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NUVOZZXNUVOCARGO - COMPANY LEVELNASDAQNUWJCXXNBC CANADIAN BANKS (5% AR) FLEX GIC SERIES 59F NL (871414A2)NASDAQNUXAXRATIONAL NUWAVE ENHANCED MARKET OPPORTUNITY MARKET FUND - CLASS ANASDAQNUXCXRATIONAL NUWAVE ENHANCED MARKET OPPORTUNITY MARKET FUND - CLASS CNASDAQNUXIXRATIONAL NUWAVE ENHANCED MARKET OPPORTUNITY MARKET FUND - INSTITUTIONANASDAQNUXKAXXNBC CALLABLE CONTINGENT INCOME USBB CH 3.25AR DSC (877542A2)NASDAQNUXWBXXNBC AUTO CALLABLE CONTINGENT INCOME USE CH 3DR DSC (878962A2)NASDAQNUYDGXXNBC AUTO CALL NT SECS MATURITY-MONITORED BARRIER LINKED TO THE SOLACTINASDAQNUYZAXXNBC CALLABLE CONTINGENT INCOME USBB CH 3.25AR DSC (876137A2)NASDAQNUYZXNBI SMARTDATA CANADIAN EQUITY FUND SERIES T5 ISC (876742A2)NASDAQNUZCIXXNBC AUTO CALLABLE CONTINGENT INCOME USE CH 3DR DSC (881956A2)NASDAQNVAAXNEUBERGER BERMAN VALUE FD CL ANASDAQNVABXCOLUMBIA VIRGINIA INTERMEDIATE MUNICIPAL BOND FUND CLASS INASDAQNVACXNEUBERGER BERMAN VALUE FUND CL CNASDAQNVAFXCOLUMBIA VIRGINIA INTERMEDIATE MUNICIPAL BOND FUND CLASS ANASDAQNVAHAXNUVEEN ARK GENOMIC HEALTHCARE AND BIOTECH PORTFOLNASDAQNVAKPAXNOVAKID - SHARE CL LEVEL - PRFD SHARE CL TYPE - SERIES A PRFD STOCKNASDAQNVAKPBXNOVAKID - SHARE CL LEVEL - PRFD SHARE CL TYPE - SERIES B PRFD STOCKNASDAQNVAKZZXNOVAKID - COMPANY LEVELNASDAQNVAMAXNUVEEN ARGUS MODERN INNOVATORS PORTFOLIO 3Q 2016NASDAQNVAMBXNUVEEN ARGUS MODERN INNOVATORS PORTFOLIO 4Q 2016NASDAQNVAMCXNUVEEN ARGUS MODERN INNOVATORS PORTFOLIO 1Q 2017 CASHNASDAQNVAMDXNUVEEN ARGUS MODERN INNOVATORS PORTFOLIO 2Q 2017 CASHNASDAQNVBLSXXNBC AUTO CALLABLE CONTINGENT INCOME SOLXIU 4DR F NL (878557A2)NASDAQNVBMWXXNBC AUTO CALLABLE CONTINGENT INCOME CBK AR5 DSC (880469A2)NASDAQNVBSAXNUVEEN BALANCE SHEET STRENGTH PORTFOLIO 3Q 2016 CNASDAQNVBSBXNUVEEN BALANCE SHEET STRENGTH PORTFOLIO 4Q 2016 CNASDAQNVBSCXNUVEEN BALANCE SHEET STRENGTH PORTFOLIO 1Q 2017 CASHNASDAQNVBSSXNUVEEN BALANCE SHEET STRENGTH PORTFOLIO 2Q 2016 CNASDAQNVCCXNUVEEN SHORT DURATION HIGH YIELD MUNICIPAL FD CL CNASDAQNVCDRXXNBC AUTO CALLABLE CONTINGENT INCOME SOGDX CH 3DR DSC (871283A2)NASDAQNVCFQXXNBC EXTENDIBLE COUPONS 4.80% FLEX GIC 25SE36 F NL (882089A2)NASDAQNVCKBXXNBC AUTO CALLABLE CONTINGENT INCOME SPY F NL (878284A2)NASDAQNVDAAXNUVEEN DYNAMIC ALLOCATION 60/40 PORTFOLIO 1Q 2017NASDAQNVDAXALLSPRING DIVERSIFIED EQUITY FUND CLASS ANASDAQNVDEXALLSPRING DIVERSIFIED EQUITY FUND ADMIN CLNASDAQNVDIAXNUVEEN NWQ DIVERSIFIED INCOME PORTFOLIO 4Q 2016 CNASDAQNVDIBXNUVEEN NWQ DIVERSIFIED INCOME PORTFOLIO 1Q 2017 CASHNASDAQNVDICXNUVEEN NWQ DIVERSIFIED INCOME PORTFOLIO 2Q 2017 CASHNASDAQNVDPSXXNBC CAN LARGE CAPITALIZATION COMPANIES AR FLEX GIC SER 125 DSC 878342ANASDAQNVECOXXNBC CALLABLE CONTINGENT INCOME USBB CH 3.25AR F NL (878955A2)NASDAQNVEDYXXNBC CAN LARGE CAPITALIZATION COMPANIES AR FLEX GIC SER 132 DSC 879849ANASDAQNVEQUXXNBC AUTO CALLABLE CONTINGENT INCOME CADMARKT DSC (882049A2)NASDAQNVFDQXXNBC CAN LARGE CAPITALIZATION COMPANIES AR FLEX GIC SER 109 DSC 874250ANASDAQNVFOSXNUVEEN FORMULA GLOBAL 50 S&P PORTFOLIO 3Q 2016 CANASDAQNVFOTXNUVEEN FORMULA GLOBAL 50 S&P PORTFOLIO 4Q 2016 CANASDAQNVFOUXNUVEEN FORMULA GLOBAL 50 S&P PORTFOLIO 1Q 2017 CANASDAQNVFVJXXNBC AUTO CALLABLE CBK AR5 DSC (883080A2)NASDAQNVGBXALLSPRING GROWTH BALANCED FUND ADMIN CLNASDAQNVHAXNUVEEN SHORT DURATION HIGH YIELD MUNICIPAL BOND FD CL ANASDAQNVHCXNUVEEN SHORT DURATION HIGH YIELD MUNICIPAL BOND FD CL CNASDAQNVHGUXXNBC AUTO CALLABLE CONTINGENT INCOME SOLXIU 5DR DSC (879718A2)NASDAQNVHIXNUVEEN SHORT DURATION HIGH YIELD MUNICIPAL BOND FD CL INASDAQNVHKDXXNBC CALLABLE CONTINGENT INCOME USBB CH 3.25AR DSC (878737A2)NASDAQNVHVEXXNBC EXTENDIBLE LINEAR ACCRUAL 6.80% FLEX GIC SER 333F NL (871455A2)NASDAQNVIDUXNUVEEN ARGUS INTERNATIONAL DIVIDEND SEEKER PORTFONASDAQNVIDVXNUVEEN ARGUS INTERNATIONAL DIVIDEND SEEKER PORTFONASDAQNVIFEXNUVEEN FORMULA 10 DOW PORTFOLIO 3Q 2016 CASHNASDAQNVIFFXNUVEEN FORMULA 10 DOW PORTFOLIO 4Q 2016 CASHNASDAQNVIFGXNUVEEN FORMULA 10 DOW PORTFOLIO 1Q 2017 CASHNASDAQNVIFTXNUVEEN FORMULA 30 S&P PORTFOLIO 3Q 2016 CASHNASDAQNVIFUXNUVEEN FORMULA 30 S&P PORTFOLIO 4Q 2016 CASHNASDAQNVIFVXNUVEEN FORMULA 30 S&P PORTFOLIO 1Q 2017 CASHNASDAQNVIIBXXNBC AUTO CALL CAN UTILITIES 5% DECREMENT FLEX GIC 29SE33 DSC 880767A2NASDAQNVJMHXXNBC CALLABLE CONTINGENT INCOME USBB CH 3.25AR F NL (876530A2)NASDAQNVKAWXXNBC CALLABLE CONTINGENT INCOME USBB CH 3.25AR F NL (877873A2)NASDAQNVKFXNBI U.S EQUITY PRIVATE PORTFOLIO H SERIES/ISC FE (678312A2)NASDAQNVKUTXXNBC AUTO CALL CONTINGENT INC AMER BANKS AR GIC SER 8F NL 878585A2NASDAQNVLIXNUVEEN WINSLOW LARGE-CAP GROWTH ESG FUND CLASS INASDAQNVLYEXXNBC CALLABLE CONTINGENT INCOME USBB CH 3.25AR DSC (871275A2)NASDAQNVMBXALLSPRING MODERATE BALANCED FUND ADMIN CLNASDAQNVMFSXNUVEEN BOFA MERRILL LYNCH FOOD SECURITY PORTFOLIONASDAQNVMHUXXNBC AUTO CALLABLE CINS 5% AR DSC (880471A2)NASDAQNVMXCXXNBC CAN TELECOMMUNICATION SECTOR (AR) FLEX GIC SER 3 DSC (879839A2)NASDAQNVNEBXNUVEEN 2017 EQUITY OUTLOOK PORTFOLIONASDAQNVNEDXNUVEEN TIAA ESG GLOBAL DIVIDEND PORTFOLIO 3Q 2016NASDAQNVNEEXNUVEEN TIAA ESG GLOBAL DIVIDEND PORTFOLIO 4Q 2016NASDAQNVNEFXNUVEEN TIAA ESG GLOBAL DIVIDEND PORTFOLIO 1Q 2017 CASHNASDAQNVNEGXNUVEEN TIAA ESG GLOBAL DIVIDEND PORTFOLIO 2Q 2017 CASHNASDAQNVNGAXNUVEEN NWQ GLOBAL DIVIDEND VALUE PORTFOLIO 3Q 201NASDAQNVNGBXNUVEEN NWQ GLOBAL DIVIDEND VALUE PORTFOLIO 4Q 201NASDAQNVNGCXNUVEEN NWQ GLOBAL DIVIDEND VALUE PORTFOLIO 1Q 2017 CASHNASDAQNVNGDXNUVEEN NWQ GLOBAL DIVIDEND VALUE PORTFOLIO 2Q 201NASDAQNVNHAXNUVEEN NAJARIAN HEAT SEEKER PORTFOLIO 3Q 2016 CASNASDAQNVNHBXNUVEEN NAJARIAN HEAT SEEKER PORTFOLIO 4Q 2016 CASNASDAQNVNHCXNUVEEN NAJARIAN HEAT SEEKER PORTFOLIO 1Q 2017 CASNASDAQNVNLAXNUVEEN LARGE CAP DIVIDEND PORTFOLIO 4Q 2016 CASHNASDAQNVNLBXNUVEEN LARGE CAP DIVIDEND PORTFOLIO 1Q 2017 CASHNASDAQNVNLCXNUVEEN LARGE CAP DIVIDEND PORTFOLIO 2Q 2017 CASHNASDAQNVNRAXNUVEEN CORE REAL ESTATE SECURITIES PORTFOLIO 4Q 2NASDAQNVNRBXNUVEEN CORE REAL ESTATE SECURITIES PORTFOLIO 1Q 2NASDAQNVNRIXNUVEEN CORE REAL ESTATE SECURITIES PORTFOLIO 3Q 2NASDAQNVNSBXNUVEEN SYMPHONY LOW VOLATILITY EQUITY PORTFOLIO 4NASDAQNVNSCXNUVEEN SYMPHONY LOW VOLATILITY EQUITY PORTFOLIO 1NASDAQNVOAXNUVEEN TRADEWINDS VALUE OPPORTUNITIES FUND CL ANASDAQNVOCXNUVEEN TRADEWINDS VALUE OPPORTUNITIES FUND CL CNASDAQNVOLCAXNOVOLOOP - SHARE CLASS LEVEL - COMMON SHARE CLASS TYPE - COMMON STOCKNASDAQNVOLPAXNOVOLOOP - SHARE CL LEVEL - PRFD SHARE CL TYPE - SER A-1 PRFD STOCKNASDAQNVOLPBXNOVOLOOP - SHARE CL LEVEL - PRFD SHARE CL TYPE - SER A-2 PRFD STOCKNASDAQNVOLPCXNOVOLOOP - SHARE CL LEVEL - PRFD SHARE CL TYPE - SER A-3 PRFD STOCKNASDAQ