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NUVEEN FLOATING RATE INCOME
NUVEEN FLOATING RATE INCOME. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 70 Institutional holders with a total value of $184,201,151.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BAILLIE GIFFORD & CO 2,750,000 31,102,000 16.88%
2 RESTRUCTURING CAPITAL ASSOCIATES LP 2,238,553 25,318,000 13.74%
3 MORGAN STANLEY 1,719,479 19,448,000 10.56%
4 Invesco Ltd. 1,365,392 15,443,000 8.38%
5 GUGGENHEIM CAPITAL LLC 1,227,585 13,882,000 7.54%
6 BANK OF AMERICA CORP /DE/ 982,171 11,109,000 6.03%
7 MARINER INVESTMENT GROUP LLC 585,593 6,623,000 3.60%
8 UNITED CAPITAL FINANCIAL ADVISORS, LLC 449,560 5,120,000 2.78%
9 JPMORGAN CHASE & CO 427,000 4,829,000 2.62%
10 Trust Asset Management LLC 400,501 4,530,000 2.46%
11 UBS Group AG 366,775 4,148,000 2.25%
12 Advisors Asset Management, Inc. 364,504 4,123,000 2.24%
13 NEWGATE CAPITAL MANAGEMENT LLC 318,882 3,607,000 1.96%
14 ENVESTNET ASSET MANAGEMENT INC 269,528 3,048,000 1.65%
15 WELLS FARGO & COMPANY/MN 223,756 2,531,000 1.37%
16 LPL Financial LLC 196,751 2,233,000 1.21%
17 EATON VANCE MANAGEMENT 175,651 1,987,000 1.08%
18 PARAMETRIC PORTFOLIO ASSOCIATES LLC 174,013 1,968,000 1.07%
19 RIVERNORTH CAPITAL MANAGEMENT, LLC 146,886 1,661,000 0.90%
20 CREDIT SUISSE AG/ 143,973 1,628,000 0.88%
21 Horizon Kinetics LLC 133,240 1,507,000 0.82%
22 BB&T SECURITIES, LLC 12,650 1,430,000 0.78%
23 Capital Investment Advisors, LLC 118,690 1,393,000 0.76%
24 COHEN & STEERS, INC. 108,716 1,230,000 0.67%
25 COHEN & STEERS CAPITAL MANAGEMENT INC 108,716 1,230,000 0.67%
26 AMERIPRISE FINANCIAL INC 100,612 1,138,000 0.62%
27 DRW Securities, LLC 95,124 1,076,000 0.58%
28 CONNING INC. 85,900 972,000 0.53%
29 Edgemoor Investment Advisors, Inc. 84,842 960,000 0.52%
30 HUNTINGTON NATIONAL BANK 79,545 900,000 0.49%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 76,654 867,000 0.47%
32 Koshinski Asset Management, Inc. 61,500 696,000 0.38%
33 Commonwealth Equity Services, Inc 59,453 672,000 0.36%
34 BLACKROCK ADVISORS LLC 46,098 521,000 0.28%
35 Coe Capital Management, LLC 40,000 452,400 0.25%
36 OPTIMUM INVESTMENT ADVISORS 38,300 433,000 0.24%
37 TIEMANN INVESTMENT ADVISORS, LLC 34,067 385,000 0.21%
38 Janney Montgomery Scott LLC 33,476 379,000 0.21%
39 SHEETS SMITH WEALTH MANAGEMENT 33,000 373,000 0.20%
40 ZAZOVE ASSOCIATES LLC 32,071 363,000 0.20%
41 OPPENHEIMER & CO INC 30,231 342,000 0.19%
42 Swift Run Capital Management, LLC 23,000 260,000 0.14%
43 Sigma Planning Corp 20,887 236,000 0.13%
44 ROYAL BANK OF CANADA 17,827 202,000 0.11%
45 Carnegie Investment Counsel 17,500 199,000 0.11%
46 Bank of New York Mellon Corp 15,131 171,000 0.09%
47 BHF Kleinwort Benson Group S.A. 15,000 170,000 0.09%
48 LVW Advisors, LLC 13,000 147,000 0.08%
49 First Houston Capital, Inc. 11,700 132,000 0.07%
50 PNC FINANCIAL SERVICES GROUP, INC. 11,567 131,000 0.07%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.