NUVEEN FLTNG RTE INCM OPP FD

CUSIP: 6706EN100 Class: EXCHANGE TRADED

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

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

Q1 2014
Shares 169 Value ($000) $2 Avg Close — Range —
Q4 2013
Shares 169 Value ($000) $2 Avg Close — Range —
Q3 2013
Shares 284 Value ($000) $4 Avg Close — Range —
Q2 2013
Shares 1,669 Value ($000) $22 Avg Close — Range —