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NUVEEN SHT DUR CR OPP FD
NUVEEN SHT DUR CR OPP FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 29 Institutional holders with a total value of $41,219,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 733,737 12,563,000 30.48%
2 MARINER INVESTMENT GROUP LLC 243,899 4,176,000 10.13%
3 NEWGATE CAPITAL MANAGEMENT LLC 234,468 4,014,000 9.74%
4 Advisors Asset Management, Inc. 229,842 3,935,000 9.55%
5 Invesco Ltd. 196,244 3,360,000 8.15%
6 BARCLAYS PLC 193,081 3,284,000 7.97%
7 PARAMETRIC PORTFOLIO ASSOCIATES LLC 102,904 1,762,000 4.27%
8 MORGAN STANLEY 94,100 1,611,000 3.91%
9 COHEN & STEERS, INC. 83,290 1,426,000 3.46%
10 LPL Financial LLC 49,414 848,000 2.06%
11 UBS AG 47,273 810,000 1.97%
12 BANK OF AMERICA CORP /DE/ 41,548 711,000 1.72%
13 WOLVERINE ASSET MANAGEMENT LLC 26,569 454,000 1.10%
14 DOLIVER ADVISORS, LP 26,097 447,000 1.08%
15 WELLS FARGO & COMPANY/MN 16,356 280,000 0.68%
16 Cambridge Investment Research Advisors, Inc. 14,607 250,000 0.61%
17 RIVERNORTH CAPITAL MANAGEMENT, LLC 14,338 245,000 0.59%
18 AQR CAPITAL MANAGEMENT LLC 13,076 224,000 0.54%
19 Shaker Financial Services, LLC 12,115 207,000 0.50%
20 ROYAL BANK OF CANADA 11,765 201,000 0.49%
21 Eos Management, L.P. 10,597 182,000 0.44%
22 Peachtree Investment Advisors, Inc. 7,000 120,000 0.29%
23 CITIGROUP INC 3,249 55,000 0.13%
24 M Holdings Securities, Inc. 1,342 23,000 0.06%
25 Creative Planning 625 11,000 0.03%
26 Clearbridge Investments, LLC 560 10,000 0.02%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 550 9,000 0.02%
28 MUFG Americas Holdings Corp 54 1,000 0.00%
29 ENVESTNET ASSET MANAGEMENT INC 1 0 0.00%

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.