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Nuveen Fund Advisors, LLC 333 West Wacker Drive Chicago 606061286 3129177700 Certificate of Incorporation, By-Laws, minutes of director and shareholder meetings and contracts of the Registrant and all advisory material of the investment adviser SS&C Global Investor & Distribution Solutions, Inc. P.O. Box 219140 Kansas City 641219140 8002578787 All required records in its capacity as transfer, dividend paying, and shareholder service agent for the Registrant. N N N-1A 17 Y Terence J. Toth 004501033 N John K. Nelson N/A N Matthew Thornton III N/A N Margaret L. Wolff N/A N Robert L. Young N/A N Amy B. R. Lancellotta N/A N Joanne T. Medero N/A N Albin F. Moschner N/A N Thomas J. Kenny N/A N Loren M. Starr N/A N Joseph A. Boateng N/A N Michael A. Forrester N/A N Brett E. 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Baird & Co. 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Baird & Co. Incorporated 008-00497 000008158 549300772UJAHRD6LO53 N/A 35000.420000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 N/A 30276.460000000000 Liquidnet INC. 008-52461 000103987 213800HSKBBO1GCVRG79 N/A 27415.130000000000 Cowen and Company 008-22522 000007616 549300WR155U7DVMIW58 N/A 24414.420000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 N/A 17614.660000000000 Instinet LLC 008-23669 000007897 549300MGMN3RKMU8FT57 N/A 13828.470000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 N/A 6552.490000000000 358630.290000000000 National Financial Services LLC 008-26740 000013041 549300JRHF1MHHWUAW04 N/A 72783407.630000000000 RBC Capital Markets, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 N/A 66552611.230000000000 Raymond James & Associates Inc. 008-10999 000000705 U4ONQX15J3RO8XCKE979 N/A 52861381.890000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 N/A 46658682.380000000000 Robert W. Baird & Co. Incorporated 008-00497 000008158 549300772UJAHRD6LO53 N/A 40804316.790000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 N/A 33182731.330000000000 Cowen and Company 008-22522 000007616 549300WR155U7DVMIW58 N/A 25863039.220000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 N/A 25735751.900000000000 Liquidnet INC. 008-52461 000103987 213800HSKBBO1GCVRG79 N/A 23764864.050000000000 Luminex Trading & Analytics LLC 008-69476 000171752 254900ZBK50B4Y36MJ33 N/A 13450294.960000000000 459835692.990000000000 N 240229586.844164000000 Committed 2700000000.000000000000 N N N N ICE DATA PRICING & REFERENCE DATA, LLC 5493000NQ9LYLDBCTL34 N/A N Short-term investment vehicle Repurchase agreement Equity-common Equity-preferred Debt Derivative-commodity Derivative-credit Derivative-equity Derivative-foreign exchange Derivative-interest rate Derivative-other Structured note Loan ABS-mortgage backed security ABS-asset backed commercial paper ABS-collateralized bond/debt obligation ABS-other Commodity Real estate N Nuveen Small Cap Select Fund S000005569 549300EL862DX4ZV4125 N 3 0 0 N/A N N Y N N State Street Bank and Trust 571474TGEMMWANRLN572 N/A N N Revenue sharing split Cash collateral reinvestment fee 1376527.705833330000 5186.000000000000 Rule 17a-7 (17 CFR 270.17a-7) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Rule 12d1-4 (17 CFR 270.12d1-4) Rule 18f-4 (17 CFR 270.18f-4) Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4)) Y Y N N Nuveen Fund Advisors, LLC 801-14147 000104626 5493003J8FN3E5O9OT63 N/A N Nuveen Asset Management, LLC 801-71957 000155584 549300W218VXB0L5EY14 N/A Y N SS&C Global Investor & Distribution Solutions, Inc. 84-00896 549300KY09TR3J12JU49 N/A N N N ICE Data Pricing and Reference Data, LLC 5493000NQ9LYLDBCTL34 N/A N Financial & Risk U.S. Holdings, Inc. (Refinitiv) 549300NF240HXJ07N016 N/A N IHS Markit Ltd. 549300HLPTRASHS0E726 N/A BM N Pricing Direct 549300WIC0TOJ7N7GD54 N/A N Bloomberg 5493001KJTIIGC8Y1R12 N/A N Bloomberg BVAL N/A N/A N Bank of America B4TYDEB6GKMZO031MB27 N/A N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N/A N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) AO CITIBANK, MOSCOW N/A N/A RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HAPOALIM B.M. N/A N/A IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK POLSKA KASA OPIEKI SA - BANK P N/A N/A PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, GR N/A N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CANADA SELF CUSTODY - CDSX N/A N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CESKOSLOVENSKA OBCHODNI BANKA, A.S. N/A N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK COLOMBIA N/A N/A CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK EUROPE PLC HUNGARIAN BRANC N/A N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK EUROPE PLC, DUBLIN-SUCURSA N/A N/A RO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK MAGHREB N/A N/A MA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK N.A. N/A N/A AR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA LIMA N/A N/A PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA MEXICO N/A N/A MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA SAO PAULO BRAZIL N/A N/A BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK PJSC N/A N/A UA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK,N.A. N/A N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM N/A N/A LU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM BANKING AG N/A N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SCHWEIZ) AG N/A N/A CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEPOSITORY TRUST AND CLEARING CORPORATION N/A N/A N Y Securities depository - rule 17f-4 (17 CFR 270.17f-4) DEUTSCHE BANK (MALAYSIA) BERHAD N/A N/A MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK A.S. N/A N/A TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, SEOUL BRANCH N/A N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, TAIPEI BRANCH N/A N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK S.P.A. N/A N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK SOCIEDAD ANONIMA ESPA N/A N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DTCC N/A N/A N Y Securities depository - rule 17f-4 (17 CFR 270.17f-4) EUROCLEAR N/A N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) FEDERAL RESERVE BANK N/A N/A N Y Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) FIRSTRAND BANK LIMITED N/A N/A ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK (CHINA) COMPANY LIMITED N/A N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED N/A N/A AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK EGYPT S.A.E N/A N/A EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK MIDDLE EAST LIMITED N/A N/A AE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ITAU CORPBANCA (FORMERLY BANCO ITAU N/A N/A CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NORDEA BANK AB (PUBL) N/A N/A SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NORDEA BANK AB (PUBL), FILIAL I NOR N/A N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NORDEA BANK AB (PUBL), FINNISH BRAN N/A N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ROYAL BANK OF CANADA N/A N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB N/A N/A SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (HONG KONG) N/A N/A HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (THAI) PCL N/A N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BANK AND TRUST COMPANY N/A N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BK LONDON - CREST N/A N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UNICREDIT BANK AUSTRIA AG N/A N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N SS&C Global Investor & Distribution Solutions, Inc. 549300KY09TR3J12JU49 N/A N N N N Nuveen Securities, LLC 008-13464 000000469 549300SUT66RK1UQZ953 N/A 0.000000000000 TIAA-CREF Individual & Institutional Services, LLC 008-44454 000020472 N/A N/A 0.000000000000 Liquidnet INC. 008-52461 000103987 213800HSKBBO1GCVRG79 N/A 78830.540000000000 RBC Capital Markets, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 N/A 64835.660000000000 National Financial Services LLC 008-26740 000013041 549300JRHF1MHHWUAW04 N/A 57290.710000000000 Raymond James & Associates Inc. 008-10999 000000705 U4ONQX15J3RO8XCKE979 N/A 34192.900000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 N/A 29319.970000000000 Robert W. Baird & Co. Incorporated 008-00497 000008158 549300772UJAHRD6LO53 N/A 27421.430000000000 Cowen and Company 008-22522 000007616 549300WR155U7DVMIW58 N/A 23040.360000000000 Instinet LLC 008-23669 000007897 549300MGMN3RKMU8FT57 N/A 16585.020000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 N/A 13934.350000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 N/A 9104.510000000000 378773.170000000000 RBC Capital Markets, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 N/A 88565413.459999900000 Liquidnet INC. 008-52461 000103987 213800HSKBBO1GCVRG79 N/A 79524625.160000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 N/A 57842013.060000000000 National Financial Services LLC 008-26740 000013041 549300JRHF1MHHWUAW04 N/A 51286003.619999900000 Morgan Stanley 008-15869 000008209 7PDDXEMZ0ZV0CEDU4D16 N/A 27895008.010000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 N/A 25923596.160000000000 Raymond James & Associates Inc. 008-10999 000000705 U4ONQX15J3RO8XCKE979 N/A 23690149.180000000000 Cowen and Company 008-22522 000007616 549300WR155U7DVMIW58 N/A 22217972.850000000000 Robert W. Baird & Co. Incorporated 008-00497 000008158 549300772UJAHRD6LO53 N/A 22217904.100000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 N/A 17474377.030000000000 473080327.590000000000 N 173096816.697479000000 Committed 2700000000.000000000000 N N N N ICE DATA PRICING & REFERENCE DATA, LLC 5493000NQ9LYLDBCTL34 N/A N Short-term investment vehicle Repurchase agreement Equity-common Equity-preferred Debt Derivative-commodity Derivative-credit Derivative-equity Derivative-foreign exchange Derivative-interest rate Derivative-other Structured note Loan ABS-mortgage backed security ABS-asset backed commercial paper ABS-collateralized bond/debt obligation ABS-other Commodity Real estate N Nuveen Small Cap Value Fund S000005570 549300SCE3OF52SOCN13 N 4 0 0 N/A N N Y N N State Street Bank and Trust 571474TGEMMWANRLN572 N/A N N Revenue sharing split Cash collateral reinvestment fee 369264.169166667000 1954.000000000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Rule 12d1-4 (17 CFR 270.12d1-4) Rule 18f-4 (17 CFR 270.18f-4) Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4)) Y Y N N Nuveen Fund Advisors, LLC 801-14147 000104626 5493003J8FN3E5O9OT63 N/A N Nuveen Asset Management, LLC 801-71957 000155584 549300W218VXB0L5EY14 N/A Y N SS&C Global Investor & Distribution Solutions, Inc. 84-00896 549300KY09TR3J12JU49 N/A N N N ICE Data Pricing and Reference Data, LLC 5493000NQ9LYLDBCTL34 N/A N Financial & Risk U.S. Holdings, Inc. (Refinitiv) 549300NF240HXJ07N016 N/A N IHS Markit Ltd. 549300HLPTRASHS0E726 N/A BM N Pricing Direct 549300WIC0TOJ7N7GD54 N/A N Bloomberg 5493001KJTIIGC8Y1R12 N/A N Bloomberg BVAL N/A N/A N Bank of America B4TYDEB6GKMZO031MB27 N/A N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N/A N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) AO CITIBANK, MOSCOW N/A N/A RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HAPOALIM B.M. N/A N/A IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK POLSKA KASA OPIEKI SA - BANK P N/A N/A PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, GR N/A N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CANADA SELF CUSTODY - CDSX N/A N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CESKOSLOVENSKA OBCHODNI BANKA, A.S. N/A N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK COLOMBIA N/A N/A CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK EUROPE PLC HUNGARIAN BRANC N/A N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK EUROPE PLC, DUBLIN-SUCURSA N/A N/A RO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK MAGHREB N/A N/A MA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK N.A. N/A N/A AR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA LIMA N/A N/A PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA MEXICO N/A N/A MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA SAO PAULO BRAZIL N/A N/A BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK PJSC N/A N/A UA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK,N.A. N/A N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM N/A N/A LU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM BANKING AG N/A N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SCHWEIZ) AG N/A N/A CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEPOSITORY TRUST AND CLEARING CORPORATION N/A N/A N Y Securities depository - rule 17f-4 (17 CFR 270.17f-4) DEUTSCHE BANK (MALAYSIA) BERHAD N/A N/A MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK A.S. N/A N/A TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, SEOUL BRANCH N/A N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, TAIPEI BRANCH N/A N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK S.P.A. N/A N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK SOCIEDAD ANONIMA ESPA N/A N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DTCC N/A N/A N Y Securities depository - rule 17f-4 (17 CFR 270.17f-4) EUROCLEAR N/A N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) FEDERAL RESERVE BANK N/A N/A N Y Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) FIRSTRAND BANK LIMITED N/A N/A ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK (CHINA) COMPANY LIMITED N/A N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED N/A N/A AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK EGYPT S.A.E N/A N/A EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK MIDDLE EAST LIMITED N/A N/A AE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ITAU CORPBANCA (FORMERLY BANCO ITAU N/A N/A CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NORDEA BANK AB (PUBL) N/A N/A SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NORDEA BANK AB (PUBL), FILIAL I NOR N/A N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NORDEA BANK AB (PUBL), FINNISH BRAN N/A N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ROYAL BANK OF CANADA N/A N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB N/A N/A SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (HONG KONG) N/A N/A HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (THAI) PCL N/A N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BANK AND TRUST COMPANY N/A N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BK LONDON - CREST N/A N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UNICREDIT BANK AUSTRIA AG N/A N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N SS&C Global Investor & Distribution Solutions, Inc. 549300KY09TR3J12JU49 N/A N N N N Nuveen Securities, LLC 008-13464 000000469 549300SUT66RK1UQZ953 N/A 0.000000000000 TIAA-CREF Individual & Institutional Services, LLC 008-44454 000020472 N/A N/A 0.000000000000 RBC Capital Markets, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 N/A 40373.340000000000 National Financial Services LLC 008-26740 000013041 549300JRHF1MHHWUAW04 N/A 36260.600000000000 Raymond James & Associates Inc. 008-10999 000000705 U4ONQX15J3RO8XCKE979 N/A 34392.950000000000 Robert W. Baird & Co. Incorporated 008-00497 000008158 549300772UJAHRD6LO53 N/A 28794.920000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 N/A 23870.170000000000 Cowen and Company 008-22522 000007616 549300WR155U7DVMIW58 N/A 16236.070000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 N/A 8704.820000000000 Liquidnet INC. 008-52461 000103987 213800HSKBBO1GCVRG79 N/A 7050.170000000000 Morgan Stanley 008-15869 000008209 7PDDXEMZ0ZV0CEDU4D16 N/A 6588.980000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 N/A 4631.920000000000 222122.360000000000 RBC Capital Markets, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 N/A 78135061.210000000000 Morgan Stanley 008-15869 000008209 7PDDXEMZ0ZV0CEDU4D16 N/A 55896856.130000000000 National Financial Services LLC 008-26740 000013041 549300JRHF1MHHWUAW04 N/A 27439925.990000000000 Raymond James & Associates Inc. 008-10999 000000705 U4ONQX15J3RO8XCKE979 N/A 23984327.030000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 N/A 22618288.380000000000 Robert W. Baird & Co. Incorporated 008-00497 000008158 549300772UJAHRD6LO53 N/A 22183432.840000000000 Cowen and Company 008-22522 000007616 549300WR155U7DVMIW58 N/A 14656856.490000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 N/A 13455445.500000000000 Instinet LLC 008-23669 000007897 549300MGMN3RKMU8FT57 N/A 6275257.460000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 N/A 5729116.870000000000 293777138.550000000000 N 299374590.786465000000 Committed 2700000000.000000000000 N N N N ICE DATA PRICING & REFERENCE DATA, LLC 5493000NQ9LYLDBCTL34 N/A N Short-term investment vehicle Repurchase agreement Equity-common Equity-preferred Debt Derivative-commodity Derivative-credit Derivative-equity Derivative-foreign exchange Derivative-interest rate Derivative-other Structured note Loan ABS-mortgage backed security ABS-asset backed commercial paper ABS-collateralized bond/debt obligation ABS-other Commodity Real estate N Nuveen Small/Mid Cap Growth Opportunities Fund S000005553 5493001GPDCS21L7PX28 N 3 0 0 N/A N N Y N N State Street Bank and Trust 571474TGEMMWANRLN572 N/A N N Revenue sharing split Cash collateral reinvestment fee 866706.079166667000 3103.000000000000 Rule 17a-7 (17 CFR 270.17a-7) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Rule 12d1-4 (17 CFR 270.12d1-4) Rule 18f-4 (17 CFR 270.18f-4) Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4)) Y Y N N Nuveen Fund Advisors, LLC 801-14147 000104626 5493003J8FN3E5O9OT63 N/A N Nuveen Asset Management, LLC 801-71957 000155584 549300W218VXB0L5EY14 N/A Y N SS&C Global Investor & Distribution Solutions, Inc. 84-00896 549300KY09TR3J12JU49 N/A N N N ICE Data Pricing and Reference Data, LLC 5493000NQ9LYLDBCTL34 N/A N Financial & Risk U.S. Holdings, Inc. 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