NUSHARES ETF TR

Ticker: NUSC CUSIP: 67092P607 Class: NUVEEN ESG SMLCP

Empirical Financial Services, LLC d.b.a. Empirical Wealth Management's Holding History (CIK: 0001510434)

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

Q1 2023
Shares 6,512 Value ($000) $231 Avg Close — Range —
Q4 2022
Shares 5,892 Value ($000) $201 Avg Close — Range —
Q1 2022
Shares 9,850 Value ($000) $392 Avg Close — Range —