Vice President

0000897101-20-000064.txt : 20200213 0000897101-20-000064.hdr.sgml : 20200213 20200213144150 ACCESSION NUMBER: 0000897101-20-000064 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200213 EFFECTIVENESS DATE: 20200213 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: 20609322 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 12-31-2019 12-31-2019 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 02-13-2020 1 516 3517424 1 0001053046 SIT FIXED INCOME ADVISORS II LLC /ADV INFORMATION TABLE 2 infotable.xml 3M CO COMMON 88579Y101 4235 24005 SH SOLE 1 24005 0 0 ABBOTT LABORATORIES COMMON 002824100 23564 271290 SH SOLE 1 271290 0 0 ABBVIE INC COMMON 00287Y109 535 6045 SH SOLE 1 6045 0 0 ABIOMED INC COMMON 003654100 8 45 SH SOLE 1 45 0 0 ACCENTURE PLC CL A COMMON G1151C101 24173 114800 SH SOLE 1 114800 0 0 ACUSHNET HOLDINGS CORP COMMON 005098108 1687 51900 SH SOLE 1 51900 0 0 ADIDAS AG ADR DEPOSITARY RECEI 00687A107 1560 9585 SH SOLE 1 9585 0 0 ADOBE INC COMMON 00724F101 10143 30755 SH SOLE 1 30755 0 0 ADTALEM GLOBAL EDUCATION INC COMMON 00737L103 72 2050 SH SOLE 1 2050 0 0 ADVANCED DISPOSAL SERVICES INC COMMON 00790X101 1827 55575 SH SOLE 1 55575 0 0 ADVANCED MICRO DEVICES INC COMMON 007903107 3719 81100 SH SOLE 1 81100 0 0 AFLAC INC COMMON 001055102 374 7075 SH SOLE 1 7075 0 0 AGILENT TECHNOLOGIES INC COMMON 00846U101 9849 115450 SH SOLE 1 115450 0 0 AIR 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23410 0 0 SIEMENS AG ADR DEPOSITARY RECEI 826197501 1580 24320 SH SOLE 1 24320 0 0 SKYWORKS SOLUTIONS INC COMMON 83088M102 16102 133210 SH SOLE 1 133210 0 0 SONY CORP ADR DEPOSITARY RECEI 835699307 1776 26125 SH SOLE 1 26125 0 0 SOUTHERN COPPER CORP COMMON 84265V105 166 3900 SH SOLE 1 3900 0 0 SPIRE INC COMMON 84857L101 837 10050 SH SOLE 1 10050 0 0 SPLUNK INC COMMON 848637104 6628 44255 SH SOLE 1 44255 0 0 STAAR SURGICAL CO COMMON 852312305 550 15625 SH SOLE 1 15625 0 0 STARBUCKS CORP COMMON 855244109 12324 140175 SH SOLE 1 140175 0 0 STERIS PLC COMMON G8473T100 2336 15325 SH SOLE 1 15325 0 0 STIFEL FINANCIAL CORP COMMON 860630102 555 9150 SH SOLE 1 9150 0 0 STORE CAPITAL CORP REIT 862121100 126 3375 SH SOLE 1 3375 0 0 STRATEGIC EDUCATION INC COMMON 86272C103 3615 22750 SH SOLE 1 22750 0 0 SUNCOR ENERGY INC COMMON 867224107 6859 209110 SH SOLE 1 209110 0 0 SVB FINANCIAL GROUP COMMON 78486Q101 2400 9560 SH SOLE 1 9560 0 0 SYNCHRONY FINANCIAL COMMON 87165B103 6159 171040 SH SOLE 1 171040 0 0 SYNOVUS FINANCIAL CORP COMMON 87161C501 414 10562 SH SOLE 1 10562 0 0 T ROWE PRICE GROUP INC COMMON 74144T108 21447 176030 SH SOLE 1 176030 0 0 TAIWAN SEMICONDUCTOR ADR DEPOSITARY RECEI 874039100 168 2900 SH SOLE 1 2900 0 0 TAKE-TWO INTERACTIVE SOFTWARE COMMON 874054109 1824 14900 SH SOLE 1 14900 0 0 TAL EDUCATION GROUP ADR DEPOSITARY RECEI 874080104 863 17900 SH SOLE 1 17900 0 0 TALEND SA ADR DEPOSITARY RECEI 874224207 1070 27350 SH SOLE 1 27350 0 0 TARGA RESOURCES CORP COMMON 87612G101 175 4275 SH SOLE 1 4275 0 0 TARGET CORP COMMON 87612E106 26505 206729 SH SOLE 1 206729 0 0 TC ENERGY CORP COMMON 87807B107 10088 189225 SH SOLE 1 189225 0 0 TELADOC HEALTH INC COMMON 87918A105 4856 58000 SH SOLE 1 58000 0 0 TELEFLEX INC COMMON 879369106 3 9 SH SOLE 1 9 0 0 THERMO FISHER SCIENTIFIC INC COMMON 883556102 11327 34865 SH SOLE 1 34865 0 0 THOR INDUSTRIES INC COMMON 885160101 1317 17725 SH SOLE 1 17725 0 0 TJX COS INC/THE COMMON 872540109 22558 369440 SH SOLE 1 369440 0 0 TRAVELERS COS INC/THE COMMON 89417E109 168 1226 SH SOLE 1 1226 0 0 TREX CO INC COMMON 89531P105 4211 46850 SH SOLE 1 46850 0 0 TRIP COM GROUP LTD ADR DEPOSITARY RECEI 89677Q107 72 2150 SH SOLE 1 2150 0 0 TRUIST FINANCIAL CORP COMMON 89832Q109 14082 250030 SH SOLE 1 250030 0 0 ULTA BEAUTY INC COMMON 90384S303 5532 21855 SH SOLE 1 21855 0 0 UNION PACIFIC CORP COMMON 907818108 23489 129925 SH SOLE 1 129925 0 0 UNITED PARCEL SERVICE INC CL B COMMON 911312106 7413 63325 SH SOLE 1 63325 0 0 UNITED TECHNOLOGIES CORP COMMON 913017109 19123 127690 SH SOLE 1 127690 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 33746 114790 SH SOLE 1 114790 0 0 US BANCORP COMMON 902973304 10624 179180 SH SOLE 1 179180 0 0 VAIL RESORTS INC COMMON 91879Q109 4089 17050 SH SOLE 1 17050 0 0 VALERO ENERGY CORP COMMON 91913Y100 3620 38650 SH SOLE 1 38650 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 36436 593425 SH SOLE 1 593425 0 0 VF CORP COMMON 918204108 1548 15530 SH SOLE 1 15530 0 0 VISA INC COMMON 92826C839 34451 183350 SH SOLE 1 183350 0 0 WALMART INC COMMON 931142103 14 119 SH SOLE 1 119 0 0 WALT DISNEY CO/THE COMMON 254687106 15376 106310 SH SOLE 1 106310 0 0 WASTE CONNECTIONS INC COMMON 94106B101 6324 69660 SH SOLE 1 69660 0 0 WASTE MANAGEMENT INC COMMON 94106L109 4096 35945 SH SOLE 1 35945 0 0 WATSCO INC COMMON 942622200 1247 6920 SH SOLE 1 6920 0 0 WEC ENERGY GROUP INC COMMON 92939U106 5773 62590 SH SOLE 1 62590 0 0 WELLS FARGO & CO COMMON 949746101 20 375 SH SOLE 1 375 0 0 WESTERN ALLIANCE BANCORP COMMON 957638109 333 5850 SH SOLE 1 5850 0 0 WESTPAC BANKING CORP ADR DEPOSITARY RECEI 961214301 1151 67800 SH SOLE 1 67800 0 0 WINTRUST FINANCIAL CORP COMMON 97650W108 346 4875 SH SOLE 1 4875 0 0 WRIGHT MEDICAL GROUP NV COMMON N96617118 736 24150 SH SOLE 1 24150 0 0 XILINX INC COMMON 983919101 147 1500 SH SOLE 1 1500 0 0 YETI HOLDINGS INC COMMON 98585X104 9190 264220 SH SOLE 1 264220 0 0 ZIMMER BIOMET HOLDINGS INC COMMON 98956P102 12340 82440 SH SOLE 1 82440 0 0 ZURICH INSURANCE GROUP AG ADR DEPOSITARY RECEI 989825104 1349 32900 SH SOLE 1 32900 0 0 ABERDEEN INC CREDIT STRATEGIES COMMON 003057106 7799 677624 SH SOLE 1 0 677624 0 ALLIANCEBERNSTEIN NATIONAL MUN COMMON 01864U106 861 61557 SH SOLE 1 0 61557 0 APOLLO SR FLOATING RATE FD AFT COMMON 037636107 2708 178853 SH SOLE 1 0 178853 0 ARES DYNAMIC CRED ALLOC FD AR COMMON 04014F102 6226 405614 SH SOLE 1 0 405614 0 BARINGS GLOBAL SHORT DUR HI YL COMMON 06760L100 3190 181947 SH SOLE 1 0 181947 0 BLACKROCK CA MUNICIPAL INCOME COMMON 09248E102 14999 1106120 SH SOLE 1 0 1106120 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 32876 2254893 SH SOLE 1 0 2254893 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 39485 2824391 SH SOLE 1 0 2824391 0 BLACKROCK DEBT STRATEGIES FD D COMMON 09255R202 17756 1585364 SH SOLE 1 0 1585364 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 26173 1990308 SH SOLE 1 0 1990308 0 BLACKROCK INCOME TRUST INC BKT COMMON 09247F100 64064 10589097 SH SOLE 1 0 10589097 0 BLACKROCK LONG-TERM MUNI ADVAN COMMON 09250B103 6348 497079 SH SOLE 1 0 497079 0 BLACKROCK LTD DURATION IN BLW COMMON 09249W101 130 7927 SH SOLE 1 0 7927 0 BLACKROCK MUNI INC INV QUALITY COMMON 09250G102 2399 168778 SH SOLE 1 0 168778 0 BLACKROCK MUNI NY INTERMEDIATE COMMON 09255F109 502 32758 SH SOLE 1 0 32758 0 BLACKROCK MUNICIPAL BOND TRUST COMMON 09249H104 617 39754 SH SOLE 1 0 39754 0 BLACKROCK MUNICIPAL INC QUALIT COMMON 092479104 3230 229859 SH SOLE 1 0 229859 0 BLACKROCK MUNIENHANCED FD MEN COMMON 09253Y100 3698 331395 SH SOLE 1 0 331395 0 BLACKROCK MUNIHOLDINGS CA MUC COMMON 09254L107 2041 145917 SH SOLE 1 0 145917 0 BLACKROCK MUNIHOLDINGS FD II I COMMON 09253P109 3245 213078 SH SOLE 1 0 213078 0 BLACKROCK MUNIHOLDINGS INV QUA COMMON 09254P108 7637 574643 SH SOLE 1 0 574643 0 BLACKROCK MUNIHOLDINGS NJ QUAL COMMON 09254X101 8062 561844 SH SOLE 1 0 561844 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 170 12500 SH SOLE 1 0 12500 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 7945 630059 SH SOLE 1 0 630059 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254A101 6538 520103 SH SOLE 1 0 520103 0 BLACKROCK MUNIYIELD INV QUALIT COMMON 09254T100 2116 156030 SH SOLE 1 0 156030 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 5687 400640 SH SOLE 1 0 400640 0 BLACKROCK MUNIYIELD NJ FUND MY COMMON 09254Y109 2659 176211 SH SOLE 1 0 176211 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 406 31000 SH SOLE 1 0 31000 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 2354 164719 SH SOLE 1 0 164719 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254G108 6947 534348 SH SOLE 1 0 534348 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254F100 1345 89352 SH SOLE 1 0 89352 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254E103 6929 513233 SH SOLE 1 0 513233 0 BLACKROCK NY MUNI INC QLT TRUS COMMON 09249U105 4928 358397 SH SOLE 1 0 358397 0 BLACKROCK STRATEGIC MUNI TR BS COMMON 09248T109 714 50922 SH SOLE 1 0 50922 0 BLACKSTONE GSO STRAT CRED FD B COMMON 09257R101 4050 281653 SH SOLE 1 0 281653 0 BNY MELLON HIGH YIELD STRATEGI COMMON 09660L105 3938 1270293 SH SOLE 1 0 1270293 0 BNY MELLON STRATEGIC MUNI BOND COMMON 09662E109 322 40288 SH SOLE 1 0 40288 0 BNYM STRATEGIC MUNICIPALS INC COMMON 05588W108 2117 248746 SH SOLE 1 0 248746 0 BROOKFIELD GLBL LISTED INC FD COMMON 11273Q109 2631 188612 SH SOLE 1 0 188612 0 CENTER COAST MLP & INFRASTRUCT COMMON 151461100 41 6500 SH SOLE 1 0 6500 0 CLEARBRIDGE ENERGY MLP FD CEM COMMON 184692101 8624 765862 SH SOLE 1 0 765862 0 CLEARBRIDGE ENERGY MLP OPP FD COMMON 18469P100 9824 1168149 SH SOLE 1 0 1168149 0 CLEARBRIDGE ENERGY MLP TOTAL R COMMON 18469Q108 3022 351801 SH SOLE 1 0 351801 0 CLOUGH GLOBAL EQUITY FD GLQ COMMON 18914C100 5359 444019 SH SOLE 1 0 444019 0 COHEN & STEERS INFRASTRUCTURE COMMON 19248A109 10269 391931 SH SOLE 1 0 391931 0 CORNERSTONE STRATEGIC VALUE FD COMMON 21924B302 74193 6618425 SH SOLE 1 0 6618425 0 CORNERSTONE TOTAL RETURN FD CR COMMON 21924U300 36696 3339018 SH SOLE 1 0 3339018 0 CREDIT SUISSE ASSET MANAGEMENT COMMON 224916106 2108 654665 SH SOLE 1 0 654665 0 CUSHING MLP & INF TOTAL RETURN COMMON 231631201 3 285 SH SOLE 1 0 285 0 CUSHING RENAISSANCE FD/THE SZC COMMON 231647108 8762 647136 SH SOLE 1 0 647136 0 DELAWARE INVS MN MUNI INC FD I COMMON 24610V103 4394 334436 SH SOLE 1 0 334436 0 DOUBLELINE INCOME SOLUTIO DSL COMMON 258622109 5555 281140 SH SOLE 1 0 281140 0 DOUBLELINE OPP CREDIT FD DBL COMMON 258623107 8283 401287 SH SOLE 1 0 401287 0 DTF TAX-FREE INCOME INC DTF COMMON 23334J107 1402 94738 SH SOLE 1 0 94738 0 DUFF & PHELPS SELECT ENERGY ML COMMON 26433F108 62 16100 SH SOLE 1 0 16100 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 36490 3992385 SH SOLE 1 0 3992385 0 DWS MUNICIPAL INCOME TRUST KTF COMMON 233368109 12998 1147233 SH SOLE 1 0 1147233 0 EATON VANCE CA MUNICIPAL INCOM COMMON 27826F101 23 1673 SH SOLE 1 0 1673 0 EATON VANCE FLOATING-RATE INC COMMON 278284104 2189 136831 SH SOLE 1 0 136831 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 82459 6223314 SH SOLE 1 0 6223314 0 EATON VANCE NEW YORK MUNI ENX COMMON 27827Y109 975 80705 SH SOLE 1 0 80705 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 74736 5535971 SH SOLE 1 0 5535971 0 EATON VANCE SR INCOME TR EVF COMMON 27826S103 1277 199174 SH SOLE 1 0 199174 0 FEDERATED PREMIER MUNI INC FD COMMON 31423P108 829 58822 SH SOLE 1 0 58822 0 FIDUCIARY/CLAYMORE MLP OPP FD COMMON 31647Q106 2556 323504 SH SOLE 1 0 323504 0 FIRST TR ABERDEEN GLOBAL OPP I COMMON 337319107 8792 785679 SH SOLE 1 0 785679 0 FIRST TR HIGH INC LONG/SHORT F COMMON 33738E109 19862 1261093 SH SOLE 1 0 1261093 0 FIRST TR MORTGAGE INCOME FD FM COMMON 33734E103 24053 1716845 SH SOLE 1 0 1716845 0 FIRST TRUST MLP AND ENERGY INC COMMON 33739B104 79 6656 SH SOLE 1 0 6656 0 FIRST TRUST NEW OPPORTUNITIES COMMON 33739M100 2576 276087 SH SOLE 1 0 276087 0 FIRST TRUST SENIOR FLOATING RA COMMON 33733U108 2202 175491 SH SOLE 1 0 175491 0 FLAHERTY & CRUMRINE PFD SEC IN COMMON 338478100 239 11000 SH SOLE 1 0 11000 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 529 23742 SH SOLE 1 0 23742 0 FRANKLIN LIMITED DURATION INCO COMMON 35472T101 44864 4678194 SH SOLE 1 0 4678194 0 GABELLI DIVD & INCOME TR GDV COMMON 36242H104 25597 1166144 SH SOLE 1 0 1166144 0 GOLDMAN SACHS MLP ENERGY GER COMMON 38148G107 34 7866 SH SOLE 1 0 7866 0 GOLDMAN SACHS MLP INC OPP GMZ COMMON 38147W103 38 6342 SH SOLE 1 0 6342 0 GUGGENHEIM CR ALLOC FD GGM COMMON 40168G108 343 17223 SH SOLE 1 0 17223 0 HIGH INCOME SECURITIES FUND PC COMMON 42968F108 437 48770 SH SOLE 1 0 48770 0 INSIGHT SELECT INCOME FD INSI COMMON 45781W109 20059 1001440 SH SOLE 1 0 1001440 0 INVESCO ADVANTAGE MUNI INC TRU COMMON 46132E103 9980 893469 SH SOLE 1 0 893469 0 INVESCO BOND FUND VBF COMMON 46132L107 11454 550667 SH SOLE 1 0 550667 0 INVESCO DYNAMIC CREDIT OPPORTU COMMON 46132R104 21131 1861748 SH SOLE 1 0 1861748 0 INVESCO HIGH INC 2023 TARGET T COMMON 46135X108 2435 230836 SH SOLE 1 0 230836 0 INVESCO HIGH INC 2024 TARGET T COMMON 46136K105 3500 335555 SH SOLE 1 0 335555 0 INVESCO HIGH INCOME TR II VLT COMMON 46131F101 2152 150679 SH SOLE 1 0 150679 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 10414 842522 SH SOLE 1 0 842522 0 INVESCO MUNICIPAL TRUST VKQ COMMON 46131J103 9354 756792 SH SOLE 1 0 756792 0 INVESCO PA VALUE MUNI INC TR V COMMON 46132K109 985 74695 SH SOLE 1 0 74695 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 9276 737342 SH SOLE 1 0 737342 0 INVESCO SENIOR INCOME TR VVR COMMON 46131H107 13179 3072109 SH SOLE 1 0 3072109 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 13693 1065587 SH SOLE 1 0 1065587 0 INVESCO VALUE MUNICIPAL INCOME COMMON 46132P108 2033 132718 SH SOLE 1 0 132718 0 IVY HIGH INC OPPORTUNITIES FD COMMON 465893105 6861 493613 SH SOLE 1 0 493613 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 22018 1486690 SH SOLE 1 0 1486690 0 JOHN HANCOCK TAX-ADV GLB SHARE COMMON 41013P749 3379 477926 SH SOLE 1 0 477926 0 KAYNE ANDERSON MIDSTREAM/ENERG COMMON 48661E108 129 12252 SH SOLE 1 0 12252 0 KAYNE ANDERSON MLP INVESTMENT COMMON 486606106 2177 156258 SH SOLE 1 0 156258 0 LAZARD GLOBAL TOTAL RETURN AND COMMON 52106W103 2288 138250 SH SOLE 1 0 138250 0 LIBERTY ALL-STAR GROWTH FD ASG COMMON 529900102 5 800 SH SOLE 1 0 800 0 MEXICO EQUITY & INCOME FD MXE COMMON 592834105 1130 97373 SH SOLE 1 0 97373 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 12921 1534510 SH SOLE 1 0 1534510 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 12673 2760933 SH SOLE 1 0 2760933 0 MFS INTERMEDIATE INCOME TRUST COMMON 55273C107 62967 16570241 SH SOLE 1 0 16570241 0 MFS INVESTMENT GRADE MUNICIPAL COMMON 59318B108 227 23194 SH SOLE 1 0 23194 0 MFS MULTIMARKET INCOME TRUST M COMMON 552737108 2496 407868 SH SOLE 1 0 407868 0 NEUBERGER BERMAN MLP INCOME FD COMMON 64129H104 27 4000 SH SOLE 1 0 4000 0 NEUBERGER BERMN CA INT MUN NBW COMMON 64123C101 4298 308092 SH SOLE 1 0 308092 0 NEW AMERICA HIGH INC FD HYB COMMON 641876800 3850 421733 SH SOLE 1 0 421733 0 NUVEEN ALL CAP ENE MLP OP JMLP COMMON 67075E108 465 88485 SH SOLE 1 0 88485 0 NUVEEN AMT-FREE MUNI CREDIT IN COMMON 67071L106 13772 826139 SH SOLE 1 0 826139 0 NUVEEN AMT-FREE QUALITY MUNI I COMMON 670657105 37481 2606442 SH SOLE 1 0 2606442 0 NUVEEN BUILD AMERICA BOND FD N COMMON 67074C103 13232 605868 SH SOLE 1 0 605868 0 NUVEEN CA DIVIDEND ADV MUNI NA COMMON 67066Y105 4177 280534 SH SOLE 1 0 280534 0 NUVEEN CREDIT STRATEGIES INC F COMMON 67073D102 21597 2815818 SH SOLE 1 0 2815818 0 NUVEEN ENERGY MLP TOTAL RETURN COMMON 67074U103 32 4111 SH SOLE 1 0 4111 0 NUVEEN FLOATING RATE INC FD JF COMMON 67072T108 2622 256101 SH SOLE 1 0 256101 0 NUVEEN FLOATING RATE INC OPP F COMMON 6706EN100 2025 202700 SH SOLE 1 0 202700 0 NUVEEN GA DIV ADV MUN FD NKG COMMON 67072B107 3518 279014 SH SOLE 1 0 279014 0 NUVEEN GLOBAL HIGH INCOME FD J COMMON 67075G103 9511 580654 SH SOLE 1 0 580654 0 NUVEEN MD PREMIUM INCOME MUNIC COMMON 67061Q107 4047 300882 SH SOLE 1 0 300882 0 NUVEEN MI QUALITY MUNI INC FD COMMON 670979103 2758 195033 SH SOLE 1 0 195033 0 NUVEEN MN QUALITY MUNI INC FD COMMON 670734102 2328 159408 SH SOLE 1 0 159408 0 NUVEEN MORTGAGE & INCOME FD JL COMMON 670735109 2246 102276 SH SOLE 1 0 102276 0 NUVEEN MULTI-MARKET INC FD JMM COMMON 67075J107 24137 3261783 SH SOLE 1 0 3261783 0 NUVEEN MUNICIPAL CREDIT INC FD COMMON 67070X101 980 59880 SH SOLE 1 0 59880 0 NUVEEN NJ QUALITY MUNI INC FD COMMON 67069Y102 10194 695370 SH SOLE 1 0 695370 0 NUVEEN NY AMT-FREE MUNICIPAL I COMMON 670656107 11774 867650 SH SOLE 1 0 867650 0 NUVEEN OHIO QUALITY INCOME MUN COMMON 670980101 6510 422060 SH SOLE 1 0 422060 0 NUVEEN PA QUALITY MUNI INC FD COMMON 670972108 2992 211478 SH SOLE 1 0 211478 0 NUVEEN QUALITY MUNICIPAL INC F COMMON 67066V101 21577 1477882 SH SOLE 1 0 1477882 0 NUVEEN SENIOR INC FD NSL COMMON 67067Y104 1370 229784 SH SOLE 1 0 229784 0 NUVEEN SHORT DUR CREDIT OPP FD COMMON 67074X107 370 24384 SH SOLE 1 0 24384 0 NUVEEN TX QLTY MUNI INC FD NTX COMMON 670983105 1648 114986 SH SOLE 1 0 114986 0 PGIM GLOBAL SHORT DURATION HIG COMMON 69346J106 33291 2216437 SH SOLE 1 0 2216437 0 PGIM SHORT DURATION HI YLD FD COMMON 69346H100 6421 416952 SH SOLE 1 0 416952 0 PIONEER DIVERSIFIED HIGH INC T COMMON 723653101 12218 821080 SH SOLE 1 0 821080 0 PIONEER FLOATING RATE TR PHD COMMON 72369J102 4732 431381 SH SOLE 1 0 431381 0 PIONEER HIGH INCOME TR PHT COMMON 72369H106 1769 185434 SH SOLE 1 0 185434 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 41429 8740269 SH SOLE 1 0 8740269 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 777 59100 SH SOLE 1 0 59100 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 18763 3455453 SH SOLE 1 0 3455453 0 RIVERNORTH DOUBLELINE STR OPP COMMON 76882G107 6989 425381 SH SOLE 1 0 425381 0 SALIENT MIDSTREAM & MLP FUND S COMMON 79471V105 31 4000 SH SOLE 1 0 4000 0 SPECIAL OPPORTUNITIES FUND INC COMMON 84741T104 8220 558051 SH SOLE 1 0 558051 0 TCW STRATEGIC INCOME FD TSI COMMON 872340104 10497 1819280 SH SOLE 1 0 1819280 0 THL CREDIT SENIOR LOAN FD TSLF COMMON 87244R103 1476 97290 SH SOLE 1 0 97290 0 TORTOISE ENERGY INFRASTRUCTURE COMMON 89147L100 3556 198327 SH SOLE 1 0 198327 0 TORTOISE MLP FUND INC NTG COMMON 89148B101 1176 107300 SH SOLE 1 0 107300 0 VERTICAL CAP INCOME FUND VCIF COMMON 92535C104 1753 168387 SH SOLE 1 0 168387 0 VOYA PRIME RATE TR PPR COMMON 92913A100 10037 2003342 SH SOLE 1 0 2003342 0 WA GLOBAL CORPORATE DEFINED OP COMMON 95790C107 655 35943 SH SOLE 1 0 35943 0 WA INFLATION - LINKED SEC & IN COMMON 95766Q106 31878 2623715 SH SOLE 1 0 2623715 0 WA INFLATION-LINKED OPP & INC COMMON 95766R104 51209 4437528 SH SOLE 1 0 4437528 0 WA VARIABLE RATE STRATEGIC FD COMMON 957667108 21071 1261003 SH SOLE 1 0 1261003 0 WELLS FARGO INC OPPORTUNITIES COMMON 94987B105 2198 261083 SH SOLE 1 0 261083 0 WELLS FARGO MULTI-SECTOR INC F COMMON 94987D101 1117 86702 SH SOLE 1 0 86702 0 WESTERN ASSET CORPORATE LOAN F COMMON 95790J102 5411 546030 SH SOLE 1 0 546030 0 WESTERN ASSET GLOBAL HIGH INC COMMON 95766B109 19482 1944266 SH SOLE 1 0 1944266 0 WESTERN ASSET HIGH INC OPP FD COMMON 95766K109 17751 3501224 SH SOLE 1 0 3501224 0 WESTERN ASSET INV GRA DEF OPP COMMON 95790A101 173 7557 SH SOLE 1 0 7557 0 WESTERN ASSET MORTGAGE DEFINED COMMON 95790B109 2842 139978 SH SOLE 1 0 139978 0 WESTERN ASSET PREMIER BOND FUN COMMON 957664105 2970 202728 SH SOLE 1 0 202728 0