
1,033,685
42 transactions
Net
-245,405
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
Penserra Capital Management LLC0242,845+242,8450.000.08+0.08buy
Shaker Financial Services, LLC0120,498+120,4980.001.15+1.15buy
Advisors Asset Management, Inc.101,016171,891+70,8750.050.08+0.03buy
Allspring Global Investments Holdings, LLC503,646541,397+37,7510.020.02+0.00buy
TWO SIGMA INVESTMENTS, LP78,927110,997+32,0700.000.00+0.00buy
Invesco Ltd.823,010845,225+22,2150.000.00-0.00buy
LPL Financial LLC524,643545,389+20,7460.000.00-0.00buy
Focus Partners Wealth017,227+17,2270.000.00+0.00buy
GUGGENHEIM CAPITAL LLC412,622429,602+16,9800.090.09-0.00buy
FIRST TRUST ADVISORS LP34,48149,634+15,1530.000.00+0.00buy
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC014,986+14,9860.000.08+0.08buy
WELLS FARGO & COMPANY/MN1,223,0171,235,463+12,4460.010.01-0.00buy
UBS Group AG736,471748,593+12,1220.000.00-0.00buy
RAYMOND JAMES FINANCIAL INC394,570406,502+11,9320.000.00-0.00buy
HighTower Advisors, LLC250,298261,289+10,9910.010.01-0.00buy
OSAIC HOLDINGS, INC.186,894197,151+10,2570.010.01-0.00buy
Creative Planning08,426+8,4260.000.00+0.00buy
Rockefeller Capital Management L.P.23,56631,545+7,9790.000.00+0.00buy
Stratos Wealth Partners, LTD.19,12427,017+7,8930.010.01+0.00buy
PFG Investments, LLC07,846+7,8460.000.01+0.01buy
Cypress Wealth Services, LLC07,441+7,4410.000.03+0.03buy
CAPTRUST FINANCIAL ADVISORS7,93515,363+7,4280.000.00+0.00buy
Janney Montgomery Scott LLC226,733234,065+7,3320.020.02-0.00buy
Cetera Investment Advisers35,38142,180+6,7990.000.00-0.00buy
AMERIPRISE FINANCIAL INC202,289208,756+6,4670.000.00-0.00buy
Caitlin John, LLC05,836+5,8360.000.11+0.11buy
NBC SECURITIES, INC.59,62064,173+4,5530.130.14+0.01buy
WOLVERINE ASSET MANAGEMENT LLC04,007+4,0070.000.00+0.00buy
EverSource Wealth Advisors, LLC03,900+3,9000.000.00+0.00buy
Polar Asset Management Partners Inc.189,421193,309+3,8880.120.11-0.02buy
Moors & Cabot, Inc.13,93417,256+3,3220.020.02+0.00buy
Private Advisor Group, LLC26,14429,209+3,0650.000.00+0.00buy
Capital Analysts, LLC2,7025,404+2,7020.000.00+0.00buy
1607 Capital Partners, LLC522,323524,120+1,7971.121.08-0.04buy
&PARTNERS27,88929,539+1,6500.010.01-0.00buy
NewEdge Advisors, LLC47,55949,197+1,6380.010.01-0.00buy
Westfuller Advisors, LLC01,610+1,6100.000.02+0.02buy
CWM, LLC6,9018,401+1,5000.000.00+0.00buy
MATHER GROUP, LLC.01,262+1,2620.000.00+0.00buy
Pathstone Holdings, LLC7,7908,997+1,2070.000.00+0.00buy
Advisory Services Network, LLC01,006+1,0060.000.00+0.00buy
Formidable Asset Management, LLC9,20010,200+1,0000.040.04+0.01buy
Clearstead Trust, LLC01,000+1,0000.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO4,7665,479+7130.000.00+0.00buy
Cypress Capital Management LLC (WY)161,035161,739+7044.734.18-0.54buy
Summit Financial, LLC9,90510,558+6530.010.00-0.00buy
Alteri Wealth LLC19,64320,281+6380.200.19-0.01buy
Next Level Private LLC8,0558,677+6220.070.07-0.00buy
Arete Wealth Advisors, LLC125,155125,688+5330.240.22-0.02buy
TD Waterhouse Canada Inc.2,6763,176+5000.000.00+0.00buy
Equitable Holdings, Inc.7,7388,088+3500.000.00-0.00buy
ENVESTNET ASSET MANAGEMENT INC16,43016,729+2990.000.00+0.00buy
Ancora Advisors LLC0260+2600.000.00+0.00buy
Mutual Advisors, LLC18,11318,368+2550.010.01-0.00buy
GoalVest Advisory LLC0213+2130.000.00+0.00buy
Arax Advisory Partners0198+1980.000.00+0.00buy
Jacobi Capital Management LLC9,4339,600+1670.020.02-0.00buy
Aviance Capital Partners, LLC13,41413,578+1640.050.04-0.00buy
J.W. COLE ADVISORS, INC.12,34412,505+1610.010.01-0.00buy
Diversified Enterprises, LLC12,43412,522+880.020.02-0.00buy
STIFEL FINANCIAL CORP10,84710,912+650.000.00-0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC13,38913,411+220.030.03-0.00buy
HOLLENCREST CAPITAL MANAGEMENT492502+100.000.00-0.00buy
VISION FINANCIAL MARKETS LLC410419+90.010.01-0.00buy
Cambridge Investment Research Advisors, Inc.10,54710,551+40.000.00-0.00buy
Thomas J. Herzfeld Advisors, Inc.212216+40.000.00+0.00buy
EASTERN BANK2,2932,29300.000.00-0.00hold
TRUST CO OF VERMONT3,3493,34900.000.00-0.00hold
PRINCIPAL SECURITIES, INC.30030000.000.00-0.00hold
PRIVATE TRUST CO NA1,5001,50000.000.00-0.00hold
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC27027000.000.00-0.00hold
Ionic Capital Management LLC69,14669,14602.052.11+0.06hold
Sunbelt Securities, Inc.1,8341,83400.000.00-0.00hold
Anchor Investment Management, LLC20020000.000.00-0.00hold
GPS Wealth Strategies Group, LLC9900.000.00-0.00hold
Vermillion Wealth Management, Inc.23723700.000.00-0.00hold
FNY Investment Advisers, LLC3,8003,80000.040.03-0.01hold
Global Retirement Partners, LLC2,2902,29000.000.00-0.00hold
Salomon & Ludwin, LLC49149100.000.00-0.00hold
Cornerstone Wealth Group, LLC8,4538,45300.020.02-0.00hold
Golden State Wealth Management, LLC21021000.000.00-0.00hold
Arkadios Wealth Advisors26,28926,28900.020.02-0.00hold
Key FInancial Inc1,1041,10400.010.01-0.00hold
Avory & Company, LLC17,15717,15700.280.28+0.01hold
TriaGen Wealth Management LLC10,95110,95100.090.08-0.01hold
CoreFirst Bank & Trust65865800.010.01-0.00hold
Spire Wealth Management35235200.000.00-0.00hold
Bell Investment Advisors, Inc2,2192,21900.010.01-0.00hold
CoreCap Advisors, LLC1,0001,00000.000.00-0.00hold
Cyndeo Wealth Partners, LLC13,81213,81200.020.02-0.00hold
Register Financial Advisors LLC10,11510,11500.120.11-0.01hold
Main Street Group, LTD4,3184,31800.040.03-0.00hold
Wealth Preservation Advisors, LLC22122100.000.00-0.00hold
ORG Partners LLC2,8182,81800.020.01-0.00hold
SAPIENT CAPITAL LLC19,98419,98400.010.01-0.00hold
MGB Wealth Management, LLC11,00011,00000.100.09-0.01hold
Diversify Advisory Services, LLC11,86511,86500.010.01-0.00hold
Sovran Advisors, LLC9,2429,24200.030.02-0.00hold
Bay Capital Advisors, LLC10,00310,00300.200.18-0.02hold
PNC FINANCIAL SERVICES GROUP, INC.26,96326,96300.000.00-0.00hold
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