1
Nuveen
Preferred
and
Income
Fund
Portfolio
of
Investments
April
30,
2023
(Unaudited)
JPT
Principal
Amount
(000)
/
Shares
Description
(1)
Coupon
Maturity
Ratings
(2)
Value
LONG-TERM
INVESTMENTS
-
148.6%  
(99.1%
of
Total
Investments) 
X
63,303,972
$1,000
PAR
(OR
SIMILAR)
INSTITUTIONAL
PREFERRED
-
78.8%
(52.6%
of
Total
Investments)
X
63,303,972
Automobiles
-
2.2%
$
550
General
Motors
Financial
Co
Inc
5.700%
N/A
(3)
BB+
$
480,562
1,479
General
Motors
Financial
Co
Inc
5.750%
N/A
(3)
BB+
1,255,331
Total
Automobiles
1,735,893
Banks
-
28.4%
240
Bank
of
America
Corp
6.100%
N/A
(3)
BBB+
235,500
550
Bank
of
America
Corp
6.250%
N/A
(3)
BBB+
537,680
685
Bank
of
America
Corp
6.500%
N/A
(3)
BBB+
682,890
365
Bank
of
America
Corp
4.375%
N/A
(3)
BBB+
311,162
730
Bank
of
America
Corp
6.300%
N/A
(3)
BBB+
735,148
1,455
Citigroup
Inc
6.300%
N/A
(3)
BBB-
1,372,502
1,337
Citigroup
Inc
5.950%
N/A
(3)
BBB-
1,253,461
420
Citigroup
Inc
4.150%
N/A
(3)
BBB-
345,450
630
Citigroup
Inc
5.000%
N/A
(3)
BBB-
590,625
240
Citigroup
Inc
7.375%
N/A
(3)
BBB-
237,000
900
Citigroup
Inc
6.250%
N/A
(3)
BBB-
882,693
444
Citizens
Financial
Group
Inc
6.375%
N/A
(3)
Baa3
384,060
880
CoBank
ACB
6.450%
N/A
(3)
BBB+
829,332
833
CoBank
ACB
6.250%
N/A
(3)
BBB+
784,103
200
Fifth
Third
Bancorp
4.500%
N/A
(3)
Baa3
177,130
475
First
Citizens
BancShares
Inc/NC
(3-Month
LIBOR
reference
rate
+
3.972%
spread)
(4)
8.838%
N/A
(3)
Ba1
440,563
775
Huntington
Bancshares
Inc/OH
5.625%
N/A
(3)
Baa3
691,319
1,290
JPMorgan
Chase
&
Co
5.000%
N/A
(3)
BBB+
1,236,292
345
JPMorgan
Chase
&
Co
6.100%
N/A
(3)
BBB+
341,367
1,910
JPMorgan
Chase
&
Co
6.750%
N/A
(3)
BBB+
1,907,708
315
KeyCorp
5.000%
N/A
(3)
Baa3
248,850
220
M&T
Bank
Corp
3.500%
N/A
(3)
Baa2
144,650
515
M&T
Bank
Corp
5.125%
N/A
(3)
Baa2
398,854
345
M&T
Bank
Corp
6.450%
N/A
(3)
Baa2
312,441
170
PNC
Financial
Services
Group
Inc/The
6.200%
N/A
(3)
Baa2
160,090
420
PNC
Financial
Services
Group
Inc/The
6.000%
N/A
(3)
Baa2
389,550
485
PNC
Financial
Services
Group
Inc/The
3.400%
N/A
(3)
Baa2
371,061
875
PNC
Financial
Services
Group
Inc/The
6.250%
N/A
(3)
Baa2
801,937
266
PNC
Financial
Services
Group
Inc/The
5.000%
N/A
(3)
Baa2
242,060
310
Regions
Financial
Corp
5.750%
N/A
(3)
Baa3
293,026
525
Truist
Financial
Corp
(3-Month
LIBOR
reference
rate
+
3.102%
spread)
(4)
7.968%
N/A
(3)
Baa2
504,000
605
Truist
Financial
Corp
5.100%
N/A
(3)
Baa2
533,648
1,265
Truist
Financial
Corp
4.800%
N/A
(3)
Baa2
1,098,969
885
Wells
Fargo
&
Co
5.900%
N/A
(3)
Baa2
834,466
805
Wells
Fargo
&
Co
7.950%
11/15/29
Baa1
897,304
1,040
Wells
Fargo
&
Co
5.875%
N/A
(3)
Baa2
1,017,349
355
Zions
Bancorp
NA
7.200%
N/A
(3)
BB+
304,767
355
Zions
Bancorp
NA
5.800%
N/A
(3)
BB+
278,351
Total
Banks
22,807,358
Capital
Markets
-
3.2%
205
Bank
of
New
York
Mellon
Corp/The
4.700%
N/A
(3)
Baa1
199,619
595
Charles
Schwab
Corp/The
5.375%
N/A
(3)
Baa2
566,366
878
Goldman
Sachs
Group
Inc/The
5.500%
N/A
(3)
BBB-
847,155
360
Goldman
Sachs
Group
Inc/The
4.125%
N/A
(3)
BBB-
301,758
Nuveen
Preferred
and
Income
Fund
(continued)
Portfolio
of
Investments
April
30,
2023
(Unaudited)
2
JPT
Principal
Amount
(000)
/
Shares
Description
(1)
Coupon
Maturity
Ratings
(2)
Value
Capital
Markets
(continued)
$
709
Goldman
Sachs
Group
Inc/The
5.300%
N/A
(3)
BBB-
$
672,689
Total
Capital
Markets
2,587,587
Consumer
Finance
-
2.3%
470
Ally
Financial
Inc
4.700%
N/A
(3)
Ba2
346,625
475
Ally
Financial
Inc
4.700%
N/A
(3)
Ba2
333,688
435
American
Express
Co
3.550%
N/A
(3)
Baa2
365,478
500
Capital
One
Financial
Corp
3.950%
N/A
(3)
Baa3
368,819
335
Discover
Financial
Services
6.125%
N/A
(3)
Ba1
317,138
145
Discover
Financial
Services
5.500%
N/A
(3)
Ba1
110,200
Total
Consumer
Finance
1,841,948
Electric
Utilities
-
2.7%
345
American
Electric
Power
Co
Inc
3.875%
2/15/62
BBB
276,112
370
Edison
International
5.000%
N/A
(3)
BB+
316,282
160
Edison
International
5.375%
N/A
(3)
BB+
142,484
1,125
Emera
Inc
6.750%
6/15/76
BB+
1,071,464
360
Southern
Co/The
4.000%
1/15/51
BBB-
338,256
Total
Electric
Utilities
2,144,598
Financial
Services
-
4.9%
305
American
AgCredit
Corp,
144A
5.250%
N/A
(3)
BB+
265,350
425
Capital
Farm
Credit
ACA,
144A
5.000%
N/A
(3)
BB
382,500
250
Compeer
Financial
ACA,
144A
4.875%
N/A
(3)
BB+
220,000
2
Compeer
Financial
ACA,
144A
6.750%
N/A
(3)
BB+
1,990,032
630
Equitable
Holdings
Inc
4.950%
N/A
(3)
BBB-
574,123
560
Voya
Financial
Inc
6.125%
N/A
(3)
BBB-
539,381
Total
Financial
Services
3,971,386
Food
Products
-
5.9%
2,005
Dairy
Farmers
of
America
Inc,
144A
7.125%
N/A
(3)
BB+
1,704,250
1,275
Land
O'
Lakes
Inc,
144A
7.000%
N/A
(3)
BB
1,083,750
620
Land
O'
Lakes
Inc,
144A
7.250%
N/A
(3)
BB
533,200
1,550
Land
O'
Lakes
Inc,
144A
8.000%
N/A
(3)
BB
1,426,000
Total
Food
Products
4,747,200
Independent
Power
and
Renewable
Electricity
Producers
-
1.1%
355
AES
Andes
SA,
144A
7.125%
3/26/79
BB
334,410
245
AES
Andes
SA,
144A
6.350%
10/07/79
BB
227,333
200
Vistra
Corp,
144A
8.000%
N/A
(3)
Ba3
188,500
195
Vistra
Corp,
144A
7.000%
N/A
(3)
Ba3
174,881
Total
Independent
Power
and
Renewable
Electricity
Producers
925,124
Industrial
Conglomerates
-
0.6%
465
General
Electric
Co
(3-Month
LIBOR
reference
rate
+
3.330%
spread)
(4)
8.196%
N/A
(3)
BBB-
464,186
Total
Industrial
Conglomerates
464,186
Insurance
-
15.6%
280
Aegon
NV
5.500%
4/11/48
Baa1
271,544
260
American
International
Group
Inc
5.750%
4/01/48
BBB-
250,250
1,490
Assurant
Inc
7.000%
3/27/48
Baa3
1,421,389
3,390
Assured
Guaranty
Municipal
Holdings
Inc,
144A
(5)
6.400%
12/15/66
BBB+
3,034,050
440
AXIS
Specialty
Finance
LLC
4.900%
1/15/40
BBB
353,653
375
Enstar
Finance
LLC
5.500%
1/15/42
BBB-
269,961
220
Enstar
Finance
LLC
5.750%
9/01/40
BBB-
183,667
845
Markel
Corp
6.000%
N/A
(3)
BBB-
821,025
205
MetLife
Inc
5.875%
N/A
(3)
BBB
190,229
3
Principal
Amount
(000)
/
Shares
Description
(1)
Coupon
Maturity
Ratings
(2)
Value
Insurance
(continued)
$
900
MetLife
Inc,
144A
9.250%
4/08/38
BBB
$
1,059,750
450
PartnerRe
Finance
B
LLC
4.500%
10/01/50
Baa1
378,066
750
Provident
Financing
Trust
I
7.405%
3/15/38
BB+
753,750
200
Prudential
Financial
Inc
5.125%
3/01/52
BBB+
180,946
125
Prudential
Financial
Inc
3.700%
10/01/50
BBB+
107,120
268
QBE
Insurance
Group
Ltd
,
Reg
S
6.750%
12/02/44
BBB
265,434
840
QBE
Insurance
Group
Ltd,
144A
7.500%
11/24/43
Baa1
839,908
940
QBE
Insurance
Group
Ltd,
144A
5.875%
N/A
(3)
Baa2
887,533
1,290
SBL
Holdings
Inc,
144A
7.000%
N/A
(3)
BB
832,050
740
SBL
Holdings
Inc,
144A
6.500%
N/A
(3)
BB
430,821
Total
Insurance
12,531,146
Media
-
0.3%
295
Paramount
Global
6.375%
3/30/62
Baa3
253,039
Total
Media
253,039
Multi-Utilities
-
2.7%
225
Algonquin
Power
&
Utilities
Corp
4.750%
1/18/82
BB+
181,969
840
CenterPoint
Energy
Inc
6.125%
N/A
(3)
BBB-
800,100
75
CMS
Energy
Corp
4.750%
6/01/50
BBB-
65,625
304
NiSource
Inc
5.650%
N/A
(3)
BBB-
288,466
440
Sempra
Energy
4.875%
N/A
(3)
BBB-
413,759
475
Sempra
Energy
4.125%
4/01/52
BBB-
384,675
Total
Multi-Utilities
2,134,594
Oil,
Gas
&
Consumable
Fuels
-
2.5%
350
Enbridge
Inc
7.625%
1/15/83
BBB-
356,503
220
Enbridge
Inc
5.500%
7/15/77
BBB-
194,689
630
Enbridge
Inc
5.750%
7/15/80
BBB-
576,713
155
Enbridge
Inc
6.000%
1/15/77
BBB-
144,858
295
Energy
Transfer
LP
6.500%
N/A
(3)
BB
261,075
60
Energy
Transfer
LP
7.125%
N/A
(3)
BB
50,550
223
Transcanada
Trust
5.500%
9/15/79
BBB-
188,947
300
Transcanada
Trust
5.600%
3/07/82
BBB-
253,662
Total
Oil,
Gas
&
Consumable
Fuels
2,026,997
Trading
Companies
&
Distributors
-
3.9%
2,600
AerCap
Global
Aviation
Trust,
144A
6.500%
6/15/45
Baa3
2,442,133
255
AerCap
Holdings
NV
5.875%
10/10/79
BB+
236,525
580
Air
Lease
Corp
4.650%
N/A
(3)
BB+
476,295
Total
Trading
Companies
&
Distributors
3,154,953
U.S.
Agency
-
1.4%
615
Farm
Credit
Bank
of
Texas,
144A
6.200%
N/A
(3)
BBB+
539,663
640
Farm
Credit
Bank
of
Texas,
144A
5.700%
N/A
(3)
Baa1
556,800
Total
U.S.
Agency
1,096,463
Wireless
Telecommunication
Services
-
1.1%
860
Vodafone
Group
PLC
7.000%
4/04/79
BB+
881,500
Total
Wireless
Telecommunication
Services
881,500
Total
$1,000
Par
(or
similar)
Institutional
Preferred
(cost
$70,339,924)
63,303,972
Nuveen
Preferred
and
Income
Fund
(continued)
Portfolio
of
Investments
April
30,
2023
(Unaudited)
4
JPT
Principal
Amount
(000)
Description
(1)
,(6)
Coupon
Maturity
Ratings
(2)
Value
X
33,515,696
CONTINGENT
CAPITAL
SECURITIES
-
41.7%
(27.8%
of
Total
Investments)
X
33,515,696
Banks
-
33.9%
$
225
Banco
Bilbao
Vizcaya
Argentaria
SA
6.125%
N/A
(3)
Ba2
$
179,342
1,355
Banco
Bilbao
Vizcaya
Argentaria
SA
6.500%
N/A
(3)
Ba2
1,235,665
740
Banco
Mercantil
del
Norte
SA/Grand
Cayman,
144A
7.500%
N/A
(3)
Ba2
653,050
1,600
Banco
Santander
SA
,
Reg
S
7.500%
N/A
(3)
Ba1
1,536,000
745
Barclays
PLC
8.000%
N/A
(3)
BBB-
687,188
1,600
Barclays
PLC
7.750%
N/A
(3)
BBB-
1,505,632
1,000
Barclays
PLC
6.125%
N/A
(3)
BBB-
858,900
675
Barclays
PLC
8.000%
N/A
(3)
BBB-
591,233
1,890
BNP
Paribas
SA,
144A
6.625%
N/A
(3)
BBB
1,800,981
740
BNP
Paribas
SA,
144A
7.750%
N/A
(3)
BBB
706,700
250
BNP
Paribas
SA,
144A
9.250%
N/A
(3)
BBB
257,100
1,835
Credit
Agricole
SA,
144A
8.125%
N/A
(3)
BBB
1,818,122
2,730
HSBC
Holdings
PLC
6.375%
N/A
(3)
BBB
2,587,016
1,655
HSBC
Holdings
PLC
6.000%
N/A
(3)
BBB
1,462,193
285
ING
Groep
NV
,
Reg
S
6.750%
N/A
(3)
BBB
267,188
2,545
ING
Groep
NV
6.500%
N/A
(3)
BBB
2,352,126
3,200
Lloyds
Banking
Group
PLC
7.500%
N/A
(3)
Baa3
3,033,888
580
Macquarie
Bank
Ltd/London,
144A
6.125%
N/A
(3)
BB+
499,985
1,880
NatWest
Group
PLC
6.000%
N/A
(3)
Baa3
1,762,312
480
Nordea
Bank
Abp,
144A
6.625%
N/A
(3)
BBB+
449,506
250
Societe
Generale
SA,
144A
9.375%
N/A
(3)
BB+
237,350
1,730
Societe
Generale
SA,
144A
7.875%
N/A
(3)
BB+
1,652,842
345
Standard
Chartered
PLC,
144A
4.300%
N/A
(3)
BBB-
243,259
365
Standard
Chartered
PLC,
144A
6.000%
N/A
(3)
BBB-
344,212
550
UniCredit
SpA
,
Reg
S
8.000%
N/A
(3)
BB-
530,887
Total
Banks
27,252,677
Capital
Markets
-
7.8%
2,900
Credit
Suisse
Group
AG,
144A
7.500%
N/A
(3)
C
108,750
620
Credit
Suisse
Group
AG,
144A
9.750%
N/A
(3)
C
23,250
1,000
Credit
Suisse
Group
AG,
144A
6.375%
N/A
(3)
Ba2
37,500
2,000
Deutsche
Bank
AG
6.000%
N/A
(3)
Ba2
1,489,800
1,570
UBS
Group
AG,
144A
7.000%
N/A
(3)
BBB
1,471,875
3,475
UBS
Group
AG
,
Reg
S
6.875%
N/A
(3)
BBB
3,131,844
Total
Capital
Markets
6,263,019
Total
Contingent
Capital
Securities
(cost
$42,012,415)
33,515,696
Shares
Description
(1)
Coupon
Ratings
(2)
Value
X
21,285,964
$25
PAR
(OR
SIMILAR)
RETAIL
PREFERRED
-
26.5%
(17.7%
of
Total
Investments)
X
21,285,964
Banks
-
7.6%
4,740
CoBank
ACB
6.200%
BBB+
$
452,670
15,000
Farm
Credit
Bank
of
Texas,
144A
6.750%
Baa1
1,462,500
19,366
Fifth
Third
Bancorp
6.625%
Baa3
474,467
43,000
KeyCorp
6.200%
Baa3
954,600
8,100
KeyCorp
6.125%
Baa3
182,169
31,600
New
York
Community
Bancorp
Inc
6.375%
Ba2
739,756
21,268
Regions
Financial
Corp
6.375%
Baa3
509,581
10,600
Regions
Financial
Corp
5.700%
Baa3
245,284
11,558
Synovus
Financial
Corp
5.875%
BB-
244,567
16,400
Wells
Fargo
&
Co
4.750%
Baa2
329,968
7,900
Western
Alliance
Bancorp
4.250%
Ba3
124,820
15,308
Wintrust
Financial
Corp
6.875%
BB
362,341
Total
Banks
6,082,723
5
Shares  
Description
(1)
Coupon
Ratings
(2)
Value
Capital
Markets
-
3.0%
5,207
Goldman
Sachs
Group
Inc/The
5.500%
BB+
$
130,696
19,451
Morgan
Stanley
6.875%
BBB
493,666
33,800
Morgan
Stanley
5.850%
BBB
845,338
7,300
Morgan
Stanley
6.500%
BBB
190,822
16,433
Morgan
Stanley
6.375%
BBB
412,961
12,974
Morgan
Stanley
7.125%
BBB
330,578
Total
Capital
Markets
2,404,061
Consumer
Finance
-
0.2%
11,900
Synchrony
Financial
5.625%
BB-
201,705
Total
Consumer
Finance
201,705
Diversified
Telecommunication
Services
-
0.2%
8,700
AT&T
Inc
4.750%
BBB-
181,656
Total
Diversified
Telecommunication
Services
181,656
Financial
Services
-
3.1%
12,213
AgriBank
FCB
6.875%
BBB+
1,221,300
18,500
Equitable
Holdings
Inc
5.250%
BBB-
397,195
35,623
Voya
Financial
Inc
5.350%
BBB-
869,201
Total
Financial
Services
2,487,696
Food
Products
-
2.3%
31,207
CHS
Inc
7.100%
N/R
773,934
31,132
CHS
Inc
6.750%
N/R
780,791
10,959
CHS
Inc
7.875%
N/R
286,687
Total
Food
Products
1,841,412
Insurance
-
7.4%
43,600
American
Equity
Investment
Life
Holding
Co
5.950%
BB
1,005,416
23,700
American
Equity
Investment
Life
Holding
Co
6.625%
BB
565,956
38,688
Aspen
Insurance
Holdings
Ltd
5.950%
BB+
933,154
16,280
Aspen
Insurance
Holdings
Ltd
5.625%
BB+
333,740
12,000
Assurant
Inc
5.250%
Baa3
255,240
24,100
Athene
Holding
Ltd
6.375%
BBB
543,455
27,700
Athene
Holding
Ltd
6.350%
BBB
600,813
23,000
Enstar
Group
Ltd
7.000%
BBB-
526,700
26,902
Reinsurance
Group
of
America
Inc
5.750%
BBB+
681,428
11,600
Reinsurance
Group
of
America
Inc
7.125%
BBB+
304,500
9,463
Selective
Insurance
Group
Inc
4.600%
BBB-
164,183
Total
Insurance
5,914,585
Oil,
Gas
&
Consumable
Fuels
-
2.1%
5,100
Energy
Transfer
LP
7.600%
BB
117,912
31,634
NuStar
Energy
LP
12.065%
B2
783,574
24,163
NuStar
Energy
LP
10.942%
B2
557,440
10,020
NuStar
Logistics
LP
11.994%
B
255,911
Total
Oil,
Gas
&
Consumable
Fuels
1,714,837
Trading
Companies
&
Distributors
-
0.6%
11,571
Air
Lease
Corp
6.150%
BB+
253,289
7,500
WESCO
International
Inc
10.625%
B+
204,000
Total
Trading
Companies
&
Distributors
457,289
Total
$25
Par
(or
similar)
Retail
Preferred
(cost
$23,269,586)
21,285,964
Nuveen
Preferred
and
Income
Fund
(continued)
Portfolio
of
Investments
April
30,
2023
(Unaudited)
6
JPT
Part
F
of
Form
N-PORT
was
prepared
in
accordance
with
U.S.
generally
accepted
accounting
principles
(“U.S.
GAAP”)
and
in
conformity
with
the
applicable
rules
and
regulations
of
the
U.S.
Securities
and
Exchange
Commission
(“SEC”)
related
to
interim
filings.
Part
F
of
Form
N-PORT
does
not
include
all
information
and
footnotes
required
by
U.S.
GAAP
for
complete
financial
statements.
Certain
footnote
disclosures
normally
included
in
financial
statements
prepared
in
accordance
with
U.S.
GAAP
have
been
condensed
or
omitted
from
this
report
pursuant
to
the
rules
of
the
SEC.
For
a
full
set
of
the
Fund’s
notes
to
financial
statements,
please
refer
to
the
Fund’s
most
recently
filed
annual
or
semi-annual
report.
Fair
Value
Measurements
The
Fund’s
investments
in
securities
are
recorded
at
their
estimated
fair
value
utilizing
valuation
methods
approved
by
the
Board
of
Directors/
Trustees.
Fair
value
is
defined
as
the
price
that
would
be
received
upon
selling
an
investment
or
transferring
a
liability
in
an
orderly
transaction
to
an
independent
buyer
in
the
principal
or
most
advantageous
market
for
the
investment.
U.S.
GAAP
establishes
the
three-tier
hierarchy
which
is
used
to
maximize
the
use
of
observable
market
data
and
minimize
the
use
of
unobservable
inputs
and
to
establish
classification
of
fair
value
measurements
for
disclosure
purposes.
Observable
inputs
reflect
the
assumptions
market
participants
would
use
in
pricing
the
asset
or
liability.
Observable
inputs
are
based
on
market
data
obtained
from
sources
independent
of
the
reporting
entity.
Unobservable
inputs
reflect
management’s
assumptions
about
the
assumptions
market
participants
would
use
in
pricing
the
asset
or
liability.
Unobservable
inputs
are
based
on
the
best
information
available
in
the
circumstances.
The
following
is
a
summary
of
the
three-tiered
hierarchy
of
valuation
input
levels.
Level
1
–
Inputs
are
unadjusted
and
prices
are
determined
using
quoted
prices
in
active
markets
for
identical
securities.
Level
2
–
Prices
are
determined
using
other
significant
observable
inputs
(including
quoted
prices
for
similar
securities,
interest
rates,
credit
spreads,
etc.).
Level
3
–
Prices
are
determined
using
significant
unobservable
inputs
(including
management’s
assumptions
in
determining
the
fair
value
of
investments).
The
following
table
summarizes
the
market
value
of
the
Fund's
investments
as
of
the
end
of
the
reporting
period,
based
on
the
inputs
used
to
value
them:
Principal
Amount
(000)
Description
(1)
Coupon
Maturity
Ratings
(2)
Value
X
1,268,077
CORPORATE
BONDS
-
1.6%
(1.0%
of
Total
Investments)
X
1,268,077
Banks
-
1.2%
$
1,000
Commerzbank
AG,
144A
8.125%
9/19/23
Baa3
$
989,302
Total
Banks
989,302
Insurance
-
0.4%
295
Fidelis
Insurance
Holdings
Ltd,
144A
6.625%
4/01/41
BB+
278,775
Total
Insurance
278,775
Total
Corporate
Bonds
(cost
$1,446,250)
1,268,077
Total
Long-Term
Investments
(cost
$137,068,175)
119,373,709
Principal
Amount
(000)
Description
(1)
Coupon
Maturity
Value
SHORT-TERM
INVESTMENTS
-
 1.3% (0.9%
of
Total
Investments) 
X
1,031,677
REPURCHASE
AGREEMENTS
-
1.3%
(0.9%
of
Total
Investments)
X
1,031,677
$
1,032
Repurchase
Agreement
with
Fixed
Income
Clearing
Corporation,
dated
4/28/23,
repurchase
price
$1,031,801,
collateralized
by
$1,150,800,
U.S.
Treasury
Note,
0.750%,
due
5/31/26,
value
$1,052,334
1.440%
5/01/23
$
1,031,677
Total
Repurchase
Agreements
(cost
$1,031,677)
1,031,677
Total
Short-Term
Investments
(cost
$1,031,677)
1,031,677
Total
Investments
(cost
$
138,099,852
)
-
149
.9
%
120,405,386
Borrowings
-
(49.2)%
(7),(8)
(
39,500,000
)
Reverse
Repurchase
Agreements,
including
accrued
interest
-
(1.9)%(9)
(
1,515,656
)
Other
Assets
&
Liabilities,
Net
-  1.2%
945,397
Net
Assets
Applicable
to
Common
Shares
-
100%
$
80,335,127
7
Level
1
Level
2
Level
3
Total
Long-Term
Investments:
$1,000
Par
(or
similar)
Institutional
Preferred
$
1,990,032
$
61,313,940
$
–
$
63,303,972
Contingent
Capital
Securities
–
33,515,696
–
33,515,696
$25
Par
(or
similar)
Retail
Preferred
19,611,994
1,673,970
–
21,285,964
Corporate
Bonds
–
1,268,077
–
1,268,077
Short-Term
Investments:
Repurchase
Agreements
–
1,031,677
–
1,031,677
Total
$
21,602,026
$
98,803,360
$
–
$
120,405,386
For
Fund
portfolio
compliance
purposes,
the
Fund’s
industry
classifications
refer
to
any
one
or
more
of
the
industry
sub-classifications
used
by
one
or
more
widely
recognized
market
indexes
or
ratings
group
indexes,
and/or
as
defined
by
Fund
management.
This
definition
may
not
apply
for
purposes
of
this
report,
which
may
combine
industry
sub-classifications
into
sectors
for
reporting
ease.
(1)
All
percentages
shown
in
the
Portfolio
of
Investments
are
based
on
net
assets
applicable
to
common
shares
unless
otherwise
noted.
(2)
For
financial
reporting
purposes,
the
ratings
disclosed
are
the
highest
of
Standard
&
Poor’s
Group
(“Standard
&
Poor’s”),
Moody’s
Investors
Service,
Inc.
(“Moody’s”)
or
Fitch,
Inc.
(“Fitch”)
rating.
This
treatment
of
split-rated
securities
may
differ
from
that
used
for
other
purposes,
such
as
for
Fund
investment
policies.
Ratings
below
BBB
by
Standard
&
Poor’s,
Baa
by
Moody’s
or
BBB
by
Fitch
are
considered
to
be
below
investment
grade.
Holdings
designated
N/R
are
not
rated
by
any
of
these
national
rating
agencies.
(3)
Perpetual
security.
Maturity
date
is
not
applicable.
(4)
Variable
rate
security.
The
rate
shown
is
the
coupon
as
of
the
end
of
the
reporting
period.
(5)
Investment,
or
portion
of
investment,
has
been
pledged
to
collateralize
the
net
payment
obligations
for
investments
in
reverse
repurchase
agreements.
As
of
the
end
of
the
reporting
period,
investments
with
a
value
of
$1,991,375
have
been
pledged
as
collateral
for
reverse
repurchase
agreements.
(6)
Contingent
Capital
Securities
(“CoCos”)
are
hybrid
securities
with
loss
absorption
characteristics
built
into
the
terms
of
the
security
for
the
benefit
of
the
issuer.
For
example,
the
terms
may
specify
an
automatic
write-down
of
principal
or
a
mandatory
conversion
into
the
issuer’s
common
stock
under
certain
adverse
circumstances,
such
as
the
issuer’s
capital
ratio
falling
below
a
specified
level.
(7)
Borrowings
as
a
percentage
of
Total
Investments
is
32.8%.
(8)
The
Fund
segregates
100%
of
its
eligible
investments
(excluding
any
investments
separately
pledged
as
collateral
for
specific
investments
in
derivatives,
when
applicable)
in
the
Portfolio
of
Investments
as
collateral
for
borrowings.
(9)
Reverse
Repurchase
Agreements,
including
accrued
interest
as
a
percentage
of
Total
investments
is
1.3%.
144A
Investment
is
exempt
from
registration
under
Rule
144A
of
the
Securities
Act
of
1933,
as
amended.
These
investments
may
only
be
resold
in
transactions
exempt
from
registration,
which
are
normally
those
transactions
with
qualified
institutional
buyers.
LIBOR
London
Inter-Bank
Offered
Rate
Reg
S
Regulation
S
allows
U.S.
companies
to
sell
securities
to
persons
or
entities
located
outside
of
the
United
States
without
registering
those
securities
with
the
Securities
and
Exchange
Commission.
Specifically,
Regulation
S
provides
a
safe
harbor
from
the
registration
requirements
of
the
Securities
Act
for
the
offers
and
sales
of
securities
by
both
foreign
and
domestic
issuers
that
are
made
outside
the
United
States.
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