| Associate | via Company |
|---|
| ADAMS WILLIAM IV | NUVEEN BUILD AMERICA BOND OPPORTUNITY FUND, NUVEEN ENERGY MLP TOTAL RETURN FUND, NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND plus 12 similar. |
| ALLEN QUINCY L | XEROX CORP |
| AMBOIAN JOHN P | NUVEEN BUILD AMERICA BOND OPPORTUNITY FUND, NUVEEN ENERGY MLP TOTAL RETURN FUND, NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND plus 12 similar. |
| ANSON MARK | NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| ANTONATOS JULIA L | NUVEEN EQUITY PREMIUM OPPORTUNITY FUND, NUVEEN TAX-ADVANTAGED FLOATING RATE FUND, NUVEEN EQUITY PREMIUM ADVANTAGE FUND, NUVEEN EQUITY PREMIUM & GROWTH FUND plus 6 similar. |
| ANTOSIEWICZ CEDRIC H | NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND, DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., GLOBAL INCOME & CURRENCY FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC. plus 12 similar. |
| APPELO WILLEM T | XEROX CORP |
| ARGYLE CHARLES S | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| ARMOUR ERIC | XEROX CORP |
| ARRIAGA NIZIDA | NASDAQ PREMIUM INCOME & GROWTH FUND INC., MLP & STRATEGIC EQUITY FUND INC., DOW 30 ENHANCED PREMIUM & INCOME FUND INC., NUVEEN ENHANCED MUNICIPAL VALUE FUND plus 5 similar. |
| ATKINSON MICHAEL T | NUVEEN EQUITY PREMIUM ADVANTAGE FUND, GLOBAL INCOME & CURRENCY FUND INC., NUVEEN EQUITY PREMIUM & GROWTH FUND, NUVEEN GLOBAL INCOME OPPORTUNITIES FUND plus 19 similar. |
| BAKER DOUGLAS M. | NUVEEN PREFERRED & INCOME TERM FUND |
| BEETH HARRY R | XEROX CORP |
| BENNETT WILLIAM E | NUVEEN FLOATING RATE INCOME FUND |
| BLODGETT LYNN | XEROX CORP |
| BOOTHE JAMES | NUVEEN TAX-ADVANTAGED DIVIDEND GROWTH FUND |
| BOULANGER NORMAND A | SS&C TECHNOLOGIES INC |
| BOUSA EDWARD PETER | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| BREMNER ROBERT P | NUVEEN GLOBAL VALUE OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND, NASDAQ PREMIUM INCOME & GROWTH FUND INC., NUVEEN PREFERRED & INCOME TERM FUND plus 25 similar. |
| BRENNAN PAUL L | NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND |
| BRITT GLENN | XEROX CORP |
| BROWN LAWRENCE H | NUVEEN FLOATING RATE INCOME FUND, NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND, NUVEEN EQUITY PREMIUM INCOME FUND, NUVEEN EQUITY PREMIUM OPPORTUNITY FUND plus 9 similar. |
| BURNS URSULA M | XEROX CORP |
| CAMPBELL WILLIAM | GLOBAL INCOME & CURRENCY FUND INC. |
| CARAHER SCOTT C. | NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND |
| CARNE MICHAEL | NUVEEN TAX-ADVANTAGED DIVIDEND GROWTH FUND |
| CLARK DAVID W | SS&C TECHNOLOGIES INC |
| CLAYTON CHRISTINA E | XEROX CORP |
| CLOSE DANIEL | NUVEEN ENHANCED MUNICIPAL VALUE FUND, NUVEEN BUILD AMERICA BOND FUND, NUVEEN BUILD AMERICA BOND OPPORTUNITY FUND |
| COOK MARGO L. | NUVEEN ENHANCED MUNICIPAL VALUE FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2, NUVEEN BUILD AMERICA BOND FUND plus 11 similar. |
| CRONIN MICHAEL STEPHEN | XEROX CORP |
| CUNNANE JAMES J JR | NUVEEN ENERGY MLP TOTAL RETURN FUND |
| DARRIGO PETER H | NUVEEN EQUITY PREMIUM OPPORTUNITY FUND, NUVEEN TAX-ADVANTAGED FLOATING RATE FUND, NUVEEN EQUITY PREMIUM ADVANTAGE FUND, NUVEEN EQUITY PREMIUM & GROWTH FUND plus 9 similar. |
| DASTIN RICHARD M | XEROX CORP |
| DE LIMA ARMANDO ZAGALO | XEROX CORP |
| DESANTO SUSAN M | NUVEEN FLOATING RATE INCOME FUND |
| DOLAN THOMAS J | XEROX CORP |
| DROEGER JESSICA R | NUVEEN FLOATING RATE INCOME FUND, NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND, NUVEEN EQUITY PREMIUM INCOME FUND, NUVEEN EQUITY PREMIUM OPPORTUNITY FUND plus 6 similar. |
| EMONS BEN | NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND |
| EVANS JACK | NUVEEN EQUITY PREMIUM OPPORTUNITY FUND, NUVEEN ENHANCED MUNICIPAL VALUE FUND, NUVEEN TAX-ADVANTAGED FLOATING RATE FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND plus 25 similar. |
| FARREN J MICHAEL | XEROX CORP |
| FERJUSON LORNA C | NUVEEN EQUITY PREMIUM OPPORTUNITY FUND, NUVEEN ENHANCED MUNICIPAL VALUE FUND, NUVEEN TAX-ADVANTAGED FLOATING RATE FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND plus 25 similar. |
| FERNHOLZ E ROBERT | NUVEEN CORE EQUITY ALPHA FUND |
| FIRESTONE JAMES A | XEROX CORP |
| FISHER JOSEPH H | SS&C TECHNOLOGIES INC |
| FITZGERALD WILLIAM M | NUVEEN EQUITY PREMIUM & GROWTH FUND, NUVEEN GLOBAL INCOME OPPORTUNITIES FUND, NUVEEN GLOBAL VALUE OPPORTUNITIES FUND, NUVEEN FLOATING RATE INCOME FUND plus 5 similar. |
| FOY STEPHEN D | MLP & STRATEGIC EQUITY FUND INC., NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND, DOW 30 ENHANCED PREMIUM & INCOME FUND INC., NUVEEN FLOATING RATE INCOME FUND plus 25 similar. |
| GALLAIRE HERVE J | XEROX CORP |
| GAMBLA JOHN W | DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC., NUVEEN CORE EQUITY ALPHA FUND, DOW 30 ENHANCED PREMIUM & INCOME FUND INC., NUVEEN TAX-ADVANTAGED DIVIDEND GROWTH FUND |
| GARRETT MICHAEL F | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| GOTTSCHOW ROB A | DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC., NUVEEN CORE EQUITY ALPHA FUND, DOW 30 ENHANCED PREMIUM & INCOME FUND INC., NUVEEN TAX-ADVANTAGED DIVIDEND GROWTH FUND |
| GRACE SCOTT S | DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., GLOBAL INCOME & CURRENCY FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC., MLP & STRATEGIC EQUITY FUND INC. plus 10 similar. |
| GRASSI JAMES D | NUVEEN EQUITY PREMIUM INCOME FUND, NUVEEN EQUITY PREMIUM OPPORTUNITY FUND, NUVEEN TAX-ADVANTAGED FLOATING RATE FUND, NUVEEN EQUITY PREMIUM ADVANTAGE FUND plus 3 similar. |
| GRIMBERG SCOTT | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND |
| GUERS JACQUES | XEROX CORP |
| HARRINGTON RICHARD J | XEROX CORP |
| HATCH GILBERT | XEROX CORP |
| HILL LUCIUS T III | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| HLAVIN STEVEN M. | NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND |
| HUFFMAN WILLIAM T. JR. | NUVEEN REAL ASSET INCOME & GROWTH FUND, NUVEEN PREFERRED & INCOME TERM FUND, NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND, NUVEEN ENHANCED MUNICIPAL VALUE FUND plus 5 similar. |
| HURLEY DAVID E | NUVEEN CORE EQUITY ALPHA FUND |
| IBEN DAVID B | NUVEEN GLOBAL VALUE OPPORTUNITIES FUND |
| IMPELLIZZERI ANNE E | NUVEEN FLOATING RATE INCOME FUND |
| JACOBY L PHILLIP | NUVEEN TAX-ADVANTAGED FLOATING RATE FUND |
| JOHNSON ANTONIA | XEROX CORP |
| JORDAN VERNON E JR | XEROX CORP |
| KABURECK GARY R | XEROX CORP |
| KEEGAN ROBERT J | XEROX CORP |
| KELLY WALTER M | NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND, DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., NUVEEN REAL ASSET INCOME & GROWTH FUND, NASDAQ PREMIUM INCOME & GROWTH FUND INC. plus 15 similar. |
| KILEY QUINN THOMAS | NUVEEN ENERGY MLP TOTAL RETURN FUND |
| KISSICK WILLIAM L | NUVEEN FLOATING RATE INCOME FUND |
| KOBAYASHI YOTARO | XEROX CORP |
| KOPPER HILMAR | XEROX CORP |
| KUNDERT DAVID J | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND, NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND, NUVEEN GLOBAL VALUE OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND plus 21 similar. |
| LAGNADO RONALD R | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND |
| LAMB DAVID J | NUVEEN TAX-ADVANTAGED DIVIDEND GROWTH FUND, NUVEEN FLOATING RATE INCOME FUND, NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND 2, NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND plus 19 similar. |
| LANGENFELD BRENDA A. | NUVEEN PREFERRED & INCOME TERM FUND |
| LARSEN RALPH S | XEROX CORP |
| LAZAR TINA M | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND, NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND, NUVEEN GLOBAL VALUE OPPORTUNITIES FUND, NASDAQ PREMIUM INCOME & GROWTH FUND INC. plus 22 similar. |
| LEAFSTRAND THOMAS E | NUVEEN FLOATING RATE INCOME FUND |
| LESKO JAMES H | XEROX CORP |
| LIEB MARK | NUVEEN TAX-ADVANTAGED FLOATING RATE FUND |
| LIU DON H | XEROX CORP |
| LORD ALBERT L | SS&C TECHNOLOGIES INC |
| LORD DOUGLAS C | XEROX CORP |
| LYNCH NAOMI E | GLOBAL INCOME & CURRENCY FUND INC. |
| MACDONALD MICHAEL C | XEROX CORP |
| MACHON JEAN NOEL | XEROX CORP |
| MADDISON THOMAS J | XEROX CORP |
| MAESTRI LUCA | XEROX CORP |
| MAGUIRE CARY M | NUVEEN CORE EQUITY ALPHA FUND |
| MARTIN LARRY W | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND, NUVEEN GLOBAL VALUE OPPORTUNITIES FUND, NASDAQ PREMIUM INCOME & GROWTH FUND INC., NUVEEN CORE EQUITY ALPHA FUND plus 19 similar. |
| MASON LENNY | NUVEEN FLOATING RATE INCOME FUND, NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND |
| MCCARTHY KEVIN J | NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 plus 16 similar. |
| MCCARTHY MICHELLE ANN | DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., GLOBAL INCOME & CURRENCY FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC., MLP & STRATEGIC EQUITY FUND INC., DOW 30 ENHANCED PREMIUM & INCOME FUND INC. |
| MCDERMOTT JOHN E | XEROX CORP |
| MCDONALD ROBERT A | XEROX CORP |
| MILLER JOHN V | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND 2, NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND, NUVEEN MORTGAGE OPPORTUNITY TERM FUND plus 4 similar. |
| MILNE KEVIN | SS&C TECHNOLOGIES INC |
| MINO GREGORY T. | DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., GLOBAL INCOME & CURRENCY FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC., MLP & STRATEGIC EQUITY FUND INC. plus 5 similar. |
| MOTRONI HECTOR J | XEROX CORP |
| MULCAHY ANNE M | XEROX CORP |
| NEILD EDWARD F IV | NUVEEN FLOATING RATE INCOME FUND, NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND, NUVEEN EQUITY PREMIUM INCOME FUND, NUVEEN EQUITY PREMIUM OPPORTUNITY FUND |
| NICHOLAS NJ JR | XEROX CORP |
| NORDIN DIANE C | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| PANNELL SAUL J | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| PEACOCK RUSSELL | XEROX CORP |
| PEDONTI PATRICK J | SS&C TECHNOLOGIES INC |
| PEPPER JOHN E | XEROX CORP |
| PERELMUTER PHILLIP H | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| PRINCE CHARLES | XEROX CORP |
| PRUDHOMME KATHLEEN L | NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND, NUVEEN PREFERRED & INCOME TERM FUND, NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND |
| REESE ANN N | XEROX CORP |
| RHEE JENNY Y | NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND |
| ROBERT STEPHEN | XEROX CORP |
| ROGERS J PATRICK | NUVEEN EQUITY PREMIUM INCOME FUND, NUVEEN EQUITY PREMIUM OPPORTUNITY FUND, NUVEEN EQUITY PREMIUM ADVANTAGE FUND, NUVEEN EQUITY PREMIUM & GROWTH FUND |
| ROHRBACHER CHRISTOPHER M. | NUVEEN BUILD AMERICA BOND FUND, DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., GLOBAL INCOME & CURRENCY FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC. plus 6 similar. |
| ROMANS SCOTT R | NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND |
| ROSENBERG JAY L. | NUVEEN REAL ASSET INCOME & GROWTH FUND |
| RUANE JAMES | DOW 30 PREMIUM & DIVIDEND INCOME FUND INC., GLOBAL INCOME & CURRENCY FUND INC., NASDAQ PREMIUM INCOME & GROWTH FUND INC., MLP & STRATEGIC EQUITY FUND INC. plus 6 similar. |
| RUNNELS JOSEPH | NUVEEN CORE EQUITY ALPHA FUND |
| SAWERS PETER R | NUVEEN FLOATING RATE INCOME FUND |
| SCHMITZ JEFFREY T | NUVEEN REAL ASSET INCOME & GROWTH FUND |
| SCHNEIDER WILLIAM J | NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND, DOW 30 ENHANCED PREMIUM & INCOME FUND INC., NUVEEN FLOATING RATE INCOME FUND, NUVEEN TAX-ADVANTAGED DIVIDEND GROWTH FUND plus 25 similar. |
| SCHOFIELD JONATHAN M | SS&C TECHNOLOGIES INC |
| SCHWERTFEGER TIMOTHY R | NUVEEN CORE EQUITY ALPHA FUND, NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND, NUVEEN TAX-ADVANTAGED DIVIDEND GROWTH FUND, NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND 2 plus 9 similar. |
| SEEGAL RHONDA L | XEROX CORP |
| SIMOZAR SAIED | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND, NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND |
| SPALDING THOMAS C JR | NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND |
| STEEVES CATHRYN | NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND |
| STEIN GUNTHER | NUVEEN FLOATING RATE INCOME FUND, NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND, NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND |
| STEINBORN EDWARD J | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| STENWALL ANDREW J | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND, NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND |
| STOCKDALE JUDITH M | NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND, NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND 2, NUVEEN EQUITY PREMIUM INCOME FUND, NUVEEN MUNICIPAL VALUE FUND 2 plus 25 similar. |
| STONE CAROLE E | NUVEEN BUILD AMERICA BOND FUND, NUVEEN BUILD AMERICA BOND OPPORTUNITY FUND, NUVEEN ENERGY MLP TOTAL RETURN FUND, NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND plus 15 similar. |
| STONE WILLIAM C | SS&C TECHNOLOGIES INC |
| STRINGER VIRGINIA | NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND, NUVEEN PREFERRED & INCOME TERM FUND, NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND |
| SUNSHINE EUGENE S | NUVEEN TAX-ADVANTAGED FLOATING RATE FUND, NUVEEN EQUITY PREMIUM ADVANTAGE FUND, NUVEEN EQUITY PREMIUM & GROWTH FUND, NUVEEN GLOBAL INCOME OPPORTUNITIES FUND plus 4 similar. |
| SUSSMAN BERNARD | NUVEEN TAX-ADVANTAGED FLOATING RATE FUND |
| SWORDS BRENDAN J | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| TESSLER HERVE | XEROX CORP |
| TOFT KENNETH H | NUVEEN EQUITY PREMIUM OPPORTUNITY FUND, NUVEEN EQUITY PREMIUM ADVANTAGE FUND |
| TOTH TERENCE J | NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND, NUVEEN PREFERRED & INCOME TERM FUND, NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND plus 11 similar. |
| TRAQUINA PERRY M | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| TROJAN VERA M | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| TUCKER SARA MARTINEZ | XEROX CORP |
| VALONE JAMES W | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 |
| VARON LESLIE F | XEROX CORP |
| VIELHABER STEVEN L | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND |
| WARREN KEVIN M | XEROX CORP |
| WELLINGTON SHELIA W | NUVEEN FLOATING RATE INCOME FUND |
| WENKER JOHN G | NUVEEN REAL ASSET INCOME & GROWTH FUND |
| WHITMAN STEPHEN V R | SS&C TECHNOLOGIES INC |
| WILDEROTTER MARY AGNES | XEROX CORP |
| WILHELM JOHNATHAN N | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND 2, NUVEEN MUNICIPAL VALUE FUND 2, NUVEEN ENHANCED MUNICIPAL VALUE FUND |
| WINGET DEMARK L | NASDAQ PREMIUM INCOME & GROWTH FUND INC., MLP & STRATEGIC EQUITY FUND INC., DOW 30 ENHANCED PREMIUM & INCOME FUND INC., NUVEEN MUNICIPAL VALUE FUND 2 plus 5 similar. |
| ZIMMERMAN GIFFORD R | NUVEEN GLOBAL INCOME OPPORTUNITIES FUND, NUVEEN REAL ASSET INCOME & GROWTH FUND, NUVEEN GLOBAL VALUE OPPORTUNITIES FUND, NUVEEN PREFERRED & INCOME TERM FUND plus 24 similar. |
| ZIMMERMAN LAWRENCE A | XEROX CORP |