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

Institutional Holders (2014Q4)
Portfolio Summary: 32 Institutional holders with a total value of $48,250,649.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 618,457 10,296,000 21.34%
2 MARINER INVESTMENT GROUP LLC 367,481 6,119,000 12.68%
3 MORGAN STANLEY 346,624 5,771,000 11.96%
4 Invesco Ltd. 338,605 5,638,000 11.68%
5 NEWGATE CAPITAL MANAGEMENT LLC 210,133 3,479,000 7.21%
6 JPMORGAN CHASE & CO 203,800 3,393,000 7.03%
7 Advisors Asset Management, Inc. 203,523 3,389,000 7.02%
8 PARAMETRIC PORTFOLIO ASSOCIATES LLC 103,010 1,715,000 3.55%
9 COHEN & STEERS, INC. 83,290 1,387,000 2.87%
10 BlueSpruce Investments, LP 68,527 1,141,000 2.36%
11 LPL Financial LLC 52,940 881,000 1.83%
12 RIVERNORTH CAPITAL MANAGEMENT, LLC 49,180 819,000 1.70%
13 UBS Group AG 40,260 670,000 1.39%
14 BANK OF AMERICA CORP /DE/ 36,796 613,000 1.27%
15 AQR CAPITAL MANAGEMENT LLC 31,996 533,000 1.10%
16 WOLVERINE ASSET MANAGEMENT LLC 29,022 483,000 1.00%
17 SG Americas Securities, LLC 15,964 266,000 0.55%
18 WELLS FARGO & COMPANY/MN 15,722 262,000 0.54%
19 Cambridge Investment Research Advisors, Inc. 14,362 239,000 0.50%
20 ROYAL BANK OF CANADA 14,293 238,000 0.49%
21 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 13,818 230,000 0.48%
22 OPPENHEIMER & CO INC 10,611 176,000 0.36%
23 DOLIVER ADVISORS, LP 13,792 155,000 0.32%
24 Peachtree Investment Advisors, Inc. 7,000 117,000 0.24%
25 TradeLink Global Equity LLC 5,500 92,000 0.19%
26 CITIGROUP INC 4,765 79,000 0.16%
27 ZAZOVE ASSOCIATES LLC 1,900 32,000 0.07%
28 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,060 17,000 0.04%
29 Creative Planning 625 10,000 0.02%
30 Clearbridge Investments, LLC 560 9,000 0.02%
31 MUFG Americas Holdings Corp 54 1,000 0.00%
32 Stratos Wealth Partners, LTD. 39 649 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.