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NUVEEN SR INCOME FD
NUVEEN SR INCOME FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 58 Institutional holders with a total value of $78,654,478.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BAILLIE GIFFORD & CO 1,915,000 11,567,000 14.71%
2 MORGAN STANLEY 1,370,103 8,275,000 10.52%
3 MARINER INVESTMENT GROUP LLC 1,133,120 6,844,000 8.70%
4 RIVERNORTH CAPITAL MANAGEMENT, LLC 1,127,977 6,813,000 8.66%
5 RELATIVE VALUE PARTNERS GROUP, LLC 935,844 5,619,000 7.14%
6 JPMORGAN CHASE & CO 815,717 4,927,000 6.26%
7 UBS Group AG 771,914 4,662,000 5.93%
8 GUGGENHEIM CAPITAL LLC 671,815 4,058,000 5.16%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 618,010 3,733,000 4.75%
10 Invesco Ltd. 578,334 3,493,000 4.44%
11 Yorktown Management & Research Co Inc 435,000 2,627,000 3.34%
12 BANK OF AMERICA CORP /DE/ 371,388 2,243,000 2.85%
13 NEWGATE CAPITAL MANAGEMENT LLC 359,880 2,161,000 2.75%
14 Horizon Kinetics LLC 244,945 1,479,000 1.88%
15 ROBINSON CAPITAL MANAGEMENT, LLC 167,958 1,014,000 1.29%
16 WELLS FARGO & COMPANY/MN 161,267 974,000 1.24%
17 COHEN & STEERS, INC. 144,134 871,000 1.11%
18 LPL Financial LLC 121,669 739,000 0.94%
19 Livingston Group Asset Management CO (operating as Southport Capital Management) 110,093 665,000 0.85%
20 CREDIT SUISSE AG/ 109,675 662,000 0.84%
21 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 100,629 608,000 0.77%
22 ADVISOR GROUP, INC. 72,329 436,000 0.55%
23 Klingman & Associates, LLC 68,048 411,000 0.52%
24 Capital Investment Advisors, LLC 52,145 315,000 0.40%
25 SHEPHERD KAPLAN KROCHUK, LLC 50,200 303,000 0.39%
26 E&G Advisors, LP 46,000 278,000 0.35%
27 STIFEL FINANCIAL CORP 44,533 269,000 0.34%
28 Cetera Advisor Networks LLC 41,675 252,000 0.32%
29 PNC FINANCIAL SERVICES GROUP, INC. 35,844 216,000 0.27%
30 Brick & Kyle, Associates 31,599 191,000 0.24%
31 COMMUNITY BANK & TRUST, WACO, TEXAS 31,200 188,000 0.24%
32 Shaker Financial Services, LLC 29,515 178,000 0.23%
33 ROYAL BANK OF CANADA 27,840 168,000 0.21%
34 Yellowstone Partners, LLC 25,379 153,000 0.19%
35 B. Riley Wealth Advisors, Inc. 24,529 149,000 0.19%
36 Raymond James Financial Services Advisors, Inc. 23,275 141,000 0.18%
37 IFP ADVISORS, INC 19,954 121,000 0.15%
38 M&T BANK CORP 17,835 108,000 0.14%
39 DAVENPORT & Co LLC 17,600 106,304 0.14%
40 NWAM LLC 14,840 90,000 0.11%
41 RAYMOND JAMES & ASSOCIATES 13,677 83,000 0.11%
42 INVESTMENT CENTERS OF AMERICA INC 12,513 75,000 0.10%
43 Mariner, LLC 11,750 71,000 0.09%
44 Camelot Portfolios, LLC 11,000 66,000 0.08%
45 First Heartland Consultants, Inc. 10,772 65,000 0.08%
46 GENEOS WEALTH MANAGEMENT INC. 9,000 54,000 0.07%
47 WASHINGTON TRUST BANK 5,000 30,000 0.04%
48 Advisors Asset Management, Inc. 4,125 25,000 0.03%
49 WEALTHCARE CAPITAL MANAGEMENT LLC 3,287 20,000 0.03%
50 CITIGROUP INC 2,023 12,000 0.02%
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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.