NUVEEN ASSET MANAGEMENT, LLC

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Nuveen Asset Management is based out of Chicago. Nuveen Asset Management is a large advisory firm with 43536 clients and discretionary assets under management (AUM) of $176,209,382,527 (Form ADV from 2019-03-22). Their last reported 13F filing for Q3 2019 included $247,112,319,000 in managed 13F securities and a top 10 holdings concentration of 17.52%. Nuveen Asset Management's largest holding is Microsoft Corp. with shares held of 64,383,910. Whalewisdom has at least 48 13F filings, and 32 13G filings The firm last filed a Form D notice of exempt offering of securities on 2019-04-29. The notice included securities offered of Equity,Other

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $247.112 Billion
  • Prior Market Value $253.876 Billion
  • New Purchases53 stocks
  • Additional Purchases1479 stocks
  • Sold out of97 stocks
  • Reduced holdings in1543 stocks
  • Top 10 Holdings % 17.52 %
  • Turnover % [1]:4.67%
  • Turnover Alt % [2]: 7.92 %
  • Time Held Top20:4.35 quarters
  • Time Held Top10:4.70 quarters
  • Time Held All:7.10 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.02%
Performance Last 4 Quarters: 20.8%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR/A (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR/A (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR/A (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR/A (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR/A (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR/A (Subscription required)
  • 2011-12-31 - 13F-HR/A (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR/A (Subscription required)
  • 2011-06-30 - 13F-HR/A (Subscription required)
  • 2011-06-30 - 13F-HR/A (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR/A (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

NUVEEN ASSET MANAGEMENT, LLC
Classified as Hedge Fund
333 WEST WACKER DRIVE
CHICAGO IL    60606
Country: United States

Business Phone: 312-917-7700
Fax: 312-917-6912
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 296
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 117,194,000
Total Number of Clients: 43536
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2),11.D (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2019-04-29 D OTHER BANKING AND FINANCIAL SERVICES Equity,Other INDEFINITE 0 INDEFINITE
2017-06-09 D/A OTHER BANKING AND FINANCIAL SERVICES Equity,Other INDEFINITE 0 INDEFINITE
2016-06-09 D/A OTHER BANKING AND FINANCIAL SERVICES Equity,Other INDEFINITE 0 INDEFINITE
2015-03-11 D/A OTHER BANKING AND FINANCIAL SERVICES Equity,Other INDEFINITE 0 INDEFINITE
2013-05-23 D/A OTHER BANKING AND FINANCIAL SERVICES Equity,Other INDEFINITE 0 INDEFINITE
2012-05-29 D/A OTHER BANKING AND FINANCIAL SERVICES Equity,Other INDEFINITE 0 INDEFINITE
2011-06-15 D OTHER BANKING AND FINANCIAL SERVICES Equity,Other INDEFINITE 0 INDEFINITE
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
AUSTIN PENN WACHTER subscription required
    EXECUTIVE OFFICER
CHARLES R. MANZONI subscription required
    EXECUTIVE OFFICER
DIANE MEGGS subscription required
    EXECUTIVE OFFICER
JEFFREY D. WIENEKE subscription required
    EXECUTIVE OFFICER
JON MITCHELL STEVENS subscription required
    EXECUTIVE OFFICER
MARY ELIZABETH KEEFE subscription required
    EXECUTIVE OFFICER
N/A NUVEEN FUND ADVISORS, INC. subscription required
    PROMOTER
N/A NUVEEN FUND ADVISORS, LLC subscription required
    PROMOTER
SHERRI A. HLAVACEK subscription required
    EXECUTIVE OFFICER
STUART JONA COHEN subscription required
    EXECUTIVE OFFICER
THOMAS S. SCHREIER subscription required
    EXECUTIVE OFFICER
WILLIAM T. HUFFMAN subscription required
    EXECUTIVE OFFICER

NUVEEN ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-22
Name Title Start Date Direct/Indirect % Ownership
NUVEEN FUND ADVISORS, LLC MANAGING MEMBER 12/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER direct 2010-12-01
NUVEEN ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2010-12-01
HUFFMAN, WILLIAM, T PRESIDENT 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN ASSET MANAGEMENT, LLC PRESIDENT direct 2010-12-01
NUVEEN INVESTMENT SOLUTIONS, INC. MANAGING DIRECTOR direct 2011-03-01
NUVEEN HYDEPARK GROUP, LLC MANAGING DIRECTOR direct 2011-03-01
NORTHERN TRUST GLOBAL ADVISORS INC EVP, COO, CCO & CORP. SEC. direct 2001-03-01 2002-04-24
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES CEO & COO direct 2002-10-01 2002-12-03
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES, CEO & CCO, COO direct 2001-03-01 2004-03-31
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES, CEO, COO direct 2001-03-01 2005-03-31
NORTHERN TRUST GLOBAL INVESTMENTS LTD CEO direct 2007-02-01 2007-05-21
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES, CEO direct 2001-03-01 2007-06-15
NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. DIRECTOR direct 2007-02-01 2007-08-14
NUVEEN ASSET MANAGEMENT CHIEF OPERATING OFFICER direct 2008-05-01 2010-11-17
MEGGS, DIANE, S CHIEF COMPLIANCE OFFICER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
NUVEEN INVESTMENTS ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
NUVEEN ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
WACHTER, AUSTIN, PENN CONTROLLER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC CONTROLLER direct 2017-03-01
TEACHERS ADVISORS, INC. VICE PRESIDENT, FUNDS TREASURER direct 2015-07-01
TIAA-CREF INVESTMENT MANAGEMENT LLC VICE PRESIDENT, FUNDS TREASURER direct 2015-07-01
NUVEEN INVESTMENTS ADVISERS, LLC CONTROLLER direct 2017-03-01
NUVEEN ASSET MANAGEMENT, LLC CONTROLLER direct 2017-03-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC MD, CONTROLLER direct 2017-08-01
COHEN, STUART, JONA MANAGING DIRECTOR, HEAD OF LEGAL 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN ASSET MANAGEMENT INC. VICE PRESIDENT, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL direct 2002-11-01
NUVEEN ASSET MANAGEMENT VICE PRESIDENT AND ASSISTANT SECRETARY direct 2002-11-01
NUVEEN ASSET MANAGEMENT MANAGING DIRECTOR, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL direct 2002-11-01
RITTENHOUSE ASSET MANAGEMENT, INC. VICE PRESIDENT, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL direct 2002-11-01
RITTENHOUSE ASSET MANAGEMENT, INC. MANAGING DIRECTOR, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL direct 2002-11-01
NUVEEN INVESTMENTS ADVISERS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2002-11-01
NUVEEN INVESTMENTS ADVISERS INC. MANAGING DIRECTOR, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL direct 2002-11-01
NUVEEN INVESTMENTS ADVISERS INC. MANAGER DIRECTOR, LEGAL COUNSEL direct 2002-11-01
NUVEEN INVESTMENTS ADVISERS INC. MANAGING DIRECTOR, LEGAL COUNSEL direct 2002-11-01
NUVEEN INVESTMENTS ADVISERS INC. VICE PRESIDENT, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL direct 2002-11-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC V.P., ASST. SECRETARY & ASST. GENERAL COUNSEL direct 2003-05-01
van Etten, Frank, Michiel HEAD OF NUVEEN SOLUTIONS 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN ASSET MANAGEMENT, LLC HEAD OF NUVEEN SOLUTIONS direct 2018-08-01
STEVENS, JON, MITCHELL MANAGING DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
U.S. BANCORP PIPER JAFFRAY ASSET MANAGEMENT, INC. DIRECTOR direct 2001-07-01 2001-07-13
U.S. BANCORP ASSET MANAGEMENT, INC. PRIVATE ASSET MANAGEMENT SENIOR MANAGING DIRECTOR direct 2001-04-01 2002-04-30
U.S. BANCORP ASSET MANAGEMENT, INC. SENIOR MANAGING DIRECTOR - PRIVATE ASSET MANAGEMENT direct 2001-04-01 2004-06-29
NUVEEN INVESTMENTS, INC. MANAGING MEMBER NUVEEN FUND ADVISORS, LLC 12/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN INSTITUTIONAL ADVISORY CORP STOCKHOLDER direct 1992-04-01
NUVEEN ADVISORY CORP STOCKHOLDER direct 1994-04-01
NUVEEN FUND ADVISORS, LLC MANAGING MEMBER direct 1997-01-01
RITTENHOUSE FINANCIAL SERVICES INC. STOCKHOLDER direct 1997-09-01
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. BENEFICIAL STOCKHOLDER direct 1999-09-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER direct 2001-07-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-07-01
NETNET VENTURES LLC MEMBER indirect 2001-07-01
NETNET VENTURES LLC SHAREHOLDER OF NIH indirect 2001-07-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC MANAGING MEMBER direct 2003-05-01
SANTA BARBARA ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2005-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MANAGING MEMBER indirect 2006-02-01
NUVEEN ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-12-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2011-09-01
GRESHAM INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2011-12-01
WINSLOW CAPITAL MANAGEMENT INC MANAGING MEMBER indirect 2012-06-01
NUVEEN ADVISORY CORP BENEFICIAL STOCKHOLDER direct 1994-04-01 2002-10-25
INVESTMENT MANAGEMENT ACQUISITION COMPANY, LLC MANAGING MEMBER direct 2002-05-01 2005-04-18
NUVEEN GLOBAL ADVISORS, LLC MANAGING MEMBER direct 2005-12-01 2005-12-07
NUVEEN INVESTMENT INSTITUTIONAL SERVICES GROUP LLC STOCKHOLDER direct 2003-05-01 2007-11-21
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-02-01 2010-10-22
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER indirect 2010-12-01 2010-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-02-01 2011-05-23
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER indirect 2010-12-01 2011-11-22
WINSLOW CAPITAL MANAGEMENT INC STOCKHOLDER direct 2008-12-01 2012-03-20
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER indirect 2010-12-01 2012-12-10
NUVEEN ASSET MANAGEMENT INC STOCKHOLDER direct 1997-01-01 2013-01-08
SYMPHONY ASSET MANAGEMENT LLC OWNER indirect 2001-07-01 2014-08-27
NUVEEN HOLDINGS, INC. SHAREHOLDER NUVEEN INVESTMENTS, INC. 11/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN INVESTMENT SOLUTIONS, INC. OWNER indirect 2007-11-01
RITTENHOUSE ASSET MANAGEMENT, INC. OWNER indirect 2007-11-01
WINSLOW CAPITAL MANAGEMENT LLC OWNER indirect 2007-11-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-11-01
SYMPHONY ASSET MANAGEMENT LLC OWNER indirect 2007-11-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2007-11-01
NUVEEN HYDEPARK GROUP, LLC OWNER indirect 2007-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. OWNER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. SHAREHOLDER indirect 2007-11-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC OWNER indirect 2007-11-01
GRESHAM INVESTMENT MANAGEMENT LLC OWNER indirect 2007-11-01
SANTA BARBARA ASSET MANAGEMENT, LLC OWNER indirect 2007-11-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC OWNER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC OWNER indirect 2007-11-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2007-11-01
NUVEEN ASSET MANAGEMENT, LLC OWNER indirect 2010-12-01
NUVEEN FUND ADVISORS, INC. OWNER indirect 2007-11-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2007-11-01
NUVEEN FINANCE, LLC SHAREHOLDER NUVEEN HOLDINGS 1, INC. 01/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2017-01-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 2016-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN INVESTMENTS ADVISERS INC. SHAREHOLDER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS INC. SHAREHOLDER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC SHAREHOLDER indirect 2017-01-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN, LLC MEMBER NUVEEN FINANCE, LLC 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 2014-08-01
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2014-12-01
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2016-02-01
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2016-02-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-12-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-12-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2016-02-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS INC. MEMBER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-12-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-12-01
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-12-01
AGR PARTNERS LLC SHAREHOLDER indirect 2014-12-01
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA MEMBER NUVEEN, LLC 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC SOLE OWNER OF APPLICANT direct 1990-09-01
TIAA-CREF TRUST COMPANY, FSB SHAREHOLDER indirect 1998-05-01
LOWE ENTERPRISES RESIDENTIAL ADVISORS, LLC MEMBER indirect 2001-12-01
TIAA ADVISORY SERVICES, LLC SOLE MEMBER indirect 2001-12-01
KASPICK & COMPANY, LLC SOLE OWNER indirect 2006-08-01
COVARIANCE CAPITAL MANAGEMENT, INC. SOLE OWNER indirect 2010-08-01
STONEPEAK PARTNERS LP SOLE MEMBER OF TIAA-STONEPEAK INVESTMENTS II, LLC indirect 2011-08-01
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC SHAREHHOLDER indirect 2012-07-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 2014-07-01
AGR PARTNERS LLC SHAREHOLDER indirect 2014-07-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-07-01
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC MEMBER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER direct 2015-03-01
EVERBANK WEALTH MANAGEMENT, INC. 100% OWNER OF TIAA FSB HOLDINGS, INC. indirect 2017-06-01
TIAA ADVISORY SERVICES, LLC SHAREHOLDER indirect 2001-12-01 2003-04-10
TIAA-CREF TRUST COMPANY, FSB SHAREHOLDER indirect 1998-05-01 2005-02-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2001-12-01 2006-03-31
TEACHERS ADVISORS INC. SHAREHOLDER indirect 1998-10-01 2008-10-02
TIAA-CREF INVESTMENT MANAGEMENT LLC DIRECT OWNER direct 1990-09-01 2011-09-12
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1996-08-01 2011-09-12
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1996-08-01 2011-09-12
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2012-02-29
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2012-03-27
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC MEMBER indirect 2012-07-01 2013-04-01
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER indirect 1998-09-01 2013-04-02
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2013-04-19
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1996-08-01 2013-11-20
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1996-08-01 2014-03-28
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01 2014-10-17
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1996-08-01 2014-11-11
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1996-08-01 2014-11-11
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER indirect 1998-09-01 2014-12-15
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2015-02-18
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01 2015-03-16
NUVEEN INVESTMENTS ADVISERS INC. MEMBER indirect 2014-10-01 2015-03-18
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01 2015-03-20
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC MEMBER indirect 2012-07-01 2015-03-30
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2015-03-30
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-07-01 2015-03-31
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01 2015-05-08
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC MEMBER indirect 2012-07-01 2015-08-17
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2015-09-25
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2014-07-01 2015-10-13
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01 2015-10-15
TIAA-CREF HOLDCO SUBSIDIARY, LLC SHAREHOLDER indirect 2014-07-01 2015-11-05
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01 2015-12-07
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01 2016-01-12
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01 2016-03-24
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01 2016-06-20
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2016-06-23
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2016-07-12
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01 2016-08-01
NUVEEN INVESTMENTS ADVISERS INC. MEMBER indirect 2014-10-01 2016-08-12
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01 2016-09-14
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01 2016-10-28
AGR PARTNERS LLC SHAREHOLDER indirect 2014-07-01 2017-01-12
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01 2017-01-17
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2014-07-01 2017-01-20
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01 2017-01-20
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01 2017-01-31
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-07-01 2017-04-20
TIAA BOARD OF OVERSEERS SHAREHOLDER TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AGR PARTNERS LLC SHAREHOLDER indirect 1918-03-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 1918-03-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1918-03-01
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 1918-03-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1938-06-01
KASPICK & COMPANY, LLC SOLE SHAREHOLDER indirect 1938-06-01
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC SOLE OWNER indirect 1990-09-01
LOWE ENTERPRISES RESIDENTIAL ADVISORS, LLC SHAREHOLDER indirect 1993-10-01
TIAA-CREF TRUST COMPANY, FSB SHAREHOLDER indirect 1998-05-01
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER indirect 1998-09-01
TIAA ADVISORY SERVICES, LLC SHAREHOLDER indirect 2001-12-01
COVARIANCE CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2010-08-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2014-10-01
EVERBANK WEALTH MANAGEMENT, INC. 100% OWNER OF TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA indirect 2017-06-01
LOWE ENTERPRISE RESIDENTIAL ADVISORS SHAREHOLDER indirect 1993-10-01 2006-03-31
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1993-10-01 2008-09-29
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1993-10-01 2008-10-02
KASPICK & COMPANY, LLC SOLE SHAREHOLDER indirect 1998-05-01 2008-12-05
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1938-06-01 2012-03-27
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1938-06-01 2014-11-11
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 1938-06-01 2016-10-28
AGR PARTNERS LLC SHAREHOLDER indirect 1938-06-01 2017-01-12
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1938-06-01 2017-01-20
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1938-06-01 2017-01-20
NUVEEN HOLDINGS 1, INC. SHAREHOLDER NUVEEN HOLDINGS, INC. 01/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2017-01-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN INVESTMENTS ADVISERS, LLC SHAREHOLDER indirect 2017-01-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MUNICIPAL CASH PORTFOLIO LLC United States 805-7775889272 Liquidity Fund 86,156,183 0
CORE PLUS BOND FUND, LLC United States 805-5985091722 Other Private Fund LONG ONLY FIXED INCOME 31,037,451 5,000,000

NUVEEN ASSET MANAGEMENT, LLC

ownership team - last updated 2017-08-28
Name Title Start Date Direct/Indirect % Ownership
WACHTER, AUSTIN, PENN CONTROLLER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC CONTROLLER direct 2017-03-01
TEACHERS ADVISORS, INC. VICE PRESIDENT, FUNDS TREASURER direct 2015-07-01
TIAA-CREF INVESTMENT MANAGEMENT LLC VICE PRESIDENT, FUNDS TREASURER direct 2015-07-01
NUVEEN INVESTMENTS ADVISERS, LLC CONTROLLER direct 2017-03-01
NUVEEN ASSET MANAGEMENT, LLC CONTROLLER direct 2017-03-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC MD, CONTROLLER direct 2017-08-01
MEGGS, DIANE, S CHIEF COMPLIANCE OFFICER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
NUVEEN INVESTMENTS ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
NUVEEN ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MANZONI, CHARLES, R CHIEF OPERATING OFFICER AND GENERAL COUNSEL 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAF ADVISORS, INC. DIRECTOR, GENERAL COUNSEL, CHIEF RISK OFFICER & SECRETARY direct 2004-06-01
U.S. BANCORP ASSET MANAGEMENT, INC. DIRECTOR,GENERAL COUNSEL & SECRETARY direct 2004-06-01
U.S. BANCORP ASSET MANAGEMENT, INC. DIRECTOR,GENERAL COUNSEL & SECRETARY direct 2004-08-01
NUVEEN ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER AND GENERAL COUNSEL direct 2010-12-01
NUVEEN ASSET MANAGEMENT, LLC GENERAL COUNSEL direct 2010-12-01
NUVEEN ASSET MANAGEMENT, LLC GENERAL COUNSEL (SEE SCH. D, MISC.) direct 2010-12-01
HUFFMAN, WILLIAM, T PRESIDENT 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN ASSET MANAGEMENT, LLC PRESIDENT direct 2010-12-01
NUVEEN INVESTMENT SOLUTIONS, INC. MANAGING DIRECTOR direct 2011-03-01
NUVEEN HYDEPARK GROUP, LLC MANAGING DIRECTOR direct 2011-03-01
NORTHERN TRUST GLOBAL ADVISORS INC EVP, COO, CCO & CORP. SEC. direct 2001-03-01 2002-04-24
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES CEO & COO direct 2002-10-01 2002-12-03
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES, CEO & CCO, COO direct 2001-03-01 2004-03-31
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES, CEO, COO direct 2001-03-01 2005-03-31
NORTHERN TRUST GLOBAL INVESTMENTS LTD CEO direct 2007-02-01 2007-05-21
NORTHERN TRUST GLOBAL ADVISORS INC DIR., CHMN, PRES, CEO direct 2001-03-01 2007-06-15
NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. DIRECTOR direct 2007-02-01 2007-08-14
NUVEEN ASSET MANAGEMENT CHIEF OPERATING OFFICER direct 2008-05-01 2010-11-17
NUVEEN FUND ADVISORS, LLC MANAGING MEMBER 12/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER direct 2010-12-01
NUVEEN ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2010-12-01
NUVEEN HOLDINGS 1, INC. SHAREHOLDER NUVEEN HOLDINGS, INC. 01/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2017-01-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN INVESTMENTS ADVISERS, LLC SHAREHOLDER indirect 2017-01-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01
TIAA BOARD OF OVERSEERS SHAREHOLDER TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AGR PARTNERS LLC SHAREHOLDER indirect 1918-03-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 1918-03-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1918-03-01
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 1918-03-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1938-06-01
KASPICK & COMPANY, LLC SOLE SHAREHOLDER indirect 1938-06-01
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC SOLE OWNER indirect 1990-09-01
LOWE ENTERPRISES RESIDENTIAL ADVISORS, LLC SHAREHOLDER indirect 1993-10-01
TIAA-CREF TRUST COMPANY, FSB SHAREHOLDER indirect 1998-05-01
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER indirect 1998-09-01
TIAA ADVISORY SERVICES, LLC SHAREHOLDER indirect 2001-12-01
COVARIANCE CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2010-08-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2014-10-01
EVERBANK WEALTH MANAGEMENT, INC. 100% OWNER OF TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA indirect 2017-06-01
LOWE ENTERPRISE RESIDENTIAL ADVISORS SHAREHOLDER indirect 1993-10-01 2006-03-31
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1993-10-01 2008-09-29
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1993-10-01 2008-10-02
KASPICK & COMPANY, LLC SOLE SHAREHOLDER indirect 1998-05-01 2008-12-05
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1938-06-01 2012-03-27
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1938-06-01 2014-11-11
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 1938-06-01 2016-10-28
AGR PARTNERS LLC SHAREHOLDER indirect 1938-06-01 2017-01-12
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1938-06-01 2017-01-20
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1938-06-01 2017-01-20
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA MEMBER NUVEEN, LLC 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC SOLE OWNER OF APPLICANT direct 1990-09-01
TIAA-CREF TRUST COMPANY, FSB SHAREHOLDER indirect 1998-05-01
LOWE ENTERPRISES RESIDENTIAL ADVISORS, LLC MEMBER indirect 2001-12-01
TIAA ADVISORY SERVICES, LLC SOLE MEMBER indirect 2001-12-01
KASPICK & COMPANY, LLC SOLE OWNER indirect 2006-08-01
COVARIANCE CAPITAL MANAGEMENT, INC. SOLE OWNER indirect 2010-08-01
STONEPEAK PARTNERS LP SOLE MEMBER OF TIAA-STONEPEAK INVESTMENTS II, LLC indirect 2011-08-01
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC SHAREHHOLDER indirect 2012-07-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 2014-07-01
AGR PARTNERS LLC SHAREHOLDER indirect 2014-07-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-07-01
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC MEMBER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER direct 2015-03-01
EVERBANK WEALTH MANAGEMENT, INC. 100% OWNER OF TIAA FSB HOLDINGS, INC. indirect 2017-06-01
TIAA ADVISORY SERVICES, LLC SHAREHOLDER indirect 2001-12-01 2003-04-10
TIAA-CREF TRUST COMPANY, FSB SHAREHOLDER indirect 1998-05-01 2005-02-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2001-12-01 2006-03-31
TEACHERS ADVISORS INC. SHAREHOLDER indirect 1998-10-01 2008-10-02
TIAA-CREF INVESTMENT MANAGEMENT LLC DIRECT OWNER direct 1990-09-01 2011-09-12
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1996-08-01 2011-09-12
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1996-08-01 2011-09-12
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2012-02-29
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2012-03-27
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC MEMBER indirect 2012-07-01 2013-04-01
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER indirect 1998-09-01 2013-04-02
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2013-04-19
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1996-08-01 2013-11-20
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1996-08-01 2014-03-28
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01 2014-10-17
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1996-08-01 2014-11-11
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 1996-08-01 2014-11-11
TIAA-CREF TUITION FINANCING, INC. SHAREHOLDER indirect 1998-09-01 2014-12-15
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 1996-08-01 2015-02-18
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01 2015-03-16
NUVEEN INVESTMENTS ADVISERS INC. MEMBER indirect 2014-10-01 2015-03-18
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01 2015-03-20
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC MEMBER indirect 2012-07-01 2015-03-30
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2015-03-30
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-07-01 2015-03-31
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01 2015-05-08
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC MEMBER indirect 2012-07-01 2015-08-17
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2015-09-25
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2014-07-01 2015-10-13
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01 2015-10-15
TIAA-CREF HOLDCO SUBSIDIARY, LLC SHAREHOLDER indirect 2014-07-01 2015-11-05
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01 2015-12-07
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01 2016-01-12
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01 2016-03-24
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01 2016-06-20
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2016-06-23
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01 2016-07-12
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01 2016-08-01
NUVEEN INVESTMENTS ADVISERS INC. MEMBER indirect 2014-10-01 2016-08-12
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01 2016-09-14
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01 2016-10-28
AGR PARTNERS LLC SHAREHOLDER indirect 2014-07-01 2017-01-12
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01 2017-01-17
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2014-07-01 2017-01-20
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-07-01 2017-01-20
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01 2017-01-31
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-07-01 2017-04-20
NUVEEN, LLC MEMBER NUVEEN FINANCE, LLC 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC MEMBER indirect 2014-10-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 2014-08-01
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2014-12-01
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2016-02-01
TEACHERS ADVISORS, INC. SHAREHOLDER indirect 2016-02-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-12-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-12-01
TIAA-CREF INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2016-02-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC MEMBER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS INC. MEMBER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC MEMBER indirect 2014-10-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-12-01
TIAA-CREF ALTERNATIVES ADVISORS, LLC SHAREHOLDER indirect 2014-12-01
CHURCHILL ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-12-01
AGR PARTNERS LLC SHAREHOLDER indirect 2014-12-01
NUVEEN FINANCE, LLC SHAREHOLDER NUVEEN HOLDINGS I, INC. 01/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2017-01-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
TEACHERS ADVISORS, LLC SHAREHOLDER indirect 2016-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2014-10-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN INVESTMENTS ADVISERS INC. SHAREHOLDER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS INC. SHAREHOLDER indirect 2014-10-01
NUVEEN INVESTMENTS ADVISERS, LLC SHAREHOLDER indirect 2017-01-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2014-10-01
GRESHAM INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2017-01-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2014-10-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2014-10-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2017-01-01
NUVEEN HOLDINGS, INC. SHAREHOLDER NUVEEN INVESTMENTS, INC. 11/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN INVESTMENT SOLUTIONS, INC. OWNER indirect 2007-11-01
RITTENHOUSE ASSET MANAGEMENT, INC. OWNER indirect 2007-11-01
WINSLOW CAPITAL MANAGEMENT LLC OWNER indirect 2007-11-01
WINSLOW CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-11-01
SYMPHONY ASSET MANAGEMENT LLC OWNER indirect 2007-11-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2007-11-01
NUVEEN HYDEPARK GROUP, LLC OWNER indirect 2007-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC SHAREHOLDER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. OWNER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. SHAREHOLDER indirect 2007-11-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC OWNER indirect 2007-11-01
GRESHAM INVESTMENT MANAGEMENT LLC OWNER indirect 2007-11-01
SANTA BARBARA ASSET MANAGEMENT, LLC OWNER indirect 2007-11-01
SANTA BARBARA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC OWNER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC OWNER indirect 2007-11-01
NUVEEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2007-11-01
NUVEEN ASSET MANAGEMENT, LLC OWNER indirect 2010-12-01
NUVEEN FUND ADVISORS, INC. OWNER indirect 2007-11-01
NUVEEN FUND ADVISORS, LLC SHAREHOLDER indirect 2007-11-01
NUVEEN INVESTMENTS, INC. MANAGING MEMBER NUVEEN FUND ADVISORS, LLC 12/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NUVEEN INSTITUTIONAL ADVISORY CORP STOCKHOLDER direct 1992-04-01
NUVEEN ADVISORY CORP STOCKHOLDER direct 1994-04-01
NUVEEN FUND ADVISORS, LLC MANAGING MEMBER direct 1997-01-01
RITTENHOUSE FINANCIAL SERVICES INC. STOCKHOLDER direct 1997-09-01
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. BENEFICIAL STOCKHOLDER direct 1999-09-01
SYMPHONY ASSET MANAGEMENT LLC MEMBER direct 2001-07-01
SYMPHONY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-07-01
NETNET VENTURES LLC MEMBER indirect 2001-07-01
NETNET VENTURES LLC SHAREHOLDER OF NIH indirect 2001-07-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC MANAGING MEMBER direct 2003-05-01
SANTA BARBARA ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2005-10-01
TRADEWINDS GLOBAL INVESTORS, LLC MANAGING MEMBER indirect 2006-02-01
NUVEEN ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-12-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2011-09-01
GRESHAM INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2011-12-01
WINSLOW CAPITAL MANAGEMENT INC MANAGING MEMBER indirect 2012-06-01
NUVEEN ADVISORY CORP BENEFICIAL STOCKHOLDER direct 1994-04-01 2002-10-25
INVESTMENT MANAGEMENT ACQUISITION COMPANY, LLC MANAGING MEMBER direct 2002-05-01 2005-04-18
NUVEEN GLOBAL ADVISORS, LLC MANAGING MEMBER direct 2005-12-01 2005-12-07
NUVEEN INVESTMENT INSTITUTIONAL SERVICES GROUP LLC STOCKHOLDER direct 2003-05-01 2007-11-21
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-02-01 2010-10-22
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER indirect 2010-12-01 2010-11-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-02-01 2011-05-23
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER indirect 2010-12-01 2011-11-22
WINSLOW CAPITAL MANAGEMENT INC STOCKHOLDER direct 2008-12-01 2012-03-20
NUVEEN ASSET MANAGEMENT, LLC STOCKHOLDER indirect 2010-12-01 2012-12-10
NUVEEN ASSET MANAGEMENT INC STOCKHOLDER direct 1997-01-01 2013-01-08
SYMPHONY ASSET MANAGEMENT LLC OWNER indirect 2001-07-01 2014-08-27

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MUNICIPAL CASH PORTFOLIO LLC United States 805-7775889272 Liquidity Fund 145,520,133 0
CORE PLUS BOND FUND, LLC United States 805-5985091722 Other Private Fund LONG ONLY FIXED INCOME 36,265,695 5,000,000

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