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

Institutional Holders (2015Q1)
Portfolio Summary: 29 Institutional holders with a total value of $54,946,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 614,558 10,540,000 19.18%
2 Invesco Ltd. 431,101 7,393,000 13.46%
3 MORGAN STANLEY 391,170 6,709,000 12.21%
4 MARINER INVESTMENT GROUP LLC 367,392 6,301,000 11.47%
5 JPMORGAN CHASE & CO 277,003 4,751,000 8.65%
6 NEWGATE CAPITAL MANAGEMENT LLC 209,455 3,592,000 6.54%
7 Advisors Asset Management, Inc. 165,613 2,840,000 5.17%
8 PARAMETRIC PORTFOLIO ASSOCIATES LLC 103,226 1,770,000 3.22%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 95,761 1,643,000 2.99%
10 COHEN & STEERS, INC. 83,290 1,428,000 2.60%
11 COHEN & STEERS CAPITAL MANAGEMENT INC 83,290 1,428,000 2.60%
12 BlueSpruce Investments, LP 68,527 1,175,000 2.14%
13 LPL Financial LLC 53,434 921,000 1.68%
14 RIVERNORTH CAPITAL MANAGEMENT, LLC 47,703 818,000 1.49%
15 UBS Group AG 42,219 724,000 1.32%
16 BANK OF AMERICA CORP /DE/ 40,953 702,000 1.28%
17 AQR ARBITRAGE LLC 36,563 627,000 1.14%
18 WELLS FARGO & COMPANY/MN 28,331 486,000 0.88%
19 Cambridge Investment Research Advisors, Inc. 13,987 240,000 0.44%
20 Yorktown Management & Research Co Inc 13,000 223,000 0.41%
21 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 12,222 210,000 0.38%
22 ROYAL BANK OF CANADA 11,750 202,000 0.37%
23 Peachtree Investment Advisors, Inc. 7,000 120,000 0.22%
24 CITIGROUP INC 4,723 81,000 0.15%
25 Creative Planning 625 11,000 0.02%
26 Clearbridge Investments, LLC 560 10,000 0.02%
27 MUFG Americas Holdings Corp 64 1,000 0.00%
28 BlackRock Investment Management, LLC 0 0 0.00%
29 MANAGED ACCOUNT ADVISORS LLC 2 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.