UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-22658
Nuveen Real Asset Income and Growth Fund
(Exact name of registrant as specified in charter)
333 West Wacker Drive, Chicago, Illinois 60606
(Address of principal executive offices) (Zip code)
Gifford R. ZimmermanVice President and Secretary
333 West Wacker Drive, Chicago, Illinois 60606
(Name and address of agent for service)
Registrants telephone number, including area code: 312-917-7700
Date of fiscal year end: December 31
Date of reporting period: September 30, 2017
Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget (OMB) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Schedule of Investments
JRI
Nuveen Real Asset Income and Growth Fund | ||
Portfolio of Investments |
September 30, 2017 (Unaudited) |
Shares | Description (1) | Value | ||||||||||||||||||||||||
LONG-TERM INVESTMENTS 138.3% (98.8% of Total Investments |
| |||||||||||||||||||||||||
COMMON STOCKS 54.9% (39.2% of Total Investments) |
| |||||||||||||||||||||||||
Air Freight & Logistics 0.5% | ||||||||||||||||||||||||||
37,353 | BPost SA, (2) |
$ | 1,110,912 | |||||||||||||||||||||||
37,415 | Oesterreichische Post AG |
1,727,265 | ||||||||||||||||||||||||
Total Air Freight & Logistics |
2,838,177 | |||||||||||||||||||||||||
Commercial Services & Supplies 0.4% | ||||||||||||||||||||||||||
144,637 | Covanta Holding Corporation |
2,147,859 | ||||||||||||||||||||||||
Diversified Telecommunication Services 1.3% | ||||||||||||||||||||||||||
1,436,517 | HKBN Limited, (2) |
1,500,579 | ||||||||||||||||||||||||
1,578,557 | HKT Trust and HKT Limited |
1,919,746 | ||||||||||||||||||||||||
148,310 | Inmarsat PLC, (2) |
1,279,993 | ||||||||||||||||||||||||
3,572,572 | Netlink NBN Trust |
2,172,857 | ||||||||||||||||||||||||
Total Diversified Telecommunication Services |
|
6,873,175 | ||||||||||||||||||||||||
Electric Utilities 6.4% | ||||||||||||||||||||||||||
3,661,286 | AusNet Services, (2) |
4,858,379 | ||||||||||||||||||||||||
3,175 | CEZ, (2) |
63,775 | ||||||||||||||||||||||||
423,122 | Contact Energy Limited, (2) |
1,682,575 | ||||||||||||||||||||||||
331,498 | Endesa S.A, (2), (3) |
7,480,265 | ||||||||||||||||||||||||
233,305 | Enersis Chile SA |
1,399,830 | ||||||||||||||||||||||||
4,827 | Entergy Corporation |
368,590 | ||||||||||||||||||||||||
1,007,888 | Infratil Limited, (2) |
2,272,325 | ||||||||||||||||||||||||
46,262 | Power Assets Holdings Limited, (2) |
401,558 | ||||||||||||||||||||||||
13,116 | Red Electrica Corporacion SA, (2), (3) |
275,890 | ||||||||||||||||||||||||
282,109 | Scottish and Southern Energy PLC, (2) |
5,278,867 | ||||||||||||||||||||||||
5,000,021 | Spark Infrastructure Group, (2) |
9,896,266 | ||||||||||||||||||||||||
127,417 | Transmissora Alianca de Energia Eletrica SA |
|
895,135 | |||||||||||||||||||||||
Total Electric Utilities |
34,873,455 | |||||||||||||||||||||||||
Equity Real Estate Investment Trusts 27.6% | ||||||||||||||||||||||||||
206,704 | AEW UK REIT PLC |
280,792 | ||||||||||||||||||||||||
380,054 | American Hotel Income Properties REIT LP |
|
2,893,619 | |||||||||||||||||||||||
226,017 | Armada Hoffler Properties Inc. |
3,121,295 | ||||||||||||||||||||||||
408,919 | Ascendas Real Estate Investment Trust, (2) |
|
803,662 | |||||||||||||||||||||||
136,056 | Automotive Properties Real Estate Investment Trust |
|
1,200,542 | |||||||||||||||||||||||
170,146 | Brixmor Property Group Inc. |
3,198,745 | ||||||||||||||||||||||||
446,044 | Centuria Metropolitan REIT |
846,702 | ||||||||||||||||||||||||
142,156 | Charter Hall Retail REIT, (2) |
440,910 | ||||||||||||||||||||||||
50,319 | Choice Properties Real Estate Investment Trust |
|
535,956 | |||||||||||||||||||||||
220,091 | City Office REIT, Inc. |
3,030,653 | ||||||||||||||||||||||||
14,591 | Cofinimmo, SANV, (2) |
1,874,830 | ||||||||||||||||||||||||
87,756 | Community Healthcare Trust Inc. |
2,365,902 | ||||||||||||||||||||||||
3,568,836 | Concentradora Fibra Hotelera Mexicana SA de CV |
|
2,741,791 | |||||||||||||||||||||||
16,546 | CT Real Estate Investment Trust |
184,191 | ||||||||||||||||||||||||
134,043 | Developers Diversified Realty Corporation |
|
1,227,834 | |||||||||||||||||||||||
390,238 | Dream Global Real Estate Investment Trust |
|
3,443,414 | |||||||||||||||||||||||
73,918 | Easterly Government Properties, Inc. |
1,527,885 | ||||||||||||||||||||||||
1,332,375 | Empiric Student Property PLC |
1,807,699 | ||||||||||||||||||||||||
5,209 | Entertainment Properties Trust |
363,276 | ||||||||||||||||||||||||
36,400 | Eurocommercial Properties NV |
1,556,506 | ||||||||||||||||||||||||
13,366 | Fonciere Des Regions, (2) |
1,388,662 | ||||||||||||||||||||||||
2,913,558 | Fortune REIT, (2) |
3,422,736 | ||||||||||||||||||||||||
61,000 | Franklin Street Properties Corporation |
647,820 | ||||||||||||||||||||||||
2,114,438 | Frasers Centrepoint Trust, (2) |
3,292,470 | ||||||||||||||||||||||||
6,169,868 | Frasers Logistics & Industrial Trust, (2) |
4,869,536 |
NUVEEN | 1 |
JRI | Nuveen Real Asset Income and Growth Fund | |||
Portfolio of Investments (continued) | September 30, 2017 (Unaudited) |
Shares | Description (1) | Value | ||||||||||||||||||||||||
Equity Real Estate Investment Trusts (continued) | ||||||||||||||||||||||||||
71,395 | Gaming and Leisure Properties Inc. |
$ | 2,633,762 | |||||||||||||||||||||||
140,075 | Government Properties Income Trust |
2,629,208 | ||||||||||||||||||||||||
103,684 | Gramercy Property Trust |
3,136,441 | ||||||||||||||||||||||||
157,248 | Growthpoint Properties Australia Limited, (2) |
|
391,453 | |||||||||||||||||||||||
134,077 | H&R Real Estate Investment Trust |
2,314,581 | ||||||||||||||||||||||||
17,700 | Health Care Property Investors Inc. |
492,591 | ||||||||||||||||||||||||
34,678 | Hersha Hospitality Trust |
647,438 | ||||||||||||||||||||||||
21,876 | Hospitality Properties Trust |
623,247 | ||||||||||||||||||||||||
24,971 | ICADE, (2) |
2,227,812 | ||||||||||||||||||||||||
1,584,028 | IGB Real Estate Investment Trust |
656,495 | ||||||||||||||||||||||||
196,136 | Immobiliare Grande Distribuzione SIIQ SpA |
|
204,575 | |||||||||||||||||||||||
166,921 | Independence Realty Trust |
1,697,587 | ||||||||||||||||||||||||
1,442,435 | Keppel DC REIT, (2) |
1,410,085 | ||||||||||||||||||||||||
94,463 | Killam Apartment Real Estate I |
998,571 | ||||||||||||||||||||||||
21,350 | Kimco Realty Corporation |
417,393 | ||||||||||||||||||||||||
68,469 | LaSalle Hotel Properties |
1,986,970 | ||||||||||||||||||||||||
60,908 | Lexington Corporate Properties Trust |
622,480 | ||||||||||||||||||||||||
12,633 | Macquarie Mexico Real Estate Management SA de CV |
|
16,712 | |||||||||||||||||||||||
2,216,828 | Mapletree Commercial Trust |
2,484,116 | ||||||||||||||||||||||||
2,407,728 | Mapletree Greater China Commercial Trust, (2) |
|
2,052,441 | |||||||||||||||||||||||
634,468 | Mapletree Industrial Trust |
877,015 | ||||||||||||||||||||||||
8,022,029 | Mapletree Logistics Trust, (2) |
7,342,127 | ||||||||||||||||||||||||
296,677 | MedEquities Realty Trust, Inc. |
3,485,955 | ||||||||||||||||||||||||
404,788 | Medical Properties Trust Inc. |
5,314,866 | ||||||||||||||||||||||||
47,862 | Mercialys |
956,001 | ||||||||||||||||||||||||
172,482 | MGM Growth Properties LLC |
5,210,681 | ||||||||||||||||||||||||
1,422 | National Health Investors Inc. |
109,906 | ||||||||||||||||||||||||
922,160 | Nexus Real Estate Investment Trust |
1,485,507 | ||||||||||||||||||||||||
50,057 | NorthWest Healthcare Properties REIT |
454,535 | ||||||||||||||||||||||||
40,743 | NSI NV |
1,604,978 | ||||||||||||||||||||||||
14,117 | Omega Healthcare Investors Inc. |
450,473 | ||||||||||||||||||||||||
132,786 | Park Hotels & Resorts, Inc. |
3,659,582 | ||||||||||||||||||||||||
1,407,495 | Parkway Life Real Estate Investment Trust |
|
2,801,605 | |||||||||||||||||||||||
148,766 | Physicians Realty Trust |
2,637,621 | ||||||||||||||||||||||||
2,218 | Piedmont Office Realty Trust |
44,715 | ||||||||||||||||||||||||
309,051 | Plaza Retail REIT |
1,084,867 | ||||||||||||||||||||||||
139,712 | Prologis Property Mexico SA de CV |
276,355 | ||||||||||||||||||||||||
994,019 | Propertylink Group, (2) |
725,387 | ||||||||||||||||||||||||
531,303 | Pure Industrial Real Estate Trust |
2,708,144 | ||||||||||||||||||||||||
16,116 | Ramco-Gershenson Properties Trust |
209,669 | ||||||||||||||||||||||||
170,389 | Sabra Health Care Real Estate Investment Trust Inc. |
|
3,738,335 | |||||||||||||||||||||||
332,718 | STAG Industrial Inc. |
9,139,763 | ||||||||||||||||||||||||
238,300 | Summit Industrial Income REIT |
1,420,919 | ||||||||||||||||||||||||
2,864,953 | TF Administradora Industrial S de RL de CV |
|
4,932,250 | |||||||||||||||||||||||
641,185 | VEREIT, Inc. |
5,315,424 | ||||||||||||||||||||||||
440,616 | Vicinity Centres, (2) |
920,292 | ||||||||||||||||||||||||
487,897 | Viva Energy REIT, (2) |
808,166 | ||||||||||||||||||||||||
14,645 | Washington Prime Group, Inc. |
121,993 | ||||||||||||||||||||||||
6,922 | Welltower Inc. |
486,478 | ||||||||||||||||||||||||
54,847 | Wereldhave NV, (2) |
2,587,327 | ||||||||||||||||||||||||
313,603 | WPT Industrial Real Estate Investment Trust |
|
4,189,736 | |||||||||||||||||||||||
Total Equity Real Estate Investment Trusts |
|
149,812,058 | ||||||||||||||||||||||||
Gas Utilities 0.5% | ||||||||||||||||||||||||||
9,698 | AmeriGas Partners, LP |
435,828 | ||||||||||||||||||||||||
255,551 | APA Group, (2) |
1,676,382 | ||||||||||||||||||||||||
13,862 | Companhia de Gas de Sao Paulo Comgas |
|
241,512 | |||||||||||||||||||||||
24,012 | Gas Natural SDG S.A, (2), (3) |
531,927 | ||||||||||||||||||||||||
Total Gas Utilities |
2,885,649 | |||||||||||||||||||||||||
Health Care Providers & Services 0.2% | ||||||||||||||||||||||||||
75,787 | Sienna Senior Living Inc., Subscription |
1,097,553 |
2 | NUVEEN |
Shares | Description (1) | Value | ||||||||||||||||||||||||
Household Durables 0.3% | ||||||||||||||||||||||||||
39,266 | Kaufman and Broad SA, (2) |
$ | 1,894,516 | |||||||||||||||||||||||
Independent Power & Renewable Electricity Producers 2.7% | ||||||||||||||||||||||||||
216,070 | Brookfield Renewable Energy Partners LP |
|
7,240,142 | |||||||||||||||||||||||
509,916 | Meridian Energy Limited |
1,047,849 | ||||||||||||||||||||||||
9,667 | NRG Yield, Inc., Class C Shares |
186,573 | ||||||||||||||||||||||||
22,070 | Pattern Energy Group Inc. |
531,887 | ||||||||||||||||||||||||
198,188 | Renewables Infrastructure Group Limited |
|
288,942 | |||||||||||||||||||||||
321,858 | Saeta Yield S.A |
3,674,704 | ||||||||||||||||||||||||
178,400 | TransAlta Renewables Inc. |
1,968,798 | ||||||||||||||||||||||||
Total Independent Power & Renewable Electricity Producers |
|
14,938,895 | ||||||||||||||||||||||||
Media 0.1% | ||||||||||||||||||||||||||
19,007 | Eutelsat Communications, (2) |
562,658 | ||||||||||||||||||||||||
Mortgage Real Estate Investment Trusts 3.1% | ||||||||||||||||||||||||||
127,741 | Apollo Commercial Real Estate Finance, Inc. |
|
2,313,390 | |||||||||||||||||||||||
75,680 | Ares Commercial Real Estate Corporation |
|
1,007,301 | |||||||||||||||||||||||
81,592 | Granite Point Mortgage Trust Inc. |
1,528,218 | ||||||||||||||||||||||||
204,104 | KKR Real Estate Finance Trust, Inc. |
4,294,348 | ||||||||||||||||||||||||
185,934 | Starwood Property Trust Inc. |
4,038,487 | ||||||||||||||||||||||||
183,508 | TPG Re Finance Trust Inc. |
3,627,953 | ||||||||||||||||||||||||
Total Mortgage Real Estate Investment Trusts |
|
16,809,697 | ||||||||||||||||||||||||
Multi-Utilities 3.2% | ||||||||||||||||||||||||||
1,230,318 | Centrica PLC, (2) |
3,083,619 | ||||||||||||||||||||||||
214,209 | Engie, (2) |
3,637,571 | ||||||||||||||||||||||||
65,285 | National Grid PLC |
4,094,022 | ||||||||||||||||||||||||
549,185 | Redes Energeticas Nacionais SA, (2) |
1,789,763 | ||||||||||||||||||||||||
1,936,960 | Vector Limited, (2) |
4,577,124 | ||||||||||||||||||||||||
Total Multi-Utilities |
17,182,099 | |||||||||||||||||||||||||
Oil, Gas & Consumable Fuels 3.1% | ||||||||||||||||||||||||||
4,127 | Cheniere Energy Partners LP Holdings LLC |
|
118,940 | |||||||||||||||||||||||
3,826 | DCP Midstream LP |
132,533 | ||||||||||||||||||||||||
115,041 | Enagas, (2) |
3,241,604 | ||||||||||||||||||||||||
10,380 | Enbridge Energy Partners LP |
165,872 | ||||||||||||||||||||||||
39,931 | Enbridge Income Fund Holdings Inc. |
1,028,557 | ||||||||||||||||||||||||
197,207 | Enterprise Products Partnership LP |
5,141,187 | ||||||||||||||||||||||||
343 | Hess Midstream Partners LP |
7,536 | ||||||||||||||||||||||||
10,320 | ONEOK, Inc. |
571,831 | ||||||||||||||||||||||||
24,390 | Plains GP Holdings LP, Class A Shares |
533,409 | ||||||||||||||||||||||||
406,263 | Snam Rete Gas S.p.A, (2) |
1,957,801 | ||||||||||||||||||||||||
213,080 | Veresen Inc. |
3,196,840 | ||||||||||||||||||||||||
12,858 | Williams Partners LP |
500,176 | ||||||||||||||||||||||||
Total Oil, Gas & Consumable Fuels |
16,596,286 | |||||||||||||||||||||||||
Real Estate Management & Development 0.7% | ||||||||||||||||||||||||||
184,778 | Atrium European Real Estate Ltd |
865,040 | ||||||||||||||||||||||||
83,164 | Brookfield Property Partners |
1,941,879 | ||||||||||||||||||||||||
344,016 | Citycon Oyj, (2) |
905,393 | ||||||||||||||||||||||||
5,883 | Landmark Infrastructure Partners LP |
99,717 | ||||||||||||||||||||||||
Total Real Estate Management & Development |
|
3,812,029 | ||||||||||||||||||||||||
Road & Rail 0.5% | ||||||||||||||||||||||||||
576,127 | Aurizon Holdings Limited, (2) |
2,220,156 | ||||||||||||||||||||||||
216,932 | ComfortDelGro Corporation, (2) |
333,349 | ||||||||||||||||||||||||
118,368 | Stagocoach Group PLC, (2) |
270,796 | ||||||||||||||||||||||||
Total Road & Rail |
2,824,301 |
NUVEEN | 3 |
JRI | Nuveen Real Asset Income and Growth Fund | |||
Portfolio of Investments (continued) | September 30, 2017 (Unaudited) |
Shares | Description (1) | Value | ||||||||||||||||||||||||
Transportation Infrastructure 3.9% | ||||||||||||||||||||||||||
270,065 | Abertis Infraestructuras S.A, (2) |
$ | 5,459,894 | |||||||||||||||||||||||
23,953 | China Merchants Holdings International Company Limited, (2) |
|
74,198 | |||||||||||||||||||||||
247,125 | Enav S.p.A, (2) |
1,132,716 | ||||||||||||||||||||||||
8,230,778 | Hopewell Highway Infrastructure Limited, (2) |
|
5,095,315 | |||||||||||||||||||||||
6,969,100 | Hutchison Port Holdings Trust, (2) |
3,003,752 | ||||||||||||||||||||||||
101,361 | Jiangsu Expressway Company Limited, (2) |
|
155,661 | |||||||||||||||||||||||
38,944 | Macquarie Infrastructure Corporation |
2,810,978 | ||||||||||||||||||||||||
91,115 | Sydney Airport, (2) |
508,834 | ||||||||||||||||||||||||
286,037 | Transurban Group, (2) |
2,671,098 | ||||||||||||||||||||||||
130,819 | Zhejiang Expressway Company Limited, (2) |
|
162,961 | |||||||||||||||||||||||
Total Transportation Infrastructure |
21,075,407 | |||||||||||||||||||||||||
Water Utilities 0.4% | ||||||||||||||||||||||||||
924,797 | Aguas Andinas SA. Class A |
585,177 | ||||||||||||||||||||||||
911,665 | Inversiones Aguas Metropolitanas SA |
1,622,352 | ||||||||||||||||||||||||
Total Water Utilities |
2,207,529 | |||||||||||||||||||||||||
Total Common Stocks (cost $274,698,820) |
|
298,431,343 | ||||||||||||||||||||||||
Shares | Description (1) | Coupon | Ratings (5) | Value | ||||||||||||||||||||||
CONVERTIBLE PREFERRED SECURITIES 8.6% (6.1% of Total Investments) |
|
|||||||||||||||||||||||||
Diversified Financial Services 0.0% | ||||||||||||||||||||||||||
2,003 | RLJ Lodging Trust |
1.950% | B | $ | 55,723 | |||||||||||||||||||||
Electric Utilities 1.4% | ||||||||||||||||||||||||||
44,747 | NextEra Energy Inc. |
6.371% | BBB | 2,967,174 | ||||||||||||||||||||||
85,701 | NextEra Energy Inc. |
6.123% | BBB | 4,737,551 | ||||||||||||||||||||||
Total Electric Utilities |
7,704,725 | |||||||||||||||||||||||||
Equity Real Estate Investment Trusts 3.2% | ||||||||||||||||||||||||||
41,467 | Alexandria Real Estate Equities Inc. |
7.000% | Baa3 | 1,482,445 | ||||||||||||||||||||||
98,340 | Ashford Hospitality Prime, Inc. |
5.500% | N/R | 1,988,435 | ||||||||||||||||||||||
4,768 | Crown Castle International Corporation |
6.875% | N/R | 5,092,224 | ||||||||||||||||||||||
32,290 | EPR Properties Inc. |
9.000% | BB | 1,158,242 | ||||||||||||||||||||||
4,612 | EPR Properties Inc. |
5.750% | BB | 127,799 | ||||||||||||||||||||||
37,316 | Equity Commonwealth |
6.500% | Ba1 | 993,725 | ||||||||||||||||||||||
11,563 | Lexington Corporate Properties Trust, Series B |
|
6.500% | N/R | 589,713 | |||||||||||||||||||||
103,602 | Ramco-Gershenson Properties Trust |
7.250% | N/R | 5,606,940 | ||||||||||||||||||||||
Total Equity Real Estate Investment Trusts |
|
17,039,523 | ||||||||||||||||||||||||
Multi-Utilities 2.7% | ||||||||||||||||||||||||||
10,465 | Black Hills Corp |
7.750% | N/R | 789,375 | ||||||||||||||||||||||
161,019 | Dominion Resources Inc. |
6.750% | BBB | 8,171,714 | ||||||||||||||||||||||
107,593 | DTE Energy Company |
5.000% | N/R | 5,858,439 | ||||||||||||||||||||||
Total Multi-Utilities |
14,819,528 | |||||||||||||||||||||||||
Oil, Gas & Consumable Fuels 1.3% | ||||||||||||||||||||||||||
46,711 | Anadarko Petroleum Corporation |
7.500% | N/R | 1,856,762 | ||||||||||||||||||||||
120,363 | Kinder Morgan Inc, Delaware |
9.750% | N/R | 5,121,446 | ||||||||||||||||||||||
Total Oil, Gas & Consumable Fuels |
6,978,208 | |||||||||||||||||||||||||
Total Convertible Preferred Securities (cost $45,029,239) |
|
46,597,707 | ||||||||||||||||||||||||
Shares | Description (1) | Coupon | Ratings (5) | Value | ||||||||||||||||||||||
$25 PAR (OR SIMILAR) RETAIL PREFERRED 31.4% (22.4% of Total Investments) |
|
|||||||||||||||||||||||||
Electric Utilities 7.0% | ||||||||||||||||||||||||||
4,538 | Alabama Power Company |
5.000% | A3 | $ | 117,035 | |||||||||||||||||||||
20,255 | APT Pipelines Limited |
6.210% | N/R | 1,609,456 |
4 | NUVEEN |
Shares | Description (1) | Coupon | Ratings (5) | Value | ||||||||||||||||||||||
Electric Utilities (continued) | ||||||||||||||||||||||||||
129,699 | Brookfield Infrastructure Partners LP |
5.350% | BBB | $ | 2,688,051 | |||||||||||||||||||||
167,392 | Entergy Arkansas Inc., (6) |
4.875% | A | 4,186,474 | ||||||||||||||||||||||
55,166 | Entergy Louisiana LLC |
4.875% | A | 1,371,978 | ||||||||||||||||||||||
23,419 | Entergy New Orleans, Inc. |
5.500% | A | 613,578 | ||||||||||||||||||||||
24,828 | Entergy Texas Inc. |
5.625% | A | 646,025 | ||||||||||||||||||||||
148,092 | Georgia Power Company |
5.000% | A | 3,723,033 | ||||||||||||||||||||||
135,174 | Integrys Energy Group Inc., (2) |
6.000% | Baa1 | 3,838,941 | ||||||||||||||||||||||
182,517 | NextEra Energy Inc. |
5.250% | BBB | 4,661,484 | ||||||||||||||||||||||
50,384 | NextEra Energy Inc. |
5.000% | BBB | 1,269,677 | ||||||||||||||||||||||
91,840 | Pacific Gas & Electric Corporation |
6.000% | A | 2,929,696 | ||||||||||||||||||||||
137,608 | PPL Capital Funding, Inc. |
5.900% | BBB | 3,537,902 | ||||||||||||||||||||||
67,171 | SCE Trust VI |
5.000% | Baa1 | 1,704,800 | ||||||||||||||||||||||
203,360 | Southern Company |
5.250% | BBB | 5,187,714 | ||||||||||||||||||||||
Total Electric Utilities |
38,085,844 | |||||||||||||||||||||||||
Equity Real Estate Investment Trusts 18.3% | ||||||||||||||||||||||||||
100,854 | American Homes 4 Rent |
6.350% | N/R | 2,680,699 | ||||||||||||||||||||||
83,643 | American Homes 4 Rent |
5.875% | BB | 2,147,952 | ||||||||||||||||||||||
49,640 | American Homes 4 Rent |
5.500% | N/R | 1,418,215 | ||||||||||||||||||||||
59,618 | American Homes 4 Rent |
5.000% | N/R | 1,698,517 | ||||||||||||||||||||||
59,232 | American Homes 4 Rent |
5.000% | N/R | 1,685,743 | ||||||||||||||||||||||
43,596 | American Homes 4 Rent |
6.500% | N/R | 1,203,250 | ||||||||||||||||||||||
82,231 | American Homes 4 Rent |
5.875% | BB | 2,113,337 | ||||||||||||||||||||||
136,969 | CBL & Associates Properties Inc. |
7.375% | BB | 3,347,522 | ||||||||||||||||||||||
8,675 | CBL & Associates Properties Inc. |
6.625% | BB | 213,145 | ||||||||||||||||||||||
64,749 | Cedar Shopping Centers Inc., Series A |
7.250% | N/R | 1,636,855 | ||||||||||||||||||||||
80,698 | Cedar Shopping Centers Inc., Series A |
6.500% | N/R | 1,990,820 | ||||||||||||||||||||||
194,231 | City Office REIT, Inc. |
6.625% | N/R | 5,046,121 | ||||||||||||||||||||||
44,889 | Colony Northstar, Inc. |
7.500% | N/R | 1,158,136 | ||||||||||||||||||||||
49,970 | Colony Northstar, Inc., (2) |
7.125% | N/R | 1,253,747 | ||||||||||||||||||||||
123,243 | Colony Northstar, Inc. |
7.125% | N/R | 3,164,880 | ||||||||||||||||||||||
112,781 | DDR Corporation |
6.375% | BB | 2,937,945 | ||||||||||||||||||||||
83,342 | Digital Realty Trust Inc. |
5.250% | Baa3 | 2,090,217 | ||||||||||||||||||||||
55,930 | Farmland Partners, Inc. |
6.000% | N/R | 1,514,025 | ||||||||||||||||||||||
69,859 | GGP, Inc. |
6.375% | N/R | 1,793,979 | ||||||||||||||||||||||
31,120 | Gladstone Commercial Corporation |
7.000% | N/R | 809,120 | ||||||||||||||||||||||
84,098 | Gramercy Property Trust |
7.125% | BB+ | 2,231,120 | ||||||||||||||||||||||
85,143 | Hersha Hospitality Trust |
6.875% | N/R | 2,137,089 | ||||||||||||||||||||||
118,567 | Hersha Hospitality Trust |
6.500% | N/R | 3,008,045 | ||||||||||||||||||||||
196,044 | Hersha Hospitality Trust |
6.500% | N/R | 5,014,806 | ||||||||||||||||||||||
103,707 | Investors Real Estate Trust |
7.950% | N/R | 2,600,972 | ||||||||||||||||||||||
138,234 | Investors Real Estate Trust, (WI/DD) |
6.625% | N/R | 3,400,556 | ||||||||||||||||||||||
3,379 | LaSalle Hotel Properties |
6.375% | N/R | 86,501 | ||||||||||||||||||||||
100,859 | LaSalle Hotel Properties |
6.300% | N/R | 2,581,990 | ||||||||||||||||||||||
6,521 | Mid-America Apartment Communities Inc. |
|
8.500% | BBB | 427,126 | |||||||||||||||||||||
157,968 | Monmouth Real Estate Investment Corp |
|
6.125% | N/R | 3,977,634 | |||||||||||||||||||||
19,829 | National Retail Properties Inc. |
5.200% | Baa2 | 497,311 | ||||||||||||||||||||||
133,736 | Pebblebrook Hotel Trust |
6.500% | N/R | 3,446,377 | ||||||||||||||||||||||
99,126 | Pebblebrook Hotel Trust |
6.375% | N/R | 2,591,154 | ||||||||||||||||||||||
62,575 | Penn Real Estate Investment Trust |
6.875% | N/R | 1,563,749 | ||||||||||||||||||||||
50,067 | PS Business Parks, Inc. |
5.250% | BBB | 1,264,692 | ||||||||||||||||||||||
331 | Public Storage, Inc. |
5.150% | A3 | 8,384 | ||||||||||||||||||||||
3,504 | Retail Properties of America |
7.000% | BB | 89,352 | ||||||||||||||||||||||
493 | Rexford Industrial Realty Inc. |
5.875% | BB | 12,596 | ||||||||||||||||||||||
16,053 | Senior Housing Properties Trust |
6.250% | BBB | 435,357 | ||||||||||||||||||||||
51,592 | STAG Industrial Inc. |
6.875% | BB+ | 1,389,888 | ||||||||||||||||||||||
39,915 | Summit Hotel Properties Inc. |
7.875% | N/R | 1,018,232 | ||||||||||||||||||||||
102,767 | Summit Hotel Properties Inc. |
7.125% | N/R | 2,629,808 | ||||||||||||||||||||||
50,437 | Summit Hotel Properties Inc. |
6.450% | N/R | 1,282,109 | ||||||||||||||||||||||
36,294 | Sunstone Hotel Investors Inc. |
6.950% | N/R | 983,567 | ||||||||||||||||||||||
127,193 | Sunstone Hotel Investors Inc. |
6.450% | N/R | 3,254,869 | ||||||||||||||||||||||
29,864 | Taubman Centers Incorporated, Series K |
|
6.250% | N/R | 748,690 | |||||||||||||||||||||
92,874 | UMH Properties Inc. |
8.000% | N/R | 2,568,895 | ||||||||||||||||||||||
135,065 | UMH Properties Inc. |
6.750% | N/R | 3,611,638 |
NUVEEN | 5 |
JRI | Nuveen Real Asset Income and Growth Fund | |||
Portfolio of Investments (continued) | September 30, 2017 (Unaudited) |
Shares | Description (1) | Coupon | Ratings (5) | Value | ||||||||||||||||||||||
Equity Real Estate Investment Trusts (continued) | ||||||||||||||||||||||||||
128,930 | Urstadt Biddle Properties |
6.750% | N/R | $ | 3,366,362 | |||||||||||||||||||||
67,064 | Urstadt Biddle Properties |
6.250% | N/R | 1,732,934 | ||||||||||||||||||||||
47,857 | Ventas Realty LP |
5.450% | BBB+ | 1,218,439 | ||||||||||||||||||||||
14,883 | Washington Prime Group, Inc. |
6.875% | Ba1 | 373,266 | ||||||||||||||||||||||
Total Equity Real Estate Investment Trusts |
|
99,457,733 | ||||||||||||||||||||||||
Independent Power & Renewable Electricity Producers 0.2% | ||||||||||||||||||||||||||
63,257 | Brookfield Renewable Partners |
5.750% | BBB | 1,316,597 | ||||||||||||||||||||||
Multi-Utilities 3.3% | ||||||||||||||||||||||||||
307,522 | Dominion Resources Inc. |
5.250% | BBB | 7,930,992 | ||||||||||||||||||||||
150,637 | DTE Energy Company |
6.000% | Baa2 | 4,122,935 | ||||||||||||||||||||||
179,149 | DTE Energy Company |
5.375% | Baa2 | 4,631,002 | ||||||||||||||||||||||
44,219 | DTE Energy Company |
5.250% | Baa2 | 1,116,530 | ||||||||||||||||||||||
Total Multi-Utilities |
17,801,459 | |||||||||||||||||||||||||
Oil, Gas & Consumable Fuels 2.0% | ||||||||||||||||||||||||||
36,800 | Hoegh LNG Partners LP, (WI/DD) |
8.750% | N/R | 909,083 | ||||||||||||||||||||||
67,909 | NGL Energy Partner LP |
9.000% | N/R | 1,652,905 | ||||||||||||||||||||||
204,819 | Nustar Energy LP |
8.500% | Ba3 | 5,536,258 | ||||||||||||||||||||||
49,120 | Nustar Energy LP |
7.625% | Ba3 | 1,264,840 | ||||||||||||||||||||||
63,970 | Pembina Pipeline Corporation |
5.750% | BB+ | 1,348,869 | ||||||||||||||||||||||
Total Oil, Gas & Consumable Fuels |
10,711,955 | |||||||||||||||||||||||||
Real Estate Management & Development 0.6% | ||||||||||||||||||||||||||
120,393 | Landmark Infrastructure Partners LP |
8.000% | N/R | 3,070,022 | ||||||||||||||||||||||
Total $25 Par (or similar) Retail Preferred (cost $163,509,694) |
|
170,443,610 | ||||||||||||||||||||||||
Principal Amount (000) (7) |
Description (1) | Coupon | Maturity | Ratings (5) | Value | |||||||||||||||||||||
CORPORATE BONDS 23.9% (17.1% of Total Investments) |
|
|||||||||||||||||||||||||
Commercial Services & Supplies 2.0% | ||||||||||||||||||||||||||
$ | 3,140 | Advanced Disposal Services, Inc., 144A |
5.625% | 11/15/24 | B | $ | 3,281,300 | |||||||||||||||||||
3,265 | Covanta Holding Corporation |
5.875% | 3/01/24 | B1 | 3,240,512 | |||||||||||||||||||||
1,280 | Covanta Holding Corporation |
5.875% | 7/01/25 | B1 | 1,259,200 | |||||||||||||||||||||
2,695 | GFL Environmental Corporation, 144A |
5.625% | 5/01/22 | B | 2,802,800 | |||||||||||||||||||||
315 | Wrangler Buyer Corp., 144A |
6.000% | 10/01/25 | Caa1 | 320,512 | |||||||||||||||||||||
Total Commercial Services & Supplies |
10,904,324 | |||||||||||||||||||||||||
Construction & Engineering 0.3% | ||||||||||||||||||||||||||
1,820 | AECOM Technology Corporation |
5.125% | 3/15/27 | BB | 1,881,425 | |||||||||||||||||||||
Diversified Financial Services 0.9% | ||||||||||||||||||||||||||
1,550 | Ladder Capital Finance Holdings LLLP/ Ladder Capital Finance Corp., 144A |
|
5.250% | 10/01/25 | BB | 1,535,476 | ||||||||||||||||||||
1,865 | Minejesa Capital BV, 144A |
5.625% | 8/10/37 | Baa3 | 1,952,765 | |||||||||||||||||||||
1,485 | Stoneway Capital Corporation, 144A |
10.000% | 3/01/27 | B | 1,595,009 | |||||||||||||||||||||
Total Diversified Financial Services |
5,083,250 | |||||||||||||||||||||||||
Diversified Telecommunication Services 0.7% | ||||||||||||||||||||||||||
1,465 | CyrusOne LP Finance, 144A |
5.375% | 3/15/27 | BB+ | 1,571,212 | |||||||||||||||||||||
2,340 | SBA Communications Corporation |
4.875% | 9/01/24 | B+ | 2,407,275 | |||||||||||||||||||||
Total Diversified Telecommunication Services |
|
3,978,487 | ||||||||||||||||||||||||
Electric Utilities 6.1% | ||||||||||||||||||||||||||
7,055 | ACWA Power Management And Investment One Ltd, 144A |
|
5.950% | 12/15/39 | BBB | 7,270,488 | ||||||||||||||||||||
1,360 | Comision Federal de Electricidad of the United States of Mexico, 144A |
|
5.750% | 2/14/42 | BBB+ | 1,438,200 |
6 | NUVEEN |
Principal Amount (000) (7) |
Description (1) | Coupon | Maturity | Ratings (5) | Value | |||||||||||||||||||||
Electric Utilities (continued) | ||||||||||||||||||||||||||
$ | 1,600 | Comision Federal de Electricidad of the United States of Mexico, 144A, (6) |
|
6.125% | 6/16/45 | BBB+ | $ | 1,764,000 | ||||||||||||||||||
5,669 | Crocket Cogeneration LP, 144A |
5.869% | 3/30/25 | BBB | 5,581,309 | |||||||||||||||||||||
2,975 | DCP Midstream Operating LP, 144A |
5.850% | 5/21/43 | BB | 2,774,187 | |||||||||||||||||||||
1,400 | Electricite de France S.A, Reg S |
5.875% | 7/22/49 | BBB | 1,937,907 | |||||||||||||||||||||
1,105 | Energuate Trust, 144A |
5.875% | 5/03/27 | Ba2 | 1,143,675 | |||||||||||||||||||||
2,505 | Exelon Corporation, (6) |
6.250% | 10/01/39 | BBB | 2,757,557 | |||||||||||||||||||||
806 | FPL Energy National Wind LLC, 144A |
5.608% | 3/10/24 | Baa3 | 808,014 | |||||||||||||||||||||
1,388 | Mirant Mid-Atlantic Series C Pass Through Trust |
|
10.060% | 12/30/28 | B | 1,318,951 | ||||||||||||||||||||
325 | NextEra Energy Partners LP, 144A |
4.500% | 9/15/27 | Ba1 | 331,094 | |||||||||||||||||||||
1,540 | GBP | Intergen NV, Reg S |
7.500% | 6/30/21 | B1 | 1,980,502 | ||||||||||||||||||||
3,646 | Panoche Energy Center LLC, 144A |
6.885% | 7/31/29 | Baa3 | 3,738,259 | |||||||||||||||||||||
350 | Red Oak Power LLC |
9.200% | 11/30/29 | BB | 393,750 | |||||||||||||||||||||
Total Electric Utilities |
33,237,893 | |||||||||||||||||||||||||
Equity Real Estate Investment Trusts 2.2% | ||||||||||||||||||||||||||
2,375 | Care Capital Properties, Inc. |
5.125% | 8/15/26 | BBB | 2,435,331 | |||||||||||||||||||||
1,275 | CBL & Associates LP |
5.950% | 12/15/26 | BBB | 1,290,825 | |||||||||||||||||||||
1,385 | Crown Castle International Corporation |
4.750% | 5/15/47 | BBB | 1,414,180 | |||||||||||||||||||||
1,165 | CTR Partnership LP/CareTrust Capital Corporation |
|
5.250% | 6/01/25 | BB | 1,198,902 | ||||||||||||||||||||
2,790 | Geo Group Inc. |
6.000% | 4/15/26 | B+ | 2,932,987 | |||||||||||||||||||||
1,495 | MPT Operating Partnership Finance |
5.000% | 10/15/27 | BBB | 1,532,375 | |||||||||||||||||||||
1,160 | Trust F/1401, 144A |
6.950% | 1/30/44 | Baa2 | 1,280,350 | |||||||||||||||||||||
Total Equity Real Estate Investment Trusts |
|
12,084,950 | ||||||||||||||||||||||||
Gas Utilities 1.2% | ||||||||||||||||||||||||||
215 | AmeriGas Partners LP/AmeriGas Finance Corporation |
|
5.875% | 8/20/26 | BB | 223,600 | ||||||||||||||||||||
607 | Ferrellgas LP |
6.750% | 1/15/22 | B | 588,790 | |||||||||||||||||||||
17,005 | MXN | Gas Natural Mexico SA |
7.670% | 7/03/25 | N/R | 892,272 | ||||||||||||||||||||
17,500 | MXN | Infraestructura Energetica Nova SAB de CV |
|
6.300% | 2/02/23 | Baa1 | 904,311 | |||||||||||||||||||
1,660 | National Gas Company of Trinidad and Tobago, 144A |
|
6.050% | 1/15/36 | BBB | 1,713,950 | ||||||||||||||||||||
1,230 | Suburban Propane Partners LP |
5.750% | 3/01/25 | BB | 1,217,700 | |||||||||||||||||||||
1,060 | Suburban Propane Partners LP |
5.875% | 3/01/27 | BB | 1,049,400 | |||||||||||||||||||||
Total Gas Utilities |
6,590,023 | |||||||||||||||||||||||||
Health Care Equipment & Supplies 0.2% | ||||||||||||||||||||||||||
1,065 | Tenet Healthcare Corporation |
8.125% | 4/01/22 | B | 1,083,638 | |||||||||||||||||||||
Health Care Providers & Services 0.3% | ||||||||||||||||||||||||||
935 | HCA Inc. |
5.500% | 6/15/47 | BBB | 968,894 | |||||||||||||||||||||
915 | Kindred Healthcare Inc. |
6.375% | 4/15/22 | B | 828,075 | |||||||||||||||||||||
Total Health Care Providers & Services |
1,796,969 | |||||||||||||||||||||||||
Hotels, Restaurants & Leisure 0.5% | ||||||||||||||||||||||||||
1,395 | Grupo Posadas SAB de CV, 144A |
7.875% | 6/30/22 | B+ | 1,485,675 | |||||||||||||||||||||
940 | MGM Growth Properties Operating Partnership LP / MGP Escrow Co-Issuer, Inc., 144A |
|
4.500% | 1/15/28 | Ba3 | 948,272 | ||||||||||||||||||||
Total Hotels, Restaurants & Leisure |
2,433,947 | |||||||||||||||||||||||||
Independent Power & Renewable Electricity Producers 1.2% | ||||||||||||||||||||||||||
2,935 | Azure Power Energy Ltd, 144A |
5.500% | 11/03/22 | Ba3 | 3,003,239 | |||||||||||||||||||||
1,260 | Capex SA, 144A |
6.875% | 5/15/24 | B+ | 1,295,620 | |||||||||||||||||||||
1,825 | Dynegy Inc., 144A |
8.000% | 1/15/25 | B+ | 1,888,875 | |||||||||||||||||||||
735 | GenOn Energy Inc., (8) |
9.500% | 10/15/18 | N/R | 538,388 | |||||||||||||||||||||
Total Independent Power & Renewable Electricity Producers |
|
6,726,122 |
NUVEEN | 7 |
JRI | Nuveen Real Asset Income and Growth Fund | |||
Portfolio of Investments (continued) | September 30, 2017 (Unaudited) |
Principal Amount (000) (7) |
Description (1) | Coupon | Maturity | Ratings (5) | Value | |||||||||||||||||||||
IT Services 0.7% | ||||||||||||||||||||||||||
$ | 3,405 | Zayo Group LLC / Zayo Capital Inc., 144A |
|
5.750% | 1/15/27 | B | $ | 3,609,300 | ||||||||||||||||||
Multi-Utilities 0.5% | ||||||||||||||||||||||||||
2,675 | Dominion Resources Inc. |
5.750% | 10/01/54 | BBB | 2,889,000 | |||||||||||||||||||||
Oil, Gas & Consumable Fuels 2.7% | ||||||||||||||||||||||||||
280 | Calumet Specialty Products |
6.500% | 4/15/21 | CCC+ | 273,525 | |||||||||||||||||||||
2,345 | Calumet Specialty Products |
7.625% | 1/15/22 | CCC+ | 2,303,963 | |||||||||||||||||||||
620 | Energy Transfer Equity LP |
5.500% | 6/01/27 | BB+ | 652,550 | |||||||||||||||||||||
2,365 | Genesis Energy LP |
5.625% | 6/15/24 | BB | 2,294,050 | |||||||||||||||||||||
1,570 | CAD | Gibson Energy, 144A |
5.250% | 7/15/24 | BB | 1,258,756 | ||||||||||||||||||||
745 | Global Partners LP/GLP Finance |
6.250% | 7/15/22 | B+ | 754,313 | |||||||||||||||||||||
470 | Global Partners LP/GLP Finance |
7.000% | 6/15/23 | B+ | 472,350 | |||||||||||||||||||||
1,335 | Martin Mid-Stream Partners LP Finance |
7.250% | 2/15/21 | B | 1,365,037 | |||||||||||||||||||||
1,035 | NGL Energy Partners LP/Fin Co |
7.500% | 11/01/23 | B+ | 1,029,825 | |||||||||||||||||||||
3,520 | PBF Holding Company LLC, 144A |
7.250% | 6/15/25 | BB | 3,599,200 | |||||||||||||||||||||
11,145 | MXN | Petroleos Mexicanos, 144A |
7.190% | 9/12/24 | A | 558,915 | ||||||||||||||||||||
Total Oil, Gas & Consumable Fuels |
14,562,484 | |||||||||||||||||||||||||
Real Estate Management & Development 1.3% | ||||||||||||||||||||||||||
1,640 | Brooklyn Navy Yard Cogeneration Partners LP, 144A |
|
7.420% | 10/01/20 | B2 | 1,484,649 | ||||||||||||||||||||
2,680 | Hunt Companies Inc., 144A |
9.625% | 3/01/21 | N/R | 2,820,700 | |||||||||||||||||||||
2,400 | Kennedy-Wilson Holdings Incorporated |
5.875% | 4/01/24 | BB | 2,472,000 | |||||||||||||||||||||
Total Real Estate Management & Development |
|
6,777,349 | ||||||||||||||||||||||||
Software 0.3% | ||||||||||||||||||||||||||
1,605 | SixSigma Networks Mexico SA de CV, 144A |
|
8.250% | 11/07/21 | B+ | 1,664,385 | ||||||||||||||||||||
Transportation Infrastructure 1.9% | ||||||||||||||||||||||||||
1,485 | Aeropuertos Argentina 2000 SA, 144A |
6.875% | 2/01/27 | B+ | 1,583,010 | |||||||||||||||||||||
695 | Aeropuertos Dominicanos SA, 144A |
6.750% | 3/30/29 | BB | 750,482 | |||||||||||||||||||||
1,030 | Delhi International Airport Ltd, 144A |
6.125% | 10/31/26 | BB | 1,108,589 | |||||||||||||||||||||
4,200 | MXN | Grupo Aeroportuario Del Centro Norte, SAB de CV |
|
6.850% | 6/07/21 | N/R | 224,807 | |||||||||||||||||||
1,780 | Mexico City Airport Trust, 144A |
5.500% | 7/31/47 | BBB+ | 1,802,072 | |||||||||||||||||||||
1,715 | Rumo Luxembourg Sarl, 144A |
7.375% | 2/09/24 | BB | 1,856,487 | |||||||||||||||||||||
2,474 | Terminales Portuarios, 144A |
8.125% | 4/01/37 | BB | 2,653,051 | |||||||||||||||||||||
Total Transportation Infrastructure |
9,978,498 | |||||||||||||||||||||||||
Wireless Telecommunication Services 0.9% | ||||||||||||||||||||||||||
3,282 | Inmarsat Finance PLC, 144A |
6.500% | 10/01/24 | BB+ | 3,536,355 | |||||||||||||||||||||
1,055 | ViaSat Inc., 144A |
5.625% | 9/15/25 | BB | 1,061,646 | |||||||||||||||||||||
Total Wireless Telecommunication Services |
|
4,598,001 | ||||||||||||||||||||||||
Total Corporate Bonds (cost $127,429,804) |
|
129,880,045 | ||||||||||||||||||||||||
Principal Amount (000) |
Description (1) | Coupon | Maturity | Ratings (5) | Value | |||||||||||||||||||||
CONVERTIBLE BONDS 1.0% (0.7% of Total Investments) |
|
|||||||||||||||||||||||||
Oil, Gas & Consumable Fuels 0.7% | ||||||||||||||||||||||||||
$ | 5,210 | Cheniere Energy Inc. |
4.250% | 3/15/45 | N/R | $ | 3,607,925 | |||||||||||||||||||
Real Estate Management & Development 0.3% | ||||||||||||||||||||||||||
1,480 | Tricon Capital Group Inc., 144A |
5.750% | 3/31/22 | N/R | 1,561,400 | |||||||||||||||||||||
$ | 6,690 | Total Convertible Bonds (cost $5,128,707) |
|
5,169,325 |
8 | NUVEEN |
Principal Amount (000) |
Description (1) | Coupon | Maturity | Ratings (5) | Value | |||||||||||||||||||||
$1,000 PAR (OR SIMILAR) INSTITUTIONAL PREFERRED 13.6% (9.8% of Total Investments) |
| |||||||||||||||||||||||||
Diversified Financial Services 0.4% | ||||||||||||||||||||||||||
$ | 930 | National Rural Utilities Cooperative Finance Corporation |
|
5.250% | 4/20/46 | A3 | $ | 990,079 | ||||||||||||||||||
1,325 | RKP Overseas Finance 2016 A, Reg S |
7.950% | N/A (9) | B1 | 1,381,840 | |||||||||||||||||||||
2,255 | Total Diversified Financial Services |
2,371,919 | ||||||||||||||||||||||||
Electric Utilities 3.7% | ||||||||||||||||||||||||||
2,265 | AES Gener SA, 144A |
8.375% | 12/18/73 | BB | 2,406,563 | |||||||||||||||||||||
9,455 | Emera, Inc. |
6.750% | 6/15/76 | BBB | 10,755,062 | |||||||||||||||||||||
3,540 | Enel SpA, 144A |
8.750% | 9/24/73 | BBB | 4,287,825 | |||||||||||||||||||||
2,595 | Exelon Corporation |
6.350% | 3/15/33 | Baa2 | 2,857,744 | |||||||||||||||||||||
17,855 | Total Electric Utilities |
20,307,194 | ||||||||||||||||||||||||
Energy Equipment & Services 3.4% | ||||||||||||||||||||||||||
5,395 | Transcanada Trust |
5.875% | 8/15/76 | BBB | 5,853,575 | |||||||||||||||||||||
5,520 | Transcanada Trust |
5.625% | 5/20/75 | BBB | 5,853,960 | |||||||||||||||||||||
6,555 | Transcanada Trust |
5.300% | 3/15/77 | BBB | 6,710,681 | |||||||||||||||||||||
17,470 | Total Energy Equipment & Services |
18,418,216 | ||||||||||||||||||||||||
Multi-Utilities 0.5% | ||||||||||||||||||||||||||
2,498 | RWE AG, Reg S |
6.625% | 7/30/75 | BB+ | 2,790,341 | |||||||||||||||||||||
Oil, Gas & Consumable Fuels 4.8% | ||||||||||||||||||||||||||
2,105 | Enbridge Energy Partners LP |
8.050% | 10/01/37 | BB+ | 2,091,254 | |||||||||||||||||||||
8,412 | Enbridge Inc. |
6.000% | 1/15/77 | BBB | 8,917,056 | |||||||||||||||||||||
9,315 | Enbridge Inc. |
5.500% | 7/15/77 | BBB | 9,431,438 | |||||||||||||||||||||
775 | Enterprise Products Operating LP |
7.034% | 1/15/68 | Baa2 | 782,750 | |||||||||||||||||||||
4,660 | Enterprise Products Operating LLP |
5.250% | 8/16/77 | Baa2 | 4,700,775 | |||||||||||||||||||||
25,267 | Total Oil, Gas & Consumable Fuels |
25,923,273 | ||||||||||||||||||||||||
Real Estate Management & Development 0.8% | ||||||||||||||||||||||||||
4,250 | AT Securities BV, Reg S |
5.250% | N/A (9) | BB+ | 4,251,063 | |||||||||||||||||||||
$ | 69,595 | Total $1,000 Par (or similar) Institutional Preferred (cost $70,688,262) |
|
74,062,006 | ||||||||||||||||||||||
Principal Amount (000) |
Description (1) | Interest Rate (10) |
Maturity (10) | Value | ||||||||||||||||||||||
WHOLE LOANS 1.9% (1.3% of Total Investements) (11), (12), (13) |
|
|||||||||||||||||||||||||
Commerical Loans 1.5% | ||||||||||||||||||||||||||
$ | 13,980 | NCH Commercial Pool 2, NCH Corporation, (4), (14) |
|
11.925% | 8/01/14 | $ | 3,390,151 | |||||||||||||||||||
4,523 | RealtiCorp Fund III, RIF 301, LLC / RIF 304, LLC, (4), (14) |
|
4.400% | 9/01/17 | 3,278,997 | |||||||||||||||||||||
1,441 | RL Stowe Portfolio, Belmont Mills LLC; Terrapin East, LLC; Tennessee Mills, LLC; Terrapin West, LLC |
|
3.925% | 1/01/20 | 1,183,752 | |||||||||||||||||||||
19,944 | Total Commercial Loans |
7,852,900 | ||||||||||||||||||||||||
Multifamily Loans 0.4% | ||||||||||||||||||||||||||
4,392 | NCH Multifamily Pool 2, NCH Corporation, (4), (14) |
|
11.925% | 8/01/14 | 2,260,271 | |||||||||||||||||||||
$ | 24,336 | Total Whole-Loans (cost $24,846,053) |
10,113,171 | |||||||||||||||||||||||
Shares | Description (1), (15) | Value | ||||||||||||||||||||||||
INVESTMENT COMPANIES 2.0% (1.5% of Total Investments) |
|
|||||||||||||||||||||||||
1,939,908 | John Laing Infrastructure Fund |
$ | 3,365,276 | |||||||||||||||||||||||
13,845,590 | Keppel Infrastructure Trust |
5,613,974 | ||||||||||||||||||||||||
712,467 | NextEnergy Solar Fund Limited |
1,074,044 | ||||||||||||||||||||||||
709,823 | Starwood European Real Estate Finance Limited |
|
1,051,246 | |||||||||||||||||||||||
Total Investment Companies (cost $10,369,994) |
|
11,104,540 |
NUVEEN | 9 |
JRI | Nuveen Real Asset Income and Growth Fund | |||
Portfolio of Investments (continued) | September 30, 2017 (Unaudited) |
Principal Amount (000) |
Description (1) | Optional Call Provisions (16) |
Ratings (5) | Value | ||||||||||||||||||||||
MUNICIPAL BONDS 0.2% (0.1% of Total Investments) |
|
|||||||||||||||||||||||||
Georgia 0.2% | ||||||||||||||||||||||||||
$ | 750 | Georgia Municipal Electric Authority, Plant Vogtle Units 3 & 4 Project M Bonds, Taxable Build America Bonds Series 2010A, 6.655%, 4/01/57 |
No Opt. Call | A+ | $ | 937,627 | ||||||||||||||||||||
$ | 750 | Total Municipal Bonds (cost $873,812) |
|
937,627 | ||||||||||||||||||||||
Principal Amount (000) (7) |
Description (1) | Coupon | Maturity | Ratings (5) | Value | |||||||||||||||||||||
SOVEREIGN DEBT 0.8% (0.6% of Total Investments) |
|
|||||||||||||||||||||||||
Cost Rica 0.4% | ||||||||||||||||||||||||||
$ | 925 | Instituto Costarricense de Electricidad, 144A |
|
6.950% | 11/10/21 | Ba2 | $ | 1,003,625 | ||||||||||||||||||
1,515 | Instituto Costarricense de Electricidad, 144A |
|
6.375% | 5/15/43 | Ba2 | 1,414,919 | ||||||||||||||||||||
Total Costa Rica |
2,418,544 | |||||||||||||||||||||||||
India 0.4% | ||||||||||||||||||||||||||
140,000 | INR | National Highways Authority of India, Reg S |
|
7.300% | 5/18/22 | N/R | 2,159,232 | |||||||||||||||||||
Total Sovereign Debt (cost $4,526,125) |
4,577,776 | |||||||||||||||||||||||||
Shares | Description (1) | Value | ||||||||||||||||||||||||
COMMON STOCK RIGHTS 0.0% (0.0% of Total Investments) |
|
|||||||||||||||||||||||||
Equity Real Estate Investment Trusts 0.0% | ||||||||||||||||||||||||||
821,352 | Mapletree Logistics Trust, Stock Rights, (4) |
|
$ | 51,772 | ||||||||||||||||||||||
Total Common Stock Rights (cost $ ) |
51,772 | |||||||||||||||||||||||||
Total Long-Term Investments (cost $727,100,510) |
|
751,368,922 | ||||||||||||||||||||||||
Principal Amount (000) |
Description (1) | Coupon | Maturity | Value | ||||||||||||||||||||||
SHORT-TERM INVESTMENTS 1.7% (1.2% of Total Investments) |
|
|||||||||||||||||||||||||
REPURCHASE AGREEMENTS 1.7% (1.2% of Total Investments) |
|
|||||||||||||||||||||||||
$ | 8,116 | Repurchase Agreement with Fixed Income Clearing Corporation, dated 9/29/17, repurchase price $8,115,708, collateralized by $8,360,000 U.S. Treasury Notes, 2.000%, due 2/15/25, value $8,282,419 |
|
0.120% | 10/02/17 | $ | 8,115,627 | |||||||||||||||||||
1,164 | Repurchase Agreement with Fixed Income Clearing Corporation, dated 9/29/17, repurchase price $1,164,140, collateralized by $1,190,000 U.S. Treasury Notes, 2.250%, due 2/15/27, value $1,187,940 |
|
0.120% | 10/02/17 | 1,164,128 | |||||||||||||||||||||
$ | 9,280 | Total Short-Term Investments (cost $9,279,755) |
|
9,279,755 | ||||||||||||||||||||||
Total Investments (cost $751,368,922) 140.0% |
|
760,648,677 | ||||||||||||||||||||||||
Borrowings (41.4)% (17), (18) |
(225,225,000 | ) | ||||||||||||||||||||||||
Other Assets Less Liabilities 1.4% (19) |
|
8,066,076 | ||||||||||||||||||||||||
Net Assets Applicable to Common Shares 100% |
|
$ | 543,489,753 |
10 | NUVEEN |
Investments in Derivatives as of September 30, 2017
Futures Contracts
Description | Contract Position |
Number of Contracts |
Expiration Date |
Notional Amount |
Value | Unrealized Appreciation (Depreciation) |
Variation Margin Receivable/ (Payable) |
|||||||||||||||||||||
U.S. Treasury 5-Year Note |
Short | (69 | ) | 12/17 | $ | (8,188,057 | ) | $ | (8,107,500 | ) | $ | 80,557 | $ | 11,320 | ||||||||||||||
U.S. Treasury 10-Year Note |
Short | (98 | ) | 12/17 | (12,467,678 | ) | (12,280,625 | ) | 187,053 | 22,969 | ||||||||||||||||||
U.S. Treasury Long Bond |
Short | (40 | ) | 12/17 | (6,269,381 | ) | (6,112,500 | ) | 156,881 | (1,250 | ) | |||||||||||||||||
U.S. Treasury Ultra Bond |
Short | (25 | ) | 12/17 | (4,241,681 | ) | (4,128,125 | ) | 113,556 | (10,156 | ) | |||||||||||||||||
Total |
$ | (31,166,797 | ) | $ | (30,628,750 | ) | $ | 538,047 | $ | 22,883 |
Interest Rate Swaps OTC Uncleared
Counterparty | Notional Amount |
Fund Pay/Receive Floating Rate |
Floating Rate Index | Fixed Rate (Annualized) |
Fixed Rate Payment Frequency |
Effective Date (20) |
Optional Termination Date |
Maturity Date |
Value | Premiums Paid (Received) |
Unrealized Appreciation (Depreciation) |
|||||||||||||||||||||||||||||||||
JPMorgan Chase Bank, N.A. |
$ | 29,250,000 | Receive | 1-Month USD-LIBOR-ICE | 1.462 | % | Monthly | 12/01/17 | 12/01/18 | 12/01/20 | $ | (12,674 | ) | $ | 410,770 | $ | (423,444 | ) | ||||||||||||||||||||||||||
Morgan Stanley Capital Securities LLC |
112,400,000 | Receive | 1-Month USD-LIBOR-ICE | 1.994 | Monthly | 6/01/18 | 6/01/18 | 7/01/27 | 187,282 | | 187,282 | |||||||||||||||||||||||||||||||||
Total |
$ | 141,650,000 | $ | 174,608 | $ | 410,770 | $ | (236,162 | ) |
Fair Value Measurements
Fair value is defined as the price that would be received upon selling an investment or transferring a liability in an orderly transaction to an independent buyer in the principal or most advantageous market for the investment. A three-tier hierarchy is used to maximize the use of observable market data and minimize the use of unobservable inputs and to establish classification of fair value measurements for disclosure purposes. Observable inputs reflect the assumptions market participants would use in pricing the asset or liability. Observable inputs are based on market data obtained from sources independent of the reporting entity. Unobservable inputs reflect the reporting entitys own assumptions about the assumptions market participants would use in pricing the asset or liability. Unobservable inputs are based on the best information available in the circumstances. The following is a summary of the three-tiered hierarchy of valuation input levels.
Level 1 | Inputs are unadjusted and prices are determined using quoted prices in active markets for identical securities. | |
Level 2 | Prices are determined using other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.). | |
Level 3 | Prices are determined using significant unobservable inputs (including managements assumptions in determining the fair value of investments). |
NUVEEN | 11 |
JRI | Nuveen Real Asset Income and Growth Fund | |||
Portfolio of Investments (continued) | September 30, 2017 (Unaudited) |
The inputs or methodologies used for valuing securities are not an indication of the risk associated with investing in those securities. The following is a summary of the Funds fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: |
||||||||||||||||
Common Stocks |
$ | 182,824,975 | $ | 115,606,368 | $ | | $ | 298,431,343 | ||||||||
Convertible Preferred Securities |
46,597,707 | | | 46,597,707 | ||||||||||||
$25 Par (or similar) Retail Preferred |
165,350,922 | 5,092,688 | | 170,443,610 | ||||||||||||
Corporate Bonds |
| 129,880,045 | | 129,880,045 | ||||||||||||
Convertible Bonds |
| 5,169,325 | | 5,169,325 | ||||||||||||
$1,000 Par (or similar) Institutional Preferred |
| 74,062,006 | | 74,062,006 | ||||||||||||
Whole Loans |
| | 10,113,171 | 10,113,171 | ||||||||||||
Investment Companies |
11,104,540 | | | 11,104,540 | ||||||||||||
Municipal Bonds |
| 937,627 | | 937,627 | ||||||||||||
Sovereign Debt |
| 4,577,776 | | 4,577,776 | ||||||||||||
Common Stock Rights |
| | 51,772 | 51,772 | ||||||||||||
Short-Term Investments: |
||||||||||||||||
Repurchase Agreements |
| 9,279,755 | | 9,279,755 | ||||||||||||
Investments in Derivatives: |
||||||||||||||||
Future Contracts* |
538,047 | | | 538,047 | ||||||||||||
Interest Rate Swaps* |
| (236,162 | ) | | (236,162 | ) | ||||||||||
Total |
$ | 406,416,191 | $ | 344,369,428 | $ | 10,164,943 | $ | 760,950,562 |
* | Represents net unrealized appreciation (depreciation). |
The following is a conciliation of the Fund's Level 3 investments held at the beginning and end of the measurement period:
Level 3 | ||||||||||||
Common Stock Rights |
Whole Loans |
Total | ||||||||||
Balance at the beginning of period |
$ | | $ | | $ | | ||||||
Investments acquired in the Mergers |
| 35,361,293 | 35,361,293 | |||||||||
Gains (losses): |
||||||||||||
Net realized gains (losses) |
| (7,689,408 | ) | (7,689,408 | ) | |||||||
Change in net unrealized appreciation (depreciation) |
51,772 | (14,732,882 | ) | (14,681,110 | ) | |||||||
Purchases at cost |
| | | |||||||||
Sales at proceeds |
| (2,825,832 | ) | (2,825,832 | ) | |||||||
Net discounts (premiums) |
| | | |||||||||
Transfers into |
| | | |||||||||
Transfers (out of) |
| | | |||||||||
Balance at the end of period |
$ | 51,772 | $ | 10,113,171 | $ | 10,164,943 |
The valuation techniques and significant unobservable inputs used in recurring Level 3 fair value measurements of assets as of the end of the reporting period, were as follows:
Market Value | Techniques | Unobservable Input | Range | |||||||||
Commercial & Multifamily Whole Loans | $ | 1,183,752 | Discounted Cash Flow | Yield Spread | 2.185% - 2.280 | % | ||||||
Discounted Cash Flow | Liquidity Spread | 0.50 | % | |||||||||
Discounted Cash Flow | Debt Service Coverage Ratio | 0.00 - 1.20 | ||||||||||
5,650,421 | Appraisals | N/A | N/A | |||||||||
3,278,998 | Expected Value | N/A | N/A | |||||||||
Total | $ | 10,113,171 |
As of September 30, 2017, the Common Stock Rights Level 3 securities were priced at their intrinsic value less a 10% discount.
12 | NUVEEN |
The table below presents the transfers in and out of the three valuation levels for the Fund's as of the end of the reporting period when compared to the valuation levels at the end of the previous fiscal year. Changes in valuation inputs or methodologies may result in transfers into or out of an assigned level within the fair value hierarchy. Transfers in or out of levels are generally due to the availability of publicly available information and to the significance or extent the Adviser determines that the valuation inputs or methodologies may impact the valuation of those securities.
Level 1 | Level 2 | Level 3 | ||||||||||||||||||||||
Transfers In | (Transfers Out) | Transfers In | (Transfers Out) | Transfers In | (Transfers Out) | |||||||||||||||||||
Common Stocks |
$ | 8,718,649 | $ | (3,292,471 | ) | $ | 3,292,471 | $ | (8,718,649 | ) | $ | | $ | |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing taxable market discount, timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
The tables below present the cost and unrealized appreciation (depreciation) of the Fund's investment portfolio, as determined on a federal income tax basis, as of September 30, 2017.
For income tax purposes of this disclosure, derivative tax cost is generally the sum of any upfront fees or premiums exchanged and any amounts unrealized for income statement reporting but realized in income and/or capital gains for tax reporting. If a particular derivative category does not disclose any tax unrealized appreciation or depreciation, the change in the value of those derivatives have generally been fully realized for tax purposes.
Tax cost of investments |
$738,499,868 | |||
Gross unrealized: |
||||
Appreciation |
$ | 44,263,110 | ||
Depreciation |
(22,114,301 | ) | ||
Net unrealized appreciation (depreciation) of investments |
$ | 22,148,809 | ||
Tax cost of futures |
$ | 538,047 | ||
Net unrealized appreciation (depreciation) of Futures |
$ | | ||
Tax cost of swap contracts |
$ | (410,770 | ) | |
Net unrealized appreciation (depreciation) of swap |
$ | (236,162 | ) |
NUVEEN | 13 |
JRI | Nuveen Real Asset Income and Growth Fund | |||
Portfolio of Investments (continued) | September 30, 2017 (Unaudited) |
For Fund portfolio compliance purposes, the Funds industry classifications refer to any one or more of the industry sub-classifications used by one or more widely recognized market indexes or ratings group indexes, and/or as defined by Fund management. This definition may not apply for purposes of this report, which may combine industry sub-classifications into sectors for reporting ease.
(1) | All percentages shown in the Portfolio of Investments are based on net assets applicable to common shares unless otherwise noted. |
(2) | For fair value measurement disclosure purposes, investment classified as Level 2. See Notes to Financial Statements, Note 2 Investment Valuation and Fair Value Measurements for more information. |
(3) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(4) | Investment valued at fair value using methods determined in good faith by, or at the discretion of, the Board. For fair value measurement disclosure purposes, investment classified as Level 3 unless otherwise noted. |
(5) | For financial reporting purposes, the ratings disclosed are the highest of Standard & Poors Group (Standard & Poors), Moodys Investors Service, Inc. (Moodys) or Fitch, Inc. (Fitch) rating. This treatment of split-rated securities may differ from that used for other purposes, such as for Fund investment policies. Ratings below BBB by Standard & Poors, Baa by Moodys or BBB by Fitch are considered to be below investment grade. Holdings designated N/R are not rated by any of these national rating agencies. |
(6) | Investment, or portion of investment, has been pledged to collateralize the net payment obligations for investments in derivatives. |
(7) | Principal Amount (000) denominated in U.S. Dollars, unless otherwise noted. |
(8) | As of, or subsequent to, the end of the reporting period, this security is non-income producing. Non-income producing, in the case of a fixed income security, generally denotes that the issuer has (1) defaulted on the payment of principal or interest, (2) is under the protection of the Federal Bankruptcy Court or (3) the Funds Adviser has concluded that the issue is not likely to meet its future interest payment obligations and has ceased accruing additional income on the Funds records. |
(9) | Perpetual security. Maturity date is not applicable. |
(10) | Represents the interest rate, coupon and maturity in effect as of the end of the reporting period. |
(11) | Interest rates on whole loans are the net coupon rates in effect (after reducing the coupon rate by any mortgage servicing fees paid to mortgage servicers) as of the end of the reporting period. |
(12) | Securities purchased as part of a private placement, which have not been registered with U.S. Securities and Exchange Commission under the Securities Act of 1933 and which are considered to be illiquid. |
(13) | Interest only Represents securities that entitle holders to receive only interest payments on the mortgage. Principal balance on the loan is due at maturity. The interest rate disclosed represents the net coupon rate in effect as of the end of the reporting period. |
(14) | Loan is currently default with regards to scheduled interest and/or principal payments. |
(15) | A copy of the most recent financial statements for these investment companies can be obtained directly from the Securities and Exchange Commission on its website at http://www.sec.gov. |
(16) | Optional Call Provisions: Dates (month and year) and prices of the earliest optional call or redemption. There may be other call provisions at varying prices at later dates. Certain mortgage-backed securities may be subject to periodic principal paydowns. |
(17) | The Fund segregates 100% of its eligible investments (excluding any investments separately pledged as collateral for specific investments in derivatives) in the Portfolio of Investments as collateral for borrowings. |
(18) | Borrowings as a percentage of Total Investments is 29.6%. |
(19) | Other assets less liabilities includes the unrealized appreciation (depreciation) of certain over-the-counter (OTC) derivatives as well as the OTC-cleared and exchange-traded derivatives, when applicable. |
(20) | Effective date represents the date on which both the Fund and counterparty commence interest payment accruals on each contract. |
144A | Investment is exempt from registration under Rule 144A of the Securities Act of 1933, as amended. These investments may only be resold in transactions exempt from registration, which are normally those transactions with qualified institutional buyers. |
Reg S | Regulation S allows U.S. companies to sell securities to persons or entities located outside of the United States without registering those securities with the Securities and Exchange Commission. Specifically, Regulation S provides a safe harbor from the registration requirements of the Securities Act for the offers and sales of securities by both foreign and domestic issuers that are made outside the United States. |
REIT | Real Estate Investment Trust |
WI/DD | Investment, or portion of investment, purchased on a when-issued or delayed delivery basis. |
CAD | Canadian Dollar |
GBP | Pound Sterling |
INR | Indian Rupee |
MXN | Mexican Peso |
USD-LIBOR-ICE | United States Dollar London Inter-Bank Offered Rate Intercontinental Exchange |
14 | NUVEEN |
Item 2. Controls and Procedures.
a. | The registrants principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrants disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the 1940 Act) (17 CFR 270.30a-3(c))) are effective, as of a date within 90 days of the filing date of this report that includes the disclosure required by this paragraph, based on their evaluation of the controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 (17 CFR 240.13a-15(b) or 240.15d-15(b)). |
b. | There were no changes in the registrants internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrants last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrants internal control over financial reporting. |
Item 3. Exhibits.
File as exhibits as part of this Form a separate certification for each principal executive officer and principal financial officer of the registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)), exactly as set forth below: EX-99 CERT Attached hereto.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) | Nuveen Real Asset Income and Growth Fund | |||
By (Signature and Title) | /s/ Gifford R. Zimmerman | |||
Gifford R. Zimmerman |
||||
Vice President and Secretary |
Date: November 29, 2017
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
By (Signature and Title) | /s/ Cedric H. Antosiewicz | |||
Cedric H. Antosiewicz |
||||
Chief Administrative Officer (principal executive officer) | ||||
Date: November 29, 2017 | ||||
By (Signature and Title) | /s/ Stephen D. Foy | |||
Stephen D. Foy | ||||
Vice President and Controller (principal financial officer) | ||||
Date: November 29, 2017 |