NUVEEN SR INCOME FD

CUSIP: 67067Y104 Class: EXCHANGE TRADED

Regal Investment Advisors LLC's Holding History (CIK: 0001559789)

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

Q3 2013
Shares 641 Value ($000) $5 Avg Close — Range —
Q2 2013
Shares 1,378 Value ($000) $11 Avg Close — Range —