Nuveen Floating Rate Income Opportunity Fund
JRODelisted Jul 31, 2023- SEC CIK
- 0001289213
Nuveen Floating Rate Income Opportunity Fund was delisted on Jul 31, 2023; its insiders filed their last Form 4 on May 13, 2022; 97 institutions reported holding it in 13F filings for Q2 2023, worth $92.8M in total; Oaktree Capital was the only superinvestor holding it.
Q4 2021 vs. Q3 2021
How the institutions holding Nuveen Floating Rate Income Opportunity Fund changed between Q3 2021 and Q4 2021.
All holders in Q4 2021All holders in Q3 2021
| Measure | Q3 2021 | Of which not filed for Q4 2021 | Q4 2021 | Change |
|---|---|---|---|---|
| Holders | 86 | 4 | 84 | +2 |
| Shares | 13.9M | 152.6K | 11.6M | −2.08M (−15.2%) |
| Value | $138.3M | $1.52M | $117.7M | −$19.0M (−13.9%) |
4 institutions that held it in Q3 2021 haven't filed for Q4 2021 yet. Not filing isn't selling, so the changes leave them out.
New holders (11)
Institutions that held Nuveen Floating Rate Income Opportunity Fund at the end of Q4 2021 but not at the end of Q3 2021.
| Institution | Shares | Value | % of portfolio |
|---|---|---|---|
| GWM Advisors LLC | 68,600 | $695.0K | 0.01% |
| Millennium Management LLC | 17,392 | $176.0K | 0.00% |
| Aristides Capital LLC | 15,178 | $154.0K | 0.09% |
| Ameritas Advisory Services, LLC | 14,535 | $147.0K | 0.01% |
| CTC Capital Management, LLC | 10,730 | $109.0K | 0.84% |
| CoreCap Advisors, LLC | 9,265 | $94.0K | 0.01% |
| Spire Wealth Management | 6,000 | $61.0K | 0.00% |
| Segantii Capital Management Ltd | 2,850 | $29.0K | 0.00% |
| Fortitude Advisory Group L.L.C. | 2,056 | $21.0K | 0.01% |
| Howe & Rusling Inc | 1,300 | $13.0K | 0.00% |
| National Bank of Canada | 600 | $6.00K | 0.00% |
Sold out (9)
Institutions that held Nuveen Floating Rate Income Opportunity Fund at the end of Q3 2021 and filed for Q4 2021 without it.
| Institution | Shares, Q3 2021 | Value, Q3 2021 |
|---|---|---|
| Saba Capital Management, L.P. | 1,660,546 | $16.6M |
| Thomas J. Herzfeld Advisors, Inc. | 182,277 | $1.82M |
| 6 Meridian | 64,359 | $642.0K |
| Kestra Advisory Services, LLC | 51,555 | $515.0K |
| FNY Investment Advisers, LLC | 11,817 | $117.0K |
| Two Sigma Securities, LLC | 10,503 | $105.0K |
| Camden Capital, LLC | 10,081 | $101.0K |
| Robinson Capital Management, LLC | 350 | $3.00K |
| Citigroup Inc | 9 | $0 |
Not filed for Q4 2021 yet (4)
Institutions that held Nuveen Floating Rate Income Opportunity Fund at the end of Q3 2021 and haven't filed a 13F for Q4 2021. Not filing isn't selling, so they aren't counted as sold out.
| Institution | Shares, Q3 2021 | Value, Q3 2021 |
|---|---|---|
| Mid Atlantic Financial Management Inc | 91,100 | $909.0K |
| Zazove Associates LLC | 46,255 | $462.0K |
| Ameritas Investment Company, LLC | 14,523 | $145.0K |
| Security National Trust Co | 758 | $7.00K |