Nuveen Fund Advisors, LLC

CIK 1311016 · View on SEC EDGAR ↗

Insider

First SEC filing: Nov. 8, 2021 · Latest: Nov. 8, 2021

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Institution The 13F filer entity this person is associated with.
Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Initial holdings The stakes this person held when they first started reporting.

Institution

View 13F portfolio

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 2 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

2 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Nov. 5, 2021	1311016	S	100	$9.97	$997	9,900 Direct	-1.00%	Disposed
Jan. 12, 2021	1311016	S	10,128	$9.79	$99,153	0 Direct	-100.00%	Disposed
Jan. 12, 2021	NMCO	S	6,667	$13.40	$89,338	0 Direct	-100.00%	Disposed	-22.5% (price as of 2026-08-21)
Jan. 12, 2021	1311016	S	10,160	$7.71	$78,334	0 Direct	-100.00%	Disposed
Jan. 12, 2021	1311016	S	10,160	$8.16	$82,906	0 Direct	-100.00%	Disposed
Jan. 12, 2021	1311016	S	4,072	$24.33	$99,072	0 Direct	-100.00%	Disposed
Sept. 11, 2017	JRI	J	1	—	—	1 Direct	—	Acquired	(price as of 2026-08-21)
May 18, 2017	NMZ	S	6,794	$13.32	$90,496	0 Direct	-100.00%	Disposed	-24.4% (price as of 2026-08-21)
May 17, 2017	NMS	S	2	$16.22	$32	0 Direct	-100.00%	Disposed	-32.0% (price as of 2026-08-21)
May 17, 2017	1311016	S	5,250	$9.78	$51,345	0 Direct	-100.00%	Disposed
May 17, 2017	1311016	S	10,200	$10.20	$104,040	0 Direct	-100.00%	Disposed
May 17, 2017	1311016	S	1	$15.83	$16	0 Direct	-100.00%	Disposed
May 17, 2017	1311016	S	10,200	$10.11	$103,122	0 Direct	-100.00%	Disposed
May 17, 2017	1311016	S	10,180	$9.84	$100,171	0 Direct	-100.00%	Disposed
May 17, 2017	1311016	S	10,200	$10.11	$103,122	0 Direct	-100.00%	Disposed
May 17, 2017	1311016	S	10,180	$10.11	$102,920	0 Direct	-100.00%	Disposed
May 11, 2017	NBB	S	5,250	$20.73	$108,832	0 Direct	-100.00%	Disposed	-25.8% (price as of 2026-08-21)
May 11, 2017	1311016	S	5,250	$24.97	$131,092	0 Direct	-100.00%	Disposed
May 11, 2017	1311016	S	5,250	$13.23	$69,458	0 Direct	-100.00%	Disposed
May 11, 2017	JLS	S	4,200	$25.01	$105,042	0 Direct	-100.00%	Disposed	-32.6% (price as of 2026-08-21)
May 11, 2017	JRI	S	5,250	$17.29	$90,772	0 Direct	-100.00%	Disposed	-27.6% (price as of 2026-08-21)
May 11, 2017	1311016	S	7,000	$13.06	$91,420	0 Direct	-100.00%	Disposed
May 11, 2017	1311016	S	5,250	$17.95	$94,238	0 Direct	-100.00%	Disposed
May 11, 2017	1311016	S	5,250	$21.60	$113,400	0 Direct	-100.00%	Disposed
May 11, 2017	1311016	S	7,000	$14.21	$99,470	0 Direct	-100.00%	Disposed
May 11, 2017	1311016	S	7,000	$12.86	$90,020	0 Direct	-100.00%	Disposed
May 11, 2017	1311016	S	4,200	$23.90	$100,380	0 Direct	-100.00%	Disposed
May 11, 2017	1311016	S	5,250	$17.37	$91,192	0 Direct	-100.00%	Disposed
May 8, 2017	NUW	S	7,000	$17.07	$119,490	0 Direct	-100.00%	Disposed	-17.8% (price as of 2026-08-21)
May 8, 2017	1311016	S	7,000	$14.79	$103,530	0 Direct	-100.00%	Disposed
May 8, 2017	1311016	S	7,000	$16.84	$117,880	0 Direct	-100.00%	Disposed
May 8, 2017	1311016	S	7,000	$14.75	$103,250	0 Direct	-100.00%	Disposed
May 8, 2017	1311016	S	7,000	$15.14	$105,980	0 Direct	-100.00%	Disposed
April 13, 2017	QQQX	S	1	$20.60	$21	0 Direct	-100.00%	Disposed	48.3% (price as of 2026-08-21)
April 13, 2017	SPXX	S	5,240	$14.94	$78,286	0 Direct	-100.00%	Disposed	26.7% (price as of 2026-08-21)
April 13, 2017	JGH	S	6,471	$16.51	$106,836	0 Direct	-100.00%	Disposed	-25.4% (price as of 2026-08-21)
April 13, 2017	JCE	S	5,240	$13.88	$72,731	0 Direct	-100.00%	Disposed	22.1% (price as of 2026-08-21)
April 13, 2017	1311016	S	5,240	$14.89	$78,024	0 Direct	-100.00%	Disposed
April 6, 2017	JQC	S	7,000	$8.72	$61,040	0 Direct	-100.00%	Disposed	-45.5% (price as of 2026-08-21)
April 6, 2017	JFR	S	7,000	$11.40	$79,800	0 Direct	-100.00%	Disposed	-33.3% (price as of 2026-08-21)
April 6, 2017	JPC	S	7,000	$9.86	$69,020	0 Direct	-100.00%	Disposed	-23.9% (price as of 2026-08-21)
April 6, 2017	1311016	S	10,370	$13.31	$138,025	0 Direct	-100.00%	Disposed
April 6, 2017	1311016	S	7,000	$11.62	$81,340	0 Direct	-100.00%	Disposed
Dec. 22, 2014	1311016	J	5,130	—	—	10,370 Direct	+97.90%	Acquired
Feb. 23, 2006	1311016	S	7,000	$14.18	$99,260	0 Direct	-100.00%	Disposed
Feb. 23, 2006	1311016	S	3,240	$22.65	$73,386	2,000 Direct	-61.83%	Disposed
Feb. 23, 2006	NMZ	S	7,000	$16.42	$114,940	0 Direct	-100.00%	Disposed	-38.7% (price as of 2026-08-21)
Feb. 23, 2006	1311016	S	7,000	$14.05	$98,350	0 Direct	-100.00%	Disposed
Feb. 23, 2006	1311016	S	4,900	$13.73	$67,277	2,100 Direct	-70.00%	Disposed

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Initial ownership (Form 3) 38 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Dec. 15, 2021	NPFD	Common Stock	4,000	Direct
Nov. 23, 2021	NMAI	Common Stock	1	Direct
Aug. 4, 2021	NPCT	Common Stock [F1]	5,000	Direct
Aug. 27, 2020	NDMO	Common Stock	6,667	Direct
Sept. 16, 2019	NMCO	Common Stock	6,667	Direct
May 18, 2017	NMZ	Common Stock	6,794	Direct
Dec. 22, 2014	QQQX	Common Stock	1	Direct
Nov. 24, 2014	JGH	Common Stock	6,471	Direct
Oct. 6, 2014	NMS	Common Stock	2	Direct
April 25, 2012	JRI	Common Stock	5,250	Direct
May 6, 2010	NBB	Common Stock	5,250	Direct
Dec. 3, 2009	JLS	Common Stock	4,200	Direct
Feb. 24, 2009	NUW	Common Stock	7,000	Direct
March 27, 2007	JCE	Common Stock	5,240	Direct
Nov. 22, 2005	SPXX	Common Stock	5,240	Direct
Jan. 10, 2005	NKX	Common Stock	7,000	Indirect
Jan. 10, 2005	NVG	Common Stock	0	Indirect
Jan. 10, 2005	NMT	Common Stock	0	Indirect
Jan. 10, 2005	JRS	Common Stock	0	Indirect
Jan. 10, 2005	NIM	Common Stock	0	Indirect
Jan. 10, 2005	NXP	Common Stock	0	Indirect
Jan. 10, 2005	NMI	Common Stock	0	Indirect
Jan. 10, 2005	NPV	Common Stock	0	Indirect
Jan. 10, 2005	NUV	Common Stock	0	Indirect
Jan. 10, 2005	NAN	Common Stock	0	Indirect
Jan. 10, 2005	NNY	Common Stock	0	Indirect
Jan. 10, 2005	JPC	Common Stock	7,000	Indirect
Jan. 7, 2005	NAZ	Common Stock	0	Indirect
Jan. 7, 2005	NAC	Common Stock	0	Indirect
Jan. 7, 2005	NCA	Common Stock	0	Indirect
Jan. 7, 2005	NAD	Common Stock	0	Indirect
Jan. 7, 2005	NZF	Common Stock	0	Indirect
Jan. 6, 2005	JFR	Common Stock	7,000	Indirect
Jan. 6, 2005	JQC	Common Stock	7,000	Indirect
Jan. 6, 2005	NMZ	Common Stock	7,000	Indirect
Jan. 6, 2005	NEA	Common Stock	7,000	Indirect
Jan. 6, 2005	NKX	Common Stock	7,000	Indirect
Jan. 6, 2005	NRK	Common Stock	7,000	Indirect