Vault-13

NUVEEN FLOATING RATE INCOME JFR

COM · Closed-End Fund · CUSIP 67072T108

180 institutional holders +8 vs Q3 2023
46,819,32546.8m shares reported held*
$385.0mreported value*
25 new 62 added 54 reduced 23 sold out net bought ≈ $46.4m (+5.7m 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 ≈ $8.22.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 93Q4 22: 103Q1 23: 101Q2 23: 102Q3 23: 172Q4 23: 180180Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202293
Q4 2022103
Q1 2023101
Q2 2023102
Q3 2023172
Q4 2023180

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 43 bought or addedQ4 22: 34 cut or sold outQ4 22Q1 23: 39 bought or addedQ1 23: 50 cut or sold outQ1 23Q2 23: 48 bought or addedQ2 23: 44 cut or sold outQ2 23Q3 23: 150 bought or addedQ3 23: 17 cut or sold outQ3 23Q4 23: 87 bought or addedQ4 23: 77 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224334
Q1 20233950
Q2 20234844
Q3 202315017
Q4 20238777

Biggest buyers

MORGAN STANLEY Added +6,831,823+6.8m
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Added +591,014+591.0k
Congress Park Capital LLC Added +564,042+564.0k
SIT INVESTMENT ASSOCIATES INC Added +436,483+436.5k
Cyndeo Wealth Partners, LLC New +387,450+387.4k
1607 Capital Partners, LLC Added +319,600+319.6k
AQR Arbitrage LLC Added +297,087+297.1k
Raymond James Financial Services Advisors, Inc. Added +244,924+244.9k
ENVESTNET ASSET MANAGEMENT INC Added +199,845+199.8k
GraniteShares Advisors LLC New +181,282+181.3k

Biggest sellers

OAKTREE CAPITAL MANAGEMENT LP Sold out -1,192,691-1.2m
Saba Capital Management, L.P. Sold out -1,096,352-1.1m
WELLS FARGO & COMPANY/MN Reduced -775,797-775.8k
GUGGENHEIM CAPITAL LLC Reduced -429,241-429.2k
Advisors Asset Management, Inc. Reduced -409,915-409.9k
LPL Financial LLC Reduced -297,363-297.4k
NATIXIS Reduced -256,794-256.8k
BANK OF AMERICA CORP /DE/ Reduced -193,179-193.2k
UBS Group AG Reduced -172,663-172.7k
Byrne Asset Management LLC Reduced -165,947-165.9k

Insider purchases and sales in Q4 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 0 buyingQ2 22: 0 sellingQ2 22Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 0 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23Q3 23: 0 buyingQ3 23: 0 sellingQ4 23: 0 buyingQ4 23: 1 sellingQ4 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——
Q4 20230—1$10.8k—
DateInsiderTradeSharesPrice ValueTheir holding
2023-12-15 Thornton Matthew III Trustee Bought 29,000 $8.16 $236.6k29.0k shares new
2023-10-26 Jones Nathaniel T. Vice President and Treasurer Sold 1,406 $7.67 $10.8k1.4k shares -82%
2023-10-03 Caraher Scott C. Portfolio Manager Sold 29,503 $7.90 $233.1k29.5k shares -38%

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 11,054,33211.1m $90.9m $90.9m 0.00% Added +6.8m +6,831,823
2 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 2,444,7112.4m $20.1m $20.1m 0.01% Reduced -297.4k -297,363
3 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 2,416,7662.4m $19.9m $19.9m 0.00% Reduced -129.7k -129,740
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2,042,2292.0m $16.8m $16.8m 0.00% Reduced -193.2k -193,179
5 GUGGENHEIM CAPITAL LLC 0.11% of their portfolio CHICAGO, IL 1,790,2221.8m $14.7m $14.7m 0.11% Reduced -429.2k -429,241
6 SIT INVESTMENT ASSOCIATES INC 0.30% of their portfolio Minneapolis, MN 1,506,0851.5m $12.4m $12.4m 0.30% Added +436.5k +436,483
7 Penserra Capital Management LLC 0.23% of their portfolio ORINDA, CA 1,471,0781.5m $12.1m $12.1m 0.23% Added +101.8k +101,815
8 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,321,2731.3m $10.9m $10.9m 0.00% Reduced -775.8k -775,797
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,012,5561.0m $8.3m $8.3m 0.00% Added +1.2k +1,222
10 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 930,858930.9k $7.7m $7.7m 0.00% Unchanged
11 Congress Park Capital LLC 3.73% of their portfolio SARATOGA SPRINGS, NY 929,042929.0k $7.6m $7.6m 3.73% Added +564.0k +564,042
12 UBS Group AG 0.00% of their portfolio ZURICH, V8 869,446869.4k $7.1m $7.1m 0.00% Reduced -172.7k -172,663
13 AQR Arbitrage LLC 0.28% of their portfolio Greenwich, CT 832,878832.9k $6.8m $6.8m 0.28% Added +297.1k +297,087
14 Alpine Global Management, LLC 0.93% of their portfolio NEW YORK, NY 770,000770.0k $6.3m $6.3m 0.93% Added +90.0k +90,000
15 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 751,642751.6k $6.2m $6.2m 0.01% Added +244.9k +244,924
16 Advisors Asset Management, Inc. 0.12% of their portfolio Monument, CO 734,008734.0k $6.0m $6.0m 0.12% Reduced -409.9k -409,915
17 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 708,654708.7k $5.8m $5.8m 0.00% Added +199.8k +199,845
18 Thomas J. Herzfeld Advisors, Inc. 2.02% of their portfolio MIAMI BEACH, FL 670,455670.5k $5.5m $5.5m 2.02% Added +69.0k +69,021
19 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.48% of their portfolio Englewood, NJ 657,574657.6k $5.4m $5.4m 0.48% Added +591.0k +591,014
20 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 646,052646.1k $5.3m $5.3m 0.01% Unchanged
21 1607 Capital Partners, LLC 0.36% of their portfolio Richmond, VA 632,570632.6k $5.2m $5.2m 0.36% Added +319.6k +319,600
22 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 601,649601.6k $4.9m $4.9m 0.02% Reduced -11.1k -11,114
23 Next Capital Management LLC 2.10% of their portfolio NEW YORK, NY 592,820592.8k $4.9m $4.9m 2.10% Added +2.5k +2,493
24 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0.38% of their portfolio London, X0 560,302560.3k $4.6m $4.6m 0.38% Added +28.5k +28,500
25 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 550,591550.6k $4.5m $4.5m 0.01% Reduced -50.6k -50,596
26 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 537,356537.4k $4.4m $4.4m 0.00% Added +20.5k +20,494
27 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 487,010487.0k $4.0m $4.0m 0.01% Reduced -51.6k -51,606
28 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 469,080469.1k $3.9m $3.9m 0.00% Added +37.4k +37,372
29 Shaker Financial Services, LLC 1.57% of their portfolio Arlington, VA 465,317465.3k $3.8m $3.8m 1.57% Added +54.0k +54,007
30 Cyndeo Wealth Partners, LLC 0.29% of their portfolio ST. PETERSBURG, FL 387,450387.4k $3.2m $3.2m 0.29% New
31 RFG Advisory, LLC 0.11% of their portfolio BIRMINGHAM, AL 358,159358.2k $2.9m $2.9m 0.11% Reduced -61.5k -61,505
32 Capital Investment Advisors, LLC 0.06% of their portfolio ATLANTA, GA 312,857312.9k $2.6m $2.6m 0.06% Reduced -13.3k -13,265
33 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 286,423286.4k $2.4m $2.4m 0.00% Added +25.3k +25,282
34 PARK AVENUE SECURITIES LLC 0.03% of their portfolio NEW YORK, NY 244,519244.5k $2.0m $2.0m 0.03% Added +60.8k +60,838
35 Bulldog Investors, LLP 0.66% of their portfolio SADDLE BROOK, NJ 242,798242.8k $2.0m $2.0m 0.66% Reduced -14.4k -14,379
36 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.25% of their portfolio ORLANDO, FL 237,361237.4k $2.0m $2.0m 0.25% Added +15.5k +15,470
37 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 234,793234.8k $1.9m $1.9m 0.01% Added +20.7k +20,660
38 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.09% of their portfolio WEST PALM BEACH, FL 230,085230.1k $1.9m $1.9m 0.09% Reduced -45.7k -45,713
39 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 224,980225.0k $1.9m $1.9m 0.02% Added +12.1k +12,076
40 Coastal Bridge Advisors, LLC 0.45% of their portfolio WESTPORT, CT 214,090214.1k $1.8m $1.8m 0.45% Added +89.6k +89,601
41 Byrne Asset Management LLC 1.31% of their portfolio KINGSTON, NJ 212,125212.1k $1.7m $1.7m 1.31% Reduced -165.9k -165,947
42 Kades & Cheifetz LLC 1.23% of their portfolio Berwyn, PA 210,662210.7k $1.7m $1.7m 1.23% Reduced -905 -905
43 GraniteShares Advisors LLC 1.34% of their portfolio NEW YORK, NY 181,282181.3k $1.5m $1.5m 1.34% New
44 DEBUSSY CAPITAL MANAGEMENT LP 0.44% of their portfolio CHICAGO, IL 168,593168.6k $1.5m $1.5m 0.44% New
45 INVESTMENT MANAGEMENT ASSOCIATES INC /ADV 0.52% of their portfolio GREENWOOD VILLAGE, CO 163,466163.5k $1.3m $1.3m 0.52% Unchanged
46 Aviance Capital Partners, LLC 0.28% of their portfolio NAPLES, FL 159,981160.0k $1.3m $1.3m 0.28% Reduced -27.2k -27,215
47 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 139,032139.0k $1.3m $1.3m 0.00% Added +78.2k +78,225
48 NATIXIS 0.01% of their portfolio PARIS, I0 135,491135.5k $1.1m $1.1m 0.01% Reduced -256.8k -256,794
49 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.52% of their portfolio LEAWOOD, KS 132,143132.1k $1.1m $1.1m 0.52% New
50 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 131,044131.0k $1.1m $1.1m 0.00% Reduced -64.5k -64,450
51 INDEPENDENT FINANCIAL GROUP, LLC 0.06% of their portfolio SAN DIEGO, CA 128,291128.3k $1.1m $1.1m 0.06% Reduced -5.1k -5,121
52 MISSION WEALTH MANAGEMENT, LP 0.03% of their portfolio Santa Barbara, CA 127,466127.5k $1.0m $1.0m 0.03% Reduced -4.9k -4,933
53 MELFA WEALTH MANAGEMENT, INC. 0.97% of their portfolio WESTBOROUGH, MA 125,274125.3k $1.0m $1.0m 0.97% Reduced -4.9k -4,944
54 HORIZON KINETICS ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 120,831120.8k $993.2k $993.2k 0.02% Unchanged
55 GILL CAPITAL PARTNERS, LLC 0.38% of their portfolio DENVER, CO 108,769108.8k $894.1k $894.1k 0.38% Reduced -559 -559
56 Koshinski Asset Management, Inc. 0.13% of their portfolio DECATUR, IL 107,722107.7k $885.5k $885.5k 0.13% Added +42.7k +42,735
57 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 97,25197.3k $799.0k $799.0k 0.00% Reduced -5.0k -4,985
58 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 75,97176.0k $624.5k $624.5k 0.01% Added +7.6k +7,604
59 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 74,31174.3k $610.8k $610.8k 0.00% Reduced -3.2k -3,231
60 RIVERBRIDGE PARTNERS LLC 0.01% of their portfolio MINNEAPOLIS, MN 73,93873.9k $607.8k $607.8k 0.01% Added +635 +635
61 Seelaus Asset Management LLC 0.58% of their portfolio CHATHAM, NJ 72,58772.6k $596.7k $596.7k 0.58% Added +1.2k +1,173
62 Edgemoor Investment Advisors, Inc. 0.06% of their portfolio BETHESDA, MD 69,61969.6k $572.3k $572.3k 0.06% Reduced -200 -200
63 Matisse Capital 0.30% of their portfolio PORTLAND, OR 68,99569.0k $567.1k $567.1k 0.30% Added +42.3k +42,349
64 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 68,91568.9k $566.5k $566.5k 0.00% New
65 Walleye Capital LLC 0.01% of their portfolio NEW YORK, NY 67,55567.6k $555.3k $555.3k 0.01% Added +26.8k +26,753
66 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 64,74864.7k $532.2k $532.2k 0.01% Added +2.7k +2,697
67 Gladstone Institutional Advisory LLC 0.03% of their portfolio Bedminster, NJ 64,18064.2k $527.6k $527.6k 0.03% Reduced -2.4k -2,435
68 HARBOUR INVESTMENTS, INC. 0.02% of their portfolio MADISON, WI 63,88463.9k $525.1k $525.1k 0.02% Reduced -4.9k -4,858
69 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 61,96062.0k $509.0k $509.0k 0.02% Added +1.0k +1,030
70 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 61,91361.9k $508.9k $508.9k 0.01% Reduced -6.6k -6,614
71 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 60,58060.6k $498.0k $498.0k 0.01% Added +4.6k +4,584
72 VIRTUS ADVISERS, LLC 0.31% of their portfolio HARTFORD, CT 58,74058.7k $482.8k $482.8k 0.31% Reduced -17.9k -17,927
73 Aristides Capital LLC 0.23% of their portfolio LOUISVILLE, KY 54,52954.5k $448.2k $448.2k 0.23% New
74 CONNING INC. 0.02% of their portfolio HARTFORD, CT 54,00054.0k $443.9k $443.9k 0.02% Unchanged
75 Elequin Capital, LP 0.13% of their portfolio NEW YORK, NY 52,41852.4k $430.9k $430.9k 0.13% Added +34.1k +34,108
76 Concurrent Investment Advisors, LLC 0.02% of their portfolio Tampa, FL 51,76951.8k $425.5k $425.5k 0.02% First filing
77 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 51,33151.3k $421.9k $421.9k 0.03% Reduced -6.2k -6,200
78 Kovack Advisors, Inc. 0.05% of their portfolio FT. LAUDERDALE, FL 48,74548.7k $400.7k $400.7k 0.05% Reduced -14.9k -14,937
79 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 47,42147.4k $389.8k $389.8k 0.00% Reduced -7.6k -7,596
80 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 47,33747.3k $389.1k $389.1k 0.01% Reduced -6.1k -6,095
81 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 46,81346.8k $384.8k $384.8k 0.01% Reduced -128 -128
82 Sigma Planning Corp 0.03% of their portfolio ANN ARBOR, MI 44,35344.4k $364.6k $364.6k 0.03% Reduced -36.8k -36,843
83 E&G Advisors, LLC 0.13% of their portfolio HOUSTON, TX 43,69043.7k $359.1k $359.1k 0.13% Reduced -2.7k -2,658
84 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 41,75541.8k $343.2k $343.2k 0.00% Reduced -931 -931
85 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 41,05441.1k $337.5k $337.5k 0.00% Reduced -1.5k -1,475
86 BOOTHBAY FUND MANAGEMENT, LLC 0.01% of their portfolio NEW YORK, NY 40,00040.0k $328.8k $328.8k 0.01% New
87 Eschler Asset Management LLP 0.27% of their portfolio London, X0 40,00040.0k $338.4k $338.4k 0.27% New
88 Fortitude Advisory Group L.L.C. 0.20% of their portfolio GIG HARBOR, WA 39,49439.5k $324.6k $324.6k 0.20% Added +11 +11
89 Western Wealth Management, LLC 0.02% of their portfolio GOLDEN, CO 39,48139.5k $324.5k $324.5k 0.02% Added +6.0k +5,974
90 Spire Wealth Management 0.01% of their portfolio MCLEAN, VA 38,87438.9k $322.3k $322.3k 0.01% Added +20.2k +20,234
91 INTEGRATED CAPITAL MANAGEMENT, INC. 0.22% of their portfolio JESSUP, PA 31,24831.2k $256.9k $256.9k 0.22% Added +5.1k +5,132
92 Future Financial Wealth Managment LLC 0.25% of their portfolio CINCINNATI, OH 30,57430.6k $251.3k $251.3k 0.25% Added +300 +300
93 HBK Sorce Advisory LLC 0.01% of their portfolio ERIE, PA 30,08030.1k $247.3k $247.3k 0.01% New
94 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 30,04430.0k $247.0k $247.0k 0.00% Added +6.0k +6,007
95 SHEETS SMITH WEALTH MANAGEMENT 0.04% of their portfolio WINSTON-SALEM, NC 30,00730.0k $246.7k $246.7k 0.04% Unchanged
96 RVW Wealth, LLC 0.03% of their portfolio LOS ANGELES, CA 29,03729.0k $238.7k $238.7k 0.03% Unchanged
97 COMERICA BANK 0.00% of their portfolio DALLAS, TX 27,01527.0k $222.1k $222.1k 0.00% Added +867 +867
98 Quadcap Wealth Management, LLC 0.06% of their portfolio Frisco, TX 26,66326.7k $219.2k $219.2k 0.06% First filing
99 Virtu Financial LLC 0.02% of their portfolio New York, NY 26,26826.3k $216.0k $216.0k 0.02% Added +16.1k +16,109
100 Glass Jacobson Investment Advisors llc 0.09% of their portfolio OWINGS MILLS, MD 25,72525.7k $211.5k $211.5k 0.09% Reduced -9.5k -9,535