NUVEEN PFD & INCOME OPPORTUN

CUSIP: 67073B106 Class: COM

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

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

Q3 2015
Shares 360 Value ($000) $3 Avg Close — Range —
Q2 2015
Shares 360 Value ($000) $3 Avg Close — Range —
Q1 2015
Shares 460 Value ($000) $4 Avg Close — Range —
Q4 2014
Shares 1,070 Value ($000) $10 Avg Close — Range —
Q3 2014
Shares 980 Value ($000) $9 Avg Close — Range —
Q2 2014
Shares 980 Value ($000) $10 Avg Close — Range —
Q1 2014
Shares 830 Value ($000) $8 Avg Close — Range —
Q4 2013
Shares 1,080 Value ($000) $10 Avg Close — Range —
Q3 2013
Shares 1,563 Value ($000) $14 Avg Close — Range —
Q2 2013
Shares 2,787 Value ($000) $27 Avg Close — Range —