Vault-13

NUVEEN PFD & INCOME SECS FD

COM · CUSIP 67072C105

6 institutional holders -218 vs Q3 2023
305,723305.7k shares reported held*
$2.0mreported value*
0 new 1 added 1 reduced 209 sold out net sold ≈ $328.3m (-53.1m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $6.51.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 207Q4 22: 223Q1 23: 212Q2 23: 216Q3 23: 224Q4 23: 66Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022207
Q4 2022223
Q1 2023212
Q2 2023216
Q3 2023224
Q4 20236

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
4000400Q4 22: 105 bought or addedQ4 22: 83 cut or sold outQ4 22Q1 23: 101 bought or addedQ1 23: 89 cut or sold outQ1 23Q2 23: 82 bought or addedQ2 23: 87 cut or sold outQ2 23Q3 23: 94 bought or addedQ3 23: 82 cut or sold outQ3 23Q4 23: 1 bought or addedQ4 23: 210 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210583
Q1 202310189
Q2 20238287
Q3 20239482
Q4 20231210

Biggest buyers

Beacon Capital Management, LLC Added +54+54

Biggest sellers

MORGAN STANLEY Sold out -7,581,098-7.6m
RIVERNORTH CAPITAL MANAGEMENT, LLC Sold out -6,803,241-6.8m
SIT INVESTMENT ASSOCIATES INC Sold out -5,579,076-5.6m
UBS Group AG Sold out -3,024,702-3.0m
Invesco Ltd. Sold out -2,598,548-2.6m
WELLS FARGO & COMPANY/MN Sold out -1,855,582-1.9m
Penserra Capital Management LLC Sold out -1,629,897-1.6m
COMMONWEALTH EQUITY SERVICES, LLC Sold out -1,454,172-1.5m
RAYMOND JAMES & ASSOCIATES Sold out -1,294,839-1.3m
ALGEBRIS (UK) LTD Sold out -1,252,721-1.3m

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Financial Gravity Asset Management, Inc. 0.01% of their portfolio Lakeway, TX 177,175177.2k $1.1m $1.1m 0.01% Unchanged
2 Mathes Company, Inc. 0.32% of their portfolio New York, NY 113,376113.4k $766.0k $766.0k 0.32% Reduced -224 -224
3 SHUFRO ROSE & CO LLC 0.01% of their portfolio NEW YORK, NY 12,35112.4k $76.2k $76.2k 0.01% Unchanged
4 Blue Trust, Inc. 0.00% of their portfolio BRENTWOOD, TN 2,4252.4k $15.0k $15.0k 0.00% Unchanged
5 Beacon Capital Management, LLC 0.00% of their portfolio FRANKLIN, TN 396396 $2.4k $2.4k 0.00% Added +54 +54
6 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 11 $6 $6 0.00% Unchanged