July 21, 2015
Mr. Jason P. Fox
U.S. Securities and Exchange Commission
Division of Investment Management, Insured Investments Office
100 F Street N.E.
Washington DC 20549
Re: Nuveen Closed-End and Open-End Funds - Sarbanes Oxley Review
Dear Mr. Fox:
This letter addresses the comments you provided in a telephone discussion on June 18, 2015, regarding reviews performed by the staff of the U.S. Securities and Exchange Commission (the “SEC Staff”) of certain regulatory filings made by closed-end and open-end registered investment companies (“funds”) advised by Nuveen Fund Advisors, LLC (“NFAL”). Each comment is shown below followed by our response. Unless otherwise noted, the responses relate to all funds listed on Appendix A attached hereto.
| 1) | Comment:For the Nuveen Dividend Value Fund, the shareholder report cover has the incorrect ticker symbol for Class R6 Shares. The ticker symbol is currently FFEIX and should be FFEFX. Please correct in future filings. |
Response:We agree with the SEC Staff’s comment and corrected the Fund’s ticker symbol effective with the Fund’s April 30, 2015 semi-annual report.
| 2) | Comment:For those funds that invested significantly in derivatives during their fiscal year, management’s discussion of fund performance (“MDFP”) should discuss how the derivatives affected fund performance. |
Response:As we indicated to you on our recent call, we received a similar comment during the SEC Staff’s last review in 2012, at which time we responded that we had expanded our disclosure in the MDFPs to include how a fund’s use of derivatives impacted performance during the reporting period if the fund used derivatives as a form of leverage and/or if the fund’s use of derivatives had a material impact on its performance. Examples of the funds’ most recent derivatives disclosures are as follows:
April 30, 2015 annual report for Nuveen Short Duration High Yield Municipal Bond Fund
“We owned interest rate swaps to modestly reduce the portfolio’s duration. By relying on hedges to manage sensitivity to changes in rates, we were able to be more deliberate about the securities we chose to own in the Fund. As expected in light of the overall drop in interest rates, however, these swaps hurt the Fund’s performance in absolute terms.”
March 31, 2015 annual report for Nuveen Build America Bond Fund (NBB) and Nuveen Build America Bond Opportunity Fund (NBD)
“However, because NBB and NBD also were using swaps to shorten long term interest rates at a time when rates were falling, the use of swaps had a negative impact on the Funds’ total return performance for the reporting period. This impact was greater in NBD, which made greater use of derivatives.”
March 31, 2015 semi-annual report for Nuveen Tactical Market Opportunities Fund
“Throughout the reporting period, we continued to use equity, interest rate and currency futures contracts, which were used to manage country and style exposures as well as implement various absolute return, tactical market and hedging strategies in the Fund. We also utilized equity put and call options to generate returns and manage the Fund. These put and call options were used to implement views on the direction of implied market volatility as well as hedge against a decline or increase in the market, respectively. Overall, these derivative positions were meaningful contributors to performance during the reporting period.”
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February 28, 2015 semi-annual report for Nuveen Strategy Balanced Allocation Fund
“Throughout the reporting period, we also tactically used equity and fixed income futures to adjust the Fund’s mix. Due to generally higher equity prices and fluctuating interest rates, the futures contracts had a moderately negative impact on performance as gains in large- and mid-cap futures were offset by small-cap short futures losses.”
January 31, 2015 semi-annual report for Nuveen Senior Income Fund (NSL), Nuveen Floating Rate Income Fund (JFR), Nuveen Floating Rate Income Opportunity Fund (JRO), Nuveen Short Duration Credit Opportunities Fund (JSD) and Nuveen Credit Strategies Income Fund (JQC)
“The Funds also used interest rate swap contracts to partially fix the interest cost of leverage, which as mentioned previously, is through bank borrowings and/or VRTP Shares. During the reporting period, NSL, JFR, JRO and JQC unwound their respective swap contracts. JSD began the reporting period with three swap contracts, one of which matured and another was unwound prior to the end of the reporting period. The swap contracts held by NSL, JFR, JRO and JQC had an overall negligible impact on Fund performance, while JSD’s swap contracts detracted modestly from overall Fund performance.”
December 31, 2014 semi-annual report for Nuveen Global Total Return Bond Fund
“During the reporting period, we also continued to utilize various derivative instruments. We used foreign currency exchange contracts to gain exposure to selected foreign currencies, as well as in some cases to hedge the currency risk present in a foreign bond. The overall effect of these contracts was positive as the majority of the positions were used for hedging purposes during the reporting period as the U.S. dollar rallied. These derivative exposures are integrated with the overall portfolio construction and as such losses and gains may be naturally related to and/or may offset impacts elsewhere in the portfolio. We used U.S. Treasury futures and Eurodollar futures as part of an overall portfolio construction strategy to manage portfolio duration and yield curve exposure; used selected foreign bond futures to actively manage exposure to those markets. The effect of these activities in the period was negative. These derivative exposures are integrated with the overall portfolio construction and as such losses and gains may be naturally related to and/or may offset impacts elsewhere in the portfolio. We used interest rate swaps as part of an overall portfolio construction strategy to manage duration and overall portfolio yield curve exposure. The swap positions detracted slightly from performance during the period. In addition, we entered into High Yield CDX swaps as a way to take on credit risk and earn a commensurate credit spread. The effect of these activities on performance was negligible during the period, as the positions were minimal. These derivative exposures are integrated with the overall portfolio construction and as such losses and gains may be naturally related to and/or may offset impacts elsewhere in the portfolio.”
Management continuously monitors disclosures regarding the funds’ uses of derivatives, striving to provide what we believe to be the best explanation to readers of the funds’ financial statements.
| 3) | Comment: The portfolio of investments included within the shareholder reports for several open-end funds disclose a money market fund holding in Mount Vernon Securities Lending Trust Prime Portfolio (“Mount Vernon”). When recalculating the net asset value (“NAV”) per share of Mount Vernon as of June 30, 2014 in the Nuveen Strategic Income Fund’s annual report, as noted in the table below, the NAV per share does not equal $1.00. Disclose the NAV of such shares or explain why the NAV is not $1.00. |
| Shares | Description | Value | NAV per Share | |||||
| 84,532,292 | Mount Vernon Securities Lending Trust Prime Portfolio | $85,180,247 | $1.01 | |||||
Response: The shares disclosed as of June 30, 2014 in the Nuveen Strategic Income Fund’s annual report were incorrect. The correct shares are $85,180,247, and as such, the NAV per share is $1.00.
| 4) | Comment: Within the funds’ shareholder reports, the fair value measurements disclosures included within the notes to financial statements do not always indicate whether or not the funds had a transfer of securities between the three-tiered hierarchy of valuation input levels (Level 1, Level 2 and/or Level 3). In future shareholder reports, the fair value measurements disclosures should include whether or not such transfers occurred. |
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Response: As we indicated to you on our recent call, in the preparation of the relevant valuation footnote disclosure for a fund, we identify all of the transfers between the three-tiered hierarchy of valuation input levels (Level 1, Level 2 and/or Level 3). However, for reporting in the financial statements we have established a de minimis floor below which we would not provide the expanded disclosures in the footnotes. In discussion with other industry participants, we believe this is a common practice followed by others in the industry. In establishing a de minimis floor, we believe it provides the reader of the financial statements a clearer picture of significant transfers between levels. We further believe that this is consistent with GAAP which provides that accounting standards do not apply to immaterial items. Therefore we believe our current disclosure practice provides the reader with the necessary information to conclude that no material transfers have occurred during the period.
| 5) | Comment:Within several of the funds’ shareholder reports, the notes to financial statements include disclosures pertaining to agreements with the adviser for which the adviser agreed to reimburse and/or waive charges to the fund(s) for certain fees and/or expenses. Please confirm that it is not the adviser’s policy to recoup from the funds any amounts waived and/or reimbursed in prior periods during future periods. |
Response:NFAL, the funds’ adviser, does not have, and does not currently intend to have, a policy to recoup from the funds during future fiscal years any amounts waived and/or reimbursed in prior fiscal years.
| 6) | Comment:Within several of the funds’ shareholder reports, the notes to financial statements include disclosures for mergers that occurred during the fiscal period. However, those funds that were acquired have not yet completed a Form N-8F filing. Please review the funds that recently ceased operations and complete a Form N-8F filing accordingly. |
Response:The SEC Staff is correct in identifying funds that have ceased operations, but had not yet completed a Form N-8F filing. We have identified and completed a Form N-8F filing for each of the funds listed in the table below.
| Fund Name | Ticker Symbol | CIK | File Number | Date Form N-8F Filed with SEC | ||||||||
Nuveen Pennsylvania Premium Income Municipal Fund 2 | NPY | 0000897427 | 811-07482 | June 25, 2015 | ||||||||
Nuveen Pennsylvania Dividend Advantage Municipal Fund | NXM | 0001087787 | 811-09457 | June 25, 2015 | ||||||||
Nuveen Pennsylvania Dividend Advantage Municipal Fund 2 | NVY | 0001158729 | 811-10549 | June 25, 2015 | ||||||||
Nuveen Massachusetts Dividend Advantage Municipal Fund | NMB | 0001090120 | 811-09451 | June 25, 2015 | ||||||||
Nuveen Massachusetts AMT-Free Municipal Income Fund | NGX | 0001196366 | 811-21216 | June 25, 2015 | ||||||||
Nuveen California Performance Plus Municipal Fund, Inc. | NCP | 0000856227 | 811-05930 | June 25, 2015 | ||||||||
Nuveen California Municipal Market Opportunity Fund, Inc. | NCO | 0000862313 | 811-06081 | June 25, 2015 | ||||||||
Nuveen California Investment Quality Municipal Fund, Inc. | NQC | 0000868440 | 811-06177 | June 25, 2015 | ||||||||
Nuveen California Select Quality Municipal Fund, Inc. | NVC | 0000874142 | 811-06294 | June 25, 2015 | ||||||||
Nuveen California Quality Income Municipal Fund, Inc. | NUC | 0000879826 | 811-06425 | June 25, 2015 | ||||||||
Nuveen California Premium Income Municipal Fund | NCU | 0000905000 | 811-07720 | June 25, 2015 | ||||||||
Nuveen New Jersey Investment Quality Municipal Fund, Inc. | NQJ | 0000870778 | 811-06264 | June 25, 2015 | ||||||||
Nuveen New Jersey Premium Income Municipal Fund, Inc. | NNJ | 0000890898 | 811-07118 | June 25, 2015 | ||||||||
Nuveen New Jersey Dividend Advantage Municipal Fund 2 | NUJ | 0001161070 | 811-10551 | June 25, 2015 | ||||||||
Nuveen Global Income Opportunities Fund | JGG | 0001359816 | 811-21893 | June 25, 2015 | ||||||||
Nuveen Diversified Currency Opportunities Fund | JGT | 0001390109 | 811-22018 | June 25, 2015 | ||||||||
Nuveen Equity Premium Opportunity Fund | JSN | 0001308658 | 811-21674 | June 25, 2015 | ||||||||
Dow 30SM Premium & Dividend Income Fund Inc. | DPD | 0001314128 | 811-21708 | June 25, 2015 | ||||||||
Dow 30SM Enhanced Premium & Income Fund Inc. | DPO | 0001390840 | 811-22029 | June 25, 2015 | ||||||||
NASDAQ Premium Income & Growth Fund Inc. | QQQX | 0001381186 | 811-21983 | June 25, 2015 | ||||||||
Nuveen Equity Premium Advantage Fund | JLA | 0001320492 | 811-21731 | June 25, 2015 |
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| 7) | Comment: For the Form N-SAR filing identified in the table below, the filing indicates that there was a change in auditor from Ernst & Young LLP (“EY”) to KPMG, LLP during the fiscal period, but the letter from EY is not included as an exhibit to the filing. Amend the Form N-SAR filing to include the letter from EY. |
| File Number | Registrant | Date Filed | ||||
811-09037 | Nuveen Investment Trust III | December 1, 2014 | ||||
Response: Management amended the Form N-SAR filing for the Trust in the aforementioned table on July 16, 2015, to include the letter from EY within Exhibit 77K.
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Appendix A
| CIK or | SEC File | |||||||||
| Registrant | Fund Name | Ticker | Series ID | Number | ||||||
1 | Nuveen Investment Funds, Inc. | Nuveen Core Bond Fund | S000005548 | 811-05309 | ||||||
2 | Nuveen Investment Funds, Inc. | Nuveen Core Plus Bond Fund | S000005578 | 811-05309 | ||||||
3 | Nuveen Investment Funds, Inc. | Nuveen Dividend Value Fund | S000005579 | 811-05309 | ||||||
4 | Nuveen Investment Funds, Inc. | Nuveen Equity Index Fund | S000005580 | 811-05309 | ||||||
5 | Nuveen Investment Funds, Inc. | Nuveen Global Infrastructure Fund | S000020012 | 811-05309 | ||||||
6 | Nuveen Investment Funds, Inc. | Nuveen High Income Bond Fund | S000005544 | 811-05309 | ||||||
7 | Nuveen Investment Funds, Inc. | Nuveen Inflation Protected Securities Fund | S000005545 | 811-05309 | ||||||
8 | Nuveen Investment Funds, Inc. | Nuveen Intermediate Government Bond Fund | S000005546 | 811-05309 | ||||||
9 | Nuveen Investment Funds, Inc. | Nuveen Large Cap Growth Opportunities Fund | S000005550 | 811-05309 | ||||||
10 | Nuveen Investment Funds, Inc. | Nuveen Large Cap Select Fund | S000005551 | 811-05309 | ||||||
11 | Nuveen Investment Funds, Inc. | Nuveen Mid Cap Growth Opportunities Fund | S000005553 | 811-05309 | ||||||
12 | Nuveen Investment Funds, Inc. | Nuveen Mid Cap Index Fund | S000005555 | 811-05309 | ||||||
13 | Nuveen Investment Funds, Inc. | Nuveen Mid Cap Value Fund | S000005556 | 811-05309 | ||||||
14 | Nuveen Investment Funds, Inc. | Nuveen Minnesota Intermediate Municipal Bond Fund | S000005558 | 811-05309 | ||||||
15 | Nuveen Investment Funds, Inc. | Nuveen Minnesota Municipal Bond Fund | S000005559 | 811-05309 | ||||||
16 | Nuveen Investment Funds, Inc. | Nuveen Nebraska Municipal Bond Fund | S000005560 | 811-05309 | ||||||
17 | Nuveen Investment Funds, Inc. | Nuveen Oregon Intermediate Municipal Bond Fund | S000005562 | 811-05309 | ||||||
18 | Nuveen Investment Funds, Inc. | Nuveen Real Asset Income Fund | S000033768 | 811-05309 | ||||||
19 | Nuveen Investment Funds, Inc. | Nuveen Real Estate Securities Fund | S000005563 | 811-05309 | ||||||
20 | Nuveen Investment Funds, Inc. | Nuveen Short Term Bond Fund | S000005566 | 811-05309 | ||||||
21 | Nuveen Investment Funds, Inc. | Nuveen Short Term Municipal Bond Fund | S000005564 | 811-05309 | ||||||
22 | Nuveen Investment Funds, Inc. | Nuveen Small Cap Growth Opportunities Fund | S000005567 | 811-05309 | ||||||
23 | Nuveen Investment Funds, Inc. | Nuveen Small Cap Index Fund | S000005568 | 811-05309 | ||||||
24 | Nuveen Investment Funds, Inc. | Nuveen Small Cap Select Fund | S000005569 | 811-05309 | ||||||
25 | Nuveen Investment Funds, Inc. | Nuveen Small Cap Value Fund | S000005570 | 811-05309 | ||||||
26 | Nuveen Investment Funds, Inc. | Nuveen Strategic Income Fund | S000005573 | 811-05309 | ||||||
27 | Nuveen Investment Funds, Inc. | Nuveen Tactical Market Opportunities Fund | S000027104 | 811-05309 | ||||||
28 | Nuveen Investment Trust | Nuveen Concentrated Core Fund | S000040902 | 811-07619 | ||||||
29 | Nuveen Investment Trust | Nuveen Core Dividend Fund | S000040903 | 811-07619 | ||||||
30 | Nuveen Investment Trust | Nuveen Equity Market Neutral Fund | S000040904 | 811-07619 | ||||||
31 | Nuveen Investment Trust | Nuveen Global Tactical Opportunities Plus Fund | S000041890 | 811-07619 | ||||||
32 | Nuveen Investment Trust | Nuveen Global Total Return Bond Fund | S000034786 | 811-07619 | ||||||
33 | Nuveen Investment Trust | Nuveen Intelligent Risk Conservative Allocation Fund | S000036970 | 811-07619 | ||||||
34 | Nuveen Investment Trust | Nuveen Intelligent Risk Growth Allocation Fund | S000036968 | 811-07619 | ||||||
35 | Nuveen Investment Trust | Nuveen Intelligent Risk Moderate Allocation Fund | S000036969 | 811-07619 | ||||||
36 | Nuveen Investment Trust | Nuveen Large Cap Core Fund | S000040905 | 811-07619 | ||||||
37 | Nuveen Investment Trust | Nuveen Large Cap Core Plus Fund | S000040906 | 811-07619 | ||||||
38 | Nuveen Investment Trust | Nuveen Large Cap Growth Fund | S000040907 | 811-07619 | ||||||
39 | Nuveen Investment Trust | Nuveen Large Cap Value Fund | S000000602 | 811-07619 | ||||||
40 | Nuveen Investment Trust | Nuveen NWQ Global Equity Fund | S000044763 | 811-07619 | ||||||
41 | Nuveen Investment Trust | Nuveen NWQ Global Equity Income Fund | S000026520 | 811-07619 | ||||||
42 | Nuveen Investment Trust | Nuveen NWQ Large-Cap Value Fund | S000014608 | 811-07619 | ||||||
43 | Nuveen Investment Trust | Nuveen NWQ Multi-Cap Value Fund | S000000605 | 811-07619 | ||||||
44 | Nuveen Investment Trust | Nuveen NWQ Small/Mid-Cap Value Fund | S000014609 | 811-07619 | ||||||
45 | Nuveen Investment Trust | Nuveen NWQ Small-Cap Value Fund | S000000606 | 811-07619 | ||||||
46 | Nuveen Investment Trust | Nuveen Tradewinds Value Opportunities Fund | S000000607 | 811-07619 | ||||||
47 | Nuveen Investment Trust | Nuveen U.S. Infrastructure Bond Fund | S000045412 | 811-07619 | ||||||
48 | Nuveen Investment Trust II | Nuveen Equity Long/Short Fund | S000024570 | 811-08333 | ||||||
49 | Nuveen Investment Trust II | Nuveen Global Growth Fund | S000024097 | 811-08333 | ||||||
50 | Nuveen Investment Trust II | Nuveen Growth Fund | S000008517 | 811-08333 | ||||||
51 | Nuveen Investment Trust II | Nuveen International Growth Fund | S000024098 | 811-08333 | ||||||
52 | Nuveen Investment Trust II | Nuveen Santa Barbara Dividend Growth Fund | S000008519 | 811-08333 | ||||||
53 | Nuveen Investment Trust II | Nuveen Santa Barbara Global Dividend Growth Fund | S000037309 | 811-08333 | ||||||
54 | Nuveen Investment Trust II | Nuveen Santa Barbara International Dividend Growth Fund | S000037310 | 811-08333 | ||||||
55 | Nuveen Investment Trust II | Nuveen Symphony Mid-Cap Core Fund | S000012453 | 811-08333 |
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Appendix A (continued)
| CIK or | SEC File | |||||||||
| Registrant | Fund Name | Ticker | Series ID | Number | ||||||
56 | Nuveen Investment Trust II | Nuveen Tradewinds Global All-Cap Fund | S000008516 | 811-08333 | ||||||
57 | Nuveen Investment Trust II | Nuveen Symphony Dynamic Equity Fund | S000043130 | 811-08333 | ||||||
58 | Nuveen Investment Trust II | Nuveen Symphony Large-Cap Growth Fund | S000014594 | 811-08333 | ||||||
59 | Nuveen Investment Trust II | Nuveen Symphony Low Volatility Equity Fund | S000018484 | 811-08333 | ||||||
60 | Nuveen Investment Trust II | Nuveen Symphony Small Cap Core Fund | S000043129 | 811-08333 | ||||||
61 | Nuveen Investment Trust II | Nuveen Tradewinds Emerging Markets Fund | S000024424 | 811-08333 | ||||||
62 | Nuveen Investment Trust II | Nuveen Tradewinds International Value Fund | S000000610 | 811-08333 | ||||||
63 | Nuveen Investment Trust II | Nuveen Tradewinds Japan Fund | S000024425 | 811-08333 | ||||||
64 | Nuveen Investment Trust II | Nuveen Winslow Large-Cap Growth Fund | S000025526 | 811-08333 | ||||||
65 | Nuveen Investment Trust II | Nuveen Symphony International Equity Fund | S000022314 | 811-08333 | ||||||
66 | Nuveen Investment Trust III | Nuveen Symphony Credit Opportunities Fund | S000028810 | 811-09037 | ||||||
67 | Nuveen Investment Trust III | Nuveen Symphony Dynamic Credit Fund | S000043131 | 811-09037 | ||||||
68 | Nuveen Investment Trust III | Nuveen Symphony Floating Rate Income Fund | S000032446 | 811-09037 | ||||||
69 | Nuveen Investment Trust III | Nuveen Symphony High Yield Bond Fund | S000039257 | 811-09037 | ||||||
70 | Nuveen Investment Trust V | Nuveen Gresham Diversified Commodity Strategy Fund | S000037640 | 811-21979 | ||||||
71 | Nuveen Investment Trust V | Nuveen Gresham Long/Short Commodity Strategy Fund | S000037641 | 811-21979 | ||||||
72 | Nuveen Investment Trust V | Nuveen NWQ Flexible Income Fund | S000027100 | 811-21979 | ||||||
73 | Nuveen Investment Trust V | Nuveen Preferred Securities Fund | S000015514 | 811-21979 | ||||||
74 | Nuveen Managed Accounts Portfolios Trust | Municipal Total Return Managed Accounts Portfolio | S000017347 | 811-22023 | ||||||
75 | Nuveen Multistate Trust I | Nuveen Arizona Municipal Bond Fund | S000000545 | 811-07747 | ||||||
76 | Nuveen Multistate Trust I | Nuveen Colorado Municipal Bond Fund | S000000546 | 811-07747 | ||||||
77 | Nuveen Multistate Trust I | Nuveen Maryland Municipal Bond Fund | S000000548 | 811-07747 | ||||||
78 | Nuveen Multistate Trust I | Nuveen New Mexico Municipal Bond Fund | S000000549 | 811-07747 | ||||||
79 | Nuveen Multistate Trust I | Nuveen Pennsylvania Municipal Bond Fund | S000000550 | 811-07747 | ||||||
80 | Nuveen Multistate Trust I | Nuveen Virginia Municipal Bond Fund | S000000551 | 811-07747 | ||||||
81 | Nuveen Multistate Trust II | Nuveen California High Yield Municipal Bond Fund | S000008513 | 811-07755 | ||||||
82 | Nuveen Multistate Trust II | Nuveen California Municipal Bond Fund | S000000552 | 811-07755 | ||||||
83 | Nuveen Multistate Trust II | Nuveen Connecticut Municipal Bond Fund | S000000554 | 811-07755 | ||||||
84 | Nuveen Multistate Trust II | Nuveen Massachusetts Municipal Bond Fund | S000000555 | 811-07755 | ||||||
85 | Nuveen Multistate Trust II | Nuveen New Jersey Municipal Bond Fund | S000000557 | 811-07755 | ||||||
86 | Nuveen Multistate Trust II | Nuveen New York Municipal Bond Fund | S000000558 | 811-07755 | ||||||
87 | Nuveen Multistate Trust III | Nuveen Georgia Municipal Bond Fund | S000000560 | 811-07943 | ||||||
88 | Nuveen Multistate Trust III | Nuveen Louisiana Municipal Bond Fund | S000000561 | 811-07943 | ||||||
89 | Nuveen Multistate Trust III | Nuveen North Carolina Municipal Bond Fund | S000000562 | 811-07943 | ||||||
90 | Nuveen Multistate Trust III | Nuveen Tennessee Municipal Bond Fund | S000000563 | 811-07943 | ||||||
91 | Nuveen Multistate Trust IV | Nuveen Kansas Municipal Bond Fund | S000000596 | 811-07751 | ||||||
92 | Nuveen Multistate Trust IV | Nuveen Kentucky Municipal Bond Fund | S000000597 | 811-07751 | ||||||
93 | Nuveen Multistate Trust IV | Nuveen Missouri Municipal Bond Fund | S000000599 | 811-07751 | ||||||
94 | Nuveen Multistate Trust IV | Nuveen Ohio Municipal Bond Fund | S000000600 | 811-07751 | ||||||
95 | Nuveen Multistate Trust IV | Nuveen Wisconsin Municipal Bond Fund | S000000601 | 811-07751 | ||||||
96 | Nuveen Multistate Trust IV | Nuveen Michigan Municipal Bond Fund | S000000598 | 811-07751 | ||||||
97 | Nuveen Municipal Trust | Nuveen All-American Municipal Bond Fund | S000000286 | 811-07873 | ||||||
98 | Nuveen Municipal Trust | Nuveen High Yield Municipal Bond Fund | S000000289 | 811-07873 | ||||||
99 | Nuveen Municipal Trust | Nuveen Inflation Protected Municipal Bond Fund | S000030344 | 811-07873 | ||||||
100 | Nuveen Municipal Trust | Nuveen Intermediate Duration Municipal Bond Fund | S000000285 | 811-07873 | ||||||
101 | Nuveen Municipal Trust | Nuveen Limited Term Municipal Bond Fund | S000000288 | 811-07873 | ||||||
102 | Nuveen Municipal Trust | Nuveen Short Duration High Yield Municipal Bond Fund | S000039680 | 811-07873 | ||||||
103 | Nuveen Municipal Trust | Nuveen Strategic Municipal Opportunities Fund | S000047609 | 811-07873 | ||||||
104 | Nuveen Strategy Funds, Inc. | Nuveen Strategy Aggressive Growth Allocation Fund | S000005662 | 811-07687 | ||||||
105 | Nuveen Strategy Funds, Inc. | Nuveen Strategy Balanced Allocation Fund | S000005663 | 811-07687 | ||||||
106 | Nuveen Strategy Funds, Inc. | Nuveen Strategy Conservative Allocation Fund | S000005665 | 811-07687 | ||||||
107 | Nuveen Strategy Funds, Inc. | Nuveen Strategy Growth Allocation Fund | S000005664 | 811-07687 | ||||||
108 | Diversified Real Asset Income Fund | Diversified Real Asset Income Fund | DRA | 0001598085 | 811-22936 | |||||
109 | Nuveen All Cap Energy MLP Opportunities Fund | Nuveen All Cap Energy MLP Opportunities Fund | JMLP | 0001582817 | 811-22877 | |||||
110 | Nuveen AMT-Free Municipal Income Fund | Nuveen AMT-Free Municipal Income Fund | NEA | 0001195737 | 811-21213 |
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Appendix A (continued)
| CIK or | SEC File | |||||||||
| Registrant | Fund Name | Ticker | Series ID | Number | ||||||
111 | Nuveen AMT-Free Municipal Value Fund | Nuveen AMT-Free Municipal Value Fund | NUW | 0001450445 | 811-22253 | |||||
112 | Nuveen Arizona Premium Income Municipal Fund | Nuveen Arizona Premium Income Municipal Fund | NAZ | 0000892992 | 811-07278 | |||||
113 | Nuveen Build America Bond Fund | Nuveen Build America Bond Fund | NBB | 0001478888 | 811-22391 | |||||
114 | Nuveen Build America Bond Opportunity Fund | Nuveen Build America Bond Opportunity Fund | NBD | 0001493523 | 811-22425 | |||||
115 | Nuveen California AMT-Free Municipal Income Fund | Nuveen California AMT-Free Municipal Income Fund | NKX | 0001195738 | 811-21212 | |||||
116 | Nuveen California Dividend Advantage Municipal Fund | Nuveen California Dividend Advantage Municipal Fund | NAC | 0001074952 | 811-09161 | |||||
117 | Nuveen California Dividend Advantage Municipal Fund 2 | Nuveen California Dividend Advantage Municipal Fund 2 | NVX | 0001127706 | 811-10197 | |||||
118 | Nuveen California Dividend Advantage Municipal Fund 3 | Nuveen California Dividend Advantage Municipal Fund 3 | NZH | 0001137888 | 811-10347 | |||||
119 | Nuveen California Municipal Value Fund 2 | Nuveen California Municipal Value Fund 2 | NCB | 0001454979 | 811-22272 | |||||
120 | Nuveen California Municipal Value Fund, Inc. | Nuveen California Municipal Value Fund, Inc. | NCA | 0000818851 | 811-05235 | |||||
121 | Nuveen California Select Tax-Free Income Portfolio | Nuveen California Select Tax-Free Income Portfolio | NXC | 0000885732 | 811-06623 | |||||
122 | Nuveen Connecticut Premium Income Municipal Fund | Nuveen Connecticut Premium Income Municipal Fund | NTC | 0000899752 | 811-07606 | |||||
123 | Nuveen Core Equity Alpha Fund | Nuveen Core Equity Alpha Fund | JCE | 0001385763 | 811-22003 | |||||
124 | Nuveen Credit Strategies Income Fund | Nuveen Credit Strategies Income Fund | JQC | 0001227476 | 811-21333 | |||||
125 | Nuveen Diversified Dividend and Income Fund | Nuveen Diversified Dividend and Income Fund | JDD | 0001255821 | 811-21407 | |||||
126 | Nuveen Dividend Advantage Municipal Fund | Nuveen Dividend Advantage Municipal Fund | NAD | 0001083839 | 811-09297 | |||||
127 | Nuveen Dividend Advantage Municipal Fund 2 | Nuveen Dividend Advantage Municipal Fund 2 | NXZ | 0001131062 | 811-10255 | |||||
128 | Nuveen Dividend Advantage Municipal Fund 3 | Nuveen Dividend Advantage Municipal Fund 3 | NZF | 0001137887 | 811-10345 | |||||
129 | Nuveen Dividend Advantage Municipal Income Fund | Nuveen Dividend Advantage Municipal Income Fund | NVG | 0001090116 | 811-09475 | |||||
130 | Nuveen DOWSM Dynamic Overwrite Fund | Nuveen DOWSM Dynamic Overwrite Fund | DIAX | 0001608742 | 811-22970 | |||||
131 | Nuveen Energy MLP Total Return Fund | Nuveen Energy MLP Total Return Fund | JMF | 0001502711 | 811-22482 | |||||
132 | Nuveen Enhanced Municipal Value Fund | Nuveen Enhanced Municipal Value Fund | NEV | 0001469392 | 811-22323 | |||||
133 | Nuveen S&P 500 Dynamic Overwrite Fund | Nuveen S&P 500 Dynamic Overwrite Fund | SPXX | 0001338561 | 811-21809 | |||||
134 | Nuveen S&P 500 Buy-Write Income Fund | Nuveen S&P 500 Buy-Write Income Fund | BXMX | 0001298699 | 811-21619 | |||||
135 | Nuveen Flexible Investment Income Fund | Nuveen Flexible Investment Income Fund | JPW | 0001573312 | 811-22820 | |||||
136 | Nuveen Floating Rate Income Fund | Nuveen Floating Rate Income Fund | JFR | 0001276533 | 811-21494 | |||||
137 | Nuveen Floating Rate Income Opportunity Fund | Nuveen Floating Rate Income Opportunity Fund | JRO | 0001289213 | 811-21579 | |||||
138 | Nuveen Georgia Dividend Advantage Municipal Fund 2 | Nuveen Georgia Dividend Advantage Municipal Fund 2 | NKG | 0001177219 | 811-21152 | |||||
139 | Nuveen Global Equity Income Fund | Nuveen Global Equity Income Fund | JGV | 0001363421 | 811-21903 | |||||
140 | Nuveen Global High Income Fund | Nuveen Global High Income Fund | JGH | 0001615905 | 811-22988 | |||||
141 | Nuveen Intermediate Duration Municipal Term Fund | Nuveen Intermediate Duration Municipal Term Fund | NID | 0001557915 | 811-22752 | |||||
142 | Nuveen Intermediate Duration Quality Municipal Term Fund | Nuveen Intermediate Duration Quality Municipal Term Fund | NIQ | 0001564584 | 811-22779 | |||||
143 | Nuveen Investment Quality Municipal Fund, Inc. | Nuveen Investment Quality Municipal Fund, Inc. | NQM | 0000862716 | 811-06091 | |||||
144 | Nuveen Maryland Premium Income Municipal Fund | Nuveen Maryland Premium Income Municipal Fund | NMY | 0000897424 | 811-07486 | |||||
145 | Nuveen Massachusetts Premium Income Municipal Fund | Nuveen Massachusetts Premium Income Municipal Fund | NMT | 0000897419 | 811-07484 | |||||
146 | Nuveen Michigan Quality Income Municipal Fund | Nuveen Michigan Quality Income Municipal Fund | NUM | 0000878198 | 811-06383 | |||||
147 | Nuveen Minnesota Municipal Income Fund | Nuveen Minnesota Municipal Income Fund | NMS | 0001607997 | 811-22967 | |||||
148 | Nuveen Missouri Premium Income Municipal Fund | Nuveen Missouri Premium Income Municipal Fund | NOM | 0000899782 | 811-07616 | |||||
149 | Nuveen Mortgage Opportunity Term Fund | Nuveen Mortgage Opportunity Term Fund | JLS | 0001472215 | 811-22329 | |||||
150 | Nuveen Mortgage Opportunity Term Fund 2 | Nuveen Mortgage Opportunity Term Fund 2 | JMT | 0001479238 | 811-22374 | |||||
151 | Nuveen Multi-Market Income Fund* | Nuveen Multi-Market Income Fund* | JMM | 0000838131 | 811-05642 | |||||
152 | Nuveen Municipal Advantage Fund, Inc. | Nuveen Municipal Advantage Fund, Inc. | NMA | 0000857361 | 811-05957 | |||||
153 | Nuveen Municipal High Income Opportunity Fund | Nuveen Municipal High Income Opportunity Fund | NMZ | 0001266585 | 811-21449 | |||||
154 | Nuveen Municipal Income Fund, Inc. | Nuveen Municipal Income Fund, Inc. | NMI | 0000830271 | 811-05488 | |||||
155 | Nuveen Municipal Market Opportunity Fund, Inc. | Nuveen Municipal Market Opportunity Fund, Inc. | NMO | 0000860188 | 811-06040 | |||||
156 | Nuveen Municipal Opportunity Fund, Inc. | Nuveen Municipal Opportunity Fund, Inc. | NIO | 0000878242 | 811-06379 | |||||
157 | Nuveen Municipal Value Fund, Inc. | Nuveen Municipal Value Fund, Inc. | NUV | 0000812801 | 811-05120 | |||||
158 | Nuveen NASDAQ 100 Dynamic Overwrite Fund | Nuveen NASDAQ 100 Dynamic Overwrite Fund | QQQX | 0001608741 | 811-22971 | |||||
159 | Nuveen New Jersey Dividend Advantage Municipal Fund | Nuveen New Jersey Dividend Advantage Municipal Fund | NXJ | 0001087786 | 811-09455 | |||||
160 | Nuveen New Jersey Municipal Value Fund | Nuveen New Jersey Municipal Value Fund | NJV | 0001454980 | 811-22274 | |||||
161 | Nuveen New York AMT-Free Municipal Income Fund | Nuveen New York AMT-Free Municipal Income Fund | NRK | 0001195739 | 811-21211 | |||||
162 | Nuveen New York Dividend Advantage Municipal Fund | Nuveen New York Dividend Advantage Municipal Fund | NAN | 0001074769 | 811-09135 | |||||
163 | Nuveen New York Municipal Value Fund 2 | Nuveen New York Municipal Value Fund 2 | NYV | 0001454981 | 811-22271 | |||||
164 | Nuveen New York Municipal Value Fund, Inc. | Nuveen New York Municipal Value Fund, Inc. | NNY | 0000818850 | 811-05238 | |||||
165 | Nuveen New York Select Tax-Free Income Portfolio | Nuveen New York Select Tax-Free Income Portfolio | NXN | 0000885731 | 811-06624 |
Page7 of8
Appendix A (continued)
| CIK or | SEC File | |||||||||
| Registrant | Fund Name | Ticker | Series ID | Number | ||||||
166 | Nuveen North Carolina Premium Income Municipal Fund | Nuveen North Carolina Premium Income Municipal Fund | NNC | 0000899761 | 811-07608 | |||||
167 | Nuveen Ohio Quality Income Municipal Fund | Nuveen Ohio Quality Income Municipal Fund | NUO | 0000878200 | 811-06385 | |||||
168 | Nuveen Pennsylvania Investment Quality Municipal Fund | Nuveen Pennsylvania Investment Quality Municipal Fund | NQP | 0000870780 | 811-06265 | |||||
169 | Nuveen Pennsylvania Municipal Value Fund | Nuveen Pennsylvania Municipal Value Fund | NPN | 0001454978 | 811-22273 | |||||
170 | Nuveen Performance Plus Municipal Fund, Inc. | Nuveen Performance Plus Municipal Fund, Inc. | NPP | 0000849998 | 811-05809 | |||||
171 | Nuveen Preferred and Income Term Fund | Nuveen Preferred and Income Term Fund | JPI | 0001547994 | 811-22699 | |||||
172 | Nuveen Preferred Income Opportunities Fund | Nuveen Preferred Income Opportunities Fund | JPC | 0001216583 | 811-21293 | |||||
173 | Nuveen Premier Municipal Income Fund, Inc. | Nuveen Premier Municipal Income Fund, Inc. | NPF | 0000880845 | 811-06456 | |||||
174 | Nuveen Premium Income Municipal Fund 2, Inc. | Nuveen Premium Income Municipal Fund 2, Inc. | NPM | 0000885734 | 811-06621 | |||||
175 | Nuveen Premium Income Municipal Fund 4, Inc. | Nuveen Premium Income Municipal Fund 4, Inc. | NPT | 0000896061 | 811-07432 | |||||
176 | Nuveen Premium Income Municipal Fund, Inc. | Nuveen Premium Income Municipal Fund, Inc. | NPI | 0000833251 | 811-05570 | |||||
177 | Nuveen Quality Income Municipal Fund, Inc. | Nuveen Quality Income Municipal Fund, Inc. | NQU | 0000874506 | 811-06303 | |||||
178 | Nuveen Quality Municipal Fund, Inc. | Nuveen Quality Municipal Fund, Inc. | NQI | 0000869405 | 811-06206 | |||||
179 | Nuveen Quality Preferred Income Fund | Nuveen Quality Preferred Income Fund | JTP | 0001172168 | 811-21082 | |||||
180 | Nuveen Quality Preferred Income Fund 2 | Nuveen Quality Preferred Income Fund 2 | JPS | 0001176433 | 811-21137 | |||||
181 | Nuveen Quality Preferred Income Fund 3 | Nuveen Quality Preferred Income Fund 3 | JHP | 0001200446 | 811-21242 | |||||
182 | Nuveen Real Asset Income and Growth Fund | Nuveen Real Asset Income and Growth Fund | JRI | 0001539337 | 811-22658 | |||||
183 | Nuveen Real Estate Income Fund | Nuveen Real Estate Income Fund | JRS | 0001158289 | 811-10491 | |||||
184 | Nuveen Select Maturities Municipal Fund | Nuveen Select Maturities Municipal Fund | NIM | 0000890119 | 811-07056 | |||||
185 | Nuveen Select Quality Municipal Fund, Inc. | Nuveen Select Quality Municipal Fund, Inc. | NQS | 0000872064 | 811-06240 | |||||
186 | Nuveen Select Tax-Free Income Portfolio | Nuveen Select Tax-Free Income Portfolio | NXP | 0000883618 | 811-06548 | |||||
187 | Nuveen Select Tax-Free Income Portfolio 2 | Nuveen Select Tax-Free Income Portfolio 2 | NXQ | 0000885733 | 811-06622 | |||||
188 | Nuveen Select Tax-Free Income Portfolio 3 | Nuveen Select Tax-Free Income Portfolio 3 | NXR | 0000888411 | 811-06693 | |||||
189 | Nuveen Senior Income Fund | Nuveen Senior Income Fund | NSL | 0001093428 | 811-09571 | |||||
190 | Nuveen Short Duration Credit Opportunities Fund | Nuveen Short Duration Credit Opportunities Fund | JSD | 0001509253 | 811-22518 | |||||
191 | Nuveen Tax-Advantaged Dividend Growth Fund | Nuveen Tax-Advantaged Dividend Growth Fund | JTD | 0001397173 | 811-22058 | |||||
192 | Nuveen Tax-Advantaged Total Return Strategy Fund | Nuveen Tax-Advantaged Total Return Strategy Fund | JTA | 0001265708 | 811-21471 | |||||
193 | Nuveen Texas Quality Income Municipal Fund | Nuveen Texas Quality Income Municipal Fund | NTX | 0000878201 | 811-06384 | |||||
194 | Nuveen Virginia Premium Income Municipal Fund | Nuveen Virginia Premium Income Municipal Fund | NPV | 0000897421 | 811-07490 |
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