NUDG DEF 14A
Nuveen Dividend Growth - ETF Class Shares (NUDG)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 14A
Proxy Statement Pursuant to Section 14(a) of the
Securities Exchange Act of 1934
(Amendment No. )
Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐
Check the appropriate box:
| ☐ | Preliminary Proxy Statement | |||
|---|---|---|---|---|
| ☐ | Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) | |||
| ☒ | Definitive Proxy Statement | |||
| ☐ | Definitive Additional Materials | |||
| ☐ | Soliciting Material Pursuant to §240.14a-12 | |||
| NUVEEN INVESTMENT TRUST II | ||||
| (Exact Name of Registrant as Specified In Its Charter) | ||||
| **** | ||||
| (Name of Person(s) Filing Proxy Statement, if other than the Registrant) | ||||
| Payment of Filing Fee (Check the appropriate box): | ||||
| ☒ | No fee required. | |||
| ☐ | Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. | |||
| (1) | Title of each class of securities to which transaction applies: | |||
| (2) | Aggregate number of securities to which transaction applies: | |||
| (3) | Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which<br>the filing fee is calculated and state how it was determined): | |||
| (4) | Proposed maximum aggregate value of transaction: | |||
| (5) | Total fee paid: | |||
| **** | ||||
| ☐ | Fee paid previously with preliminary materials: | |||
| ☐ | Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously.<br>Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. | |||
| (1) | Amount Previously Paid: | |||
| (2) | Form, Schedule or Registration No.: | |||
| (3) | Filing Party: | |||
| (4) | Date Filed: | |||
Important Notice to Fund Shareholders
September 22, 2020
Although we recommend that you read the complete Proxy Statement, for your convenience, we have provided a brief overview of the issues to be voted on.
| Q. | Why am I receiving this Proxy Statement? |
|---|---|
| A. | This year, you and other Fund shareholders are being asked to approve the election of Board members to serve on your Fund’s Board. The list of<br>nominees is contained in the enclosed proxy statement. |
| --- | --- |
Shareholders of the Nuveen NWQ Flexible Income Fund are also being asked to approve a revision of the Fund’s fundamental policy regarding industry concentration.
Your Fund’s Board, including the independent Board Members, unanimously recommends that you vote FOR each proposal applicable to your Fund.
Your vote is very important. We encourage you as a shareholder to participate in your Fund’s governance by returning your vote as soon as possible. If enough shareholders do not cast their votes, your Fund may not be able to hold the meeting or the vote on each issue, and additional solicitation costs may need to be incurred in order to obtain sufficient shareholder participation.
| Q. | Whom do I call if I have questions? | ||
|---|---|---|---|
| A. | If you need any assistance, or have any questions regarding the proposals or how to vote your shares, please call Computershare Fund Services, your<br>Fund’s proxy solicitor, at 866-963-5818 with your proxy material. | ||
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| Q. | How do I vote my shares? | ||
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| A. | You may vote at the meeting, by mail, by telephone or over the Internet: | ||
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| • | To vote at the meeting, please follow the instructions below for attending the meeting, which will be held virtually. | ||
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| • | To vote by mail, please mark, sign, date and mail the enclosed proxy card. No postage is required if mailed in the United States. | ||
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| • | To vote by telephone, please call the toll-free number located on your proxy card and follow the recorded instructions, using your proxy card as a guide. | ||
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| • | To vote over the Internet, go to the Internet address provided on your proxy card and follow the instructions, using your proxy card as a guide. | ||
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| Q. | How can I attend the meeting? | ||
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| A. | The meeting will be a completely virtual meeting of shareholders, which will be conducted exclusively by webcast. You are entitled to participate in the<br>meeting only if | ||
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| you were a shareholder of your Fund as of the close of business on September 8, 2020, or if you hold a valid proxy for the meeting. Shareholders will not be able to attend the meeting in<br>person. |
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You will be able to attend the meeting online and submit your questions during the meeting by visiting www.meetingcenter.io/251819459. You also will be able to vote your shares online by attending the meeting by webcast. To participate in the meeting, you will need to log on using the control number from your proxy card or meeting notice. The control number can be found in the shaded box. The password for the meeting is NUV2020.
If you hold your shares through an intermediary, such as a bank or broker, you must register in advance using the instructions below.
The online meeting will begin promptly at 2:00 p.m., Central time on November 16, 2020. We encourage you to access the meeting prior to the start time leaving ample time for the check in. Please follow the access instructions as outlined herein.
| Q. | How do I register to attend the meeting virtually on the Internet? |
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| A. | If your shares are registered in your name, you do not need to register to attend the meeting virtually on the Internet. If you hold your shares through<br>an intermediary, such as a bank or broker, you must register in advance to attend the meeting virtually on the Internet. |
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To register to attend the meeting online by webcast, you must submit proof of your proxy power (legal proxy) reflecting your Fund holdings along with your name and email address to [email protected]. You must contact the bank or broker who holds your shares to obtain your legal proxy. Requests for registration must be labeled as “Legal Proxy” and be received no later than 5:00 p.m., Eastern Time, three business days prior to the meeting date.
You will receive a confirmation of your registration by email after we receive your registration materials.
Requests for registration should be directed to us by emailing an image of your legal proxy to [email protected].
| Q. | Why hold a virtual meeting? |
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| A. | In light of the public health concerns regarding the coronavirus outbreak (COVID-19), we believe that<br>hosting a virtual meeting is in the best interests of each Fund and its shareholders. |
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| Q. | Will anyone contact me? |
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| A. | You may receive a call from Computershare Fund Services, the proxy solicitor hired by the Funds, to verify that you received your proxy materials, to<br>answer any questions you may have about the proposals and to encourage you to vote your proxy. |
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We recognize the inconvenience of the proxy solicitation process and would not impose on you if we did not believe that the matters being proposed were important. Once your vote has been registered with the proxy solicitor, your name will be removed from the solicitor’s follow-up contact list.
| Q. | How does the Board suggest that I vote? |
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| A. | The Board unanimously recommends that shareholders vote FOR each proposal applicable to your Fund. |
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333 West Wacker Drive<br><br><br>Chicago, Illinois 60606<br><br><br>(800) 257-8787 |
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Notice of Special Meeting
of Shareholders
to be held on November 16, 2020
Nuveen Investment Trust
Nuveen Equity Market Neutral Fund
Nuveen Large Cap Core Fund
Nuveen Large Cap Growth Fund
Nuveen Large Cap Value Fund
Nuveen NWQ Global Equity Income Fund
Nuveen NWQ Large-Cap Value Fund
Nuveen NWQ Multi-Cap Value Fund
Nuveen NWQ Small/Mid-Cap Value Fund
Nuveen NWQ Small-Cap Value Fund
Nuveen Investment Trust III
Nuveen Symphony High Yield Income Fund
Nuveen Symphony Floating Rate Income Fund
Nuveen Investment Trust II
Nuveen Emerging Markets Equity Fund
Nuveen Equity Long/Short Fund
Nuveen International Growth Fund
Nuveen NWQ International Value Fund
Nuveen Santa Barbara Dividend Growth Fund
Nuveen Santa Barbara Global Dividend Growth Fund
Nuveen Santa Barbara International Dividend Growth Fund
Nuveen Winslow International Large Cap Fund
Nuveen Winslow International Small Cap Fund
Nuveen Winslow Large-Cap Growth ESG Fund
Nuveen Investment Trust V
Nuveen Gresham Managed Futures Strategy Fund
Nuveen NWQ Flexible Income Fund
Nuveen Preferred Securities and Income Fund
Nuveen Global Real Estate Securities Fund
September 22, 2020
To the Shareholders of the Above Funds:
Notice is hereby given that a Special Meeting of Shareholders (the “Meeting”) of each of Nuveen Investment Trust, Nuveen Investment Trust II, Nuveen Investment Trust III and Nuveen Investment Trust V (each trust individually, a “Trust” and collectively, the “Trusts”), on behalf of each series of each Trust (each series of each Trust, as identified above and on Appendix A to the enclosed Joint Proxy Statement, individually a “Fund,” and collectively, the “Funds”), will be held (along with meetings of shareholders of several other Nuveen funds) on Monday, November 16, 2020, at 2:00 p.m., Central time, for the following purposes and to transact such other business, if any, as may properly come before the Meeting:
Matters to Be Voted on by Shareholders:
| 1. | For all Funds, to elect ten (10) Board Members. |
|---|---|
| 2. | For Nuveen NWQ Flexible Income Fund, to approve revisions to its fundamental investment policy regarding industry concentration. |
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All shareholders are cordially invited to attend the Meeting, which will be held online as discussed in further detail below. Inorder to avoid delay and additional expense, and to assure that your shares are represented, please vote as promptly as possible, regardless of whether or not you plan to attend the Meeting. You may vote by mail, telephone or over the Internet. Tovote by mail, please mark, sign, date and mail the enclosed proxy card. No postage is required if mailed in the United States. To vote by telephone, please call the toll-free number located on your proxy card and follow the recorded instructions,using your proxy card as a guide. To vote over the Internet, go to the Internet address provided on your proxy card and follow the instructions, using your proxy card as a guide. Shareholders of record as of the close of business on September 8, 2020 are entitled to notice of, and to vote at, the Meeting or any postponement or adjournment thereof.
In light of public health concerns regarding the ongoing coronavirus disease 2019 (COVID-19) pandemic, the Meeting will be a completely virtual meeting of shareholders, which will be conducted exclusively by webcast. Shareholders will not be able to attend the Meeting in person. Shareholders will be able to attend the Meeting online and submit their questions during the Meeting by visiting www.meetingcenter.io/251819459. Shareholders will also be able to vote their shares online by attending the Meeting by webcast. To participate in the Meeting, you will need to log on using the control number from your proxy card or Meeting notice. The control number can be found in the shaded box. The password for the Meeting is NUV2020. If you hold your shares through an intermediary, such as a bank or broker, you must register in advance using the instructions contained in the enclosed Joint Proxy Statement.
Christopher M. Rohrbacher
VicePresident and Secretary
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333 West Wacker Drive<br><br><br>Chicago, Illinois 60606<br><br><br>(800) 257-8787 |
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Joint Proxy Statement
September 22, 2020
This Joint Proxy Statement is first being mailed to shareholders on or about September 25, 2020.
Nuveen Investment Trust
Nuveen Equity Market Neutral Fund
Nuveen Large Cap Core Fund
Nuveen Large Cap Growth Fund
Nuveen Large Cap Value Fund
Nuveen NWQ Global Equity Income Fund
Nuveen NWQ Large-Cap Value Fund
Nuveen NWQ Multi-Cap Value Fund
Nuveen NWQ Small/Mid-Cap Value Fund
Nuveen NWQ Small-Cap Value Fund
Nuveen Investment Trust III
Nuveen Symphony High Yield Income Fund
Nuveen Symphony Floating Rate Income Fund
Nuveen Investment Trust II
Nuveen Emerging Markets Equity Fund
Nuveen Equity Long/Short Fund
Nuveen International Growth Fund
Nuveen NWQ International Value Fund
Nuveen Santa Barbara Dividend Growth Fund
Nuveen Santa Barbara Global Dividend Growth Fund
Nuveen Santa Barbara International Dividend Growth Fund
Nuveen Winslow International Large Cap Fund
Nuveen Winslow International Small Cap Fund
Nuveen Winslow Large-Cap Growth ESG Fund
Nuveen Investment Trust V
Nuveen Gresham Managed Futures Strategy Fund
Nuveen NWQ Flexible Income Fund
Nuveen Preferred Securities and Income Fund
Nuveen Global Real Estate Securities Fund
This Joint Proxy Statement is furnished in connection with the solicitation by the board of trustees (the “Board” and each trustee a “Board Member” and collectively, the “Board Members”) of each of Nuveen Investment Trust, Nuveen Investment Trust II, Nuveen Investment Trust III and Nuveen Investment Trust V (each trust individually, a “Trust” and collectively, the “Trusts”), on behalf of each series of each Trust (each series of each Trust, as identified above and on Appendix A, individually a “Fund,” and collectively, the “Funds”), of proxies to be voted at the Special Meeting of Shareholders to be held (along with the meeting of shareholders of several other Nuveen funds) on Monday, November 16, 2020, at 2:00 p.m., Central time (the “Meeting”), and at any and all adjournments, postponements or delays thereof. Appendix A sets forth the abbreviated name of each Fund by which such Fund is referred to in this Joint Proxy Statement.
Proposals
| 1. | For all Funds, to elect ten (10) Board Members. |
|---|---|
| 2. | For Nuveen NWQ Flexible Income Fund, to approve revisions to its fundamental investment policy regarding industry concentration. |
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Voting Information
Shareholders of record as of the close of business on September 8, 2020 (the “Record Date”) are entitled to notice of, and to vote at, the Meeting or any postponement or adjournment thereof.
In light of public health concerns regarding the ongoing coronavirus disease 2019 (COVID-19) pandemic, the Meeting will be a completely virtual meeting of shareholders, which will be conducted exclusively by webcast. Shareholders will not be able to attend the Meeting in person. Shareholders will be able to attend the Meeting online and submit their questions during the Meeting by visiting www.meetingcenter.io/251819459. Shareholders will also be able to vote their shares online by attending the Meeting by webcast. To participate in the Meeting, you will need to log on using the control number from your proxy card or meeting notice. The control number can be found in the shaded box. The password for the Meeting is NUV2020. If you hold your shares through an intermediary, such as a bank or broker, you must register in advance using the instructions contained in this Joint Proxy Statement.
On the proposals coming before the Meeting as to which a choice has been specified by shareholders on the proxy, the shares will be voted accordingly. If a properly executed proxy is returned and no choice is specified, the shares will be voted:
| • | FOR the election of the Board Member nominees listed in this Joint Proxy Statement. | ||
|---|---|---|---|
| • | FOR the approval of a revision to the Nuveen NWQ Flexible Income Fund’s fundamental investment policy regarding industry concentration. | ||
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Shareholders who execute proxies may revoke them at any time before they are voted by filing a written notice of revocation, by delivering a duly executed proxy bearing a later date, or by attending and voting at the Meeting. A prior proxy can also be revoked by voting again through the toll-free number or the Internet address listed in the proxy card. Merely attending the Meeting, however, will not revoke any previously submitted proxy.
A quorum of shareholders is required to take action at the Meeting. A majority of the shares entitled to vote at the Meeting, represented in person (virtually) or by proxy, will constitute a quorum of shareholders at the Meeting. Votes cast by proxy or in person (virtually) at the Meeting will be tabulated by the inspectors of election appointed for the Meeting. The inspectors of election will determine whether or not a quorum is present at the Meeting. The inspectors of election will treat abstentions and “broker non-votes” (i.e., shares held by brokers or nominees, typically in “street name,” as to which (i) instructions have not been received from the beneficial owners or persons entitled to vote and (ii) the broker or nominee does not have discretionary voting power on a particular matter) as present for purposes of determining a quorum.
Broker-dealer firms holding shares of a Fund in “street name” for the benefit of their customers and clients will request the instructions of such customers and clients on how to vote their shares before the Meeting. The Funds understand that, under the rules of the New York Stock Exchange, such broker-dealer firms may for certain “routine” matters, without instructions from their customers and clients, grant discretionary authority to the proxies designated by the Board to vote if no instructions have been received prior to the date specified in the broker-dealer firm’s request for voting instructions. Proposal 1 is a “routine” matter and beneficial owners who do not provide proxy instructions or who do not return a proxy card may have their shares voted by broker-dealer firms in favor of Proposal 1.
Broker-dealers who are not members of the New York Stock Exchange may be subject to other rules, which may or may not permit them to vote your shares without instruction. We urge you to provide instructions to your broker or nominee so that your votes may be counted.
The details of the proposals to be voted on by the shareholders of each Fund and the vote required for approval of the proposals are set forth under the description of the proposals below.
The Board has determined that the use of this Joint Proxy Statement for the Meeting is in the best interest of each Fund in light of the similar proposals being considered and voted on by the shareholders. Certain other Nuveen funds, not listed in this Joint Proxy Statement, will also hold meetings of shareholders with similar proposals. If you were also a shareholder of record of one or more of those other funds on the record date established for the meetings of shareholders of such other funds, you will receive a separate proxy statement and proxy card(s) relating to those funds. With respect to Proposal 1, Shareholders of each Trust, including each Fund that is a series of that Trust voting together, will vote separately on Proposal 1. An unfavorable vote on Proposal 1 by the shareholders of one Trust will not affect the implementation of Proposal 1 by another Trust if Proposal 1 is approved by the shareholders of that Trust.
Only shareholders of the Nuveen NWQ Flexible Income Fund will vote on Proposal 2.
Shares Outstanding
Those persons who were shareholders of record as of the Record Date will be entitled to one vote for each share held and a proportionate fractional vote for each fractional share held. Appendix A lists the shares of each class of each Fund that were issued and outstanding as of the Record Date.
PROPOSAL 1: ELECTION OF BOARD MEMBERS
At the Meeting, ten (10) nominees, Jack B. Evans, **** William C. Hunter, **** Albin F. Moschner, John K. Nelson, **** Judith M. Stockdale, Carole E. Stone, **** Terence J. Toth, Margaret L. Wolff and Robert L. Young, each a current Board Member, and Matthew Thornton III, a nominee for election as a Board Member, are to be elected by all shareholders to serve a term until their successors shall have been duly elected and qualified.
Jack B. Evans, **** William C. Hunter, **** John K. Nelson, **** Judith M. Stockdale, Carole E. Stone and **** Terence J. Toth were last elected to each Trust’s Board at a special meeting of shareholders held on August 5, 2014. Margaret L. Wolff was appointed as a Board Member of each Trust effective as of February 15, 2016. Albin F. Moschner was appointed as a Board Member of each Trust effective as of July 1, 2016. Robert L. Young was appointed as a Board Member of each Trust effective as of July 1, 2017. Matthew Thornton III does not currently serve on the Board of each Trust and is a nominee for election at the Meeting.
It is the intention of the persons named in the enclosed proxy to vote the shares represented thereby for the election of the nominees listed above unless the proxy is marked otherwise. Each of the nominees has agreed to serve as a Board Member of each Trust if elected. However, should any nominee become unable or unwilling to accept nomination for election, the proxies will be voted for substitute nominees, if any, designated by that Trust’s present Board.
All Board Member nominees are not “interested persons” as defined in the 1940 Act, of the Funds or of Nuveen Fund Advisors, LLC, the Funds’ investment adviser (the “Adviser”), and have never been an employee or director of Nuveen, LLC (“Nuveen”), the Adviser’s parent company, or any affiliate. Accordingly, such Board Members are deemed “Independent Board Members.”
The Board unanimously recommends thatshareholders vote FOR the election of the nominees named herein.
| Name, BusinessAddress and Year ofBirth | Position(s)Held withFunds | Term ofOfficeand Lengthof Time Served^(1)^ | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfoliosin FundComplexOverseenby BoardMember | OtherDirectorshipsHeld byBoardMemberDuringPast FiveYears | |||||
|---|---|---|---|---|---|---|---|---|---|---|
| CURRENT BOARD MEMBERS^(2)^ | ||||||||||
| Jack B. Evans<br> <br>333 West Wacker Drive<br><br><br>Chicago, IL 60606<br> <br>1948 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 1999 | Chairman (since 2019), formerly, President (1996-2019), The Hall-Perrine Foundation, a private philanthropic corporation; Director, Public Member, American Board of Orthopaedic Surgery (since<br>2015); Life Trustee of Coe College and the Iowa College Foundation; formerly, Director, Federal Reserve Bank of Chicago; formerly, President and Chief Operating Officer, SCI Financial Group, Inc., a regional financial services firm; formerly, Member<br>and President Pro Tem of the Board of Regents for the State of Iowa University System; formerly, Director, The Gazette Company. | 155 | Director and Vice Chairman, United Fire Group, a publicly held company; formerly, Director, Alliant Energy | |||||
| William C. Hunter<br> <br>333 West Wacker Drive<br><br><br>Chicago, IL 60606<br> <br>1948 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 2004 | Dean Emeritus, formerly, Dean (2006-2012), Tippie College of Business, University of Iowa; past Director (2005-2015) and past President (2010-2014) of Beta Gamma Sigma, Inc., The<br>International Business Honor Society; formerly, Director (1997-2007), Credit Research Center at Georgetown University; formerly, Dean and Distinguished Professor of Finance, School of Business at the University of Connecticut (2003-2006);<br>previously, Senior Vice President and Director of Research at the Federal Reserve Bank of Chicago (1995-2003). | 155 | Director (since 2009) of Wellmark, Inc.; formerly, Director (2004-2018) of Xerox Corporation | |||||
| Name, BusinessAddress and Year ofBirth | Position(s)Held withFunds | Term ofOfficeand Lengthof Time Served^(1)^ | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfoliosin FundComplexOverseenby BoardMember | OtherDirectorshipsHeld byBoardMemberDuringPast FiveYears | |||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Albin F. Moschner<br> <br>333 West Wacker Drive<br><br><br>Chicago, IL 60606<br> <br>1952 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 2016 | Founder and Chief Executive Officer, Northcroft Partners, LLC, a management consulting firm (since 2012); previously, held positions at Leap Wireless International, Inc., including Consultant<br>(2011-2012), Chief Operating Officer (2008-2011) and Chief Marketing Officer (2004-2008); formerly, President, Verizon Card Services division of Verizon Communications, Inc. (2000-2003); formerly, President, One Point Services at One Point<br>Communications (1999-2000); formerly, Vice Chairman of the Board, Diba, Incorporated (1996-1997); formerly, various executive positions (1991-1996) and Chief Executive Officer(1995-1996) of Zenith Electronics Corporation. | 155 | Formerly, Chairman (2019) and Director (2012-2019), USA Technologies, Inc., a provider of solutions and services to facilitate electronic payment transactions; formerly, Director,<br>Wintrust Financial Corporation (1996-2016) | |||||
| Name, BusinessAddress and Year ofBirth | Position(s)Held withFunds | Term ofOfficeand Lengthof Time Served^(1)^ | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfoliosin FundComplexOverseenby BoardMember | OtherDirectorshipsHeld byBoardMemberDuringPast FiveYears | |||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| John K. Nelson<br> <br>333 West Wacker Drive<br><br><br>Chicago, IL 60606<br> <br>1962 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 2013 | Member of Board of Directors of Core12 LLC (since 2008), a private firm which develops branding, marketing and communications strategies for clients; served The President’s Council of<br>Fordham University (2010-2019) and previously a Director of the Curran Center for Catholic American Studies (2009-2018); formerly, senior external advisor to the Financial Services practice of Deloitte Consulting LLP (2012-2014); former Chair of the<br>Board of Trustees of Marian University (2010-2014 as trustee, 2011-2014 as Chair); formerly Chief Executive Officer of ABN AMRO Bank N.V., North America, and Global Head of the Financial Markets Division (2007-2008), with various executive<br>leadership roles in ABN AMRO Bank N.V. between 1996 and 2007. | 155 | None | |||||
| Judith M. Stockdale<br> <br>333 West Wacker<br>Drive<br> <br>Chicago, IL 60606<br> <br>1947 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 1997 | Board Member of the Land Trust Alliance (since 2013); formerly, Board Member of the U.S. Endowment for Forestry and Communities (2013-12/2019);<br>formerly, Executive Director (1994-2012), Gaylord and Dorothy Donnelley Foundation; prior thereto, Executive Director, Great Lakes Protection Fund (1990-1994). | 155 | None | |||||
| Name, BusinessAddress and Year ofBirth | Position(s)Held withFunds | Term ofOfficeand Lengthof Time Served^(1)^ | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfoliosin FundComplexOverseenby BoardMember | OtherDirectorshipsHeld byBoardMemberDuringPast FiveYears | |||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Carole E. Stone<br> <br>333 West Wacker Drive<br><br><br>Chicago, IL 60606<br> <br>1947 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 2007 | Former Director, Chicago Board Options Exchange, Inc. (2006-2017) and C2 Options Exchange, Incorporated (2009-2017); formerly, Commissioner, New York State Commission on Public Authority<br>Reform (2005-2010). | 155 | Formerly, Director (2010-2020), Cboe Global Markets, Inc. (formerly, CBOE Holdings, Inc.). | |||||
| Terence J. Toth^(3)^<br><br><br>333 West Wacker Drive<br> <br>Chicago, IL 60606<br><br><br>1959 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 2008 | Formerly, Co-Founding Partner, Promus Capital (2008-2017); Director, Quality Control Corporation (since 2012); formerly, Director, Fulcrum IT Service<br>LLC (2010-2019); formerly, Director, LogicMark LLC (2012-2016); formerly, Director, Legal & General Investment Management America, Inc. (2008-2013); formerly, CEO and President, Northern Trust Global Investments (2004-2007); Executive Vice<br>President, Quantitative Management & Securities Lending (2000-2004); prior thereto, various positions with Northern Trust Company (since 1994); Member, Catalyst Schools of Chicago Board (since 2008) and Mather Foundation Board (since 2012)<br>and is Chair of its Investment Committee; formerly, Member, Chicago Fellowship Board (2005-2016); formerly, Member, Northern Trust Mutual Funds Board (2005-2007), Northern Trust Global Investments Board (2004-2007), Northern Trust Japan Board<br>(2004-2007), Northern Trust Securities Inc. Board (2003-2007) and Northern Trust Hong Kong Board (1997-2004). | 155 | None | |||||
| Name, BusinessAddress and Year ofBirth | Position(s)Held withFunds | Term ofOfficeand Lengthof Time Served^(1)^ | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfoliosin FundComplexOverseenby BoardMember | OtherDirectorshipsHeld byBoardMemberDuringPast FiveYears | |||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Margaret L. Wolff<br> <br>333 West Wacker Drive<br><br><br>Chicago, IL 60606<br> <br>1955 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 2016 | Formerly, Of Counsel, Skadden, Arps, Slate, Meagher & Flom LLP (Mergers & Acquisitions Group) (2005-2014); Member of the Board of Trustees of New York-Presbyterian Hospital<br>(since 2005); Member (since 2004) and Chair (since 2015) of the Board of Trustees of The John A. Hartford Foundation (a philanthropy dedicated to improving the care of older adults); formerly, Member (2005-2015) and Vice Chair (2011-2015) of the<br>Board of Trustees of Mt. Holyoke College. | 155 | Formerly, Member of the Board of Directors (2013-2017) of Travelers Insurance Company of Canada and The Dominion of Canada General Insurance Company (each, a part of Travelers Canada, the<br>Canadian operation of The Travelers Companies, Inc.). | |||||
| Robert L. Young<br> <br>333 West Wacker Drive<br><br><br>Chicago, IL 60606<br> <br>1963 | Board Member | Term: Indefinite<br> <br><br><br><br>Length of service: Since 2017 | Formerly, Chief Operating Officer and Director, J.P. Morgan Investment Management Inc. (2010-2016); formerly, President and Principal Executive Officer (2013-2016), and Senior Vice<br>President and Chief Operating Officer (2005-2010), of J.P.Morgan Funds; formerly, Director and various officer positions for J.P. Morgan Investment Management Inc. (formerly, JPMorgan Funds Management, Inc. and formerly, One Group Administrative<br>Services) and JPMorgan Distribution Services, Inc. (formerly, One Group Dealer Services, Inc.) (1999-2017). | 155 | None | |||||
| Name, BusinessAddress and Year ofBirth | Position(s)Held withFunds | Term ofOfficeand Lengthof Time Served^(1)^ | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfoliosin FundComplexOverseenby BoardMember | OtherDirectorshipsHeld byBoardMemberDuringPast FiveYears | |||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| BOARD MEMBER NOMINEE | ||||||||||
| Matthew Thornton III<br> <br>333 West Wacker Drive<br> <br>Chicago, IL 60606<br> <br>1958 | None^(4)^ | Term: Indefinite<br><br><br><br> <br>Length of service: Not Applicable^(4)^ | Formerly, Executive Vice President and Chief Operating Officer (2018-2019), FedEx Freight Corporation, a subsidiary of FedEx Corporation<br>(“FedEx”) (provider of transportation, e-commerce and business services through its portfolio of companies); formerly, Senior Vice President, U.S. Operations (2006-2018), Federal Express Corporation,<br>a subsidiary of FedEx; formerly, Member of the Board of Directors (2012-2018), Safe Kids Worldwide^®^ (a non-profit organization<br>dedicated to preventing childhood injuries). | None^(4)^ | Member of the Board of Directors (since 2014), The Sherwin-Williams Company (develops, manufactures, distributes and sells paints, coatings and related<br>products). | |||||
| (1) | Length of Time Served indicates the year in which the individual became a Board Member of a fund in the Nuveen fund complex. | |||||||||
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| (2) | Each current Board Member has been nominated to stand for election at the Meeting. | |||||||||
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| (3) | Mr. Toth serves as a director on the Board of Directors of the Mather Foundation (the “Foundation”) and is a member of its investment<br>committee. The Foundation is the parent of the Mather LifeWays organization, a non-profit charitable organization. Prior to Mr. Toth joining the Board of the Foundation, the Foundation selected Gresham<br>Investment Management (“Gresham”), an affiliate of Nuveen Fund Advisors, LLC, to manage a portion of the Foundation’s investment portfolio, and pursuant to this selection, the Foundation has invested that portion of its investment<br>portfolio in a private commodity pool managed by Gresham. | |||||||||
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| (4) | Mr. Thornton has been nominated for election to the Board and the boards of certain other funds in the Nuveen fund complex and has been appointed<br>to the boards of certain other funds in the Nuveen fund complex, such appointment to become effective as of November 16, 2020. If Mr. Thornton is elected to the board of each such fund for which he has been nominated and assuming such<br>appointments become effective, Mr. Thornton will oversee 154 portfolios in the Nuveen fund complex. | |||||||||
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Share Ownership
In order to create an appropriate identity of interests between Board Members and shareholders, the boards of directors/trustees of the Nuveen funds have adopted a governance principle pursuant to which each Board Member is expected to invest, either directly or on a deferred basis, at least the equivalent of one year of compensation in funds in the Nuveen complex.
The dollar range of equity securities beneficially owned by each Board Member and nominee in each Fund and all Nuveen funds overseen by the Board Member as of December 31, 2019 is set forth in Appendix B. The number of shares of each Fund beneficially owned by each Board
Member and by the Board Members and executive officers of the Funds as a group as of December 31, 2019 is set forth in Appendix B. As of the Record Date, each Board Member’s and executive officer’s individual beneficial shareholdings of each Fund constituted less than 1% of the outstanding shares of each Fund. As of the Record Date, the Board Members and executive officers as a group beneficially owned less than 1% of the outstanding shares of each Fund.
Compensation
Independent Board Members receive a $195,000 annual retainer plus: (a) a fee of $6,750 per day for attendance in person or by telephone at regularly scheduled meetings of the Board; (b) a fee of $3,000 per meeting for attendance in person or by telephone at special, non-regularly scheduled meetings of the Board where in-person attendance is required and $2,000 per meeting for attendance by telephone or in person at such meetings where in-person attendance is not required; (c) a fee of $2,500 per meeting for attendance in person or by telephone at Audit Committee meetings where in-person attendance is required and $2,000 per meeting for attendance by telephone or in person at such meetings where in-person attendance is not required; (d) a fee of $5,000 per meeting for attendance in person or by telephone at Compliance, Risk Management and Regulatory Oversight Committee meetings where in-person attendance is required and $2,000 per meeting for attendance by telephone or in person at such meetings where in-person attendance is not required; (e) a fee of $1,000 per meeting for attendance in person or by telephone at Dividend Committee meetings; (f) a fee of $500 per meeting for attendance in person or by telephone at all other committee meetings ($1,000 for shareholder meetings) where in-person attendance is required and $250 per meeting for attendance by telephone or in person at such committee meetings (excluding shareholder meetings) where in-person attendance is not required, and $100 per meeting when the Executive Committee acts as pricing committee for IPOs, plus, in each case, expenses incurred in attending such meetings, provided that no fees are received for meetings held on days on which regularly scheduled Board meetings are held; and (g) a fee of $2,500 per meeting for attendance in person or by telephone at Open-End Funds Committee meetings where in-person attendance is required and $2,000 per meeting for attendance by telephone or in person at such meetings where in-person attendance is not required, provided that no fees are received for meetings held on days on which regularly scheduled Board meetings are held. In addition to the payments described above, the Chair of the Board receives $90,000, the chairpersons of the Audit Committee, the Dividend Committee, the Compliance, Risk Management and Regulatory Oversight Committee, the Nominating and Governance Committee and the Open-End Funds Committee receive $15,000 as additional annual retainers. Independent Board Members also receive a fee of $3,000 per day for site visits to entities that provide services to the Nuveen funds on days on which no Board meeting is held. When ad hoc committees are organized, the Nominating and Governance Committee will at the time of formation determine compensation to be paid to the members of such committees; however, in general, such fees will be $1,000 per meeting for attendance in person or by telephone at ad hoc committee meetings where in-person attendance is required and $500 per meeting for attendance by telephone or in person at such meetings where in-person attendance is not required. The annual retainer, fees and expenses are allocated among the Nuveen funds on the basis of relative net assets, although management may, in its discretion, establish a minimum amount to be allocated to each fund. In certain instances fees and expenses will be allocated only to those Nuveen funds that are discussed at a given meeting.
The Funds do not have retirement or pension plans. Certain Nuveen funds (the “Participating Funds”) participate in a deferred compensation plan (the “Deferred Compensation Plan”) that permits an Independent Board Member to elect to defer receipt of all or a portion of his or her compensation as an Independent Board Member. The deferred compensation of a participating Independent Board Member is credited to a book reserve account of the Participating Fund when the compensation would otherwise have been paid to such Independent Board Member. The value of the Independent Board Member’s deferral account at any time is equal to the value that the account would have had if contributions to the account had been invested and reinvested in shares of one or more of the eligible Nuveen funds. At the time for commencing distributions from an Independent Board Member’s deferral account, the Independent Board Member may elect to receive distributions in a lump sum or over a period of five years. The Participating Fund will not be liable for any other fund’s obligations to make distributions under the Deferred Compensation Plan.
The tables set forth in Appendix C show, for each Independent Board Member, the aggregate compensation paid by each Fund to each Board Member for its last fiscal year and the aggregate compensation paid by all Nuveen funds to each Board Member for the calendar year ended December 31, 2019.
The Trusts have no employees. Each officer of the Trusts serves without any compensation from the Funds. The CCO’s compensation, which is composed of base salary and incentive compensation, is paid by the Adviser, with review and input by the Board. Each Fund reimburses the Adviser for an allocable portion of the Adviser’s cost of the CCO’s incentive compensation.
Board Leadership and Risk Oversight
The Board of each Fund oversees the operations and management of the Fund, including the duties performed for the Fund by the Adviser. The Board has adopted a unitary board structure. A unitary board consists of one group of directors who serve on the board of every fund in the complex. In adopting a unitary board structure, the Board Members seek to provide effective governance through establishing a board, the overall composition of which will, as a body, possess the appropriate skills, independence and experience to oversee the Funds’ business. With this overall framework in mind, when the Board, through its Nominating and Governance Committee discussed below, seeks nominees for the Board, the Board Members consider, not only the candidate’s particular background, skills and experience, among other things, but also whether such background, skills and experience enhance the Board’s diversity and at the same time complement the Board given its current composition and the mix of skills and experiences of the incumbent Board Members. The Nominating and Governance Committee believes that the Board generally benefits from diversity of background, experience and views among its members, and considers this a factor in evaluating the composition of the Board, but has not adopted any specific policy on diversity or any particular definition of diversity.
The Board believes the unitary board structure enhances good and effective governance, particularly given the nature of the structure of the investment company complex. Funds in the same complex generally are served by the same service providers and personnel and are governed by the same regulatory scheme which raises common issues that must be addressed by the Board Members across the fund complex (such as compliance, valuation, liquidity,
brokerage, trade allocation or risk management). The Board believes it is more efficient to have a single board review and oversee common policies and procedures which increases the Board’s knowledge and expertise with respect to the many aspects of fund operations that are complex-wide in nature. The unitary structure also enhances the Board’s influence and oversight over the Adviser and other service providers.
In an effort to enhance the independence of the Board, the Board also has a Chair that is an Independent Board Member. The Board recognizes that a chair can perform an important role in setting the agenda for the Board, establishing the boardroom culture, establishing a point person on behalf of the Board for Fund management, and reinforcing the Board’s focus on the long-term interests of shareholders. The Board recognizes that a chair may be able to better perform these functions without any conflicts of interests arising from a position with Fund management. Accordingly, the Board Members have elected Terrence J. Toth as the independent Chair of the Board. Specific responsibilities of the Chair include: (i) presiding at all meetings of the Board and of the shareholders; (ii) seeing that all orders and resolutions of the Board Members are carried into effect; and (iii) maintaining records of and, whenever necessary, certifying all proceedings of the Board Members and the shareholders.
Although the Board has direct responsibility over various matters (such as advisory contracts, underwriting contracts and Fund performance), the Board also exercises certain of its oversight responsibilities through several committees that it has established and which report back to the full Board. The Board believes that a committee structure is an effective means to permit Board Members to focus on particular operations or issues affecting the Funds, including risk oversight. More specifically, with respect to risk oversight, the Board has delegated matters relating to valuation and compliance to certain committees (as summarized below) as well as certain aspects of investment risk. In addition, the Board believes that the periodic rotation of Board Members among the different committees allows the Board Members to gain additional and different perspectives of a Fund’s operations. The Board has established six standing committees: the Executive Committee, the Dividend Committee, the Audit Committee, the Compliance, Risk Management and Regulatory Oversight Committee, the Nominating and Governance Committee and the Open-End Funds Committee. The Board may also from time to time create ad hoc committees to focus on particular issues as the need arises. The membership and functions of the standing committees are summarized below.
Executive Committee. The Executive Committee, which meets between regular meetings of the Board, is authorized to exercise all of the powers of the Board. The members of the Executive Committee are Terence J. Toth, Chair, Albin F. Moschner and Margaret L. Wolff. The number of Executive Committee meetings of each Trust held during the calendar year ended December 31, 2019 is shown in Appendix D.
AuditCommittee. The Audit Committee assists the Board in the oversight and monitoring of the accounting and reporting policies, processes and practices of the Nuveen funds, and the audits of the financial statements of the Nuveen funds; the quality and integrity of the financial statements of the Nuveen funds; the Nuveen funds’ compliance with legal and regulatory requirements relating to the Nuveen funds’ financial statements; the independent auditors’ qualifications, performance and independence; and the pricing procedures of the Nuveen funds and the Adviser’s internal valuation group. It is the responsibility of the Audit Committee to select, evaluate and replace any independent auditors (subject only to Board and, if applicable, shareholder ratification) and to determine their compensation. The Audit Committee is also responsible for, among other things, overseeing the valuation of securities
comprising the Nuveen funds’ portfolios. Subject to the Board’s general supervision of such actions, the Audit Committee addresses any valuation issues, oversees the Nuveen funds’ pricing procedures and actions taken by the Adviser’s internal valuation group which provides regular reports to the committee, reviews any issues relating to the valuation of the Nuveen funds’ securities brought to its attention and considers the risks to the Nuveen funds in assessing the possible resolutions to these matters. The Audit Committee may also consider any financial risk exposures for the Nuveen funds in conjunction with performing its functions.
To fulfill its oversight duties, the Audit Committee receives annual and semi-annual reports and has regular meetings with the external auditors for the Nuveen funds and the Adviser’s internal audit group. The Audit Committee also may review in a general manner the processes the Board or other Board committees have in place with respect to risk assessment and risk management as well as compliance with legal and regulatory matters relating to the Nuveen funds’ financial statements. The committee operates under a written charter adopted and approved by the Board. Members of the Audit Committee shall be independent (as set forth in the charter) and free of any relationship that, in the opinion of the trustees, would interfere with their exercise of independent judgment as an Audit Committee member. The members of the Audit Committee are Carole E. Stone, Chair, Jack B. Evans, William C. Hunter, John K. Nelson and Judith M. Stockdale, each of whom is an Independent Board Member of the Funds. A copy of the Charter is available at www.nuveen.com/MutualFunds/ShareholderResources/FundGovernance.aspx. The number of Audit Committee meetings of each Trust held during the calendar year ended December 31, 2019 is shown in Appendix D.
Nominating and GovernanceCommittee. The Nominating and Governance Committee is responsible for seeking, identifying and recommending to the Board qualified candidates for election or appointment to the Board. In addition, the Nominating and Governance Committee oversees matters of corporate governance, including the evaluation of Board performance and processes, the assignment and rotation of committee members, and the establishment of corporate governance guidelines and procedures, to the extent necessary or desirable, and matters related thereto. Although the unitary and committee structure has been developed over the years and the Nominating and Governance Committee believes the structure has provided efficient and effective governance, the committee recognizes that as demands on the Board evolve over time (such as through an increase in the number of funds overseen or an increase in the complexity of the issues raised), the committee must continue to evaluate the Board and committee structures and their processes and modify the foregoing as may be necessary or appropriate to continue to provide effective governance. Accordingly, the Nominating and Governance Committee has a separate meeting each year to, among other things, review the Board and committee structures, their performance and functions, and recommend any modifications thereto or alternative structures or processes that would enhance the Board’s governance of the Nuveen funds.
In addition, the Nominating and Governance Committee, among other things, makes recommendations concerning the continuing education of trustees; monitors performance of legal counsel and other service providers; establishes and monitors a process by which security holders are able to communicate in writing with members of the Board; and periodically reviews and makes recommendations about any appropriate changes to trustee or director compensation. In the event of a vacancy on the Board, the Nominating and Governance Committee receives suggestions from various sources, including shareholders, as to suitable candidates. Suggestions should be sent in writing to William Siffermann, Manager of Fund Board
Relations, Nuveen Investments, Inc., 333 West Wacker Drive, Chicago, IL 60606. The Nominating and Governance Committee sets appropriate standards and requirements for nominations for new trustees and reserves the right to interview any and all candidates and to make the final selection of any new trustees. In considering a candidate’s qualifications, each candidate must meet certain basic requirements, including relevant skills and experience, time availability (including the time requirements for due diligence site visits to sub-advisers and service providers) and, if qualifying as an independent trustee candidate, independence from the Adviser, each Fund’s sub-adviser, Nuveen Securities, LLC, the Funds’ distributor (the “Distributor”), and other service providers, including any affiliates of these entities. These skill and experience requirements may vary depending on the current composition of the Board, since the goal is to ensure an appropriate range of skills, diversity and experience, in the aggregate. Accordingly, the particular factors considered and weight given to these factors will depend on the composition of the Board and the skills and backgrounds of the incumbent trustees at the time of consideration of the nominees. All candidates, however, must meet high expectations of personal integrity, independence, governance experience and professional competence. All candidates must be willing to be critical within the Board and with management and yet maintain a collegial and collaborative manner toward other Board members. The committee operates under a written charter adopted and approved by the Board, a copy of which is available on the Funds’ website at www.nuveen.com/MutualFunds/ShareholderResources/FundGovernance.aspx. This committee is composed of Independent Board Members. The members of the Nominating and Governance Committee are Terence J. Toth, Chair, Jack B. Evans, William C. Hunter, Albin F. Moschner, John K. Nelson, Judith M. Stockdale, Carole E. Stone, Margaret L. Wolff and Robert L. Young. The number of Nominating and Governance Committee meetings of each Trust held during the calendar year ended December 31, 2019 is shown in Appendix D.
Dividend Committee. The Dividend Committee is authorized to declare distributions on each Fund’s shares including, but not limited to, regular and special dividends, capital gains and ordinary income distributions. The members of the Dividend Committee are Robert L. Young, Chair, William C. Hunter, Albin F. Moschner and Margaret L. Wolff. The number of Dividend Committee meetings of each Trust held during the calendar year ended December 31, 2019 is shown in Appendix D.
Compliance, Risk Management and Regulatory Oversight Committee. The Compliance, Risk Management and Regulatory Oversight Committee (the “Compliance Committee”) is responsible for the oversight of compliance issues, risk management and other regulatory matters affecting the Funds that are not otherwise under or within the jurisdiction of the other committees. The Board has adopted and periodically reviews policies and procedures designed to address the Funds’ compliance and risk matters. As part of its duties, the Compliance Committee: reviews the policies and procedures relating to compliance matters and recommends modifications thereto as necessary or appropriate to the full Board; develops new policies and procedures as new regulatory matters affecting the Funds arise from time to time; evaluates or considers any comments or reports from examinations from regulatory authorities and responses thereto; and performs any special reviews, investigations or other oversight responsibilities relating to risk management, compliance and/or regulatory matters as requested by the Board.
In addition, the Compliance Committee is responsible for risk oversight, including, but not limited to, the oversight of risks related to investments and operations. Such risks include, among other things, exposures to: particular issuers, market sectors, or types of securities; risks
related to product structure elements, such as leverage; and techniques that may be used to address those risks, such as hedging and swaps. In assessing issues brought to the Compliance Committee’s attention or in reviewing a particular policy, procedure, investment technique or strategy, the Compliance Committee evaluates the risks to the Funds in adopting a particular approach or resolution compared to the anticipated benefits to the Funds and their shareholders. In fulfilling its obligations, the Compliance Committee meets on a quarterly basis, and at least once a year in person. The Compliance Committee receives written and oral reports from the Funds’ CCO and meets privately with the CCO at each of its quarterly meetings. The CCO also provides an annual report to the full Board regarding the operations of the Funds’ and other service providers’ compliance programs as well as any recommendations for modifications thereto. The Compliance Committee also receives reports from the investment services group of Nuveen regarding various investment risks. Notwithstanding the foregoing, the full Board also participates in discussions with management regarding certain matters relating to investment risk, such as the use of leverage and hedging. The investment services group therefore also reports to the full Board at its quarterly meetings regarding, among other things, Fund performance and the various drivers of such performance. Accordingly, the Board directly and/or in conjunction with the Compliance Committee oversees matters relating to investment risks. Matters not addressed at the committee level are addressed directly by the full Board. The Compliance Committee operates under a written charter adopted and approved by the Board. The members of the Compliance Committee are John K. Nelson, Chair, Albin F. Moschner, Terence J. Toth, Margaret L. Wolff and Robert L. Young. The number of Compliance Committee meetings of each Trust held during the calendar year ended December 31, 2019 is shown in Appendix D.
Open-End Funds Committee. The Open-End Funds Committee is responsible for assisting the Board in the oversight and monitoring of the Nuveen funds that are registered as open-end management investment companies (“Open-End Funds”). The committee may review and evaluate matters related to the formation and the initial presentation to the Board of any new Open-End Fund and may review and evaluate any matters relating to any existing Open-End Fund. The committee operates under a written charter adopted and approved by the Board. The members of the Open-End Funds Committee are Albin F. Moschner, Chair, William C. Hunter, John K. Nelson, Judith M. Stockdale and Terence J. Toth. The number of Open-End Funds Committee meetings of each Trust held during the calendar year ended December 31, 2019 is shown in Appendix D.
Number of Board Meetings. The number of regular quarterly meetings and special meetings held by the Board of each Trust held during the calendar year ended December 31, 2019 is shown in Appendix D.
Board Member Attendance. During the calendar year ended December 31, 2019, each Board Member attended 75% or more of each Fund’s Board meetings and the committee meetings (if a member thereof) held during the period for which such Board Member was a Board Member. The policy of the Board relating to attendance by Board Members at shareholder meetings of the Funds is posted on the Funds’ website at www.nuveen.com/en-us/products/fund-governance.
Board Diversification and Board Member Qualifications
In determining that a particular nominee was qualified to serve on the Board, the Board considered each nominee’s background, skills, experience and other attributes in light of the
composition of the Board with no particular factor controlling. The Board believes that Board Members need to have the ability to critically review, evaluate, question and discuss information provided to them, and to interact effectively with Fund management, service providers and counsel, in order to exercise effective business judgment in the performance of their duties, and the Board believes each nominee satisfies this standard. An effective Board Member may achieve this ability through his or her educational background; business, professional training or practice; public service or academic positions; experience from service as a board member or executive of investment funds, public companies or significant private or not-for-profit entities or other organizations; and/or other life experiences. Accordingly, set forth below is a summary of the experiences, qualifications, attributes, and skills that led to the conclusion, as of the date of this document, that each nominee should serve as a Board Member. References to the experiences, qualifications, attributes and skills of each nominee are pursuant to requirements of the Securities and Exchange Commission, do not constitute holding out the Board or any nominee as having any special expertise or experience and shall not impose any greater responsibility or liability on any such person or on the Board by reason thereof.
Jack B. Evans. Mr. Evans has served as Chairman (since 2019) and President (1996-2019) of the Hall-Perrine Foundation, a private philanthropic corporation. Mr. Evans was formerly President and Chief Operating Officer of the SCI Financial Group, Inc., a regional financial services firm headquartered in Cedar Rapids, Iowa. He was a member of the Board of the Federal Reserve Bank of Chicago as well as a Director of Alliant Energy and President Pro Tem of the Board of Regents for the State of Iowa University System. Mr. Evans is Chairman of the Board of United Fire Group, sits on the Board of the American Board of Orthopaedic Surgery as a Public Member Director (since 2015) and is a Life Trustee of Coe College. He has a Bachelor of Arts from Coe College and a M.B.A. from the University of Iowa.
William C. Hunter. Dr. Hunter became Dean Emeritus of the Henry B. Tippie College of Business at the University of Iowa in 2012, after having served as Dean of the College since July 2006. He had been Dean and Distinguished Professor of Finance at the University of Connecticut School of Business from 2003 to 2006. From 1995 to 2003, he was the Senior Vice President and Director of Research at the Federal Reserve Bank of Chicago. He has held faculty positions at Emory University, Atlanta University, the University of Georgia and Northwestern University. He has consulted with numerous foreign central banks and official agencies in Europe, Asia, Central America and South America. He has been a Director of Wellmark, Inc. since 2009. He is a past Director (2005-2015) and a past President (2010-2014) of Beta Gamma Sigma, Inc., The International Business Honor Society and a past Director (2004-2018) of the Xerox Corporation.
Albin F. Moschner. Mr. Moschner is a consultant in the wireless industry and, in July 2012, founded Northcroft Partners, LLC, a management consulting firm that provides operational, management and governance solutions. Prior to founding Northcroft Partners, LLC, Mr. Moschner held various positions at Leap Wireless International, Inc., a provider of wireless services, where he was a consultant from February 2011 to July 2012, Chief Operating Officer from July 2008 to February 2011, and Chief Marketing Officer from August 2004 to June 2008. Before he joined Leap Wireless International, Inc., Mr. Moschner was President of the Verizon Card Services division of Verizon Communications, Inc. from 2000 to 2003, and President of One Point Services at One Point Communications from 1999 to 2000. Mr. Moschner also served at Zenith Electronics Corporation as Director, President and Chief
Executive Officer from 1995 to 1996, and as Director, President and Chief Operating Officer from 1994 to 1995. Mr. Moschner has been Chairman of the Board (2019) and a member of the Board of Directors (2012-2019) of USA Technologies, Inc. and, from 1996 until 2016, he was a member of the Board of Directors of Wintrust Financial Corporation. In addition, he is emeritus (since 2018) of the Advisory Boards of the Kellogg School of Management (1995-2018) and the Archdiocese of Chicago Financial Council (2012-2018). Mr. Moschner received a Bachelor of Engineering degree in Electrical Engineering from The City College of New York in 1974 and a Master of Science degree in Electrical Engineering from Syracuse University in 1979.
John K. Nelson. Mr. Nelson is on the Board of Directors of Core12, LLC (since 2008), a private firm that develops branding, marketing, and communications strategies for clients. Mr. Nelson has extensive experience in global banking and markets, having served in several senior executive positions with ABN AMRO Holdings N.V. and its affiliated entities and predecessors, including LaSalle Bank Corporation from 1996 to 2008, ultimately serving as Chief Executive Officer of ABN AMRO N.V. North America. During his tenure at the bank, he also served as Global Head of its Financial Markets Division, which encompassed the bank’s Currency, Commodity, Fixed Income, Emerging Markets, and Derivatives businesses. He was a member of the Foreign Exchange Committee of the Federal Reserve Bank of the United States and during his tenure with ABN AMRO served as the bank’s representative on various committees of The Bank of Canada, European Central Bank, and The Bank of England. Mr. Nelson previously served as a senior, external advisor to the financial services practice of Deloitte Consulting LLP (2012-2014). At Fordham University, he served as a director of The President’s Council (2010-2019) and previously served as a director of The Curran Center for Catholic American Studies (2009-2018). He served as a trustee and Chairman of The Board of Trustees of Marian University (2011-2013). Mr. Nelson is a graduate of Fordham University and holds a BA in Economics (1984) and an MBA in Finance (1991).
Judith M. Stockdale. Ms. Stockdale retired in 2012 as Executive Director of the Gaylord and Dorothy Donnelley Foundation, a private foundation working in land conservation and artistic vitality in the Chicago region and the Low Country of South Carolina. She is currently a board member of the Land Trust Alliance (since 2013). Her previous positions include Executive Director of the Great Lakes Protection Fund, Executive Director of Openlands, and Senior Staff Associate at the Chicago Community Trust. She has served on the Advisory Councils of the National Zoological Park, the Governor’s Science Advisory Council (Illinois), and the Nancy Ryerson Ranney Leadership Grants Program. She has served on the boards of Brushwood Center, Forefront f/k/a Donors Forum and the U.S. Endowment for Forestry and Communities. Ms. Stockdale, a native of the United Kingdom, has a Bachelor of Science degree in geography from the University of Durham (UK) and a Master of Forest Science degree from Yale University.
Carole E. Stone. Ms. Stone recently retired from the Board of Directors of the Cboe Global Markets, Inc. (formerly, CBOE Holdings, Inc.), having served from 2010-2020. She previously served on the Boards of the Chicago Board Options Exchange and C2 Options Exchange, Incorporated. Ms. Stone retired from the New York State Division of the Budget in 2004, having served as its Director for nearly five years and as Deputy Director from 1995 through 1999. She has also served as the Chair of the New York Racing Association Oversight Board, as a Commissioner on the New York State Commission on Public Authority Reform and as a member of the Boards of Directors of several New York State public authorities. Ms. Stone has a Bachelor of Arts from Skidmore College in Business Administration.
Matthew Thornton III. Mr. Thornton has over 40 years of broad leadership and operating experience from his career with FedEx Corporation (“FedEx”), which, through its portfolio of companies, provides transportation, e-commerce and business services. In November 2019, Mr. Thornton retired as Executive Vice President and Chief Operating Officer of FedEx Freight Corporation (FedEx Freight), a subsidiary of FedEx, where, from May 2018 until his retirement, he had been responsible for day-to-day operations, strategic guidance, modernization of freight operations and delivering innovative customer solutions. From September 2006 to May 2018, Mr. Thornton served as Senior Vice President, U.S. Operations at Federal Express Corporation (FedEx Express), a subsidiary of FedEx. Prior to September 2006, Mr. Thornton held a range of positions of increasing responsibility with FedEx, including various management positions. In addition, Mr. Thornton currently (since 2014) serves on the Board of Directors of The Sherwin-Williams Company, where he is a member of the Audit Committee and the Nominating and Corporate Governance Committee. Formerly (2012-2018), he was a member of the Board of Directors of Safe Kids Worldwide^®^, a non-profit organization dedicated to the prevention of childhood injuries. Mr. Thornton is a member (since 2014) of the Executive Leadership Council (ELC), the nation’s premier organization of global black senior executives. He is also a member of the National Association of Corporate Directors (NACD). Mr. Thornton has been recognized by Black Enterprise on its 2017 list of the Most Powerful Executives in Corporate America and by Ebony on its 2016 Power 100 list of the world’s most influential and inspiring African Americans. Mr. Thornton received a B.B.A. degree from the University of Memphis in 1980 and an M.B.A. from the University of Tennessee in 2001.
Terence J. Toth. Mr. Toth, the Nuveen funds’ Independent Chair, was a Co-Founding Partner of Promus Capital (2008-2017). From 2010 to 2019, he was a Director of Fulcrum IT Service LLC and from 2012 to 2016, he was a Director of LogicMark LLC. From 2008 to 2013, he was a Director of Legal & General Investment Management America, Inc. From 2004 to 2007, he was Chief Executive Officer and President of Northern Trust Global Investments, and Executive Vice President of Quantitative Management & Securities Lending from 2000 to 2004. He also formerly served on the Board of the Northern Trust Mutual Funds. He joined Northern Trust in 1994 after serving as Managing Director and Head of Global Securities Lending at Bankers Trust (1986 to 1994) and Head of Government Trading and Cash Collateral Investment at Northern Trust from 1982 to 1986. He currently serves on the Board of Quality Control Corporation (since 2012) and Catalyst Schools of Chicago (since 2008). He is on the Mather Foundation Board (since 2012) and is the Chair of its Investment Committee. Mr. Toth graduated with a Bachelor of Science degree from the University of Illinois, and received his M.B.A. from New York University. In 2005, he graduated from the CEO Perspectives Program at Northwestern University.
Margaret L. Wolff. Ms. Wolff retired from Skadden, Arps, Slate, Meagher & Flom LLP in 2014 after more than 30 years of providing client service in the Mergers & Acquisitions Group. During her legal career, Ms. Wolff devoted significant time to advising boards and senior management on U.S. and international corporate, securities, regulatory and strategic matters, including governance, shareholder, fiduciary, operational and management issues. From 2013 to 2017, she was a Board member of Travelers Insurance Company of Canada and The Dominion of Canada General Insurance Company (each of which is a part of Travelers Canada, the Canadian operation of The Travelers Companies, Inc.). Ms. Wolff has been a trustee of New York-Presbyterian Hospital since 2005 and, since 2004, she has served as a trustee of The John A. Hartford Foundation (a philanthropy dedicated to improving the care of older
adults) where she currently is the Chair. From 2005 to 2015, she was a trustee of Mt. Holyoke College and served as Vice Chair of the Board from 2011 to 2015. Ms. Wolff received her Bachelor of Arts from Mt. Holyoke College and her Juris Doctor from Case Western Reserve University School of Law.
Robert L. Young. Mr. Young has more than 30 years of experience in the investment management industry. From 1997 to 2017, he held various positions with J.P. Morgan Investment Management Inc. (“J.P. Morgan Investment”) and its affiliates (collectively, “J.P. Morgan”). Most recently, he served as Chief Operating Officer and Director of J.P. Morgan Investment (from 2010 to 2016) and as President and Principal Executive Officer of the J.P. Morgan Funds (from 2013 to 2016). As Chief Operating Officer of J.P. Morgan Investment, Mr. Young led service, administration and business platform support activities for J.P. Morgan’s domestic retail mutual fund and institutional commingled and separate account businesses, and co-led these activities for J.P. Morgan’s global retail and institutional investment management businesses. As President of the J.P. Morgan Funds, Mr. Young interacted with various service providers to these funds, facilitated the relationship between such funds and their boards, and was directly involved in establishing board agendas, addressing regulatory matters, and establishing policies and procedures. Before joining J.P. Morgan, Mr. Young, a former Certified Public Accountant (CPA), was a Senior Manager (Audit) with Deloitte & Touche LLP (formerly, Touche Ross LLP), where he was employed from 1985 to 1996. During his tenure there, he actively participated in creating, and ultimately led, the firm’s midwestern mutual fund practice. Mr. Young holds a Bachelor of Business Administration degree in Accounting from the University of Dayton and, from 2008 to 2011, he served on the Investment Committee of its Board of Trustees.
Independent Chair
Terrence J. Toth currently serves as the independent Chair of the Board. Specific responsibilities of the Chair include: (a) presiding at all meetings of the Board and of the shareholders; (b) seeing that all orders and resolutions of the Board Members are carried into effect; and (c) maintaining records of and, whenever necessary, certifying all proceedings of the Board Members and the shareholders.
The Officers
The following table sets forth information with respect to each officer of the Funds. Officers receive no compensation from the Funds. The officers are elected by the Board on an annual basis to serve until successors are elected and qualified.
| Name, Business Addressand Year of Birth | Position(s)Heldwith Funds | Length ofTime Servedwith Funds inthe FundComplex | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfolios inFund ComplexServed byOfficer | ||||
|---|---|---|---|---|---|---|---|---|
| Greg A. Bottjer<br> <br>333 West Wacker Drive Chicago, IL<br>60606<br> <br>1971 | Chief Administrative Officer | Term: Annual<br> <br><br><br><br>Length of Service: Since 2016 | Senior (since 2017) Managing Director (since 2011), formerly, Senior Vice President (2007-2010) of Nuveen Investments Holdings, Inc.; Senior (since 2017) Managing Director(since 2016) of<br>Nuveen Fund Advisors, LLC; Chartered Financial Analyst | 73 | ||||
| Mark J. Czarniecki<br> <br>901 Marquette Avenue<br><br><br>Minneapolis, MN 55402<br> <br>1979 | Vice President and Assistant Secretary | Term: Annual<br> <br><br><br><br>Length of Service: Since 2013 | Vice President and Assistant Secretary of Nuveen Securities, LLC (since 2016) and Nuveen Fund Advisors, LLC (since 2017); Vice President and Associate General Counsel of Nuveen (since<br>2013). | 155 | ||||
| Diana R. Gonzalez<br> <br>333 West Wacker Drive Chicago,<br>IL 60606<br> <br>1978 | Vice President and Assistant Secretary | Term: Annual<br> <br><br><br><br>Length of Service: Since 2017 | Vice President and Assistant Secretary of Nuveen Fund Advisors, LLC (since 2017); Vice President and Associate General Counsel of Nuveen (since 2017); Associate General Counsel of Jackson<br>National Asset Management (2012-2017). | 155 | ||||
| Nathaniel T. Jones<br> <br>333 West Wacker Drive Chicago,<br>IL 60606<br> <br>1979 | Vice President and Treasurer | Term: Annual<br> <br><br><br><br>Length of Service: Since 2016 | Managing Director (since 2017), formerly, Senior Vice President (2016-2017), formerly, Vice President (2011-2016) of Nuveen; Managing Director (since 2015) of Nuveen Fund Advisors, LLC;<br>Chartered Financial Analyst. | 155 | ||||
| Name, Business Addressand Year of Birth | Position(s)Heldwith Funds | Length ofTime Servedwith Funds inthe FundComplex | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfolios inFund ComplexServed byOfficer | ||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Walter M. Kelly<br> <br>333 West Wacker Drive Chicago, IL<br>60606<br> <br>1970 | Chief Compliance Officer and Vice President | Term: Annual<br> <br><br><br><br>Length of Service: Since 2004 | Managing Director (since 2017), formerly, Senior Vice President (2008-2017) of Nuveen. | 155 | ||||
| Tina M. Lazar<br> <br>333 West Wacker Drive Chicago, IL<br>60606<br> <br>1961 | Vice President | Term: Annual<br> <br><br><br><br>Length of Service: Since 2000 | Managing Director (since 2017), formerly, Senior Vice President (2014-2017) of Nuveen Securities, LLC. | 155 | ||||
| Brian J. Lockhart<br> <br>333 West Wacker Drive Chicago,<br>IL 60606<br> <br>1974 | Vice President | Term: Annual<br> <br><br><br><br>Length of Service: Since 2019 | Managing Director (since 2019) of Nuveen Fund Advisors, LLC; Managing Director (since 2017), formerly, Vice President (2010-2017) of Nuveen; Head of Investment Oversight (since 2017),<br>formerly, Team Leader of Manager Oversight (2015-2017); Chartered Financial Analyst and Certified Financial Risk Manager. | 155 | ||||
| Jacques M. Longerstaey<br> <br>333 West Wacker Drive<br>Chicago, IL 60606<br> <br>1963 | Vice President | Term: Annual<br> <br><br><br><br>Length of Service: Since 2019 | Senior Managing Director, Chief Risk Officer, Nuveen, LLC (since May 2019); Senior Managing Director (since May 2019) of Nuveen Fund Advisors, LLC; formerly, Chief Investment and Model Risk<br>Officer, Wealth & Investment Management Division, Wells Fargo Bank (NA) (from 2013–2019). | 155 | ||||
| Name, Business Addressand Year of Birth | Position(s)Heldwith Funds | Length ofTime Servedwith Funds inthe FundComplex | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfolios inFund ComplexServed byOfficer | ||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Kevin J. McCarthy<br> <br>333 West Wacker Drive Chicago,<br>IL 60606<br> <br>1966 | Vice President and Assistant Secretary | Term: Annual<br> <br><br><br><br>Length of Service: Since 2007 | Senior Managing Director (since 2017) and Secretary and General Counsel (since 2016) of Nuveen Investments, Inc., formerly, Executive Vice President (2016-2017), Managing Director and<br>Assistant Secretary (2008-2016); Senior Managing Director (since 2017) and Assistant Secretary (since 2008) of Nuveen Securities, LLC, formerly, Executive Vice President (2016-2017) and Managing Director (2008-2016); Senior Managing Director (since<br>2017), Secretary (since 2016) and Co-General Counsel (since 2011) of Nuveen Fund Advisors, LLC, formerly, Executive Vice President (2016-2017), Managing Director (2008-2016) and Assistant Secretary<br>(2007-2016); Senior Managing Director (since 2017), Secretary (since 2016) and Associate General Counsel (since 2011) of Nuveen Asset Management, LLC, formerly, Executive Vice President (2016-2017) and Managing Director and Assistant Secretary<br>(2011-2016); Vice President (since 2007) and Secretary (since 2016), formerly, Assistant Secretary, of NWQ Investment Management Company, LLC, Symphony Asset Management LLC, Santa Barbara Asset Management, LLC, and Winslow Capital Management, LLC<br>(since 2010); Senior Managing Director (since 2017) and Secretary (since 2016) of Nuveen Alternative Investments, LLC. | 155 | ||||
| Name, Business Addressand Year of Birth | Position(s)Heldwith Funds | Length ofTime Servedwith Funds inthe FundComplex | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfolios inFund ComplexServed byOfficer | ||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Jon Scott Meissner<br> <br>8500 Andrew Carnegie<br>Blvd.<br> <br>Charlotte, NC 28262<br> <br>1973 | Vice President and Assistant Secretary | Term: Annual<br> <br><br><br><br>Length of Service: Since 2019 | Managing Director of Mutual Fund Tax and Financial Reporting groups at Nuveen (since 2017); Managing Director (since 2019) of Nuveen Fund Advisors, LLC; Senior Director of Teachers Advisors,<br>LLC and TIAA-CREF Investment Management, LLC(since 2016); Senior Director (since 2015) Mutual Fund Taxation to the TIAA-CREF Funds, the TIAA-CREF Life Funds, the TIAA Separate Account VA-1 and the CREF<br>Accounts; has held various positions with TIAA since 2004. | 155 | ||||
| Deann D. Morgan<br> <br>100 Park Avenue<br><br><br>New York, NY 10016<br> <br>1969 | Vice President | Term: Annual<br> <br><br><br><br>Length of Service: Since 2020 | Executive Vice President, Global Head of Product at Nuveen (since November 2019); Co-Chief Executive Officer of Nuveen Securities, LLC (since March<br>2020); Managing Member MDR Collaboratory LLC (since 2018); Managing Director, Head of Wealth Management Product Structuring & COO Multi Asset Investing, The Blackstone Group (2013-2017). | 155 | ||||
| Name, Business Addressand Year of Birth | Position(s)Heldwith Funds | Length ofTime Servedwith Funds inthe FundComplex | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfolios inFund ComplexServed byOfficer | ||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Christopher M. Rohrbacher<br> <br>333 West Wacker Drive<br>Chicago, IL 60606<br> <br>1971 | Vice President and Secretary | Term: Annual<br> <br><br><br><br>Length of Service: Since 2008 | Managing Director (since 2017), formerly, Senior Vice President (2016-2017), Co-General Counsel (since 2019) and Assistant Secretary (since 2016) of<br>Nuveen Fund Advisors, LLC; Managing Director (since 2017) of Nuveen Securities, LLC; Managing Director (since 2017), formerly, Senior Vice President (2012-2017) and Associate General Counsel (since 2016), formerly, Assistant General Counsel<br>(2008-2016) of Nuveen. | 155 | ||||
| William A. Siffermann<br> <br>333 West Wacker Drive<br>Chicago, IL 60606<br> <br>1975 | Vice President | Term: Annual<br> <br><br><br><br>Length of Service: Since 2017 | Managing Director (since 2017), formerly Senior Vice President (2016-2017) and Vice President (2011-2016) of Nuveen. | 155 | ||||
| E. Scott Wickerham<br> <br>TIAA<br><br><br>730 Third Avenue<br> <br>New York, NY 10017<br><br><br>1973 | Vice President and Controller | Term: Annual<br> <br><br><br><br>Length of Service: Since 2019 | Senior Managing Director, Head of Fund Administration at Nuveen, LLC (since 2019), formerly, Managing Director; Senior Managing Director (since 2019), Nuveen Fund Advisors, LLC;<br>Principal Financial Officer, Principal Accounting Officer and Treasurer (since 2017) to the TIAA-CREF Funds, the TIAA-CREF Life Funds, the TIAA Separate Account VA-1 and the Treasurer (since 2017) to the CREF<br>Accounts; Senior Director, TIAA-CREF Fund Administration (2014-2015); has held various positions with TIAA since 2006. | 155 | ||||
| Name, Business Addressand Year of Birth | Position(s)Heldwith Funds | Length ofTime Servedwith Funds inthe FundComplex | Principal Occupation(s)<br><br><br>During Past Five Years | Number ofPortfolios inFund ComplexServed byOfficer | ||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Gifford R. Zimmerman<br> <br>333 West Wacker Drive Chicago, IL 60606<br> <br>1956 | Vice President and Assistant Secretary | Term: Annual<br><br><br><br> <br>Length of Service: Since 1996 | Managing Director (since 2002) and Assistant Secretary of Nuveen Securities, LLC; Managing Director (since 2002), Assistant Secretary (since 1997) and Co-General Counsel (since 2011) of Nuveen Fund Advisors, LLC; Managing Director, Assistant Secretary and Associate General Counsel of Nuveen Asset Management, LLC (since 2011); Managing Director (since 2004) and<br>Assistant Secretary (since 1994) of Nuveen Investments, Inc.; Vice President and Assistant Secretary of NWQ Investment Management Company, LLC (since 2002); Vice President (since 2017), Managing Director (2003-2017) and Assistant Secretary (since<br>2003) of Symphony Asset Management LLC; Vice President and Assistant Secretary of Santa Barbara Asset Management, LLC (since 2006) and Winslow Capital Management, LLC (since 2010); Chartered Financial Analyst. | 155 |
Independent Registered Public Accounting Firm
The Independent Board Members have unanimously selected PricewaterhouseCoopers LLP (“PwC”) or KPMG LLP (“KPMG”) as the independent registered public accounting firm to audit the books and records of each Fund for each Fund’s current fiscal year. Each Fund’s independent registered public accounting firm is identified on Appendix E.
A representative of each of PwC and KPMG will be present at the Meeting to make a statement, if such representative so desires, and to respond to shareholders’ questions. Each of
PwC and KPMG has informed each applicable Fund that it has no direct or indirect material financial interest in the Funds, Nuveen, the Adviser or any other investment company sponsored by Nuveen.
Audit and Related Fees
The tables set forth in Appendix F provide the aggregate fees billed during each Fund’s last two fiscal years by each Fund’s independent registered public accounting firm for engagements directly related to the operations and financial reporting of each Fund including those relating (i) to each Fund for services provided to the Fund and (ii) to the Adviser and certain entities controlling, controlled by, or under common control with the Adviser that provide ongoing services to each Fund (“Adviser Entities”).
Audit Committee Pre-Approval Policies and Procedures
Generally, the Audit Committee must approve each Fund’s independent registered public accounting firm’s engagements (i) with the Fund for audit or non-audit services and (ii) with the Adviser and Adviser Entities for non-audit services if the engagement relates directly to the operations and financial reporting of the Fund. Regarding tax and research projects conducted by the independent registered public accounting firm for each Fund and the Adviser and Adviser Entities (with respect to the operations and financial reporting of each Fund), such engagements will be (i) pre-approved by the Audit Committee if they are expected to be for amounts greater than $10,000; (ii) reported to the Audit Committee chair for his verbal approval prior to engagement if they are expected to be for amounts under $10,000 but greater than $5,000; and (iii) reported to the Audit Committee at the next Audit Committee meeting if they are expected to be for an amount under $5,000.
The Audit Committee has approved in advance all audit services and non-audit services that the independent registered public accounting firms provided to each Fund and to the Adviser and Adviser Entities (with respect to the operations and financial reporting of each Fund). None of the services rendered by the independent registered public accounting firms to each Fund or the Adviser or Adviser Entities were pre-approved by the Audit Committee pursuant to the pre-approval exception under Rule 2.01(c)(7)(i)(C) or Rule 2.01(c)(7)(ii) of Regulation S-X.
Shareholder Approval
For each Trust, the affirmative vote of a plurality of the shares present and entitled to vote at the Meeting will be required to elect the Board Members of that Trust. This means that the nominees receiving the highest number of affirmative votes cast at the Meeting will be elected to serve as Board Members. For purposes of determining the approval of the proposal to elect nominees for each Trust, abstentions and broker non-votes will have no effect on the election of Board Members.
The Board unanimouslyrecommends that shareholders of each Fund vote FOR the election of each nominee of the Board.
PROPOSAL 2: REVISION TO FUNDAMENTAL INVESTMENT POLICY
( Nuveen NWQ Flexible Income Fund only )
The 1940 Act requires that funds adopt certain investment policies that can only be changed by a vote of shareholders. These policies are considered “fundamental.” A fund must adopt fundamental policies related to the classifications and sub-classifications under the 1940 Act under which the fund may operate; borrowing money; the issuance of senior securities; engaging in the business of underwriting securities issued by other persons; concentrating investments in a particular industry or group of industries; the purchase and sale of real estate and commodities; and making loans to other persons. These policies are commonly referred to as “fundamental investment restrictions.” A fund may also elect to designate other policies as fundamental.
Proposed Revision toFundamental Policy Related to Industry Concentration
Current Fundamental Investment Policy
Nuveen NWQ Flexible Income Fund (the “Fund”) currently has the following fundamental investment policy, which can only be changed by a vote of the Fund’s shareholders:
The Fund will invest a minimum of 25% of its assets in securities of financial services companies.
Proposed Fundamental Investment Policy
The Board has proposed the following fundamental investment policy:
| The Fund will not concentrate its investments in a particular<br>industry. |
|---|
The Fund commenced operations in 2009 as the Nuveen NWQ Preferred Securities Fund with a policy to invest at least 80% of its net assets in preferred securities. Consistent with that investment policy, the Fund adopted a fundamental investment policy to concentrate in securities of financial services companies, as financial services companies were a significant issuer of preferred securities.
In 2012, the Fund repositioned its investment strategy to its current flexible income strategy, pursuant to which the Fund invests at least 80% of its net assets in income producing securities. While the Fund has maintained significant exposure to financial services companies, over the past several years the Fund has gradually reduced its exposure to such companies. The following table outlines the Fund’s exposure to financial services companies from 2012 through 2019.
| As of December 31, | ||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | |||||||
| 76.2% | 75.7% | 66.4% | 40.1% | 33.5% | 30.5% | 27.0% | 25.2% |
The Board believes that eliminating the Fund’s policy to concentrate in securities of financial services companies is consistent with the Fund’s flexible income strategy and is appropriate
for the longer-term strategy of the Fund. This change will provide the Fund with the ability to decrease allocations to financial services companies and increase allocations to sectors and industries outside of financial services where the investment team has stronger conviction and a more optimistic outlook.
If the proposed policy change is approved, the Fund will no longer be required to concentrate its investments in financial services companies and will not be permitted to concentrate (i.e., invest more than 25% of its assets) in financial services companies or any other particular industry after the policy change is implemented.
The Board recommends that you vote FOR this proposal.
Shareholder Approval
The above proposed revision to the Fund’s fundamental investment policy must be approved by a vote of a majority of the outstanding voting securities of the Fund, with all classes of shares voting together as a single class. The “vote of a majority of the outstanding voting securities” is defined in the 1940 Act as the lesser of the vote of (i) 67% or more of the shares of the Fund entitled to vote thereon present at the meeting if the holders of more than 50% of such outstanding shares are present in person or represented by proxy; or (ii) more than 50% of such outstanding shares of the Fund entitled to vote thereon. For purposes of determining the approval of the above proposal, abstentions and broker non-votes will have the same effect as shares voted against the proposal.
If approved by shareholders of the Fund, the amended and restated fundamental investment policy will become effective when the Fund’s Statement of Additional Information (“SAI”) is revised or supplemented to reflect the amendment. If the proposed amendment is not approved by the Fund’s shareholders, the current fundamental investment policy will remain in effect and the portfolio managers will continue to manage the Fund pursuant to its applicable investment policies, parameters and restrictions and in light of prevailing market and economic conditions.
ADDITIONAL INFORMATION
Attending the Meeting
In light of public health concerns regarding the ongoing coronavirus disease 2019 (COVID-19) pandemic, the Meeting will be held in a virtual meeting format only. Shareholders will not be able to attend the Meeting in person. Shareholders may participate in the Meeting at www.meetingcenter.io/251819459 by entering the control number found on the shareholder’s proxy card and password NUV2020 at the date and time of the Meeting. Shareholders may vote during the Meeting by following the instructions that will be available on the Meeting website during the Meeting.
If your shares are registered in your name, you do not need to register to attend the Meeting virtually on the Internet. If you hold your shares through an intermediary, such as a bank or broker, you must register in advance to attend the Meeting virtually on the Internet.
To register to attend the Meeting online by webcast, you must submit proof of your proxy power (legal proxy) reflecting your Fund holdings along with your name and email address to [email protected]. You must contact the bank or broker who holds your shares to obtain your legal proxy. Requests for registration must be labeled as “Legal Proxy” and be received no later than 5:00 p.m., Eastern Time, three business days prior to the Meeting date.
You will receive a confirmation of your registration by email after we receive your registration materials.
Requests for registration should be directed to us by emailing an image of your legal proxy to [email protected].
Principal Shareholders
The persons who held of record more than 5% of any class of shares of each Fund, as of the Record Date, are set forth on Appendix H. To the knowledge of the Funds, as of the Record Date, no shareholder owned, beneficially or of record, more than 5% of any class of shares of any Fund, except as provided in Appendix H.
Information About the Adviser and Distributor
The Adviser
Nuveen Fund Advisors, LLC (“Nuveen Fund Advisors”), the Funds’ investment adviser, offers advisory and investment management services to a broad range of clients, including investment companies and other pooled investment vehicles. Nuveen Fund Advisors has overall responsibility for management of the Funds, oversees the management of the Funds’ portfolios, manages the Funds’ business affairs and provides certain clerical, bookkeeping and other administrative services. Nuveen Fund Advisors is located at 333 West Wacker Drive, Chicago, Illinois 60606. Nuveen Fund Advisors is a subsidiary of Nuveen, LLC, the investment management arm of Teachers Insurance and Annuity Association of America (“TIAA”). TIAA is a life insurance company founded in 1918 by the Carnegie Foundation for the Advancement of
Teaching and is the companion organization of College Retirement Equities Fund. As of June 30, 2020, Nuveen, LLC managed approximately $1.05 trillion in assets, of which approximately $144.4 billion was managed by Nuveen Fund Advisors.
Nuveen Fund Advisors has selected one or more sub-advisers to serve as sub-adviser to each Fund. The sub-advisers manage the investment of the Funds’ assets on a discretionary basis, subject to the supervision of Nuveen Fund Advisors. See Appendix G for additional information regarding each Fund’s sub-adviser.
The Distributor
Nuveen Securities, LLC, 333 West Wacker Drive, Chicago, Illinois 60606, serves as the distributor for the Funds’ shares.
Shareholder Proposals
The Trusts generally do not hold annual shareholders’ meetings, but will hold special meetings as required or deemed desirable. Because the Trusts do not hold regular shareholders’ meetings, the anticipated date of the next special shareholders’ meeting (if any) cannot be provided. Shareholders wishing to submit proposals for inclusion in a proxy statement for a subsequent meeting of shareholders of a Trust should send their written proposal to such Trust at 333 West Wacker Drive, Chicago, Illinois 60606. Proposals must be received a reasonable time before the Trust begins to print and mail its proxy materials for the meeting.
Shareholder Communications
Fund shareholders who want to communicate with the Board or any individual Board Member should write to the attention of William Siffermann, Manager of Fund Board Relations, Nuveen, 333 West Wacker Drive, Chicago, Illinois 60606. The letter should indicate that you are a Fund shareholder and note the Fund or Funds that you own. If the communication is intended for a specific Board Member and so indicates it will be sent only to that Board Member. If a communication does not indicate a specific Board Member, it will be sent to the Independent Chair and the outside counsel to the Independent Board Members for further distribution as deemed appropriate by such persons.
Expenses of Proxy Solicitation
The cost of preparing, printing and mailing the enclosed proxy, accompanying notice and proxy statement and all other costs in connection with the solicitation of proxies will be paid by the Funds (allocated among the Funds based on relative net assets). Solicitation may be made by letter or telephone by officers or employees of Nuveen or the Adviser, or by dealers and their representatives. The Funds have engaged Computershare Fund Services to assist in the solicitation of proxies. No solicitation expenses are expected for any Fund in connection with Proposal
- An estimated cost of $7,500 plus reasonable expenses is expected for Nuveen NWQ Flexible Income Fund in connection with Proposal 2.
Fiscal Year
The fiscal year end of each Fund is set forth on Appendix A.
Shareholder Report Delivery
Shareholder reports will be sent to shareholders of record of each Fund following the applicable period. Each Fund will furnish, without charge, a copy of its annual report and/or semi-annual report as availableupon request. Such written or oral requests should be directed to such Fund at 333 West Wacker Drive, Chicago, Illinois 60606 or by calling1-800-257-8787.
Please note that only one annual report, semi-annual report or proxy statement may be delivered to two or more shareholders of a Fund who share an address, unless the Fund has received instructions to the contrary. To request a separate copy of an annual report, semi-annual report or proxy statement, or for instructions as to how to request a separate copy of such documents or as to how to request a single copy if multiple copies of such documents are received, shareholders should contact the applicable Fund at the address and phone number set forth above.
Important Notice Regarding the Availability of Proxy Materials for the ShareholderMeeting To Be Held on November 16, 2020
Each Fund’s proxy statement is available at www.nuveenproxy.com/Mutual-Fund-Proxy-Information/.For more information, shareholders may also contact the applicable Fund at the address and phone number set forth above.
General
Management does not intend to present and does not have reason to believe that any other items of business will be presented at the Meeting. However, if other matters are properly presented to the Meeting for a vote, the proxies will be voted by the persons acting under the proxies upon such matters in accordance with their judgment of the best interests of the Fund.
A list of shareholders entitled to be present and to vote at the Meeting will be available at the offices of the Funds, 333 West Wacker Drive, Chicago, Illinois, for inspection by any shareholder during regular business hours beginning ten days prior to the date of the Meeting.
Failure of a quorum to be present at the Meeting will necessitate adjournment and may subject your Fund to additional expense. The persons named in the enclosed proxy may also move for an adjournment of the Meeting to permit further solicitation of proxies with respect to any proposal if they determine that adjournment and further solicitation is reasonable and in the best interests of the Funds. Under each Fund’s By-Laws, an adjournment of a meeting with respect to a matter requires the affirmative vote of a majority of the shares entitled to vote on the matter present in person (virtually) or represented by proxy at the Meeting. The persons named in the enclosed proxy card will vote in favor of any such adjournment if they believe the adjournment and additional proxy solicitation are reasonable and in the best interests of shareholders.
IF YOU CANNOT BE PRESENT ATTHE MEETING (VIRTUALLY), YOU ARE REQUESTED TO FILL IN, SIGN AND RETURN THE ENCLOSED PROXY PROMPTLY. NO POSTAGE IS REQUIRED IF MAILED IN THE UNITED STATES.
Christopher M. Rohrbacher
Vice President and Secretary
September 22, 2020
Appendix A
FUND INFORMATION
| Shares of Each Class Outstanding as of the Record Date | ||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Fund Name | Abbreviated Fund Name | Fiscal YearEnd | Class A | Class C | Class R3 | Class R6 | Class I | |||||||||||||||||||
| Nuveen Investment Trust | ||||||||||||||||||||||||||
| Nuveen Equity Market Neutral Fund | Equity Market Neutral Fund | 8/31 | 677,505 | 248,687 | — | — | 10,320,682 | |||||||||||||||||||
| Nuveen Large Cap Core Fund | Large Cap Core Fund | 8/31 | 2,518,921 | 2,084,673 | — | 59,252 | 8,610,438 | |||||||||||||||||||
| Nuveen Large Cap Growth Fund | Large Cap Growth Fund | 8/31 | 3,842,748 | 864,139 | — | 37,569 | 3,110,664 | |||||||||||||||||||
| Nuveen Large Cap Value Fund | Large Cap Value Fund | 8/31 | 8,858,896 | 430,446 | 5,887 | 9,140 | 3,117,147 | |||||||||||||||||||
| Nuveen NWQ Global Equity Income Fund | NWQ Global Equity Income Fund | 6/30 | 3,368,836 | 490,571 | 22,675 | — | 1,803,960 | |||||||||||||||||||
| Nuveen NWQ Large-Cap Value Fund | NWQ Large-Cap Value Fund | 6/30 | 925,829 | 524,869 | 17,694 | — | 3,109,773 | |||||||||||||||||||
| Nuveen NWQ Multi-Cap Value Fund | NWQ Multi-Cap Value Fund | 6/30 | 1,061,170 | 45,621 | — | — | 850,028 | |||||||||||||||||||
| Nuveen NWQ Small/Mid-Cap Value Fund | NWQ Small/Mid-Cap Value Fund | 6/30 | 115,595 | 33,555 | 10,069 | 407,033 | 515,376 | |||||||||||||||||||
| Nuveen NWQ Small-Cap Value Fund | NWQ Small-Cap Value Fund | 6/30 | 649,743 | 233,510 | 56,691 | 138,460 | 4,183,062 | |||||||||||||||||||
| Nuveen Investment Trust II | ||||||||||||||||||||||||||
| Nuveen Emerging Markets Equity Fund | Emerging Markets Equity Fund | 7/31 | 10,325 | 1,410 | — | 496,250 | 14,927 | |||||||||||||||||||
| Nuveen Equity Long/Short Fund | Equity Long/Short Fund | 8/31 | 792,915 | 339,041 | — | — | 2,995,477 | |||||||||||||||||||
| Nuveen International Growth Fund | International Growth Fund | 7/31 | 870,899 | 192,099 | 12,939 | 8,735 | 5,048,468 | |||||||||||||||||||
| Nuveen NWQ International Value Fund | NWQ International Value Fund | 6/30 | 835,946 | 38,776 | 20,837 | — | 4,358,861 | |||||||||||||||||||
| Nuveen Santa Barbara Dividend Growth Fund | Santa Barbara Dividend Growth Fund | 7/31 | 14,397,527 | 7,423,055 | 226,879 | 1,576,070 | 43,760,578 | |||||||||||||||||||
| Nuveen Santa Barbara Global Dividend Growth Fund | Santa Barbara Global Dividend Growth Fund | 7/31 | 218,047 | 67,345 | 7,227 | — | 418,079 | |||||||||||||||||||
| Nuveen Santa Barbara International Dividend Growth Fund | Santa Barbara International Dividend Growth Fund | 7/31 | 68,158 | 17,369 | 2,500 | — | 105,642 | |||||||||||||||||||
| Nuveen Winslow International Large Cap Fund | Winslow International Large Cap Fund | 7/31 | 1,250 | 1,250 | — | 246,250 | 1,250 | |||||||||||||||||||
| Nuveen Winslow International Small Cap Fund | Winslow International Small Cap Fund | 7/31 | 23,508 | 1,250 | — | 1,594,969 | 577,323 | |||||||||||||||||||
| Nuveen Winslow Large-Cap Growth ESG Fund | Winslow Large-Cap Growth ESG Fund | 7/31 | 776,676 | 190,483 | 11,590 | 1,901,323 | 15,009,131 | |||||||||||||||||||
| Nuveen Investment Trust III | ||||||||||||||||||||||||||
| Nuveen Symphony High Yield Income Fund | Symphony High Yield Income Fund | 9/30 | 2,148,315 | 1,981,159 | — | 302,147 | 24,496,131 | |||||||||||||||||||
| Nuveen Symphony Floating Rate Income Fund | Symphony Floating Rate Income Fund | 9/30 | 5,112,103 | 1,886,391 | — | 3,115,389 | 30,327,929 | |||||||||||||||||||
| Nuveen Investment Trust V | ||||||||||||||||||||||||||
| Nuveen Gresham Managed Futures Strategy Fund | Gresham Managed Futures Strategy Fund | 9/30 | 11,446 | 1,250 | — | 1,246,250 | 14,528 | |||||||||||||||||||
| Nuveen NWQ Flexible Income Fund | NWQ Flexible Income Fund | 9/30 | 12,254,289 | 12,409,113 | — | 311,216 | 49,433,761 | |||||||||||||||||||
| Nuveen Preferred Securities and Income Fund | Preferred Securities and Income Fund | 9/30 | 27,385,030 | 14,098,822 | 175,492 | 26,709,164 | 167,800,205 | |||||||||||||||||||
| Nuveen Global Real Estate Securities Fund | Global Real Estate Securities Fund | 12/31 | 1,583 | 1,721 | — | 2,432,152 | 7,506 |
A-1
Appendix B
SHARE OWNERSHIP
Dollar Range of Equity Securities By Board Members and Nominees
The following table lists the dollar range of equity securities beneficially owned by each Board Member and nominee in each Fund and in all Nuveen funds overseen by the Board Member or nominee as of December 31, 2019. The information as to beneficial ownership is based on statements furnished by each Board Member or nominee.
| Fund | Evans | Hunter | Moschner | Nelson | Stockdale | Stone | Thornton(1) | Toth | Wolff | Young | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Trust | ||||||||||||||||||||
| Equity Market Neutral Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| Large Cap Core Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| Large Cap Growth Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 50,001-100,000 | 0 | $0 | ||||||||||
| Large Cap Value Fund | Over 100,000 | 0 | 0 | 0 | Over 100,000 | Over 100,000 | 0 | 10,001-50,000 | 0 | $0 | ||||||||||
| NWQ Global Equity Income Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 10,001-50,000 | 0 | $0 | ||||||||||
| NWQ Large-Cap Value Fund | 0 | 0 | 0 | 0 | 50,001-100,000 | 10,001-50,000 | 0 | 0 | 0 | $0 | ||||||||||
| NWQ Multi-Cap Value Fund | Over 100,000 | 0 | 0 | 0 | Over 100,000 | 10,001-50,000 | 0 | 0 | 0 | $0 | ||||||||||
| NWQ Small/Mid-Cap Value Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||
| NWQ Small-Cap Value Fund | Over 100,000 | 0 | 0 | 0 | Over 100,000 | Over 100,000 | 0 | 10,001-50,000 | 0 | $0 | ||||||||||
| Nuveen Investment Trust II | ||||||||||||||||||||
| Emerging Markets Equity Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| Equity Long/Short Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| International Growth Fund | Over 100,000 | Over 100,000 | 0 | 0 | Over 100,000 | Over 100,000 | 0 | 50,001-100,000 | 0 | $0 | ||||||||||
| NWQ International Value Fund | Over 100,000 | 0 | 0 | 0 | Over 100,000 | 10,001-50,000 | 0 | 0 | 0 | $0 | ||||||||||
| Santa Barbara Dividend Growth Fund | Over 100,000 | Over 100,000 | 10,001-50,000 | 0 | Over 100,000 | 50,001-100,000 | 0 | Over 100,000 | Over 100,000 | Over $100,000 | ||||||||||
| Santa Barbara Global Dividend Growth Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| Santa Barbara International Dividend Growth Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| Winslow International Large Cap Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| Winslow International Small Cap Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 10,001-50,000 | 0 | $0 | ||||||||||
| Winslow Large-Cap Growth ESG Fund | 50,001-100,000 | Over 100,000 | 0 | 0 | Over 100,000 | Over 100,000 | 0 | Over 100,000 | 0 | $0 |
All values are in US Dollars.
B-1
| Fund | Evans | Hunter | Moschner | Nelson | Stockdale | Stone | Thornton(1) | Toth | Wolff | Young | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Trust III | ||||||||||||||||||||
| Symphony High Yield Income Fund | 0 | 0 | 0 | 0 | Over 100,000 | Over 100,000 | 0 | 10,001-50,000 | 0 | $0 | ||||||||||
| Symphony Floating Rate Income Fund | 0 | 0 | 0 | 0 | Over 100,000 | 50,001-100,000 | 0 | Over 100,000 | 0 | Over $100,000 | ||||||||||
| Nuveen Investment Trust V | ||||||||||||||||||||
| Gresham Managed Futures Strategy Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | ||||||||||
| NWQ Flexible Income Fund | 0 | 0 | 10,001-50,000 | 0 | 0 | 0 | 0 | 50,001-100,000 | 0 | $0 | ||||||||||
| Preferred Securities and Income Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | Over 100,000 | 0 | $0 | ||||||||||
| Global Real Estate Securities Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 50,001-100,000 | 0 | $0 | ||||||||||
| Aggregate Range of Equity Securities in All Registered Investment Companies Overseen by Board<br>Member Nominees in Family of Investment Companies | Over 100,000 | Over 100,000 | Over 100,000 | Over 100,000 | Over 100,000 | Over 100,000 | 0 | Over 100,000 | Over 100,000 | Over $100,000 |
All values are in US Dollars.
| ^(1)^ | Matthew Thornton III does not currently serve as a Board Member. He is a nominee for election at the Meeting. |
|---|
B-2
Fund Shares Owned By Board Members, Nominees And Executive Officers^(1)^
The following table sets forth, for each Board Member and nominee, the principal executive officer of the Funds, the principal financial officer of the Funds and for the Board Members, nominees and executive officers as a group, the amount of shares beneficially owned in each Fund as of December 31, 2019. The information as to beneficial ownership is based on statements furnished by each Board Member, nominee and executive officer.
| Fund | Evans | Hunter | Moschner | Nelson | Stockdale | Stone | Thornton^(2)^ | Toth | Wolff | Young | All Board Membersand ExecutiveOfficers as a Group | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Trust | ||||||||||||||||||||||
| Equity Market Neutral Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||
| Large Cap Core Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2,353 | |||||||||||
| Large Cap Growth Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,149 | 0 | 0 | 7,111 | |||||||||||
| Large Cap Value Fund | 15,583 | 0 | 0 | 0 | 7,427 | 8,151 | 2,028 | 0 | 0 | 45,361 | ||||||||||||
| NWQ Global Equity Income Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 555 | 0 | 0 | 9,482 | |||||||||||
| NWQ Large-Cap Value Fund | 0 | 0 | 0 | 0 | 12,152 | 8,016 | 0 | 0 | 0 | 0 | 31,828 | |||||||||||
| NWQ Multi-Cap Value Fund | 4,164 | 0 | 0 | 0 | 3,946 | 572 | 0 | 0 | 0 | 0 | 17,777 | |||||||||||
| NWQ Small/Mid-Cap Value Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||
| NWQ Small-Cap Value Fund | 3,167 | 0 | 0 | 0 | 3,450 | 2,682 | 0 | 1,048 | 0 | 0 | 13,668 | |||||||||||
| Nuveen Investment Trust II | ||||||||||||||||||||||
| Emerging Markets Equity Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||
| Equity Long/Short Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||
| International Growth Fund | 7,230 | 6,841 | 0 | 0 | 2,910 | 3,723 | 0 | 1,198 | 0 | 0 | 24,607 | |||||||||||
| NWQ International Value Fund | 11,120 | 0 | 0 | 0 | 7,203 | 1,873 | 0 | 0 | 0 | 0 | 47,482 | |||||||||||
| Santa Barbara Dividend Growth Fund | 16,627 | 19,086 | 856 | 0 | 3,660 | 1,210 | 0 | 7,161 | 24,070 | 8,446 | 87,817 | |||||||||||
| Santa Barbara Global Dividend Growth Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||
| Santa Barbara International Dividend Growth Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||
| Winslow International Large Cap Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||
| Winslow International Small Cap Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1,276 | 0 | 0 | 1,276 | |||||||||||
| Winslow Large-Cap Growth ESG Fund | 1,920 | 15,594 | 0 | 0 | 3,936 | 6,013 | 0 | 6,398 | 0 | 0 | 38,427 | |||||||||||
| Nuveen Investment Trust III | ||||||||||||||||||||||
| Symphony High Yield Income Fund | 0 | 0 | 0 | 0 | 8,402 | 5,208 | 0 | 1,186 | 0 | 0 | 18,164 | |||||||||||
| Symphony Floating Rate Income Fund | 0 | 0 | 0 | 0 | 7,699 | 4,867 | 0 | 8,173 | 0 | 17,977 | 38,717 | |||||||||||
| Nuveen Investment Trust V | ||||||||||||||||||||||
| Gresham Managed Futures Strategy Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | |||||||||||
| NWQ Flexible Income Fund | 0 | 0 | 836 | 0 | 0 | 0 | 0 | 2,742 | 0 | 0 | 8,702 | |||||||||||
| Preferred Securities and Income Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 13,389 | 0 | 0 | 20,126 | |||||||||||
| Global Real Estate Securities Fund | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 4,206 | 0 | 0 | 4,206 | |||||||||||
| ^(1)^ | The numbers include share equivalents of certain Nuveen funds in which the Board Member is deemed to be invested pursuant to the Deferred Compensation Plan for<br>Independent Board Members as more fully described in the Proxy Statement. | |||||||||||||||||||||
| --- | --- | |||||||||||||||||||||
| ^(2)^ | Matthew Thornton III does not currently serve as a Board Member. He is a nominee for election at the Meeting. | |||||||||||||||||||||
| --- | --- |
B-3
Appendix C
BOARD MEMBER COMPENSATION
Aggregate Compensation from the Funds^(1)^
| Fund | FiscalYear End | Evans | Hunter | Moschner | Nelson | Stockdale | Stone | Thornton^(2)^ | Toth | Wolff | Young | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Trust | ||||||||||||||||||||||||||||||||||||||||||||
| Equity Market Neutral Fund | 8/31 | 1,462 | 1,444 | 1,345 | 1,498 | 1,421 | 1,421 | N/A | 1,799 | 1,369 | 1,345 | |||||||||||||||||||||||||||||||||
| Large Cap Core Fund | 8/31 | 2,552 | 2,536 | 2,346 | 2,627 | 2,446 | 2,485 | N/A | 3,077 | 2,376 | 2,334 | |||||||||||||||||||||||||||||||||
| Large Cap Growth Fund | 8/31 | 1,077 | 1,072 | 991 | 1,109 | 1,029 | 1,050 | N/A | 1,285 | 1,001 | 986 | |||||||||||||||||||||||||||||||||
| Large Cap Value Fund | 8/31 | 1,232 | 1,227 | 1,131 | 1,270 | 1,173 | 1,201 | N/A | 1,477 | 1,144 | 1,121 | |||||||||||||||||||||||||||||||||
| NWQ Global Equity Income Fund | 6/30 | 471 | 484 | 427 | 507 | 459 | 484 | N/A | 575 | 427 | 462 | |||||||||||||||||||||||||||||||||
| NWQ Large-Cap Value Fund | 6/30 | 105 | 108 | 95 | 113 | 102 | 108 | N/A | 128 | 95 | 103 | |||||||||||||||||||||||||||||||||
| NWQ Multi-Cap Value Fund | 6/30 | 194 | 199 | 176 | 209 | 189 | 199 | N/A | 237 | 176 | 190 | |||||||||||||||||||||||||||||||||
| NWQ Small/Mid-Cap Value Fund | 6/30 | 60 | 62 | 55 | 65 | 58 | 61 | N/A | 74 | 54 | 57 | |||||||||||||||||||||||||||||||||
| NWQ Small-Cap Value Fund | 6/30 | 1,160 | 1,200 | 1,049 | 1,255 | 1,128 | 1,194 | N/A | 1,413 | 1,047 | 1,131 | |||||||||||||||||||||||||||||||||
| Nuveen Investment Trust II | ||||||||||||||||||||||||||||||||||||||||||||
| Emerging Markets Equity Fund | 7/31 | 30 | 31 | 28 | 33 | 30 | 31 | N/A | 37 | 28 | 29 | |||||||||||||||||||||||||||||||||
| Equity Long/Short Fund | 8/31 | 1,045 | 1,039 | 962 | 1,076 | 1,000 | 1,021 | N/A | 1,258 | 974 | 959 | |||||||||||||||||||||||||||||||||
| International Growth Fund | 7/31 | 872 | 904 | 813 | 960 | 859 | 906 | N/A | 1,058 | 805 | 865 | |||||||||||||||||||||||||||||||||
| NWQ International Value Fund | 6/30 | 519 | 536 | 467 | 559 | 504 | 533 | N/A | 632 | 466 | 502 | |||||||||||||||||||||||||||||||||
| Santa Barbara Dividend Growth Fund | 7/31 | 7,930 | 8,195 | 7,407 | 8,715 | 7,825 | 8,220 | N/A | 9,611 | 7,333 | 7,872 | |||||||||||||||||||||||||||||||||
| Santa Barbara Global Dividend Growth Fund | 7/31 | 59 | 61 | 55 | 65 | 58 | 60 | N/A | 72 | 54 | 57 | |||||||||||||||||||||||||||||||||
| Santa Barbara International Dividend Growth Fund | 7/31 | 13 | 13 | 12 | 14 | 13 | 13 | N/A | 16 | 12 | 13 | |||||||||||||||||||||||||||||||||
| Winslow International Large Cap Fund | 7/31 | 14 | 15 | 14 | 16 | 14 | 15 | N/A | 18 | 13 | 14 | |||||||||||||||||||||||||||||||||
| Winslow International Small Cap Fund | 7/31 | 115 | 119 | 108 | 127 | 113 | 117 | N/A | 140 | 106 | 112 | |||||||||||||||||||||||||||||||||
| Winslow Large-Cap Growth ESG Fund | 7/31 | 2,012 | 2,076 | 1,889 | 2,212 | 1,993 | 2,081 | N/A | 2,446 | 1,868 | 2,010 | |||||||||||||||||||||||||||||||||
| Nuveen Investment Trust III | ||||||||||||||||||||||||||||||||||||||||||||
| Symphony High Yield Income Fund | 9/30 | 1,660 | 1,674 | 1,539 | 1,711 | 1,576 | 1,629 | N/A | 1,985 | 1,562 | 1,532 | |||||||||||||||||||||||||||||||||
| Symphony Floating Rate Income Fund | 9/30 | 4,913 | 6,387 | 5,974 | 5,073 | 4,629 | 4,864 | N/A | 6,611 | 6,089 | 5,203 |
All values are in US Dollars.
C-1
| Fund | FiscalYear End | Evans | Hunter | Moschner | Nelson | Stockdale | Stone | Thornton^(2)^ | Toth | Wolff | Young | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Trust V | ||||||||||||||||||||||||||||||||||||||||||||
| Gresham Managed Futures Strategy Fund | 9/30 | 54 | 53 | 50 | 55 | 52 | 52 | N/A | 66 | 50 | 48 | |||||||||||||||||||||||||||||||||
| NWQ Flexible Income Fund | 9/30 | 2,904 | 2,921 | 2,703 | 2,988 | 2,790 | 2,847 | N/A | 3,508 | 2,751 | 2,706 | |||||||||||||||||||||||||||||||||
| Preferred Securities and Income Fund | 9/30 | 9,691 | 9,760 | 8,996 | 9,986 | 9,230 | 9,508 | N/A | 11,615 | 9,135 | 8,966 | |||||||||||||||||||||||||||||||||
| Global Real Estate Securities Fund | 12/31 | 76 | 78 | 70 | 81 | 74 | 76 | N/A | 93 | 70 | 70 |
All values are in US Dollars.
| ^(1)^ | Includes deferred fees. Pursuant to a deferred compensation agreement with certain of the Funds, deferred amounts are treated as though an equivalent dollar<br>amount has been invested in shares of one or more Participating Funds. Total deferred fees for the Funds (including the return from the assumed investment in the Participating Funds) payable are: | |||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Fund | Evans | Hunter | Moschner | Nelson | Stockdale | Stone | Thornton^(2)^ | Toth | Wolff | Young | ||||||||||||||||||||||||||||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Nuveen Investment Trust | ||||||||||||||||||||||||||||||||||||||||
| Equity Market Neutral Fund | 151 | N/A | N/A | N/A | 262 | 719 | N/A | N/A | 468 | 1,345 | ||||||||||||||||||||||||||||||
| Large Cap Core Fund | 263 | N/A | N/A | N/A | 435 | 1,253 | N/A | N/A | 804 | 2,334 | ||||||||||||||||||||||||||||||
| Large Cap Growth Fund | 111 | N/A | N/A | N/A | 179 | 528 | N/A | N/A | 337 | 986 | ||||||||||||||||||||||||||||||
| Large Cap Value Fund | 127 | N/A | N/A | N/A | 206 | 604 | N/A | N/A | 386 | 1,121 | ||||||||||||||||||||||||||||||
| NWQ Global Equity Income Fund | 44 | N/A | N/A | N/A | 102 | 223 | N/A | N/A | 141 | 462 | ||||||||||||||||||||||||||||||
| NWQ Large-Cap Value Fund | 10 | N/A | N/A | N/A | 23 | 50 | N/A | N/A | 31 | 103 | ||||||||||||||||||||||||||||||
| NWQ Multi-Cap Value Fund | 18 | N/A | N/A | N/A | 42 | 92 | N/A | N/A | 58 | 190 | ||||||||||||||||||||||||||||||
| NWQ Small/Mid-Cap Value Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||||||
| NWQ Small-Cap Value Fund | 110 | N/A | N/A | N/A | 246 | 560 | N/A | N/A | 345 | 1,131 | ||||||||||||||||||||||||||||||
| Nuveen Investment Trust II | ||||||||||||||||||||||||||||||||||||||||
| Emerging Markets Equity Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||||||
| Equity Long/Short Fund | 108 | N/A | N/A | N/A | 176 | 515 | N/A | N/A | 330 | 959 | ||||||||||||||||||||||||||||||
| International Growth Fund | 71 | N/A | N/A | N/A | 198 | 361 | N/A | N/A | 261 | 865 | ||||||||||||||||||||||||||||||
| NWQ International Value Fund | 50 | N/A | N/A | N/A | 109 | 251 | N/A | N/A | 153 | 502 | ||||||||||||||||||||||||||||||
| Santa Barbara Dividend Growth Fund | 636 | N/A | N/A | N/A | 1,815 | 3,243 | N/A | N/A | 2,378 | 7,872 | ||||||||||||||||||||||||||||||
| Santa Barbara Global Dividend Growth Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||||||
| Santa Barbara International Dividend Growth Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||||||
| Winslow International Large Cap Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||||||
| Winslow International Small Cap Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||||||
| Winslow Large-Cap Growth ESG Fund | 158 | N/A | N/A | N/A | 468 | 802 | N/A | N/A | 605 | 2,010 |
All values are in US Dollars.
C-2
| Fund | Evans | Hunter | Moschner | Nelson | Stockdale | Stone | Thornton^(2)^ | Toth | Wolff | Young | ||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Fund III | ||||||||||||||||||||||||||||||||||||||||
| Symphony High Yield Income Fund | 173 | N/A | N/A | N/A | 279 | 825 | N/A | N/A | 531 | 1,532 | ||||||||||||||||||||||||||||||
| Symphony Floating Rate Income Fund | 515 | N/A | N/A | N/A | 798 | 2,472 | N/A | N/A | 2,087 | 5,203 | ||||||||||||||||||||||||||||||
| Nuveen Investment Fund V | ||||||||||||||||||||||||||||||||||||||||
| Gresham Managed Futures Strategy Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||||||
| NWQ Flexible Income Fund | 302 | N/A | N/A | N/A | 504 | 1,445 | N/A | N/A | 940 | 2,706 | ||||||||||||||||||||||||||||||
| Preferred Securities and Income Fund | 1,007 | N/A | N/A | N/A | 1,638 | 4,816 | N/A | N/A | 3,108 | 8,966 | ||||||||||||||||||||||||||||||
| Global Real Estate Securities Fund | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
All values are in US Dollars.
| ^(2)^ | Matthew Thornton III does not currently serve as a Board Member. He is a nominee for election at the Meeting. As of each Fund’s most recent fiscal year end,<br>Mr. Thornton had not received any compensation from the Funds or other funds in the Nuveen fund complex. |
|---|
C-3
Appendix D
BOARD AND COMMITTEE MEETINGS
HELD DURING CALENDAR YEAR ENDEDDECEMBER 31, 2019*
| Regular BoardMeetings | Special BoardMeetings | ExecutiveCommittee | DividendCommittee | AuditCommittee | ComplianceCommittee | Nominating andGovernanceCommittee | Open-EndFundsCommittee | |||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Trust | 6 | 9 | 0 | 4 | 4 | 5 | 5 | 4 | ||||||||||||||||||||||||
| Nuveen Investment Trust II | 6 | 9 | 0 | 4 | 4 | 5 | 5 | 4 | ||||||||||||||||||||||||
| Nuveen Investment Trust III | 6 | 9 | 0 | 4 | 4 | 5 | 5 | 4 | ||||||||||||||||||||||||
| Nuveen Investment Trust V | 6 | 9 | 0 | 4 | 4 | 5 | 5 | 4 | ||||||||||||||||||||||||
| * | Information is presented on a calendar year basis, as the Funds have different fiscal year ends. | |||||||||||||||||||||||||||||||
| --- | --- |
D-1
Appendix E
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
| Fund | Independent RegisteredPublic Accounting Firm | |
|---|---|---|
| Nuveen Investment Trust | ||
| Nuveen Equity Market Neutral Fund | KPMG | |
| Nuveen Large Cap Core Fund | KPMG | |
| Nuveen Large Cap Growth Fund | KPMG | |
| Nuveen Large Cap Value Fund | KPMG | |
| Nuveen NWQ Global Equity Income Fund | PwC | |
| Nuveen NWQ Large-Cap Value Fund | PwC | |
| Nuveen NWQ Multi-Cap Value Fund | PwC | |
| Nuveen NWQ Small/Mid-Cap Value Fund | PwC | |
| Nuveen NWQ Small-Cap Value Fund | PwC | |
| Nuveen Investment Trust II | ||
| Nuveen Emerging Markets Equity Fund | PwC | |
| Nuveen Equity Long/Short Fund | KPMG | |
| Nuveen International Growth Fund | PwC | |
| Nuveen NWQ International Value Fund | PwC | |
| Nuveen Santa Barbara Dividend Growth Fund | PwC | |
| Nuveen Santa Barbara Global Dividend Growth Fund | PwC | |
| Nuveen Santa Barbara International Dividend Growth Fund | PwC | |
| Nuveen Winslow International Large Cap Fund | PwC | |
| Nuveen Winslow International Small Cap Fund | PwC | |
| Nuveen Winslow Large-Cap Growth ESG Fund | PwC | |
| Nuveen Investment Trust III | ||
| Nuveen Symphony High Yield Income Fund | KPMG | |
| Nuveen Symphony Floating Rate Income Fund | KPMG | |
| Nuveen Investment Trust V | ||
| Nuveen Gresham Managed Futures Strategy Fund | PwC | |
| Nuveen NWQ Flexible Income Fund | KPMG | |
| Nuveen Preferred Securities and Income Fund | KPMG | |
| Nuveen Global Real Estate Securities Fund | PwC |
E-1
Appendix F
AUDIT AND RELATED FEES
| Audit Fees(1) | Audit Related<br>Fees(2) | Tax Fees(3) | All Other Fees(4) | |||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Funds | Funds | Adviser andRelated Entities | Funds | Adviser andRelated Entities | Funds | Adviser andRelated Entities | ||||||||||||||||||||||||
| FiscalYearEnd | FiscalYearEnded2019 | FiscalYearEnded2020 | FiscalYearEnded2019 | FiscalYearEnded2020 | FiscalYearEnded2019 | FiscalYearEnded2020 | FiscalYearEnded2019 | FiscalYearEnded2020 | FiscalYearEnded2019 | FiscalYearEnded2020 | FiscalYearEnded2019 | FiscalYearEnded2020 | FiscalYearEnded2019 | FiscalYearEnded2020 | ||||||||||||||||
| Nuveen Investment Trust | ||||||||||||||||||||||||||||||
| NWQ Small-Cap Value Fund | 6/30 | 16,870 | 15,845 | 0 | 0 | 0 | 0 | 3,555 | 5,000 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Nuveen Investment Trust II | ||||||||||||||||||||||||||||||
| Emerging Markets Equity Fund | 7/31 | 18,415 | 18,995 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| International Growth Fund | 7/31 | 20,160 | 20,030 | 0 | 0 | 0 | 0 | 16,857 | 5,356 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| NWQ International Value Fund | 6/30 | 19,565 | 19,390 | 0 | 0 | 0 | 0 | 7,167 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Santa Barbara Dividend Growth Fund | 7/31 | 31,975 | 28,910 | 0 | 0 | 0 | 0 | 2,970 | 7,360 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Santa Barbara Global Dividend Growth Fund | 7/31 | 18,600 | 19,030 | 0 | 0 | 0 | 0 | 3,020 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Santa Barbara International Dividend Growth Fund | 7/31 | 18,535 | 18,970 | 0 | 0 | 0 | 0 | 2,970 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Winslow International Large Cap Fund | 7/31 | 18,535 | 18,975 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Winslow International Small Cap Fund | 7/31 | 18,685 | 19,105 | 0 | 0 | 0 | 0 | 3,020 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Winslow Large-Cap Growth ESG Fund | 7/31 | 21,450 | 21,475 | 0 | 0 | 0 | 0 | 2,970 | 5,000 | 0 | 0 | 0 | 0 | 0 | $0 |
All values are in US Dollars.
F-1
| Audit Fees(1) | Audit Related<br>Fees(2) | Tax Fees(3) | All Other Fees(4) | |||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Funds | Funds | Adviser andRelated Entities | Funds | Adviser andRelated Entities | Funds | Adviser andRelated Entities | ||||||||||||||||||||||||
| FiscalYearEnd | FiscalYearEnded2018 | FiscalYearEnded2019 | FiscalYearEnded2018 | FiscalYearEnded2019 | FiscalYearEnded2018 | FiscalYearEnded2019 | FiscalYearEnded2018 | FiscalYearEnded2019 | FiscalYearEnded2018 | FiscalYearEnded2019 | FiscalYearEnded2018 | FiscalYearEnded2019 | FiscalYearEnded2018 | FiscalYearEnded2019 | ||||||||||||||||
| Nuveen Investment Trust | ||||||||||||||||||||||||||||||
| Equity Market Neutral Fund | 8/31 | 17,340 | 17,340 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Large Cap Core Fund | 8/31 | 27,760 | 17,760 | 2,000 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Large Cap Growth Fund | 8/31 | 32,750 | 17,750 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Large Cap Value Fund | 8/31 | 22,760 | 17,760 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| NWQ Global Equity Income Fund | 6/30 | 29,960 | 30,295 | 0 | 0 | 0 | 0 | 24,034 | 16,325 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| NWQ Large-Cap Value Fund | 6/30 | 14,530 | 14,805 | 0 | 0 | 0 | 0 | 2,970 | 5,000 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| NWQ Multi-Cap Value Fund | 6/30 | 14,675 | 14,920 | 0 | 0 | 0 | 0 | 3,555 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| NWQ Small/Mid-Cap Value Fund | 6/30 | 14,425 | 14,755 | 0 | 0 | 0 | 0 | 3,555 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Nuveen Investment Trust II | ||||||||||||||||||||||||||||||
| Equity Long/Short Fund | 8/31 | 17,340 | 17,340 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Nuveen Investment Trust III | ||||||||||||||||||||||||||||||
| Symphony High Yield Income Fund | 9/30 | 42,720 | 42,720 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Symphony Floating Rate Income Fund | 9/30 | 40,480 | 40,480 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Nuveen Investment Trust V | ||||||||||||||||||||||||||||||
| Gresham Managed Futures Strategy Fund | 9/30 | 0 | 38,950 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| NWQ Flexible Income Fund | 9/30 | 29,320 | 29,320 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Preferred Securities and Income Fund | 9/30 | 29,320 | 29,320 | 5,000 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||||||||
| Global Real Estate Securities Fund | 12/31 | 44,255 | 44,465 | 0 | 0 | 0 | 0 | 2,601 | 1,810 | 0 | 0 | 0 | 0 | 0 | $0 |
All values are in US Dollars.
| (1) | “Audit Fees” are the aggregate fees billed for professional services for the audit of the Fund’s annual financial statements and services<br>provided in connection with statutory and regulatory filings or engagements. |
|---|---|
| (2) | “Audit Related Fees” are the aggregate fees billed for assurance and related services reasonably related to the performance of the audit or<br>review of financial statements that are not reported under “Audit Fees”. These fees include offerings related to the Fund’s common shares and leverage. |
| --- | --- |
| (3) | “Tax Fees” are the aggregate fees billed for professional services for tax advice, tax compliance, and tax planning. These fees include: all<br>global withholding tax services; excise and state tax reviews; capital gain, tax equalization and taxable basis calculation performed by the principal accountant. |
| --- | --- |
| (4) | “All Other Fees” are the aggregate fees billed for products and services other than “Audit Fees”, “Audit-Related Fees” and<br>“Tax Fees”. These fees represent all “Agreed-Upon Procedures” engagements pertaining to the Fund’s use of leverage. |
| --- | --- |
F-2
| Total Non-Audit FeesBilled to Fund | Total Non-Audit Fees Billed <br>toAdvisers and Adviser Entities(Engagements Related Directly to theOperations and FinancialReporting of Fund) | Total Non-Audit Fees Billed <br>toAdvisers and Adviser Entities(All Other Engagements) | Total | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FiscalYear End | Fiscal YearEnded 2019 | Fiscal YearEnded 2020 | Fiscal YearEnded 2019 | Fiscal YearEnded 2020 | Fiscal YearEnded 2019 | Fiscal YearEnded 2020 | Fiscal YearEnded 2019 | Fiscal YearEnded 2020 | ||||||||||
| Nuveen Investment Trust | ||||||||||||||||||
| NWQ Small-Cap Value Fund | 6/30 | 2,555 | 5,000 | 0 | 0 | 0 | 0 | 3,555 | $5,000 | |||||||||
| Nuveen Investment Trust II | ||||||||||||||||||
| Emerging Markets Equity Fund | 7/31 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| International Growth Fund | 7/31 | 16,857 | 5,356 | 0 | 0 | 0 | 0 | 16,857 | $5,356 | |||||||||
| NWQ International Value Fund | 6/30 | 7,167 | 0 | 0 | 0 | 0 | 0 | 7,167 | $0 | |||||||||
| Santa Barbara Dividend Growth Fund | 7/31 | 2,970 | 7,360 | 0 | 0 | 0 | 0 | 2,970 | $7,360 | |||||||||
| Santa Barbara Global Dividend Growth Fund | 7/31 | 3,020 | 0 | 0 | 0 | 0 | 0 | 3,020 | $0 | |||||||||
| Santa Barbara International Dividend Growth Fund | 7/31 | 2,970 | 0 | 0 | 0 | 0 | 0 | 2,970 | $0 | |||||||||
| Winslow International Large Cap Fund | 7/31 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Winslow International Small Cap Fund | 7/31 | 3,020 | 0 | 0 | 0 | 0 | 0 | 3,020 | $0 | |||||||||
| Winslow Large-Cap Growth ESG Fund | 7/31 | 2,970 | 5,000 | 0 | 0 | 0 | 0 | 2,970 | $5,000 |
All values are in US Dollars.
F-3
| Total Non-Audit FeesBilled to Fund | Total Non-Audit Fees Billed <br>toAdvisers and Adviser Entities(Engagements Related Directly to theOperations and FinancialReporting of Fund) | Total Non-Audit Fees Billed <br>toAdvisers and Adviser Entities(All Other Engagements) | Total | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FiscalYear End | Fiscal YearEnded 2018 | Fiscal YearEnded 2019 | Fiscal YearEnded 2018 | Fiscal YearEnded 2019 | Fiscal YearEnded 2018 | Fiscal YearEnded 2019 | Fiscal YearEnded 2018 | Fiscal YearEnded 2019 | ||||||||||
| Nuveen Investment Trust | ||||||||||||||||||
| Equity Market Neutral Fund | 8/31 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Large Cap Core Fund | 8/31 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Large Cap Growth Fund | 8/31 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Large Cap Value Fund | 8/31 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| NWQ Global Equity Income Fund | 6/30 | 0 | 24,034 | 0 | 0 | 0 | 0 | 0 | $24,034 | |||||||||
| NWQ Large-Cap Value Fund | 6/30 | 0 | 2,970 | 0 | 0 | 0 | 0 | 0 | $2,970 | |||||||||
| NWQ Multi-Cap Value Fund | 6/30 | 0 | 3,555 | 0 | 0 | 0 | 0 | 0 | $3,555 | |||||||||
| NWQ Small/Mid-Cap Value Fund | 6/30 | 0 | 3,555 | 0 | 0 | 0 | 0 | 0 | $3,555 | |||||||||
| Nuveen Investment Trust II | ||||||||||||||||||
| Equity Long/Short Fund | 8/31 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Nuveen Investment Trust III | ||||||||||||||||||
| Symphony High Yield Income Fund | 9/30 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Symphony Floating Rate Income Fund | 9/30 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Nuveen Investment Trust V | ||||||||||||||||||
| Gresham Managed Futures Strategy Fund | 9/30 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| NWQ Flexible Income Fund | 9/30 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Preferred Securities and Income Fund | 9/30 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | $0 | |||||||||
| Global Real Estate Securities Fund | 12/31 | 2,601 | 1,810 | 0 | 0 | 0 | 0 | 2,601 | $1,810 |
All values are in US Dollars.
F-4
Appendix G
SUB-ADVISER
| Fund | Sub-Adviser | Address | ||
|---|---|---|---|---|
| Nuveen Investment Trust | ||||
| Nuveen Equity Market Neutral Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen Large Cap Core Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen Large Cap Growth Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen Large Cap Value Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen NWQ Global Equity Income Fund | NWQ Investment Management Company, LLC | 2029 Century Park East<br> <br>Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen NWQ Large-Cap Value Fund | NWQ Investment Management Company, LLC | 2029 Century Park East, Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen NWQ Multi-Cap Value Fund | NWQ Investment Management Company, LLC | 2029 Century Park East, Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen NWQ Small/Mid-Cap Value Fund | NWQ Investment Management Company, LLC | 2029 Century Park East, Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen NWQ Small-Cap Value Fund | NWQ Investment Management Company, LLC | 2029 Century Park East, Suite 1600<br><br><br>Los Angeles, California 90067 | ||
| Nuveen Investment Trust II | ||||
| Nuveen Emerging Markets Equity Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen Equity Long/Short Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen International Growth Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen NWQ International Value Fund | NWQ Investment Management Company, LLC | 2029 Century Park East, Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen Santa Barbara Dividend Growth Fund | Santa Barbara Asset Management, LLC | 2029 Century Park East, Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen Santa Barbara Global Dividend Growth Fund | Santa Barbara Asset Management, LLC | 2029 Century Park East, Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen Santa Barbara International Dividend Growth Fund | Santa Barbara Asset Management, LLC | 2029 Century Park East, Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen Winslow International Large Cap Fund | Winslow Capital Management, LLC | 4400 IDS Center<br> <br>80 South Eighth Street<br> <br>Minneapolis, Minnesota<br>55402 |
G-1
| Fund | Sub-Adviser | Address | ||
|---|---|---|---|---|
| Nuveen Winslow International Small Cap Fund | Winslow Capital Management, LLC | 4400 IDS Center<br> <br>80 South Eighth Street<br> <br>Minneapolis, Minnesota 55402 | ||
| Nuveen Winslow Large-Cap Growth ESG Fund | Winslow Capital Management, LLC | 4400 IDS Center<br><br><br>80 South Eighth Street<br> <br>Minneapolis,<br>Minnesota 55402 | ||
| Nuveen Investment Trust III | ||||
| Nuveen Symphony High Yield Income Fund | Symphony Asset Management LLC | 555 California Street, Suite 3100<br> <br>San Francisco, California 94104 | ||
| Nuveen Symphony Floating Rate Income Fund | Symphony Asset Management LLC | 555 California Street, Suite 3100<br><br><br>San Francisco, California 94104 | ||
| Nuveen Investment Trust V | ||||
| Nuveen Gresham Managed Futures Strategy Fund | Gresham Investment Management LLC | 257 Park Avenue South, 7^th^ Floor<br> <br>New<br>York, New York 10010 | ||
| Nuveen NWQ Flexible Income Fund | NWQ Investment Management Company, LLC | 2029 Century Park East<br> <br>Suite 1600<br> <br>Los Angeles, California 90067 | ||
| Nuveen Preferred Securities and Income Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br> <br>Chicago, Illinois 60606 | ||
| Nuveen Global Real Estate Securities Fund | Nuveen Asset Management, LLC | 333 West Wacker Drive<br><br><br>Chicago, Illinois 60606 |
G-2
Appendix H
LIST OF HOLDERS OF MORE THAN 5%
OF ANY CLASS OF SHARES IN EACH FUND
As of September 8, 2020, the following record owners of the specified Fund and class held the share amounts and corresponding percentages indicated below, which was owned either (i) beneficially by such persons or (ii) of record by such persons on behalf of customers who are the beneficial owners of such shares. Beneficial owners of 25% or more of a class of a Fund are presumed to be in control of the class for purposes of voting on certain matters submitted to shareholders.
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investment Trust | ||||||||||
| Nuveen Equity Market Neutral Fund – Class A | UBS WM USA | 136,477.1140 | 20.14 | % | ||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Charles Schwab & Co Inc | 134,813.3750 | 19.90 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Raymond James | 100,519.1710 | 14.84 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| National Financial Services LLC | 96,807.8320 | 14.29 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| American Enterprise Investment Serv | 56,287.7620 | 8.31 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Morgan Stanley Smith Barney LLC | 45,352.9840 | 6.69 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| LPL Financial | 36,860.3650 | 5.44 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 |
H-1
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| American Enterprise Investment Serv | 65,354.0170 | 26.28 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Nuveen Equity Market Neutral Fund – Class C | UBS WM USA | 49,968.7070 | 20.09 | % | ||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| LPL Financial | 45,440.3820 | 18.27 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Charles Schwab & Co Inc | 30,730.8160 | 12.36 | % | |||||||
| Special Custody Acct FBO Customers | ||||||||||
| Attn: Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Nuveen Equity Market Neutral Fund – Class I | SEI Private Trust Company | 3,261,254.7140 | 31.59 | % | ||||||
| C/O Washington Trust Bank | ||||||||||
| 1 Freedom Valley Drive | ||||||||||
| Oaks PA 19456-9989 | ||||||||||
| American Enterprise Investment Serv | 1,444,758.4990 | 14.00 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Pershing LLC | 1,345,190.3120 | 13.03 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Charles Schwab & Co Inc | 909,235.2380 | 8.81 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| UBS WM USA | 713,578.6120 | 6.91 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| National Financial Services LLC | 645,142.1780 | 6.25 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-2
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| MLPF&S for the Benefit of its | 524,958.9600 | 5.09 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Nuveen Large Cap Core Fund – Class A | Charles Schwab & Co Inc | 428,566.8140 | 17.00 | % | ||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Morgan Stanley Smith Barney LLC | 394,390.1980 | 15.65 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| MLPF&S for the Benefit of its | 300,812.6570 | 11.94 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| American Enterprise Investment Serv | 255,144.6790 | 10.12 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| UBS WM USA | 247,973.3800 | 9.84 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Wells Fargo Clearing Services LLC | 191,615.6130 | 7.60 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| National Financial Services LLC | 159,176.4260 | 6.32 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Large Cap Core Fund – Class C | Morgan Stanley Smith Barney LLC | 393,738.9160 | 18.88 | % | ||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 |
H-3
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| UBS WM USA | 281,317.3030 | 13.49 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| MLPF&S for the Benefit of its | 275,932.2970 | 13.23 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| American Enterprise Investment Serv | 234,419.1440 | 11.24 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Raymond James | 211,078.0600 | 10.12 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Wells Fargo Clearing Services LLC | 188,222.7830 | 9.02 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Pershing LLC | 137,994.9140 | 6.62 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| National Financial Services LLC | 107,295.9530 | 5.14 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Large Cap Core Fund – Class R6 | Matrix Trust Company Cust. FBO | 18,903.0580 | 31.86 | % | ||||||
| City of Ft Morgan Police MPP | ||||||||||
| 717 17^th^ Street | ||||||||||
| Suite 1300 | ||||||||||
| Denver CO 80202-3304 | ||||||||||
| Matrix Trust Company Cust. FBO | 18,163.5030 | 30.61 | % | |||||||
| E.H. Arbuckle Distributing | ||||||||||
| 717 17^th^ Street | ||||||||||
| Suite 1300 | ||||||||||
| Denver CO 80202-3304 | ||||||||||
| Pershing LLC | 12,218.3930 | 20.59 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 |
H-4
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| State Street Bank Trustee and/or | 6,361.0740 | 10.72 | % | |||||||
| Custodian FBO ADP Access Product | ||||||||||
| 1 Lincoln St | ||||||||||
| Boston MA 02111-2901 | ||||||||||
| Nuveen Large Cap Core Fund – Class I | MLPF&S for the Benefit of its | 2,085,598.3980 | 24.22 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| UBS WM USA | 1,204,278.0700 | 13.99 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Morgan Stanley Smith Barney LLC | 1,167,858.9050 | 13.56 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| American Enterprise Investment Serv | 1,081,296.1380 | 12.56 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| LPL Financial | 613,064.0890 | 7.12 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Raymond James | 451,735.1770 | 5.25 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Nuveen Large Cap Growth Fund – Class A | Charles Schwab & Co Inc | 886,438.8010 | 23.09 | % | ||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| National Financial Services LLC | 236,438.2580 | 6.16 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-5
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Pershing LLC | 205,139.8600 | 5.34 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Morgan Stanley Smith Barney LLC | 194,922.7070 | 5.08 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Nuveen Large Cap Growth Fund – Class C | American Enterprise Investment Serv | 157,654.8990 | 18.12 | % | ||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Wells Fargo Clearing Services LLC | 107,685.1070 | 12.38 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market St | ||||||||||
| Saint Louis MO 63103-2523 | ||||||||||
| Raymond James | 101,843.3320 | 11.71 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| LPL Financial | 97,909.9270 | 11.25 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| MLPF&S for the Benefit of its | 63,033.2640 | 7.25 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 61,324.8340 | 7.05 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Charles Schwab & Co Inc | 61,194.5780 | 7.03 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Pershing LLC | 59,230.4670 | 6.81 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 |
H-6
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| National Financial Services LLC | 50,480.4580 | 5.80 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Large Cap Growth Fund – Class R6 | Pershing LLC | 34,781.7580 | 92.59 | % | ||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen Large Cap Growth Fund – Class I | MLPF&S for the Benefit of its | 946,582.7440 | 30.43 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| American Enterprise Investment Serv | 298,750.6150 | 9.60 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Raymond James | 263,548.7400 | 8.47 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| National Financial Services LLC | 231,993.9810 | 7.46 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Vanguard Fiduciary Trust Company | 203,074.1280 | 6.53 | % | |||||||
| 400 Devon Park Drive L23 | ||||||||||
| Wayne PA 19087-1816 | ||||||||||
| Morgan Stanley Smith Barney LLC | 163,561.2510 | 5.26 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Nuveen Large Cap Value Fund – Class A | MLPF&S for the Benefit of its | 1,068,888.4170 | 12.06 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 926,376.0070 | 10.45 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 |
H-7
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Wells Fargo Clearing Services LLC | 806,695.8530 | 9.10 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| National Financial Services LLC | 653,105.2750 | 7.37 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| UBS WM USA | 638,306.6250 | 7.20 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Charles Schwab & Co Inc | 605,346.2000 | 6.83 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Nuveen Large Cap Value Fund – Class C | UBS WM USA | 100,434.0650 | 23.33 | % | ||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Wells Fargo Clearing Services LLC | 85,564.8040 | 19.87 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Morgan Stanley Smith Barney LLC | 57,966.9690 | 13.46 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| American Enterprise Investment Serv | 31,532.2930 | 7.32 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Raymond James | 28,611.7540 | 6.65 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 |
H-8
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| MLPF&S for the Benefit of its Customers | 22,951.9530 | 5.33 | % | |||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Nuveen Large Cap Value Fund – Class R3 | Ascensus Trust Company FBO | 2,819.6230 | 47.89 | % | ||||||
| Eastside Christian School 401(K) | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 | ||||||||||
| Nuveen Investments Inc | 2,125.7210 | 36.11 | % | |||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| MLPF&S for the Benefit of its Customers | 942.0800 | 16.00 | % | |||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Nuveen Large Cap Value Fund – Class R6 | MLPF&S for the Benefit of its Customers | 7,986.8800 | 87.41 | % | ||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| First Command Bank | 1,150.3720 | 12.59 | % | |||||||
| PO Box 901075 | ||||||||||
| Fort Worth TX 76101-2075 | ||||||||||
| Nuveen Large Cap Value Fund – Class I | MLPF&S for the Benefit of its Customers | 1,145,962.4190 | 36.73 | % | ||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Pershing LLC | 262,026.9980 | 8.40 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| RBC Capital Markets LLC | 259,890.3410 | 8.33 | % | |||||||
| Mutual Fund Omnibus Processing | ||||||||||
| Omnibus | ||||||||||
| Attn Mutual Funds Ops Manager | ||||||||||
| 60 South Sixth Street-P08 | ||||||||||
| Minneapolis MN 55402-4413 | ||||||||||
| National Financial Services LLC | 225,840.3360 | 7.24 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-9
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| American Enterprise Investment Serv | 199,425.0580 | 6.39 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| UBS WM USA | 188,583.3520 | 6.04 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Raymond James | 170,225.0670 | 5.46 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Morgan Stanley Smith Barney LLC | 167,043.5180 | 5.35 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Nuveen NWQ Global Equity Income Fund – Class A | Morgan Stanley Smith Barney LLC | 864,767.3830 | 25.75 | % | ||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 574,963.0360 | 17.12 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market St | ||||||||||
| Saint Louis MO 63103-2523 | ||||||||||
| MLPF&S for the Benefit of its Customers | 257,450.3480 | 7.67 | % | |||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| National Financial Services LLC | 215,402.1960 | 6.41 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| UBS WM USA | 206,876.2960 | 6.16 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 |
H-10
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Charles Schwab & Co Inc | 167,948.5610 | 5.00 | % | |||||||
| Special Custody Account | ||||||||||
| For Benefit of Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Nuveen NWQ Global Equity Income Fund – Class C | Morgan Stanley Smith Barney LLC | 94,753.1060 | 18.76 | % | ||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 85,787.5500 | 16.99 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| UBS WM USA | 81,189.5650 | 16.08 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Charles Schwab & Co Inc | 57,710.1590 | 11.43 | % | |||||||
| Special Custody Acct FBO Customers | ||||||||||
| Attn: Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| LPL Financial | 37,023.6220 | 7.33 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| American Enterprise Investment Serv | 35,552.0910 | 7.04 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| National Financial Services LLC | 34,032.8160 | 6.74 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| RBC Capital Markets LLC | 27,934.1490 | 5.53 | % | |||||||
| Mutual Fund Omnibus Processing | ||||||||||
| Omnibus | ||||||||||
| Attn Mutual Funds Ops Manager | ||||||||||
| 60 South Sixth Street-P08 | ||||||||||
| Minneapolis MN 55402-4413 |
H-11
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Pershing LLC | 25,784.8580 | 5.11 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen NWQ Global Equity Income Fund – Class R3 | Massachusetts Mutual Life | 10,035.0820 | 44.26 | % | ||||||
| Insurance Company | ||||||||||
| 1295 State Street C105 | ||||||||||
| Springfield MA 01111-0001 | ||||||||||
| Mid Atlantic Trust Company FBO | 5,654.1760 | 24.94 | % | |||||||
| Automotive Employee 401(K) Plan | ||||||||||
| 1251 Waterfront Place, Suite 525 | ||||||||||
| Pittsburgh PA 15222-4228 | ||||||||||
| Morgan Stanley Smith Barney LLC | 1,788.8710 | 7.89 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Mid Atlantic Trust Company FBO | 1,683.2230 | 7.42 | % | |||||||
| Todd G. Glazener, DDS, PA 401(K) | ||||||||||
| Profit Sharing Plan & Trust | ||||||||||
| 1251 Waterfront Place Suite 525 | ||||||||||
| Pittsburgh PA 15222-4228 | ||||||||||
| MLPF&S for the Benefit of its | 1,163.3650 | 5.13 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Nuveen NWQ Global Equity Income Fund – Class I | UBS WM USA | 388,221.6670 | 21.52 | % | ||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Morgan Stanley Smith Barney LLC | 184,443.6920 | 10.23 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 165,622.4370 | 9.18 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market St | ||||||||||
| Saint Louis MO 63103-2523 | ||||||||||
| Charles Schwab & Co Inc | 162,357.4670 | 9.00 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 |
H-12
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| National Financial Services LLC | 150,564.1930 | 8.35 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Pershing LLC | 129,801.5300 | 7.20 | % | |||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| American Enterprise Investment Serv | 113,841.9950 | 6.31 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Raymond James | 100,713.4640 | 5.58 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Nuveen NWQ Large-Cap Value Fund – Class A | Morgan Stanley Smith Barney LLC | 209,247.7340 | 22.61 | % | ||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 173,541.5380 | 18.75 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| LPL Financial | 129,298.0420 | 13.97 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| MLPF&S for the Benefit of its Customers | 104,738.8560 | 11.32 | % | |||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Charles Schwab & Co Inc | 63,066.4370 | 6.81 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Charles Schwab & Co Inc | 61,849.1290 | 6.68 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 |
H-13
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| UBS WM USA | 55,414.3290 | 5.99 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Nuveen NWQ Large-Cap Value Fund – Class C | LPL Financial | 267,507.9650 | 50.94 | % | ||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Wells Fargo Clearing Services LLC | 123,084.0670 | 23.44 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| UBS WM USA | 41,662.9190 | 7.93 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| National Financial Services LLC | 32,990.8710 | 6.28 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Morgan Stanley Smith Barney LLC | 30,499.3020 | 5.81 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Nuveen NWQ Large-Cap Value Fund – Class R3 | Nuveen Investments Inc | 17,694.5050 | 100.00 | % | ||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| Nuveen NWQ Large-Cap Value Fund – Class I | LPL Financial | 1,269,231.0910 | 40.73 | % | ||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| National Financial Services LLC | 727,235.6640 | 23.34 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-14
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Pershing LLC | 268,041.8690 | 8.60 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Morgan Stanley Smith Barney LLC | 219,015.1140 | 7.03 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Nuveen NWQ Multi-Cap Value Fund – Class A | Morgan Stanley Smith Barney LLC | 269,692.9250 | 25.41 | % | ||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 190,563.2050 | 17.96 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| MLPF&S for the Benefit of its | 125,849.3690 | 11.86 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Charles Schwab & Co Inc | 83,921.9820 | 7.91 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| UBS WM USA | 62,613.4090 | 5.90 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| National Financial Services LLC | 60,539.9890 | 5.71 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Edward D Jones & Co | 54,836.2910 | 5.17 | % | |||||||
| For the Benefit of Customers | ||||||||||
| 12555 Manchester Rd | ||||||||||
| Saint Louis MO 63131-3710 | ||||||||||
| Nuveen NWQ Multi-Cap Value Fund – Class C | Wells Fargo Clearing Services LLC | 14,155.3660 | 30.85 | % | ||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 |
H-15
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| TD Ameritrade Inc FBO | 6,709.6720 | 14.62 | % | |||||||
| Our Customers | ||||||||||
| PO Box 2226 | ||||||||||
| Omaha NE 68103-2226 | ||||||||||
| Morgan Stanley Smith Barney LLC | 5,533.5070 | 12.06 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| LPL Financial | 5,065.0490 | 11.04 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| UBS WM USA | 3,199.8480 | 6.97 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| RBC Capital Markets LLC | 2,847.6100 | 6.21 | % | |||||||
| Mutual Fund Omnibus Processing | ||||||||||
| Omnibus | ||||||||||
| Attn Mutual Funds Ops Manager | ||||||||||
| 60 South Sixth Street-P08 | ||||||||||
| Minneapolis MN 55402-4413 | ||||||||||
| National Financial Services LLC | 2,557.3390 | 5.57 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen NWQ Multi-Cap Value Fund – Class I | Charles Schwab & Co Inc | 188,128.1160 | 22.14 | % | ||||||
| Reinvest Account | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Morgan Stanley Smith Barney LLC | 156,497.2680 | 18.42 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 133,325.3460 | 15.69 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Pershing LLC | 75,235.1080 | 8.85 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 |
H-16
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| JP Morgan Chase Bank NA FBO | 49,569.2000 | 5.83 | % | |||||||
| TIAA-CREF Trust Co as Cust | ||||||||||
| For IRA Clients | ||||||||||
| 4 Metrotech Ctr | ||||||||||
| Brooklyn NY 11245-0004 | ||||||||||
| Nuveen NWQ Small/Mid-Cap Value Fund – Class A | MLPF&S for the Benefit of its Customers | 26,603.5390 | 22.78 | % | ||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 13,622.2030 | 11.66 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Pershing LLC | 11,692.4540 | 10.01 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Charles Schwab & Co Inc | 9,479.5420 | 8.12 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Charles Schwab & Co Inc | 9,180.4630 | 7.86 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| National Financial Services LLC | 7,716.7050 | 6.61 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Raymond James | 6,909.7350 | 5.92 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Edward D Jones & Co | 6,513.3470 | 5.58 | % | |||||||
| For the Benefit of Customers | ||||||||||
| 12555 Manchester Rd | ||||||||||
| Saint Louis MO 63131-3710 |
H-17
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen NWQ Small/Mid-Cap Value Fund – Class C | Wells Fargo Clearing Services LLC | 12,504.0420 | 37.24 | % | ||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Morgan Stanley Smith Barney LLC | 6,354.6040 | 18.93 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| LPL Financial | 5,669.3300 | 16.89 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Pershing LLC | 3,201.0160 | 9.53 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| MLPF&S for the Benefit of its | 3,063.8940 | 9.13 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Nuveen NWQ Small/Mid-Cap Value Fund – Class R3 | Ascensus Trust Company FBO | 4,278.1040 | 42.49 | % | ||||||
| Make-A-Wish 401(K) Plan | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 | ||||||||||
| Nuveen Investments Inc | 3,355.9900 | 33.33 | % | |||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| MLPF&S for the Benefit of its | 1,312.8420 | 13.04 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Ascensus Trust Company FBO | 1,122.1520 | 11.14 | % | |||||||
| Christian T Harteau 401K Plan | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 | ||||||||||
| Nuveen NWQ Small/Mid-Cap Value Fund – Class R6 | Vanguard Fiduciary Trust Company | 337,165.9550 | 82.63 | % | ||||||
| 400 Devon Park Drive | ||||||||||
| Wayne PA 19087-1816 |
H-18
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Saturna Trust Company | 49,585.0840 | 12.15 | % | |||||||
| FBO Janicki Industries 401(K) | ||||||||||
| 1476 E Moore St | ||||||||||
| Sedro Woolley WA 98284-7522 | ||||||||||
| Nuveen NWQ Small/Mid-Cap Value Fund – Class I | JP Morgan Chase Bank NA FBO | 316,351.4210 | 61.56 | % | ||||||
| TIAA-CREF Trust Co as Cust | ||||||||||
| For IRA Clients | ||||||||||
| 4 Metrotech Ctr | ||||||||||
| Brooklyn NY 11245-0004 | ||||||||||
| LPL Financial | 120,970.9720 | 23.54 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Pershing LLC | 32,784.0960 | 6.38 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen NWQ Small-Cap Value Fund – Class A | MLPF&S for the Benefit of its Customers | 174,147.2460 | 26.84 | % | ||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Charles Schwab & Co Inc | 163,948.0740 | 25.27 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Morgan Stanley Smith Barney LLC | 55,944.9470 | 8.62 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 39,910.6720 | 6.15 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| National Financial Services LLC | 36,134.7440 | 5.57 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen NWQ Small-Cap Value Fund – Class C | LPL Financial | 68,228.6770 | 29.00 | % | ||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 |
H-19
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Wells Fargo Clearing Services LLC | 50,712.6910 | 21.56 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| American Enterprise Investment Serv | 23,586.3720 | 10.03 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| MLPF&S for the Sole Benefit | 21,463.5110 | 9.12 | % | |||||||
| Of its Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 14,612.4830 | 6.21 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| UBS WM USA | 12,468.6930 | 5.30 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Nuveen NWQ Small-Cap Value Fund – Class R3 | MLPF&S for the Benefit of its | 15,629.1430 | 27.57 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Matrix Trust Company Cust. FBO | 5,895.3120 | 10.40 | % | |||||||
| Progressive Surgical | ||||||||||
| 717 17^th^ Street | ||||||||||
| Suite 1300 | ||||||||||
| Denver CO 80202-3304 | ||||||||||
| Matrix Trust Company Cust. FBO | 5,162.3440 | 9.11 | % | |||||||
| FH+H 401(K) and Profit Sharing Plan | ||||||||||
| 717 17^th^ Street | ||||||||||
| Suite 1300 | ||||||||||
| Denver CO 80202-3304 | ||||||||||
| State Street Bank and Trust Company | 4,336.0950 | 7.65 | % | |||||||
| Trustee and/or Custodian | ||||||||||
| FBO ADP Access Product | ||||||||||
| 1 Lincoln St | ||||||||||
| Boston MA 02111-2901 |
H-20
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Matrix Trust Company Cust. FBO | 2,993.6770 | 5.28 | % | |||||||
| Toms River Boe (NJ) 403(B) | ||||||||||
| 717 17^th^ Street | ||||||||||
| Suite 1300 | ||||||||||
| Denver CO 80202-3304 | ||||||||||
| Nuveen NWQ Small-Cap Value Fund – Class R6 | MLPF&S for the Benefit of its | 50,034.6340 | 36.14 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| John Hancock Trust Company LLC | 41,112.6180 | 29.69 | % | |||||||
| 690 Canton St Ste 100 | ||||||||||
| Westwood MA 02090-2324 | ||||||||||
| Pershing LLC | 16,516.0190 | 11.93 | % | |||||||
| PO Box 2052 | ||||||||||
| Jersey City NJ 07303-2052 | ||||||||||
| Nuveen NWQ Small-Cap Value Fund – Class I | Pershing LLC | 2,072,494.4050 | 49.59 | % | ||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Charles Schwab & Co Inc | 743,600.3900 | 17.79 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| LPL Financial | 370,538.2370 | 8.87 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| National Financial Services LLC | 235,435.4470 | 5.63 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Investment Trust II | ||||||||||
| Nuveen Emerging Markets Equity Fund – Class A | Pershing LLC | 5,152.5930 | 49.90 | % | ||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| U.S. Bancorp Investments Inc. | 2,262.1730 | 21.91 | % | |||||||
| 60 Livingston Avenue | ||||||||||
| Gladstone MO 64119-5357 | ||||||||||
| U.S. Bancorp Investments Inc. | 1,660.7050 | 16.08 | % | |||||||
| 60 Livingston Avenue | ||||||||||
| Grafton WI 53024-2515 |
H-21
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Teachers Insurance & Annuity | 1,250.0000 | 12.11 | % | |||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Emerging Markets Equity Fund – Class C | Teachers Insurance & Annuity | 1,250.0000 | 88.63 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Pershing LLC | 160.3580 | 11.37 | % | |||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| Nuveen Emerging Markets Equity Fund – Class R6 | Teachers Insurance & Annuity | 496,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Emerging Markets Equity Fund – Class I | TIAA FSB Cust Cust/Ttee FBO | 13,677.2510 | 91.63 | % | ||||||
| Retirement Plans for which | ||||||||||
| TIAA acts as Recordkeeper | ||||||||||
| Attn Trust Operations | ||||||||||
| 211 N Broadway Ste 1000 | ||||||||||
| Saint Louis MO 63102-2748 | ||||||||||
| Teachers Insurance & Annuity | 1,250.0000 | 8.37 | % | |||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Equity Long/Short Fund – Class A | National Financial Services LLC | 446,464.7210 | 56.05 | % | ||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| American Enterprise Investment Serv | 68,905.8460 | 8.65 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| UBS WM USA | 60,875.3910 | 7.64 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 |
H-22
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial | 40,891.8530 | 5.13 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Nuveen Equity Long/Short Fund – Class C | American Enterprise Investment Serv | 94,629.9160 | 27.91 | % | ||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| LPL Financial | 65,485.1510 | 19.31 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| UBS WM USA | 62,458.3770 | 18.42 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Charles Schwab & Co Inc | 35,982.4950 | 10.61 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| National Financial Services LLC | 33,054.5160 | 9.75 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Equity Long/Short Fund – Class I | UBS WM USA | 1,102,977.7200 | 36.85 | % | ||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| American Enterprise Investment Serv | 588,411.5040 | 19.66 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| National Financial Services LLC | 275,144.3620 | 9.19 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-23
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial | 215,132.5640 | 7.19 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Pershing LLC | 190,041.2590 | 6.35 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen International Growth Fund – Class A | Charles Schwab & Co Inc | 140,828.4070 | 16.15 | % | ||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Charles Schwab & Co Inc | 120,434.5260 | 13.81 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| MLPF&S for the Benefit of its | 82,868.5270 | 9.50 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Wells Fargo Clearing Services LLC | 70,668.2080 | 8.10 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| American Enterprise Investment Serv | 61,739.3970 | 7.08 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| National Financial Services LLC | 51,565.1900 | 5.91 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| UBS WM USA | 50,284.9200 | 5.77 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 |
H-24
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen International Growth Fund – Class C | Raymond James | 41,034.9860 | 21.36 | % | ||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| American Enterprise Investment Serv | 35,368.9250 | 18.41 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Wells Fargo Clearing Services LLC | 18,821.6090 | 9.80 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| National Financial Services LLC | 17,899.3700 | 9.32 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| MLPF&S for the Benefit of its | 15,211.9490 | 7.92 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Pershing LLC | 15,014.7090 | 7.82 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| LPL Financial | 9,942.3230 | 5.18 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Nuveen International Growth Fund – Class R3 | Ascensus Trust Company FBO | 5,024.0630 | 38.84 | % | ||||||
| Warner Air, LLC Safe Harbor 401(K) | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 | ||||||||||
| State Street Bank and Trust Company | 3,621.6220 | 28.00 | % | |||||||
| Trustee and/or Custodian | ||||||||||
| FBO ADP Access Product | ||||||||||
| 1 Lincoln St | ||||||||||
| Boston MA 02111-2901 | ||||||||||
| Ascensus Trust Company FBO | 2,412.3830 | 18.65 | % | |||||||
| Make-A-Wish 401(K) Plan | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 |
H-25
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen International Growth Fund – Class R6 | Pershing LLC | 2,432.5490 | 27.85 | % | ||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| AUL Group Retirement Account | 2,362.0200 | 27.04 | % | |||||||
| Attn Separate Accts | ||||||||||
| PO Box 368 | ||||||||||
| Indianapolis IN 46206-0368 | ||||||||||
| John Hancock Trust Company LLC | 1,847.2230 | 21.15 | % | |||||||
| 690 Canton St Suite 100 | ||||||||||
| Westwood MA 02090-2324 | ||||||||||
| Edward D Jones & Co | 770.5220 | 8.82 | % | |||||||
| For the Benefit of Customers | ||||||||||
| 12555 Manchester Rd | ||||||||||
| Saint Louis MO 63131-3710 | ||||||||||
| Teachers Insurance & Annuity | 701.0660 | 8.03 | % | |||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Ascensus Trust Company FBO | 622.2450 | 7.12 | % | |||||||
| Seta Employee Savings & Protection | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 | ||||||||||
| Nuveen International Growth Fund – Class I | MLPF&S for the Benefit of its | 983,840.8760 | 19.50 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Wells Fargo Bank NA | 971,169.4810 | 19.25 | % | |||||||
| FBO: City of Houston | ||||||||||
| C/O Fascore LLC | ||||||||||
| 8515 E Orchard Rd 2T2 | ||||||||||
| Greenwood Vlg CO 80111-5002 | ||||||||||
| National Financial Services LLC | 810,548.7490 | 18.05 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| RBC Capital Markets LLC | 394,509.7370 | 7.82 | % | |||||||
| Mutual Fund Omnibus Processing | ||||||||||
| Omnibus | ||||||||||
| Attn Mutual Funds Ops Manager | ||||||||||
| 60 South Sixth Street-P08 | ||||||||||
| Minneapolis MN 55402-4413 |
H-26
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Band & Co | 332,789.4660 | 6.60 | % | |||||||
| C/O US Bank | ||||||||||
| PO Box 1787 | ||||||||||
| Milwaukee WI 53201-1787 | ||||||||||
| Nuveen NWQ International Value Fund – Class A | Morgan Stanley Smith Barney LLC | 233,763.4100 | 27.94 | % | ||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| MLPF&S | 97,013.4280 | 11.60 | % | |||||||
| For its Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Floor 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Wells Fargo Clearing Services LLC | 85,973.3000 | 10.28 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| UBS WM USA | 64,714.8980 | 7.74 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| National Financial Services LLC | 63,066.7810 | 7.54 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Pershing LLC | 55,002.2180 | 6.57 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| LPL Financial | 47,216.0580 | 5.64 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Nuveen NWQ International Value Fund – Class C | UBS WM USA | 10,112.5430 | 26.04 | % | ||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Wells Fargo Clearing Services LLC | 7,718.5310 | 19.88 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 |
H-27
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| American Enterprise Investment Serv | 4,327.1150 | 11.14 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| MLPF&S | 3,851.2850 | 9.92 | % | |||||||
| For its Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Floor 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 2,775.8470 | 7.15 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Charles Schwab & Co Inc | 2,501.5090 | 6.44 | % | |||||||
| Special Custody Acct FBO Customers | ||||||||||
| Attn: Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| TD Ameritrade Inc FBO | 2,149.8450 | 5.54 | % | |||||||
| Our Customers | ||||||||||
| PO Box 2226 | ||||||||||
| Omaha NE 68103-2226 | ||||||||||
| Nuveen NWQ International Value Fund – Class R3 | Hartford Life Insurance Co | 11,697.6070 | 56.16 | % | ||||||
| Separate Account | ||||||||||
| Attn UIT Operations | ||||||||||
| PO Box 2999 | ||||||||||
| Hartford CT 06104-2999 | ||||||||||
| Reliance Trust Company FBO | 5,897.9690 | 28.31 | % | |||||||
| Realtracs, inc. | ||||||||||
| PO Box 78446 | ||||||||||
| Atlanta GA 30357-2446 | ||||||||||
| Great-West Trust Company LLC FBO | 1,536.3940 | 7.38 | % | |||||||
| Employee Benefits Clients 401K | ||||||||||
| 8515 E Orchard Rd 2T2 | ||||||||||
| Greenwood Village CO 80111-5002 | ||||||||||
| MLPF&S for the Benefit of its | 1,173.1810 | 5.63 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 |
H-28
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen NWQ International Value Fund – Class I | Morgan Stanley Smith Barney LLC | 2,453,045.9930 | 56.27 | % | ||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| JP Morgan Chase Bank NA FBO | 525,076.8650 | 12.04 | % | |||||||
| TIAA-CREF Trust Co as Cust | ||||||||||
| For IRA Clients | ||||||||||
| 4 Metrotech Ctr | ||||||||||
| Brooklyn NY 11245-0004 | ||||||||||
| Wells Fargo Clearing Services LLC | 297,220.2930 | 6.82 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| UBS WM USA | 275,782.2200 | 6.33 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Pershing LLC | 256,764.6970 | 5.89 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen Santa Barbara Dividend Growth Fund – Class A | MLPF&S for the Benefit of its Customers | 5,186,370.2040 | 36.12 | % | ||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 2,587,173.0210 | 18.02 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Wells Fargo Clearing Services LLC | 1,056,593.9270 | 7.36 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Nuveen Santa Barbara Dividend Growth Fund – Class C | MLPF&S for the Benefit of its | 2,089,213.8550 | 28.02 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 1,073,335.2320 | 14.39 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 |
H-29
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Wells Fargo Clearing Services LLC | 995,120.2620 | 13.34 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| American Enterprise Investment Serv | 611,019.1310 | 8.19 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Raymond James | 547,018.3690 | 7.34 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| UBS WM USA | 528,745.9990 | 7.09 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Charles Schwab & Co Inc | 425,318.3720 | 5.70 | % | |||||||
| Special Custody Acct FBO Customers | ||||||||||
| Attn: Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Nuveen Santa Barbara Dividend Growth Fund – Class R3 | Hartford Life Insurance Co | 49,237.1910 | 21.71 | % | ||||||
| Separate Account | ||||||||||
| Attn UIT Operations | ||||||||||
| PO Box 2999 | ||||||||||
| Hartford CT 06104-2999 | ||||||||||
| DCGT as Ttee and/or Cust | 27,684.6180 | 12.20 | % | |||||||
| FBO PLIC Various Retirement Plans | ||||||||||
| Omnibus | ||||||||||
| Attn NPIO Trade Desk | ||||||||||
| 711 High Street | ||||||||||
| Des Moines IA 50392-0001 | ||||||||||
| Massachusetts Mutual | 26,849.8240 | 11.84 | % | |||||||
| Life Insurance Co | ||||||||||
| 1295 State St | ||||||||||
| Springfield MA 01111-0001 | ||||||||||
| MLPF&S for the Benefit of its | 19,993.3890 | 8.81 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 |
H-30
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Wells Fargo Bank FBO | 14,374.9690 | 6.34 | % | |||||||
| Various Retirement Plans | ||||||||||
| 1525 West Wt Harris Blvd | ||||||||||
| Charlotte NC 28288-1076 | ||||||||||
| Ascensus Trust Company FBO | 11,394.8530 | 5.02 | % | |||||||
| Ronlen Industries 401(K) & Profit S | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 | ||||||||||
| Nuveen Santa Barbara Dividend Growth Fund – Class R6 | Mac & Co | 823,318.7670 | 52.17 | % | ||||||
| Attn: Mutual Fund Operations | ||||||||||
| 500 Grant Street | ||||||||||
| Room 151-1010 | ||||||||||
| Pittsburgh PA 15219-2502 | ||||||||||
| MLPF&S for the Benefit of its | 302,707.4060 | 19.18 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Capinco | 125,943.0290 | 7.98 | % | |||||||
| C/O US Bank | ||||||||||
| PO Box 1787 | ||||||||||
| Milwaukee WI 53201-1787 | ||||||||||
| Pershing LLC | 104,737.6540 | 6.64 | % | |||||||
| PO Box 2052 | ||||||||||
| Jersey City NJ 07303-2052 | ||||||||||
| The Hartford | 89,141.4890 | 5.65 | % | |||||||
| 1 Hartford Plz | ||||||||||
| Hartford CT 06155-0001 | ||||||||||
| Nuveen Santa Barbara Dividend Growth Fund – Class I | MLPF&S for the Benefit of its | 16,110,463.2990 | 36.83 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 6,421,400.9700 | 14.68 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| National Financial Services LLC | 2,857,701.3500 | 6.53 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-31
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| American Enterprise Investment Serv | 2,802,939.9840 | 6.41 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| UBS WM USA | 2,413,798.6590 | 5.52 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Nuveen Santa Barbara Global Dividend Growth Fund – Class A | Charles Schwab & Co Inc | 50,348.1480 | 23.09 | % | ||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| American Enterprise Investment Serv | 41,612.4130 | 19.09 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Morgan Stanley Smith Barney LLC | 34,226.8380 | 15.70 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Edward D Jones & Co | 26,199.6480 | 12.02 | % | |||||||
| For the Benefit of Customers | ||||||||||
| 12555 Manchester Rd | ||||||||||
| Saint Louis MO 63131-3710 | ||||||||||
| Pershing LLC | 24,166.0530 | 11.08 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| National Financial Services LLC | 20,244.0300 | 9.29 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Santa Barbara Global Dividend Growth Fund – Class C | Pershing LLC | 21,328.1590 | 31.67 | % | ||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| American Enterprise Investment Serv | 11,278.5680 | 16.75 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 |
H-32
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Morgan Stanley Smith Barney LLC | 9,352.4520 | 13.89 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Raymond James | 7,801.7800 | 11.58 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| National Financial Services LLC | 6,182.4280 | 9.18 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Santa Barbara Global Dividend Growth Fund – Class R3 | FIIOC FBO | 2,748.8330 | 38.03 | % | ||||||
| Hay Distributing | ||||||||||
| 100 Magellan Way | ||||||||||
| Covington KY 41015-1987 | ||||||||||
| Nuveen Investments Inc | 2,500.0000 | 34.59 | % | |||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| Matrix Trust Company Cust. FBO | 1,979.0920 | 27.38 | % | |||||||
| Texoma Pulmonary & Sleep | ||||||||||
| 717 17^th^ Street | ||||||||||
| Suite 1300 | ||||||||||
| Denver CO 80202-3304 | ||||||||||
| Nuveen Santa Barbara Global Dividend Growth Fund – Class I | American Enterprise Investment Serv | 233,134.9570 | 55.44 | % | ||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Charles Schwab & Co Inc | 76,599.9820 | 18.22 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Nuveen Investments Inc | 42,500.0000 | 10.11 | % | |||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| Pershing LLC | 27,062.3910 | 6.44 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 |
H-33
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Santa Barbara International Dividend Growth Fund – Class A | Charles Schwab & Co Inc | 37,328.2060 | 54.77 | % | ||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Edward D Jones & Co | 13,907.2010 | 20.40 | % | |||||||
| For the Benefit of Customers | ||||||||||
| 12555 Manchester Rd | ||||||||||
| Saint Louis MO 63131-3710 | ||||||||||
| National Financial Services LLC | 4,387.8820 | 6.44 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Santa Barbara International Dividend Growth Fund – Class C | Pershing LLC | 9,647.9570 | 55.55 | % | ||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| Nuveen Investments Inc | 2,500.0000 | 14.39 | % | |||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| LPL Financial | 2,016.9020 | 11.61 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| American Enterprise Investment Serv | 1,458.0990 | 8.39 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Nuveen Santa Barbara International Dividend Growth Fund – Class R3 | Nuveen Investments Inc | 2,500.0000 | 100.00 | % | ||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| Nuveen Santa Barbara International Dividend Growth Fund – Class I | LPL Financial | 53,144.8760 | 50.31 | % | ||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 |
H-34
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Investments Inc | 42,500.0000 | 40.23 | % | |||||||
| Attn Darlene Cramer | ||||||||||
| 333 W Wacker Dr | ||||||||||
| Chicago IL 60606-1220 | ||||||||||
| Nuveen Winslow International Large Cap Fund – Class A | Teachers Insurance & Annuity | 1,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Winslow International Large Cap Fund – Class C | Teachers Insurance & Annuity | 1,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Winslow International Large Cap Fund – Class R6 | Teachers Insurance & Annuity | 246,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Winslow International Large Cap Fund – Class I | Teachers Insurance & Annuity | 1,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Winslow International Small Cap Fund – Class A | Ascensus Trust Company FBO | 17,284.2150 | 73.69 | % | ||||||
| Jeff Belzer’s 401K Plan | ||||||||||
| P.O. Box 10758 | ||||||||||
| Fargo ND 58106-0758 | ||||||||||
| Pershing LLC | 4,547.3020 | 19.39 | % | |||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| Teachers Insurance & Annuity | 1,250.0000 | 5.33 | % | |||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Winslow International Small Cap Fund – Class C | Teachers Insurance & Annuity | 1,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 |
H-35
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Winslow International Small Cap Fund – Class R6 | Teachers Insurance & Annuity | 1,569,727.4070 | 98.42 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Winslow International Small Cap Fund – Class I | Charles Schwab & Co Inc | 409,039.3700 | 70.85 | % | ||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Justin H Kelly Ttee | 145,259.6880 | 25.16 | % | |||||||
| Justin Kelly Revocable Trust | ||||||||||
| UA Dtd 04/12/2010 | ||||||||||
| 3100 Maplewood Rd | ||||||||||
| Wayzata MN 55391-2644 | ||||||||||
| Nuveen Winslow Large-Cap Growth ESG Fund – Class A | MLPF&S for the Benefit of its | 221,271.5250 | 28.55 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| National Financial Services LLC | 134,316.8860 | 17.33 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| JP Morgan Securities LLC Omnibus | 93,690.7180 | 12.09 | % | |||||||
| Account for the Exclusive Benefit | ||||||||||
| Of Customers | ||||||||||
| 4 Chase Metrotech Ctr 3^rd^ Fl | ||||||||||
| Mutual Fund Department | ||||||||||
| Brooklyn NY 11245-0003 | ||||||||||
| Edward D Jones & Co | 57,656.7930 | 7.44 | % | |||||||
| For the Benefit of Customers | ||||||||||
| 12555 Manchester Rd | ||||||||||
| Saint Louis MO 63131-3710 | ||||||||||
| American Enterprise Investment Serv | 49,598.3460 | 6.40 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 |
H-36
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Charles Schwab & Co Inc | 49,503.7680 | 6.39 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Pershing LLC | 41,797.3510 | 5.39 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen Winslow Large-Cap Growth ESG Fund – Class C | Raymond James | 79,711.6560 | 41.85 | % | ||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| American Enterprise Investment Serv | 45,236.2100 | 23.75 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| JP Morgan Securities LLC Omnibus | 18,916.0990 | 9.93 | % | |||||||
| Account for the Exclusive Benefit | ||||||||||
| Of Customers | ||||||||||
| 4 Chase Metrotech Ctr 3^rd^ Fl | ||||||||||
| Mutual Fund Department | ||||||||||
| Brooklyn NY 11245-0003 | ||||||||||
| Pershing LLC | 17,399.7710 | 9.14 | % | |||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| LPL Financial | 13,728.4370 | 7.21 | % | |||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Nuveen Winslow Large-Cap Growth ESG Fund – Class R3 | National Financial Services LLC | 11,590.3620 | 100.00 | % | ||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen Winslow Large-Cap Growth ESG Fund – Class R6 | Voya Institutional Trust Company | 771,790.8860 | 40.57 | % | ||||||
| As Trustee or Custodian Fors | ||||||||||
| Core Market Retirement Plans | ||||||||||
| 30 Braintree Hill Office Park | ||||||||||
| Braintree MA 02184-8747 |
H-37
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| T Rowe Price Retirement Plan | 504,766.3250 | 26.54 | % | |||||||
| Services | ||||||||||
| FBO Retirement Plan Clients | ||||||||||
| 4515 Painters Mill Rd | ||||||||||
| Owings Mills MD 21117-4903 | ||||||||||
| Charles Schwab & Co Inc | 216,822.7890 | 11.40 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Order of St Benedict | 190,810.8360 | 10.03 | % | |||||||
| 2850 Abbey Plaza | ||||||||||
| PO Box 2222 | ||||||||||
| Collegeville MN 56321-2222 | ||||||||||
| Nuveen Winslow Large-Cap Growth ESG Fund – Class I | Pershing LLC | 104,231.9550 | 5.48 | % | ||||||
| PO Box 2052 | ||||||||||
| Jersey City NJ 07303-2052 | ||||||||||
| National Financial Services LLC | 8,822,002.0930 | 58.69 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Wells Fargo Bank NA | 1,233,055.0150 | 8.20 | % | |||||||
| FBO The City of St Louis Pub Emp | ||||||||||
| C/O Fascore LLC | ||||||||||
| 8515 E Orchard Rd 2T2 | ||||||||||
| Greenwood Vlg CO 80111-5002 | ||||||||||
| Charles Schwab & Co Inc | 1,152,793.2600 | 7.67 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Nuveen Investment Trust III | ||||||||||
| Nuveen Symphony High Yield Income Fund – Class A | MLPF&S for the Benefit of its | 313,569.4200 | 14.62 | % | ||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| National Financial Services LLC | 297,105.5960 | 13.85 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-38
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Morgan Stanley Smith Barney LLC | 238,040.8540 | 11.10 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| American Enterprise Investment Serv | 205,111.6670 | 9.56 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Wells Fargo Clearing Services LLC | 187,930.3770 | 8.76 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Charles Schwab & Co Inc | 139,426.8680 | 6.50 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Pershing LLC | 136,170.0970 | 6.35 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Raymond James | 133,683.0740 | 6.23 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Nuveen Symphony High Yield Income Fund – Class C | UBS WM USA | 527,042.0420 | 26.56 | % | ||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Raymond James | 301,564.3270 | 15.20 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| LPL Financial | 207,089.2780 | 10.44 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 |
H-39
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Wells Fargo Clearing Services LLC | 198,503.5350 | 10.00 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| American Enterprise Investment Serv | 198,416.5160 | 10.00 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Pershing LLC | 131,495.7770 | 6.63 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Morgan Stanley Smith Barney LLC | 120,598.7810 | 6.08 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Nuveen Symphony High Yield Income Fund – Class R6 | Mac & Co | 192,215.2600 | 63.64 | % | ||||||
| Attn: Mutual Fund Operations | ||||||||||
| 500 Grant Street | ||||||||||
| Room 151-1010 | ||||||||||
| Pittsburgh PA 15219-2502 | ||||||||||
| Pershing LLC | 65,768.1210 | 21.78 | % | |||||||
| PO Box 2052 | ||||||||||
| Jersey City NJ 07303-2052 | ||||||||||
| MLPF&S for the Benefit of its | 21,692.8360 | 7.18 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Nuveen Symphony High Yield Income Fund – Class I | JP Morgan Chase Bank NA FBO | 7,906,117.9380 | 32.34 | % | ||||||
| TIAA-CREF Trust Co as Cust | ||||||||||
| For IRA Clients | ||||||||||
| 4 Metrotech Ctr | ||||||||||
| Brooklyn NY 11245-0004 | ||||||||||
| UBS WM USA | 2,995,803.3450 | 12.25 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| National Financial Services LLC | 2,477,668.8050 | 10.13 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-40
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| TD Ameritrade Inc FBO | 1,573,335.9420 | 6.44 | % | |||||||
| Our Customers | ||||||||||
| PO Box 2226 | ||||||||||
| Omaha NE 68103-2226 | ||||||||||
| Charles Schwab & Co Inc | 1,520,738.8420 | 6.22 | % | |||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| Nuveen Symphony Floating Rate Income Fund – Class A | MLPF&S for the Benefit of its Customers | 1,191,473.3590 | 23.32 | % | ||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 773,164.8020 | 15.14 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| National Financial Services LLC | 708,756.8000 | 13.87 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Pershing LLC | 429,340.7580 | 8.40 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| JP Morgan Securities LLC Omnibus | 331,333.6370 | 6.49 | % | |||||||
| Account for the Exclusive Benefit | ||||||||||
| Of Customers | ||||||||||
| 4 Chase Metrotech Ctr 3^rd^ Fl | ||||||||||
| Mutual Fund Department | ||||||||||
| Brooklyn NY 11245-0003 | ||||||||||
| American Enterprise Investment Serv | 327,050.0470 | 6.40 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Raymond James | 266,822.3100 | 5.22 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Nuveen Symphony Floating Rate Income Fund – Class C | Pershing LLC | 402,997.0510 | 21.40 | % | ||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 |
H-41
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Wells Fargo Clearing Services LLC | 244,001.8980 | 12.96 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| MLPF&S for the Benefit of its | 233,464.6700 | 12.40 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Raymond James | 185,930.8640 | 9.87 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Morgan Stanley Smith Barney LLC | 178,823.5550 | 9.50 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| American Enterprise Investment Serv | 140,586.5080 | 7.47 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| National Financial Services LLC | 108,236.7190 | 5.75 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Charles Schwab & Co Inc | 107,684.1630 | 5.72 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| LPL Financial | 105,289.6320 | 5.59 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| UBS WM USA | 97,949.4710 | 5.20 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 |
H-42
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Symphony Floating Rate Income Fund – Class R6 | UBATCO & Co FBO Bright Start | 2,067,346.7750 | 66.36 | % | ||||||
| 6811 S 27^th^ St | ||||||||||
| Lincoln NE 68512-4823 | ||||||||||
| HOCO FBO Non Fid Erisa | 947,845.2900 | 30.43 | % | |||||||
| 922 Walnut St | ||||||||||
| Mailstop TBTS 2 | ||||||||||
| Kansas City MO 64106-1802 | ||||||||||
| Nuveen Symphony Floating Rate Income Fund – Class I | HOCO FBO Non Fid Erisa | 4,640,909.4730 | 15.30 | % | ||||||
| 922 Walnut St | ||||||||||
| Mailstop TBTS 2 | ||||||||||
| Kansas City MO 64106-1802 | ||||||||||
| American Enterprise Investment Serv | 4,452,213.2650 | 14.68 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Goldman Sachs & Co | 4,045,026.0940 | 13.34 | % | |||||||
| C/O Mutual Funds Ops | ||||||||||
| 222 South Main St | ||||||||||
| Salt Lake City UT 84101-2199 | ||||||||||
| National Financial Services LLC | 2,272,219.3990 | 7.49 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| MLPF&S for the Benefit of its | 2,083,890.1330 | 6.87 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Capinco | 2,013,394.0840 | 6.64 | % | |||||||
| C/O US Bank | ||||||||||
| PO Box 1787 | ||||||||||
| Milwaukee WI 53201-1787 | ||||||||||
| TD Ameritrade Inc for the | 1,652,239.7120 | 5.45 | % | |||||||
| Exclusive Benefit of our Clients | ||||||||||
| PO Box 2226 | ||||||||||
| Omaha NE 68103-2226 | ||||||||||
| Nuveen Investment Trust V | ||||||||||
| Nuveen Gresham Managed Futures Strategy Fund – Class A | Pershing LLC | 7,251.9280 | 63.35 | % | ||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 |
H-43
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Violette Balma | 2,691.0160 | 23.51 | % | |||||||
| 10051 Sprit Cir | ||||||||||
| Huntingtn Bch CA 92646-7402 | ||||||||||
| Teachers Insurance & Annuity | 1,250.0000 | 10.92 | % | |||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Gresham Managed Futures Strategy Fund – Class C | Teachers Insurance & Annuity | 1,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Gresham Managed Futures Strategy Fund – Class R6 | Teachers Insurance & Annuity | 1,246,250.0000 | 100.00 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen Gresham Managed Futures Strategy Fund – Class I | Pershing LLC | 13,278.8390 | 91.40 | % | ||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| Teachers Insurance & Annuity | 1,250.0000 | 8.60 | % | |||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Nuveen NWQ Flexible Income Fund – Class A | Wells Fargo Clearing Services LLC | 1,706,803.3420 | 13.95 | % | ||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Charles Schwab & Co Inc | 1,705,795.5040 | 13.94 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| National Financial Services LLC | 1,299,502.9340 | 10.62 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-44
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Morgan Stanley Smith Barney LLC | 1,212,388.9250 | 9.91 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| LPL Financial | 1,184,727.5250 | 9.68 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| American Enterprise Investment Serv | 1,154,115.7570 | 9.43 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Pershing LLC | 928,179.0300 | 7.58 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Raymond James | 886,554.6230 | 7.24 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| JP Morgan Securities LLC Omnibus | 620,791.2290 | 5.07 | % | |||||||
| Account for the Exclusive Benefit Of Customers | ||||||||||
| 4 Chase Metrotech Ctr 3^rd^ Fl | ||||||||||
| Mutual Fund Department | ||||||||||
| Brooklyn NY 11245-0003 | ||||||||||
| Nuveen NWQ Flexible Income Fund – Class C | Wells Fargo Clearing Services LLC | 2,532,689.9640 | 20.41 | % | ||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Morgan Stanley Smith Barney LLC | 1,471,069.6520 | 11.85 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Charles Schwab & Co Inc | 1,344,602.2660 | 10.83 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| American Enterprise Investment Serv | 1,313,489.5570 | 10.58 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 |
H-45
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Raymond James | 1,263,029.9910 | 10.18 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| LPL Financial | 1,023,414.6220 | 8.25 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| UBS WM USA | 905,375.3020 | 7.29 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Pershing LLC | 877,335.9630 | 7.07 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| National Financial Services LLC | 672,214.3300 | 5.42 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Nuveen NWQ Flexible Income Fund – Class R6 | Employee Pension | 166,102.7040 | 53.36 | % | ||||||
| Plan of the Ludwig Group Inc | ||||||||||
| 666 3^rd^ Ave Fl 28 | ||||||||||
| New York NY 10017-4030 | ||||||||||
| Wells Fargo Bank NA FBO | 99,374.2440 | 31.93 | % | |||||||
| Beaver Falls Pension Plan | ||||||||||
| PO Box 1533 | ||||||||||
| Minneapolis MN 55480-1533 | ||||||||||
| Pershing LLC | 19,504.7460 | 6.27 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen NWQ Flexible Income Fund – Class I | American Enterprise Investment Serv | 10,315,156.6730 | 20.87 | % | ||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| LPL Financial | 5,970,536.9970 | 12.08 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 |
H-46
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Morgan Stanley Smith Barney LLC | 4,820,944.5390 | 9.76 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| National Financial Services LLC | 4,193,193.4850 | 8.48 | % | |||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| Wells Fargo Clearing Services LLC | 3,838,819.2460 | 7.77 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Mitra & Co FBO | 3,756,204.9370 | 7.60 | % | |||||||
| C/O Reliance Trust Company WI | ||||||||||
| Mailcode: BD1N – Attn: MF | ||||||||||
| 4900 W Brown Deer Rd | ||||||||||
| Milwaukee WI 53223-2422 | ||||||||||
| Raymond James | 3,517,060.8190 | 7.12 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| UBS WM USA | 3,247,061.7080 | 6.57 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| Pershing LLC | 3,046,457.4010 | 6.16 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen Preferred Securities and Income Fund – Class A | Charles Schwab & Co Inc | 3,573,960.2110 | 13.07 | % | ||||||
| For the Benefit of their Customers | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| National Financial Services LLC | 2,966,304.2540 | 10.85 | % | |||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-47
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Wells Fargo Clearing Services LLC | 2,654,794.0590 | 9.71 | % | |||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| Charles Schwab & Co Inc | 2,503,786.2480 | 9.16 | % | |||||||
| Special Custody A/C FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main Street | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| MLPF&S for the Benefit of its Customers | 2,422,849.7430 | 8.86 | % | |||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Morgan Stanley Smith Barney LLC | 2,281,449.7140 | 8.34 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Pershing LLC | 1,609,636.9430 | 5.89 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| JP Morgan Securities LLC Omnibus | 1,453,263.8360 | 5.31 | % | |||||||
| Account for the Exclusive Benefit | ||||||||||
| Of Customers | ||||||||||
| 4 Chase Metrotech Ctr 3^rd^ Fl | ||||||||||
| Mutual Fund Department | ||||||||||
| Brooklyn NY 11245-0003 | ||||||||||
| Raymond James | 1,438,699.3570 | 5.26 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| Nuveen Preferred Securities and Income Fund – Class C | Wells Fargo Clearing Services LLC | 3,031,254.3950 | 21.41 | % | ||||||
| Special Custody Acct for the | ||||||||||
| Exclusive Benefit of Customer | ||||||||||
| 2801 Market Street | ||||||||||
| St Louis MO 63103-2523 | ||||||||||
| American Enterprise Investment Serv | 1,605,468.5010 | 11.34 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 |
H-48
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Morgan Stanley Smith Barney LLC | 1,491,561.8970 | 10.54 | % | |||||||
| For the Exclusive Bene of its Cust | ||||||||||
| 1 New York Plz Fl 12 | ||||||||||
| New York NY 10004-1932 | ||||||||||
| Raymond James | 1,356,575.4690 | 9.58 | % | |||||||
| Omnibus for Mutual Funds | ||||||||||
| House Acct | ||||||||||
| Attn: Courtney Waller | ||||||||||
| 880 Carillon Parkway | ||||||||||
| St Petersburg FL 33716-1102 | ||||||||||
| JP Morgan Securities LLC Omnibus | 1,187,738.8580 | 8.39 | % | |||||||
| Account for the Exclusive Benefit Of Customers | ||||||||||
| 4 Chase Metrotech Ctr 3^rd^ Fl | ||||||||||
| Mutual Fund Department | ||||||||||
| Brooklyn NY 11245-0003 | ||||||||||
| Pershing LLC | 970,281.9460 | 6.85 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Charles Schwab & Co Inc | 967,086.8100 | 6.83 | % | |||||||
| Special Custody Acct FBO Customers | ||||||||||
| Attn: Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| UBS WM USA | 928,749.2660 | 6.56 | % | |||||||
| Omni Account M/F | ||||||||||
| Spec Cdy A/C EBOC UBSFSI | ||||||||||
| 1000 Harbor Blvd | ||||||||||
| Weehawken NJ 07086-6761 | ||||||||||
| MLPF&S for the Benefit of its | 750,292.2210 | 5.30 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| LPL Financial | 742,094.1760 | 5.24 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Nuveen Preferred Securities and Income Fund – Class R3 | National Financial Services LLC | 112,084.0080 | 63.88 | % | ||||||
| For the Exclusive Benefit of our Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 |
H-49
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Pershing LLC | 38,082.8900 | 21.71 | % | |||||||
| One Pershing Plaza | ||||||||||
| Jersey City NJ 07399-0002 | ||||||||||
| Nuveen Preferred Securities and Income Fund – Class R6 | JP Morgan Securities LLC Omnibus | 25,847,449.1770 | 96.92 | % | ||||||
| Account for the Exclusive Benefit | ||||||||||
| Of Customers | ||||||||||
| 4 Chase Metrotech Ctr 3^rd^ Fl | ||||||||||
| Mutual Fund Department | ||||||||||
| Brooklyn NY 11245-0003 | ||||||||||
| Nuveen Preferred Securities and Income Fund – Class I | National Financial Services LLC | 48,161,826.8010 | 28.70 | % | ||||||
| For the Exclusive Benefit of our | ||||||||||
| Customers | ||||||||||
| Attn Mutual Fund Dept 4^th^ Floor | ||||||||||
| 499 Washington Blvd | ||||||||||
| Jersey City NJ 07310-1995 | ||||||||||
| American Enterprise Investment Serv | 15,473,470.9870 | 9.22 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| MLPF&S for the Benefit of its | 12,669,754.6210 | 7.55 | % | |||||||
| Customers | ||||||||||
| Attn Fund Admin | ||||||||||
| 4800 Deer Lake Dr E Fl 3 | ||||||||||
| Jacksonville FL 32246-6484 | ||||||||||
| Charles Schwab & Co Inc | 11,804,055.4760 | 7.03 | % | |||||||
| Attn Special Custody A/C | ||||||||||
| FBO Customers | ||||||||||
| Attn Mutual Funds | ||||||||||
| 211 Main St | ||||||||||
| San Francisco CA 94105-1905 | ||||||||||
| LPL Financial | 8,985,393.2330 | 5.35 | % | |||||||
| Omnibus Customer Account | ||||||||||
| Attn Mutual Fund Trading | ||||||||||
| 4707 Executive Dr | ||||||||||
| San Diego CA 92121-3091 | ||||||||||
| Nuveen Global Real Estate Securities Fund – Class A | Teachers Insurance & Annuity | 1,250.0000 | 78.96 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| TD Ameritrade Inc FBO | 333.1010 | 21.04 | % | |||||||
| Our Customers | ||||||||||
| PO Box 2226 | ||||||||||
| Omaha NE 68103-2226 |
H-50
| Fund and Class | ShareholderName and Address | Number ofShares Owned | PercentageOwned | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Nuveen Global Real Estate Securities Fund – Class C | Teachers Insurance & Annuity | 1,250.0000 | 72.61 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Pershing LLC | 250.6790 | 14.56 | % | |||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| American Enterprise Investment Serv | 220.8070 | 12.83 | % | |||||||
| 707 2^nd^ Ave S | ||||||||||
| Minneapolis MN 55402-2405 | ||||||||||
| Nuveen Global Real Estate Securities Fund – Class R6 | Teachers Insurance & Annuity | 1,246,250.0000 | 51.24 | % | ||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| Northern Tr Co Cust FBO Children’s | 1,165,545.4640 | 47.92 | % | |||||||
| Medical Center Fnd Tr | ||||||||||
| PO Box 92956 | ||||||||||
| Chicago IL 60675-2956 | ||||||||||
| Nuveen Global Real Estate Securities Fund – Class I | Terence J Toth Ttee | 3,100.1280 | 41.30 | % | ||||||
| Terence J Toth Trust | ||||||||||
| U/A 01-20-1999 | ||||||||||
| 411 N Lincoln St | ||||||||||
| Hinsdale IL 60521-3444 | ||||||||||
| Pershing LLC | 2,009.0150 | 26.77 | % | |||||||
| 1 Pershing Plz | ||||||||||
| Jersey City NJ 07399-0001 | ||||||||||
| Teachers Insurance & Annuity | 1,250.0000 | 16.65 | % | |||||||
| Association | ||||||||||
| Attn Janice Carnicelli | ||||||||||
| 730 3^rd^ Ave | ||||||||||
| New York NY 10017-3207 | ||||||||||
| UMB Bank NA | 1,146.9760 | 15.28 | % | |||||||
| Cust IRA FBO | ||||||||||
| Monica Morin Toth | ||||||||||
| 411 N Lincoln St | ||||||||||
| Hinsdale IL 60521-3444 |
H-51
Nuveen
333 West Wacker Drive
Chicago, IL 60606-1286
(800) 257-8787
| www.nuveen.com | NIT 1120 |
|---|
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NUVEEN FUNDS<br><br><br>SPECIAL MEETING OF SHAREHOLDERS<br> <br>TO BE HELD ONNOVEMBER 16, 2020 |
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THIS PROXY IS BEING SOLICITED BY THE BOARD OFTRUSTEES. The undersigned shareholder(s) of each of Nuveen Investment Trust, Nuveen Investment Trust II, Nuveen Investment Trust III and Nuveen Investment Trust V (each trust individually, a “Trust” and collectively, the “Trusts”),.on behalf of each series of each Trust, individually a “Fund,” and collectively, the “Funds”, revoking previous proxies, hereby appoints Mark J. Czarniecki, Diana R. Gonzalez, Kevin J. McCarthy, Christopher M. Rohrbacher and Eric F. Fess, or any one of them as true and lawful attorneys with power of substitution of each, to vote all shares of the Fund(s) that the undersigned is entitled to vote at the Special Meeting of Shareholders to be held virtually at the following Website: www.meetingcenter.io/251819459, on November 16, 2020, at 2:00 p.m. Central Time, and at any and all adjournments or postponements thereof as indicated on the reverse side. To participate in the Virtual Meeting enter the 14-digit control number from the shaded box on this card. The Password for this meeting is NUV2020. In their discretion, the proxy holders named above are authorized to vote upon such other matters as may properly come before the meeting or any adjournment or postponement thereof.
Receipt of the Notice of the Special Meeting ofShareholders and the accompanying Joint Proxy Statement is hereby acknowledged. The shares of Fund(s) represented hereby will be voted as indicated or FOR the proposals if no choice is indicated.
VOTE VIA THE INTERNET: www.proxy-direct.com
VOTE VIA THE TELEPHONE:1-800-337-3503
NIT_31614_091620_BK3
PLEASE SIGN, DATE ON THEREVERSE SIDE AND RETURN THE PROXY PROMPTLY USING THE ENCLOSED ENVELOPE.
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EVERY SHAREHOLDER’S VOTE IS IMPORTANT!
VOTE THIS PROXY CARD TODAY!
Important Notice Regarding the Availability of Proxy Materials for
Nuveen Funds
Special Meeting of Shareholdersto Be Held Virtually on November 16, 2020.
The Joint Proxy Statement for this meeting is available at:
http://www.nuveenproxy.com/Mutual-Fund-Proxy-Information/
IF YOU VOTE ON THE INTERNET OR BY TELEPHONE,
YOU NEED NOT RETURN THIS PROXY CARD
| FUNDS | FUNDS | FUNDS | ||
|---|---|---|---|---|
| Nuveen Emerging Markets Equity Fund | Nuveen Equity Long/Short Fund | Nuveen Equity Market Neutral Fund | ||
| Nuveen Global Real Estate Securities Fund | Nuveen Gresham Managed Futures Strategy Fund | Nuveen International Growth Fund | ||
| Nuveen Large Cap Core Fund | Nuveen Large Cap Growth Fund | Nuveen Large-Cap Value Fund | ||
| Nuveen NWQ Flexible Income Fund | Nuveen NWQ Global Equity Income Fund | Nuveen NWQ International Value Fund | ||
| Nuveen NWQ Large-Cap Value Fund | Nuveen NWQ Multi-Cap Value Fund | Nuveen NWQ Small/Mid-Cap Value Fund | ||
| Nuveen NWQ Small-Cap Value Fund | Nuveen Preferred Securities and Income Fund | Nuveen Santa Barbara Dividend Growth Fund | ||
| Nuveen Santa Barbara Global Dividend Growth Fund | Nuveen Santa Barbara International Dividend Growth Fd | Nuveen Symphony Floating Rate Income Fund | ||
| Nuveen Symphony High Yield Income Fund | Nuveen Winslow International Large Cap Fund | Nuveen Winslow International Small Cap Fund | ||
| Nuveen Winslow Large-Cap Growth ESG Fund |
Please detach at perforation before mailing.
In their discretion, the proxy holders are authorized to vote upon such other matters as may properly come before the meeting or any adjournments or postponements thereof.
| Properly executed proxies will be voted as specified. If no other specification is made, such shares will be voted “FOR” the proposals. |
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**TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS SHOWN IN THIS EXAMPLE:**T ****
| A | Proposal | FOR ALL | WITHHOLD<br><br><br>ALL | FOR ALL<br><br><br>EXCEPT | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1. | To elect ten Board Members: | ☐ | ☐ | ☐ | ||||||||||
| 01. Jack B. Evans | 02. William C. Hunter | 03. Albin F. Moschner | 04. John K. Nelson | |||||||||||
| 05. Judith M. Stockdale | 06. Carole E. Stone | 07. Matthew Thornton III | 08. Terence J. Toth | |||||||||||
| 09. Margaret L. Wolff | 10. Robert L. Young | |||||||||||||
| INSTRUCTIONS: To withhold authority to vote for any individual nominee(s), mark the box “FOR ALL EXCEPT”<br>and write<br>the nominee’s number on the line<br>provided | ||||||||||||||
| 2. | To approve revisions to its fundamental investment policy regarding industry concentration. | |||||||||||||
| FOR | AGAINST | ABSTAIN | ||||||||||||
| Nuveen NWQ Flexible Income Fund | ☐ | ☐ | ☐ | |||||||||||
| B | Authorized Signatures — This section must be completed for your vote to be counted. — Sign and Date Below | |||||||||||||
| Note: | Please sign exactly as your name(s) appear(s) on this Proxy Card, and date it. When shares are held jointly, each holder should sign. When signing as attorney, executor, guardian, administrator, trustee, officer of<br>corporation or other entity or in another representative capacity, please give the full title under the signature. | |||||||||||||
| Date (mm/dd/yyyy) — Please print date below | Signature 1 — Please keep signature within the box | Signature 2 — Please keep signature within the box | ||||||||||||
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| ****xxxxxxxxxxxxxx | NIT2 31614 | M xxxxxxxx **** | ||||||||||||
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