SEC Form 5 · accession 0001209191-18-055062
NUVEEN FLOATING RATE INCOME FUND · JFR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Of Columbus Knights
10% Owner
Period of report
Jul 31, 2018
Accepted (ET)
Oct 16, 2018 · 12:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001276533
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Preferred Stock 67072TAD0 | Jan 13, 2017 | S | 4,000 | $1,001.00 | D | 51,000,000 | D | |
| Preferred Stock 67072TAD0F1 | holding | — | — | — | 55,000,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Knights of Columbus became a beneficial owner of these securities as of December 22, 2016, which made Knights of Columbus subject to Section 16 as a 10% holder based upon 90,200 shares of Term Preferred Shares outstanding as of January 31, 2017, as set forth in the issuer's financial statements contained in its semi-annual report to shareholders for the period ended January 31, 2017, as filed with the Securities and Exchange Commission on April 4, 2017.