o | Preliminary Proxy Statement. | |
o | ||
þ | Definitive Proxy Statement. | |
o | Definitive Additional Materials. | |
o | Soliciting Material Pursuant to |
þ | No fee required. | |
o | Fee computed on table below per Exchange Act Rules 14a-6(i)(4) and 0-11. |
1) | Title of each class of securities to which transaction applies: |
2) | Aggregate number of securities to which transaction applies: |
3) | Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined): |
4) | Proposed maximum aggregate value of transaction: |
5) | Total fee paid: | ||
o | Fee paid previously with preliminary materials. | |
o | Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. |
1) | Amount Previously Paid: |
2) | Form, Schedule or Registration Statement No.: |
3) | Filing Party: |
4) | Date Filed: | ||
Q. | Why am I receiving this Proxy Statement? |
A. | You are receiving this Proxy Statement as a Fund shareholder in connection with the annual shareholders meeting for the Nuveen closed-end funds listed at the top of the Notice of Annual Meeting of Shareholders. |
(i) | Updated Investment Policies (all Affected Municipal Funds |
(ii) | Elimination of |
(iii) | Approval of Fund Board Nominees (all Funds). Each year, you and other Fund shareholders must approve the election of Board members to serve on your Fund’s Board. This is a requirement for all funds that list their common shares on a stock exchange. The Funds described in this |
Q. | What are the potential benefits of the New Investment Policies for common shareholders of the Affected Municipal Funds? | |
A. | The potential benefits to common shareholders are: |
• Enhanced ability of the Affected Municipal Funds to generate attractive tax-free income while retaining their |
• Increased flexibility in diversifying portfolio risks and managing duration (the sensitivity of bond prices to interest rate changes) to pursue the preservation and possible |
growth of capital, which, if successful, will help to sustain and build net asset value; and | ||
• Improved secondary market competitiveness that may lead to a higher relative market price and/or stronger premium/discount performance. | ||
Q. | What are the potential benefits of the New Investment Policies for preferred shareholders of the Affected Municipal Funds? | |
A. | The potential benefits to preferred shareholders are increased flexibility in diversifying portfolio risks and managing duration (the sensitivity of bond prices to interest rate changes) to pursue the preservation and possible growth of capital, which, if successful, will help to sustain and build net asset value and therefore asset coverage levels for preferred shares. | |
Q. | What actions are required in order to implement the New Investment Policies? | |
A. | In order to implement the New Investment Policies and obtain the potential benefits described above, each Affected Municipal Fund or Insured Fund must make certain changes to its existing policies, including certain fundamental policies that require approval of shareholders. In some cases, this may require shareholder approval of the elimination of an existing fundamental policy as well as the implementation of a new replacement fundamental policy. Because each Affected Municipal Fund or Insured Fund tends to be situated somewhat differently, the specific changes required to implement the New Investment Policies often vary from fund to fund. | |
Q. | Why are shareholders of the Insured Funds being asked to approve the elimination of |
A. | As a result of conditions facing the bond insurance market, shareholders are being asked to approve the elimination of certain fundamental investment policies that are restricting, or may be expected in the future to restrict, each Insured Fund’s ability to effectively maintain its existing focus on insured bonds backed by insurers with solid credit ratings. In connection with eliminating the respective fundamental investment policies, shareholders are being asked to approve a new fundamental investment policy that will provide the Insured Funds with flexibility to respond to |
Q. | What happens if shareholders don’t approve the elimination of the fundamental investment policies and/or don’t approve the | |
A. |
Q. | Who do I call if I have questions? |
A. | If you need any assistance, or have any questions regarding the proposals or how to vote your shares, please call Computershare Fund Services, your Fund’s proxy solicitor, at(866) |
Q. | How do I vote my shares? | |
A. | You can vote your shares by completing and signing the enclosed proxy card, and mailing it in the enclosed postage-paid envelope. Alternatively, you may vote by telephone by calling the toll-free number on the proxy card or by computer by going to the Internet address provided on the proxy card and following the instructions, using your proxy card as a guide. | |
Q. | Will anyone contact me? | |
A. | You may receive a call from Computershare Fund Services, the proxy solicitor hired by your Fund, to verify that you received your proxy materials, to answer any questions you may have about the proposals and to encourage you to vote your proxy. |
1. | To elect Members to the Board of Directors/Trustees (each a “Board” and each Director or Trustee a “Board Member”) of each Fund as outlined below: |
a. | For each Minnesota |
i) | seven (7) Board Members to be elected by the holders of Common Shares and Municipal Auction Rate Cumulative Preferred Shares (“Preferred Shares”), voting together as a single class; and | |
ii) | two (2) Board Members to be elected by the holders of Preferred Shares only, voting separately as a single class. |
c. | For each Massachusetts |
i) |
ii) | two (2) Board Members to be elected by the holders of Preferred Shares only, voting separately as a single class. |
d. | For Floating Rate Income, Floating Rate Income Opportunity, Senior Income and Tax-Advantaged Floating Rate, to elect four (4) Board Members. |
2. | To approve the elimination of fundamental investment policies |
3. | To approve the elimination of fundamental investment policies and to approve the new fundamental investment |
Advantage. | ||
4. | To transact such other business as may properly come before the Annual Meeting. |
1
1
2
2
3
3
Matter | Common Shares | Preferred Shares(1) | ||||||
For each Minnesota | X | X | ||||||
For each Minnesota | X | |||||||
X | N/A | |||||||
For each Massachusetts | X | X | ||||||
For each Massachusetts Business Trust, except Floating Rate Income, Floating Rate Income Opportunity, Senior Income and Tax-Advantaged Floating Rate, election of two (2) Board Members by Preferred Shares only. | X | |||||||
1(d) | For Floating Rate Income, Floating Rate Income Opportunity, Senior Income and Tax-Advantaged Floating Rate, election of four (4) Board Members by all shareholders. | X | N/A | |||||
4
Matter | Common Shares | Preferred Shares(1) | ||||||
For Arizona Dividend Advantage, Arizona Dividend Advantage 2, Arizona Dividend Advantage 3, Arizona Premium Income, California Dividend Advantage, California Dividend Advantage 2, California Dividend Advantage 3, California Investment Quality, California Market Opportunity, California | X | X | ||||||
2(a) | For each Affected Municipal Fund, except Michigan Premium Income, to approve the elimination of the Fund’s fundamental investment policies relating to investments in municipal securities and below investment grade securities. | X | X | |||||
For each Affected Municipal Fund, except Michigan Premium Income, to approve the new fundamental policy relating to investments in municipal securities. | X | X | ||||||
5
Matter | Common Shares | Preferred Shares(1) | ||||||
For Arizona Premium Income, California Investment Quality, California Market Opportunity, | X | X | ||||||
For each Premium/Quality Fund, to approve the new fundamental policy relating to commodities. | X | X | ||||||
For each Premium/Quality Fund, to approve the elimination of the Fund’s fundamental policies relating to derivatives and short sales. | X | X | ||||||
For each Premium/Quality Fund, to approve the elimination of the Fund’s fundamental policy prohibiting investment in other investment companies. | X | X | ||||||
For Insured California Dividend Advantage, Insured California Premium Income, Insured California Premium Income 2, Insured California | X | X | ||||||
For each Insured Fund, to approve the new fundamental investment policy relating to investments in insured municipal securities. | X | X | ||||||
3(c) | For Insured California Premium Income and Insured California Premium Income 2, to approve the elimination of the Fund’s fundamental policy relating to commodities. | X | X | |||||
3(d) | For Insured California Premium Income and Insured California Premium Income 2, to approve the new fundamental policy relating to commodities. | X | X | |||||
6
Matter | Common Shares | Preferred Shares(1) | ||||||
For Insured California Premium Income and Insured California Premium Income 2, | ||||||||
X | X | |||||||
For Insured California Premium Income and Insured California Premium Income 2, | X | X | ||||||
(1) |
Shares.” California Value has not issued Preferred Shares. Floating Rate Income, Floating Rate Income Opportunity, Senior Income and Tax-Advantaged Floating Rate do not have any Preferred Shares outstanding. |
7
7
8
Fund | Ticker Symbol* | Common Shares | Preferred Shares | |||||||||||||
Floating Rate Income | JFR | 47,395,206 | Series M | 1,650 | ||||||||||||
Series T | 1,650 | |||||||||||||||
Series W | 1,650 | |||||||||||||||
Series F | 1,650 | |||||||||||||||
Floating Rate Income Opportunity | JRO | 28,419,322 | Series M | 1,334 | ||||||||||||
Series TH | 1,334 | |||||||||||||||
Series F | 1,332 | |||||||||||||||
Senior Income | NSL | 29,834,353 | Series TH | 1,840 | ||||||||||||
Tax-Advantaged Floating Rate | JFP | 13,868,283 | Series TH | 920 | ||||||||||||
Arizona Dividend Advantage | NFZ | 1,550,199 | Series T | 480 | ||||||||||||
Arizona Dividend Advantage 2 | NKR | 2,440,349 | Series W | 740 | ||||||||||||
Arizona Dividend Advantage 3 | NXE | 3,067,630 | Series M | 880 | ||||||||||||
Arizona Premium Income | NAZ | 4,469,154 | Series TH | 1,200 | ||||||||||||
California Dividend Advantage | NAC | 23,480,254 | Series TH | 2,710 | ||||||||||||
Series F | 2,711 | |||||||||||||||
California Dividend Advantage 2 | NVX | 14,797,422 | Series M | 2,200 | ||||||||||||
Series F | 2,200 | |||||||||||||||
California Dividend Advantage 3 | NZH | 24,132,334 | Series M | 3,198 | ||||||||||||
Series TH | 3,199 | |||||||||||||||
California Investment Quality | NQC | 13,580,232 | Series M | 3,051 | ||||||||||||
Series W | 746 | |||||||||||||||
California Market Opportunity | NCO | 8,168,248 | Series W | 2,200 | ||||||||||||
Series F | 520 | |||||||||||||||
California Value | NCA | 25,253,681 | N/A | |||||||||||||
California Performance Plus | NCP | 12,965,742 | Series T | 1,697 | ||||||||||||
Series W | 603 | |||||||||||||||
Series F | 1,697 | |||||||||||||||
California Premium Income | NCU | 5,775,188 | Series M | 1,720 | ||||||||||||
California Quality Income | NUC | 22,020,090 | Series M | 1,249 | ||||||||||||
Series W | 2,676 | |||||||||||||||
Series F | 2,676 | |||||||||||||||
California Select Quality | NVC | 23,129,870 | Series T | 2,116 | ||||||||||||
Series W | 1,481 | |||||||||||||||
Series TH | 3,174 | |||||||||||||||
Insured California Dividend Advantage | NKL | 15,286,005 | Series T | 2,165 | ||||||||||||
Series F | 2,165 | |||||||||||||||
Insured California Premium Income | NPC | 6,459,832 | Series T | 1,800 | ||||||||||||
Insured California Premium Income 2 | NCL | 12,716,370 | Series T | 1,597 | ||||||||||||
Series TH | 1,596 | |||||||||||||||
Fund | Ticker Symbol* | Common Shares | Preferred Shares | |||||||||||||
Floating Rate Income | JFR | 47,399,976 | N/A | |||||||||||||
Floating Rate Income Opportunity | JRO | 28,406,922 | N/A | |||||||||||||
Senior Income | NSL | 29,834,353 | N/A | |||||||||||||
Tax-Advantaged Floating Rate | JFP | 13,918,947 | N/A | |||||||||||||
Arizona Dividend Advantage | NFZ | 1,548,019 | Series T | 424 | ||||||||||||
Arizona Dividend Advantage 2 | NKR | 2,439,549 | Series W | 665 | ||||||||||||
Arizona Dividend Advantage 3 | NXE | 3,066,030 | Series M | 736 | ||||||||||||
Arizona Premium Income | NAZ | 4,469,154 | Series TH | 1,115 | ||||||||||||
California Dividend Advantage | NAC | 23,480,254 | Series TH | 2,710 | ||||||||||||
Series F | 2,711 | |||||||||||||||
California Dividend Advantage 2 | NVX | 14,746,722 | Series M | 1,965 | ||||||||||||
Series F | 1,966 | |||||||||||||||
California Dividend Advantage 3 | NZH | 24,119,434 | Series M | 3,081 | ||||||||||||
Series TH | 3,082 | |||||||||||||||
California Investment Quality | NQC | 13,580,232 | Series M | 3,051 | ||||||||||||
Series W | 746 | |||||||||||||||
California Market Opportunity | NCO | 8,143,348 | Series W | 1,500 | ||||||||||||
Series F | 451 | |||||||||||||||
California Value | NCA | 25,253,681 | N/A | |||||||||||||
California Performance Plus | NCP | 12,939,442 | Series T | 1,548 | ||||||||||||
Series W | 551 | |||||||||||||||
Series F | 1,548 | |||||||||||||||
California Premium Income | NCU | 5,737,288 | Series M | 1,555 | ||||||||||||
California Quality Income | NUC | 21,989,090 | Series M | 1,189 | ||||||||||||
Series W | 2,550 | |||||||||||||||
Series F | 2,550 | |||||||||||||||
98
Fund | Ticker Symbol* | Common Shares | Preferred Shares | |||||||||||||
Insured California Tax-Free Advantage | NKX | 5,886,667 | Series 1 | 355 | ||||||||||||
Connecticut Dividend Advantage | NFC | 2,580,246 | Series T | 780 | ||||||||||||
Connecticut Dividend Advantage 2 | NGK | 2,316,806 | Series W | 700 | ||||||||||||
Connecticut Dividend Advantage 3 | NGO | 4,365,873 | Series F | 1,280 | ||||||||||||
Connecticut Premium Income | NTC | 5,363,976 | Series TH | 1,532 | ||||||||||||
Florida Investment Quality | NQF | 16,368,802 | Series T | 3,080 | ||||||||||||
Series F | 2,200 | |||||||||||||||
Florida Quality Income | NUF | 14,154,895 | Series M | 1,700 | ||||||||||||
Series TH | 1,700 | |||||||||||||||
Series F | 1,280 | |||||||||||||||
Insured Florida Premium Income | NFL | 14,218,896 | Series W | 1,640 | ||||||||||||
Series TH | 2,800 | |||||||||||||||
Insured Florida Tax-Free Advantage | NWF | 3,882,373 | Series W | 1,160 | ||||||||||||
Georgia Dividend Advantage | NZX | 1,969,350 | Series M | 600 | ||||||||||||
Georgia Dividend Advantage 2 | NKG | 4,554,375 | Series F | 1,320 | ||||||||||||
Georgia Premium Income | NPG | 3,805,652 | Series TH | 1,112 | ||||||||||||
Maryland Dividend Advantage | NFM | 4,187,933 | Series M | 1,280 | ||||||||||||
Maryland Dividend Advantage 2 | NZR | 4,194,422 | Series F | 1,280 | ||||||||||||
Maryland Dividend Advantage 3 | NWI | 5,363,909 | Series T | 1,560 | ||||||||||||
Maryland Premium Income | NMY | 10,640,076 | Series W | 1,404 | ||||||||||||
Series TH | 1,760 | |||||||||||||||
Massachusetts Dividend Advantage | NMB | 1,960,437 | Series T | 600 | ||||||||||||
Massachusetts Premium Income | NMT | 4,763,486 | Series TH | 1,360 | ||||||||||||
Insured Massachusetts Tax-Free Advantage | NGX | 2,723,242 | Series W | 820 | ||||||||||||
Michigan Dividend Advantage | NZW | 2,066,986 | Series W | 640 | ||||||||||||
Michigan Premium Income | NMP | 7,751,048 | Series M | 840 | ||||||||||||
Series TH | 1,400 | |||||||||||||||
Michigan Quality Income | NUM | 11,714,953 | Series TH | 3,200 | ||||||||||||
Series F | 560 | |||||||||||||||
Missouri Premium Income | NOM | 2,307,415 | Series TH | 640 | ||||||||||||
New Jersey Dividend Advantage | NXJ | 6,577,112 | Series T | 1,920 | ||||||||||||
New Jersey Dividend Advantage 2 | NUJ | 4,523,121 | Series W | 1,380 | ||||||||||||
New Jersey Investment Quality | NQJ | 20,484,322 | Series M | 3,200 | ||||||||||||
Series TH | 2,000 | |||||||||||||||
Series F | 1,280 | |||||||||||||||
New Jersey Premium Income | NNJ | 12,049,496 | Series T | 624 | ||||||||||||
Series W | 1,440 | |||||||||||||||
Series TH | 1,600 | |||||||||||||||
North Carolina Dividend Advantage | NRB | 2,264,699 | Series T | 680 | ||||||||||||
North Carolina Dividend Advantage 2 | NNO | 3,749,642 | Series F | 1,120 | ||||||||||||
Fund | Ticker Symbol* | Common Shares | Preferred Shares | |||||||||||||
California Select Quality | NVC | 23,088,470 | Series T | 1,975 | ||||||||||||
Series W | 1,383 | |||||||||||||||
Series TH | 2,963 | |||||||||||||||
Insured California Dividend Advantage | NKL | 15,253,305 | Series T | 2,165 | ||||||||||||
Series F | 2,165 | |||||||||||||||
Insured California Premium Income | NPC | 6,446,532 | Series T | 1,800 | ||||||||||||
Insured California Premium Income 2 | NCL | 12,662,870 | Series T | 1,597 | ||||||||||||
Series TH | 1,596 | |||||||||||||||
Insured California Tax-Free Advantage | NKX | 5,886,667 | Series 1 | 355 | ||||||||||||
Connecticut Dividend Advantage | NFC | 2,581,761 | Series T | 690 | ||||||||||||
Connecticut Dividend Advantage 2 | NGK | 2,317,676 | Series W | 618 | ||||||||||||
Connecticut Dividend Advantage 3 | NGO | 4,365,873 | Series F | 1,131 | ||||||||||||
Connecticut Premium Income | NTC | 5,363,976 | Series TH | 1,338 | ||||||||||||
Georgia Dividend Advantage | NZX | 1,969,350 | Series M | 556 | ||||||||||||
Georgia Dividend Advantage 2 | NKG | 4,554,659 | Series F | 1,172 | ||||||||||||
Georgia Premium Income | NPG | 3,805,652 | Series TH | 1,028 | ||||||||||||
Maryland Dividend Advantage | NFM | 4,193,517 | Series M | 1,033 | ||||||||||||
Maryland Dividend Advantage 2 | NZR | 4,196,366 | Series F | 1,065 | ||||||||||||
Maryland Dividend Advantage 3 | NWI | 5,363,909 | Series T | 1,400 | ||||||||||||
Maryland Premium Income | NMY | 10,641,816 | Series W | 1,258 | ||||||||||||
Series TH | 1,577 | |||||||||||||||
Massachusetts Dividend Advantage | NMB | 1,962,452 | Series T | 570 | ||||||||||||
Massachusetts Premium Income | NMT | 4,764,710 | Series TH | 1,360 | ||||||||||||
Insured Massachusetts Tax-Free Advantage | NGX | 2,724,558 | Series W | 820 | ||||||||||||
Michigan Dividend Advantage | NZW | 2,066,086 | Series W | 571 | ||||||||||||
Michigan Premium Income | NMP | 7,682,048 | Series M | 805 | ||||||||||||
Series TH | 1,343 | |||||||||||||||
Michigan Quality Income | NUM | 11,638,753 | Series TH | 2,972 | ||||||||||||
Series F | 521 | |||||||||||||||
Missouri Premium Income | NOM | 2,311,415 | Series TH | 640 | ||||||||||||
New Jersey Dividend Advantage | NXJ | 6,569,912 | Series T | 1,757 | ||||||||||||
New Jersey Dividend Advantage 2 | NUJ | 4,520,321 | Series W | 1,249 | ||||||||||||
New Jersey Investment Quality | NQJ | 20,453,722 | Series M | 2,834 | ||||||||||||
Series TH | 1,772 | |||||||||||||||
Series F | 1,132 | |||||||||||||||
New Jersey Premium Income | NNJ | 12,036,596 | Series T | 599 | ||||||||||||
Series W | 1,381 | |||||||||||||||
Series TH | 1,535 | |||||||||||||||
North Carolina Dividend Advantage | NRB | 2,266,549 | Series T | 643 | ||||||||||||
109
Fund | Ticker Symbol* | Common Shares | Preferred Shares | |||||||||||||
North Carolina Dividend Advantage 3 | NII | 3,932,730 | Series W | 1,120 | ||||||||||||
North Carolina Premium Income | NNC | 6,351,838 | Series TH | 1,872 | ||||||||||||
Ohio Dividend Advantage | NXI | 4,244,093 | Series W | 1,240 | ||||||||||||
Ohio Dividend Advantage 2 | NBJ | 3,121,477 | Series F | 960 | ||||||||||||
Ohio Dividend Advantage 3 | NVJ | 2,158,458 | Series T | 660 | ||||||||||||
Ohio Quality Income | NUO | 9,746,032 | Series M | 680 | ||||||||||||
Series TH1 | 1,400 | |||||||||||||||
Series TH2 | 1,000 | |||||||||||||||
Pennsylvania Dividend Advantage | NXM | 3,332,584 | Series T | 1,000 | ||||||||||||
Pennsylvania Dividend Advantage 2 | NVY | 3,725,809 | Series M | 1,140 | ||||||||||||
Pennsylvania Investment Quality | NQP | 16,161,598 | Series T | 880 | ||||||||||||
Series W | 2,400 | |||||||||||||||
Series TH | 2,000 | |||||||||||||||
Pennsylvania Premium Income 2 | NPY | 15,670,651 | Series M | 844 | ||||||||||||
Series TH | 2,080 | |||||||||||||||
Series F | 1,800 | |||||||||||||||
Texas Quality Income | NTX | 9,495,144 | Series M | 760 | ||||||||||||
Series TH | 2,000 | |||||||||||||||
Virginia Dividend Advantage | NGB | 3,133,733 | Series W | 960 | ||||||||||||
Virginia Dividend Advantage 2 | NNB | 5,734,157 | Series M | 1,680 | ||||||||||||
Virginia Premium Income | NPV | 8,933,535 | Series T | 832 | ||||||||||||
Series TH | 1,720 | |||||||||||||||
Fund | Ticker Symbol* | Common Shares | Preferred Shares | |||||||||||||
North Carolina Dividend Advantage 2 | NNO | 3,749,642 | Series F | 1,120 | ||||||||||||
North Carolina Dividend Advantage 3 | NII | 3,933,682 | Series W | 1,120 | ||||||||||||
North Carolina Premium Income | NNC | 6,351,838 | Series TH | 1,806 | ||||||||||||
Ohio Dividend Advantage | NXI | 4,243,493 | Series W | 1,240 | ||||||||||||
Ohio Dividend Advantage 2 | NBJ | 3,121,477 | Series F | 924 | ||||||||||||
Ohio Dividend Advantage 3 | NVJ | 2,156,758 | Series T | 660 | ||||||||||||
Ohio Quality Income | NUO | 9,746,032 | Series M | 680 | ||||||||||||
Series TH1 | 1,400 | |||||||||||||||
Series TH2 | 1,000 | |||||||||||||||
Pennsylvania Dividend Advantage | NXM | 3,330,584 | Series T | 900 | ||||||||||||
Pennsylvania Dividend Advantage 2 | NVY | 3,725,809 | Series M | 920 | ||||||||||||
Pennsylvania Investment Quality | NQP | 16,134,098 | Series T | 744 | ||||||||||||
Series W | 2,033 | |||||||||||||||
Series TH | 1,693 | |||||||||||||||
Pennsylvania Premium Income 2 | NPY | 15,618,851 | Series M | 710 | ||||||||||||
Series TH | 1,748 | |||||||||||||||
Series F | 1,513 | |||||||||||||||
Texas Quality Income | NTX | 9,504,400 | Series M | 716 | ||||||||||||
Series TH | 1,886 | |||||||||||||||
Virginia Dividend Advantage | NGB | 3,137,362 | Series W | 780 | ||||||||||||
Virginia Dividend Advantage 2 | NNB | 5,744,294 | Series M | 1,477 | ||||||||||||
Virginia Premium Income | NPV | 8,958,420 | Series T | 743 | ||||||||||||
Series TH | 1,537 | |||||||||||||||
* | The Common Shares of all of the Funds are listed on the |
1. | Election of Board Members |
10
(i) | seven (7) Board Members are to be elected by holders of Common Shares and Preferred Shares, voting together as a single class. Board Members Amboian, |
11
Bremner, Evans, Kundert, Stockdale, Stone and Toth are nominees for election by all shareholders. |
(ii) | two (2) Board Members are to be elected by holders of Preferred Shares, each series voting together as a single class. Board Members Hunter and Schneider are nominees for election by holders of Preferred Shares. |
For California Value: |
(c) | For each Massachusetts Fund, except Floating Rate Income, Floating Rate Income Opportunity, Senior Income and Tax-Advantaged Floating Rate: |
(i) |
11
of shareholders in 2010 or until their successors have been duly elected and qualified. Board Members Amboian, Kundert and Toth have been designated as Class II |
(ii) | two (2) Board Members are to be elected by holders of Preferred Shares, |
12
(d) | For Floating Rate Income, Floating Rate Income Opportunity, Senior Income and Tax-Advantaged Floating Rate:four (4) Board Members are to be elected by all shareholders. |
12
13
1413
Number of | ||||||||||||
Portfolios | ||||||||||||
in Fund | Other | |||||||||||
Complex | Director- | |||||||||||
Term of Office | Overseen | ships Held | ||||||||||
Name, Address | Position(s) | and Length | Principal Occupation(s) | by Board | by Board | |||||||
and Birth Date | Held with Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
Nominees/Board Members who are not interested persons of the Funds | ||||||||||||
Robert P. Bremner c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (8/22/40) | Chairman of the Board, Board Member | Term: Annual or Class III Board Member until Length of Service: Since 1996; Chairman of the Board Since 2008; Lead Independent Director(2005-2008) | Private Investor and Management | N/A | ||||||||
Jack B. Evans c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (10/22/48) | Board Member | Term: Annual or Class III Board Member until Length of Service: Since 1999 | President, The Hall-Perrine Foundation, a private philanthropic corporation (since 1996); Director and Vice Chairman, United Fire Group, a publicly held company; Member of the Board of Regents for the State of Iowa University System; Director, Gazette Companies; Life Trustee of Coe College and Iowa College Foundation; Member of the Advisory Council of the Department of Finance in the Tippie College of Business, University of Iowa; formerly, Director, Alliant Energy; formerly, Director, Federal Reserve Bank of Chicago; formerly, President and Chief Operating Officer, SCI Financial Group, Inc., a regional financial services firm. | See Principal Occupation Description | ||||||||
1514
Number of | ||||||||||||
Portfolios | ||||||||||||
in Fund | Other | |||||||||||
Complex | Director- | |||||||||||
Term of Office | Overseen | ships Held | ||||||||||
Name, Address | Position(s) | and Length | Principal Occupation(s) | by Board | by Board | |||||||
and Birth Date | Held with Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
William C. Hunter c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (3/6/48) | Board Member | Term: Annual or Class I Board Member until 2010 Length of Service: Since 2004 | Dean, Tippie College of Business, University of Iowa (since | See Principal Occupation Description | ||||||||
David J. Kundert c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (10/28/42) | Board Member | Term: Annual or Class II Board Member until 2011 Length of Service: Since 2005 | Director, Northwestern Mutual Wealth Management Company; retired (2004) as Chairman, JPMorgan Fleming Asset Management, President and CEO, Banc One Investment Advisors Corporation, and President, One Group Mutual Funds; prior thereto, Executive Vice President, Bank One Corporation and Chairman and CEO, Banc One Investment Management Group; Board of Regents, Luther College; member of the Wisconsin Bar Association; member of Board of Directors, Friends of Boerner Botanical Gardens; | See Principal Occupation Description | ||||||||
1615
Number of | ||||||||||||
Portfolios | ||||||||||||
in Fund | Other | |||||||||||
Complex | Director- | |||||||||||
Term of Office | Overseen | ships Held | ||||||||||
Name, Address | Position(s) | and Length | Principal Occupation(s) | by Board | by Board | |||||||
and Birth Date | Held with Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
William J. Schneider c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (9/24/44) | Board Member | Term: Annual or Class III Board Member until Length of Service: Since 1996 | Chairman, of Miller-Valentine Partners Ltd., a real estate investment company; formerly, Senior Partner and Chief Operating Officer (retired, 2004) of Miller-Valentine | See Principal Occupation Description | ||||||||
Judith M. Stockdale c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (12/29/47) | Board Member | Term: Annual or Class I Board Member until 2010 Length of Service: Since 1997 | Executive Director, Gaylord and Dorothy Donnelley Foundation (since 1994); prior thereto, Executive Director, Great Lakes Protection Fund (from 1990 to 1994). | N/A | ||||||||
Carole E. Stone c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (6/28/47) | Board Member | Term: Annual or Class I Board Member until 2010 Length of Service: Since 2007 | Director, C2 Options Exchange, Incorporated (since 2009); Director, Chicago Board Options Exchange (since 2006); Commissioner, NYSE Commission on Public Authority Reform (since 2005); formerly, | See Principal Occupation Description | ||||||||
1716
Number of | ||||||||||||
Portfolios | ||||||||||||
in Fund | Other | |||||||||||
Complex | Director- | |||||||||||
Term of Office | Overseen | ships Held | ||||||||||
Name, Address | Position(s) | and Length | Principal Occupation(s) | by Board | by Board | |||||||
and Birth Date | Held with Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
Terence J. Toth c/o Nuveen Investments, Inc. 333 West Wacker Drive Chicago, IL 60606 (9/29/59) | Board Member | Term: Annual or Class II Board Member until 2011 Length of Service: Since 2008 | See Principal Occupation Description |
17
Number of | ||||||||||||
Portfolios | ||||||||||||
in Fund | Other | |||||||||||
Complex | Director- | |||||||||||
Term of Office | Overseen | ships Held | ||||||||||
Name, Address | Position(s) | and Length | Principal Occupation(s) | by Board | by Board | |||||||
and Birth Date | Held with Fund | of Time Served(1) | During Past 5 Years | Member | Member | |||||||
Nominee/Board Member who is an interested person of the Funds | ||||||||||||
John P. Amboian(2) 333 West Wacker Drive Chicago, IL 60606 (6/14/61) | Board Member | Term: Annual or Class II Board Member until 2011 Length of Service: Since 2008 | Chief Executive Officer (since July 2007) and Director (since 1999) of Nuveen Investments, Inc.; Chief Executive Officer (since 2007) of Nuveen Asset Management, | See Principal Occupation Description | ||||||||
(1) | Length of Time | |
(2) | “Interested person” as defined in the 1940 Act, by reason of being an officer and director of each Fund’s | |
(3) | Nuveen Advisory Corp. and Nuveen Institutional Advisory Corp. were merged into Nuveen Asset Management, effective January 1, 2005. |
18
19
18
20
19
Aggregate Compensation from the Funds(2) | ||||||||||||||||||||||||||||||||
Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence J. | |||||||||||||||||||||||||
Fund | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | Toth | ||||||||||||||||||||||||
Floating Rate Income | $ | 2,642 | $ | 2,287 | $ | 1,792 | $ | 2,235 | $ | 2,313 | $ | 2,000 | $ | 1,834 | $ | 2,153 | ||||||||||||||||
Floating Rate Income Opportunity | 1,587 | 1,373 | 1,075 | 1,342 | 1,389 | 1,200 | 1,101 | 1,293 | ||||||||||||||||||||||||
Senior Income | 979 | 846 | 666 | 827 | 856 | 742 | 681 | 798 | ||||||||||||||||||||||||
Tax-Advantaged Floating Rate | 385 | 2,316 | 246 | 270 | 286 | 2,317 | 294 | 1,227 | ||||||||||||||||||||||||
Arizona Dividend Advantage | 133 | 115 | 91 | 108 | 112 | 99 | 94 | 106 | ||||||||||||||||||||||||
Arizona Dividend Advantage 2 | 219 | 189 | 151 | 177 | 185 | 164 | 155 | 175 | ||||||||||||||||||||||||
Arizona Dividend Advantage 3 | 257 | 223 | 177 | 208 | 217 | 192 | 182 | 205 | ||||||||||||||||||||||||
Arizona Premium Income | 372 | 322 | 256 | 301 | 314 | 278 | 263 | 297 | ||||||||||||||||||||||||
California Dividend Advantage | 1,682 | 1,419 | 841 | 889 | 990 | 1,225 | 1,310 | 540 | ||||||||||||||||||||||||
California Dividend Advantage 2 | 1,126 | 948 | 565 | 600 | 667 | 819 | 873 | 382 | ||||||||||||||||||||||||
California Dividend Advantage 3 | 1,718 | 1,448 | 860 | 909 | 1,013 | 1,250 | 1,336 | 559 | ||||||||||||||||||||||||
California Investment Quality | 1,033 | 871 | 517 | 548 | 610 | 752 | 802 | 339 | ||||||||||||||||||||||||
California Market Opportunity | 676 | 596 | 485 | 567 | 595 | 523 | 499 | 280 | ||||||||||||||||||||||||
California Value | 815 | 680 | 405 | 433 | 482 | 581 | 631 | 280 | ||||||||||||||||||||||||
California Performance Plus | 997 | 838 | 499 | 529 | 589 | 725 | 772 | 333 | ||||||||||||||||||||||||
California Premium Income | 447 | 394 | 321 | 375 | 393 | 346 | 330 | 186 | ||||||||||||||||||||||||
California Quality Income | 1,741 | 1,465 | 872 | 924 | 1,028 | 1,267 | 1,350 | 580 | ||||||||||||||||||||||||
California Select Quality | 1,775 | 1,495 | 889 | 941 | 1,048 | 1,292 | 1,378 | 587 | ||||||||||||||||||||||||
Insured California Dividend Advantage | 1,172 | 986 | 587 | 622 | 693 | 853 | 908 | 393 | ||||||||||||||||||||||||
Insured California Premium Income | 521 | 460 | 374 | 437 | 458 | 403 | 385 | 218 | ||||||||||||||||||||||||
Insured California Premium Income 2 | 921 | 776 | 461 | 488 | 543 | 671 | 716 | 301 | ||||||||||||||||||||||||
Insured California Tax-Free Advantage | 447 | 395 | 321 | 376 | 395 | 346 | 333 | 176 | ||||||||||||||||||||||||
Connecticut Dividend Advantage | 226 | 193 | 156 | 183 | 191 | 167 | 161 | 146 | ||||||||||||||||||||||||
Connecticut Dividend Advantage 2 | 204 | 174 | 141 | 165 | 173 | 150 | 145 | 132 | ||||||||||||||||||||||||
Connecticut Dividend Advantage 3 | 367 | 314 | 254 | 298 | 311 | 271 | 261 | 237 | ||||||||||||||||||||||||
Connecticut Premium Income | 448 | 383 | 310 | 364 | 380 | 331 | 319 | 289 | ||||||||||||||||||||||||
20
Aggregate Compensation from the Funds(2) | ||||||||||||||||||||||||||||||||
Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence J. | |||||||||||||||||||||||||
Fund | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | Toth | ||||||||||||||||||||||||
Georgia Dividend Advantage | $ | 171 | $ | 146 | $ | 119 | $ | 139 | $ | 145 | $ | 127 | $ | 122 | $ | 111 | ||||||||||||||||
Georgia Dividend Advantage 2 | 373 | 318 | 258 | 303 | 316 | 275 | 265 | 240 | ||||||||||||||||||||||||
Georgia Premium Income | 320 | 273 | 221 | 260 | 271 | 236 | 228 | 206 | ||||||||||||||||||||||||
Maryland Dividend Advantage | 345 | 295 | 239 | 281 | 293 | 255 | 246 | 221 | ||||||||||||||||||||||||
Maryland Dividend Advantage 2 | 350 | 299 | 242 | 284 | 297 | 258 | 249 | 224 | ||||||||||||||||||||||||
Maryland Dividend Advantage 3 | 441 | 377 | 305 | 358 | 374 | 326 | 314 | 283 | ||||||||||||||||||||||||
Maryland Premium Income | 898 | 767 | 622 | 730 | 762 | 663 | 639 | 579 | ||||||||||||||||||||||||
Massachusetts Dividend Advantage | 167 | 142 | 115 | 135 | 141 | 123 | 119 | 107 | ||||||||||||||||||||||||
Massachusetts Premium Income | 393 | 336 | 272 | 319 | 334 | 290 | 280 | 253 | ||||||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 234 | 200 | 162 | 191 | 199 | 173 | 167 | 152 | ||||||||||||||||||||||||
Michigan Dividend Advantage | 165 | 145 | 118 | 138 | 145 | 127 | 121 | 68 | ||||||||||||||||||||||||
Michigan Premium Income | 610 | 538 | 437 | 511 | 536 | 472 | 450 | 256 | ||||||||||||||||||||||||
Michigan Quality Income | 923 | 777 | 464 | 493 | 548 | 671 | 715 | 318 | ||||||||||||||||||||||||
Missouri Premium Income | 183 | 156 | 127 | 149 | 155 | 135 | 130 | 118 | ||||||||||||||||||||||||
New Jersey Dividend Advantage | 546 | 466 | 378 | 443 | 463 | 403 | 388 | 350 | ||||||||||||||||||||||||
New Jersey Dividend Advantage 2 | 381 | 325 | 264 | 309 | 323 | 281 | 271 | 244 | ||||||||||||||||||||||||
New Jersey Investment Quality | 1,729 | 1,458 | 1,080 | 1,248 | 1,311 | 1,264 | 1,246 | 1,083 | ||||||||||||||||||||||||
New Jersey Premium Income | 1,042 | 879 | 653 | 755 | 792 | 763 | 751 | 657 | ||||||||||||||||||||||||
North Carolina Dividend Advantage | 200 | 171 | 138 | 162 | 169 | 148 | 142 | 130 | ||||||||||||||||||||||||
North Carolina Dividend Advantage 2 | 328 | 280 | 227 | 266 | 278 | 242 | 233 | 212 | ||||||||||||||||||||||||
North Carolina Dividend Advantage 3 | 333 | 284 | 230 | 270 | 282 | 246 | 237 | 216 | ||||||||||||||||||||||||
North Carolina Premium Income | 537 | 459 | 372 | 437 | 456 | 397 | 382 | 348 | ||||||||||||||||||||||||
Ohio Dividend Advantage | 342 | 301 | 245 | 286 | 301 | 265 | 252 | 144 | ||||||||||||||||||||||||
Ohio Dividend Advantage 2 | 250 | 220 | 179 | 209 | 220 | 193 | 184 | 104 | ||||||||||||||||||||||||
Ohio Dividend Advantage 3 | 178 | 157 | 128 | 149 | 157 | 138 | 131 | 75 | ||||||||||||||||||||||||
Ohio Quality Income | 835 | 736 | 598 | 699 | 734 | 646 | 616 | 351 | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage | 280 | 239 | 194 | 228 | 238 | 207 | 199 | 179 | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 320 | 274 | 222 | 260 | 272 | 237 | 228 | 206 | ||||||||||||||||||||||||
Pennsylvania Investment Quality | 1,385 | 1,168 | 866 | 999 | 1,050 | 1,013 | 998 | 867 | ||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 1,257 | 1,060 | 785 | 907 | 953 | 919 | 907 | 785 | ||||||||||||||||||||||||
Texas Quality Income | 860 | 745 | 593 | 697 | 727 | 644 | 609 | 688 | ||||||||||||||||||||||||
Virginia Dividend Advantage | 259 | 221 | 180 | 211 | 220 | 192 | 185 | 166 | ||||||||||||||||||||||||
Virginia Dividend Advantage 2 | 479 | 409 | 332 | 389 | 406 | 354 | 341 | 307 | ||||||||||||||||||||||||
Virginia Premium Income | 750 | 641 | 519 | 610 | 636 | 554 | 534 | 483 | ||||||||||||||||||||||||
Total Compensation from Nuveen Funds Paid to Board Members/ Nominees(1) | $ | 216,138 | $ | 189,578 | $ | 120,659 | $ | 128,240 | $ | 140,917 | $ | 160,362 | $ | 171,750 | $ | 28,695 | ||||||||||||||||
(1) | Based on the total compensation paid, including deferred fees (including the return from the assumed investment in the eligible Nuveen funds), to the Board Members for the calendar year ended December 31, 2008 for services to the Nuveen open-end and closed-end funds advised by NAM. |
21
Aggregate Compensation from the Funds(2) | ||||||||||||||||||||||||||||||||
Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence | |||||||||||||||||||||||||
Fund | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | J. Toth(1) | ||||||||||||||||||||||||
Floating Rate Income | $ | 3,593 | $ | 3,267 | $ | 2,720 | $ | 2,792 | $ | 2,995 | $ | 3,043 | $ | 2,967 | $ | — | ||||||||||||||||
Floating Rate Income Opportunity | 2,167 | 1,968 | 1,640 | 1,683 | 1,805 | 1,834 | 1,789 | — | ||||||||||||||||||||||||
Senior Income | 1,318 | 1,219 | 1,013 | 1,040 | 1,116 | 1,111 | 1,107 | — | ||||||||||||||||||||||||
Tax-Advantaged Floating Rate | 769 | 711 | 542 | 572 | 624 | 622 | 614 | — | ||||||||||||||||||||||||
Arizona Dividend Advantage | 103 | 96 | 82 | 93 | 95 | 87 | 82 | — | ||||||||||||||||||||||||
Arizona Dividend Advantage 2 | 163 | 152 | 130 | 147 | 150 | 138 | 130 | — | ||||||||||||||||||||||||
Arizona Dividend Advantage 3 | 196 | 182 | 156 | 177 | 180 | 166 | 156 | — | ||||||||||||||||||||||||
Arizona Premium Income | 277 | 258 | 220 | 250 | 255 | 235 | 220 | — | ||||||||||||||||||||||||
California Dividend Advantage | 1,560 | 1,442 | 1,147 | 1,218 | 1,299 | 1,294 | 1,263 | — | ||||||||||||||||||||||||
California Dividend Advantage 2 | 979 | 905 | 720 | 765 | 816 | 812 | 793 | — | ||||||||||||||||||||||||
California Dividend Advantage 3 | 1,574 | 1,455 | 1,157 | 1,229 | 1,310 | 1,305 | 1,274 | — | ||||||||||||||||||||||||
California Investment Quality | 932 | 862 | 685 | 728 | 776 | 773 | 755 | — | ||||||||||||||||||||||||
California Market Opportunity | 573 | 533 | 455 | 516 | 527 | 486 | 455 | — | ||||||||||||||||||||||||
California Value | 718 | 648 | 522 | 557 | 595 | 578 | 576 | — | ||||||||||||||||||||||||
California Performance Plus | 883 | 816 | 649 | 689 | 735 | 732 | 715 | — | ||||||||||||||||||||||||
California Premium Income | 377 | 351 | 300 | 340 | 347 | 320 | 300 | — | ||||||||||||||||||||||||
California Quality Income | 1,539 | 1,422 | 1,131 | 1,202 | 1,282 | 1,276 | 1,245 | — | ||||||||||||||||||||||||
California Select Quality | 1,588 | 1,467 | 1,167 | 1,240 | 1,322 | 1,317 | 1,285 | — | ||||||||||||||||||||||||
Insured California Dividend Advantage | 1,033 | 955 | 760 | 807 | 860 | 857 | 836 | — | ||||||||||||||||||||||||
Insured California Premium Income | 435 | 405 | 346 | 392 | 400 | 369 | 346 | — | ||||||||||||||||||||||||
Insured California Premium Income 2 | 834 | 771 | 613 | 651 | 695 | 691 | 675 | — | ||||||||||||||||||||||||
Insured California Tax-Free Advantage | 397 | 370 | 316 | 358 | 365 | 337 | 316 | — | ||||||||||||||||||||||||
Connecticut Dividend Advantage | 176 | 167 | 139 | 159 | 163 | 150 | 139 | — | ||||||||||||||||||||||||
Connecticut Dividend Advantage 2 | 159 | 150 | 125 | 143 | 147 | 135 | 125 | — | ||||||||||||||||||||||||
Connecticut Dividend Advantage 3 | 288 | 272 | 227 | 259 | 266 | 245 | 227 | — | ||||||||||||||||||||||||
Connecticut Premium Income | 353 | 334 | 278 | 318 | 326 | 300 | 278 | — | ||||||||||||||||||||||||
22
Aggregate Compensation from the Funds(2) | ||||||||||||||||||||||||||||||||
Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence | |||||||||||||||||||||||||
Fund | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | J. Toth(1) | ||||||||||||||||||||||||
Florida Investment Quality | $ | 1,130 | $ | 1,059 | $ | 838 | $ | 904 | $ | 971 | $ | 937 | $ | 900 | $ | — | ||||||||||||||||
Florida Quality Income | 995 | 933 | 738 | 796 | 856 | 826 | 793 | — | ||||||||||||||||||||||||
Insured Florida Premium Income | 989 | 927 | 733 | 791 | 850 | 820 | 787 | — | ||||||||||||||||||||||||
Insured Florida Tax-Free Advantage | 260 | 245 | 204 | 234 | 240 | 220 | 204 | — | ||||||||||||||||||||||||
Georgia Dividend Advantage | 135 | 127 | 106 | 121 | 124 | 114 | 106 | — | ||||||||||||||||||||||||
Georgia Dividend Advantage 2 | 300 | 283 | 236 | 270 | 277 | 255 | 236 | — | ||||||||||||||||||||||||
Georgia Premium Income | 254 | 240 | 200 | 228 | 235 | 216 | 200 | — | ||||||||||||||||||||||||
Maryland Dividend Advantage | 283 | 267 | 222 | 254 | 261 | 240 | 222 | — | ||||||||||||||||||||||||
Maryland Dividend Advantage 2 | 285 | 270 | 224 | 257 | 264 | 242 | 224 | — | ||||||||||||||||||||||||
Maryland Dividend Advantage 3 | 354 | 334 | 278 | 319 | 327 | 301 | 278 | — | ||||||||||||||||||||||||
Maryland Premium Income | 713 | 674 | 561 | 642 | 659 | 606 | 561 | — | ||||||||||||||||||||||||
Massachusetts Dividend Advantage | 134 | 127 | 106 | 121 | 124 | 114 | 106 | — | ||||||||||||||||||||||||
Massachusetts Premium Income | 315 | 298 | 248 | 284 | 292 | 268 | 248 | — | ||||||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 184 | 173 | 144 | 165 | 170 | 156 | 144 | — | ||||||||||||||||||||||||
Michigan Dividend Advantage | 139 | 129 | 110 | 125 | 128 | 118 | 110 | — | ||||||||||||||||||||||||
Michigan Premium Income | 510 | 475 | 406 | 460 | 469 | 433 | 406 | — | ||||||||||||||||||||||||
Michigan Quality Income | 797 | 736 | 589 | 620 | 666 | 661 | 643 | — | ||||||||||||||||||||||||
Missouri Premium Income | 147 | 139 | 116 | 133 | 136 | 125 | 116 | — | ||||||||||||||||||||||||
New Jersey Dividend Advantage | 443 | 418 | 348 | 398 | 409 | 376 | 348 | — | ||||||||||||||||||||||||
New Jersey Dividend Advantage 2 | 311 | 294 | 245 | 280 | 288 | 264 | 245 | — | ||||||||||||||||||||||||
New Jersey Investment Quality | 1,396 | 1,308 | 1,035 | 1,117 | 1,201 | 1,158 | 1,111 | — | ||||||||||||||||||||||||
New Jersey Premium Income | 821 | 770 | 609 | 658 | 707 | 682 | 654 | — | ||||||||||||||||||||||||
North Carolina Dividend Advantage | 154 | 146 | 121 | 139 | 142 | 131 | 121 | — | ||||||||||||||||||||||||
North Carolina Dividend Advantage 2 | 255 | 241 | 200 | 229 | 236 | 216 | 200 | — | ||||||||||||||||||||||||
North Carolina Dividend Advantage 3 | 258 | 244 | 203 | 232 | 239 | 219 | 203 | — | ||||||||||||||||||||||||
North Carolina Premium Income | 421 | 397 | 331 | 378 | 389 | 357 | 331 | — | ||||||||||||||||||||||||
23
Aggregate Compensation from the Funds(2) | ||||||||||||||||||||||||||||||||
Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence | |||||||||||||||||||||||||
Fund | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | J. Toth(1) | ||||||||||||||||||||||||
Ohio Dividend Advantage | $ | 284 | $ | 264 | $ | 226 | $ | 256 | $ | 261 | $ | 241 | $ | 226 | $ | — | ||||||||||||||||
Ohio Dividend Advantage 2 | 209 | 195 | 166 | 189 | 193 | 178 | 166 | — | ||||||||||||||||||||||||
Ohio Dividend Advantage 3 | 147 | 137 | 117 | 133 | 135 | 125 | 117 | — | ||||||||||||||||||||||||
Ohio Quality Income | 695 | 647 | 553 | 627 | 640 | 590 | 553 | — | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage | 229 | 216 | 180 | 206 | 211 | 194 | 180 | — | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 258 | 244 | 203 | 232 | 238 | 219 | 203 | — | ||||||||||||||||||||||||
Pennsylvania Investment Quality | 1,122 | 1,052 | 832 | 898 | 965 | 931 | 893 | — | ||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 1,032 | 967 | 765 | 825 | 887 | 856 | 822 | — | ||||||||||||||||||||||||
Texas Quality Income | 631 | 587 | 501 | 569 | 580 | 535 | 501 | — | ||||||||||||||||||||||||
Virginia Dividend Advantage | 213 | 202 | 168 | 192 | 197 | 181 | 168 | — | ||||||||||||||||||||||||
Virginia Dividend Advantage 2 | 387 | 366 | 305 | 349 | 358 | 329 | 305 | — | ||||||||||||||||||||||||
Virginia Premium Income | 597 | 564 | 470 | 537 | 552 | 507 | 470 | — | ||||||||||||||||||||||||
Total Compensation from Nuveen Funds Paid to Board Members/Nominees | 204,141 | 193,523 | 141,423 | 155,655 | 169,137 | 162,064 | 120,250 | — | ||||||||||||||||||||||||
(2) | Includes deferred fees. Pursuant to a deferred compensation agreement with certain of the Funds, deferred amounts are treated as though an equivalent dollar amount has been invested in shares of one or more Participating Funds. Total deferred fees for the Funds (including the return from the assumed investment in the Participating Funds) payable are: |
Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence | Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence J. | |||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | J. Toth(1) | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | Toth | ||||||||||||||||||||||||||||||||||||||||||||||||
Floating Rate Income | $ | 493 | $ | 758 | $ | 2,720 | $ | 2,792 | $ | 2,995 | $ | 1,083 | $ | — | $ | — | $ | 423 | $ | 603 | $ | 983 | $ | 2,235 | $ | 2,313 | $ | 918 | $ | — | $ | 1,679 | ||||||||||||||||||||||||||||||||
Floating Rate Income Opportunity | 298 | 456 | 1,640 | 1,683 | 1,805 | 652 | — | — | 254 | 362 | 588 | 1,342 | 1,389 | 552 | — | 1,007 | ||||||||||||||||||||||||||||||||||||||||||||||||
Senior Income | 181 | 283 | 1,013 | 1,040 | 1,116 | 398 | — | — | 157 | 223 | 370 | 827 | 856 | 340 | — | 626 | ||||||||||||||||||||||||||||||||||||||||||||||||
Tax-Advantaged Floating Rate | 104 | 161 | 542 | 572 | 624 | 235 | — | — | 53 | 561 | 215 | 270 | 286 | 1,019 | — | 709 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Dividend Advantage | 210 | 333 | 1,147 | 1,218 | 1,299 | 447 | — | — | 178 | 245 | 841 | 889 | 990 | 264 | — | 540 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Dividend Advantage 2 | 132 | 209 | 720 | 765 | 816 | 280 | — | — | 121 | 165 | 565 | 600 | 667 | 178 | — | 382 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Dividend Advantage 3 | 212 | 336 | 1,157 | 1,229 | 1,310 | 451 | — | — | 182 | 251 | 860 | 909 | 1,013 | 270 | — | 559 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Investment Quality | 126 | 199 | 685 | 728 | 776 | 267 | — | — | 110 | 151 | 517 | 548 | 610 | 163 | — | 339 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Value | 97 | 149 | 522 | 557 | 595 | 201 | — | — | 87 | 119 | 405 | 433 | 482 | 127 | — | 280 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Performance Plus | 119 | 188 | 649 | 689 | 735 | 253 | — | — | 106 | 146 | 499 | 529 | 589 | 158 | — | 333 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Quality Income | 207 | 328 | 1,131 | 1,202 | 1,282 | 440 | — | — | 186 | 255 | 872 | 924 | 1,028 | 275 | — | 580 | ||||||||||||||||||||||||||||||||||||||||||||||||
California Select Quality | 189 | 260 | 889 | 941 | 1,048 | 280 | — | 587 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Insured California Dividend Advantage | 125 | 172 | 587 | 622 | 693 | 185 | — | 393 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Insured California Premium Income 2 | 98 | 135 | 461 | 488 | 543 | 145 | — | 301 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Michigan Quality Income | 99 | 136 | 464 | 493 | 548 | 147 | — | 318 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
New Jersey Investment Quality | 241 | 336 | 716 | 1,248 | 1,311 | 471 | — | 865 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
New Jersey Premium Income | 145 | 203 | 427 | 755 | 792 | 287 | — | 522 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Investment Quality | 193 | 269 | 572 | 999 | 1,050 | 378 | — | 691 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 175 | 244 | 519 | 907 | 953 | 343 | — | 626 |
24
Robert P. | Jack B. | William C. | David J. | William J. | Judith M. | Carol E. | Terence | |||||||||||||||||||||||||
Fund | Bremner | Evans | Hunter | Kundert | Schneider | Stockdale | Stone | J. Toth(1) | ||||||||||||||||||||||||
California Select Quality | $ | 214 | $ | 339 | $ | 1,167 | $ | 1,240 | $ | 1,322 | $ | 455 | $ | — | $ | — | ||||||||||||||||
Insured California Dividend Advantage | 139 | 220 | 760 | 807 | 860 | 296 | — | — | ||||||||||||||||||||||||
Insured California Premium Income 2 | 112 | 178 | 613 | 651 | 695 | 239 | — | — | ||||||||||||||||||||||||
Florida Investment Quality | 157 | 248 | 838 | 904 | 971 | 360 | — | — | ||||||||||||||||||||||||
Florida Quality Income | 139 | 219 | 738 | 796 | 856 | 317 | — | — | ||||||||||||||||||||||||
Insured Florida Premium Income | 138 | 217 | 733 | 791 | 850 | 314 | — | — | ||||||||||||||||||||||||
Michigan Quality Income | 110 | 171 | 589 | 620 | 666 | 229 | — | — | ||||||||||||||||||||||||
New Jersey Investment Quality | 194 | 307 | 1,035 | 1,117 | 1,201 | 444 | — | — | ||||||||||||||||||||||||
New Jersey Premium Income | 114 | 181 | 609 | 658 | 707 | 261 | — | — | ||||||||||||||||||||||||
Pennsylvania Investment Quality | 156 | 247 | 832 | 898 | 965 | 357 | — | — | ||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 144 | 227 | 765 | 825 | 887 | 328 | — | — | ||||||||||||||||||||||||
2522
23
26
2724
2825
Term of Office | Number of | |||||||||
Portfolios | ||||||||||
in Fund | ||||||||||
Name, Address | Position(s) Held with | Length of Time | Principal Occupation(s) | Complex Served by | ||||||
and Birthdate | Fund | Served(1) | During Past 5 Years | Officer | ||||||
Gifford R. Zimmerman 333 West Wacker Drive Chicago, IL 60606 (9/9/56) | Chief Administrative Officer | Term: Annual Length of Service: Since 1988 | Managing Director (since 2002), Assistant Secretary and Associate General Counsel of Nuveen Investments, LLC; Managing Director (since 2002), Assistant Secretary and Associate General Counsel of Nuveen Asset Management; Managing Director (since 2004) and Assistant Secretary (since 1994) of Nuveen Investments, Inc.; Vice President and Assistant Secretary of NWQ Investment Management Company, LLC (since 2002); Managing Director and Assistant Secretary of Nuveen Investments Advisers Inc. (since 2002); Managing Director, Associate General Counsel and Assistant Secretary of | |||||||
Williams Adams IV 333 West Wacker Drive Chicago, IL 60606 (6/9/55) | Vice President | Term: Annual Length of Service: Since 2007 | Executive Vice President, U.S. Structured Products of Nuveen Investments, LLC (since 1999), prior thereto, Managing Director of Structured Investments. | |||||||
2926
Term of Office | Number of | |||||||||
Portfolios | ||||||||||
in Fund | ||||||||||
Name, Address | Position(s) Held with | Length of Time | Principal Occupation(s) | Complex Served by | ||||||
and Birthdate | Fund | Served(1) | During Past 5 Years | Officer | ||||||
333 West Wacker Drive Chicago, IL 60606 (6/10/59) | Vice President | Term: Annual Length of Service: Since 2009 | President and Executive Director of Nuveen Investments, Inc. (since 2007); President of Nuveen Investments Institutional Services Group LLC (since 2007); previously, Chief Executive Officer of British Telecom Pension Scheme (2006-2007); Chief Investment Officer of Calpers (1999-2006); PhD, Chartered Financial Analyst, Chartered Alternative Investment Analyst, Certified Public Accountant, Certified Management Accountant and Certified Internal Auditor. | 197 | ||||||
Cedric H. Antosiewicz 333 West Wacker Drive Chicago, IL 60606 (1/11/62) | Vice President | Term: Annual Length of Service: Since 2007 | Managing Director (since 2004), previously, Vice President (1993-2004) of Nuveen Investments LLC. | |||||||
Nizida Arriaga 333 West Wacker Drive Chicago, IL 60606 (6/1/68) | Vice President | Term: Annual Length of Service: Since 2009 | Vice President of Nuveen Investments, LLC (since 2007); previously, Portfolio Manager, Allstate Investments, LLC (1996-2006); Chartered Financial Analyst. | 197 | ||||||
Michael T. Atkinson 333 West Wacker Drive Chicago, IL 60606 (2/3/66) | Vice President and Assistant Secretary | Term: Annual Length of Service: Since 2002 | Vice President (since 2002) of Nuveen Investments, | |||||||
333 West Wacker Drive Chicago, IL 60606 (4/11/64) | Vice President | Term: Annual Length of Service: Since | ||||||||
Stephen D. Foy 333 West Wacker Drive Chicago, IL 60606 (5/31/54) | Vice President and Controller | Term: Annual Length of Service: Since 1993 | Vice President (since 1993) and Funds Controller (since 1998) of Nuveen Investments, LLC; Vice President (since | |||||||
27
Term of Office | Number of | |||||||||
and | Portfolios in Fund | |||||||||
Name, Address | Position(s) Held with | Length of Time | Principal Occupation(s) | Complex Served by | ||||||
and Birthdate | Fund | Served(1) | During Past 5 Years | Officer | ||||||
William T. Huffman 333 West Wacker Drive Chicago, IL 60606 (5/7/69) | Vice President | Term: Annual Length of Service: Since 2009 | Chief Operating Officer, Municipal Fixed Income (since 2008) of Nuveen Asset Management; previously, Chairman, President and Chief Executive Officer (2002-2007) of Northern Trust Global Advisors, Inc. and Chief Executive Officer (2007) of Northern Trust Global Investments Limited; Certified Public Accountant. | 133 | ||||||
Walter M. Kelly 333 West Wacker Drive Chicago, IL 60606 (2/24/70) | Chief Compliance Officer and Vice President | Term: Annual Length of Service: Since 2003 | Senior Vice President (since 2008) formerly, Vice President (2006-2008), formerly, Assistant Vice President and Assistant General Counsel of Nuveen Investments, LLC; Senior Vice President (since 2008), formerly, Vice President (2006-2008), and Assistant Secretary (since 2003) of Nuveen Asset Management; formerly, Assistant Vice President and Assistant Secretary of the Nuveen Funds (2003-2006). | |||||||
David J. Lamb 333 West Wacker Drive Chicago, IL 60606 (3/22/63) | Vice President | Term: Annual Length of Service: Since 2000 | Senior Vice President (since 2009), formerly, Vice President (2000-2009) of Nuveen Investments, LLC; Vice President of Nuveen | |||||||
Tina M. Lazar 333 West Wacker Drive Chicago, IL 60606 (8/27/61) | Vice President | Term: Annual Length of Service: Since 2002 | Senior Vice President (since 2009), formerly, Vice President (1999-2009) of Nuveen Investments, LLC; Vice President of Nuveen Asset Management (since 2005). | 197 | ||||||
3028
Term of Office | Number of | |||||||||
Portfolios | ||||||||||
in Fund | ||||||||||
Name, Address | Position(s) Held with | Length of Time | Principal Occupation(s) | Complex Served by | ||||||
and Birthdate | Fund | Served(1) | During Past 5 Years | Officer | ||||||
Larry W. Martin 333 West Wacker Drive Chicago, IL 60606 (7/27/51) | Vice President and Assistant Secretary | Term: Annual Length of Service: Since 1988 | Vice President, Assistant Secretary and Assistant General Counsel of Nuveen Investments, LLC; Vice President, Assistant General Counsel and Assistant Secretary of Nuveen Investments, Inc.; Vice President (since 2005) and Assistant Secretary (since 1997) of Nuveen Asset Management; Vice President |
31
Kevin J. McCarthy 333 West Wacker Drive Chicago, IL 60606 (3/26/66) | Vice President and Secretary | Term: Annual Length of Service: Since 2007 | Managing Director (since 2008), formerly Vice President (2007-2008), Nuveen Investments, LLC; Managing Director (since 2008), formerly Vice President (2007-2008) and Assistant Secretary (since 2007), Nuveen Asset Management, | |||||||
29
Term of Office | Number of | |||||||||
and | Portfolios in Fund | |||||||||
Name, Address | Position(s) Held with | Length of Time | Principal Occupation(s) | Complex Served by | ||||||
and Birthdate | Fund | Served(1) | During Past 5 Years | Officer | ||||||
John V. Miller 333 West Wacker Drive Chicago, IL 60606 (4/10/67) | Vice President | Term: Annual Length of Service: Since 2007 | Chief Investment Officer and Managing Director (since 2007), formerly, Vice President (2002-2007) of Nuveen Asset Management; Managing Director (since 2007), formerly, Vice President (2002-2007) of Nuveen Investments, LLC; Chartered Financial Analyst. | |||||||
Gregory Mino 333 West Wacker Drive Chicago, IL 60606 (1/4/71) | Vice President | Term: Annual Length of Service: Since 2009 | Vice President of Nuveen Investments, LLC (since 2008); previously, Director (2004-2007) and Executive Director (2007-2008) of UBS Global Asset Management; previously, Vice President (2000-2003) and Director (2003-2004) of Merrill Lynch Investment Managers; Chartered Financial Analyst. | 197 | ||||||
Christopher M. Rohrbacher 333 West Wacker Drive Chicago, IL 60606 (8/1/71) | Vice President and Assistant Secretary | Term: Annual Length of Service: Since 2008 | Vice President and Assistant Secretary of Nuveen Investments, LLC (since 2008); Vice President and Assistant Secretary of Nuveen Asset Management (since 2008); prior thereto, Associate, Skadden, Arps, Slate Meagher & Flom LLP (2002-2008). | |||||||
James F. Ruane 333 West Wacker Drive Chicago, IL 60606 (7/3/62) | Vice President and Assistant Secretary | Term: Annual Length of Service: Since 2007 | Vice President, Nuveen Investments |
32
Mark L. Winget 333 West Wacker Drive Chicago, IL 60606 (12/21/68) | Vice President and Assistant Secretary | Term: Annual Length of Service: Since 2008 | Vice President, Nuveen Investments, LLC (since 2008); Vice President and Assistant Secretary, Nuveen Asset Management (since 2008); | |||||||
(1) | Length of Time Served indicates the year the individual became an officer of a fund in the Nuveen fund complex. | |
(2) | Nuveen Advisory Corp. and Nuveen Institutional Advisory Corp. were reorganized into Nuveen Asset Management, effective January 1, 2005. |
30
2. | Approval of the Elimination of Fundamental Investment Policies and Approval of New Fundamental Policies for each Affected Municipal Fund |
• | enhanced ability of the Affected Municipal Funds to generate attractive levels of tax-exempt income, while retaining the Affected Municipal Funds’ orientation on investment grade quality municipal securities; |
• | increased flexibility in diversifying portfolio risks and managing duration (the sensitivity of bond prices to interest rate changes) to pursue the preservation and possible growth of capital, which, if successful, will help to sustain and build common shareholder net asset value and asset coverage levels for |
• | improved secondary market competitiveness which may benefit common shareholders through higher relative market priceand/or stronger premium/discount performance. |
33
31
Elimination of Fundamental Policies Relating to Investments in Municipal Securities and Below Investment Grade Securities (All Affected Municipal Funds except Michigan Premium Income) |
34
32
35
Approval of New Fundamental Policy Relating to Investments in Municipal Securities (All Affected Municipal Funds except Michigan Premium Income) |
33
36
34
37
(c) | Elimination of Fundamental Policies Relating to Commodities (All Premium/Quality Funds) |
(d) | Approval of New Fundamental Policy Relating to Commodities (All Premium/Quality Funds) |
3835
(e) | Elimination of Fundamental Policies Relating to Derivatives and Short Sales (All Premium/Quality Funds) |
39
36
Elimination of the Fundamental Policy Prohibiting Investment in Other Investment Companies (All Premium/Quality Funds) |
40
37
3. | Approval of the Elimination of Fundamental Investment Policies and Approval of New Fundamental Policy for Each Insured Fund |
41
Elimination of Insured Fundamental Policies Relating to Investments in Insured Municipal Securities (All Insured Funds) |
38
42
Approval of the New Insured Fundamental Policy Relating to Investments in Insured Municipal Securities (All Insured Funds) |
39
43
40
(c) | Elimination of Fundamental Policies Relating to Commodities (Insured California Premium Income and Insured California Premium Income 2) |
(d) | Approval of New Fundamental Policy Relating to Commodities (Insured California Premium Income and Insured California Premium Income 2) |
44
41
(e) | Elimination of Fundamental Policies Relating to Derivatives and Short Sales (Insured California Premium Income and Insured California Premium Income 2) |
45
42
Elimination of the Fundamental Policy Prohibiting Investment in Other Investment Companies |
46
43
47
4844
All Other Fees(3) | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Audit Fees(1) | Audit Related Fees | Tax Fees(2) | Adviser and | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Adviser and Adviser | Adviser and Adviser | Adviser | Adviser and Adviser | Adviser and Adviser | Adviser and Adviser | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Fund | Entities | Fund | Entities | Fund | Entities | Fund(1) | Fund(2) | Entities | Fund(3) | Entities | Fund(4) | Entities | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Floating Rate Income | $ | 63,484 | $ | 66,809 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 1,000 | $ | 0 | $ | 0 | $ | 1,650 | $ | 1,800 | $ | 0 | $ | 0 | $ | 66,809 | $ | 68,028 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 1,000 | $ | 0 | $ | 0 | $ | 0 | $ | 1,800 | $ | 10,000 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Floating Rate Income Opportunity | 45,923 | 48,236 | 0 | 0 | 0 | 0 | 0 | 1,000 | 0 | 0 | 1,650 | 1,800 | 0 | 0 | 48,236 | 49,347 | 0 | 0 | 0 | 0 | 1,000 | 0 | 0 | 0 | 1,800 | 10,000 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Senior Income | 36,092 | 37,955 | 0 | 0 | 0 | 0 | 0 | 1,000 | 0 | 0 | 6,750 | 7,400 | 0 | 0 | 37,955 | 35,625 | 0 | 0 | 0 | 0 | 1,000 | 0 | 0 | 0 | 7,400 | 16,000 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Tax-Advantaged Floating Rate | 22,700 | 24,000 | 0 | 0 | 0 | 0 | 0 | 1,000 | 0 | 0 | 1,650 | 1,800 | 0 | 0 | 24,000 | 24,000 | 0 | 0 | 0 | 0 | 1,000 | 0 | 0 | 0 | 1,800 | 2,000 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Arizona Dividend Advantage | 7,283 | 8,242 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | 8,242 | 8,264 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Arizona Dividend Advantage 2 | 7,817 | 8,847 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | 8,847 | 8,906 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Arizona Dividend Advantage 3 | 8,113 | 9,182 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | 9,182 | 9,229 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Arizona Premium Income | 8,834 | 10,005 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 10,005 | 10,109 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,300 | 3,400 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Dividend Advantage | 20,481 | 23,226 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 1,500 | 800 | 0 | 0 | 23,226 | 21,843 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Dividend Advantage 2 | 15,185 | 17,257 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 1,500 | 800 | 0 | 0 | 17,257 | 17,675 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Dividend Advantage 3 | 20,774 | 23,388 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 1,500 | 800 | 0 | 0 | 23,388 | 22,326 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Investment Quality | 14,772 | 16,795 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 16,795 | 16,482 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Market Opportunity | 11,483 | 12,998 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 12,998 | 12,970 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Value | 13,057 | 14,840 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 14,840 | 14,994 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Performance Plus | 14,382 | 16,280 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 16,280 | 16,334 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Premium Income | 9,702 | 11,006 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 1,500 | 800 | 0 | 0 | 11,006 | 11,182 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Quality Income | 20,177 | 23,024 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 23,024 | 23,119 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
California Select Quality | 20,740 | 23,540 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 23,540 | 23,133 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Insured California Dividend Advantage | 15,669 | 17,818 | 0 | 0 | 0 | 0 | 500 | �� | 0 | 0 | 0 | 2,300 | 800 | 0 | 0 | 17,818 | 18,156 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Insured California Premium Income | 10,157 | 11,604 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 11,604 | 11,946 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Insured California Premium Income 2 | 13,844 | 15,795 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | 15,795 | 15,647 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Insured California Tax-Free Advantage | 9,861 | 11,215 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Connecticut Dividend Advantage | 7,881 | 8,952 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Connecticut Dividend Advantage 2 | 7,733 | 8,780 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 |
4945
All Other Fees(3) | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Audit Fees(1) | Audit Related Fees | Tax Fees(2) | Adviser and | |||||||||||||||||||||||||||||||||||||||||||||||||||||
Adviser and Adviser | Adviser and Adviser | Adviser | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Fund | Entities | Fund | Entities | Fund | Entities | ||||||||||||||||||||||||||||||||||||||||||||||||||
Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | |||||||||||||||||||||||||||||||||||||||||||
Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | |||||||||||||||||||||||||||||||||||||||||||
Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | |||||||||||||||||||||||||||||||||||||||||||
2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | |||||||||||||||||||||||||||||||||||||||||||
Connecticut Dividend Advantage 3 | $ | 8,856 | $ | 10,064 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 500 | $ | 0 | $ | 0 | $ | 2,250 | $ | 800 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||
Connecticut Premium Income | 9,415 | 10,711 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Florida Investment Quality | 16,422 | 18,540 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Florida Quality Income | 15,188 | 17,212 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Insured Florida Premium Income | 15,099 | 17,114 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Insured Florida Tax-Free Advantage | 8,605 | 9,780 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Georgia Dividend Advantage | 7,521 | 8,537 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Georgia Dividend Advantage 2 | 8,973 | 10,173 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Georgia Premium Income | 8,561 | 9,723 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Dividend Advantage | 8,827 | 9,996 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Dividend Advantage 2 | 8,849 | 10,025 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Dividend Advantage 3 | 9,445 | 10,711 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Premium Income | 12,558 | 14,295 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Massachusetts Dividend Advantage | 7,527 | 8,530 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Massachusetts Premium Income | 9,097 | 10,330 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 7,949 | 9,032 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Michigan Dividend Advantage | 7,599 | 8,603 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Michigan Premium Income | 10,881 | 12,343 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Michigan Quality Income | 13,548 | 15,368 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 3,100 | 3,300 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Missouri Premium Income | 7,655 | 8,656 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Dividend Advantage | 10,223 | 11,592 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Dividend Advantage 2 | 9,081 | 10,274 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Investment Quality | 18,649 | 21,228 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,300 | 3,250 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Premium Income | 13,582 | 15,464 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,300 | 3,250 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
North Carolina Dividend Advantage | 7,694 | 8,727 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
North Carolina Dividend Advantage 2 | 8,567 | 9,723 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
North Carolina Dividend Advantage 3 | 8,599 | 9,767 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
North Carolina Premium Income | 10,015 | 11,371 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 |
Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||||||||||||||||||||||||||
Adviser and Adviser | Adviser and Adviser | Adviser and Adviser | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund(1) | Fund(2) | Entities | Fund(3) | Entities | Fund(4) | Entities | ||||||||||||||||||||||||||||||||||||||||||||||||||
Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | |||||||||||||||||||||||||||||||||||||||||||
Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | |||||||||||||||||||||||||||||||||||||||||||
Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | |||||||||||||||||||||||||||||||||||||||||||
2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | |||||||||||||||||||||||||||||||||||||||||||
Insured California Tax-Free Advantage | $ | 11,215 | $ | 11,059 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 800 | $ | 850 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||
Connecticut Dividend Advantage | 8,952 | 9,100 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Connecticut Dividend Advantage 2 | 8,780 | 8,916 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Connecticut Dividend Advantage 3 | 10,064 | 10,292 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Connecticut Premium Income | 10,711 | 10,967 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Georgia Dividend Advantage | 8,537 | 8,643 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Georgia Dividend Advantage 2 | 10,173 | 10,345 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Georgia Premium Income | 9,723 | 9,902 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Dividend Advantage | 9,996 | 10,090 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Dividend Advantage 2 | 10,025 | 10,120 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Dividend Advantage 3 | 10,711 | 10,899 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Maryland Premium Income | 14,295 | 14,742 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Massachusetts Dividend Advantage | 8,530 | 8,597 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Massachusetts Premium Income | 10,330 | 10,495 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 9,032 | 9,197 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Michigan Dividend Advantage | 8,603 | 8,641 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Michigan Premium Income | 12,343 | 12,753 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Michigan Quality Income | 15,368 | 15,986 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Missouri Premium Income | 8,656 | 8,718 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Dividend Advantage | 11,592 | 11,738 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Dividend Advantage 2 | 10,274 | 10,310 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Investment Quality | 21,228 | 21,756 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,250 | 3,400 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
New Jersey Premium Income | 15,464 | 16,100 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,250 | 3,400 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
North Carolina Dividend Advantage | 8,727 | 8,908 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
North Carolina Dividend Advantage 2 | 9,723 | 9,992 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 |
5046
All Other Fees(3) | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Audit Fees(1) | Audit Related Fees | Tax Fees(2) | Adviser and | |||||||||||||||||||||||||||||||||||||||||||||||||||||
Adviser and Adviser | Adviser and Adviser | Adviser | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Fund | Entities | Fund | Entities | Fund | Entities | ||||||||||||||||||||||||||||||||||||||||||||||||||
Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | |||||||||||||||||||||||||||||||||||||||||||
Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | |||||||||||||||||||||||||||||||||||||||||||
Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | |||||||||||||||||||||||||||||||||||||||||||
2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | 2007 | 2008 | |||||||||||||||||||||||||||||||||||||||||||
Ohio Dividend Advantage | $ | 8,867 | $ | 10,057 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 500 | $ | 0 | $ | 0 | $ | 1,500 | $ | 800 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||
Ohio Dividend Advantage 2 | 8,219 | 9,309 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Ohio Dividend Advantage 3 | 7,658 | 8,685 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Ohio Quality Income | 12,520 | 14,208 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 3,100 | 3,300 | 0 | |||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Dividend Advantage | 8,358 | 9,462 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 8,608 | 9,754 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Investment Quality | 16,322 | 18,476 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 15,560 | 17,550 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Texas Quality Income | 11,964 | 13,557 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 1,500 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Virginia Dividend Advantage | 8,237 | 9,306 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Virginia Dividend Advantage 2 | 9,757 | 11,022 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Virginia Premium Income | 11,566 | 13,122 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 2,250 | 800 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||||||||||||||||||||||||||
Adviser and Adviser | Adviser and Adviser | Adviser and Adviser | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund(1) | Fund(2) | Entities | Fund(3) | Entities | Fund(4) | Entities | ||||||||||||||||||||||||||||||||||||||||||||||||||
Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | Fiscal | |||||||||||||||||||||||||||||||||||||||||||
Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | Year | |||||||||||||||||||||||||||||||||||||||||||
Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | Ended | |||||||||||||||||||||||||||||||||||||||||||
2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | 2008 | 2009 | |||||||||||||||||||||||||||||||||||||||||||
North Carolina Dividend Advantage 3 | $ | 9,767 | $ | 10,041 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 500 | $ | 0 | $ | 0 | $ | 0 | $ | 800 | $ | 850 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||
North Carolina Premium Income | 11,371 | 11,772 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Ohio Dividend Advantage | 10,057 | 10,325 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Ohio Dividend Advantage 2 | 9,309 | 9,452 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Ohio Dividend Advantage 3 | 8,685 | 8,832 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Ohio Quality Income | 14,208 | 14,823 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 3,300 | 1,700 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Dividend Advantage | 9,462 | 9,532 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 9,754 | 9,886 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Investment Quality | 18,476 | 18,743 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 17,550 | 17,824 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Texas Quality Income | 13,557 | 14,008 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Virginia Dividend Advantage | 9,306 | 9,292 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Virginia Dividend Advantage 2 | 11,022 | 11,197 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Virginia Premium Income | 13,122 | 13,515 | 0 | 0 | 0 | 0 | 500 | 0 | 0 | 0 | 800 | 850 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
(1) | “Audit Fees” are the aggregate fees billed for professional services for the audit of the Fund’s annual financial statements and services provided in connection with statutory and regulatory filings or engagements. |
(2) | “Audit Related Fees” are the aggregate fees billed for assurance and related services reasonably related to the performance of audit or review of financial statements and are not reported under “Audit Fees.” |
(3) | “Tax Fees” are the aggregate fees billed for professional services for tax advice, tax compliance and tax planning. |
“All Other Fees” are the aggregate fees billed for products and services foragreed-upon procedures engagements for the leveraged Funds. |
5147
Total Non-Audit Fees | ||||||||||||||||||||||||||||||||
Billed to Adviser and | ||||||||||||||||||||||||||||||||
Adviser Entities | ||||||||||||||||||||||||||||||||
(Engagements Related | Total Non-Audit Fees | |||||||||||||||||||||||||||||||
Directly to the Operations | Billed to Adviser and | |||||||||||||||||||||||||||||||
Total Non-Audit Fees | and Financial Reporting | Adviser Entities (All Other | ||||||||||||||||||||||||||||||
Fund | Billed to Fund | of Fund) | Engagements) | Total | ||||||||||||||||||||||||||||
Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | |||||||||||||||||||||||||
Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | |||||||||||||||||||||||||
Floating Rate Income | $ | 1,650 | $ | 2,800 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 1,650 | $ | 2,800 | ||||||||||||||||
Floating Rate Income Opportunity | 1,650 | 2,800 | 0 | 0 | 0 | 0 | 1,650 | 2,800 | ||||||||||||||||||||||||
Senior Income | 6,750 | 8,400 | 0 | 0 | 0 | 0 | 6,750 | 8,400 | ||||||||||||||||||||||||
Tax-Advantaged Floating Rate | 1,650 | 2,800 | 0 | 0 | 0 | 0 | 1,650 | 2,800 | ||||||||||||||||||||||||
Arizona Dividend Advantage | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Arizona Dividend Advantage 2 | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Arizona Dividend Advantage 3 | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Arizona Premium Income | 3,100 | 3,800 | 0 | 0 | 0 | 0 | 3,100 | 3,800 | ||||||||||||||||||||||||
California Dividend Advantage | 2,000 | 800 | 0 | 0 | 0 | 0 | 2,000 | 800 | ||||||||||||||||||||||||
California Dividend Advantage 2 | 2,000 | 800 | 0 | 0 | 0 | 0 | 2,000 | 800 | ||||||||||||||||||||||||
California Dividend Advantage 3 | 2,000 | 800 | 0 | 0 | 0 | 0 | 2,000 | 800 | ||||||||||||||||||||||||
California Investment Quality | 3,600 | 3,300 | 0 | 0 | 0 | 0 | 3,600 | 3,300 | ||||||||||||||||||||||||
California Market Opportunity | 3,600 | 3,300 | 0 | 0 | 0 | 0 | 3,600 | 3,300 | ||||||||||||||||||||||||
California Value | 500 | 0 | 0 | 0 | 0 | 0 | 500 | 0 | ||||||||||||||||||||||||
California Performance Plus | 3,600 | 3,300 | 0 | 0 | 0 | 0 | 3,600 | 3,300 | ||||||||||||||||||||||||
California Premium Income | 2,000 | 800 | 0 | 0 | 0 | 0 | 2,000 | 800 | ||||||||||||||||||||||||
California Quality Income | 3,600 | 3,300 | 0 | 0 | 0 | 0 | 3,600 | 3,300 | ||||||||||||||||||||||||
California Select Quality | 3,600 | 3,300 | 0 | 0 | 0 | 0 | 3,600 | 3,300 | ||||||||||||||||||||||||
Insured California Dividend Advantage | 2,800 | 800 | 0 | 0 | 0 | 0 | 2,800 | 800 | ||||||||||||||||||||||||
Insured California Premium Income | 3,600 | 3,300 | 0 | 0 | 0 | 0 | 3,600 | 3,300 | ||||||||||||||||||||||||
Insured California Premium Income 2 | 3,600 | 3,300 | 0 | 0 | 0 | 0 | 3,600 | 3,300 | ||||||||||||||||||||||||
Insured California Tax-Free Advantage | 2,000 | 800 | 0 | 0 | 0 | 0 | 2,000 | 800 | ||||||||||||||||||||||||
Connecticut Dividend Advantage | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 |
Total Non-Audit Fees | ||||||||||||||||||||||||||||||||
Billed to Adviser and | ||||||||||||||||||||||||||||||||
Adviser Entities | ||||||||||||||||||||||||||||||||
(Engagements Related | Total Non-Audit Fees | |||||||||||||||||||||||||||||||
Directly to the Operations | Billed to Adviser and | |||||||||||||||||||||||||||||||
Total Non-Audit Fees | and Financial Reporting | Adviser Entities (All Other | ||||||||||||||||||||||||||||||
Fund | Billed to Fund | of Fund) | Engagements) | Total | ||||||||||||||||||||||||||||
Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | |||||||||||||||||||||||||
Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | |||||||||||||||||||||||||
Floating Rate Income | $ | 2,800 | $ | 10,000 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 2,800 | $ | 10,000 | ||||||||||||||||
Floating Rate Income Opportunity | 2,800 | 10,000 | 0 | 0 | 0 | 0 | 2,800 | 10,000 | ||||||||||||||||||||||||
Senior Income | 8,400 | 16,000 | 0 | 0 | 0 | 0 | 8,400 | 16,000 | ||||||||||||||||||||||||
Tax-Advantaged Floating Rate | 2,800 | 2,000 | 0 | 0 | 0 | 0 | 2,800 | 2,000 | ||||||||||||||||||||||||
Arizona Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Arizona Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Arizona Dividend Advantage 3 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Arizona Premium Income | 3,800 | 3,400 | 0 | 0 | 0 | 0 | 3,800 | 3,400 | ||||||||||||||||||||||||
California Dividend Advantage | 800 | 850 | 0 | 0 | 0 | 0 | 800 | 850 | ||||||||||||||||||||||||
California Dividend Advantage 2 | 800 | 850 | 0 | 0 | 0 | 0 | 800 | 850 | ||||||||||||||||||||||||
California Dividend Advantage 3 | 800 | 850 | 0 | 0 | 0 | 0 | 800 | 850 | ||||||||||||||||||||||||
California Investment Quality | 3,300 | 1,700 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | ||||||||||||||||||||||||
California Market Opportunity | 3,300 | 1,700 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | ||||||||||||||||||||||||
California Value | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||
California Performance Plus | 3,300 | 1,700 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | ||||||||||||||||||||||||
California Premium Income | 800 | 850 | 0 | 0 | 0 | 0 | 800 | 850 | ||||||||||||||||||||||||
California Quality Income | 3,300 | 1,700 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | ||||||||||||||||||||||||
California Select Quality | 3,300 | 1,700 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | ||||||||||||||||||||||||
Insured California Dividend Advantage | 800 | 850 | 0 | 0 | 0 | 0 | 800 | 850 | ||||||||||||||||||||||||
Insured California Premium Income | 3,300 | 1,700 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | ||||||||||||||||||||||||
Insured California Premium Income 2 | 3,300 | 1,700 | 0 | 0 | 0 | 0 | 3,300 | 1,700 | ||||||||||||||||||||||||
Insured California Tax-Free Advantage | 800 | 850 | 0 | 0 | 0 | 0 | 800 | 850 |
5248
Total Non-Audit Fees | ||||||||||||||||||||||||||||||||
Billed to Adviser and | ||||||||||||||||||||||||||||||||
Adviser Entities | ||||||||||||||||||||||||||||||||
(Engagements Related | Total Non-Audit Fees | |||||||||||||||||||||||||||||||
Directly to the Operations | Billed to Adviser and | |||||||||||||||||||||||||||||||
Total Non-Audit Fees | and Financial Reporting | Adviser Entities (All Other | ||||||||||||||||||||||||||||||
Fund | Billed to Fund | of Fund) | Engagements) | Total | ||||||||||||||||||||||||||||
Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | |||||||||||||||||||||||||
Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | |||||||||||||||||||||||||
Connecticut Dividend Advantage 2 | $ | 2,250 | $ | 1,300 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 2,250 | $ | 1,300 | ||||||||||||||||
Connecticut Dividend Advantage 3 | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Connecticut Premium Income | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Florida Investment Quality | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Florida Quality Income | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Insured Florida Premium Income | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Insured Florida Tax-Free Advantage | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Georgia Dividend Advantage | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Georgia Dividend Advantage 2 | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Georgia Premium Income | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Maryland Dividend Advantage | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Maryland Dividend Advantage 2 | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Maryland Dividend Advantage 3 | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Maryland Premium Income | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Massachusetts Dividend Advantage | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Massachusetts Premium Income | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Michigan Dividend Advantage | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Michigan Premium Income | 3,100 | 3,800 | 0 | 0 | 0 | 0 | 3,100 | 3,800 | ||||||||||||||||||||||||
Michigan Quality Income | 3,100 | 3,800 | 0 | 0 | 0 | 0 | 3,100 | 3,800 | ||||||||||||||||||||||||
Missouri Premium Income | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
New Jersey Dividend Advantage | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
New Jersey Dividend Advantage 2 | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
New Jersey Investment Quality | 2,300 | 3,750 | 0 | 0 | 0 | 0 | 2,300 | 3,750 | ||||||||||||||||||||||||
New Jersey Premium Income | 2,300 | 3,750 | 0 | 0 | 0 | 0 | 2,300 | 3,750 | ||||||||||||||||||||||||
North Carolina Dividend Advantage | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 |
Total Non-Audit Fees | ||||||||||||||||||||||||||||||||
Billed to Adviser and | ||||||||||||||||||||||||||||||||
Adviser Entities | ||||||||||||||||||||||||||||||||
(Engagements Related | Total Non-Audit Fees | |||||||||||||||||||||||||||||||
Directly to the Operations | Billed to Adviser and | |||||||||||||||||||||||||||||||
Total Non-Audit Fees | and Financial Reporting | Adviser Entities (All Other | ||||||||||||||||||||||||||||||
Fund | Billed to Fund | of Fund) | Engagements) | Total | ||||||||||||||||||||||||||||
Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | |||||||||||||||||||||||||
Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | |||||||||||||||||||||||||
Connecticut Dividend Advantage | $ | 1,300 | $ | 850 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 1,300 | $ | 850 | ||||||||||||||||
Connecticut Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Connecticut Dividend Advantage 3 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Connecticut Premium Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Georgia Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Georgia Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Georgia Premium Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Maryland Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Maryland Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Maryland Dividend Advantage 3 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Maryland Premium Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Massachusetts Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Massachusetts Premium Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Michigan Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Michigan Premium Income | 3,800 | 1,700 | 0 | 0 | 0 | 0 | 3,800 | 1,700 | ||||||||||||||||||||||||
Michigan Quality Income | 3,800 | 1,700 | 0 | 0 | 0 | 0 | 3,800 | 1,700 | ||||||||||||||||||||||||
Missouri Premium Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
New Jersey Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
New Jersey Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
New Jersey Investment Quality | 3,750 | 3,400 | 0 | 0 | 0 | 0 | 3,750 | 3,400 | ||||||||||||||||||||||||
New Jersey Premium Income | 3,750 | 3,400 | 0 | 0 | 0 | 0 | 3,750 | 3,400 | ||||||||||||||||||||||||
North Carolina Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
North Carolina Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
North Carolina Dividend Advantage 3 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
North Carolina Premium Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 |
5349
Total Non-Audit Fees | ||||||||||||||||||||||||||||||||
Billed to Adviser and | ||||||||||||||||||||||||||||||||
Adviser Entities | ||||||||||||||||||||||||||||||||
(Engagements Related | Total Non-Audit Fees | |||||||||||||||||||||||||||||||
Directly to the Operations | Billed to Adviser and | |||||||||||||||||||||||||||||||
Total Non-Audit Fees | and Financial Reporting | Adviser Entities (All Other | ||||||||||||||||||||||||||||||
Fund | Billed to Fund | of Fund) | Engagements) | Total | ||||||||||||||||||||||||||||
Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | |||||||||||||||||||||||||
Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | Ended 2007 | Ended 2008 | |||||||||||||||||||||||||
North Carolina Dividend Advantage 2 | $ | 2,250 | $ | 1,300 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 2,250 | $ | 1,300 | ||||||||||||||||
North Carolina Dividend Advantage 3 | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
North Carolina Premium Income | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Ohio Dividend Advantage | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Ohio Dividend Advantage 2 | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Ohio Dividend Advantage 3 | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Ohio Quality Income | 3,100 | 3,800 | 0 | 0 | 0 | 0 | 3,100 | 3,800 | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Pennsylvania Investment Quality | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Texas Quality Income | 1,500 | 1,300 | 0 | 0 | 0 | 0 | 1,500 | 1,300 | ||||||||||||||||||||||||
Virginia Dividend Advantage | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Virginia Dividend Advantage 2 | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 | ||||||||||||||||||||||||
Virginia Premium Income | 2,250 | 1,300 | 0 | 0 | 0 | 0 | 2,250 | 1,300 |
Total Non-Audit Fees | ||||||||||||||||||||||||||||||||
Billed to Adviser and | ||||||||||||||||||||||||||||||||
Adviser Entities | ||||||||||||||||||||||||||||||||
(Engagements Related | Total Non-Audit Fees | |||||||||||||||||||||||||||||||
Directly to the Operations | Billed to Adviser and | |||||||||||||||||||||||||||||||
Total Non-Audit Fees | and Financial Reporting | Adviser Entities (All Other | ||||||||||||||||||||||||||||||
Fund | Billed to Fund | of Fund) | Engagements) | Total | ||||||||||||||||||||||||||||
Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | Fiscal Year | |||||||||||||||||||||||||
Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | Ended 2008 | Ended 2009 | |||||||||||||||||||||||||
Ohio Dividend Advantage | $ | 1,300 | $ | 850 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 1,300 | $ | 850 | ||||||||||||||||
Ohio Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Ohio Dividend Advantage 3 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Ohio Quality Income | 3,800 | 1,700 | 0 | 0 | 0 | 0 | 3,800 | 1,700 | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Pennsylvania Investment Quality | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Pennsylvania Premium Income 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Texas Quality Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Virginia Dividend Advantage | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Virginia Dividend Advantage 2 | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 | ||||||||||||||||||||||||
Virginia Premium Income | 1,300 | 850 | 0 | 0 | 0 | 0 | 1,300 | 850 |
5450
51
55
5652
53
57
5854
Floating | Tax- | |||||||||||||||||||||||
Floating | Rate | Advantaged | Arizona | Arizona | ||||||||||||||||||||
Board Member | Rate | Income | Senior | Floating | Dividend | Dividend | ||||||||||||||||||
Nominees | Income | Opportunity | Income | Rate | Advantage | Advantage 2 | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | $10,001- 50,000 | $0 | $50,001- 100,000 | $0 | $0 | $0 | ||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Terence J. Toth(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Floating | Tax- | |||||||||||||||||||||||||||||||||||||||||||||||
Arizona | Arizona | California | California | California | California | Floating | Rate | Advantaged | Arizona | Arizona | ||||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Premium | Dividend | Dividend | Dividend | Investment | Rate | Income | Senior | Floating | Dividend | Dividend | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage 3 | Income | Advantage | Advantage 2 | Advantage 3 | Quality | Income | Opportunity | Income | Rate | Advantage | Advantage 2 | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | $1-$10,000 | $0 | $10,001-$50,000 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | $0 | $0 | $0 | $10,001-$50,000 | $0 | $0 |
Arizona | Arizona | California | California | California | California | |||||||||||||||||||
Board Member | Dividend | Premium | Premium | Dividend | Dividend | Investment | ||||||||||||||||||
Nominees | Advantage 3 | Income | Advantage | Advantage 2 | Advantage 3 | Quality | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Terence J. Toth | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
A-1
Dollar Range of Equity Securities | ||||||||||||||||||||||||
California | California | California | California | California | ||||||||||||||||||||
Board Member | Market | California | Performance | Premium | Quality | Select | ||||||||||||||||||
Nominees | Opportunity | Value | Plus | Income | Income | Quality | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Terence J. Toth(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Dollar Range of Equity Securities | ||||||||||||||||||||||||
California | California | California | California | California | ||||||||||||||||||||
Board Member | Market | California | Performance | Premium | Quality | Select | ||||||||||||||||||
Nominees | Opportunity | Value | Plus | Income | Income | Quality | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Terence J. Toth | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Insured | Insured | Insured | Insured | |||||||||||||||||||||
California | California | California | California | Connecticut | Connecticut | |||||||||||||||||||
Board Member | Dividend | Premium | Premium | Tax-Free | Dividend | Dividend | ||||||||||||||||||
Nominees | Advantage | Income | Income 2 | Advantage | Advantage | Advantage 2 | ||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Terence J. Toth(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Insured | Insured | Insured | Insured | |||||||||||||||||||||
California | California | California | California | Connecticut | Connecticut | |||||||||||||||||||
Board Member | Dividend | Premium | Premium | Tax-Free | Dividend | Dividend | ||||||||||||||||||
Nominees | Advantage | Income | Income 2 | Advantage | Advantage | Advantage 2 | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Terence J. Toth | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
A-2
Dollar Range of Equity Securities | ||||||||||||||||||||||||
Insured | ||||||||||||||||||||||||
Florida | ||||||||||||||||||||||||
Connecticut | Connecticut | Florida | Florida | Insured | Tax- | |||||||||||||||||||
Board Member | Dividend | Premium | Investment | Quality | Florida | Free | ||||||||||||||||||
Nominees | Advantage 3 | Income | Quality | Income | Premium Income | Advantage | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Jack B. Evans | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William C. Hunter | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
David J. Kundert | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William J. Schneider | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Judith M. Stockdale | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Carole E. Stone | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Terence J. Toth(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Dollar Range of Equity Securities | ||||||||||||||||||||||||
Connecticut | Connecticut | Georgia | Georgia | Georgia | Maryland | |||||||||||||||||||
Board Member | Dividend | Premium | Dividend | Dividend | Premium | Dividend | ||||||||||||||||||
Nominees | Advantage 3 | Income | Advantage | Advantage 2 | Income | Advantage | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Terence J. Toth | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Insured | ||||||||||||||||||||||||||||||||||||||||||||||||
Georgia | Georgia | Georgia | Maryland | Maryland | Maryland | Maryland | Maryland | Maryland | Massachusetts | Massachusetts | Massachusetts | |||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Dividend | Premium | Dividend | Dividend | Dividend | Dividend | Dividend | Premium | Dividend | Premium | Tax-Free | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage | Advantage 2 | Income | Advantage | Advantage 2 | Advantage 3 | Advantage 2 | Advantage 3 | Income | Advantage | Income | Advantage | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||
Jack B. Evans | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||
William C. Hunter | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||
David J. Kundert | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||
William J. Schneider | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||
Judith M. Stockdale | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||
Carole E. Stone | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||
Terence J. Toth(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||||||||||||||||||||||||||
John P. Amboian | $0 | $0 | $0 | $0 | $0 | $0 |
A-3
Dollar Range of Equity Securities | ||||||||||||||||||||||||
Michigan | Michigan | Michigan | Missouri | New Jersey | New Jersey | |||||||||||||||||||
Dividend | Premium | Quality | Premium | Dividend | Dividend | |||||||||||||||||||
Advantage | Income | Income | Income | Advantage | Advantage 2 | |||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Jack B. Evans | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William C. Hunter | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
David J. Kundert | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William J. Schneider | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Judith M. Stockdale | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Carole E. Stone | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Terence J. Toth | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
North | North | North | North | |||||||||||||||||||||
New Jersey | New Jersey | Carolina | Carolina | Carolina | Carolina | |||||||||||||||||||
Board Member | Investment | Premium | Dividend | Dividend | Dividend | Premium | ||||||||||||||||||
Nominees | Quality | Income | Advantage | Advantage 2 | Advantage 3 | Income | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Jack B. Evans | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William C. Hunter | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
David J. Kundert | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William J. Schneider | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Judith M. Stockdale | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Carole E. Stone | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Terence J. Toth | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
A-4
Dollar Range of Equity Securities | ||||||||||||||||||||||||
Ohio | Ohio | Ohio | Ohio | Pennsylvania | Pennsylvania | |||||||||||||||||||
Board Member | Dividend | Dividend | Dividend | Quality | Dividend | Dividend | ||||||||||||||||||
Nominees | Advantage | Advantage 2 | Advantage 3 | Income | Advantage | Advantage 2 | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Jack B. Evans | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William C. Hunter | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
David J. Kundert | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William J. Schneider | $ | 0 | $ | 0 | $ | 0 | $ | 1-$10,000 | $ | 0 | $ | 0 | ||||||||||||
Judith M. Stockdale | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Carole E. Stone | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Terence J. Toth | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Dollar Range of Equity Securities | ||||||||||||||||||||||||||||
Aggregate Dollar | ||||||||||||||||||||||||||||
Range of Equity | ||||||||||||||||||||||||||||
Securities in All | ||||||||||||||||||||||||||||
Registered | ||||||||||||||||||||||||||||
Investment | ||||||||||||||||||||||||||||
Companies | ||||||||||||||||||||||||||||
Overseen by | ||||||||||||||||||||||||||||
Board Member | ||||||||||||||||||||||||||||
Nominees in | ||||||||||||||||||||||||||||
Pennsylvania | Pennsylvania | Texas | Virginia | Virginia | Virginia | Family of | ||||||||||||||||||||||
Board Member | Investment | Premium | Quality | Dividend | Dividend | Premium | Investment | |||||||||||||||||||||
Nominees | Quality | Income 2 | Income | Advantage | Advantage 2 | Income | Companies(1) | |||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
Jack B. Evans | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
William C. Hunter | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
David J. Kundert | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
William J. Schneider | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
Judith M. Stockdale | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
Carole E. Stone | $0 | $0 | $0 | $0 | $0 | $0 | $50,001-$100,000 | |||||||||||||||||||||
Terence J. Toth | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
Board Member/Nominee who is an interested persons of the Funds | ||||||||||||||||||||||||||||
John P. Amboian | $0 | $0 | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||||||||
(1) |
A-3
Insured | ||||||||||||||||||||||||
Massachusetts | ||||||||||||||||||||||||
Maryland | Massachusetts | Massachusetts | Tax- | Michigan | Michigan | |||||||||||||||||||
Board Member | Premium | Dividend | Premium | Free | Dividend | Premium | ||||||||||||||||||
Nominees | Income | Advantage | Income | Advantage | Advantage | Income | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Jack B. Evans | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William C. Hunter | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
David J. Kundert | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William J. Schneider | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Judith M. Stockdale | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Carole E. Stone | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Terence J. Toth(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
New | New | New | New | |||||||||||||||||||||
Michigan | Missouri | Jersey | Jersey | Jersey | Jersey | |||||||||||||||||||
Board Member | Quality | Premium | Dividend | Dividend | Investment | Premium | ||||||||||||||||||
Nominees | Income | Income | Advantage | Advantage 2 | Quality | Income | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Jack B. Evans | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William C. Hunter | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
David J. Kundert | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
William J. Schneider | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Judith M. Stockdale | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Carole E. Stone | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Terence J. Toth(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
A-4
Dollar Range of Equity Securities | ||||||||||||||||||||||||
North | North | North | North | |||||||||||||||||||||
Carolina | Carolina | Carolina | Carolina | Ohio | Ohio | |||||||||||||||||||
Board Member | Dividend | Dividend | Dividend | Premium | Dividend | Dividend | ||||||||||||||||||
Nominees | Advantage | Advantage 2 | Advantage 3 | Income | Advantage | Advantage 2 | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Terence J. Toth(1) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Dollar Range of Equity Securities | ||||||||||||||||||||||||
Ohio | Ohio | Pennsylvania | Pennsylvania | Pennsylvania | Pennsylvania | |||||||||||||||||||
Board Member | Dividend | Quality | Dividend | Dividend | Investment | Premium | ||||||||||||||||||
Nominees | Advantage 3 | Income | Advantage | Advantage 2 | Quality | Income 2 | ||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
William J. Schneider | 50,001- | |||||||||||||||||||||||
0 | 100,000 | 0 | 0 | 0 | 0 | |||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Terence J. Toth(1) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||
John P. Amboian(1) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
A-5
Dollar Range of Equity Securities | ||||||||||||||||||||
Aggregate Dollar | ||||||||||||||||||||
Range of Equity | ||||||||||||||||||||
Securities in All | ||||||||||||||||||||
Registered | ||||||||||||||||||||
Investment | ||||||||||||||||||||
Companies | ||||||||||||||||||||
Overseen by | ||||||||||||||||||||
Board Member | ||||||||||||||||||||
Nominees in | ||||||||||||||||||||
Texas | Virginia | Virginia | Virginia | Family of | ||||||||||||||||
Board Member | Quality | Dividend | Dividend | Premium | Investment | |||||||||||||||
Nominees | Income | Advantage | Advantage 2 | Income | Companies(2) | |||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||
Robert P. Bremner | $0 | $0 | $0 | $0 | Over $100,000 | |||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | Over $100,000 | |||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | Over $100,000 | |||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | Over $100,000 | |||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | Over $100,000 | |||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | Over $100,000 | |||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | $10,001-50,000 | |||||||||||||||
Terence J. Toth(1) | 0 | 0 | 0 | 0 | 0 | |||||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||
John P. Amboian(1) | 0 | 0 | 0 | 0 | Over $100,000 | |||||||||||||||
The amounts reflect the aggregate dollar range of equity securities and the number of shares beneficially owned by the Board Member in the Funds and in all Nuveen funds overseen by the Board Member. |
A-6A-5
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||||||||||||||||||||||||||||||||
Tax- | ||||||||||||||||||||||||||||||||||||||||||||||||
Floating | Floating | Tax- | Arizona | Arizona | Floating | Floating | Advantaged | Arizona | Arizona | |||||||||||||||||||||||||||||||||||||||
Board Member | Rate | Rate Income | Senior | Advantaged | Dividend | Dividend | Rate | Rate Income | Senior | Floating | Dividend | Dividend | ||||||||||||||||||||||||||||||||||||
Nominees | Income | Opportunity | Income | Floating Rate | Advantage | Advantage 2 | Income | Opportunity | Income | Rate | Advantage | Advantage 2 | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 1,600 | 0 | 10,000 | 0 | 0 | 0 | 1,600 | 0 | 10,000 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 15,000 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 1,600 | 0 | 10,000 | 0 | 0 | 0 | 1,600 | 0 | 10,000 | 15,000 | 0 | 0 |
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||||||||||||||||||||||||||||||||
Arizona | Arizona | California | California | California | California | Arizona | Arizona | California | California | California | California | |||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Premium | Dividend | Dividend | Dividend | Investment | Dividend | Premium | Dividend | Dividend | Dividend | Investment | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage 3 | Income | Advantage | Advantage 2 | Advantage 3 | Quality | Advantage 3 | Income | Advantage | Advantage 2 | Advantage 3 | Quality | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
(1) | The numbers include share equivalents of certain Nuveen funds in which the Board Member is deemed to be invested pursuant to the Deferred Compensation Plan. |
A-7A-6
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||||||||||||||||||||||||||||||||
California | California | California | California | California | California | California | California | California | California | |||||||||||||||||||||||||||||||||||||||
Board Member | Market | California | Performance | Premium | Quality | Select | Market | California | Performance | Premium | Quality | Select | ||||||||||||||||||||||||||||||||||||
Nominees | Opportunity | Value | Plus | Income | Income | Quality | Opportunity | Value | Plus | Income | Income | Quality | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||||||||||||||||||||||||||||||||
Insured | Insured | Insured | Insured | Insured | Insured | Insured | Insured | |||||||||||||||||||||||||||||||||||||||||
California | California | California | California | Connecticut | Connecticut | California | California | California | California | Connecticut | Connecticut | |||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Premium | Premium | Tax-Free | Dividend | Dividend | Dividend | Premium | Premium | Tax-Free | Dividend | Dividend | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage | Income | Income 2 | Advantage | Advantage | Advantage 2 | Advantage | Income | Income 2 | Advantage | Advantage | Advantage 2 | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
(1) | The numbers include share equivalents of certain Nuveen funds in which the Board Member is deemed to be invested pursuant to the Deferred Compensation Plan. |
A-8A-7
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||||||||||||||||||||||||||||||||
Insured | Insured | |||||||||||||||||||||||||||||||||||||||||||||||
Connecticut | Connecticut | Florida | Florida | Florida | Florida | Connecticut | Connecticut | Georgia | Georgia | Georgia | Maryland | |||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Premium | Investment | Quality | Premium | Tax-Free | Dividend | Premium | Dividend | Dividend | Premium | Dividend | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage 3 | Income | Quality | Income | Income | Advantage | Advantage 3 | Income | Advantage | Advantage 2 | Income | Advantage | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Insured | ||||||||||||||||||||||||||||||||||||||||||||||||
Georgia | Georgia | Georgia | Maryland | Maryland | Maryland | Maryland | Maryland | Maryland | Massachusetts | Massachusetts | Massachusetts | |||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Dividend | Premium | Dividend | Dividend | Dividend | Dividend | Dividend | Premium | Dividend | Premium | Tax-Free | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage | Advantage 2 | Income | Advantage | Advantage 2 | Advantage 3 | Advantage 2 | Advantage 3 | Income | Advantage | Income | Advantage | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
(1) | The numbers include share equivalents of certain Nuveen funds in which the Board Member is deemed to be invested pursuant to the Deferred Compensation Plan. |
A-9A-8
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||||||||||||||||||||||||||||||||
Insured | ||||||||||||||||||||||||||||||||||||||||||||||||
Maryland | Massachusetts | Massachusetts | Massachusetts | Michigan | Michigan | Michigan | Michigan | Michigan | Missouri | New Jersey | New Jersey | |||||||||||||||||||||||||||||||||||||
Board Member | Premium | Dividend | Premium | Tax-Free | Dividend | Premium | Dividend | Premium | Quality | Premium | Dividend | Dividend | ||||||||||||||||||||||||||||||||||||
Nominees | Income | Advantage | Income | Advantage | Advantage | Income | Advantage | Income | Income | Income | Advantage | Advantage 2 | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
North | North | North | North | |||||||||||||||||||||||||||||||||||||||||||||
Michigan | Missouri | New Jersey | New Jersey | New Jersey | New Jersey | New Jersey | Carolina | Carolina | Carolina | Carolina | ||||||||||||||||||||||||||||||||||||||
Board Member | Quality | Premium | Dividend | Dividend | New Jersey | Premium | Investment | Premium | Dividend | Dividend | Dividend | Premium | ||||||||||||||||||||||||||||||||||||
Nominees | Income | Income | Advantage | Advantage 2 | Investment Quality | Income | Quality | Income | Advantage | Advantage 2 | Advantage 3 | Income | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
(1) | The numbers include share equivalents of certain Nuveen funds in which the Board Member is deemed to be invested pursuant to the Deferred Compensation Plan. |
A-10A-9
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||||||||||||||||||||||||||||||||
North | North | North | North | |||||||||||||||||||||||||||||||||||||||||||||
Carolina | Carolina | Carolina | Carolina | Ohio | Ohio | Ohio | Ohio | Ohio | Ohio | Pennsylvania | Pennsylvania | |||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Dividend | Dividend | Premium | Dividend | Dividend | Dividend | Dividend | Dividend | Quality | Dividend | Dividend | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage | Advantage 2 | Advantage 3 | Income | Advantage | Advantage 2 | Advantage | Advantage 2 | Advantage 3 | Income | Advantage | Advantage 2 | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 57 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 57 | 0 | 0 |
Fund Shares Owned By Board Members And Officers(1) | Fund Shares Owned By Board Members And Officers(1) | |||||||||||||||||||||||||||||||||||||||||||||||
Ohio | Ohio | Pennsylvania | Pennsylvania | Pennsylvania | Pennsylvania | Pennsylvania | Pennsylvania | Texas | Virginia | Virginia | Virginia | |||||||||||||||||||||||||||||||||||||
Board Member | Dividend | Quality | Dividend | Dividend | Investment | Premium | Investment | Premium | Quality | Dividend | Dividend | Premium | ||||||||||||||||||||||||||||||||||||
Nominees | Advantage 3 | Income | Advantage | Advantage 2 | Quality | Income 2 | Quality | Income 2 | Income | Advantage | Advantage 2 | Income | ||||||||||||||||||||||||||||||||||||
Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
William J. Schneider | 0 | 7,018 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Terence J. Toth | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||||||||||||||||||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
John P. Amboian | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||
All Board Members and Officers as a Group | 0 | 7,018 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
(1) | The numbers include share equivalents of certain Nuveen funds in which the Board Member is deemed to be invested pursuant to the Deferred Compensation Plan. |
A-11A-10
Fund Shares Owned By Board Members And Officers(1) | ||||||||||||||||
Virginia | Virginia | Virginia | ||||||||||||||
Board Member | Texas | Dividend | Dividend | Premium | ||||||||||||
Nominees | Quality Income | Advantage | Advantage 2 | Income | ||||||||||||
Board Members/Nominees who are not interested persons of the Funds | ||||||||||||||||
Robert P. Bremner | 0 | 0 | 0 | 0 | ||||||||||||
Jack B. Evans | 0 | 0 | 0 | 0 | ||||||||||||
William C. Hunter | 0 | 0 | 0 | 0 | ||||||||||||
David J. Kundert | 0 | 0 | 0 | 0 | ||||||||||||
William J. Schneider | 0 | 0 | 0 | 0 | ||||||||||||
Judith M. Stockdale | 0 | 0 | 0 | 0 | ||||||||||||
Carole E. Stone | 0 | 0 | 0 | 0 | ||||||||||||
Terence J. Toth(2) | 0 | 0 | 0 | 0 | ||||||||||||
Board Member/Nominee who is an interested person of the Funds | ||||||||||||||||
John P. Amboian(2) | 0 | 0 | 0 | 0 | ||||||||||||
All Board Members and Officers as a Group | 0 | 0 | 0 | 0 | ||||||||||||
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Floating Rate Income Opportunity (JRO) — Common Shares | First Trust Portfolios L.P.(a) 1001 Warrenville Road Lisle, IL 60532 | 2,197,549 | 7.7% | |||||||
First Trust Advisors L.P.(a) 1001 Warrenville Road Lisle, IL 60532 | ||||||||||
The Charger Corporation(a) 1001 Warrenville Road Lisle, IL 60532 | ||||||||||
Tax-Advantaged Floating Rate (JFP) — Common Shares | Claymore Securities, Inc. 2455 Corporate West Drive Lisle, IL 60532 | 706,824 | 5.09% | |||||||
Arizona Dividend Advantage (NFZ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 136 | 28.3% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 44 | 9.17% | ||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 58 | 12.1% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 27 | 5.6% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 31 | 6.5% | ||||||||
A-12
B-1
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Arizona Dividend Advantage 2 (NKR) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 115 | 15.5% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 68 | 9.46% | ||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 130 | 17.6% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 117 | 15.8% | ||||||||
Arizona Dividend Advantage 3 (NXE) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 354 | 40.2% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 90 | 10.23% | ||||||||
Arizona Premium Income (NAZ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 151 | 12.6% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
B-2
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Merrill Lynch & Co.(c) 4 World Financial Center 250 Vesey Street New York, NY 10080 | 275 | 22.9% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc.(c) 4 World Financial Center 250 Vesey Street New York, NY 10080 | ||||||||||
JP Morgan Chase & Co. 270 Park Ave. New York, NY 10017 | 83 | 6.9% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 98 | 8.17% | ||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 420 | 35.0% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 413 | 34.4% | ||||||||
California Dividend Advantage (NAC) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 364 | 6.7% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation(d) 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 803 | 14.8% | ||||||||
B-3
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Blue Ridge Investments, L.L.C.(d) 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | ||||||||||
California Dividend Advantage 2 (NVX) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 344 | 7.8% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 584 | 13.3% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 254 | 5.8% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 330 | 7.5% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 259 | 5.89% | ||||||||
California Dividend Advantage 3 (NZH) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 512 | 8.0% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
B-4
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 839 | 13.6% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 630 | 10.2% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 402 | 6.4% | ||||||||
California Investment Quality (NQC) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 771 | 20.3% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 371 | 9.8% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 400 | 10.5% | ||||||||
California Market Opportunity (NCO) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 207 | 7.8% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 274 | 10.1% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 140 | 5.1% | ||||||||
B-5
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 77 | 5.13% | ||||||||
California Performance Plus (NCP) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 410 | 10.3% | |||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 302 | 7.6% | ||||||||
California Premium Income (NCU) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 552 | 32.1% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 421 | 24.5% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 131 | 7.6% | ||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 105 | 6.1% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
California Quality Income (NUC) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 374 | 5.7% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 770 | 11.7% | ||||||||
B-6
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 462 | 7.0% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 451 | 6.83% | ||||||||
California Select Quality (NVC) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 726 | 10.7% | |||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 396 | 5.8% | ||||||||
JP Morgan Chase & Co. 270 Park Ave. New York, NY 10017 | 465 | 6.9% | ||||||||
Bank of America Corporation(d) 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 376 | 5.6% | ||||||||
Blue Ridge Investments, L.L.C.(d) 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | ||||||||||
Insured California Dividend Advantage (NKL) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 505 | 11.7% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 517 | 11.9% | ||||||||
B-7
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 269 | 6.2% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 248 | 5.7% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 249 | 5.75% | ||||||||
Insured California Premium Income (NPC) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 421 | 23.4% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 275 | 15.3% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 146 | 8.1% | ||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 98 | 5.4% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 114 | 6.33% | ||||||||
Insured California Premium Income 2 (NCL) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 530 | 16.6% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 313 | 9.8% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 217 | 6.8% | ||||||||
B-8
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 366 | 11.46% | ||||||||
Connecticut Dividend Advantage (NFC) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 202 | 25.9% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 201 | 25.8% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 177 | 22.7% | ||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 57 | 7.3% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
Connecticut Dividend Advantage 2 (NGK) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 209 | 29.9% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation(f) 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 124 | 17.7% | ||||||||
B-9
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc.(f) 4 World Financial Center 250 Vesey Street New York, NY 10080 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 73 | 10.43% | ||||||||
Connecticut Dividend Advantage 3 (NGO) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 331 | 25.9% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 217 | 17.0% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 193 | 15.1% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 82 | 6.41% | ||||||||
Connecticut Premium Income (NTC) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 536 | 35.0% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
B-10
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 246 | 16.1% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 227 | 14.8% | ||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 208 | 13.6% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 80 | 5.22% | ||||||||
Georgia Dividend Advantage (NZX) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 93 | 23.5% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 59 | 14.9% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 34 | 8.6% | ||||||||
Georgia Dividend Advantage 2 (NKG) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 191 | 14.5% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation(d) 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 83 | 6.3% | ||||||||
B-11
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Blue Ridge Investments, L.L.C.(d) 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | ||||||||||
Georgia Premium Income (NPG) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 300 | 27.0% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 242 | 21.8% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 58 | 5.2% | ||||||||
Maryland Dividend Advantage (NFM) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 526 | 41.1% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 65 | 5.1% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
Maryland Dividend Advantage 2 (NZR) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 486 | 38.0% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
B-12
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Maryland Dividend Advantage 3 (NWI) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 606 | 38.8% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Maryland Premium Income (NMY) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 1,084 | 34.3% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Massachusetts Dividend Advantage (NMB) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 72 | 12.0% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 66 | 11.0% | ||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 46 | 7.7% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 102 | 17.0% | ||||||||
Massachusetts Premium Income (NMT) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 111 | 8.2% | |||||||
B-13
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 383 | 28.2% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 381 | 28.0% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 209 | 15.37% | ||||||||
Insured Massachusetts Tax-Free Advantage (NGX) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 115 | 14.0% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 45 | 5.5% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 61 | 7.44% | ||||||||
Michigan Dividend Advantage (NZW) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 145 | 22.7% | |||||||
B-14
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Michigan Premium Income (NMP) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 285 | 12.7% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 154 | 6.9% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 293 | 13.08% | ||||||||
Michigan Quality Income (NUM) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 375 | 10.0% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 491 | 13.1% | ||||||||
B-15
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 487 | 13.0% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 479 | 13.17% | ||||||||
Missouri Premium Income (NOM) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 230 | 35.9% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 71 | 11.1% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 159 | 24.8% | ||||||||
New Jersey Dividend Advantage (NXJ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 181 | 9.4% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 100 | 5.2% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 304 | 15.8% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 252 | 13.1% | ||||||||
B-16
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
New Jersey Dividend Advantage 2 (NUJ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 206 | 14.9% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
New Jersey Investment Quality (NQJ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 585 | 9.0% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 1,170 | 18.1% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 895 | 13.8% | ||||||||
New Jersey Premium Income (NNJ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 203 | 5.5% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
B-17
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 815 | 22.2% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 617 | 16.8% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 198 | 5.4% | ||||||||
North Carolina Dividend Advantage (NRB) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 47 | 6.9% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Royal Bank of Canada(g) 200 Bay Street Toronto, Ontario M5J2J5 Canada | 59 | 8.7% | ||||||||
RBC Capital Markets(g) One Liberty Plaza 165 Broadway New York, NY 10006 | ||||||||||
North Carolina Dividend Advantage 2 (NNO) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 113 | 10.1% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 35 | 5.44% | ||||||||
B-18
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
North Carolina Dividend Advantage 3 (NII) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 136 | 12.1% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
North Carolina Premium Income (NNC) — Auction Rate Preferred Shares | Merrill Lynch & Co., Inc.(c) 4 World Financial Center 250 Vesey Street New York, NY 10080 | 617 | 16.8% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc.(c) 4 World Financial Center 250 Vesey Street New York, NY 10080 | 617 | 16.8% | ||||||||
Ohio Dividend Advantage (NXI) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 167 | 13.5% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 126 | 10.6% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 126 | 10.6% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 223 | 17.98% | ||||||||
B-19
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Ohio Dividend Advantage 2 (NBJ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 90 | 9.4% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 82 | 12.9% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 118 | 12.77% | ||||||||
Ohio Dividend Advantage 3 (NVJ) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 49 | 7.4% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 121 | 18.33% | ||||||||
Ohio Quality Income (NUO) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 194 | 6.3% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
B-20
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 545 | 17.7% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 541 | 17.6% | ||||||||
JP Morgan Chase & Co. 270 Park Ave. New York, NY 10017 | 231 | 7.5% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 360 | 11.69% | ||||||||
Pennsylvania Dividend Advantage (NXM) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 263 | 26.3% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Pennsylvania Dividend Advantage 2 (NVY) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 267 | 23.4% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Pennsylvania Investment Quality (NQP) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 564 | 10.7% | |||||||
B-21
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 548 | 10.4% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 505 | 9.6% | ||||||||
Pennsylvania Premium Income 2 (NPY) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 522 | 11.0% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 496 | 10.5% | ||||||||
Texas Quality Income (NTX) — Auction Rate Preferred Shares | Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 1,146 | 41.5% | |||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 1,077 | 39.0% | ||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 168 | 6.1% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 181 | 6.56% | ||||||||
Virginia Dividend Advantage (NGB) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 158 | 16.5% | |||||||
B-22
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Morgan Stanley(e) 1585 Broadway New York, NY 10036 | 102 | 10.6% | ||||||||
Morgan Stanley & Co. Inc.(e) 1585 Broadway New York, NY 10036 | ||||||||||
Virginia Dividend Advantage 2 (NNB) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 300 | 17.9% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 171 | 10.2% | ||||||||
Bank of America, N.A. 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 97 | 5.8% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 108 | 6.43% | ||||||||
Virginia Premium Income (NPV) — Auction Rate Preferred Shares | Citigroup Global Markets Inc.(b) 388 Greenwich Street New York, NY 10013 | 200 | 7.8% | |||||||
Citigroup Financial Products Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
B-23
Amount of | Percentage | |||||||||
Fund and Class | Shareholder Name and Address | Shares Owned | Owned | |||||||
Citigroup Global Markets Holdings Inc.(b) 388 Greenwich Street New York, NY 10013 | ||||||||||
Citigroup Inc.(b) 399 Park Avenue New York, NY 10043 | ||||||||||
Bank of America Corporation 100 North Tryon Street, Floor 25 Bank of America Corporate Center Charlotte, NC 28255 | 386 | 15.1% | ||||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. 4 World Financial Center 250 Vesey Street New York, NY 10080 | 265 | 10.4% | ||||||||
UBS AG Bahnhoftstrasse 45 PO Box CH-8021 Zurich, Switzerland | 137 | 5.37% |
* | The information contained in this table is based on Schedule 13G filings made on or after December 1, 2008. | |
(a) | First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation filed their schedule 13G jointly and did not differentiate holdings as to each entity. | |
(b) | Citigroup Global Markets Inc., Citigroup Financial Products Inc., Citigroup Global Markets Holdings Inc. and Citigroup Inc. filed their Schedule 13G jointly and did not differentiate holdings as to each entity. | |
(c) | Merrill Lynch & Co. and Merrill Lynch, Pierce, Fenner & Smith, Inc. filed their Schedule 13G jointly and did not differentiate holdings as to each entity. | |
(d) | Bank of America Corporation and Blue Ridge Investments, L.L.C. filed their schedule 13G jointly and did not differentiate holdings as to each entity. | |
(e) | Morgan Stanley and Morgan Stanley & Co., Inc. filed their schedule 13G jointly and did not differentiate holdings as to each entity. |
(f) | Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. filed their schedule 13G jointly and did not differentiate holdings as to each entity. |
(g) | Royal Bank of Canada and RBC Capital Markets filed their Schedule 13G jointly and did not differentiate holdings as to each entity. |
B-24
Compliance, Risk | ||||||||||||||||||||||||||||
Management | Nominating | |||||||||||||||||||||||||||
and Regulatory | and | |||||||||||||||||||||||||||
Regular | Special | Executive | Dividend | Oversight | Audit | Governance | ||||||||||||||||||||||
Board | Board | Committee | Committee | Committee | Committee | Committee | ||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
Floating Rate Income | 5 | 5 | 2 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Floating Rate Income Opportunity | 5 | 5 | 2 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Senior Income | 5 | 5 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Tax-Advantaged Floating Rate | 4 | 12 | 2 | 8 | 4 | 4 | 5 | |||||||||||||||||||||
Arizona Dividend Advantage | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Arizona Dividend Advantage 2 | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Arizona Dividend Advantage 3 | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Arizona Premium Income | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
California Dividend Advantage | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Dividend Advantage 2 | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Dividend Advantage 3 | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Investment Quality | 4 | 9 | 2 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Market Opportunity | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Value | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Performance Plus | 4 | 9 | 2 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Premium Income | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Quality Income | 4 | 9 | 2 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
California Select Quality | 4 | 9 | 2 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Insured California Dividend Advantage | 4 | 9 | 2 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Insured California Premium Income | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Insured California Premium Income 2 | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Insured California Tax-Free Advantage | 4 | 9 | 1 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Connecticut Dividend Advantage | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Connecticut Dividend Advantage 2 | 4 | 15 | 1 | 7 | 4 | 4 | 6 |
Compliance, Risk | ||||||||||||||||||||||||||||
Management | Nominating | |||||||||||||||||||||||||||
and Regulatory | and | |||||||||||||||||||||||||||
Regular | Special | Executive | Dividend | Oversight | Audit | Governance | ||||||||||||||||||||||
Board | Board | Committee | Committee | Committee | Committee | Committee | ||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
Floating Rate Income | 4 | 3 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Floating Rate Income Opportunity | 4 | 3 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Senior Income | 4 | 3 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Tax Advantage Floating Rate | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Arizona Dividend Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Arizona Dividend Advantage 2 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Arizona Dividend Advantage 3 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Arizona Premium Income | 4 | 3 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
California Dividend Advantage | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Dividend Advantage 2 | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Dividend Advantage 3 | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Investment Quality | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Market Opportunity | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Value | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Performance Plus | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Premium Income | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Quality Income | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
California Select Quality | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Insured California Dividend Advantage | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Insured California Premium Income | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Insured California Premium Income 2 | 2 | 2 | 0 | 5 | 2 | 2 | 2 |
B-1C-1
Compliance, Risk | ||||||||||||||||||||||||||||
Management | Nominating | |||||||||||||||||||||||||||
and Regulatory | and | |||||||||||||||||||||||||||
Regular | Special | Executive | Dividend | Oversight | Audit | Governance | ||||||||||||||||||||||
Board | Board | Committee | Committee | Committee | Committee | Committee | ||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
Insured California Tax-Free Advantage | 2 | 2 | 1 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Connecticut Dividend Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Connecticut Dividend Advantage 2 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Connecticut Dividend Advantage 3 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Connecticut Premium Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Georgia Dividend Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Georgia Dividend Advantage 2 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Georgia Premium Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Maryland Dividend Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Maryland Dividend Advantage 2 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Maryland Dividend Advantage 3 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Maryland Premium Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Massachusetts Dividend Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Massachusetts Premium Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Michigan Dividend Advantage | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Michigan Premium Income | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Michigan Quality Income | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Missouri Premium Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
New Jersey Dividend Advantage | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
New Jersey Dividend Advantage 2 | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
New Jersey Investment Quality | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
New Jersey Premium Income | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
North Carolina Dividend Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
North Carolina Dividend Advantage 2 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
North Carolina Dividend Advantage 3 | 4 | 5 | 0 | 6 | 4 | 4 | 4 |
Compliance, Risk | ||||||||||||||||||||||||||||
Management | Nominating | |||||||||||||||||||||||||||
and Regulatory | and | |||||||||||||||||||||||||||
Regular | Special | Executive | Dividend | Oversight | Audit | Governance | ||||||||||||||||||||||
Board | Board | Committee | Committee | Committee | Committee | Committee | ||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
Connecticut Dividend Advantage 3 | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Connecticut Premium Income | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Florida Investment Quality | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Florida Quality Income | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Insured Florida Premium Income | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Insured Florida Tax-Free Advantage | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Georgia Dividend Advantage | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Georgia Dividend Advantage 2 | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Georgia Premium Income | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Maryland Dividend Advantage | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Maryland Dividend Advantage 2 | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Maryland Dividend Advantage 3 | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Maryland Premium Income | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Massachusetts Dividend Advantage | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Massachusetts Premium Income | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Insured Massachusetts Tax-Free Advantage | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Michigan Dividend Advantage | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Michigan Premium Income | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Michigan Quality Income | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Missouri Premium Income | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
New Jersey Dividend Advantage | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
New Jersey Dividend Advantage 2 | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
New Jersey Investment Quality | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
New Jersey Premium Income | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
North Carolina Dividend Advantage | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
North Carolina Dividend Advantage 2 | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
North Carolina Dividend Advantage 3 | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
North Carolina Premium Income | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Ohio Dividend Advantage | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Ohio Dividend Advantage 2 | 5 | 9 | 1 | 8 | 4 | 4 | 4 |
B-2C-2
Compliance, Risk | ||||||||||||||||||||||||||||
Management | Nominating | |||||||||||||||||||||||||||
and Regulatory | and | |||||||||||||||||||||||||||
Regular | Special | Executive | Dividend | Oversight | Audit | Governance | ||||||||||||||||||||||
Board | Board | Committee | Committee | Committee | Committee | Committee | ||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
North Carolina Premium Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Ohio Dividend Advantage | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Ohio Dividend Advantage 2 | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Ohio Dividend Advantage 3 | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Ohio Quality Income | 2 | 2 | 0 | 5 | 2 | 2 | 2 | |||||||||||||||||||||
Pennsylvania Dividend Advantage | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Pennsylvania Investment Quality | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Pennsylvania Premium Income 2 | 4 | 5 | 0 | 7 | 4 | 4 | 4 | |||||||||||||||||||||
Texas Quality Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Virginia Dividend Advantage | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Virginia Dividend Advantage 2 | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Virginia Premium Income | 4 | 5 | 0 | 6 | 4 | 4 | 4 | |||||||||||||||||||||
Compliance, Risk | ||||||||||||||||||||||||||||
Management | Nominating | |||||||||||||||||||||||||||
and Regulatory | and | |||||||||||||||||||||||||||
Regular | Special | Executive | Dividend | Oversight | Audit | Governance | ||||||||||||||||||||||
Board | Board | Committee | Committee | Committee | Committee | Committee | ||||||||||||||||||||||
Fund | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | Meeting | |||||||||||||||||||||
Ohio Dividend Advantage 3 | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Ohio Quality Income | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Pennsylvania Dividend Advantage | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Pennsylvania Dividend Advantage 2 | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Pennsylvania Investment Quality | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Pennsylvania Premium Income 2 | 4 | 14 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Texas Quality Income | 5 | 9 | 1 | 8 | 4 | 4 | 4 | |||||||||||||||||||||
Virginia Dividend Advantage | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Virginia Dividend Advantage 2 | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
Virginia Premium Income | 4 | 15 | 1 | 7 | 4 | 4 | 6 | |||||||||||||||||||||
B-3C-3
I. | Organization and Membership |
II. | Statement of Policy, Purpose and Processes |
C-1
D-1
A. | Reviewing and discussing the annual audited financial statements and | |
B. | Requiring the independent auditors to deliver to the Chairman of the Audit Committee a timely report on any issues relating to the significant accounting policies, management judgments and accounting estimates or other matters that would need to be communicated under Statement on Auditing Standards (sas) No. 90, Audit Committee Communications (which amended sas No. 61, Communication with Audit Committees), that arise during the auditors’ review of the Funds’ financial statements, which information the Chairman shall further communicate to the other members of the Audit Committee, as deemed necessary or appropriate in the Chairman’s judgment. | |
C. | Discussing with management the Funds’ press releases regarding financial results and dividends, as well as financial information and earnings guidance provided to analysts and rating agencies. This discussion may be done generally, consisting of discussing the types of information to be disclosed and the types of presentations to be made. The Chairman of the Audit Committee shall be authorized to have these discussions with management on behalf of the Audit Committee. | |
D. | Discussing with management and the independent auditors (a) significant financial reporting issues and judgments made in connection with the preparation and |
C-2D-2
presentation of the Funds’ financial statements, including any significant changes in the Funds’ selection or application of accounting principles and any major issues as to the adequacy of the Funds’ internal controls and any special audit steps adopted in light of material control deficiencies; and (b) analyses prepared by Fund managementand/or the independent auditor setting forth significant financial reporting issues and judgments made in connection with the preparation of the financial statements, including analyses of the effects of alternative gaap methods on the financial statements. |
E. | Discussing with management and the independent auditors the effect of regulatory and accounting initiatives on the Funds’ financial statements. | |
F. | Reviewing and discussing reports, both written and oral, from the independent auditorsand/or Fund management regarding (a) all critical accounting policies and practices to be used; (b) all alternative treatments of financial information within generally accepted accounting principles that have been discussed with management, ramifications of the use of such alternative treatments and disclosures, and the treatment preferred by the independent auditors; and (c) other material written communications between the independent auditors and management, such as any management letter or schedule of unadjusted differences. | |
G. | Discussing with Fund management the Funds’ major financial risk exposures and the steps management has taken to monitor and control these exposures, including the Funds’ risk assessment and risk management policies and guidelines. In fulfilling its obligations under this paragraph, the Audit Committee may review in a general manner the processes other Board committees have in place with respect to risk assessment and risk management. | |
H. | Reviewing disclosures made to the Audit Committee by the Funds’ principal executive officer and principal financial officer during their certification process for the Funds’ periodic reports about any significant deficiencies in the design or operation of internal controls or material weaknesses therein and any fraud involving management or other employees who have a significant role in the Funds’ internal controls. In fulfilling its obligations under this paragraph, the Audit Committee may review in a general manner the processes other Board committees have in place with respect to deficiencies in internal controls, material weaknesses, or any fraud associated with internal controls. |
A. | Selecting, appointing, retaining or replacing the independent auditors, subject, if applicable, only to Board and shareholder ratification; and compensating, evaluating and overseeing the work of the independent auditor (including the resolution of disagreements between Fund management and the independent auditor regarding financial reporting). | |
B. | Meeting with the independent auditors and Fund management to review the scope, fees, audit plans and staffing for the audit, for the current year. At the conclusion of the audit, reviewing such audit results, including the independent auditors’ evaluation of the Funds’ financial and internal controls, any comments or recommendations of the independent auditors, any audit problems or difficulties and management’s |
C-3D-3
response, including any restrictions on the scope of the independent auditor’s activities or on access to requested information, any significant disagreements with management, any accounting adjustments noted or proposed by the auditor but not made by the Fund, any communications between the audit team and the audit firm’s national office regarding auditing or accounting issues presented by the engagement, any significant changes required from the originally planned audit programs and any adjustments to the financial statements recommended by the auditors. |
C. | Pre-approving all audit services and permitted non-audit services, and the terms thereof, to be performed for the Funds by their independent auditors, subject to the de minimis exceptions for non-audit services described in Section 10a of the Exchange Act that the Audit Committee approves prior to the completion of the audit, in accordance with any policies or procedures relating thereto as adopted by the Board or the Audit Committee. The Chairman of the Audit Committee shall be authorized to give pre-approvals of such non-audit services on behalf of the Audit Committee. | |
D. | Obtaining and reviewing a report or reports from the independent auditors at least annually (including a formal written statement delineating all relationships between the auditors and the Funds consistent with Independent Standards Board Standard 1, as may be amended, restated, modified or replaced) regarding (a) the independent auditor’s internal quality-control procedures; (b) any material issues raised by the most recent internal quality-control review, or peer review, of the firm, or by any inquiry or investigation by governmental or professional authorities within the preceding five years, respecting one or more independent audits carried out by the firm; (c) any steps taken to deal with any such issues; and (d) all relationships between the independent auditor and the Funds and their affiliates, in order to assist the Audit committee in assessing the auditor’s independence. After reviewing the foregoing report[s] and the independent auditor’s work throughout the year, the Audit Committee shall be responsible for evaluating the qualifications, performance and independence of the independent auditor and their compliance with all applicable requirements for independence and peer review, and a review and evaluation of the lead partner, taking into account the opinions of Fund management and the internal auditors, and discussing such reports with the independent auditors. The Audit Committee shall present its conclusions with respect to the independent auditor to the Board. | |
E. | Reviewing any reports from the independent auditors mandated by Section 10a(b) of the Exchange Act regarding any illegal act detected by the independent auditor (whether or not perceived to have a material effect on the Funds’ financial statements) and obtaining from the independent auditors any information about illegal acts in accordance with Section 10a(b). | |
F. | Ensuring the rotation of the lead (or coordinating) audit partner having primary responsibility for the audit and the audit partner responsible for reviewing the audit as required by law, and further considering the rotation of the independent auditor firm itself. | |
G. | Establishing and recommending to the Board for ratification policies for the Funds’, Fund management or the Fund adviser’s hiring of employees or former employees of the independent auditor who participated in the audits of the Funds. |
C-4D-4
H. | Taking, or recommending that the Board take, appropriate action to oversee the independence of the outside auditor. |
A. | Reviewing the proposed programs of the internal auditor for the coming year. It is not the obligation or responsibility of the Audit Committee to confirm the independence of any Nuveen internal auditors performing services relating to the Funds or to approve any termination or replacement of the Nuveen Manager of Internal Audit. |
B. | Receiving a summary of findings from any completed internal audits pertaining to the Funds and a progress report on the proposed internal audit plan for the Funds, with explanations for significant deviations from the original plan. |
A. | The Board has responsibilities regarding the pricing of a Fund’s securities under the 1940 Act. The Board has delegated this responsibility to the Committee to address valuation issues that arise between Board meetings, subject to the Board’s general supervision of such actions. The Committee is primarily responsible for the oversight of the Pricing Procedures and actions taken by the internal Valuation Group (“Valuation Matters”). The Valuation Group will report on Valuation Matters to the Committeeand/or the Board of Directors/Trustees, as appropriate. | |
B. | Performing all duties assigned to it under the Funds’ Pricing Procedures, as such may be amended from time to time. | |
C. | Periodically reviewing and making recommendations regarding modifications to the Pricing Procedures as well as consider recommendations by the Valuation Group regarding the Pricing Procedures. | |
D. | Reviewing any issues relating to the valuation of a Fund’s securities brought to the Committee’s attention, including suspensions in pricing, pricing irregularities, price overrides, self-pricing, nav errors and corrections thereto, and other pricing matters. In this regard, the Committee should consider the risks to the Funds in assessing the possible resolutions of these Valuation Matters. | |
E. | Evaluating, as it deems necessary or appropriate, the performance of any pricing agent and recommend changes thereto to the full Board. | |
F. | Reviewing any reports or comments from examinations by regulatory authorities relating to Valuation Matters of the Funds and consider management’s responses to any such comments and, to the extent the Committee deems necessary or appropriate, propose to managementand/or the full Board the modification of the Fund’s policies and procedures relating to such matters. The Committee, if deemed necessary or desirable, may also meet with regulators. | |
G. | Meeting with members of management of the Funds, outside counsel, or others in fulfilling its duties hereunder, including assessing the continued appropriateness and adequacy of the Pricing Procedures, eliciting any recommendations for improvements of such procedures or other Valuation Matters, and assessing the possible resolutions of issues regarding Valuation Matters brought to its attention. |
C-5D-5
H. | Performing any special review, investigations or oversight responsibilities relating to Valuation as requested by the Board of Directors/Trustees. | |
I. | Investigating or initiating an investigation of reports of improprieties or suspected improprieties in connection with the Fund’s policies and procedures relating to Valuation Matters not otherwise assigned to another Board committee. |
A. | Reviewing with counsel to the Funds, counsel to Nuveen, the Fund adviser’s counsel and independent counsel to the Board legal matters that may have a material impact on the Fund’s financial statements or compliance policies. | |
B. | Receiving and reviewing periodic or special reports issued on exposure/controls, irregularities and control failures related to the Funds. | |
C. | Reviewing with the independent auditors, with any internal auditor and with Fund management, the adequacy and effectiveness of the accounting and financial controls of the Funds, and eliciting any recommendations for the improvement of internal control procedures or particular areas where new or more detailed controls or procedures are desirable. Particular emphasis should be given to the adequacy of such internal controls to expose payments, transactions or procedures that might be deemed illegal or otherwise improper. | |
D. | Reviewing the reports of examinations by regulatory authorities as they relate to financial statement matters. | |
E. | Discussing with management and the independent auditor any correspondence with regulators or governmental agencies that raises material issues regarding the Funds’ financial statements or accounting policies. | |
F. | Obtaining reports from management with respect to the Funds’ policies and procedures regarding compliance with applicable laws and regulations. | |
G. | Reporting regularly to the Board on the results of the activities of the Audit Committee, including any issues that arise with respect to the quality or integrity of the Funds’ financial statements, the Funds’ compliance with legal or regulatory requirements, the performance and independence of the Funds’ independent auditors, or the performance of the internal audit function. | |
H. | Performing any special reviews, investigations or oversight responsibilities requested by the Board. | |
I. | Reviewing and reassessing annually the adequacy of this charter and recommending to the Board approval of any proposed changes deemed necessary or advisable by the Audit Committee. | |
J. | Undertaking an annual review of the performance of the Audit Committee. | |
K. | Establishing procedures for the receipt, retention and treatment of complaints received by the Funds regarding accounting, internal accounting controls or auditing matters, and the confidential, anonymous submission of concerns regarding questionable accounting or auditing matters by employees of Fund management, the |
C-6D-6
investment adviser, administrator, principal underwriter, or any other provider of accounting related services for the Funds, as well as employees of the Funds. |
C-7D-7
www.nuveen.com |
1. | Automated Touch Tone Voting: Call toll-free 1-888-221-0697 and follow the recorded instructions. | |
2. | On the Internet at www.proxyweb.com, and follow the simple instructions. | |
3. | Sign, Date and Return this proxy card using the enclosed postage-paid envelope. |
FUND NAME PRINTS HERE COMMON SHARES | THIS PROXY IS SOLICITED BY THE BOARD OF THE FUND FOR AN ANNUAL MEETING OF SHAREHOLDERS, NOVEMBER |
¯ | ¯ |
¯ | Please fill in box(es) as shown using black or blue ink or number 2 pencil. | |||
PLEASE DO NOT USE FINE POINT PENS. | ¯ |
1c. | Election of Board Members: | FOR | WITHHOLD | |||||||||
Class | NOMINEES | AUTHORITY | ||||||||||
(01) | listed at left | to vote for all | ||||||||||
(02) | (except as | nominees | ||||||||||
marked to the | listed at left | |||||||||||
contrary) | ||||||||||||
¨ | ||||||||||||
(INSTRUCTION: To withhold authority to vote for any individual nominee(s), write the number(s) of the nominee(s) on the line provided above.) | FOR | AGAINST | ABSTAIN | |||||||||
2a. | To approve the elimination of the Fund’s fundamental policies relating to investments in municipal securities and below investment grade securities. | |||||||||||
2b. | To approve the new fundamental policy relating to investments in municipal securities. | |||||||||||
2c. | To approve the elimination of the Fund’s fundamental policy relating to commodities. | |||||||||||
2d. | To approve the new fundamental policy relating to commodities. | |||||||||||
2e. | To approve the elimination of the Fund’s fundamental policies relating to derivatives and short sales. | |||||||||||
2f. | To approve the elimination of the Fund’s fundamental policy prohibiting investment in other investment companies. | |||||||||||
4. | To transact such other business as may properly come before the Annual Meeting. |
1. | Automated Touch Tone Voting: Call toll-free 1-888-221-0697 and follow the recorded instructions. | |
2. | On the Internet at www.proxyweb.com, and follow the simple instructions. | |
3. | Sign, Date and Return this proxy card using the enclosed postage-paid envelope. |
FUND NAME PRINTS HERE PREFERRED SHARES | THIS PROXY IS SOLICITED BY THE BOARD OF THE FUND FOR AN ANNUAL MEETING OF SHAREHOLDERS, NOVEMBER |
¯ | ¯ |
¯ | Please fill in box(es) as shown using black or blue ink or number 2 pencil. | |||
PLEASE DO NOT USE FINE POINT PENS. | ¯ |
1c. | Election of Board Members: | FOR | WITHHOLD | |||||||||||
Class | Preferred Shares Only: | NOMINEES | AUTHORITY | |||||||||||
(01) | listed at left | to vote for all | ||||||||||||
(02) | (except as | nominees | ||||||||||||
marked to the | listed at left | |||||||||||||
contrary) | ||||||||||||||
¨ | ¨ | |||||||||||||
(INSTRUCTION: To withhold authority to vote for any individual nominee(s), write the number(s) of the nominee(s) on the line provided above.) | FOR | AGAINST | ABSTAIN | |||||||||||
2a. | To approve the elimination of the Fund’s fundamental policies relating to investments in municipal securities and below investment grade securities. | ¨ | ¨ | ¨ | ||||||||||
2b. | To approve the new fundamental policy relating to investments in municipal securities. | ¨ | ¨ | ¨ | ||||||||||
2c. | To approve the elimination of the Fund’s fundamental policy relating to commodities. | ¨ | ¨ | ¨ | ||||||||||
2d. | To approve the new fundamental policy relating to commodities. | ¨ | ¨ | ¨ | ||||||||||
2e. | To approve the elimination of the Fund’s fundamental policies relating to derivatives and short sales. | ¨ | ¨ | ¨ | ||||||||||
2f. | To approve the elimination of the Fund’s fundamental policy prohibiting investment in other investment companies. | ¨ | ¨ | ¨ | ||||||||||
4. | To transact such other business as may properly come before the Annual Meeting. |
¯ | ¯ | |