NUVEEN SR INCOME FD

CUSIP: 67067Y104 Class: EXCHANGE TRADED

SHEPHERD KAPLAN KROCHUK, LLC's Holding History (CIK: 0001218583)

Note: Option positions (PUT/CALL) are excluded.

Q3 2016
Shares 44,050 Value ($000) $288 Avg Close — Range —
Q2 2016
Shares 50,200 Value ($000) $303 Avg Close — Range —