Nuveen 浮動利率收益基金 - 股權
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簡介

本頁面提供了有關 Caraher Scott C. 已知的內部交易歷史的全面分析。內部人士包括公司的高管、董事或重要投資者。一般而言，基於內幕、非公開信息進行交易是非法的。這並不意味著他們在自己的公司進行任何交易都是非法的。但是，他們必須透過Form 4向美國證券交易委員會（SEC）報告所有交易。盡管存在這些限制，學術研究表明，內部人士 - 整體而言 - 在自己公司中的投資表現往往優於市場。

平均交易盈利能力

「平均交易盈利能力」衡量了內部人士在過去三年中所有非計劃性的公開市場購買交易的平均回報率。計算過程包括檢查每筆交易，排除了作為10b5-1交易計劃的一部分的交易。然後，對每筆交易在3、6和12個月的表現進行平均，以生成該筆交易最終的表現指標。最終，將所有交易的表現指標進行平均，計算出內部人士的總體平均表現指標。列表僅包含在過去兩年中進行過至少三筆交易的內部人士。

如果內部人士的交易盈利能力顯示為"N/A"，則可能是因為該內部人士在過去三年內沒有進行任何公開市場購買交易，或者他們進行的交易距離現在太近，無法計算出可靠的表現指標。

更新頻率：每日

查看收益最高的的內幕交易者列表。

查看排名最高的內部人士。
報告內部持倉的公司

SEC文件顯示Caraher Scott C.已報告在以下公司擁有持倉或進行了交易：

證券 職位 最新報告的持倉
US:JQC / Nuveen Credit Strategies Income Fund 26,000
US:JFR / Nuveen Floating Rate Income Fund 59,440
US:NSL / Nuveen Senior Income Fund 62,923
US:JSD / Nuveen Short Duration Credit Opportunities Fund 0
US:JRO / Nuveen Floating Rate Income Opportunity Fund 51,636
如何解讀這些圖表

以下圖表顯示了在Caraher Scott C.進行的每筆公開市場非計劃交易後證券的股價表現。非計劃交易是指沒有作為10b5-1交易計劃的一部分而進行的交易。股價表現以累積百分比變化的方式繪製。例如，如果一筆內部人士交易是在2019年1月1日進行的，該圖表將顯示該證券的每日百分比變化直至當前日期。如果在此期間股價從10美元漲至15美元，則股價的累積百分比變化將為50%。從10美元漲至20美元的價格變化將為100%，而從10美元跌至5美元的價格變化將為-50%。

最終，我們將評估內部人士的交易與股價的超額回報（正向或負向）之間的相關性，以判斷內部人士是否在交易中利用內部信息獲利。如果內部人士有這樣的行為，我們預期看到（a）購買後的正回報，或者（b）賣出後的負回報。對於情況（a），購買圖表將顯示一系列向上傾斜的曲線，表示每次購買後都有正回報。對於情況（b），賣出圖表將顯示一系列向下傾斜的曲線，表示每次賣出後都有負回報。

然而，僅憑這一點還不足以得出結論。例如，如果公司的股價在多年內呈現非周期性上升，我們會預期所有購買後的圖表都呈現向上傾斜。同樣地，多年來呈現非周期性下降的股價會導致賣出後的圖表也呈現向下傾斜。這兩種情況的圖表都不能表示內部人士在進行內幕交易。

最有力的指標是在公司股價呈極度循環波動的情況下，「購買」圖表顯示正向信號，而「賣出」圖表顯示負向趨勢。這種情況強烈暗示內部人士可能根據內幕信息精確地計時進行交易，以獲得財務優勢。

JFR.RT / Nuveen Floating Rate Income Fund - Equity Right內部人士買入 - 短期收益分析

在這一部分，我們分析了在 JFR.RT / Nuveen Floating Rate Income Fund - Equity Right 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2026-03-31 JFR Caraher Scott C. 7,000 7.4127 7,000 7.4127 51,889 63 7.6400 1,592 3.07
2026-03-30 JFR Caraher Scott C. 7,000 7.2401 7,000 7.2401 50,681
2025-04-09 JFR Caraher Scott C. 5,000 7.9485 5,000 7.9485 39,742
2025-03-21 JFR Caraher Scott C. 15,000 8.4000 15,000 8.4000 126,000
2021-03-08 JFR Caraher Scott C. 7,000 9.4248 7,000 9.4248 65,974
2021-03-01 JFR Caraher Scott C. 7,000 9.4248 7,000 9.4248 65,974
2020-03-25 JFR Caraher Scott C. 2,000 6.6600 2,000 6.6600 13,320
2018-10-03 JFR Caraher Scott C. 2,000 10.4307 2,000 10.4307 20,861
2013-06-17 JFR Caraher Scott C. 3,400 12.2100 3,400 12.2100 41,514
2013-06-17 JFR Caraher Scott C. 600 12.2363 600 12.2363 7,342

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

JFR.RT / Nuveen Floating Rate Income Fund - Equity Right Insider Trades
JFR.RT / Nuveen Floating Rate Income Fund - Equity Right內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 JFR.RT / Nuveen Floating Rate Income Fund - Equity Right 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2023-10-03 JFR Caraher Scott C. 29,503 7.9000 29,503 7.9000 233,074 22 7.6500 -7,375 -3.16
2023-09-27 JFR Caraher Scott C. 35,000 8.1124 35,000 8.1124 283,934
2023-09-26 JFR Caraher Scott C. 25,000 8.1285 25,000 8.1285 203,212

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

JFR.RT / Nuveen Floating Rate Income Fund - Equity Right Insider Trades
JQCNR / Nuveen Credit Strategies Income Fund - Equity Right內部人士買入 - 短期收益分析

在這一部分，我們分析了在 JFR.RT / Nuveen Floating Rate Income Fund - Equity Right 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2026-03-31 JQC Caraher Scott C. 10,000 4.8270 10,000 4.8270 48,270 43 4.9000 730 1.51
2026-03-30 JQC Caraher Scott C. 10,000 4.6861 10,000 4.6861 46,861
2021-03-10 JQC Caraher Scott C. 10,000 6.5096 10,000 6.5096 65,096
2020-03-25 JQC Caraher Scott C. 2,000 5.0050 2,000 5.0050 10,010

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

JQCNR / Nuveen Credit Strategies Income Fund - Equity Right Insider Trades
JQCNR / Nuveen Credit Strategies Income Fund - Equity Right內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 JFR.RT / Nuveen Floating Rate Income Fund - Equity Right 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2023-10-03 JQC Caraher Scott C. 15,000 4.9200 15,000 4.9200 73,800 24 4.8300 -1,350 -1.83

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

JQCNR / Nuveen Credit Strategies Income Fund - Equity Right Insider Trades
歷史內部人交易

該表格顯示了由 Caraher Scott C. 進行的所有內幕交易的完整列表，這些交易已向美國證券交易委員會（SEC）披露。

呈報日期 交易日期 表格 證券代碼 證券 代碼 10b5-1 股份 剩餘股份 %
變化		 每股
股價		 交易
金額		 剩餘
金額
2026-04-24 2026-03-31 4 JQC Nuveen Credit Strategies Income Fund
Common Stock 		P - Purchase 10,000 26,000 62.50 4.83 48,270 125,502
2026-04-24 2026-03-30 4 JQC Nuveen Credit Strategies Income Fund
Common Stock 		P - Purchase 10,000 16,000 166.67 4.69 46,861 74,978
2026-04-24 2026-03-31 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 7,000 59,440 13.35 7.41 51,889 440,611
2026-04-24 2026-03-30 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 7,000 52,440 15.40 7.24 50,681 379,671
2025-04-10 2025-04-09 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 5,000 45,440 12.36 7.95 39,742 361,180
2025-03-24 2025-03-21 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 15,000 40,440 58.96 8.40 126,000 339,696
2025-02-27 2025-02-25 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		X - Other 4,240 25,440 20.00 8.20 34,768 208,608
2023-10-04 2023-10-03 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		S - Sale -29,503 47,056 -38.54 7.90 -233,074 371,742
2023-10-04 2023-10-03 4 JQC Nuveen Credit Strategies Income Fund
Common Stock 		S - Sale -15,000 6,000 -71.43 4.92 -73,800 29,520
2023-09-29 2023-09-27 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		S - Sale -35,000 76,559 -31.37 8.11 -283,934 621,077
2023-09-27 2023-09-26 4 JFR NUVEEN FLOATING RATE INCOME FUND
Class A Common Stock 		S - Sale -25,000 89,559 -21.82 8.13 -203,212 727,980
2023-08-02 2023-07-31 4 JFR NUVEEN FLOATING RATE INCOME FUND
Class A Common Stock 		J - Other 51,636 114,559 82.06
2023-08-02 2023-07-31 4 JFR NUVEEN FLOATING RATE INCOME FUND
Class A Common Stock 		J - Other 62,923 62,923
2022-11-22 2022-11-18 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 38,923 62,923 162.18 4.81 187,305 302,798
2022-11-22 2022-11-18 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -16,156 0 -100.00 12.07 -194,925
2022-05-13 2022-05-13 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 5,000 51,636 10.72 8.43 42,162 435,415
2022-02-25 2022-02-25 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 5,000 46,636 12.01 9.70 48,492 452,299
2022-02-25 2022-02-25 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 10,000 24,000 71.43 5.65 56,487 135,569
2021-04-30 2021-04-29 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 12,000 14,000 600.00 5.57 66,817 77,953
2021-04-08 2021-04-07 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 5,000 41,636 13.65 9.58 47,900 398,873
2021-03-11 2021-03-10 4 JQC Nuveen Credit Strategies Income Fund
Common Stock 		P - Purchase 10,000 21,000 90.91 6.51 65,096 136,702
2021-03-09 2021-03-08 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 7,000 22,000 46.67 9.42 65,974 207,346
2021-03-01 2021-03-01 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 7,000 15,000 87.50 9.42 65,974 141,372
2021-03-01 2020-03-25 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 2,000 8,000 33.33 6.66 13,320 53,280
2020-08-25 2020-03-31 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 5,000 36,636 15.80 7.37 36,842 269,949
2020-04-01 2020-03-30 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 3,000 31,636 10.48 7.02 21,050 221,977
2020-03-27 2020-03-25 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,000 28,636 7.51 6.65 13,300 190,429
2020-03-27 2020-03-25 4 JQC Nuveen Credit Strategies Income Fund
Common Stock 		P - Purchase 2,000 11,000 22.22 5.00 10,010 55,055
2020-03-26 2020-03-24 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,500 26,636 10.36 6.04 15,108 160,967
2019-08-09 2019-08-07 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -6,022 14,190 -29.79 15.10 -90,948 214,306
2019-08-09 2019-08-07 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -5,100 20,212 -20.15 15.07 -76,870 304,645
2019-05-30 3 JQC Nuveen Credit Strategies Income Fund
Common Stock 		18,000
2019-05-30 3 JQC Nuveen Credit Strategies Income Fund
Common Stock 		18,000
2019-05-30 3 JQC Nuveen Credit Strategies Income Fund
Common Stock 		18,000
2019-01-08 2019-01-04 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,000 24,136 9.04 9.44 18,885 227,909
2018-10-05 2018-10-03 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 2,000 2,000 6.52 13,040 13,040
2018-10-05 2018-10-03 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 2,000 6,000 50.00 10.43 20,861 62,584
2018-10-05 2018-10-03 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,000 22,136 9.93 10.27 20,539 227,328
2018-08-08 2018-08-07 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,000 20,136 11.03 10.22 20,440 205,790
2018-07-19 2018-07-17 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,200 18,136 13.81 10.18 22,396 184,624
2018-07-19 2018-07-17 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 3,800 15,936 31.31 10.22 38,836 162,866
2017-11-03 2017-11-01 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -511 25,312 -1.98 17.62 -9,004 445,997
2017-11-01 2017-10-31 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -600 25,823 -2.27 17.51 -10,506 452,161
2017-11-01 2017-10-31 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -300 26,423 -1.12 17.52 -5,256 462,931
2017-11-01 2017-10-31 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -300 26,723 -1.11 17.52 -5,258 468,321
2017-11-01 2017-10-31 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -300 27,023 -1.10 17.53 -5,259 473,713
2017-11-01 2017-10-31 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -300 27,323 -1.09 17.55 -5,265 479,519
2017-11-01 2017-10-31 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -100 27,623 -0.36 17.50 -1,750 483,541
2017-11-01 2017-10-31 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -100 27,723 -0.36 17.54 -1,754 486,261
2017-11-01 2017-10-30 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -1,000 27,823 -3.47 17.56 -17,560 488,572
2017-11-01 2017-10-27 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -700 28,823 -2.37 17.49 -12,246 504,244
2017-11-01 2017-10-27 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		S - Sale -100 29,523 -0.34 17.53 -1,753 517,538
2017-07-31 2017-07-27 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		S - Sale -12,000 12,136 -49.72 11.80 -141,654 143,259
2017-07-21 2017-07-12 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		S - Sale -10,353 31,747 -24.59 11.64 -120,528 369,592
2017-07-17 2017-07-13 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		S - Sale -5,311 34,489 -13.34 11.67 -61,979 402,487
2017-07-17 2017-07-13 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		S - Sale -2,300 39,800 -5.46 11.66 -26,826 464,207
2017-03-15 2017-03-10 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 2,000 29,623 7.24 18.19 36,371 538,715
2017-02-15 2017-02-14 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 5,600 27,623 25.43 17.90 100,240 494,452
2017-02-15 2017-02-14 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		S - Sale -8,000 42,100 -15.97 12.58 -100,640 529,618
2016-03-04 2016-03-03 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,000 50,100 4.16 9.23 18,460 462,418
2016-03-03 2016-03-01 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 3,000 48,100 6.65 9.05 27,150 435,305
2016-03-02 2016-02-29 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 480 45,100 1.08 8.94 4,291 403,194
2016-03-02 2016-02-29 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 3,520 44,620 8.56 8.96 31,539 399,791
2016-03-02 2016-02-26 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 4,000 41,100 10.78 8.92 35,674 366,550
2015-12-31 2015-12-29 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		S - Sale -25,000 0 -100.00 5.67 -141,788
2015-12-31 2015-12-29 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		S - Sale -15,638 25,000 -38.48 5.69 -88,968 142,230
2015-12-31 2015-12-29 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 11,700 37,100 46.06 9.69 113,430 359,681
2015-12-31 2015-12-29 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 5,000 22,023 29.37 14.80 74,000 325,940
2015-08-28 2015-08-27 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 200 25,400 0.79 10.31 2,061 261,798
2015-08-28 2015-08-27 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 1,800 25,200 7.69 10.31 18,558 259,812
2015-08-26 2015-08-25 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 1,000 17,023 6.24 15.58 15,580 265,217
2015-07-31 2015-07-29 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 4,000 23,400 20.62 10.61 42,427 248,199
2015-07-31 2015-07-29 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 2,000 16,023 14.26 16.37 32,731 262,226
2015-06-04 2015-06-03 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 1,000 14,023 7.68 17.17 17,168 240,748
2015-03-06 2015-03-05 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 5,000 40,638 14.03 6.71 33,541 272,608
2015-03-06 2015-03-05 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 1,200 13,023 10.15 17.26 20,708 224,729
2015-03-04 2015-03-02 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 400 35,638 1.14 6.63 2,652 236,262
2015-03-04 2015-03-02 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 3,600 35,238 11.38 6.65 23,934 234,269
2015-03-04 2015-03-02 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 823 11,823 7.48 17.14 14,106 202,646
2015-02-24 2015-02-23 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 4,000 31,638 14.47 6.68 26,706 211,228
2015-02-12 2015-02-12 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 4,000 27,638 16.92 6.53 26,120 180,476
2015-02-04 2015-02-03 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 5,000 21,300 30.67 6.48 32,389 137,977
2015-02-04 2015-02-04 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 2,338 23,638 10.98 6.47 15,125 152,924
2014-10-21 2014-10-17 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 2,500 19,400 14.79 10.97 27,425 212,818
2014-10-17 2014-10-16 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 4,000 16,900 31.01 10.75 43,000 181,675
2014-10-17 2014-10-15 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		P - Purchase 3,000 12,900 30.30 10.73 32,188 138,408
2014-07-02 2014-07-01 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		P - Purchase 6,000 16,300 58.25 7.01 42,054 114,247
2014-03-10 2014-03-06 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 3,000 11,000 37.50 18.85 56,542 207,319
2013-09-30 2013-09-26 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		S - Sale -3,000 9,900 -23.26 12.28 -36,840 121,573
2013-06-18 2013-06-17 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 600 4,000 17.65 12.24 7,342 48,945
2013-06-18 2013-06-17 4 JFR NUVEEN FLOATING RATE INCOME FUND
Common Stock 		P - Purchase 3,400 3,400 12.21 41,514 41,514
2013-06-11 2013-06-10 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 200 8,000 2.56 20.03 4,006 160,239
2013-06-11 2013-06-10 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 1,800 7,800 30.00 20.03 36,054 156,234
2013-03-11 2013-03-07 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 2,000 6,000 50.00 21.12 42,248 126,744
2012-05-25 2012-05-23 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		S - Sale -8,000 10,300 -43.72 7.04 -56,320 72,512
2012-05-15 2012-05-11 4 NSL NUVEEN SENIOR INCOME FUND
Common Stock 		S - Sale -5,000 18,300 -21.46 7.12 -35,600 130,296
2012-05-15 2012-05-11 4 JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		S - Sale -10,000 12,900 -43.67 11.93 -119,300 153,897
2012-05-15 3/A JRO Nuveen Floating Rate Income Opportunity Fund
Common Stock 		22,900
2012-05-15 3/A NSL NUVEEN SENIOR INCOME FUND
Common Stock 		23,300
2011-08-17 2011-08-15 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 1,000 4,000 33.33 17.40 17,400 69,600
2011-08-01 2011-07-27 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 1,000 3,000 50.00 18.30 18,300 54,900
2011-07-07 2011-07-06 4 JSD Nuveen Short Duration Credit Opportunities Fund
Common Stock 		P - Purchase 2,000 2,000 19.39 38,780 38,780
P
非衍生或衍生證券的公開市場或私下買入
S
非衍生或衍生證券的公開市場或私下賣出
A
公司向內部人員授予、獎勵或以其他方式獲取證券（例如股票期權）
C
衍生工具轉換
D
將證券賣出或轉讓回公司
F
使用從公司收到的證券的一部分來支付行使價或稅務負擔。
G
內部人士贈送或接收他人贈送公司股票
K
股權掉期和類似的避險交易
M
行使或轉換從公司獲得的衍生證券（例如期權）
V
內部人士透過Form 4自願報告的一筆交易
J
其他（附有交易描述的腳註）