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

Institutional Holders (2016Q2)
Portfolio Summary: 76 Institutional holders with a total value of $190,827,973.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BAILLIE GIFFORD & CO 2,750,000 28,435,000 14.90%
2 RESTRUCTURING CAPITAL ASSOCIATES LP 1,832,450 18,948,000 9.93%
3 MORGAN STANLEY 1,797,406 18,585,000 9.74%
4 Invesco Ltd. 1,745,072 18,044,000 9.46%
5 EATON VANCE MANAGEMENT 1,374,384 13,871,000 7.27%
6 PRIVATE MANAGEMENT GROUP INC 1,272,514 13,158,000 6.90%
7 BANK OF AMERICA CORP /DE/ 1,179,354 12,195,000 6.39%
8 GUGGENHEIM CAPITAL LLC 737,349 7,624,000 4.00%
9 WELLS FARGO & COMPANY/MN 729,302 7,542,000 3.95%
10 JPMORGAN CHASE & CO 517,600 5,352,000 2.80%
11 RIVERNORTH CAPITAL MANAGEMENT, LLC 407,697 4,216,000 2.21%
12 UNITED CAPITAL FINANCIAL ADVISORS, LLC 333,542 3,335,000 1.75%
13 McGowan Group Asset Management, Inc. 309,064 3,196,000 1.67%
14 Yorktown Management & Research Co Inc 297,739 3,079,000 1.61%
15 ENVESTNET ASSET MANAGEMENT INC 279,824 2,893,000 1.52%
16 UBS Group AG 276,057 2,855,000 1.50%
17 LPL Financial LLC 275,293 2,847,000 1.49%
18 COHEN & STEERS, INC. 271,728 2,810,000 1.47%
19 CREDIT SUISSE AG/ 199,259 2,061,000 1.08%
20 MARINER INVESTMENT GROUP LLC 155,373 1,607,000 0.84%
21 Limestone Value Partners, LLC 145,981 1,540,000 0.81%
22 BAIRD FINANCIAL GROUP, INC. 122,533 1,267,000 0.66%
23 OPPENHEIMER & CO INC 119,379 1,235,000 0.65%
24 AMERIPRISE FINANCIAL INC 103,978 1,071,000 0.56%
25 Capital Investment Advisors, LLC 86,850 898,000 0.47%
26 CONNING INC. 85,900 888,000 0.47%
27 Edgemoor Investment Advisors, Inc. 84,842 877,000 0.46%
28 Advisors Asset Management, Inc. 81,671 844,000 0.44%
29 Laurion Capital Management LP 71,323 737,000 0.39%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 62,838 650,000 0.34%
31 Commonwealth Equity Services, Inc 57,653 596,000 0.31%
32 Livingston Group Asset Management CO (operating as Southport Capital Management) 50,119 518,000 0.27%
33 Sigma Planning Corp 42,834 443,000 0.23%
34 Horizon Kinetics LLC 42,388 438,000 0.23%
35 Private Advisor Group, LLC 41,103 425,000 0.22%
36 OPTIMUM INVESTMENT ADVISORS 39,400 407,000 0.21%
37 SHEETS SMITH WEALTH MANAGEMENT 38,000 393,000 0.21%
38 Koshinski Asset Management, Inc. 36,917 382,000 0.20%
39 IFP ADVISORS, INC 34,985 362,000 0.19%
40 Raymond James Financial Services Advisors, Inc. 32,608 337,000 0.18%
41 ROYAL BANK OF CANADA 31,006 320,000 0.17%
42 TIEMANN INVESTMENT ADVISORS, LLC 29,320 303,000 0.16%
43 ZAZOVE ASSOCIATES LLC 26,758 277,000 0.15%
44 TELEMUS CAPITAL, LLC 26,435 273,000 0.14%
45 Swift Run Capital Management, LLC 23,000 238,000 0.12%
46 Advisory Services Network, LLC 21,626 224,000 0.12%
47 Janney Montgomery Scott LLC 20,022 205,000 0.11%
48 Carnegie Investment Counsel 19,000 203,000 0.11%
49 DEUTSCHE BANK AG\ 19,452 201,000 0.11%
50 WEALTHSOURCE PARTNERS, LLC 15,182 157,000 0.08%
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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.