Vice President

0000897101-19-001000.txt : 20191113 0000897101-19-001000.hdr.sgml : 20191113 20191113100104 ACCESSION NUMBER: 0000897101-19-001000 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191113 DATE AS OF CHANGE: 20191113 EFFECTIVENESS DATE: 20191113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIT INVESTMENT ASSOCIATES INC CENTRAL INDEX KEY: 0000769317 IRS NUMBER: 411404829 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00180 FILM NUMBER: 191212076 BUSINESS ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123323223 MAIL ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000769317 XXXXXXXX 09-30-2019 09-30-2019 false SIT INVESTMENT ASSOCIATES INC

3300 Ids Center 80 South Eighth Street Minneapolis MN 55402

13F HOLDINGS REPORT 028-00180 N Paul E. Rasmussen Vice President 612-331-3223 /s/Paul E. Rasmussen Minneapolis MN 11-13-2019 1 520 3254922 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml 3M CO COMMON 88579Y101 4870 29620 SH SOLE 1 29620 0 0 ABBOTT LABORATORIES COMMON 002824100 18007 215220 SH SOLE 1 215220 0 0 ABBVIE INC COMMON 00287Y109 723 9545 SH SOLE 1 9545 0 0 ABIOMED INC COMMON 003654100 664 3735 SH SOLE 1 3735 0 0 ACCENTURE PLC CL A COMMON G1151C101 21294 110705 SH SOLE 1 110705 0 0 ACUSHNET HOLDINGS CORP COMMON 005098108 1394 52800 SH SOLE 1 52800 0 0 ADIDAS AG ADR DEPOSITARY RECEI 00687A107 1481 9515 SH SOLE 1 9515 0 0 ADOBE INC COMMON 00724F101 8376 30320 SH SOLE 1 30320 0 0 ADTALEM GLOBAL EDUCATION INC COMMON 00737L103 563 14775 SH SOLE 1 14775 0 0 ADVANCED DISPOSAL SERVICES INC COMMON 00790X101 1810 55575 SH SOLE 1 55575 0 0 ADVANCED MICRO DEVICES INC COMMON 007903107 2351 81100 SH SOLE 1 81100 0 0 AFLAC INC COMMON 001055102 420 8025 SH SOLE 1 8025 0 0 AGILENT TECHNOLOGIES INC COMMON 00846U101 9221 120325 SH 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MIRACLE-GRO CO/THE COMMON 810186106 6459 63440 SH SOLE 1 63440 0 0 SENSIENT TECHNOLOGIES CORP COMMON 81725T100 192 2800 SH SOLE 1 2800 0 0 SERVICE CORP INTERNATIONAL/US COMMON 817565104 4568 95550 SH SOLE 1 95550 0 0 SHENANDOAH TELECOMMUNICATIONS COMMON 82312B106 1762 55450 SH SOLE 1 55450 0 0 SHERWIN-WILLIAMS CO/THE COMMON 824348106 14528 26420 SH SOLE 1 26420 0 0 SIEMENS AG ADR DEPOSITARY RECEI 826197501 1362 25420 SH SOLE 1 25420 0 0 SKYWORKS SOLUTIONS INC COMMON 83088M102 11749 148250 SH SOLE 1 148250 0 0 SONY CORP ADR DEPOSITARY RECEI 835699307 1545 26125 SH SOLE 1 26125 0 0 SOUTHERN COPPER CORP COMMON 84265V105 133 3900 SH SOLE 1 3900 0 0 SPIRE INC COMMON 84857L101 877 10050 SH SOLE 1 10050 0 0 SPLUNK INC COMMON 848637104 2463 20900 SH SOLE 1 20900 0 0 STARBUCKS CORP COMMON 855244109 12413 140390 SH SOLE 1 140390 0 0 STERIS PLC COMMON G8473T100 2290 15850 SH SOLE 1 15850 0 0 STIFEL FINANCIAL CORP COMMON 860630102 402 7000 SH SOLE 1 7000 0 0 STORE CAPITAL CORP COMMON 862121100 247 6600 SH SOLE 1 6600 0 0 STRATEGIC EDUCATION INC COMMON 86272C103 3064 22552 SH SOLE 1 22552 0 0 SUNCOR ENERGY INC COMMON 867224107 13692 433575 SH SOLE 1 433575 0 0 SVB FINANCIAL GROUP COMMON 78486Q101 1998 9560 SH SOLE 1 9560 0 0 SYNCHRONY FINANCIAL COMMON 87165B103 11801 346165 SH SOLE 1 346165 0 0 SYNOVUS FINANCIAL CORP COMMON 87161C501 378 10562 SH SOLE 1 10562 0 0 T ROWE PRICE GROUP INC COMMON 74144T108 21642 189430 SH SOLE 1 189430 0 0 TAIWAN SEMICONDUCTOR ADR DEPOSITARY RECEI 874039100 135 2900 SH SOLE 1 2900 0 0 TAKE-TWO INTERACTIVE SOFTWARE COMMON 874054109 1868 14900 SH SOLE 1 14900 0 0 TAL EDUCATION GROUP ADR DEPOSITARY RECEI 874080104 613 17900 SH SOLE 1 17900 0 0 TALEND SA ADR DEPOSITARY RECEI 874224207 223 6550 SH SOLE 1 6550 0 0 TARGA RESOURCES CORP COMMON 87612G101 140 3475 SH SOLE 1 3475 0 0 TARGET CORP COMMON 87612E106 22759 212879 SH SOLE 1 212879 0 0 TC ENERGY CORP COMMON 87807B107 9399 181475 SH SOLE 1 181475 0 0 TELADOC HEALTH INC COMMON 87918A105 3928 58000 SH SOLE 1 58000 0 0 TELEFLEX INC COMMON 879369106 130 384 SH SOLE 1 384 0 0 THERMO FISHER SCIENTIFIC INC COMMON 883556102 10066 34560 SH SOLE 1 34560 0 0 THOR INDUSTRIES INC COMMON 885160101 1004 17725 SH SOLE 1 17725 0 0 TJX COS INC/THE COMMON 872540109 21671 388790 SH SOLE 1 388790 0 0 TRAVELERS COS INC/THE COMMON 89417E109 658 4426 SH SOLE 1 4426 0 0 TREX CO INC COMMON 89531P105 4260 46850 SH SOLE 1 46850 0 0 ULTA BEAUTY INC COMMON 90384S303 6054 24155 SH SOLE 1 24155 0 0 UNION PACIFIC CORP COMMON 907818108 23149 142915 SH SOLE 1 142915 0 0 UNITED PARCEL SERVICE INC CL B COMMON 911312106 9043 75475 SH SOLE 1 75475 0 0 UNITED TECHNOLOGIES CORP COMMON 913017109 17789 130300 SH SOLE 1 130300 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 24783 114041 SH SOLE 1 114041 0 0 US BANCORP COMMON 902973304 11956 216055 SH SOLE 1 216055 0 0 VAIL RESORTS INC COMMON 91879Q109 3288 14450 SH SOLE 1 14450 0 0 VALERO ENERGY CORP COMMON 91913Y100 3380 39650 SH SOLE 1 39650 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 39026 646550 SH SOLE 1 646550 0 0 VERMILION ENERGY INC COMMON 923725105 373 22300 SH SOLE 1 22300 0 0 VF CORP COMMON 918204108 10334 116130 SH SOLE 1 116130 0 0 VISA INC COMMON 92826C839 30574 177745 SH SOLE 1 177745 0 0 WALMART INC COMMON 931142103 14 119 SH SOLE 1 119 0 0 WALT DISNEY CO/THE COMMON 254687106 14226 109160 SH SOLE 1 109160 0 0 WASTE CONNECTIONS INC COMMON 94106B101 6392 69475 SH SOLE 1 69475 0 0 WASTE MANAGEMENT INC COMMON 94106L109 4134 35945 SH SOLE 1 35945 0 0 WATSCO INC COMMON 942622200 1226 7245 SH SOLE 1 7245 0 0 WEC ENERGY GROUP INC COMMON 92939U106 6031 63415 SH SOLE 1 63415 0 0 WELLS FARGO & CO COMMON 949746101 19 375 SH SOLE 1 375 0 0 WESTERN ALLIANCE BANCORP COMMON 957638109 218 4725 SH SOLE 1 4725 0 0 WESTPAC BANKING CORP ADR DEPOSITARY RECEI 961214301 1355 67800 SH SOLE 1 67800 0 0 WINTRUST FINANCIAL CORP COMMON 97650W108 683 10575 SH SOLE 1 10575 0 0 WRIGHT MEDICAL GROUP NV COMMON N96617118 857 41550 SH SOLE 1 41550 0 0 XILINX INC COMMON 983919101 144 1500 SH SOLE 1 1500 0 0 YETI HOLDINGS INC COMMON 98585X104 7092 253300 SH SOLE 1 253300 0 0 ZIMMER BIOMET HOLDINGS INC COMMON 98956P102 12653 92175 SH SOLE 1 92175 0 0 ZURICH INSURANCE GROUP AG ADR DEPOSITARY RECEI 989825104 1260 32900 SH SOLE 1 32900 0 0 ABERDEEN INC CREDIT STRATEGIES COMMON 003057106 655 52563 SH SOLE 1 0 52563 0 ALLIANCEBERNSTEIN NATIONAL MUN COMMON 01864U106 766 55578 SH SOLE 1 0 55578 0 APOLLO SR FLOATING RATE FD AFT COMMON 037636107 2594 174938 SH SOLE 1 0 174938 0 ARES DYNAMIC CRED ALLOC FD AR COMMON 04014F102 4945 331892 SH SOLE 1 0 331892 0 BLACKROCK CA MUNICIPAL INCOME COMMON 09248E102 10509 767931 SH SOLE 1 0 767931 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 25472 1762755 SH SOLE 1 0 1762755 0 BLACKROCK CORP HIGH YIELD FD H COMMON 09255P107 2258 210086 SH SOLE 1 0 210086 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 24734 1816041 SH SOLE 1 0 1816041 0 BLACKROCK DEBT STRATEGIES FD D COMMON 09255R202 16588 1543051 SH SOLE 1 0 1543051 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 29836 2313801 SH SOLE 1 0 2313801 0 BLACKROCK INCOME TRUST INC BKT COMMON 09247F100 58894 9686505 SH SOLE 1 0 9686505 0 BLACKROCK LONG-TERM MUNI ADVAN COMMON 09250B103 6929 549030 SH SOLE 1 0 549030 0 BLACKROCK LTD DURATION IN BLW COMMON 09249W101 291 18627 SH SOLE 1 0 18627 0 BLACKROCK MUNI INC INV QUALITY COMMON 09250G102 2639 183762 SH SOLE 1 0 183762 0 BLACKROCK MUNI NY INTERMEDIATE COMMON 09255F109 535 36358 SH SOLE 1 0 36358 0 BLACKROCK MUNICIPAL BOND TRUST COMMON 09249H104 1402 90783 SH SOLE 1 0 90783 0 BLACKROCK MUNICIPAL INC QUALIT COMMON 092479104 3225 227920 SH SOLE 1 0 227920 0 BLACKROCK MUNIENHANCED FD MEN COMMON 09253Y100 4282 377561 SH SOLE 1 0 377561 0 BLACKROCK MUNIHOLDINGS CA MUC COMMON 09254L107 2556 181020 SH SOLE 1 0 181020 0 BLACKROCK MUNIHOLDINGS FD II I COMMON 09253P109 3467 229912 SH SOLE 1 0 229912 0 BLACKROCK MUNIHOLDINGS INV QUA COMMON 09254P108 5396 398826 SH SOLE 1 0 398826 0 BLACKROCK MUNIHOLDINGS NJ QUAL COMMON 09254X101 7145 502137 SH SOLE 1 0 502137 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 170 12500 SH SOLE 1 0 12500 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 8032 628961 SH SOLE 1 0 628961 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254A101 5168 404030 SH SOLE 1 0 404030 0 BLACKROCK MUNIYIELD INV QUALIT COMMON 09254T100 2160 156030 SH SOLE 1 0 156030 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 9415 670113 SH SOLE 1 0 670113 0 BLACKROCK MUNIYIELD NJ FUND MY COMMON 09254Y109 2725 178011 SH SOLE 1 0 178011 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 405 31000 SH SOLE 1 0 31000 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 2344 164985 SH SOLE 1 0 164985 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254G108 7263 559948 SH SOLE 1 0 559948 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254F100 1816 120716 SH SOLE 1 0 120716 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254E103 6516 480200 SH SOLE 1 0 480200 0 BLACKROCK NY MUNI INC QLT TRUS COMMON 09249U105 3223 234595 SH SOLE 1 0 234595 0 BLACKROCK NY MUNI INC TR II BF COMMON 09249R102 805 56270 SH SOLE 1 0 56270 0 BLACKROCK STRATEGIC MUNI TR BS COMMON 09248T109 955 66472 SH SOLE 1 0 66472 0 BLACKROCK TAXABLE MUNI BOND TR COMMON 09248X100 176 7123 SH SOLE 1 0 7123 0 BLACKSTONE GSO STRAT CRED FD B COMMON 09257R101 1577 107986 SH SOLE 1 0 107986 0 BNY MELLON HIGH YIELD STRATEGI COMMON 09660L105 2158 705383 SH SOLE 1 0 705383 0 BNY MELLON STRATEGIC MUNI BOND COMMON 09662E109 509 60570 SH SOLE 1 0 60570 0 BNYM STRATEGIC MUNICIPALS INC COMMON 05588W108 3609 420603 SH SOLE 1 0 420603 0 CENTER COAST MLP & INFRASTRUCT COMMON 151461100 39 5500 SH SOLE 1 0 5500 0 CLEARBRIDGE ENERGY MLP FD CEM COMMON 184692101 6824 599662 SH SOLE 1 0 599662 0 CLEARBRIDGE ENERGY MLP OPP FD COMMON 18469P100 8447 970956 SH SOLE 1 0 970956 0 CLEARBRIDGE ENERGY MLP TOTAL R COMMON 18469Q108 1974 221579 SH SOLE 1 0 221579 0 CLOUGH GLOBAL EQUITY FD GLQ COMMON 18914C100 5113 444651 SH SOLE 1 0 444651 0 CLOUGH GLOBAL OPP FD GLO COMMON 18914E106 7 800 SH SOLE 1 0 800 0 COHEN & STEERS GLOBAL INC INB COMMON 19248M103 7225 794877 SH SOLE 1 0 794877 0 COHEN & STEERS MLP INC AND ENE COMMON 19249B106 22 2500 SH SOLE 1 0 2500 0 CORNERSTONE STRATEGIC VALUE FD COMMON 21924B302 79851 7029116 SH SOLE 1 0 7029116 0 CORNERSTONE TOTAL RETURN FD CR COMMON 21924U300 44214 4023126 SH SOLE 1 0 4023126 0 CREDIT SUISSE ASSET MANAGEMENT COMMON 224916106 2736 868592 SH SOLE 1 0 868592 0 CUSHING MLP & INF TOTAL RETURN COMMON 231631201 123 12285 SH SOLE 1 0 12285 0 CUSHING RENAISSANCE FD/THE SZC COMMON 231647108 9292 700197 SH SOLE 1 0 700197 0 DELAWARE INVS MN MUNI INC FD I COMMON 24610V103 4383 334436 SH SOLE 1 0 334436 0 DOUBLELINE OPP CREDIT FD DBL COMMON 258623107 7095 342576 SH SOLE 1 0 342576 0 DTF TAX-FREE INCOME INC DTF COMMON 23334J107 1371 94738 SH SOLE 1 0 94738 0 DUFF & PHELPS SELECT ENERGY ML COMMON 26433F108 19 4100 SH SOLE 1 0 4100 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 36691 3966599 SH SOLE 1 0 3966599 0 DWS MUNICIPAL INCOME TRUST KTF COMMON 233368109 13045 1125557 SH SOLE 1 0 1125557 0 EATON VANCE CA MUNICIPAL INCOM COMMON 27826F101 22 1673 SH SOLE 1 0 1673 0 EATON VANCE FLOATING-RATE INC COMMON 278284104 784 51564 SH SOLE 1 0 51564 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 73322 5865750 SH SOLE 1 0 5865750 0 EATON VANCE MUNICIPAL BOND FUN COMMON 27827X101 2936 226534 SH SOLE 1 0 226534 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 69576 5347906 SH SOLE 1 0 5347906 0 EATON VANCE SR INCOME TR EVF COMMON 27826S103 132 21500 SH SOLE 1 0 21500 0 FEDERATED PREMIER MUNI INC FD COMMON 31423P108 890 62686 SH SOLE 1 0 62686 0 FIDUCIARY/CLAYMORE MLP OPP FD COMMON 31647Q106 2830 319404 SH SOLE 1 0 319404 0 FIRST TR ABERDEEN GLOBAL OPP I COMMON 337319107 5826 551658 SH SOLE 1 0 551658 0 FIRST TR HIGH INC LONG/SHORT F COMMON 33738E109 6987 460911 SH SOLE 1 0 460911 0 FIRST TR MORTGAGE INCOME FD FM COMMON 33734E103 23725 1695853 SH SOLE 1 0 1695853 0 FIRST TRUST ENERGY INC AND GRO COMMON 33738G104 172 7593 SH SOLE 1 0 7593 0 FIRST TRUST MLP AND ENERGY INC COMMON 33739B104 275 23998 SH SOLE 1 0 23998 0 FIRST TRUST NEW OPPORTUNITIES COMMON 33739M100 2799 299966 SH SOLE 1 0 299966 0 FIRST TRUST SENIOR FLOATING RA COMMON 33733U108 2106 175491 SH SOLE 1 0 175491 0 FLAHERTY & CRUMRINE PFD SEC IN COMMON 338478100 230 11000 SH SOLE 1 0 11000 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 533 23742 SH SOLE 1 0 23742 0 FRANKLIN LIMITED DURATION INCO COMMON 35472T101 41350 4441509 SH SOLE 1 0 4441509 0 GABELLI DIVD & INCOME TR GDV COMMON 36242H104 496 23042 SH SOLE 1 0 23042 0 GOLDMAN SACHS MLP ENERGY GER COMMON 38148G107 38 7866 SH SOLE 1 0 7866 0 GOLDMAN SACHS MLP INC OPP GMZ COMMON 38147W103 30 4342 SH SOLE 1 0 4342 0 HIGH INCOME SECURITIES FUND PC COMMON 42968F108 178 20986 SH SOLE 1 0 20986 0 INSIGHT SELECT INCOME FD INSI COMMON 45781W109 18804 917731 SH SOLE 1 0 917731 0 INVESCO ADVANTAGE MUNI INC TRU COMMON 46132E103 10256 912443 SH SOLE 1 0 912443 0 INVESCO BOND FUND VBF COMMON 46132L107 11181 565858 SH SOLE 1 0 565858 0 INVESCO DYNAMIC CREDIT OPPORTU COMMON 46132R104 25800 2343331 SH SOLE 1 0 2343331 0 INVESCO HIGH INC 2023 TARGET T COMMON 46135X108 1926 185342 SH SOLE 1 0 185342 0 INVESCO HIGH INC 2024 TARGET T COMMON 46136K105 3032 291526 SH SOLE 1 0 291526 0 INVESCO HIGH INCOME TR II VLT COMMON 46131F101 5295 369748 SH SOLE 1 0 369748 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 10540 842536 SH SOLE 1 0 842536 0 INVESCO MUNICIPAL TRUST VKQ COMMON 46131J103 8109 643022 SH SOLE 1 0 643022 0 INVESCO PA VALUE MUNI INC TR V COMMON 46132K109 1842 141183 SH SOLE 1 0 141183 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 9345 730619 SH SOLE 1 0 730619 0 INVESCO SENIOR INCOME TR VVR COMMON 46131H107 14797 3522991 SH SOLE 1 0 3522991 0 INVESCO TR FOR INV GRADE NY MU COMMON 46131T101 211 15500 SH SOLE 1 0 15500 0 INVESCO TRUST FOR INV GRADE MU COMMON 46131M106 13126 1019866 SH SOLE 1 0 1019866 0 INVESCO VALUE MUNICIPAL INCOME COMMON 46132P108 2083 135618 SH SOLE 1 0 135618 0 IVY HIGH INC OPPORTUNITIES FD COMMON 465893105 7020 511999 SH SOLE 1 0 511999 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 20343 1402997 SH SOLE 1 0 1402997 0 JOHN HANCOCK TAX-ADV GLB SHARE COMMON 41013P749 1327 194217 SH SOLE 1 0 194217 0 KAYNE ANDERSON MIDSTREAM/ENERG COMMON 48661E108 133 12252 SH SOLE 1 0 12252 0 KAYNE ANDERSON MLP INVESTMENT COMMON 486606106 2368 163758 SH SOLE 1 0 163758 0 MEXICO EQUITY & INCOME FD MXE COMMON 592834105 1008 95812 SH SOLE 1 0 95812 0 MFS CALIF INSD MUN FD CCA COMMON 59318C106 683 53272 SH SOLE 1 0 53272 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 12527 1507463 SH SOLE 1 0 1507463 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 13230 2869837 SH SOLE 1 0 2869837 0 MFS INTERMEDIATE INCOME TRUST COMMON 55273C107 59462 15565854 SH SOLE 1 0 15565854 0 MFS INVESTMENT GRADE MUNICIPAL COMMON 59318B108 249 25064 SH SOLE 1 0 25064 0 MFS MULTIMARKET INCOME TRUST M COMMON 552737108 3368 569957 SH SOLE 1 0 569957 0 NEUBERGER BERMAN MLP INCOME FD COMMON 64129H104 29 4000 SH SOLE 1 0 4000 0 NEUBERGER BERMN CA INT MUN NBW COMMON 64123C101 2691 192373 SH SOLE 1 0 192373 0 NEW AMERICA HIGH INC FD HYB COMMON 641876800 5844 661791 SH SOLE 1 0 661791 0 NUVEEN ALL CAP ENE MLP OP JMLP COMMON 67075E108 388 67985 SH SOLE 1 0 67985 0 NUVEEN AMT-FREE MUNI CREDIT IN COMMON 67071L106 3113 186048 SH SOLE 1 0 186048 0 NUVEEN AMT-FREE QUALITY MUNI I COMMON 670657105 24943 1743030 SH SOLE 1 0 1743030 0 NUVEEN BUILD AMERICA BOND FD N COMMON 67074C103 16862 756501 SH SOLE 1 0 756501 0 NUVEEN CA DIVIDEND ADV MUNI NA COMMON 67066Y105 4055 270534 SH SOLE 1 0 270534 0 NUVEEN CONNECTICUT QUALITY MUN COMMON 67060D107 22082 1645426 SH SOLE 1 0 1645426 0 NUVEEN CREDIT STRATEGIES INC F COMMON 67073D102 10377 1387352 SH SOLE 1 0 1387352 0 NUVEEN ENERGY MLP TOTAL RETURN COMMON 67074U103 84 9729 SH SOLE 1 0 9729 0 NUVEEN FLOATING RATE INC FD JF COMMON 67072T108 2202 226503 SH SOLE 1 0 226503 0 NUVEEN FLOATING RATE INC OPP F COMMON 6706EN100 1870 196034 SH SOLE 1 0 196034 0 NUVEEN GA DIV ADV MUN FD NKG COMMON 67072B107 3183 256471 SH SOLE 1 0 256471 0 NUVEEN GLOBAL HIGH INCOME FD J COMMON 67075G103 3197 205440 SH SOLE 1 0 205440 0 NUVEEN MD PREMIUM INCOME MUNIC COMMON 67061Q107 3283 245923 SH SOLE 1 0 245923 0 NUVEEN MI QUALITY MUNI INC FD COMMON 670979103 2614 187263 SH SOLE 1 0 187263 0 NUVEEN MN QUALITY MUNI INC FD COMMON 670734102 2280 159408 SH SOLE 1 0 159408 0 NUVEEN MORTGAGE OPP TERM FD 2 COMMON 67074R100 3901 175975 SH SOLE 1 0 175975 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 670735109 11259 488243 SH SOLE 1 0 488243 0 NUVEEN MULTI-MARKET INC FD JMM COMMON 67075J107 22726 3091993 SH SOLE 1 0 3091993 0 NUVEEN MUNICIPAL CREDIT INC FD COMMON 67070X101 1256 77403 SH SOLE 1 0 77403 0 NUVEEN NC QUALITY MUNI INC FD COMMON 67060P100 8714 645039 SH SOLE 1 0 645039 0 NUVEEN NJ QUALITY MUNI INC FD COMMON 67069Y102 12478 862319 SH SOLE 1 0 862319 0 NUVEEN NY AMT-FREE MUNICIPAL I COMMON 670656107 3114 231340 SH SOLE 1 0 231340 0 NUVEEN OHIO QUALITY INCOME MUN COMMON 670980101 5863 371573 SH SOLE 1 0 371573 0 NUVEEN PA QUALITY MUNI INC FD COMMON 670972108 2706 193305 SH SOLE 1 0 193305 0 NUVEEN QUALITY MUNICIPAL INC F COMMON 67066V101 18909 1316816 SH SOLE 1 0 1316816 0 NUVEEN SENIOR INC FD NSL COMMON 67067Y104 1089 188676 SH SOLE 1 0 188676 0 NUVEEN TX QLTY MUNI INC FD NTX COMMON 670983105 660 47492 SH SOLE 1 0 47492 0 PGIM GLOBAL SHORT DURATION HIG COMMON 69346J106 26659 1855165 SH SOLE 1 0 1855165 0 PGIM SHORT DURATION HI YLD FD COMMON 69346H100 5631 376652 SH SOLE 1 0 376652 0 PIONEER DIVERSIFIED HIGH INC T COMMON 723653101 11221 773835 SH SOLE 1 0 773835 0 PIONEER FLOATING RATE TR PHD COMMON 72369J102 1385 131558 SH SOLE 1 0 131558 0 PIONEER HIGH INCOME TR PHT COMMON 72369H106 2460 266832 SH SOLE 1 0 266832 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 40455 8813702 SH SOLE 1 0 8813702 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 772 59100 SH SOLE 1 0 59100 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 19469 3701241 SH SOLE 1 0 3701241 0 SALIENT MIDSTREAM & MLP FUND S COMMON 79471V105 31 4000 SH SOLE 1 0 4000 0 SPECIAL OPPORTUNITIES FUND INC COMMON 84741T104 7947 558051 SH SOLE 1 0 558051 0 TCW STRATEGIC INCOME FD TSI COMMON 872340104 10430 1836280 SH SOLE 1 0 1836280 0 THL CREDIT SENIOR LOAN FD TSLF COMMON 87244R103 1335 88904 SH SOLE 1 0 88904 0 TORTOISE ENERGY INFRASTRUCTURE COMMON 89147L100 3800 185802 SH SOLE 1 0 185802 0 TORTOISE MLP FUND INC NTG COMMON 89148B101 458 37300 SH SOLE 1 0 37300 0 VERTICAL CAP INCOME FUND VCIF COMMON 92535C104 1798 168387 SH SOLE 1 0 168387 0 VIRTUS TOTAL RETURN FUND ZF COMMON 92837G100 4560 405001 SH SOLE 1 0 405001 0 VOYA PRIME RATE TR PPR COMMON 92913A100 2689 570866 SH SOLE 1 0 570866 0 WA GLOBAL CORPORATE DEFINED OP COMMON 95790C107 626 35943 SH SOLE 1 0 35943 0 WA INFLATION - LINKED SEC & IN COMMON 95766Q106 29411 2537627 SH SOLE 1 0 2537627 0 WA INFLATION-LINKED OPP & INC COMMON 95766R104 42326 3820059 SH SOLE 1 0 3820059 0 WA VARIABLE RATE STRATEGIC FD COMMON 957667108 20271 1247428 SH SOLE 1 0 1247428 0 WELLS FARGO INC OPPORTUNITIES COMMON 94987B105 5256 637829 SH SOLE 1 0 637829 0 WELLS FARGO MULTI-SECTOR INC F COMMON 94987D101 1071 86702 SH SOLE 1 0 86702 0 WESTERN ASSET CORPORATE LOAN F COMMON 95790J102 7093 747460 SH SOLE 1 0 747460 0 WESTERN ASSET GLOBAL HIGH INC COMMON 95766B109 13797 1389448 SH SOLE 1 0 1389448 0 WESTERN ASSET HIGH INC OPP FD COMMON 95766K109 14525 2876250 SH SOLE 1 0 2876250 0 WESTERN ASSET MUNI PARTNERS FD COMMON 95766P108 300 19613 SH SOLE 1 0 19613 0 WESTERN ASSET PREMIER BOND FUN COMMON 957664105 3765 264979 SH SOLE 1 0 264979 0