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Document/Exhibit Description Pages Size 1: N-Q Nuveen Investment Funds, Inc. HTML 4.50M 2: EX-99.CERT Certifications HTML 20K
Nuveen Investment Funds, Inc. |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-05309
Nuveen Investment Funds, Inc.
(Exact name of registrant as specified in charter)
Nuveen Investments
333 West Wacker Drive, Chicago, Illinois 60606
(Address of principal executive offices) (Zip code)
Kevin J. McCarthy—Vice President and Secretary
333 West Wacker Drive, Chicago, Illinois 60606
(Name and address of agent for service)
Registrant’s telephone number, including area code: 312-917-7700
Date of fiscal year end: October 31
Date of reporting period: January 31, 2014
Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Schedule of Investments.
Nuveen International Select Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 92.6% |
||||||||||||||
COMMON STOCKS – 92.4% |
||||||||||||||
Argentina – 0.2% |
||||||||||||||
43,654 | YPF Sociedad Anonima |
$ | 968,682 | |||||||||||
Australia – 0.9% |
||||||||||||||
35,243 | Asciano Group, (3) |
172,968 | ||||||||||||
48,143 | Aurizon Holdings, (3) |
207,034 | ||||||||||||
49,931 | DUET Group, (3) |
91,074 | ||||||||||||
443,865 | Incitec Pivot, (3) |
1,108,759 | ||||||||||||
7,752 | Macquarie Atlas Roads Group, (3) |
19,140 | ||||||||||||
193,451 | Mesoblast Ltd, (3) |
995,571 | ||||||||||||
61,614 | Spark Infrastructure Group, (3) |
88,495 | ||||||||||||
93,792 | Sydney Airport, (3) |
323,474 | ||||||||||||
145,174 | Transurban Group, (3) |
877,161 | ||||||||||||
Total Australia |
3,883,676 | |||||||||||||
Austria – 0.0% |
||||||||||||||
1,638 | Flughafen Wien, (3) |
131,725 | ||||||||||||
339 | Oesterreichische Post, (3) |
15,623 | ||||||||||||
Total Austria |
147,348 | |||||||||||||
Belgium – 0.1% |
||||||||||||||
9,703 | bpost |
189,100 | ||||||||||||
920 | Elia System Operator, (3) |
42,353 | ||||||||||||
Total Belgium |
231,453 | |||||||||||||
Bermuda – 0.7% |
||||||||||||||
1,401,892 | Biosensors International Group, (3) |
947,252 | ||||||||||||
185,884 | Bw Lpg Ltd |
2,065,394 | ||||||||||||
Total Bermuda |
3,012,646 | |||||||||||||
Brazil – 2.8% |
||||||||||||||
16,382 | Alupar Investimento, (3) |
105,623 | ||||||||||||
154,500 | Ambev Sa |
1,010,430 | ||||||||||||
287,443 | Banco do Brasil, (3) |
2,472,492 | ||||||||||||
148,700 | BB Seguridade Participacoes |
1,398,732 | ||||||||||||
81,503 | Cielo S.A., (3) |
2,158,721 | ||||||||||||
136,146 | Companhia de Concessoes Rodoviarias, (3) |
873,331 | ||||||||||||
3,261 | Companhia de Saneamento Basico do Estado de Sao Paulo, ADR |
29,773 | ||||||||||||
2,206 | Companhia de Saneamento de Minas Gerais |
28,767 |
Nuveen Investments | 1 |
Nuveen International Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Brazil (continued) |
||||||||||||||
7,312 | CPFL Energias Renovaveis, (2) |
$ | 39,359 | |||||||||||
14,925 | Energias do Brasil |
59,681 | ||||||||||||
11,000 | Localiza Rent A Ca |
139,024 | ||||||||||||
45,400 | Natura Cosmeticos, (3) |
735,407 | ||||||||||||
99,295 | Souza Cruz |
869,410 | ||||||||||||
66,500 | Vale, ADR |
904,400 | ||||||||||||
67,200 | Via Varejo Sa |
643,249 | ||||||||||||
21,355 | Wilson Sons |
247,774 | ||||||||||||
Total Brazil |
11,716,173 | |||||||||||||
Canada – 5.1% |
||||||||||||||
11,135 | Agrium |
969,859 | ||||||||||||
21,000 | Alimentation Couche Tard, Inc. |
1,549,333 | ||||||||||||
1,100 | AltaGas |
40,909 | ||||||||||||
161,300 | Canacol Energy Ltd |
1,007,989 | ||||||||||||
56,250 | Canadian Natural Resources |
1,844,444 | ||||||||||||
5,003 | Canadian Pac Ry Ltd |
757,854 | ||||||||||||
3,753 | Canadian Utilities, Class A |
127,712 | ||||||||||||
17,248 | Cenovus Energy |
451,274 | ||||||||||||
32,868 | Enbridge |
1,380,127 | ||||||||||||
55,717 | EnCana |
1,001,530 | ||||||||||||
7,155 | Fortis |
196,710 | ||||||||||||
16,356 | Gibson Energy |
397,684 | ||||||||||||
1,616 | Keyera |
95,763 | ||||||||||||
190,680 | Kinross Gold |
874,860 | ||||||||||||
7,686 | Open Text |
760,145 | ||||||||||||
152,600 | Pacific Rubiales Energy |
2,319,657 | ||||||||||||
30,100 | Paramount Resources Ltd, Class A |
1,132,652 | ||||||||||||
12,064 | Progressive Waste Solutions |
276,869 | ||||||||||||
202,570 | Talisman Energy |
2,180,754 | ||||||||||||
1,604 | Transalta Renewables, Inc. |
16,404 | ||||||||||||
17,232 | TransCanada |
748,558 | ||||||||||||
228,500 | Urthecast Corp. |
551,888 | ||||||||||||
15,339 | Valeant Pharmaceuticals International, (2) |
2,080,582 | ||||||||||||
1,178 | Westshore Terminals Investment |
37,463 | ||||||||||||
75,476 | Yamana Gold |
707,210 | ||||||||||||
Total Canada |
21,508,230 | |||||||||||||
Cayman Islands – 1.2% |
||||||||||||||
17,224 | Baidu, ADR, (2) |
2,695,556 | ||||||||||||
51,436 | Himax Technologies, Inc. |
753,023 |
2 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Cayman Islands (continued) |
||||||||||||||
353,600 | Wynn Macau, (3) |
$ | 1,501,821 | |||||||||||
Total Cayman Islands |
4,950,400 | |||||||||||||
Chile – 0.1% |
||||||||||||||
137,831 | Aguas Andinas, Class A |
88,098 | ||||||||||||
4,046 | Empresa Nacional de Electrcidad, ADR |
156,095 | ||||||||||||
7,736 | Enersis, ADR |
102,657 | ||||||||||||
Total Chile |
346,850 | |||||||||||||
China – 1.7% |
||||||||||||||
1,292,000 | Avichina Industry, (3) |
754,806 | ||||||||||||
3,652,350 | China Construction Bank, Class H, (3) |
2,530,153 | ||||||||||||
10,361 | ENN Energy Holdings, (3) |
67,037 | ||||||||||||
16,200 | NetEase.com, ADR |
1,214,514 | ||||||||||||
25,700 | Tencent Holdings, (3) |
1,801,825 | ||||||||||||
149,600 | Weichai Power, Class H, (3) |
568,472 | ||||||||||||
Total China |
6,936,807 | |||||||||||||
Denmark – 1.3% |
||||||||||||||
31,399 | Genmab As, (3) |
1,250,156 | ||||||||||||
63,457 | Gn Store Nord, (3) |
1,506,992 | ||||||||||||
64,858 | Novo-Nordisk A/S, Class B |
2,567,403 | ||||||||||||
Total Denmark |
5,324,551 | |||||||||||||
Egypt – 0.2% |
||||||||||||||
179,838 | Commercial International Bank, Reg S, (3) |
794,955 | ||||||||||||
Finland – 0.6% |
||||||||||||||
373,619 | Nokia, ADR, (2) |
2,585,443 | ||||||||||||
France – 4.7% |
||||||||||||||
3,774 | Aeroports de Paris, (3) |
425,807 | ||||||||||||
685,224 | Alcatel-lucent, (3) |
2,740,692 | ||||||||||||
64,574 | Carrefour, (3) |
2,218,932 | ||||||||||||
59,792 | Criteo SA, (2) |
2,104,080 | ||||||||||||
38,090 | DANONE, (3) |
2,514,645 | ||||||||||||
5,526 | Eurofins Scientific, (3) |
1,405,745 | ||||||||||||
11,806 | GDF Suez, (3) |
260,601 | ||||||||||||
35,761 | Groupe Eurotunnel, (3) |
394,280 | ||||||||||||
27,367 | Jc Decaux Sa, (3) |
1,167,059 | ||||||||||||
6,286 | L’oreal, (3) |
1,032,008 | ||||||||||||
1,303 | Rubis, (3) |
84,602 | ||||||||||||
39,560 | Sanofi-Aventis, (3) |
3,867,450 | ||||||||||||
12,213 | Suez Environnement, (3) |
218,745 |
Nuveen Investments | 3 |
Nuveen International Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
France (continued) |
||||||||||||||
22,870 | Total SA, (3) |
$ | 1,304,780 | |||||||||||
1,684 | Vinci, (3) |
110,116 | ||||||||||||
Total France |
19,849,542 | |||||||||||||
Germany – 8.5% |
||||||||||||||
31,695 | Adidas, (3) |
3,533,747 | ||||||||||||
13,110 | Allianz, (3) |
2,179,426 | ||||||||||||
25,024 | CANCOM SE, (3) |
1,112,685 | ||||||||||||
146,168 | Commerzbank Ag, (3) |
2,474,336 | ||||||||||||
41,988 | Daimler, (3) |
3,507,108 | ||||||||||||
47,922 | Deutsche Boerse, (3) |
3,680,071 | ||||||||||||
78,181 | E.ON, (3) |
1,415,058 | ||||||||||||
6,361 | Fraport Frankfurt Airport, (3) |
469,392 | ||||||||||||
11,568 | Fresenius SE & Co KGaA, (3) |
1,805,796 | ||||||||||||
34,190 | HeidelbergCement, (3) |
2,537,577 | ||||||||||||
18,796 | Henkel KGAA, (3) |
2,034,611 | ||||||||||||
22,333 | Jungheinrich, (3) |
1,625,711 | ||||||||||||
39,665 | Osram Licht, (3) |
2,318,219 | ||||||||||||
18,497 | Siemens, (3) |
2,340,145 | ||||||||||||
38,231 | Symrise, (3) |
1,740,889 | ||||||||||||
65,719 | Wirecard, (3) |
2,872,401 | ||||||||||||
Total Germany |
35,647,172 | |||||||||||||
Hong Kong – 3.2% |
||||||||||||||
17,945 | Beijing Enterprises Holdings, (3) |
151,609 | ||||||||||||
2,710,000 | Beijing Enterprises Water Group, (3) |
1,530,245 | ||||||||||||
86,889 | Cheung Kong Holdings, (3) |
1,288,892 | ||||||||||||
17,553 | Cheung Kong Infrastructure Holdings, (3) |
103,099 | ||||||||||||
138,100 | China Everbright International, (3) |
181,751 | ||||||||||||
2,554,000 | China Huishan Dair, (3) |
840,403 | ||||||||||||
167,686 | China Merchants Holdings International, (3) |
570,620 | ||||||||||||
131,676 | China Mobile, (3) |
1,256,495 | ||||||||||||
37,611 | China Mobile Limited |
1,799,686 | ||||||||||||
603,000 | CNOOC, (3) |
936,648 | ||||||||||||
378,253 | COSCO Pacific, (3) |
483,992 | ||||||||||||
206,000 | Galaxy Entertainment, (3) |
2,013,564 | ||||||||||||
28,603 | Guangdong Investment, (3) |
26,385 | ||||||||||||
105,871 | Hong Kong & China Gas, (3) |
217,955 | ||||||||||||
1,099,000 | Huabao International Holdings, (3) |
556,482 | ||||||||||||
1,451,000 | Labixiaoxin Snacks |
947,548 | ||||||||||||
60,389 | MTR, (3) |
213,968 |
4 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Hong Kong (continued) |
||||||||||||||
22,825 | Power Assets Holdings, (3) |
$ | 171,155 | |||||||||||
19,278 | Sinopec Kantons Holdings, (3) |
22,495 | ||||||||||||
83,834 | Towngas China, (3) |
97,562 | ||||||||||||
Total Hong Kong |
13,410,554 | |||||||||||||
Hungary – 0.3% |
||||||||||||||
60,929 | Otp Bank Plc, (3) |
1,115,182 | ||||||||||||
India – 1.2% |
||||||||||||||
40,467 | Axis Bank, (3) |
725,580 | ||||||||||||
86,466 | Bank of India, (3) |
264,717 | ||||||||||||
244,907 | Bharat Heavy Electricals, (3) |
675,172 | ||||||||||||
2,285 | GAIL India, GDR |
77,987 | ||||||||||||
126,076 | Jindal Steel & Power, (3) |
503,017 | ||||||||||||
147,373 | Power Grid, (3) |
225,279 | ||||||||||||
83,826 | Punjab National Bank, (3) |
731,964 | ||||||||||||
47,590 | Tata Consultancy Services, (3) |
1,700,913 | ||||||||||||
Total India |
4,904,629 | |||||||||||||
Indonesia – 1.4% |
||||||||||||||
1,410,500 | Astra International, (3) |
742,122 | ||||||||||||
2,393,065 | Bank of Mandiri, (3) |
1,697,419 | ||||||||||||
193,350 | Jasa Marga, (3) |
81,542 | ||||||||||||
4,304 | Sarana Menara Nusa, (2), (3) |
1,133 | ||||||||||||
532,800 | Semen Gresik Persero, (3) |
618,996 | ||||||||||||
57,700 | Tambang Batubara Bukit Asam, (3) |
43,645 | ||||||||||||
57,300 | Telekomunikasi Indonesia, ADR |
2,078,271 | ||||||||||||
466,319 | United Tractors, (3) |
734,706 | ||||||||||||
Total Indonesia |
5,997,834 | |||||||||||||
Ireland – 0.7% |
||||||||||||||
42,392 | Covidien |
2,892,830 | ||||||||||||
Israel – 0.4% |
||||||||||||||
32,947 | CaesarStone Sdot Yam |
1,493,158 | ||||||||||||
Italy – 1.0% |
||||||||||||||
46,586 | Atlantia, (3) |
1,059,624 | ||||||||||||
50,213 | Hera, (3) |
115,780 | ||||||||||||
43,748 | Luxottica Group SpA |
2,299,832 | ||||||||||||
47,845 | Snam Rete Gas, (3) |
262,286 | ||||||||||||
10,384 | Societa Iniziative Autostradali e Servizi, (3) |
103,564 | ||||||||||||
34,938 | Terna-Rete Elettrica Nationale, (3) |
169,391 | ||||||||||||
Total Italy |
4,010,477 |
Nuveen Investments | 5 |
Nuveen International Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Japan – 12.1% |
||||||||||||||
148,565 | AMADA, (3) |
$ | 1,202,012 | |||||||||||
199,000 | Daiwa Securities Group, (3) |
1,845,608 | ||||||||||||
46,000 | Digital Garage, (3) |
1,229,111 | ||||||||||||
43,500 | Fan Communications, (3) |
1,742,956 | ||||||||||||
128,370 | INPEX, (3) |
1,521,024 | ||||||||||||
60,495 | Japan Airport Terminal, (3) |
1,212,235 | ||||||||||||
23,414 | Japan Exchange Group, (3) |
565,690 | ||||||||||||
73,300 | Jtekt Corporation, (3) |
1,079,209 | ||||||||||||
16,352 | Kamigumi, (3) |
146,459 | ||||||||||||
186,237 | Kyowa Hakko Kirin, (3) |
1,886,849 | ||||||||||||
334,000 | Mazda Motor Corp., (3) |
1,601,913 | ||||||||||||
139,521 | Mitsubishi, (3) |
2,565,251 | ||||||||||||
10,421 | Mitsubishi Logistics, (3) |
145,628 | ||||||||||||
56,000 | Mitsui Fudosan, (3) |
1,768,443 | ||||||||||||
90,074 | Mitsui Sumitomo Insurance Group, (3) |
2,086,942 | ||||||||||||
51,800 | Nabtesco Corp., (3) |
1,148,348 | ||||||||||||
72,800 | Next Co. Ltd, (3) |
711,674 | ||||||||||||
60,000 | Nichireki Co Ltd, (3) |
672,504 | ||||||||||||
17,400 | Nihon M&a Center I, (3) |
1,444,990 | ||||||||||||
11,635 | Nintendo, (3) |
1,334,488 | ||||||||||||
86,331 | NKSJ Holdings, (3) |
2,246,794 | ||||||||||||
17,300 | Oisix, Inc., (3) |
687,040 | ||||||||||||
15,652 | SMC, (3) |
3,920,096 | ||||||||||||
16,700 | Softbank, (3) |
1,209,027 | ||||||||||||
17,300 | Sosei Group Corp., (3) |
668,635 | ||||||||||||
27,767 | Sugi Holdings, (3) |
1,107,734 | ||||||||||||
228,565 | Sumitomo Mitsui Financial Group |
2,130,226 | ||||||||||||
711,505 | Sumitomo Mitsui Trust, (3) |
3,375,471 | ||||||||||||
32,000 | Sumitomo Realty & Development, (3) |
1,412,900 | ||||||||||||
94,523 | Suzuki Motor, (3) |
2,450,209 | ||||||||||||
781,207 | The Bank of Yokohama, (3) |
3,926,873 | ||||||||||||
87,386 | THK, (3) |
1,894,218 | ||||||||||||
14,913 | Tokyo Gas, (3) |
73,959 | ||||||||||||
Total Japan |
51,014,516 | |||||||||||||
Jersey – 0.9% |
||||||||||||||
242,244 | Glencore Xstrata, (3) |
1,277,223 | ||||||||||||
46,205 | Shire, (3) |
2,305,928 | ||||||||||||
Total Jersey |
3,583,151 |
6 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Luxembourg – 0.9% |
||||||||||||||
15,075 | Millicom International Cellular, (3) |
$ | 1,465,171 | |||||||||||
13,727 | Oriflame Cosmetics, SDR, (3) |
378,423 | ||||||||||||
65,317 | SES, (3) |
2,097,598 | ||||||||||||
Total Luxembourg |
3,941,192 | |||||||||||||
Malaysia – 0.2% |
||||||||||||||
33,300 | British American Tobacco, (3) |
605,388 | ||||||||||||
25,470 | Petronas Gas, (3) |
177,693 | ||||||||||||
38,613 | Westports Holdings, (2) (3) |
29,191 | ||||||||||||
Total Malaysia |
812,272 | |||||||||||||
Mexico – 1.2% |
||||||||||||||
2,193 | Grupo Aeroportuario del Centro Norte, ADR |
54,430 | ||||||||||||
3,044 | Grupo Aeroportuario del Sureste, ADR |
342,815 | ||||||||||||
200,216 | Grupo Mexico, Series B |
644,931 | ||||||||||||
97,895 | Grupo Televisa, ADR |
2,844,829 | ||||||||||||
43,055 | Infraestructura En |
185,174 | ||||||||||||
228,900 | Kimberly-Clark de Mexico, Series A |
587,911 | ||||||||||||
70,868 | OHL Mexico |
173,752 | ||||||||||||
4,387 | Promotora Y Operad |
53,140 | ||||||||||||
Total Mexico |
4,886,982 | |||||||||||||
Netherlands – 2.0% |
||||||||||||||
32,598 | European Aeronautic Defence and Space, (3) |
2,309,431 | ||||||||||||
44,931 | Heineken, (3) |
2,737,473 | ||||||||||||
64,494 | InterXion Holding, (2) |
1,587,842 | ||||||||||||
10,576 | Koninklijke Vopak, (3) |
581,267 | ||||||||||||
22,988 | Oci N.v. |
1,066,697 | ||||||||||||
Total Netherlands |
8,282,710 | |||||||||||||
New Zealand – 0.4% |
||||||||||||||
148,325 | Auckland International Airport, (3) |
437,187 | ||||||||||||
64,925 | Infratil, (3) |
115,385 | ||||||||||||
22,713 | Port of Tauranga, (3) |
266,114 | ||||||||||||
14,784 | Vector, (3) |
30,197 | ||||||||||||
25,561 | Xero Limited, (3) |
856,847 | ||||||||||||
Total New Zealand |
1,705,730 | |||||||||||||
Norway – 0.6% |
||||||||||||||
4,748 | Hafslund, Class B, (3) |
36,169 | ||||||||||||
56,053 | Opera Software, (3) |
766,354 | ||||||||||||
31,487 | Schibsted Asa, (3) |
1,845,522 | ||||||||||||
Total Norway |
2,648,045 |
Nuveen Investments | 7 |
Nuveen International Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Panama – 0.5% |
||||||||||||||
57,910 | Carnival |
$ | 2,269,493 | |||||||||||
Philippines – 0.5% |
||||||||||||||
391,206 | International Container Terminal Services, (3) |
848,156 | ||||||||||||
88,366 | Manila Water, (3) |
44,921 | ||||||||||||
22,600 | Philippine Long Distance Telephone, ADR |
1,346,508 | ||||||||||||
Total Philippines |
2,239,585 | |||||||||||||
Poland – 0.0% |
||||||||||||||
30,096 | Energa Sa |
153,726 | ||||||||||||
Russia – 1.9% |
||||||||||||||
633,856 | Alrosa Zao |
657,826 | ||||||||||||
199,222 | Gazprom OAO, ADR, (3) |
1,640,599 | ||||||||||||
10,412 | LUKOIL, ADR, (3) |
591,129 | ||||||||||||
10,771 | Magnit, GDR, 144A, (3) |
513,611 | ||||||||||||
97,850 | Mobile TeleSystems, ADR |
1,687,913 | ||||||||||||
1,034,306 | Sberbank, (3) |
2,870,110 | ||||||||||||
Total Russia |
7,961,188 | |||||||||||||
Singapore – 0.9% |
||||||||||||||
279,247 | CitySpring Infrastructure Trust, (3) |
102,667 | ||||||||||||
140,130 | ComfortDelGro, (3) |
211,777 | ||||||||||||
691,000 | Global Logistic Pr, (3) |
1,512,413 | ||||||||||||
2,626,285 | Golden Agri-Resources, (3) |
1,066,450 | ||||||||||||
527,327 | Hutchison Port Holdings Trust, (3) |
349,961 | ||||||||||||
46,016 | Hyflux, (3) |
41,286 | ||||||||||||
64,626 | K-Green Trust, (3) |
50,787 | ||||||||||||
86,662 | Parkway Life, REIT |
153,554 | ||||||||||||
17,951 | SembCorp Industries, (3) |
73,697 | ||||||||||||
47,910 | Singapore Airport Terminal Services, (3) |
117,460 | ||||||||||||
188,666 | Singapore Post, (3) |
197,541 | ||||||||||||
Total Singapore |
3,877,593 | |||||||||||||
South Africa – 2.1% |
||||||||||||||
51,362 | Bidvest Group, (3) |
1,149,000 | ||||||||||||
39,496 | Imperial Holdings, (3) |
658,514 | ||||||||||||
64,068 | MTN Group, (3) |
1,144,085 | ||||||||||||
44,396 | Nedbank Group, (3) |
773,767 | ||||||||||||
165,003 | PPC, (3) |
442,481 | ||||||||||||
161,234 | Sanlam, (3) |
693,617 | ||||||||||||
88,796 | Shoprite Holdings, (3) |
1,144,458 | ||||||||||||
51,012 | Standard Bank Group, (3) |
539,070 |
8 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
South Africa (continued) |
||||||||||||||
24,086 | Tiger Brands, (3) |
$ | 577,912 | |||||||||||
77,271 | Truworths International, (3) |
509,684 | ||||||||||||
74,193 | Vodacom Group, (3) |
785,526 | ||||||||||||
94,864 | Woolworths Holdings, (3) |
518,441 | ||||||||||||
Total South Africa |
8,936,555 | |||||||||||||
South Korea – 3.8% |
||||||||||||||
6,412 | Hyundai Mobis, (3) |
1,836,450 | ||||||||||||
41,900 | KB Financial Group, (3) |
1,438,847 | ||||||||||||
188,192 | Korea Life Insurance, (3) |
1,282,748 | ||||||||||||
20,318 | KT&G, (3) |
1,427,042 | ||||||||||||
2,397 | NHN, (3) |
1,512,399 | ||||||||||||
80,661 | Samchuly Bicycle, (3) |
1,594,052 | ||||||||||||
2,359 | Samsung Electronics, GDR, (3) |
2,793,548 | ||||||||||||
59,856 | Shinhan Financial Group, ADR, (3) |
2,525,951 | ||||||||||||
22,940 | Sk Hynix, Inc., (3) |
799,320 | ||||||||||||
11,854 | Woongjin Coway, (3) |
768,175 | ||||||||||||
Total South Korea |
15,978,532 | |||||||||||||
Spain – 1.0% |
||||||||||||||
3,747 | Abertis Infraestructuras, (3) |
83,615 | ||||||||||||
3,721 | Edp Renovaveis Sa, (2), (3) |
21,414 | ||||||||||||
4,730 | Ferrovial, (3) |
90,759 | ||||||||||||
68,209 | Grifols SA |
2,701,758 | ||||||||||||
57,444 | Lets Gowex SA |
1,348,069 | ||||||||||||
Total Spain |
4,245,615 | |||||||||||||
Sweden – 1.5% |
||||||||||||||
42,292 | Arcam AB, (3) |
1,827,123 | ||||||||||||
143,470 | Ericsson, (3) |
1,756,771 | ||||||||||||
53,101 | Investment Kinnevik, Class B, (3) |
2,081,255 | ||||||||||||
95,093 | Oniva Online Group |
711,231 | ||||||||||||
Total Sweden |
6,376,380 | |||||||||||||
Switzerland – 4.5% |
||||||||||||||
2,453 | Burckhardt Compres, (3) |
1,104,921 | ||||||||||||
621 | Dufry Ag, (2), (3) |
97,264 | ||||||||||||
591,533 | Evolva Holding SA |
867,743 | ||||||||||||
998 | Flughafen Zuerich, (3) |
586,234 | ||||||||||||
45,672 | Foster Wheeler |
1,369,247 | ||||||||||||
50,408 | Nestle, (3) |
3,653,136 | ||||||||||||
48,879 | Novartis, (3) |
3,863,438 | ||||||||||||
14,915 | Roche Holding, (3) |
4,092,163 |
Nuveen Investments | 9 |
Nuveen International Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Switzerland (continued) |
||||||||||||||
4,332 | Siegfried Hldg Ag, (3) |
$ | 774,215 | |||||||||||
118,485 | UBS, (3) |
2,350,067 | ||||||||||||
Total Switzerland |
18,758,428 | |||||||||||||
Taiwan – 2.4% |
||||||||||||||
207,000 | Delta Electronics, (3) |
1,132,879 | ||||||||||||
74,000 | Eclat Textile Co., (3) |
808,822 | ||||||||||||
1,117,000 | Epistar Corp., (3) |
2,482,240 | ||||||||||||
183,000 | Hiwin Technologies, (3) |
1,656,487 | ||||||||||||
435,077 | Hon Hai Precision Industry, (3) |
1,215,427 | ||||||||||||
854,959 | Taiwan Semiconductor Manufacturing, (3) |
2,944,013 | ||||||||||||
Total Taiwan |
10,239,868 | |||||||||||||
Thailand – 0.8% |
||||||||||||||
162,800 | Airports Of Thailand, NVDR, (3) |
844,481 | ||||||||||||
104,700 | Bangkok Bank, (3) |
542,984 | ||||||||||||
573,500 | CP ALL |
673,948 | ||||||||||||
146,077 | PTT Exploration and Production Public Company |
681,392 | ||||||||||||
60,200 | Siam Cement, (3) |
733,964 | ||||||||||||
Total Thailand |
3,476,769 | |||||||||||||
Turkey – 0.8% |
||||||||||||||
215,910 | Akbank T.A.S., (3) |
552,344 | ||||||||||||
289,761 | Koc Holding, (3) |
984,748 | ||||||||||||
67,100 | Turkcell Iletisim Hizmetleri, ADR, (2) |
835,395 | ||||||||||||
153,480 | Turkiye Garanti Bankasi, (3) |
406,348 | ||||||||||||
436,783 | Turkiye Is Bankasi, Class C, (3) |
785,204 | ||||||||||||
Total Turkey |
3,564,039 | |||||||||||||
United Kingdom – 13.8% |
||||||||||||||
54,157 | Anglo American, (3) |
1,276,967 | ||||||||||||
17,179 | Aon |
1,382,222 | ||||||||||||
99,503 | ARM Holdings, (3) |
1,518,960 | ||||||||||||
119,505 | Ashtead Group, (3) |
1,548,321 | ||||||||||||
15,076 | ASOS, (3) |
1,546,452 | ||||||||||||
584,238 | Barclays, (3) |
2,608,186 | ||||||||||||
644,662 | Blinkx, (3) |
1,346,919 | ||||||||||||
32,240 | BP, ADR |
1,511,734 | ||||||||||||
150,424 | Btg, (3) |
1,464,386 | ||||||||||||
29,782 | Centrica, (3) |
152,098 | ||||||||||||
138,270 | CSR, (3) |
1,500,963 | ||||||||||||
98,729 | Diageo, (3) |
2,927,926 | ||||||||||||
111,225 | Easyjet, (3) |
3,004,152 |
10 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
United Kingdom (continued) |
||||||||||||||
381,002 | Foxtons Group Plc, (3) |
$ | 2,188,590 | |||||||||||
147,554 | GlaxoSmithKline, (3) |
3,792,754 | ||||||||||||
62,274 | Hargreaves Lansdown, (3) |
1,518,959 | ||||||||||||
129,299 | Howden Joinery Group, (3) |
728,143 | ||||||||||||
251,604 | Just Retirement Gr |
1,032,995 | ||||||||||||
1,224,303 | Lloyds Banking Group, (3) |
1,669,632 | ||||||||||||
38,821 | MegaFon OAO, GDR |
1,152,103 | ||||||||||||
1,373,748 | Monitise Plc, (3) |
1,500,021 | ||||||||||||
15,977 | National Grid, ADR |
1,034,990 | ||||||||||||
69,515 | Noble Corp Plc |
2,157,050 | ||||||||||||
193,058 | Ocado Group, (3) |
1,656,451 | ||||||||||||
169,825 | Perform Group |
690,958 | ||||||||||||
75,878 | Prudential, (3) |
1,527,435 | ||||||||||||
44,803 | Rightmove, (3) |
1,864,159 | ||||||||||||
126,750 | Sports Direct Intl, (3) |
1,420,446 | ||||||||||||
4,064 | SSE, (3) |
87,189 | ||||||||||||
112,648 | Standard Chartered, (3) |
2,289,453 | ||||||||||||
62,073 | Telecity Group, (3) |
727,598 | ||||||||||||
64,441 | Vodafone Group, ADR |
2,388,183 | ||||||||||||
25,856 | Whitbread, (3) |
1,592,098 | ||||||||||||
89,514 | Willis Group Holdings |
3,854,470 | ||||||||||||
68,376 | WPP, (3) |
1,432,645 | ||||||||||||
Total United Kingdom |
58,095,608 | |||||||||||||
United States – 3.3% |
||||||||||||||
1,139 | Alliant Energy |
59,182 | ||||||||||||
6,175 | American Tower, Class A |
499,434 | ||||||||||||
3,950 | American Water Works |
168,152 | ||||||||||||
1,754 | Aqua America |
42,008 | ||||||||||||
8,051 | Brookfield Infrastructure Partners |
296,196 | ||||||||||||
27,140 | CenterPoint Energy |
635,076 | ||||||||||||
10,752 | CMS Energy |
298,798 | ||||||||||||
3,958 | Connecticut Water Service |
133,385 | ||||||||||||
6,760 | Corrections Corporation of America, REIT |
226,933 | ||||||||||||
22,872 | Covanta Holding |
411,696 | ||||||||||||
5,637 | Crown Castle International, (2) |
400,002 | ||||||||||||
11,205 | Dominion Resources |
760,932 | ||||||||||||
8,875 | Duke Energy |
626,753 | ||||||||||||
6,327 | Genesee & Wyoming, Class A, (2) |
571,581 | ||||||||||||
2,610 | Geo Group |
87,383 | ||||||||||||
1,978 | ITC Holdings |
204,723 |
Nuveen Investments | 11 |
Nuveen International Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
United States (continued) |
||||||||||||||
13,012 | Kinder Morgan |
$ | 442,538 | |||||||||||
3,408 | Laclede Group |
156,393 | ||||||||||||
553 | Magellan Midstream Partners |
36,752 | ||||||||||||
4,255 | NextEra Energy |
391,162 | ||||||||||||
9,587 | NiSource |
329,505 | ||||||||||||
5,052 | OGE Energy |
172,122 | ||||||||||||
5,071 | ONEOK |
347,313 | ||||||||||||
3,252 | PG&E |
137,072 | ||||||||||||
24,901 | Philip Morris International |
1,945,764 | ||||||||||||
894 | Piedmont Natural Gas |
29,520 | ||||||||||||
10,754 | Pinnacle West Capital |
565,983 | ||||||||||||
850 | SBA Communications, Class A, (2) |
78,838 | ||||||||||||
6,755 | SemGroup |
417,189 | ||||||||||||
5,588 | Sempra Energy |
518,063 | ||||||||||||
1,369 | South Jersey Industries |
73,022 | ||||||||||||
2,812 | Sp Plus Corp., (2) |
71,031 | ||||||||||||
27,224 | Spectra Energy |
978,703 | ||||||||||||
401 | Targa Resources |
36,206 | ||||||||||||
1,299 | Union Pacific |
226,338 | ||||||||||||
18 | Unitil |
548 | ||||||||||||
10,869 | Waste Connections |
444,325 | ||||||||||||
4,818 | Western Gas Partners |
286,478 | ||||||||||||
19,081 | Williams |
772,590 | ||||||||||||
1,223 | Wisconsin Energy |
52,185 | ||||||||||||
Total United States |
13,931,874 | |||||||||||||
Total Common Stocks (cost $344,296,393) |
388,708,443 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
MASTER LIMITED PARTNERSHIPS (MLP) & MLP AFFILIATES – 0.2% |
||||||||||||||
United States – 0.2% |
||||||||||||||
805 | Access Midstream Partners LP |
$ | 45,120 | |||||||||||
518 | Enterprise Products Partners LP |
34,385 | ||||||||||||
1,215 | MarkWest Energy Partners LP |
85,281 | ||||||||||||
4,714 | Oiltanking Partners LP |
299,952 | ||||||||||||
4,955 | Plains All American Pipeline LP |
250,178 | ||||||||||||
1,812 | Plains GP Holdings LP |
46,061 | ||||||||||||
1,029 | Rose Rock Midstream LP |
37,507 | ||||||||||||
62 | Southcross Energy Partners LP |
1,106 | ||||||||||||
Total Master Limited Partnerships (MLP) & MLP Affiliates (cost $735,621) |
799,590 | |||||||||||||
Total Long-Term Investments (cost $345,032,014) |
389,508,033 |
12 | Nuveen Investments |
Shares/ Principal Amount (000) |
Description (1) | Coupon | Maturity | Ratings (4) | Value | |||||||||||||||
SHORT-TERM INVESTMENTS – 6.1% |
||||||||||||||||||||
MONEY MARKET FUNDS – 3.1% |
||||||||||||||||||||
13,087,765 | State Street Institutional Liquid Reserves Fund |
0.060 | % (5) | N/A | N/A | $ | 13,087,765 | |||||||||||||
U.S. GOVERNMENT AND AGENCY OBLIGATIONS – 3.0% |
||||||||||||||||||||
$ | 10,000 | U.S. Treasury Bills |
0.000 | % | 2/13/14 | Aaa | 9,999,980 | |||||||||||||
2,500 | U.S. Treasury Bills |
0.000 | % | 7/24/14 | Aaa | 2,499,318 | ||||||||||||||
$ | 12,500 | Total U.S. Government and Agency Obligations |
12,499,298 | |||||||||||||||||
Total Short-Term Investments (cost $25,586,861) |
25,587,063 | |||||||||||||||||||
Total Investments (cost $370,618,875) – 98.7% |
415,095,096 | |||||||||||||||||||
Other Assets Less Liabilities – 1.3% |
5,630,920 | |||||||||||||||||||
Total Net Assets – 100.0% |
$ | 420,726,016 |
Investments in Derivatives as of January 31, 2014
Futures Contracts outstanding:
Description | Contract Position |
Number of Contracts |
Contract Expiration |
Notional Amount at Value* |
Unrealized Appreciation (Depreciation) |
|||||||||||||||
Amsterdam Index |
Long | 35 | 2/14 | $ | 3,644,211 | $ | (197,512 | ) | ||||||||||||
BIST 30 Index |
Short | (1,499 | ) | 2/14 | (5,008,050 | ) | 231,004 | |||||||||||||
British Pound |
Long | 88 | 3/14 | 9,035,400 | (5,319 | ) | ||||||||||||||
DAX Index |
Short | (12 | ) | 3/14 | (3,772,405 | ) | (65,991 | ) | ||||||||||||
E-Mini MSCI Emerging Markets Index |
Long | 60 | 3/14 | 2,775,900 | (176,230 | ) | ||||||||||||||
Euro |
Short | (53 | ) | 3/14 | (8,933,150 | ) | 184,616 | |||||||||||||
Euro STOXX 50 |
Long | 394 | 3/14 | 16,037,386 | 291,085 | |||||||||||||||
FTSE 100 Index |
Long | 187 | 3/14 | 19,854,013 | 19,499 | |||||||||||||||
FTSE Bursa Malaysia KLCI Index |
Short | (81 | ) | 2/14 | (2,170,529 | ) | (19,762 | ) | ||||||||||||
FTSE JSE Top 40 |
Short | (182 | ) | 3/14 | (6,644,315 | ) | (245,037 | ) | ||||||||||||
Hang Seng China Enterprises Index |
Short | (135 | ) | 2/14 | (8,526,398 | ) | 152,322 | |||||||||||||
Japanese Yen |
Short | (74 | ) | 3/14 | (9,041,875 | ) | (32,221 | ) | ||||||||||||
MSCI Taiwan Index |
Long | 78 | 2/14 | 2,309,580 | (46,451 | ) | ||||||||||||||
NASDAQ 100 E-Mini |
Short | (65 | ) | 3/14 | (4,568,200 | ) | (57,720 | ) | ||||||||||||
Nikkei 225 Index |
Long | 312 | 3/14 | 22,830,600 | (1,818,810 | ) | ||||||||||||||
OMX Stockholm 30 Index |
Long | 233 | 2/14 | 4,633,220 | (50,147 | ) | ||||||||||||||
Russell 2000 Mini Index |
Short | (50 | ) | 3/14 | (5,641,500 | ) | (148,425 | ) | ||||||||||||
S&P Midcap 400 E-Mini |
Short | (40 | ) | 3/14 | (5,241,200 | ) | (112,287 | ) | ||||||||||||
S&P TSX 60 Index |
Long | 51 | 3/14 | 7,180,983 | 332,732 | |||||||||||||||
SET50 Index |
Short | (76 | ) | 3/14 | (1,972,869 | ) | 122,722 | |||||||||||||
SGX S&P CNX Nifty |
Short | (392 | ) | 2/14 | (4,784,752 | ) | 50,176 | |||||||||||||
SPI 200 |
Long | 97 | 3/14 | 10,914,686 | 120,618 | |||||||||||||||
U.S. Dollar Index |
Short | (242 | ) | 3/14 | (19,699,528 | ) | (319,810 | ) | ||||||||||||
$ | 13,211,208 | $ | (1,790,948 | ) |
* | The aggregate Notional Amount at Value of long and short positions is $99,215,979 and $(86,004,771), respectively. |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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.
Nuveen Investments | 13 |
Nuveen International Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||
Long-Term Investments: | ||||||||||||||
Common Stocks |
$ | 108,070,761 | $ | 280,637,682 | $ — | $ | 388,708,443 | |||||||
Master Limited Partnerships (MLP) & MLP Affiliates |
799,590 | — | — | 799,590 | ||||||||||
Short-Term Investments: | ||||||||||||||
Money Market Funds |
13,087,765 | — | — | 13,087,765 | ||||||||||
U.S. Government and Agency Obligations |
— | 12,499,298 | — | 12,499,298 | ||||||||||
Derivatives: | ||||||||||||||
Futures Contracts* |
(1,790,948 | ) | — | — | (1,790,948 | ) | ||||||||
Total | $ | 120,167,168 | $ | 293,136,980 | $ — | $ | 413,304,148 |
* | Represents net unrealized appreciation (depreciation). |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments (excluding investments in derivatives) was $377,506,878.
Gross unrealized appreciation and gross unrealized depreciation of investments (excluding investments in derivatives) as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 63,678,013 | ||
Depreciation |
(26,089,795 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 37,588,218 |
14 | Nuveen Investments |
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 the 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. |
(2) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(3) | For fair value measurement disclosure purposes, Common Stock classified as Level 2. |
(4) | Ratings: Using the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. 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. |
(5) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
N/A | Not applicable. |
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. |
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. |
ADR | American Depositary Receipt |
BIST | Borsa Istanbul |
CNX | Credit Rating Information Services of India Limited |
DAX | Deutscher Aktien Index |
FTSE | Financial Times Stock Exchange |
GDR | Global Depositary Receipt |
JSE | Johannesburg Stock Exchange |
KLCI | Kuala Lumpur Composite Index |
MSCI | Morgan Stanley Capital International Inc. |
NASDAQ | National Association of Securities Dealers Automated Quotations |
NVDR | Non-Voting Depository Receipt |
REIT | Real Estate Investment Trust |
S&P | Standard & Poor’s |
SDR | Swedish Depositary Receipt |
SET | Stock Exchange of Thailand |
SGX | Singapore Exchange Limited |
SPI | Swiss Performance Index |
TSX | Toronto Stock Exchange |
Nuveen Investments | 15 |
Nuveen Tactical Market Opportunities Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1), (2) | Value | ||||||||||||||||||
LONG-TERM INVESTMENTS – 65.8% |
||||||||||||||||||||
EXCHANGE-TRADED FUNDS – 58.8% |
||||||||||||||||||||
Equity Funds – 26.3% |
||||||||||||||||||||
42,800 | Consumer Staples Select Sector SPDR Fund |
$ | 1,744,528 | |||||||||||||||||
23,800 | Energy Select Sector SPDR Fund |
1,984,444 | ||||||||||||||||||
226,000 | Financial Select Sector SPDR Fund |
4,759,560 | ||||||||||||||||||
48,400 | Health Care Select Sector SPDR Fund |
2,708,464 | ||||||||||||||||||
40,000 | Industrial Select Sector SPDR Fund |
2,001,200 | ||||||||||||||||||
192,000 | iShares MSCI ACWI es U.S. Index Fund |
8,421,120 | ||||||||||||||||||
15,000 | Materials Select Sector SPDR Fund |
660,600 | ||||||||||||||||||
22,000 | SPDR Dow Jones REIT ETF |
1,628,880 | ||||||||||||||||||
14,700 | Utilities Select Sector SPDR Fund |
574,770 | ||||||||||||||||||
146,000 | Technology Select Sector SPDR Fund |
5,083,720 | ||||||||||||||||||
Total Equity Funds (cost $28,919,256) |
29,567,286 | |||||||||||||||||||
Fixed Income Funds – 32.5% |
||||||||||||||||||||
349,000 | iShares Mortgage Real Estate Capped ETF |
4,254,310 | ||||||||||||||||||
54,000 | iShares iBoxx $ Investment Grade Corporate Bond ETF |
6,282,360 | ||||||||||||||||||
29,000 | iShares JPMorgan USD Emerging Markets Bond ETF |
3,111,700 | ||||||||||||||||||
17,000 | iShares National AMT-Free Muni Bond ETF |
1,808,800 | ||||||||||||||||||
318,000 | Market Vectors High-Yield Municipal Index ETF |
9,263,340 | ||||||||||||||||||
137,000 | PowerShares Emerging Markets Sovereign Debt Portfolio |
3,662,010 | ||||||||||||||||||
465,000 | PowerShares Financial Preferred Portfolio Fund |
8,072,400 | ||||||||||||||||||
Total Fixed Income Funds (cost $38,224,866) |
36,454,920 | |||||||||||||||||||
Total Exchange-Traded Funds (cost $67,144,122) |
66,022,206 | |||||||||||||||||||
Principal Amount (000) |
Description (1) | Coupon | Maturity | Ratings (3) | Value | |||||||||||||||
SOVEREIGN DEBT – 5.8% |
||||||||||||||||||||
Mexico – 5.8% |
||||||||||||||||||||
30,000 | MXN | Mexico Bonos de DeSarrollo |
8.000 | % | 6/11/20 | A | $ | 2,481,887 | ||||||||||||
54,000 | MXN | Mexico Bonos de DeSarrollo |
6.500 | % | 6/09/22 | A | 4,052,693 | |||||||||||||
84,000 | MXN | Total Sovereign Debt (cost $7,488,712) |
6,534,580 | |||||||||||||||||
Principal Amount (000) |
Description (1) | Coupon | Maturity | Ratings (3) | Value | |||||||||||||||
U.S. GOVERNMENT AND AGENCY OBLIGATIONS – 1.2% |
||||||||||||||||||||
$ | 1,400 | U.S. Treasury Bonds |
Aaa | $ | 1,400,218 | |||||||||||||||
$ | 1,400 | Total U.S. Government and Agency Obligations (cost $1,331,859) |
1,400,218 | |||||||||||||||||
Total Long-Term Investments (cost $75,964,693) |
73,957,004 |
16 | Nuveen Investments |
Shares/ Principal Amount (000) |
Description (1) | Coupon | Maturity | Ratings (3) | Value | |||||||||||||||
SHORT-TERM INVESTMENTS – 34.0% |
||||||||||||||||||||
MONEY MARKET FUNDS – 27.2% |
||||||||||||||||||||
30,620,445 | First American Treasury Obligations Fund, Class Z |
0.000 | % (4) | N/A | N/A | $ | 30,620,445 | |||||||||||||
U.S. GOVERNMENT AND AGENCY OBLIGATIONS – 6.8% |
||||||||||||||||||||
$ | 6,600 | U.S. Treasury Bills, (5) |
0.000 | % | 2/13/14 | Aaa | 6,599,987 | |||||||||||||
1,000 | U.S. Treasury Bills |
0.000 | % | 7/24/14 | Aaa | 999,727 | ||||||||||||||
$ | 7,600 | Total U.S. Government and Agency Obligations |
7,599,714 | |||||||||||||||||
Total Short-Term Investments (cost $38,220,036) |
38,220,159 | |||||||||||||||||||
Total Investments (cost $114,184,729) – 99.8% |
112,177,163 | |||||||||||||||||||
Other Assets Less Liabilities – 0.2% (6) |
178,724 | |||||||||||||||||||
Net Assets – 100% |
$ | 112,355,887 |
Investments in Derivatives as of January 31, 2014
Futures Contracts outstanding:
Description | Contract Position |
Number of Contracts |
Contract Expiration |
Notional Amount at Value* |
Unrealized Appreciation (Depreciation) |
|||||||||||||||
Australian 10-Year Bond |
Long | 184 | 3/14 | $ | 15,469,133 | $ | 513,454 | |||||||||||||
Australian Dollar |
Short | (13 | ) | 3/14 | (1,133,730 | ) | 7,356 | |||||||||||||
Euro |
Long | 7 | 3/14 | 1,179,850 | (10,354 | ) | ||||||||||||||
Euro-Bund |
Short | (63 | ) | 3/14 | (12,225,288 | ) | (338,433 | ) | ||||||||||||
Japanese Yen |
Short | (11 | ) | 3/14 | (1,344,063 | ) | (4,790 | ) | ||||||||||||
Long Gilt |
Short | (21 | ) | 3/14 | (3,810,869 | ) | (45,616 | ) | ||||||||||||
Mexican Peso |
Short | (90 | ) | 3/14 | (3,362,625 | ) | 111,000 | |||||||||||||
Russell 2000 Mini Index |
Short | (48 | ) | 3/14 | (5,415,840 | ) | (142,489 | ) | ||||||||||||
S&P 500 E-Mini |
Short | (176 | ) | 3/14 | (15,634,080 | ) | 394,030 | |||||||||||||
U.S. 5-Year Treasury Note |
Short | (158 | ) | 3/14 | (19,058,750 | ) | 40,344 | |||||||||||||
U.S. 10-Year Treasury Note |
Long | 53 | 3/14 | 6,664,750 | 63,197 | |||||||||||||||
U.S. Dollar Index |
Long | 228 | 3/14 | 18,559,886 | 285,304 | |||||||||||||||
Total | $ | (20,111,626 | ) | $ | 873,003 |
* | The aggregate Notional Amount at Value of long and short positions is $41,873,619 and $(61,985,245), respectively. |
Options Purchased outstanding:
Number of Contracts |
Type | Notional Amount (7) |
Expiration Date |
Strike Price |
Value (6) | |||||||||||||||
500 | Chicago Board Options Exchange Volatility Index |
$ | 700,000 | 3/18/14 | $ | 14 | $ | 17,500 | ||||||||||||
500 | Total Options Purchased (premiums paid $32,500) |
$ | 700,000 | $ | 17,500 |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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.
Nuveen Investments | 17 |
Nuveen Tactical Market Opportunities Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||
Long-Term Investments: | ||||||||||||||
Exchange-Traded Funds |
$ | 66,022,206 | $ | — | $ — | $ | 66,022,206 | |||||||
Sovereign Debt |
— | 6,534,580 | — | 6,534,580 | ||||||||||
U.S. Government and Agency Obligations |
— | 1,400,218 | — | 1,400,218 | ||||||||||
Short-Term Investments: | ||||||||||||||
Money Market Funds |
30,620,445 | — | — | 30,620,445 | ||||||||||
U.S. Government and Agency Obligations |
— | 7,599,714 | — | 7,599,714 | ||||||||||
Derivatives: | ||||||||||||||
Futures Contracts* |
873,003 | — | — | 873,003 | ||||||||||
Options Purchased |
17,500 | — | — | 17,500 | ||||||||||
Total | $ | 97,533,154 | $ | 15,534,512 | $ — | $ | 113,067,666 |
* | Represents net unrealized appreciation (depreciation). |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments(excluding investments in derivatives) was $114,329,312.
Gross unrealized appreciation and gross unrealized depreciation of investments(excluding investments in derivatives) as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 1,283,078 | ||
Depreciation |
(3,435,227 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | (2,152,149 | ) |
18 | Nuveen Investments |
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 the 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. |
(2) | A copy of the most recent financial statements for the exchange-traded funds in which the Fund invests can be obtained directly from the Securities and Exchange Commission on its website at http://www.sec.gov. |
(3) | Ratings: Using the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. 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. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | Investment, or portion of investment, segregated as collateral for investments in derivatives. |
(6) | Other Assets Less Liabilities includes the Value of derivative instruments as listed within Investments in Derivatives as of the end of the reporting period. |
(7) | For disclosure purposes, Notional Amount is calculated by multiplying the Number of Contracts by the Strike Price by 100. |
N/A | Not applicable. |
ACWI | All Country World Index |
ETF | Exchange-Traded Fund |
MSCI | Morgan Stanley Capital International Inc. |
MXN | Mexican Peso |
REIT | Real Estate Investment Trust |
SPDR | Standard & Poor’s Depositary Receipts |
USD | United States Dollar |
Nuveen Investments | 19 |
Nuveen Equity Index Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 97.1% |
||||||||||||||
COMMON STOCKS – 97.1% |
||||||||||||||
Aerospace & Defense – 2.8% |
||||||||||||||
32,334 | Boeing Company |
$ | 4,050,157 | |||||||||||
15,648 | General Dynamics Corporation |
1,585,299 | ||||||||||||
36,700 | Honeywell International Inc. |
3,348,141 | ||||||||||||
4,145 | L-3 Communications Holdings, Inc., (2) |
460,385 | ||||||||||||
12,583 | Lockheed Martin Corporation, (2) |
1,898,901 | ||||||||||||
10,382 | Northrop Grumman Corporation |
1,199,640 | ||||||||||||
6,793 | Precision Castparts Corporation |
1,730,517 | ||||||||||||
14,941 | Raytheon Company |
1,420,441 | ||||||||||||
6,320 | Rockwell Collins, Inc. |
477,539 | ||||||||||||
13,477 | Textron Inc. |
478,434 | ||||||||||||
39,482 | United Technologies Corporation |
4,501,738 | ||||||||||||
Total Aerospace & Defense |
21,151,192 | |||||||||||||
Air Freight & Logistics – 0.8% |
||||||||||||||
7,092 | C.H. Robinson Worldwide, Inc. |
415,166 | ||||||||||||
9,615 | Expeditors International of Washington, Inc. |
392,869 | ||||||||||||
13,921 | FedEx Corporation, (2) |
1,855,948 | ||||||||||||
33,433 | United Parcel Service, Inc., Class B |
3,183,825 | ||||||||||||
Total Air Freight & Logistics |
5,847,808 | |||||||||||||
Airlines – 0.3% |
||||||||||||||
40,014 | Delta Air Lines, Inc. |
1,224,829 | ||||||||||||
32,585 | Southwest Airlines Co. |
682,656 | ||||||||||||
Total Airlines |
1,907,485 | |||||||||||||
Auto Components – 0.4% |
||||||||||||||
10,642 | BorgWarner Inc. |
571,475 | ||||||||||||
13,097 | Delphi Automotive PLC |
797,476 | ||||||||||||
11,547 | Goodyear Tire & Rubber Company |
273,202 | ||||||||||||
32,037 | Johnson Controls, Inc. |
1,477,546 | ||||||||||||
Total Auto Components |
3,119,699 | |||||||||||||
Automobiles – 0.7% |
||||||||||||||
184,482 | Ford Motor Company |
2,759,851 | ||||||||||||
53,269 | General Motors Company, (3) |
1,921,946 | ||||||||||||
10,682 | Harley-Davidson, Inc., (2) |
658,973 | ||||||||||||
Total Automobiles |
5,340,770 |
20 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Beverages – 2.1% |
||||||||||||||
7,754 | Beam Inc. |
$ | 645,908 | |||||||||||
7,523 | Brown-Forman Corporation |
579,271 | ||||||||||||
11,294 | Coca Cola Enterprises Inc. |
488,917 | ||||||||||||
177,619 | Coca-Cola Company |
6,717,551 | ||||||||||||
7,566 | Constellation Brands, Inc., Class A, (3) |
580,085 | ||||||||||||
9,385 | Dr. Pepper Snapple Group |
449,354 | ||||||||||||
7,396 | Molson Coors Brewing Company, Class B |
389,325 | ||||||||||||
6,353 | Monster Beverage Corporation, (3) |
431,369 | ||||||||||||
71,726 | PepsiCo, Inc. |
5,763,901 | ||||||||||||
Total Beverages |
16,045,681 | |||||||||||||
Biotechnology – 2.6% |
||||||||||||||
9,170 | Alexion Pharmaceuticals Inc., (3) |
1,455,554 | ||||||||||||
35,271 | Amgen Inc. |
4,195,485 | ||||||||||||
11,047 | Biogen Idec Inc., (3) |
3,453,734 | ||||||||||||
19,273 | Celgene Corporation, (3) |
2,928,147 | ||||||||||||
71,714 | Gilead Sciences, Inc., (2), (3) |
5,783,734 | ||||||||||||
3,735 | Regeneron Pharmaceuticals, Inc., (2), (3) |
1,077,884 | ||||||||||||
10,932 | Vertex Pharmaceuticals Inc., (3) |
864,065 | ||||||||||||
Total Biotechnology |
19,758,603 | |||||||||||||
Building Products – 0.1% |
||||||||||||||
4,320 | Allegion PLC, (3) |
213,192 | ||||||||||||
17,093 | Masco Corporation |
361,688 | ||||||||||||
Total Building Products |
574,880 | |||||||||||||
Capital Markets – 2.1% |
||||||||||||||
9,475 | Ameriprise Financial, Inc. |
1,000,939 | ||||||||||||
53,717 | Bank of New York Company, Inc. |
1,716,795 | ||||||||||||
5,955 | BlackRock Inc. |
1,789,299 | ||||||||||||
54,549 | Charles Schwab Corporation, (2) |
1,353,906 | ||||||||||||
14,163 | E*Trade Group Inc., (3) |
283,543 | ||||||||||||
18,882 | Franklin Resources, Inc. |
982,053 | ||||||||||||
19,714 | Goldman Sachs Group, Inc. |
3,235,462 | ||||||||||||
20,732 | Invesco LTD |
689,339 | ||||||||||||
4,964 | Legg Mason, Inc., (2) |
210,225 | ||||||||||||
64,797 | Morgan Stanley |
1,912,159 | ||||||||||||
10,506 | Northern Trust Corporation |
632,671 | ||||||||||||
20,532 | State Street Corporation |
1,374,617 | ||||||||||||
12,202 | T. Rowe Price Group Inc. |
957,125 | ||||||||||||
Total Capital Markets |
16,138,133 |
Nuveen Investments | 21 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Chemicals – 2.4% |
||||||||||||||
9,882 | Air Products & Chemicals Inc. |
$ | 1,038,993 | |||||||||||
3,105 | Airgas, Inc. |
320,560 | ||||||||||||
2,681 | CF Industries Holdings, Inc. |
618,936 | ||||||||||||
56,726 | Dow Chemical Company |
2,581,600 | ||||||||||||
43,314 | E.I. Du Pont de Nemours and Company |
2,642,587 | ||||||||||||
7,198 | Eastman Chemical Company |
561,156 | ||||||||||||
13,176 | Ecolab Inc. |
1,324,715 | ||||||||||||
6,234 | FMC Corporation |
440,307 | ||||||||||||
3,812 | International Flavors & Fragrances Inc. |
330,424 | ||||||||||||
18,845 | LyondellBasell Industries NV |
1,484,232 | ||||||||||||
24,594 | Monsanto Company |
2,620,491 | ||||||||||||
13,733 | Mosaic Company |
613,316 | ||||||||||||
6,642 | PPG Industries, Inc. |
1,211,235 | ||||||||||||
13,767 | Praxair, Inc., (2) |
1,717,020 | ||||||||||||
4,028 | Sherwin-Williams Company |
738,171 | ||||||||||||
5,596 | Sigma-Aldrich Corporation |
520,260 | ||||||||||||
Total Chemicals |
18,764,003 | |||||||||||||
Commercial Banks – 2.8% |
||||||||||||||
32,969 | BB&T Corporation |
1,233,370 | ||||||||||||
8,555 | Comerica Incorporated |
391,819 | ||||||||||||
41,291 | Fifth Third Bancorp. |
867,937 | ||||||||||||
38,843 | Huntington BancShares Inc. |
352,306 | ||||||||||||
41,937 | KeyCorp. |
535,116 | ||||||||||||
6,070 | M&T Bank Corporation, (2) |
676,866 | ||||||||||||
24,886 | PNC Financial Services Group, Inc. |
1,987,894 | ||||||||||||
64,429 | Regions Financial Corporation |
655,243 | ||||||||||||
25,034 | SunTrust Banks, Inc. |
926,759 | ||||||||||||
85,417 | U.S. Bancorp |
3,393,617 | ||||||||||||
224,192 | Wells Fargo & Company |
10,164,865 | ||||||||||||
8,836 | Zions Bancorporation, (2) |
254,035 | ||||||||||||
Total Commercial Banks |
21,439,827 | |||||||||||||
Commercial Services & Supplies – 0.5% |
||||||||||||||
9,354 | ADT Corporation, (2) |
280,994 | ||||||||||||
4,921 | Cintas Corporation |
280,841 | ||||||||||||
8,304 | Iron Mountain Inc. |
219,309 | ||||||||||||
9,664 | Pitney Bowes Inc. |
243,340 | ||||||||||||
12,632 | Republic Services, Inc. |
404,603 | ||||||||||||
4,272 | Stericycle Inc., (3) |
500,080 | ||||||||||||
21,763 | Tyco International Ltd. |
881,184 |
22 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Commercial Services & Supplies (continued) |
||||||||||||||
20,873 | Waste Management, Inc. |
$ | 872,074 | |||||||||||
Total Commercial Services & Supplies |
3,682,425 | |||||||||||||
Communications Equipment – 1.7% |
||||||||||||||
250,062 | Cisco Systems, Inc. |
5,478,858 | ||||||||||||
3,630 | F5 Networks, Inc., (3) |
388,410 | ||||||||||||
4,998 | Harris Corporation |
346,561 | ||||||||||||
23,620 | Juniper Networks Inc., (3) |
628,528 | ||||||||||||
10,769 | Motorola Solutions Inc. |
687,062 | ||||||||||||
79,014 | QUALCOMM, Inc. |
5,864,419 | ||||||||||||
Total Communications Equipment |
13,393,838 | |||||||||||||
Computers & Peripherals – 3.8% |
||||||||||||||
42,081 | Apple, Inc. |
21,065,749 | ||||||||||||
96,246 | EMC Corporation, (2) |
2,333,003 | ||||||||||||
89,883 | Hewlett-Packard Company |
2,606,607 | ||||||||||||
15,940 | NetApp, Inc. |
674,900 | ||||||||||||
10,564 | SanDisk Corporation |
734,726 | ||||||||||||
15,254 | Seagate Technology |
806,326 | ||||||||||||
9,845 | Western Digital Corporation |
848,344 | ||||||||||||
Total Computers & Peripherals |
29,069,655 | |||||||||||||
Construction & Engineering – 0.2% |
||||||||||||||
7,641 | Fluor Corporation |
580,410 | ||||||||||||
6,160 | Jacobs Engineering Group, Inc., (3) |
373,974 | ||||||||||||
10,096 | Quanta Services Incorporated, (3) |
314,692 | ||||||||||||
Total Construction & Engineering |
1,269,076 | |||||||||||||
Construction Materials – 0.1% |
||||||||||||||
6,445 | Vulcan Materials Company |
397,850 | ||||||||||||
Consumer Finance – 0.9% |
||||||||||||||
43,089 | American Express Company |
3,663,427 | ||||||||||||
26,965 | Capital One Financial Corporation |
1,903,999 | ||||||||||||
22,403 | Discover Financial Services |
1,201,921 | ||||||||||||
20,888 | SLM Corporation |
475,411 | ||||||||||||
Total Consumer Finance |
7,244,758 | |||||||||||||
Containers & Packaging – 0.2% |
||||||||||||||
4,519 | Avery Dennison Corporation |
222,651 | ||||||||||||
6,949 | Ball Corporation |
355,719 | ||||||||||||
3,602 | Bemis Company, Inc., (2) |
138,713 | ||||||||||||
8,502 | MeadWestvaco Corporation |
306,667 | ||||||||||||
7,870 | Owens-Illinois, Inc., (3) |
252,155 |
Nuveen Investments | 23 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Containers & Packaging (continued) |
||||||||||||||
9,788 | Sealed Air Corporation |
$ | 305,288 | |||||||||||
Total Containers & Packaging |
1,581,193 | |||||||||||||
Distributors – 0.1% |
||||||||||||||
7,219 | Genuine Parts Company |
593,763 | ||||||||||||
Diversified Consumer Services – 0.1% |
||||||||||||||
110 | Graham Holdings Company |
68,867 | ||||||||||||
12,781 | H & R Block Inc. |
388,542 | ||||||||||||
Total Diversified Consumer Services |
457,409 | |||||||||||||
Diversified Financial Services – 5.0% |
||||||||||||||
498,855 | Bank of America Corporation |
8,355,821 | ||||||||||||
84,188 | Berkshire Hathaway Inc., Class B, (3) |
9,395,381 | ||||||||||||
141,853 | Citigroup Inc. |
6,728,088 | ||||||||||||
14,744 | CME Group, Inc. |
1,102,261 | ||||||||||||
5,381 | IntercontinentalExchange Group Inc. |
1,123,499 | ||||||||||||
175,818 | JP Morgan Chase & Co. |
9,733,284 | ||||||||||||
14,558 | Leucadia National Corporation |
397,870 | ||||||||||||
12,665 | McGraw-Hill Companies, Inc. |
963,047 | ||||||||||||
8,854 | Moody’s Corporation, (2) |
660,331 | ||||||||||||
5,408 | NASDAQ Stock Market, Inc. |
206,315 | ||||||||||||
Total Diversified Financial Services |
38,665,897 | |||||||||||||
Diversified Telecommunication Services – 2.1% |
||||||||||||||
246,384 | AT&T Inc., (2) |
8,209,515 | ||||||||||||
27,645 | CenturyLink Inc., (2) |
797,835 | ||||||||||||
46,749 | Frontier Communications Corporation, (2) |
219,720 | ||||||||||||
133,845 | Verizon Communications Inc., (2) |
6,427,237 | ||||||||||||
28,389 | Windstream Holdings Inc., (2) |
212,350 | ||||||||||||
Total Diversified Telecommunication Services |
15,866,657 | |||||||||||||
Electric Utilities – 1.7% |
||||||||||||||
22,791 | American Electric Power Company, Inc. |
1,112,429 | ||||||||||||
33,020 | Duke Energy Corporation |
2,331,872 | ||||||||||||
15,238 | Edison International |
733,862 | ||||||||||||
8,340 | Entergy Corporation |
525,670 | ||||||||||||
40,077 | Exelon Corporation, (2) |
1,162,233 | ||||||||||||
19,561 | FirstEnergy Corp. |
615,976 | ||||||||||||
20,144 | NextEra Energy Inc., (2) |
1,851,838 | ||||||||||||
14,739 | Northeast Utilities |
645,568 | ||||||||||||
11,929 | Pepco Holdings, Inc. |
231,780 | ||||||||||||
5,146 | Pinnacle West Capital Corporation |
270,834 | ||||||||||||
29,476 | PPL Corporation |
901,081 |
24 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Electric Utilities (continued) |
||||||||||||||
41,239 | Southern Company |
$ | 1,700,696 | |||||||||||
23,274 | Xcel Energy, Inc. |
672,851 | ||||||||||||
Total Electric Utilities |
12,756,690 | |||||||||||||
Electrical Equipment – 0.8% |
||||||||||||||
11,696 | Ametek Inc. |
578,016 | ||||||||||||
22,193 | Eaton PLC |
1,622,086 | ||||||||||||
32,925 | Emerson Electric Company |
2,171,075 | ||||||||||||
6,485 | Rockwell Automation, Inc., (2) |
744,737 | ||||||||||||
4,644 | Roper Industries Inc. |
637,343 | ||||||||||||
Total Electrical Equipment |
5,753,257 | |||||||||||||
Electronic Equipment & Instruments – 0.4% |
||||||||||||||
7,403 | Amphenol Corporation, Class A |
643,173 | ||||||||||||
67,686 | Corning Incorporated |
1,164,876 | ||||||||||||
6,625 | FLIR Systems Inc. |
210,145 | ||||||||||||
8,646 | Jabil Circuit Inc. |
155,369 | ||||||||||||
19,194 | TE Connectivity Limited |
1,084,653 | ||||||||||||
Total Electronic Equipment & Instruments |
3,258,216 | |||||||||||||
Energy Equipment & Services – 1.8% |
||||||||||||||
20,730 | Baker Hughes Incorporated |
1,174,147 | ||||||||||||
11,125 | Cooper Cameron Corporation, (2), (3) |
667,166 | ||||||||||||
3,251 | Diamond Offshore Drilling, Inc. |
157,804 | ||||||||||||
10,926 | Ensco PLC |
550,343 | ||||||||||||
11,066 | FMC Technologies Inc., (2), (3) |
547,103 | ||||||||||||
39,671 | Halliburton Company |
1,944,276 | ||||||||||||
5,011 | Helmerich & Payne Inc. |
441,168 | ||||||||||||
12,434 | Nabors Industries Inc. |
212,373 | ||||||||||||
20,022 | National-Oilwell Varco Inc. |
1,501,850 | ||||||||||||
11,851 | Noble Corporation PLC |
367,737 | ||||||||||||
5,810 | Rowan Companies Inc., (3) |
182,260 | ||||||||||||
61,594 | Schlumberger Limited |
5,393,787 | ||||||||||||
15,853 | Transocean Inc., (2) |
686,118 | ||||||||||||
Total Energy Equipment & Services |
13,826,132 | |||||||||||||
Food & Staples Retailing – 2.2% |
||||||||||||||
20,434 | Costco Wholesale Corporation |
2,295,964 | ||||||||||||
55,668 | CVS Caremark Corporation |
3,769,837 | ||||||||||||
24,339 | Kroger Co. |
878,638 | ||||||||||||
11,891 | Safeway Inc. |
371,475 | ||||||||||||
27,200 | Sysco Corporation |
954,176 | ||||||||||||
40,730 | Walgreen Co. |
2,335,866 |
Nuveen Investments | 25 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Food & Staples Retailing (continued) |
||||||||||||||
75,668 | Wal-Mart Stores, Inc. |
$ | 5,650,886 | |||||||||||
17,109 | Whole Foods Market, Inc. |
894,116 | ||||||||||||
Total Food & Staples Retailing |
17,150,958 | |||||||||||||
Food Products – 1.5% |
||||||||||||||
30,774 | Archer-Daniels-Midland Company |
1,214,958 | ||||||||||||
8,548 | Campbell Soup Company, (2) |
352,263 | ||||||||||||
19,732 | ConAgra Foods, Inc. |
627,280 | ||||||||||||
29,664 | General Mills, Inc. |
1,424,465 | ||||||||||||
7,006 | Hershey Foods Corporation, (2) |
696,396 | ||||||||||||
6,295 | Hormel Foods Corporation |
286,045 | ||||||||||||
4,917 | JM Smucker Company |
473,950 | ||||||||||||
12,028 | Kellogg Company |
697,383 | ||||||||||||
27,869 | Kraft Foods Inc. |
1,458,942 | ||||||||||||
6,176 | McCormick & Company, Incorporated |
396,376 | ||||||||||||
9,447 | Mead Johnson Nutrition Company, Class A Shares |
726,380 | ||||||||||||
82,024 | Mondelez International Inc. |
2,686,286 | ||||||||||||
12,703 | Tyson Foods, Inc., Class A |
475,092 | ||||||||||||
Total Food Products |
11,515,816 | |||||||||||||
Gas Utilities – 0.0% |
||||||||||||||
5,075 | AGL Resources Inc. |
242,484 | ||||||||||||
Health Care Equipment & Supplies – 2.0% |
||||||||||||||
72,316 | Abbott Laboratories |
2,651,105 | ||||||||||||
25,382 | Baxter International, Inc. |
1,733,591 | ||||||||||||
9,078 | Becton, Dickinson and Company |
981,513 | ||||||||||||
64,308 | Boston Scientific Corporation, (3) |
870,087 | ||||||||||||
3,643 | C. R. Bard, Inc. |
472,096 | ||||||||||||
9,885 | CareFusion Corporation, (3) |
403,011 | ||||||||||||
21,515 | Covidien PLC |
1,468,184 | ||||||||||||
6,671 | DENTSPLY International Inc. |
307,800 | ||||||||||||
5,117 | Edwards Lifesciences Corporation, (2), (3) |
333,219 | ||||||||||||
1,781 | Intuitive Surgical, Inc., (3) |
725,900 | ||||||||||||
46,692 | Medtronic, Inc. |
2,640,900 | ||||||||||||
13,753 | Saint Jude Medical Inc. |
835,220 | ||||||||||||
13,804 | Stryker Corporation |
1,071,190 | ||||||||||||
4,944 | Varian Medical Systems, Inc., (3) |
401,997 | ||||||||||||
7,997 | Zimmer Holdings, Inc. |
751,478 | ||||||||||||
Total Health Care Equipment & Supplies |
15,647,291 | |||||||||||||
Health Care Providers & Services – 2.1% |
||||||||||||||
17,188 | Aetna Inc. |
1,174,456 |
26 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Health Care Providers & Services (continued) |
||||||||||||||
10,758 | AmerisourceBergen Corporation |
$ | 723,153 | |||||||||||
15,971 | Cardinal Health, Inc. |
1,086,347 | ||||||||||||
12,928 | CIGNA Corporation |
1,115,816 | ||||||||||||
8,376 | Davita Inc., (3) |
543,854 | ||||||||||||
37,687 | Express Scripts, Holding Company, (3) |
2,814,842 | ||||||||||||
7,292 | Humana Inc. |
709,512 | ||||||||||||
4,087 | Laboratory Corporation of America Holdings, (2), (3) |
367,135 | ||||||||||||
10,743 | McKesson HBOC Inc. |
1,873,687 | ||||||||||||
3,899 | Patterson Companies, Inc. |
155,804 | ||||||||||||
6,801 | Quest Diagnostics Incorporated, (2) |
357,053 | ||||||||||||
4,640 | Tenet Healthcare Corporation, (3) |
213,486 | ||||||||||||
47,086 | UnitedHealth Group Incorporated, (2) |
3,403,376 | ||||||||||||
13,817 | Wellpoint Inc. |
1,188,262 | ||||||||||||
Total Health Care Providers & Services |
15,726,783 | |||||||||||||
Health Care Technology – 0.1% |
||||||||||||||
13,807 | Cerner Corporation, (2), (3) |
785,480 | ||||||||||||
Hotels, Restaurants & Leisure – 1.7% |
||||||||||||||
20,487 | Carnival Corporation, ADR, (2) |
802,886 | ||||||||||||
1,448 | Chipotle Mexican Grill, (3) |
799,238 | ||||||||||||
6,106 | Darden Restaurants, Inc., (2) |
301,881 | ||||||||||||
11,641 | International Game Technology |
167,980 | ||||||||||||
10,508 | Marriott International, Inc., Class A, (2) |
518,044 | ||||||||||||
46,537 | McDonald’s Corporation |
4,382,389 | ||||||||||||
35,245 | Starbucks Corporation |
2,506,624 | ||||||||||||
8,957 | Starwood Hotels & Resorts Worldwide, Inc. |
669,177 | ||||||||||||
6,368 | Wyndham Worldwide Corporation |
451,746 | ||||||||||||
3,960 | Wynn Resorts Ltd |
860,983 | ||||||||||||
20,829 | YUM! Brands, Inc. |
1,398,667 | ||||||||||||
Total Hotels, Restaurants & Leisure |
12,859,615 | |||||||||||||
Household Durables – 0.4% |
||||||||||||||
13,534 | D.R. Horton, Inc. |
317,778 | ||||||||||||
5,753 | Garmin Limited, (2) |
259,173 | ||||||||||||
3,159 | Harman International Industries Inc. |
326,735 | ||||||||||||
6,604 | Leggett and Platt Inc. |
198,252 | ||||||||||||
8,820 | Lennar Corporation, Class A, (2) |
354,211 | ||||||||||||
2,927 | Mohawk Industries Inc., (3) |
416,161 | ||||||||||||
13,432 | Newell Rubbermaid Inc. |
415,049 | ||||||||||||
16,124 | Pulte Corporation, (2) |
327,640 | ||||||||||||
3,671 | Whirlpool Corporation |
489,344 | ||||||||||||
Total Household Durables |
3,104,343 |
Nuveen Investments | 27 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Household Products – 1.9% |
||||||||||||||
6,036 | Clorox Company |
$ | 532,798 | |||||||||||
41,109 | Colgate-Palmolive Company |
2,517,104 | ||||||||||||
17,849 | Kimberly-Clark Corporation, (2) |
1,952,145 | ||||||||||||
127,131 | Procter & Gamble Company |
9,740,777 | ||||||||||||
Total Household Products |
14,742,824 | |||||||||||||
Independent Power Producers & Energy Traders – 0.1% |
||||||||||||||
29,476 | AES Corporation |
414,433 | ||||||||||||
15,465 | NRG Energy Inc. |
430,700 | ||||||||||||
Total Independent Power Producers & Energy Traders |
845,133 | |||||||||||||
Industrial Conglomerates – 2.3% |
||||||||||||||
29,914 | 3M Co. |
3,834,676 | ||||||||||||
28,043 | Danaher Corporation |
2,086,119 | ||||||||||||
473,189 | General Electric Company |
11,891,240 | ||||||||||||
Total Industrial Conglomerates |
17,812,035 | |||||||||||||
Insurance – 2.8% |
||||||||||||||
15,904 | Ace Limited |
1,491,954 | ||||||||||||
21,800 | AFLAC Incorporated |
1,368,604 | ||||||||||||
21,274 | Allstate Corporation |
1,089,229 | ||||||||||||
68,862 | American International Group, Inc. |
3,302,622 | ||||||||||||
14,081 | AON PLC |
1,132,957 | ||||||||||||
3,401 | Assurant Inc. |
222,255 | ||||||||||||
11,775 | Chubb Corporation |
995,459 | ||||||||||||
6,897 | Cincinnati Financial Corporation |
334,160 | ||||||||||||
23,117 | Genworth Financial Inc., Class A, (3) |
340,976 | ||||||||||||
20,910 | Hartford Financial Services Group, Inc. |
695,258 | ||||||||||||
12,269 | Lincoln National Corporation |
589,280 | ||||||||||||
14,304 | Loews Corporation |
637,815 | ||||||||||||
25,666 | Marsh & McLennan Companies, Inc. |
1,173,193 | ||||||||||||
52,432 | MetLife, Inc. |
2,571,790 | ||||||||||||
12,804 | Principal Financial Group, Inc. |
557,870 | ||||||||||||
25,816 | Progressive Corporation |
599,964 | ||||||||||||
21,655 | Prudential Financial, Inc. |
1,827,465 | ||||||||||||
4,228 | Torchmark Corporation |
317,734 | ||||||||||||
17,027 | Travelers Companies, Inc. |
1,383,955 | ||||||||||||
12,214 | Unum Group |
393,291 | ||||||||||||
13,228 | XL Capital Ltd, Class A |
380,173 | ||||||||||||
Total Insurance |
21,406,004 | |||||||||||||
Internet & Catalog Retail – 1.4% |
||||||||||||||
17,340 | Amazon.com, Inc., (3) |
6,219,685 |
28 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Internet & Catalog Retail (continued) |
||||||||||||||
4,637 | Expedia, Inc. |
$ | 301,312 | |||||||||||
2,772 | NetFlix.com Inc., (2), (3) |
1,134,663 | ||||||||||||
2,405 | priceline.com Incorporated, (3) |
2,753,460 | ||||||||||||
5,182 | TripAdvisor Inc., (3) |
399,999 | ||||||||||||
Total Internet & Catalog Retail |
10,809,119 | |||||||||||||
Internet Software & Services – 3.3% |
||||||||||||||
8,371 | Akamai Technologies, Inc., (2), (3) |
399,129 | ||||||||||||
54,494 | eBay Inc., (2), (3) |
2,899,081 | ||||||||||||
76,924 | Facebook Inc., Class A Shares, (3) |
4,813,135 | ||||||||||||
13,126 | Google Inc., Class A, (3) |
15,501,412 | ||||||||||||
6,026 | VeriSign, Inc., (2), (3) |
354,028 | ||||||||||||
44,124 | Yahoo! Inc., (2), (3) |
1,589,346 | ||||||||||||
Total Internet Software & Services |
25,556,131 | |||||||||||||
IT Services – 3.5% |
||||||||||||||
29,734 | Accenture Limited |
2,375,152 | ||||||||||||
2,279 | Alliance Data Systems Corporation, (2), (3) |
546,185 | ||||||||||||
22,517 | Automatic Data Processing, Inc. |
1,724,802 | ||||||||||||
14,148 | Cognizant Technology Solutions Corporation, Class A, (3) |
1,371,224 | ||||||||||||
6,886 | Computer Sciences Corporation |
415,983 | ||||||||||||
12,678 | Fidelity National Information Services |
642,775 | ||||||||||||
12,064 | Fiserv, Inc., (3) |
676,187 | ||||||||||||
47,738 | International Business Machines Corporation (IBM) |
8,434,350 | ||||||||||||
48,420 | MasterCard, Inc. |
3,664,426 | ||||||||||||
15,201 | Paychex, Inc. |
635,706 | ||||||||||||
7,643 | Teradata Corporation, (3) |
314,280 | ||||||||||||
7,810 | Total System Services Inc. |
233,363 | ||||||||||||
23,818 | Visa Inc. |
5,131,112 | ||||||||||||
25,829 | Western Union Company, (2) |
397,767 | ||||||||||||
54,124 | Xerox Corporation |
587,245 | ||||||||||||
Total IT Services |
27,150,557 | |||||||||||||
Leisure Equipment & Products – 0.1% |
||||||||||||||
5,529 | Hasbro, Inc. |
271,584 | ||||||||||||
15,828 | Mattel, Inc. |
598,932 | ||||||||||||
Total Leisure Equipment & Products |
870,516 | |||||||||||||
Life Sciences Tools & Services – 0.5% |
||||||||||||||
15,472 | Agilent Technologies, Inc. |
899,697 | ||||||||||||
8,076 | Life Technologies Corporation, (3) |
614,341 | ||||||||||||
5,257 | Perkinelmer Inc. |
229,205 | ||||||||||||
16,901 | Thermo Fisher Scientific, Inc. |
1,945,981 |
Nuveen Investments | 29 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Life Sciences Tools & Services (continued) |
||||||||||||||
3,981 | Waters Corporation, (3) |
$ | 431,023 | |||||||||||
Total Life Sciences Tools & Services |
4,120,247 | |||||||||||||
Machinery – 1.7% |
||||||||||||||
29,763 | Caterpillar Inc., (2) |
2,795,043 | ||||||||||||
8,150 | Cummins Inc. |
1,034,887 | ||||||||||||
17,906 | Deere & Company, (2) |
1,539,200 | ||||||||||||
7,969 | Dover Corporation, (2) |
689,797 | ||||||||||||
6,523 | Flowserve Corporation, (2) |
471,809 | ||||||||||||
19,097 | Illinois Tool Works, Inc. |
1,506,180 | ||||||||||||
12,961 | Ingersoll Rand Company Limited, Class A |
761,977 | ||||||||||||
4,970 | Joy Global Inc., (2) |
262,366 | ||||||||||||
16,560 | PACCAR Inc. |
927,360 | ||||||||||||
5,355 | Pall Corporation |
428,936 | ||||||||||||
6,979 | Parker Hannifin Corporation |
791,209 | ||||||||||||
9,537 | Pentair Limited |
708,885 | ||||||||||||
2,719 | Snap-on Incorporated |
272,308 | ||||||||||||
7,259 | Stanley Black & Decker Inc. |
561,847 | ||||||||||||
8,629 | Xylem Inc. |
287,863 | ||||||||||||
Total Machinery |
13,039,667 | |||||||||||||
Media – 3.6% |
||||||||||||||
10,245 | Cablevision Systems Corporation, (2) |
164,330 | ||||||||||||
26,101 | CBS Corporation, Class B |
1,532,651 | ||||||||||||
121,882 | Comcast Corporation, Class A |
6,636,475 | ||||||||||||
22,854 | DirecTV, (3) |
1,586,753 | ||||||||||||
10,555 | Discovery Communications inc., Class A Shares, (2), (3) |
842,078 | ||||||||||||
10,658 | Gannett Company Inc., (2) |
293,415 | ||||||||||||
19,467 | Interpublic Group Companies, Inc. |
317,701 | ||||||||||||
23,282 | News Corporation, Class A Shares, (3) |
371,581 | ||||||||||||
12,036 | Omnicom Group, Inc. |
873,573 | ||||||||||||
4,272 | Scripps Networks Interactive, Class A Shares |
309,805 | ||||||||||||
13,184 | Time Warner Cable, Class A |
1,757,032 | ||||||||||||
42,313 | Time Warner Inc. |
2,658,509 | ||||||||||||
91,779 | Twenty First Century Fox Inc., Class A Shares |
2,920,408 | ||||||||||||
18,982 | Viacom Inc., Class B |
1,558,422 | ||||||||||||
76,435 | Walt Disney Company |
5,549,945 | ||||||||||||
Total Media |
27,372,678 | |||||||||||||
Metals & Mining – 0.5% |
||||||||||||||
50,026 | Alcoa Inc. |
575,799 | ||||||||||||
5,170 | Allegheny Technologies, Inc., (2) |
162,545 |
30 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Metals & Mining (continued) |
||||||||||||||
7,334 | Cliffs Natural Resources Inc., (2) |
$ | 141,693 | |||||||||||
48,554 | Freeport-McMoRan Copper & Gold, Inc. |
1,573,635 | ||||||||||||
23,285 | Newmont Mining Corporation |
502,956 | ||||||||||||
14,882 | Nucor Corporation |
719,545 | ||||||||||||
6,927 | United States Steel Corporation |
180,864 | ||||||||||||
Total Metals & Mining |
3,857,037 | |||||||||||||
Multiline Retail – 0.7% |
||||||||||||||
13,781 | Dollar General Corporation, (3) |
776,146 | ||||||||||||
9,732 | Dollar Tree Stores Inc., (3) |
491,661 | ||||||||||||
4,522 | Family Dollar Stores, Inc. |
279,550 | ||||||||||||
9,414 | Kohl’s Corporation, (2) |
476,631 | ||||||||||||
17,233 | Macy’s, Inc. |
916,796 | ||||||||||||
6,692 | Nordstrom, Inc., (2) |
384,455 | ||||||||||||
29,563 | Target Corporation, (2) |
1,674,448 | ||||||||||||
Total Multiline Retail |
4,999,687 | |||||||||||||
Multi-Utilities – 1.1% |
||||||||||||||
11,619 | Ameren Corporation |
439,663 | ||||||||||||
22,133 | CenterPoint Energy, Inc. |
517,912 | ||||||||||||
12,733 | CMS Energy Corporation |
353,850 | ||||||||||||
13,699 | Consolidated Edison, Inc. |
745,363 | ||||||||||||
27,297 | Dominion Resources, Inc. |
1,853,739 | ||||||||||||
8,269 | DTE Energy Company |
564,111 | ||||||||||||
3,732 | Integrys Energy Group, Inc. |
202,797 | ||||||||||||
14,969 | NiSource Inc. |
514,485 | ||||||||||||
21,013 | PG&E Corporation |
885,698 | ||||||||||||
23,659 | Public Service Enterprise Group Incorporated, (2) |
788,791 | ||||||||||||
6,573 | Scana Corporation |
310,706 | ||||||||||||
10,877 | Sempra Energy |
1,008,407 | ||||||||||||
9,553 | TECO Energy, Inc. |
156,478 | ||||||||||||
10,594 | Wisconsin Energy Corporation |
452,046 | ||||||||||||
Total Multi-Utilities |
8,794,046 | |||||||||||||
Oil, Gas & Consumable Fuels – 8.0% |
||||||||||||||
23,538 | Anadarko Petroleum Corporation |
1,899,281 | ||||||||||||
18,673 | Apache Corporation |
1,498,695 | ||||||||||||
19,698 | Cabot Oil & Gas Corporation |
787,526 | ||||||||||||
23,641 | Chesapeake Energy Corporation |
636,179 | ||||||||||||
89,947 | Chevron Corporation |
10,040,784 | ||||||||||||
57,297 | ConocoPhillips |
3,721,440 | ||||||||||||
11,323 | CONSOL Energy Inc. |
422,914 |
Nuveen Investments | 31 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Oil, Gas & Consumable Fuels (continued) |
||||||||||||||
17,150 | Denbury Resources Inc., (2) |
$ | 275,601 | |||||||||||
17,850 | Devon Energy Corporation |
1,057,077 | ||||||||||||
12,768 | EOG Resources, Inc. |
2,109,784 | ||||||||||||
7,049 | EQT Corporation |
654,218 | ||||||||||||
204,316 | Exxon Mobil Corporation |
18,829,754 | ||||||||||||
13,304 | Hess Corporation |
1,004,319 | ||||||||||||
31,356 | Kinder Morgan, Inc. |
1,066,418 | ||||||||||||
32,581 | Marathon Oil Corporation |
1,068,331 | ||||||||||||
14,079 | Marathon Petroleum Corporation |
1,225,577 | ||||||||||||
8,220 | Murphy Oil Corporation, (2) |
465,334 | ||||||||||||
6,497 | Newfield Exploration Company, (3) |
160,931 | ||||||||||||
16,803 | Noble Energy, Inc. |
1,047,331 | ||||||||||||
37,699 | Occidental Petroleum Corporation |
3,301,301 | ||||||||||||
7,868 | ONEOK, Inc. |
538,879 | ||||||||||||
12,923 | Peabody Energy Corporation |
220,337 | ||||||||||||
28,040 | Phillips 66 |
2,049,444 | ||||||||||||
6,621 | Pioneer Natural Resources Company |
1,121,068 | ||||||||||||
8,586 | QEP Resources Inc. |
265,222 | ||||||||||||
7,643 | Range Resources Corporation |
658,750 | ||||||||||||
16,401 | Southwestern Energy Company, (3) |
667,357 | ||||||||||||
31,338 | Spectra Energy Corporation, (2) |
1,126,601 | ||||||||||||
6,212 | Tesoro Corporation |
320,042 | ||||||||||||
25,235 | Valero Energy Corporation |
1,289,509 | ||||||||||||
32,717 | Williams Companies, Inc. |
1,324,711 | ||||||||||||
9,605 | WPX Energy Inc., (2), (3) |
182,975 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
61,037,690 | |||||||||||||
Paper & Forest Products – 0.1% |
||||||||||||||
20,748 | International Paper Company |
990,510 | ||||||||||||
Personal Products – 0.1% |
||||||||||||||
20,288 | Avon Products, Inc. |
302,088 | ||||||||||||
11,897 | Estee Lauder Companies Inc., Class A |
817,800 | ||||||||||||
Total Personal Products |
1,119,888 | |||||||||||||
Pharmaceuticals – 5.8% |
||||||||||||||
74,405 | AbbVie Inc. |
3,662,958 | ||||||||||||
8,140 | Actavis Inc., (3) |
1,538,297 | ||||||||||||
13,899 | Allergan, Inc. |
1,592,825 | ||||||||||||
77,009 | Bristol-Myers Squibb Company |
3,848,140 | ||||||||||||
46,370 | Eli Lilly and Company |
2,504,444 | ||||||||||||
11,089 | Forest Laboratories, Inc., (3) |
735,201 |
32 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Pharmaceuticals (continued) |
||||||||||||||
7,933 | Hospira Inc., (3) |
$ | 349,131 | |||||||||||
131,958 | Johnson & Johnson |
11,674,324 | ||||||||||||
136,658 | Merck & Company Inc. |
7,238,774 | ||||||||||||
17,906 | Mylan Laboratories Inc., (2), (3) |
813,111 | ||||||||||||
6,222 | Perrigo Company |
968,517 | ||||||||||||
303,119 | Pfizer Inc. |
9,214,818 | ||||||||||||
21,570 | Zoetis Incorporated |
654,865 | ||||||||||||
Total Pharmaceuticals |
44,795,405 | |||||||||||||
Professional Services – 0.2% |
||||||||||||||
1,785 | Dun and Bradstreet Inc. |
196,350 | ||||||||||||
5,809 | Equifax Inc. |
406,979 | ||||||||||||
10,294 | Nielsen Holdings BV |
435,333 | ||||||||||||
6,482 | Robert Half International Inc. |
270,818 | ||||||||||||
Total Professional Services |
1,309,480 | |||||||||||||
Real Estate Investment Trust – 1.9% |
||||||||||||||
18,915 | American Tower Corporation |
1,529,845 | ||||||||||||
6,987 | Apartment Investment & Management Company, Class A |
195,426 | ||||||||||||
5,886 | AvalonBay Communities, Inc. |
726,921 | ||||||||||||
7,526 | Boston Properties, Inc. |
813,485 | ||||||||||||
15,899 | Equity Residential |
880,487 | ||||||||||||
14,495 | General Growth Properties Inc., (2) |
291,929 | ||||||||||||
21,339 | Health Care Property Investors Inc. |
835,422 | ||||||||||||
13,499 | Health Care REIT, Inc., (2) |
781,862 | ||||||||||||
36,067 | Host Hotels & Resorts Inc., (2) |
663,272 | ||||||||||||
19,618 | Kimco Realty Corporation, (2) |
410,212 | ||||||||||||
2,377 | Macerich Company |
134,538 | ||||||||||||
8,400 | Plum Creek Timber Company |
361,788 | ||||||||||||
24,508 | Prologis Inc. |
949,930 | ||||||||||||
6,759 | Public Storage, Inc. |
1,065,151 | ||||||||||||
15,568 | Simon Property Group, Inc. |
2,410,549 | ||||||||||||
14,482 | Ventas Inc. |
903,532 | ||||||||||||
8,407 | Vornado Realty Trust |
772,015 | ||||||||||||
27,064 | Weyerhaeuser Company |
808,672 | ||||||||||||
Total Real Estate Investment Trust |
14,535,036 | |||||||||||||
Real Estate Management & Development – 0.0% |
||||||||||||||
13,279 | CBRE Group Inc., (3) |
352,425 | ||||||||||||
Road & Rail – 0.9% |
||||||||||||||
47,410 | CSX Corporation |
1,275,803 | ||||||||||||
5,154 | Kansas City Southern Industries |
544,211 |
Nuveen Investments | 33 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Road & Rail (continued) |
||||||||||||||
14,447 | Norfolk Southern Corporation |
$ | 1,337,648 | |||||||||||
2,505 | Ryder System, Inc. |
178,331 | ||||||||||||
21,540 | Union Pacific Corporation |
3,753,130 | ||||||||||||
Total Road & Rail |
7,089,123 | |||||||||||||
Semiconductors & Equipment – 2.0% |
||||||||||||||
15,020 | Altera Corporation |
502,119 | ||||||||||||
14,548 | Analog Devices, Inc. |
702,232 | ||||||||||||
56,320 | Applied Materials, Inc. |
947,302 | ||||||||||||
25,238 | Broadcom Corporation, Class A |
751,083 | ||||||||||||
3,321 | First Solar Inc., (3) |
167,976 | ||||||||||||
232,493 | Intel Corporation |
5,705,378 | ||||||||||||
7,794 | KLA-Tencor Corporation |
479,097 | ||||||||||||
7,595 | Lam Research Corporation, (3) |
384,383 | ||||||||||||
10,951 | Linear Technology Corporation |
487,758 | ||||||||||||
25,487 | LSI Logic Corporation |
281,122 | ||||||||||||
9,277 | Microchip Technology Incorporated, (2) |
416,166 | ||||||||||||
49,195 | Micron Technology, Inc., (3) |
1,133,453 | ||||||||||||
27,062 | NVIDIA Corporation, (2) |
424,873 | ||||||||||||
51,192 | Texas Instruments Incorporated |
2,170,541 | ||||||||||||
12,549 | Xilinx, Inc. |
582,525 | ||||||||||||
Total Semiconductors & Equipment |
15,136,008 | |||||||||||||
Software – 3.4% |
||||||||||||||
21,744 | Adobe Systems Incorporated, (3) |
1,287,027 | ||||||||||||
10,680 | Autodesk, Inc., (3) |
547,350 | ||||||||||||
15,197 | CA Inc. |
487,520 | ||||||||||||
8,717 | Citrix Systems, (3) |
471,328 | ||||||||||||
14,458 | Electronic Arts Inc., (3) |
381,691 | ||||||||||||
13,322 | Intuit, Inc. |
975,837 | ||||||||||||
355,295 | Microsoft Corporation |
13,447,916 | ||||||||||||
164,127 | Oracle Corporation |
6,056,286 | ||||||||||||
9,066 | Red Hat, Inc., (3) |
512,229 | ||||||||||||
25,947 | Salesforce.com, Inc., (2), (3) |
1,570,572 | ||||||||||||
32,553 | Symantec Corporation |
696,960 | ||||||||||||
Total Software |
26,434,716 | |||||||||||||
Specialty Retail – 2.1% |
||||||||||||||
1,921 | AutoNation Inc., (3) |
94,878 | ||||||||||||
1,592 | AutoZone, Inc., (3) |
788,136 | ||||||||||||
10,043 | Bed Bath and Beyond Inc., (3) |
641,246 | ||||||||||||
12,929 | Best Buy Co., Inc. |
304,349 |
34 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Specialty Retail (continued) |
||||||||||||||
10,707 | CarMax, Inc., (2), (3) |
$ | 482,993 | |||||||||||
5,468 | GameStop Corporation, (2) |
191,763 | ||||||||||||
12,389 | Gap, Inc. |
471,773 | ||||||||||||
65,862 | Home Depot, Inc. |
5,061,495 | ||||||||||||
11,404 | L Brands Inc. |
597,113 | ||||||||||||
48,913 | Lowe’s Companies, Inc. |
2,264,183 | ||||||||||||
5,019 | O’Reilly Automotive Inc., (3) |
657,389 | ||||||||||||
4,851 | PetSmart Inc. |
305,613 | ||||||||||||
10,134 | Ross Stores, Inc. |
688,200 | ||||||||||||
30,891 | Staples, Inc., (2) |
406,526 | ||||||||||||
5,150 | Tiffany & Co. |
428,429 | ||||||||||||
33,262 | TJX Companies, Inc. |
1,907,908 | ||||||||||||
4,622 | Tractor Supply Company |
307,409 | ||||||||||||
5,100 | Urban Outfitters, Inc., (3) |
182,682 | ||||||||||||
Total Specialty Retail |
15,782,085 | |||||||||||||
Textiles, Apparel & Luxury Goods – 0.8% |
||||||||||||||
13,118 | Coach, Inc. |
628,221 | ||||||||||||
2,297 | Fossil Group Inc., (3) |
256,874 | ||||||||||||
8,390 | Michael Kors Holdings Limited, (2), (3) |
670,613 | ||||||||||||
34,947 | Nike, Inc., Class B |
2,545,889 | ||||||||||||
3,109 | PVH Corporation |
375,785 | ||||||||||||
2,789 | Ralph Lauren Corporation |
437,566 | ||||||||||||
16,474 | VF Corporation |
962,905 | ||||||||||||
Total Textiles, Apparel & Luxury Goods |
5,877,853 | |||||||||||||
Thrifts & Mortgage Finance – 0.1% |
||||||||||||||
22,766 | Hudson City Bancorp, Inc. |
205,805 | ||||||||||||
14,863 | People’s United Financial, Inc. |
211,203 | ||||||||||||
Total Thrifts & Mortgage Finance |
417,008 | |||||||||||||
Tobacco – 1.4% |
||||||||||||||
93,540 | Altria Group, Inc. |
3,294,479 | ||||||||||||
17,228 | Lorillard Inc. |
847,962 | ||||||||||||
74,934 | Philip Morris International |
5,855,343 | ||||||||||||
14,661 | Reynolds American Inc. |
711,059 | ||||||||||||
Total Tobacco |
10,708,843 | |||||||||||||
Trading Companies & Distributors – 0.2% |
||||||||||||||
12,769 | Fastenal Company |
560,942 | ||||||||||||
2,889 | W.W. Grainger, Inc. |
677,413 | ||||||||||||
Total Trading Companies & Distributors |
1,238,355 |
Nuveen Investments | 35 |
Nuveen Equity Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||||||||
Wireless Telecommunication Services – 0.1% |
||||||||||||||||||||
15,172 | Crown Castle International Corporation, (3) |
$ | 1,076,605 | |||||||||||||||||
Total Long-Term Investments (cost $307,780,781) |
744,214,378 | |||||||||||||||||||
Shares | Description (1) | Value | ||||||||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 8.7% |
|
|||||||||||||||||||
Money Market Funds – 8.7% |
||||||||||||||||||||
66,700,021 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (4), (5) |
$ | 66,700,021 | |||||||||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $66,700,021) |
|
66,700,021 | ||||||||||||||||||
Shares/ Principal Amount (000) |
Description (1) | Coupon | Maturity | Rating (6) | Value | |||||||||||||||
SHORT-TERM INVESTMENTS – 3.2% |
|
|||||||||||||||||||
Money Market Funds – 2.8% |
||||||||||||||||||||
140,746 | First American Prime Obligations Fund, Class Z |
0.016 | % (4) | N/A | N/A | $ | 140,746 | |||||||||||||
21,553,071 | First American Treasury Obligations Fund, Class Z |
0.000 | % (4) | N/A | N/A | 21,553,071 | ||||||||||||||
Total Money Market Funds |
21,693,817 | |||||||||||||||||||
U.S. Government and Agency Obligations – 0.4% |
|
|||||||||||||||||||
$ | 3,000 | U.S. Treasury Bills, (7) |
0.000 | % | 2/13/14 | N/R | 2,999,994 | |||||||||||||
Total Short-Term Investments (cost $24,693,762) |
24,693,811 | |||||||||||||||||||
Total Investments (cost $399,174,564) – 109.0% |
835,608,210 | |||||||||||||||||||
Other Assets Less Liabilities – (9.0)% |
(68,707,501 | ) | ||||||||||||||||||
Net Assets – 100% |
$ | 766,900,709 |
Investments in Derivatives as of January 31, 2014
Futures Contracts outstanding:
Description | Contract Position |
Number of Contracts |
Contract Expiration |
Notional Amount at Value |
Unrealized Appreciation (Depreciation) |
|||||||||||||||
S&P 500 Index | Long | 55 | 3/14 | $ | 24,428,250 | $ | (444,274 | ) |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
36 | Nuveen Investments |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 744,214,378 | $ | — | $ | — | $ | 744,214,378 | ||||||||
Investments Purchased with Collateral from Securities Lending | 66,700,021 | — | — | 66,700,021 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
21,693,817 | — | — | 21,693,817 | ||||||||||||
U.S. Government and Agency Obligations |
— | 2,999,994 | — | 2,999,994 | ||||||||||||
Derivatives: | ||||||||||||||||
Futures Contracts* |
(444,274 | ) | — | — | (444,274 | ) | ||||||||||
Total | $ | 832,163,942 | $ | 2,999,994 | $ | — | $ | 835,163,936 |
* | Represents net unrealized appreciation (depreciation) as reported in the Fund’s Portfolio of Investments. |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments (excluding investments in derivatives) was $412,937,201.
Gross unrealized appreciation and gross unrealized depreciation of investments (excluding investments in derivatives) as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 445,575,645 | ||
Depreciation |
(22,904,636 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 422,671,009 |
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 the 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. |
(2) | Investment, or a portion of investment, is out on loan. The total value of investments out on loan at the end of the reporting period was $64,353,862. |
(3) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
(6) | Ratings: Using the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. 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. |
(7) | Investment, or portion of investment, segregated as collateral for investments in derivatives. |
N/A | Not applicable. |
ADR | American Depositary Receipt. |
REIT | Real Estate Investment Trust. |
Nuveen Investments | 37 |
Nuveen Mid Cap Index Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 92.8% |
||||||||||||||
COMMON STOCKS – 92.8% |
||||||||||||||
Aerospace & Defense – 1.8% |
||||||||||||||
12,489 | Alliant Techsystems Inc. |
$ | 1,794,669 | |||||||||||
40,642 | BE Aerospace Inc., (2) |
3,229,820 | ||||||||||||
12,139 | Esterline Technologies Corporation, (2) |
1,249,710 | ||||||||||||
73,007 | Exelis Inc. |
1,430,207 | ||||||||||||
19,460 | Huntington Ingalls Industries Inc. |
1,849,089 | ||||||||||||
20,019 | Triumph Group Inc., (3) |
1,369,700 | ||||||||||||
Total Aerospace & Defense |
10,923,195 | |||||||||||||
Air Freight & Logistics – 0.1% |
||||||||||||||
40,560 | UTI Worldwide, Inc., (3) |
635,170 | ||||||||||||
Airlines – 0.5% |
||||||||||||||
27,259 | Alaska Air Group, Inc. |
2,155,369 | ||||||||||||
87,586 | JetBlue Airways Corporation, (2), (3) |
767,253 | ||||||||||||
Total Airlines |
2,922,622 | |||||||||||||
Auto Components – 0.3% |
||||||||||||||
55,719 | Gentex Corporation |
1,804,738 | ||||||||||||
Automobiles – 0.1% |
||||||||||||||
17,084 | Thor Industries, Inc., (3) |
877,605 | ||||||||||||
Biotechnology – 0.6% |
||||||||||||||
28,582 | Cubist Pharmaceuticals Inc., (2) |
2,089,058 | ||||||||||||
17,926 | United Therapeutics Corporation, (2), (3) |
1,839,566 | ||||||||||||
Total Biotechnology |
3,928,624 | |||||||||||||
Building Products – 0.9% |
||||||||||||||
64,036 | Fortune Brands Home & Security |
2,885,462 | ||||||||||||
17,795 | Lennox International Inc. |
1,540,335 | ||||||||||||
22,934 | Smith AO Corporation |
1,082,943 | ||||||||||||
Total Building Products |
5,508,740 | |||||||||||||
Capital Markets – 2.4% |
||||||||||||||
20,465 | Affiliated Managers Group Inc., (2) |
4,077,447 | ||||||||||||
87,212 | Apollo Investment Corporation |
736,069 | ||||||||||||
47,114 | Eaton Vance Corporation, (3) |
1,793,630 | ||||||||||||
36,598 | Federated Investors Inc., (3) |
984,120 | ||||||||||||
10,173 | Greenhill & Co Inc. |
528,487 | ||||||||||||
59,237 | Janus Capital Group Inc., (3) |
651,015 |
38 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Capital Markets (continued) |
||||||||||||||
43,893 | Raymond James Financial Inc. |
$ | 2,234,593 | |||||||||||
52,183 | SEI Investments Company |
1,777,353 | ||||||||||||
33,346 | Waddell & Reed Financial, Inc., Class A |
2,161,488 | ||||||||||||
Total Capital Markets |
14,944,202 | |||||||||||||
Chemicals – 2.6% |
||||||||||||||
31,560 | Albemarle Corporation |
2,025,521 | ||||||||||||
28,519 | Ashland Inc. |
2,646,848 | ||||||||||||
23,279 | Cabot Corporation |
1,132,989 | ||||||||||||
14,168 | Cytec Industries, Inc. |
1,274,695 | ||||||||||||
20,873 | Intrepid Potash Inc., (2), (3) |
306,833 | ||||||||||||
13,528 | Minerals Technologies Inc. |
699,127 | ||||||||||||
4,138 | NewMarket Corporation, (3) |
1,385,651 | ||||||||||||
31,158 | Olin Corporation, (3) |
801,072 | ||||||||||||
51,419 | RPM International, Inc. |
2,039,792 | ||||||||||||
15,085 | Scotts Miracle Gro Company |
895,898 | ||||||||||||
19,419 | Sensient Technologies Corporation |
949,977 | ||||||||||||
31,715 | Valspar Corporation |
2,228,930 | ||||||||||||
Total Chemicals |
16,387,333 | |||||||||||||
Commercial Banks – 4.2% |
||||||||||||||
65,082 | Associated Banc-Corp. |
1,071,901 | ||||||||||||
32,504 | BancorpSouth Inc., (3) |
766,119 | ||||||||||||
17,402 | Bank of Hawaii Corporation, (3) |
988,086 | ||||||||||||
28,951 | Cathay General Bancorp. |
680,349 | ||||||||||||
18,492 | City National Corporation |
1,337,896 | ||||||||||||
31,406 | Commerce Bancshares Inc. |
1,365,219 | ||||||||||||
21,597 | Cullen/Frost Bankers, Inc., (3) |
1,598,610 | ||||||||||||
52,844 | East West Bancorp Inc. |
1,768,160 | ||||||||||||
93,609 | First Horizon National Corporation, (3) |
1,100,842 | ||||||||||||
137,351 | First Niagara Financial Group Inc. |
1,186,713 | ||||||||||||
64,316 | FirstMerit Corporation |
1,308,831 | ||||||||||||
75,728 | Fulton Financial Corporation |
935,241 | ||||||||||||
32,939 | Hancock Holding Company |
1,139,689 | ||||||||||||
22,348 | International Bancshares Corporation |
523,167 | ||||||||||||
18,245 | Prosperity Bancshares, Inc. |
1,141,407 | ||||||||||||
18,340 | Signature Bank, (2) |
2,238,580 | ||||||||||||
17,493 | SVB Financial Group, (2) |
1,963,239 | ||||||||||||
375,448 | Synovus Financial Corp. |
1,257,751 | ||||||||||||
63,567 | TCF Financial Corporation |
1,023,429 | ||||||||||||
26,062 | Trustmark Corporation |
619,233 |
Nuveen Investments | 39 |
Nuveen Mid Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Commercial Banks (continued) |
||||||||||||||
77,317 | Valley National Bancorp., (3) |
$ | 749,202 | |||||||||||
35,024 | Webster Financial Corporation |
1,062,628 | ||||||||||||
10,470 | Westamerica Bancorp., (3) |
516,799 | ||||||||||||
Total Commercial Banks |
26,343,091 | |||||||||||||
Commercial Services & Supplies – 1.6% |
||||||||||||||
18,609 | Brinks Company |
588,789 | ||||||||||||
20,907 | Clean Harbors, Inc., (2), (3) |
1,172,465 | ||||||||||||
41,377 | Copart Inc., (2) |
1,418,404 | ||||||||||||
19,738 | Deluxe Corporation |
958,280 | ||||||||||||
17,641 | HNI Corporation |
605,263 | ||||||||||||
22,653 | Miller (Herman) Inc. |
634,964 | ||||||||||||
12,107 | Mine Safety Appliances Company |
609,951 | ||||||||||||
70,391 | R.R. Donnelley & Sons Company, (3) |
1,300,122 | ||||||||||||
25,543 | Rollins Inc. |
736,149 | ||||||||||||
47,893 | Waste Connections Inc. |
1,957,866 | ||||||||||||
Total Commercial Services & Supplies |
9,982,253 | |||||||||||||
Communications Equipment – 0.9% |
||||||||||||||
23,001 | ADTRAN, Inc. |
583,995 | ||||||||||||
39,397 | Ciena Corporation, (2), (3) |
919,132 | ||||||||||||
15,969 | Interdigital Inc. |
459,109 | ||||||||||||
89,859 | JDS Uniphase Corporation, (2) |
1,194,226 | ||||||||||||
16,797 | Plantronics Inc. |
721,095 | ||||||||||||
46,884 | Polycom Inc., (2) |
559,326 | ||||||||||||
63,417 | Riverbed Technology, Inc., (2), (3) |
1,250,583 | ||||||||||||
Total Communications Equipment |
5,687,466 | |||||||||||||
Computers & Peripherals – 1.1% |
||||||||||||||
36,891 | 3D Systems Corporation, (2), (3) |
2,867,537 | ||||||||||||
24,703 | Diebold Inc., (3) |
829,774 | ||||||||||||
24,452 | Lexmark International, Inc., Class A, (3) |
958,274 | ||||||||||||
63,795 | NCR Corporation, (2) |
2,244,946 | ||||||||||||
Total Computers & Peripherals |
6,900,531 | |||||||||||||
Construction & Engineering – 0.8% |
||||||||||||||
40,002 | AECOM Technology Corporation, (2) |
1,146,857 | ||||||||||||
13,828 | Granite Construction Inc., (3) |
460,334 | ||||||||||||
57,359 | KBR Inc. |
1,795,337 | ||||||||||||
29,452 | URS Corporation |
1,478,490 | ||||||||||||
Total Construction & Engineering |
4,881,018 | |||||||||||||
Construction Materials – 0.6% |
||||||||||||||
19,281 | Eagle Materials Inc. |
1,518,379 |
40 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Construction Materials (continued) |
||||||||||||||
17,821 | Martin Marietta Materials, (3) |
$ | 1,942,667 | |||||||||||
Total Construction Materials |
3,461,046 | |||||||||||||
Containers & Packaging – 1.6% |
||||||||||||||
25,881 | AptarGroup Inc. |
1,651,208 | ||||||||||||
11,808 | Greif Inc. |
597,839 | ||||||||||||
38,066 | Packaging Corp. of America |
2,459,064 | ||||||||||||
27,913 | Rock-Tenn Company |
2,832,611 | ||||||||||||
17,563 | Silgan Holdings, Inc. |
804,912 | ||||||||||||
39,281 | Sonoco Products Company, (3) |
1,625,448 | ||||||||||||
Total Containers & Packaging |
9,971,082 | |||||||||||||
Distributors – 0.5% |
||||||||||||||
115,876 | LKQ Corporation, (2) |
3,136,763 | ||||||||||||
Diversified Consumer Services – 0.8% |
||||||||||||||
38,891 | Apollo Group, Inc., (2) |
1,255,790 | ||||||||||||
21,964 | Devry Education Group Inc., (3) |
793,779 | ||||||||||||
10,713 | Matthews International Corporation |
455,517 | ||||||||||||
82,140 | Service Corporation International |
1,453,878 | ||||||||||||
26,496 | Sothebys Holdings Inc. |
1,269,688 | ||||||||||||
Total Diversified Consumer Services |
5,228,652 | |||||||||||||
Diversified Financial Services – 0.6% |
||||||||||||||
33,867 | CBOE Holdings Inc., (3) |
1,761,761 | ||||||||||||
46,846 | MSCI Inc., Class A Shares, (2) |
2,001,261 | ||||||||||||
Total Diversified Financial Services |
3,763,022 | |||||||||||||
Diversified Telecommunication Services – 0.3% |
||||||||||||||
58,333 | TW Telecom Inc., (2) |
1,718,490 | ||||||||||||
Electric Utilities – 1.6% |
||||||||||||||
23,456 | Cleco Corporation |
1,146,060 | ||||||||||||
59,651 | Great Plains Energy Incorporated |
1,472,187 | ||||||||||||
38,240 | Hawaiian Electric Industries, (3) |
995,005 | ||||||||||||
19,494 | IDACORP, INC, (3) |
1,027,919 | ||||||||||||
76,925 | OGE Energy Corp. |
2,620,835 | ||||||||||||
30,910 | PNM Resources Inc. |
761,932 | ||||||||||||
49,239 | Westar Energy Inc., (3) |
1,633,258 | ||||||||||||
Total Electric Utilities |
9,657,196 | |||||||||||||
Electrical Equipment – 1.0% |
||||||||||||||
16,623 | Acuity Brands Inc. |
2,111,786 | ||||||||||||
19,479 | General Cable Corporation |
555,736 | ||||||||||||
20,730 | Hubbell Incorporated, Class B |
2,419,813 |
Nuveen Investments | 41 |
Nuveen Mid Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Electrical Equipment (continued) |
||||||||||||||
17,457 | Regal-Beloit Corporation |
$ | 1,293,389 | |||||||||||
Total Electrical Equipment |
6,380,724 | |||||||||||||
Electronic Equipment & Instruments – 2.1% |
||||||||||||||
40,618 | Arrow Electronics, Inc., (2) |
2,086,953 | ||||||||||||
53,184 | Avnet Inc. |
2,184,267 | ||||||||||||
59,114 | Ingram Micro, Inc., Class A, (2) |
1,479,032 | ||||||||||||
15,340 | Itron Inc., (2) |
619,429 | ||||||||||||
36,917 | National Instruments Corporation |
1,070,593 | ||||||||||||
14,653 | Tech Data Corporation, (2) |
790,090 | ||||||||||||
99,263 | Trimble Navigation Limited, (2) |
3,209,173 | ||||||||||||
51,266 | Vishay Intertechnology Inc., (2), (3) |
696,192 | ||||||||||||
19,760 | Zebra Technologies Corporation, Class A, (2) |
1,086,010 | ||||||||||||
Total Electronic Equipment & Instruments |
13,221,739 | |||||||||||||
Energy Equipment & Services – 2.5% |
||||||||||||||
22,217 | Atwood Oceanics Inc., (2) |
1,053,086 | ||||||||||||
7,631 | Carbo Ceramics Inc., (3) |
878,481 | ||||||||||||
29,557 | Dresser Rand Group, Inc., (2) |
1,684,749 | ||||||||||||
14,175 | Dril Quip Inc., (2) |
1,425,438 | ||||||||||||
38,405 | Helix Energy Solutions Group, (2) |
783,078 | ||||||||||||
41,986 | Oceaneering International Inc. |
2,861,346 | ||||||||||||
21,329 | Oil States International Inc., (2) |
2,003,860 | ||||||||||||
56,821 | Patterson-UTI Energy, Inc. |
1,459,731 | ||||||||||||
61,926 | Superior Energy Services, Inc. |
1,463,931 | ||||||||||||
19,203 | Tidewater Inc. |
995,676 | ||||||||||||
16,952 | Unit Corporation, (2) |
847,091 | ||||||||||||
Total Energy Equipment & Services |
15,456,467 | |||||||||||||
Food & Staples Retailing – 0.3% |
||||||||||||||
77,838 | SUPERVALU INC., (2), (3) |
449,904 | ||||||||||||
19,136 | United Natural Foods Inc., (2) |
1,293,020 | ||||||||||||
Total Food & Staples Retailing |
1,742,924 | |||||||||||||
Food Products – 2.3% |
||||||||||||||
36,220 | Dean Foods Company, (2) |
572,276 | ||||||||||||
66,785 | Flowers Foods Inc., (3) |
1,399,146 | ||||||||||||
50,682 | Green Mountain Coffee Inc., (3) |
4,105,242 | ||||||||||||
18,454 | Hain Celestial Group Inc., (2), (3) |
1,695,738 | ||||||||||||
47,759 | Hillshire Brands Company |
1,701,176 | ||||||||||||
30,062 | Ingredion Inc. |
1,872,863 | ||||||||||||
7,527 | Lancaster Colony Corporation |
654,247 | ||||||||||||
12,678 | Post Holdings Inc., (2) |
678,653 |
42 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Food Products (continued) |
||||||||||||||
8,250 | Tootsie Roll Industries Inc., (3) |
$ | 250,305 | |||||||||||
67,137 | WhiteWave Foods Company, (2) |
1,625,387 | ||||||||||||
Total Food Products |
14,555,033 | |||||||||||||
Gas Utilities – 1.3% |
||||||||||||||
35,138 | Atmos Energy Corporation |
1,686,975 | ||||||||||||
32,421 | National Fuel Gas Company, (3) |
2,443,247 | ||||||||||||
67,930 | Questar Corporation |
1,584,128 | ||||||||||||
44,176 | UGI Corporation |
1,916,797 | ||||||||||||
20,063 | WGL Holdings Inc. |
757,980 | ||||||||||||
Total Gas Utilities |
8,389,127 | |||||||||||||
Health Care Equipment & Supplies – 2.8% |
||||||||||||||
27,370 | Align Technology, Inc., (2) |
1,626,325 | ||||||||||||
18,882 | Cooper Companies, Inc., (3) |
2,346,655 | ||||||||||||
23,191 | Hill Rom Holdings Inc. |
841,138 | ||||||||||||
104,506 | Hologic Inc., (2), (3) |
2,232,248 | ||||||||||||
20,995 | Idexx Labs Inc., (2), (3) |
2,398,889 | ||||||||||||
19,917 | Masimo Corporation, (2), (3) |
582,572 | ||||||||||||
55,284 | ResMed Inc., (3) |
2,410,935 | ||||||||||||
20,392 | Sirona Dental Systems, Inc., (2) |
1,467,000 | ||||||||||||
22,873 | Steris Corporation |
1,049,642 | ||||||||||||
15,953 | Teleflex Inc. |
1,493,839 | ||||||||||||
22,247 | Thoratec Corporation, (2) |
777,310 | ||||||||||||
Total Health Care Equipment & Supplies |
17,226,553 | |||||||||||||
Health Care Providers & Services – 2.9% |
||||||||||||||
43,564 | Community Health Systems, Inc., (2) |
1,803,986 | ||||||||||||
30,790 | Health Net Inc., (2) |
1,012,683 | ||||||||||||
33,812 | Henry Schein Inc., (2), (3) |
3,884,661 | ||||||||||||
18,390 | Lifepoint Hospitals Inc., (2) |
974,854 | ||||||||||||
38,820 | Mednax Inc., (2), (3) |
2,159,945 | ||||||||||||
40,716 | Omnicare, Inc., (3) |
2,543,121 | ||||||||||||
24,573 | Owens and Minor Inc., (3) |
851,209 | ||||||||||||
34,612 | Universal Health Services, Inc., Class B |
2,838,876 | ||||||||||||
34,357 | VCA Antech, Inc., (2) |
1,097,363 | ||||||||||||
16,866 | Wellcare Health Plans Inc., (2) |
1,098,145 | ||||||||||||
Total Health Care Providers & Services |
18,264,843 | |||||||||||||
Health Care Technology – 0.3% |
||||||||||||||
60,904 | Allscripts Healthcare Solutions Inc., (2) |
1,008,570 | ||||||||||||
34,033 | HMS Holdings Corporation, (2) |
783,780 | ||||||||||||
Total Health Care Technology |
1,792,350 |
Nuveen Investments | 43 |
Nuveen Mid Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Hotels, Restaurants & Leisure – 1.5% |
||||||||||||||
14,989 | Bally Technologies, Inc., (2) |
$ | 1,098,993 | |||||||||||
10,819 | Bob Evans Farms |
543,655 | ||||||||||||
27,377 | Brinker International Inc., (3) |
1,323,952 | ||||||||||||
17,061 | Cheesecake Factory Inc. |
759,897 | ||||||||||||
21,829 | Dominos Pizza Inc. |
1,541,346 | ||||||||||||
9,909 | Intl Speedway Corporation |
332,645 | ||||||||||||
15,369 | Life Time Fitness Inc., (2), (3) |
632,588 | ||||||||||||
10,871 | Panera Bread Company, (2) |
1,837,960 | ||||||||||||
20,451 | Scientific Games Corporation, (2) |
287,950 | ||||||||||||
109,907 | The Wendy’s Company, (3) |
996,856 | ||||||||||||
Total Hotels, Restaurants & Leisure |
9,355,842 | |||||||||||||
Household Durables – 1.7% |
||||||||||||||
43,947 | Jarden Corporation, (2) |
2,656,596 | ||||||||||||
31,791 | KB Home, (3) |
614,838 | ||||||||||||
15,171 | MDC Holdings Inc., (3) |
468,632 | ||||||||||||
1,721 | NVR Inc., (2), (3) |
1,985,019 | ||||||||||||
23,419 | Tempur Pedic International Inc., (2), (3) |
1,154,323 | ||||||||||||
61,339 | Toll Brothers Inc., (2) |
2,254,208 | ||||||||||||
20,524 | Tupperware Corporation, (3) |
1,608,261 | ||||||||||||
Total Household Durables |
10,741,877 | |||||||||||||
Household Products – 0.9% |
||||||||||||||
53,626 | Church & Dwight Company Inc. |
3,463,167 | ||||||||||||
24,153 | Energizer Holdings Inc. |
2,282,459 | ||||||||||||
Total Household Products |
5,745,626 | |||||||||||||
Industrial Conglomerates – 0.3% |
||||||||||||||
24,692 | Carlisle Companies Inc. |
1,840,295 | ||||||||||||
Insurance – 4.7% |
||||||||||||||
6,538 | Alleghany Corporation, Term Loan, (2) |
2,434,294 | ||||||||||||
27,405 | American Financial Group Inc. |
1,505,083 | ||||||||||||
49,188 | Arthur J. Gallagher & Co. |
2,273,961 | ||||||||||||
26,433 | Aspen Insurance Holdings Limited |
1,028,244 | ||||||||||||
45,831 | Brown & Brown Inc. |
1,443,218 | ||||||||||||
19,392 | Everest Reinsurance Group Ltd, (3) |
2,807,186 | ||||||||||||
98,648 | Fidelity National Title Group Inc., Class A |
3,111,358 | ||||||||||||
41,981 | First American Corporation, (3) |
1,088,148 | ||||||||||||
17,079 | Hanover Insurance Group Inc. |
948,397 | ||||||||||||
38,960 | HCC Insurance Holdings Inc. |
1,671,774 | ||||||||||||
20,946 | Kemper Corporation |
769,766 | ||||||||||||
14,067 | Mercury General Corporation, (3) |
644,691 |
44 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Insurance (continued) |
||||||||||||||
93,677 | Old Republic International Corporation |
$ | 1,463,235 | |||||||||||
17,913 | Primerica Inc. |
754,675 | ||||||||||||
30,442 | Protective Life Corporation |
1,491,962 | ||||||||||||
28,133 | Reinsurance Group of America Inc. |
2,100,691 | ||||||||||||
11,882 | RenaisasnceRE Holdings, Limited |
1,077,816 | ||||||||||||
17,180 | StanCorp Financial Group Inc., (3) |
1,103,815 | ||||||||||||
42,760 | WR Berkley Corporation |
1,657,378 | ||||||||||||
Total Insurance |
29,375,692 | |||||||||||||
Internet & Catalog Retail – 0.1% |
||||||||||||||
13,878 | Hosting Site Network, Inc. |
760,098 | ||||||||||||
Internet Software & Services – 1.1% |
||||||||||||||
30,056 | AOL Inc., (2), (3) |
1,384,980 | ||||||||||||
19,152 | Equinix Inc., (2), (3) |
3,546,950 | ||||||||||||
44,247 | Rackspace Hosting Inc., (2), (3) |
1,611,033 | ||||||||||||
27,801 | ValueClick, Inc., (2), (3) |
597,722 | ||||||||||||
Total Internet Software & Services |
7,140,685 | |||||||||||||
IT Services – 2.8% |
||||||||||||||
28,683 | Acxiom Corporation, (2) |
1,031,441 | ||||||||||||
47,042 | Broadridge Financial Solutions, Inc. |
1,707,154 | ||||||||||||
40,770 | Convergys Corporation |
830,485 | ||||||||||||
37,057 | CoreLogic Inc., (2) |
1,180,265 | ||||||||||||
11,585 | DST Systems Inc. |
1,054,235 | ||||||||||||
36,380 | Gartner Inc., (2) |
2,558,605 | ||||||||||||
30,026 | Global Payments Inc. |
1,984,418 | ||||||||||||
33,417 | Henry Jack and Associates Inc. |
1,864,000 | ||||||||||||
23,433 | Leidos Holdings Inc., (3) |
1,062,452 | ||||||||||||
9,218 | ManTech International Corporation, Class A |
268,244 | ||||||||||||
25,535 | NeuStar, Inc., (2), (3) |
865,381 | ||||||||||||
13,390 | Science Applications International Corporation |
495,564 | ||||||||||||
42,116 | VeriFone Holdings Inc., (2) |
1,221,785 | ||||||||||||
15,057 | WEX Inc., (2) |
1,240,095 | ||||||||||||
Total IT Services |
17,364,124 | |||||||||||||
Leisure Equipment & Products – 0.7% |
||||||||||||||
35,100 | Brunswick Corporation |
1,455,246 | ||||||||||||
24,807 | Polaris Industries Inc., (3) |
3,105,836 | ||||||||||||
Total Leisure Equipment & Products |
4,561,082 | |||||||||||||
Life Sciences Tools & Services – 1.3% |
||||||||||||||
7,860 | Bio-Rad Laboratories Inc., (2) |
999,163 | ||||||||||||
19,026 | Charles River Laboratories International, Inc., (2) |
1,075,540 |
Nuveen Investments | 45 |
Nuveen Mid Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Life Sciences Tools & Services (continued) |
||||||||||||||
21,684 | Covance, Inc., (2) |
$ | 2,050,439 | |||||||||||
11,713 | Mettler-Toledo International Inc., (2), (3) |
2,884,912 | ||||||||||||
12,729 | Techne Corporation |
1,156,684 | ||||||||||||
Total Life Sciences Tools & Services |
8,166,738 | |||||||||||||
Machinery – 5.1% |
||||||||||||||
37,763 | AGCO Corporation |
2,013,901 | ||||||||||||
19,281 | CLARCOR, Inc., (3) |
1,068,553 | ||||||||||||
18,853 | Crane Company |
1,190,755 | ||||||||||||
52,463 | Donaldson Company, Inc. |
2,164,623 | ||||||||||||
23,773 | Graco Inc. |
1,651,986 | ||||||||||||
31,303 | Harsco Corporation |
794,783 | ||||||||||||
31,911 | IDEX Corporation |
2,297,911 | ||||||||||||
34,886 | ITT Industries, Inc. |
1,428,582 | ||||||||||||
30,555 | Kennametal Inc. |
1,324,254 | ||||||||||||
32,187 | Lincoln Electric Holdings Inc. |
2,227,340 | ||||||||||||
21,928 | Nordson Corporation |
1,520,049 | ||||||||||||
34,144 | Oshkosh Truck Corporation |
1,848,556 | ||||||||||||
18,158 | SPX Corporation |
1,807,992 | ||||||||||||
43,151 | Terex Corporation, (3) |
1,769,191 | ||||||||||||
30,969 | Timken Company |
1,744,484 | ||||||||||||
30,735 | Trinity Industries Inc. |
1,789,699 | ||||||||||||
9,136 | Valmont Industries, Inc. |
1,337,328 | ||||||||||||
37,329 | Wabtec Corporation |
2,755,253 | ||||||||||||
23,480 | Woodward Governor Company |
1,006,118 | ||||||||||||
Total Machinery |
31,741,358 | |||||||||||||
Marine – 0.4% |
||||||||||||||
22,024 | Kirby Corporation, (2) |
2,197,775 | ||||||||||||
16,563 | Matson Incorporated |
396,353 | ||||||||||||
Total Marine |
2,594,128 | |||||||||||||
Media – 1.1% |
||||||||||||||
22,410 | AMC Networks Inc., Class A Shares, (2) |
1,444,100 | ||||||||||||
39,481 | Cinemark Holdings Inc., (3) |
1,157,188 | ||||||||||||
27,601 | Dreamworks Animation SKG Inc., (2), (3) |
931,258 | ||||||||||||
17,946 | John Wiley and Sons Inc., Class A |
971,596 | ||||||||||||
21,586 | Lamar Advertising Company, (2) |
1,050,375 | ||||||||||||
13,982 | Meredith Corporation |
640,096 | ||||||||||||
47,373 | New York Times, Class A, (3) |
669,854 | ||||||||||||
Total Media |
6,864,467 |
46 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Metals & Mining – 1.4% |
||||||||||||||
17,185 | Carpenter Technology Inc. |
$ | 998,620 | |||||||||||
45,355 | Commercial Metals Company |
864,466 | ||||||||||||
12,925 | Compass Minerals International, Inc., (3) |
1,016,164 | ||||||||||||
29,760 | Reliance Steel & Aluminum Company |
2,081,712 | ||||||||||||
25,239 | Royal Gold, Inc., (3) |
1,411,870 | ||||||||||||
85,526 | Steel Dynamics Inc. |
1,411,179 | ||||||||||||
20,693 | Worthington Industries, Inc. |
838,894 | ||||||||||||
Total Metals & Mining |
8,622,905 | |||||||||||||
Multiline Retail – 0.2% |
||||||||||||||
22,592 | Big Lots, Inc., (2), (3) |
605,240 | ||||||||||||
116,904 | J.C. Penney Company, Inc., (2), (3) |
692,072 | ||||||||||||
Total Multiline Retail |
1,297,312 | |||||||||||||
Multi-Utilities – 1.1% |
||||||||||||||
43,043 | Alliant Energy Corporation |
2,236,514 | ||||||||||||
17,247 | Black Hills Corporation |
945,653 | ||||||||||||
73,276 | MDU Resources Group Inc. |
2,347,763 | ||||||||||||
31,927 | Vectren Corporation |
1,165,974 | ||||||||||||
Total Multi-Utilities |
6,695,904 | |||||||||||||
Oil, Gas & Consumable Fuels – 2.6% |
||||||||||||||
85,895 | Alpha Natural Resources Inc., (2), (3) |
487,884 | ||||||||||||
18,929 | Bill Barrett Corporation, (2), (3) |
530,201 | ||||||||||||
33,548 | Cimarex Energy Company |
3,287,033 | ||||||||||||
28,027 | Energen Corporation |
1,982,069 | ||||||||||||
32,451 | Gulfport Energy Corporation, (2) |
1,977,888 | ||||||||||||
78,903 | HollyFrontier Company, (3) |
3,653,209 | ||||||||||||
23,706 | Rosetta Resources, Inc., (2) |
1,010,113 | ||||||||||||
25,718 | SM Energy Company |
2,128,422 | ||||||||||||
28,182 | World Fuel Services Corporation, (3) |
1,203,935 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
16,260,754 | |||||||||||||
Paper & Forest Products – 0.4% |
||||||||||||||
13,043 | Domtar Corporation |
1,400,949 | ||||||||||||
54,079 | Louisiana-Pacific Corporation, (2) |
948,005 | ||||||||||||
Total Paper & Forest Products |
2,348,954 | |||||||||||||
Pharmaceuticals – 1.1% |
||||||||||||||
43,556 | Endo Pharmaceuticals Holdings Inc., (2), (3) |
2,869,469 | ||||||||||||
22,821 | Mallinckrodt PLC, (2) |
1,319,738 | ||||||||||||
24,275 | Salix Pharmaceuticals Limited, (2), (3) |
2,362,929 | ||||||||||||
Total Pharmaceuticals |
6,552,136 |
Nuveen Investments | 47 |
Nuveen Mid Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Professional Services – 1.1% |
||||||||||||||
13,044 | Corporate Executive Board Company |
$ | 953,516 | |||||||||||
15,642 | FTI Consulting Inc., (2), (3) |
579,849 | ||||||||||||
29,930 | Manpower Inc. |
2,331,547 | ||||||||||||
24,913 | Towers Watson & Company, Class A Shares |
2,912,828 | ||||||||||||
Total Professional Services |
6,777,740 | |||||||||||||
Real Estate Investment Trust – 8.2% |
||||||||||||||
27,333 | Alexandria Real Estate Equities Inc. |
1,916,863 | ||||||||||||
40,660 | American Campus Communities Inc. |
1,413,342 | ||||||||||||
72,300 | BioMed Realty Trust Inc., (3) |
1,410,573 | ||||||||||||
29,907 | BRE Properties, Inc. |
1,767,504 | ||||||||||||
32,921 | Camden Property Trust, (3) |
2,035,176 | ||||||||||||
33,283 | Corporate Office Properties |
827,083 | ||||||||||||
44,709 | Corrections Corporation of America, (3) |
1,500,881 | ||||||||||||
126,584 | Duke Realty Corporation, (3) |
1,988,635 | ||||||||||||
24,030 | Equity One Inc. |
544,520 | ||||||||||||
14,745 | Essex Property Trust Inc. |
2,335,166 | ||||||||||||
40,211 | Extra Space Storage Inc. |
1,836,034 | ||||||||||||
25,319 | Federal Realty Investment Trust, (3) |
2,759,771 | ||||||||||||
31,875 | Highwoods Properties, Inc., (3) |
1,183,838 | ||||||||||||
21,765 | Home Properties New York, Inc. |
1,213,399 | ||||||||||||
57,246 | Hospitality Properties Trust |
1,471,222 | ||||||||||||
29,239 | Kilroy Realty Corporation |
1,543,819 | ||||||||||||
54,811 | Liberty Property Trust |
1,995,120 | ||||||||||||
32,413 | Mack-Cali Realty Corporation, (3) |
655,715 | ||||||||||||
24,061 | Mid-America Apartment Communities |
1,552,897 | ||||||||||||
45,932 | National Retail Properties, Inc., (3) |
1,524,942 | ||||||||||||
45,073 | Omega Healthcare Investors Inc., (3) |
1,439,632 | ||||||||||||
15,712 | Potlatch Corporation |
628,480 | ||||||||||||
48,904 | Rayonier Inc. |
2,164,491 | ||||||||||||
79,549 | Realty Income Corporation, (3) |
3,244,008 | ||||||||||||
35,547 | Regency Centers Corporation |
1,711,233 | ||||||||||||
72,984 | Senior Housing Properties Trust, (3) |
1,643,600 | ||||||||||||
35,544 | SL Green Realty Corporation, (3) |
3,332,949 | ||||||||||||
24,745 | Taubman Centers Inc., (3) |
1,608,920 | ||||||||||||
97,302 | UDR Inc., (3) |
2,368,331 | ||||||||||||
43,488 | Weingarten Realty Trust, (3) |
1,260,717 | ||||||||||||
Total Real Estate Investment Trust |
50,878,861 | |||||||||||||
Real Estate Management & Development – 0.4% |
||||||||||||||
16,706 | Alexander & Baldwin Inc. |
653,372 |
48 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Real Estate Management & Development (continued) |
||||||||||||||
17,111 | Jones Lang LaSalle Inc. |
$ | 1,955,103 | |||||||||||
Total Real Estate Management & Development |
2,608,475 | |||||||||||||
Road & Rail – 1.3% |
||||||||||||||
21,863 | Con-Way, Inc. |
841,070 | ||||||||||||
19,216 | Genesee & Wyoming Inc., (2) |
1,735,973 | ||||||||||||
35,134 | J.B. Hunt Transports Serives Inc., (3) |
2,636,807 | ||||||||||||
18,068 | Landstar System |
1,037,826 | ||||||||||||
19,873 | Old Dominion Frght Line, (2) |
1,077,912 | ||||||||||||
17,344 | Werner Enterprises, Inc., (3) |
451,985 | ||||||||||||
Total Road & Rail |
7,781,573 | |||||||||||||
Semiconductors & Equipment – 2.4% |
||||||||||||||
236,520 | Advanced Micro Devices, Inc., (2), (3) |
811,264 | ||||||||||||
166,330 | Atmel Corporation, (2) |
1,390,519 | ||||||||||||
46,583 | Cree, Inc., (2), (3) |
2,814,545 | ||||||||||||
52,495 | Cypress Semiconductor Corporation, (3) |
527,050 | ||||||||||||
49,367 | Fairchild Semiconductor International Inc., Class A, (2) |
629,923 | ||||||||||||
57,253 | Integrated Device Technology, Inc., (2) |
552,491 | ||||||||||||
26,950 | International Rectifier Corporation, (2) |
700,970 | ||||||||||||
49,355 | Intersil Holding Corporation, Class A |
559,686 | ||||||||||||
109,141 | RF Micro Devices, Inc., (2) |
581,722 | ||||||||||||
26,192 | Semtech Corporation, (2) |
597,440 | ||||||||||||
15,154 | Silicon Laboratories Inc., (2) |
715,875 | ||||||||||||
74,194 | Skyworks Solutions Inc., (2), (3) |
2,244,369 | ||||||||||||
97,419 | SunEdison Inc., (2) |
1,355,098 | ||||||||||||
73,950 | Teradyne Inc., (2), (3) |
1,391,000 | ||||||||||||
Total Semiconductors & Equipment |
14,871,952 | |||||||||||||
Software – 4.3% |
||||||||||||||
15,463 | ACI Worldwide, Inc., (2), (3) |
937,212 | ||||||||||||
12,563 | Advent Software Inc. |
412,820 | ||||||||||||
36,169 | Ansys Inc., (2) |
2,840,352 | ||||||||||||
109,818 | Cadence Design Systems, Inc., (2), (3) |
1,550,630 | ||||||||||||
16,775 | CommVault Systems, Inc., (2) |
1,158,649 | ||||||||||||
82,822 | Compuware Corporation |
839,815 | ||||||||||||
17,766 | Concur Technologies, Inc., (2), (3) |
2,155,726 | ||||||||||||
15,701 | FactSet Research Systems Inc., (3) |
1,660,695 | ||||||||||||
13,921 | Fair Isaac Corporation |
756,746 | ||||||||||||
52,997 | Fortinet Inc., (2) |
1,123,536 | ||||||||||||
41,941 | Informatica Corporation, (2) |
1,692,739 | ||||||||||||
36,789 | Mentor Graphics Corporation |
765,211 |
Nuveen Investments | 49 |
Nuveen Mid Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Software (continued) |
||||||||||||||
30,523 | Micros Systems, Inc., (2), (3) |
$ | 1,694,942 | |||||||||||
46,392 | Parametric Technology Corporation, (2) |
1,655,267 | ||||||||||||
40,114 | Rovi Corporation, (2) |
850,818 | ||||||||||||
25,234 | Solarwinds, Inc., (2) |
1,006,584 | ||||||||||||
26,735 | Solera Holdings Inc. |
1,786,700 | ||||||||||||
59,668 | Synopsys Inc., (2) |
2,378,366 | ||||||||||||
60,494 | Tibco Software Inc., (2) |
1,287,917 | ||||||||||||
Total Software |
26,554,725 | |||||||||||||
Specialty Retail – 3.5% |
||||||||||||||
27,358 | Aaron Rents Inc., (3) |
735,657 | ||||||||||||
29,482 | Abercrombie & Fitch Co., Class A, (3) |
1,043,073 | ||||||||||||
28,380 | Advance Auto Parts, Inc. |
3,258,308 | ||||||||||||
68,037 | American Eagle Outfitters, Inc., (3) |
920,541 | ||||||||||||
18,293 | Ann Inc., (2) |
591,596 | ||||||||||||
49,417 | Ascena Retail Group Inc., (2) |
927,063 | ||||||||||||
18,038 | Cabela’s Incorporated, (2), (3) |
1,206,021 | ||||||||||||
62,954 | Chico’s FAS, Inc. |
1,045,036 | ||||||||||||
29,176 | CST Brands Inc. |
931,590 | ||||||||||||
38,878 | Dick’s Sporting Goods Inc. |
2,041,095 | ||||||||||||
58,258 | Foot Locker, Inc. |
2,248,759 | ||||||||||||
23,706 | Guess Inc. |
664,953 | ||||||||||||
17,138 | Murphy USA Inc., (2) |
663,926 | ||||||||||||
182,661 | Office Depot, Inc., (2) |
893,212 | ||||||||||||
21,261 | Rent-A-Center Inc., (3) |
530,249 | ||||||||||||
31,384 | Signet Jewelers Limited |
2,496,597 | ||||||||||||
33,361 | Williams-Sonoma Inc., (3) |
1,818,842 | ||||||||||||
Total Specialty Retail |
22,016,518 | |||||||||||||
Textiles, Apparel & Luxury Goods – 1.3% |
||||||||||||||
19,773 | Carter’s Inc., (3) |
1,329,734 | ||||||||||||
13,369 | Deckers Outdoor Corporation, (2) |
1,042,114 | ||||||||||||
38,241 | Hanesbrands Inc. |
2,720,465 | ||||||||||||
30,172 | Under Armour, Inc., (2), (3) |
3,261,895 | ||||||||||||
Total Textiles, Apparel & Luxury Goods |
8,354,208 | |||||||||||||
Thrifts & Mortgage Finance – 0.7% |
||||||||||||||
31,848 | Astoria Financial Corporation |
421,668 | ||||||||||||
171,076 | New York Community Bancorp Inc., (3) |
2,769,720 | ||||||||||||
40,431 | Washington Federal Inc. |
884,630 | ||||||||||||
Total Thrifts & Mortgage Finance |
4,076,018 |
50 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||||||||
Tobacco – 0.1% |
||||||||||||||||||||
9,056 | Universal Corporation, (3) |
$ | 464,754 | |||||||||||||||||
Trading Companies & Distributors – 1.1% |
||||||||||||||||||||
18,161 | GATX Corporation, (3) |
1,051,522 | ||||||||||||||||||
18,175 | MSC Industrial Direct Inc., Class A |
1,527,064 | ||||||||||||||||||
36,568 | United Rentals Inc., (2), (3) |
2,959,814 | ||||||||||||||||||
11,520 | Watsco Inc. |
1,090,022 | ||||||||||||||||||
Total Trading Companies & Distributors |
6,628,422 | |||||||||||||||||||
Water Utilities – 0.3% |
||||||||||||||||||||
68,268 | Aqua America Inc. |
1,635,019 | ||||||||||||||||||
Wireless Telecommunication Services – 0.2% |
||||||||||||||||||||
39,003 | Telephone and Data Systems Inc. |
1,053,861 | ||||||||||||||||||
Total Common Stocks (cost $415,007,240) |
577,424,702 | |||||||||||||||||||
Shares | Description (1) | Value | ||||||||||||||||||
COMMON STOCK RIGHTS – 0.0% |
||||||||||||||||||||
100,634 | Community Health Systems, Inc., (2) |
$ | 4,025 | |||||||||||||||||
Total Common Stock Rights (cost $—) |
|
4,025 | ||||||||||||||||||
Total Long-Term Investments (cost $415,007,240) |
|
577,428,727 | ||||||||||||||||||
Shares | Description (1) | Value | ||||||||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 23.5% |
|
|||||||||||||||||||
Money Market Funds – 23.5% |
||||||||||||||||||||
146,068,976 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (4), (5) |
$ | 146,068,976 | |||||||||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $146,068,976) |
|
146,068,976 | ||||||||||||||||||
Shares/ Principal Amount (000) |
Description (1) | Coupon | Maturity | Rating (6) | Value | |||||||||||||||
SHORT-TERM INVESTMENTS – 7.6% |
||||||||||||||||||||
Money Market Funds – 7.1% |
||||||||||||||||||||
44,070,310 | First American Treasury Obligations Fund, Class Z |
0.000 | % (4) | N/A | N/A | $ | 44,070,310 | |||||||||||||
U.S. Government and Agency Obligations – 0.5% |
|
|||||||||||||||||||
$ | 2,000 | U.S. Treasury Bills, (7) |
0.000 | % | 2/13/14 | N/R | 1,999,996 | |||||||||||||
1,000 | U.S. Treasury Bills |
0.000 | % | 7/24/14 | N/R | 999,727 | ||||||||||||||
$ | 3,000 | Total U.S. Government and Agency Obligations |
2,999,723 | |||||||||||||||||
Total Short-Term Investments (cost $47,070,031) |
|
47,070,033 | ||||||||||||||||||
Total Investments (cost $608,146,247) – 123.9% |
|
770,567,736 | ||||||||||||||||||
Other Assets Less Liabilities – (23.9)% |
|
(148,497,393 | ) | |||||||||||||||||
Net Assets – 100% |
$ | 622,070,343 |
Nuveen Investments | 51 |
Nuveen Mid Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Investments in Derivatives as of January 31, 2014
Futures Contracts outstanding:
Description | Contract Position |
Number of Contracts |
Contract Expiration |
Notional Amount at Value |
Unrealized Appreciation (Depreciation) |
|||||||||||||||
S&P MidCap 400 E-Mini Index | Long | 359 | 3/14 | $ | 47,039,770 | $ | 615,803 |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 577,424,702 | $ | — | $ | — | $ | 577,424,702 | ||||||||
Common Stocks Rights |
4,025 | — | — | 4,025 | ||||||||||||
Investments Purchased with Collateral from Securities Lending | 146,068,976 | — | — | 146,068,976 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
44,070,310 | — | — | 44,070,310 | ||||||||||||
U.S. Government and Agency Obligations |
— | 2,999,723 | — | 2,999,723 | ||||||||||||
Derivatives: | ||||||||||||||||
Futures Contracts* |
615,803 | — | — | 615,803 | ||||||||||||
Total | $ | 768,183,816 | $ | 2,999,723 | $ | — | $ | 771,183,539 |
* | Represents net unrealized appreciation (depreciation) as reported in the Fund’s Portfolio of Investments. |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments (excluding investments in derivatives) was $608,849,546.
Gross unrealized appreciation and gross unrealized depreciation of investments (excluding investments in derivatives) as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 175,491,498 | ||
Depreciation |
(13,773,308 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 161,718,190 |
52 | Nuveen Investments |
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 the 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. |
(2) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(3) | Investment, or a portion of investment, is out on loan. The total value of investments out on loan at the end of the reporting period was $141,123,646. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
(6) | Ratings: Using the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. 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. |
(7) | Investment, or portion of investment, segregated as collateral for investments in derivatives. |
N/A | Not applicable. |
Nuveen Investments | 53 |
Nuveen Small Cap Index Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 96.4% |
||||||||||||||
COMMON STOCKS – 96.4% |
||||||||||||||
Aerospace & Defense – 1.7% |
||||||||||||||
3,312 | AAR Corporation |
$ | 88,265 | |||||||||||
1,544 | Aerovironment, Inc., (2), (3) |
46,042 | ||||||||||||
680 | American Science & Engineering Inc. |
46,505 | ||||||||||||
2,690 | API Technologies Corporation, (2) |
8,904 | ||||||||||||
1,256 | Astronics Corporation, (2) |
76,082 | ||||||||||||
1,654 | Cubic Corporation |
81,923 | ||||||||||||
3,903 | Curtiss Wright Corporation, (3) |
239,722 | ||||||||||||
6,208 | DigitalGlobe Inc., (2) |
237,021 | ||||||||||||
884 | Ducommon Inc., (2), (3) |
25,194 | ||||||||||||
1,430 | Engility Holdings Inc., (2) |
54,783 | ||||||||||||
292 | Erickson Air-Crane Inc., (2), (3) |
5,641 | ||||||||||||
2,607 | Esterline Technologies Corporation, (2) |
268,391 | ||||||||||||
5,042 | GenCorp Inc., (2), (3) |
85,815 | ||||||||||||
5,529 | Heico Corporation |
294,253 | ||||||||||||
1,049 | Innovative Solutions & Support, Inc., (2) |
7,133 | ||||||||||||
2,657 | Keyw Holding Corporation, (2), (3) |
42,512 | ||||||||||||
3,663 | Kratos Defence & Security Solutions Inc., (2) |
26,483 | ||||||||||||
864 | LMI Aerospace, Inc., (2), (3) |
11,923 | ||||||||||||
3,776 | Moog Inc., CLass A Shares, (2) |
226,787 | ||||||||||||
401 | National Presto Industries Inc., (2) |
30,512 | ||||||||||||
4,999 | Orbital Sciences Corporation, (2) |
122,226 | ||||||||||||
852 | Sparton Corporation, (2), (3) |
23,745 | ||||||||||||
4,268 | Taser International, Inc., (2) |
68,544 | ||||||||||||
3,115 | Teledyne Technologies Inc., (2) |
286,175 | ||||||||||||
Total Aerospace & Defense |
2,404,581 | |||||||||||||
Air Freight & Logistics – 0.4% |
||||||||||||||
4,322 | Air Transport Servcies Group Inc., (2) |
27,185 | ||||||||||||
2,152 | Atlas Air Worldwide Holdings Inc., (2), (3) |
76,030 | ||||||||||||
1,377 | Echo Global Logistics, Inc., (2), (3) |
27,939 | ||||||||||||
2,515 | Forward Air Corporation |
112,018 | ||||||||||||
3,082 | Hub Group, Inc., (2) |
127,749 | ||||||||||||
2,944 | Pacer International, Inc., (2) |
25,937 | ||||||||||||
722 | Park Ohio Holdings Corporation, (2) |
34,512 | ||||||||||||
7,562 | UTI Worldwide, Inc., (3) |
118,421 |
54 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Air Freight & Logistics (continued) |
||||||||||||||
2,447 | XPO Logistics, Incorporated, (2), (3) |
$ | 60,979 | |||||||||||
Total Air Freight & Logistics |
610,770 | |||||||||||||
Airlines – 0.5% |
||||||||||||||
1,250 | Allegiant Travel Company |
113,838 | ||||||||||||
4,326 | Hawaian Holdings Inc., (2), (3) |
43,952 | ||||||||||||
19,375 | JetBlue Airways Corporation, (2), (3) |
169,725 | ||||||||||||
4,095 | Republic Airways Holdings, Inc., (2) |
40,172 | ||||||||||||
4,323 | Skywest Inc. |
56,242 | ||||||||||||
5,024 | Spirit Airline Holdings, (2) |
235,626 | ||||||||||||
Total Airlines |
659,555 | |||||||||||||
Auto Components – 0.9% |
||||||||||||||
5,603 | American Axle and Manufacturing Holdings Inc., (2) |
104,328 | ||||||||||||
5,279 | Cooper Tire & Rubber |
123,529 | ||||||||||||
12,237 | Dana Holding Corporation, (3) |
231,524 | ||||||||||||
2,102 | Dorman Products, Inc., (2), (3) |
109,640 | ||||||||||||
1,910 | Drew Industries Inc. |
91,852 | ||||||||||||
1,643 | Federal Mogul Corporation, Class A Shares, (2) |
29,377 | ||||||||||||
821 | Fox Factory Holding Corporation, (2), (3) |
13,317 | ||||||||||||
1,171 | Fuel Systems Solutions, Inc., (2) |
14,392 | ||||||||||||
2,785 | Gentherm Inc., (2) |
70,962 | ||||||||||||
3,934 | Modine Manufacturing Company, (2) |
51,535 | ||||||||||||
1,168 | Remy International Inc., (3) |
23,372 | ||||||||||||
507 | Shiloh Industries, Inc., (2) |
7,646 | ||||||||||||
2,842 | Spartan Motors, Inc. |
16,342 | ||||||||||||
1,651 | Standard Motor Products Inc., (3) |
54,004 | ||||||||||||
2,374 | Stoneridge Inc., (2) |
27,016 | ||||||||||||
1,936 | Superior Industries International Inc. |
35,255 | ||||||||||||
5,069 | Tenneco Inc., (2) |
288,122 | ||||||||||||
509 | Tower International Inc., (2) |
11,315 | ||||||||||||
Total Auto Components |
1,303,528 | |||||||||||||
Automobiles – 0.0% |
||||||||||||||
2,338 | Winnebago Industries Inc., (2) |
56,018 | ||||||||||||
Beverages – 0.2% |
||||||||||||||
687 | Boston Beer Company, (2), (3) |
143,109 | ||||||||||||
389 | Coca-Cola Bottling Company Consolidated |
26,561 | ||||||||||||
880 | Craft Brewers Alliance Inc., (2) |
13,306 | ||||||||||||
945 | National Beverage Corporation, (2), (3) |
19,590 | ||||||||||||
Total Beverages |
202,566 |
Nuveen Investments | 55 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Biotechnology – 4.8% |
||||||||||||||
5,840 | Acadia Pharmaceuticals, Inc., (2), (3) |
$ | 136,072 | |||||||||||
533 | Acceleron Pharma Inc., (2), (3) |
24,705 | ||||||||||||
8,047 | Achillion Pharmaceuticals, Inc., (2), (3) |
26,636 | ||||||||||||
3,381 | Acorda Therapeutics, Inc., (2) |
99,232 | ||||||||||||
2,402 | Aegerion Pharmaceuticals Inc., (2), (3) |
144,072 | ||||||||||||
569 | Agios Pharmaceutical Inc., (2), (3) |
15,050 | ||||||||||||
4,844 | Alnylam Pharmaceuticals, Inc., (2) |
405,249 | ||||||||||||
1,798 | AMAG Pharmaceuticals Inc., (2), (3) |
38,603 | ||||||||||||
2,534 | Amicus Therapeutics, Inc., (2) |
6,918 | ||||||||||||
2,112 | Anacor Pharmaceuticals Inc., (2), (3) |
40,212 | ||||||||||||
18,149 | Arena Pharmaceuticals, Inc., (2), (3) |
115,065 | ||||||||||||
4,944 | ArQule Inc., (2) |
11,322 | ||||||||||||
10,287 | Array Biopharma, Inc., (2) |
49,480 | ||||||||||||
4,324 | Aveo Pharmaceuticals Inc., (2) |
7,135 | ||||||||||||
439 | Bind Theraputics Inc., (2) |
5,553 | ||||||||||||
3,077 | BioTime Inc., (2), (3) |
11,446 | ||||||||||||
569 | Bluebird Bio Inc., (2), (3) |
12,615 | ||||||||||||
10,800 | Cell Therapeutics, Inc., (2), (3) |
34,452 | ||||||||||||
7,415 | Celldex Therapeutics, Inc., (2) |
191,159 | ||||||||||||
320 | Cellular Dynamics International Inc., (2), (3) |
5,091 | ||||||||||||
5,593 | Cepheid, Inc., (2), (3) |
295,646 | ||||||||||||
6,523 | Chelsea Therapeutics International, Inc., (2) |
29,027 | ||||||||||||
2,049 | ChemoCentryx Inc., (2), (3) |
12,724 | ||||||||||||
707 | Chimerix Inc., (2) |
13,751 | ||||||||||||
1,491 | Clovis Oncology Inc., (2) |
96,960 | ||||||||||||
499 | Conatus Pharmaceuticals Inc., (2) |
5,274 | ||||||||||||
2,225 | Coronado Biosciences Inc., (2), (3) |
6,052 | ||||||||||||
6,712 | Curis, Inc., (2), (3) |
18,995 | ||||||||||||
2,220 | Cytokinetics, Inc., (2), (3) |
17,205 | ||||||||||||
5,265 | Cytori Therapeutics, Inc., (2), (3) |
14,005 | ||||||||||||
13,134 | Dendreon Corporation, (2), (3) |
36,644 | ||||||||||||
1,089 | Durata Therapeutics Inc., (2), (3) |
11,652 | ||||||||||||
10,081 | Dyax Corporation, (2) |
84,882 | ||||||||||||
21,841 | Dynavax Technologies Corporation, (2) |
38,003 | ||||||||||||
2,287 | Emergent BioSolutions, Inc., (2) |
54,728 | ||||||||||||
303 | Enanta Pharmaceuticals Inc., (2) |
11,084 | ||||||||||||
3,131 | Enzon Inc. |
2,818 | ||||||||||||
492 | Epizyme Inc., (2) |
14,957 | ||||||||||||
381 | Esperion Therapeutics Inc., (2) |
5,814 |
56 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Biotechnology (continued) |
||||||||||||||
5,869 | EXACT Sciences Corporation, (2), (3) |
$ | 76,297 | |||||||||||
15,318 | Exelixis, Inc., (2), (3) |
105,388 | ||||||||||||
1,869 | Fibrocell Science Inc., (2) |
9,195 | ||||||||||||
467 | Five Prime Therapeutics Inc., (2) |
6,846 | ||||||||||||
572 | Foundation Medicine Inc., (2), (3) |
17,126 | ||||||||||||
8,523 | Galena Biopharma Inc., (2) |
44,916 | ||||||||||||
1,395 | Genomic Health, Inc., (2), (3) |
42,017 | ||||||||||||
10,869 | Geron Corporation, (2) |
54,562 | ||||||||||||
2,186 | GTX, Inc., (2), (3) |
3,957 | ||||||||||||
7,404 | Halozyme Therapeutics, Inc., (2), (3) |
115,947 | ||||||||||||
531 | Harvard Appartus Regenerative Technology Inc., (2) |
2,172 | ||||||||||||
699 | Hyperion Therapeutics Inc., (2), (3) |
19,628 | ||||||||||||
8,315 | Idenix Pharmaceuticals Inc., (2), (3) |
58,288 | ||||||||||||
7,045 | Immunogen, Inc., (2), (3) |
105,605 | ||||||||||||
6,110 | Immunomedics, Inc., (2), (3) |
29,634 | ||||||||||||
3,990 | Infinity Pharmaceuticals, Inc., (2), (3) |
51,272 | ||||||||||||
2,883 | Insmed Incorporated, (2) |
58,871 | ||||||||||||
422 | Insys Therapeutics Inc., (2) |
24,826 | ||||||||||||
597 | Intercept Pharmaceuticals Incorporated, (2) |
179,625 | ||||||||||||
7,439 | Intermune, Inc., (2), (3) |
99,311 | ||||||||||||
958 | Intrexon Corporation, (2), (3) |
32,160 | ||||||||||||
7,755 | Ironwood Pharmaceuticals Inc., (2), (3) |
107,562 | ||||||||||||
9,360 | ISIS Pharmaceuticals, Inc., (2), (3) |
477,922 | ||||||||||||
992 | Kalobios Pharmaceuticals Inc., (2) |
3,095 | ||||||||||||
650 | Karyopharm Therapeutics Inc., (2) |
22,692 | ||||||||||||
7,418 | Keryx Biopharmaceuticals, Inc., (2), (3) |
114,089 | ||||||||||||
982 | Kythera Biopharmaceuticals, Incorporated, (2) |
45,172 | ||||||||||||
18,945 | Lexicon Genetics, Inc., (2), (3) |
34,859 | ||||||||||||
1,484 | Ligand Pharmaceuticals, Inc., (2), (3) |
91,919 | ||||||||||||
478 | MacroGenics Inc., (2), (3) |
19,029 | ||||||||||||
12,396 | MannKind Corporation, (2), (3) |
67,186 | ||||||||||||
1,004 | MEI Pharma Inc., (2) |
8,494 | ||||||||||||
8,053 | Merrimack Pharmaceuticals, Incorporated, (2), (3) |
42,278 | ||||||||||||
7,550 | MiMedx Group Inc., (2) |
59,192 | ||||||||||||
3,935 | Momenta Pharmaceuticals, Inc., (2) |
70,437 | ||||||||||||
4,549 | Nanosphere Inc., (2) |
9,598 | ||||||||||||
9,966 | Navidea Biopharmaceuticals Incorporated, (2), (3) |
17,540 | ||||||||||||
5,561 | Neurocrine Biosciences Inc., (2) |
95,037 | ||||||||||||
1,408 | NewLink Genetics Corporation, (2), (3) |
52,124 |
Nuveen Investments | 57 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Biotechnology (continued) |
||||||||||||||
15,503 | Novavax, Inc., (2) |
$ | 84,336 | |||||||||||
8,361 | NPS Pharmaceuticals, Inc., (2), (3) |
299,157 | ||||||||||||
1,222 | OncoGenex Pharmaceutical Inc., (2) |
13,198 | ||||||||||||
391 | Oncomed Pharmaceuticals Inc., (2), (3) |
11,796 | ||||||||||||
495 | Onconova Therapeutics Inc., (2), (3) |
7,484 | ||||||||||||
736 | Ophthotech Corporation, (2), (3) |
22,735 | ||||||||||||
15,733 | Opko Health Inc., (2), (3) |
124,763 | ||||||||||||
8,431 | Orexigen Therapeutics Inc., (2), (3) |
57,331 | ||||||||||||
1,382 | Osiris Therapeutics, Inc., (2), (3) |
21,573 | ||||||||||||
747 | OvaScience Inc., (2) |
6,992 | ||||||||||||
11,666 | PDL Biopharma Inc., (3) |
106,161 | ||||||||||||
12,633 | Peregrine Pharmaceuticals, Inc., Reg S, (2), (3) |
22,992 | ||||||||||||
910 | Portola Pharmaceuticals Inc., (2) |
24,270 | ||||||||||||
4,961 | Progenics Pharmaceuticals, Inc., (2) |
23,714 | ||||||||||||
1,185 | Prothena Corporation PLC, (2) |
36,664 | ||||||||||||
800 | PTC Therapeutics Inc., (2), (3) |
20,856 | ||||||||||||
1,845 | Puma Biotechnology Inc , (2) |
218,097 | ||||||||||||
4,971 | Raptor Pharmaceuticals Corporation, (2), (3) |
77,299 | ||||||||||||
604 | Receptos Inc., (2), (3) |
24,069 | ||||||||||||
789 | Regulus Therapeutics Incorporated, (2) |
7,180 | ||||||||||||
2,620 | Repligen Corporation, (2) |
40,558 | ||||||||||||
7,262 | Rigel Pharmaceuticals, Inc., (2), (3) |
22,004 | ||||||||||||
5,083 | Sangamo Biosciences, Inc., (2) |
98,305 | ||||||||||||
3,125 | Sarepta Therapautics Inc., (2), (3) |
76,188 | ||||||||||||
3,063 | SIGA Technologies, Inc., (2), (3) |
10,139 | ||||||||||||
5,275 | Spectrum Pharmaceuticals, Inc., (2) |
44,363 | ||||||||||||
762 | Stemline Therapeutics Inc., (2), (3) |
19,164 | ||||||||||||
2,697 | Sunesis Pharmaceuticals, Inc., (2) |
11,813 | ||||||||||||
1,601 | Synageva BioPharma Corporation, (2), (3) |
145,019 | ||||||||||||
6,714 | Synergy Pharmaceuticals Inc., (2), (3) |
35,651 | ||||||||||||
4,157 | Synta Pharmaceuticals Corporation, (2), (3) |
22,198 | ||||||||||||
2,327 | Targacept, Inc., (2) |
10,262 | ||||||||||||
1,114 | Tesaro Inc., (2) |
35,102 | ||||||||||||
1,167 | Tetraphase Pharmaceuticals Inc., (2) |
18,100 | ||||||||||||
1,295 | TG Therapeutics Inc., (2), (3) |
7,770 | ||||||||||||
3,925 | Threshold Pharmaceuticals, Inc., (2), (3) |
19,154 | ||||||||||||
2,764 | Vanda Pharmaceuticals, Inc., (2), (3) |
36,816 | ||||||||||||
1,443 | Verastem Inc., (2), (3) |
18,124 | ||||||||||||
6,330 | Vical, Inc., (2), (3) |
8,546 |
58 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Biotechnology (continued) |
||||||||||||||
6,420 | XOMA Limited, (2) |
$ | 49,883 | |||||||||||
6,690 | ZIOPHARM Oncology, Inc., (2) |
28,031 | ||||||||||||
Total Biotechnology |
6,594,013 | |||||||||||||
Building Products – 0.8% |
||||||||||||||
2,340 | Aaon, Inc., (3) |
69,404 | ||||||||||||
828 | American Woodmark Company, (2), (3) |
29,071 | ||||||||||||
2,395 | Apogee Enterprises, Inc., (3) |
80,951 | ||||||||||||
3,723 | Builders FirstSource, Inc., (2) |
29,970 | ||||||||||||
2,556 | Gibraltar Industries Inc., (2) |
45,650 | ||||||||||||
3,719 | Griffon Corporation |
46,711 | ||||||||||||
1,502 | Insteel Industries, Inc. |
27,982 | ||||||||||||
1,724 | NCI Building Systems Inc., (2) |
31,791 | ||||||||||||
611 | Norcraft Companies Inc., (2) |
10,540 | ||||||||||||
751 | Nortek Inc., (2) |
56,483 | ||||||||||||
555 | Patrick Industries, Inc., (2) |
19,980 | ||||||||||||
2,765 | PGT, Inc., (2) |
29,530 | ||||||||||||
1,315 | Ply Gem Holdings Inc., (2), (3) |
17,437 | ||||||||||||
3,089 | Quanex Building Products Corporation |
58,537 | ||||||||||||
3,378 | Simpson Manufacturing Company Inc. |
110,123 | ||||||||||||
1,433 | Trex Company Inc., (2), (3) |
100,783 | ||||||||||||
1,655 | Universal Forest Products Inc., (3) |
86,970 | ||||||||||||
6,388 | USG Corporation, (2) |
195,473 | ||||||||||||
Total Building Products |
1,047,386 | |||||||||||||
Capital Markets – 2.6% |
||||||||||||||
18,730 | Apollo Investment Corporation, (3) |
158,081 | ||||||||||||
1,334 | Arlington Asset Investment Corporation, (3) |
35,018 | ||||||||||||
10,589 | BGC Partners Inc., Class A |
68,087 | ||||||||||||
6,176 | BlackRock Kelso Capital Corporation, (3) |
57,375 | ||||||||||||
1,655 | Calamos Asset Management, Inc. Class A, (3) |
18,983 | ||||||||||||
1,122 | Capital Southwest Corporation, (3) |
38,339 | ||||||||||||
332 | Capitala Finance Corporation |
6,567 | ||||||||||||
781 | CIFC Corporation |
6,201 | ||||||||||||
1,569 | Cohen & Steers Inc., (3) |
56,594 | ||||||||||||
8,139 | Cowen Group, Inc, Class A, (2), (3) |
33,207 | ||||||||||||
235 | Diamond Hill Investment Group, Inc. |
26,917 | ||||||||||||
2,635 | Evercore Partners Inc., (3) |
147,138 | ||||||||||||
729 | FBR Capital Markets Corporation, (2) |
17,686 | ||||||||||||
1,142 | Fidus Investment Corporation |
23,719 | ||||||||||||
11,398 | Fifth Street Finance Corporation |
107,255 |
Nuveen Investments | 59 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Capital Markets (continued) |
||||||||||||||
4,076 | Financial Engines Inc. |
$ | 248,310 | |||||||||||
3,049 | FXCM Inc, Class A Shares |
52,260 | ||||||||||||
503 | GAMCO Investors Inc. |
40,637 | ||||||||||||
500 | Garrison Capital Inc, (3) |
7,170 | ||||||||||||
5,802 | GFI Group, Inc. |
22,048 | ||||||||||||
1,751 | Gladstone Capital Corporation |
17,282 | ||||||||||||
1,930 | Gladstone Investment Corporation, (3) |
15,691 | ||||||||||||
3,109 | Golub Capital BDC Inc., (3) |
56,895 | ||||||||||||
2,349 | Greenhill & Co Inc. |
122,031 | ||||||||||||
1,610 | GSV Capital Corporporation, (2), (3) |
21,494 | ||||||||||||
5,130 | Hercules Technology Growth Capital, Inc., (3) |
81,362 | ||||||||||||
2,758 | HFF Inc., Class A Shares |
81,582 | ||||||||||||
686 | Horizon Technology Finance Corporation |
9,926 | ||||||||||||
3,168 | ICG Group Inc., (2) |
60,160 | ||||||||||||
1,173 | INTL FCStone Inc., (2), (3) |
20,692 | ||||||||||||
3,102 | Investment Technology Group, (2) |
51,183 | ||||||||||||
12,435 | Janus Capital Group Inc., (3) |
136,661 | ||||||||||||
1,309 | JMP Group Inc. |
9,739 | ||||||||||||
2,356 | KCAP Financial Incorporated, (3) |
18,777 | ||||||||||||
5,921 | KCG Holdings Inc., Class A Shares, (2) |
65,486 | ||||||||||||
8,581 | Ladenburg Thalmann Financial Services Inc., (2) |
20,594 | ||||||||||||
3,254 | Main Street Capital Corporation, (3) |
110,246 | ||||||||||||
1,133 | Manning & Napier Inc. |
18,978 | ||||||||||||
573 | Marcus & Millichap Inc., (2) |
9,552 | ||||||||||||
5,935 | MCG Capital Corporation |
26,529 | ||||||||||||
1,551 | Medallion Financial Corporation |
20,675 | ||||||||||||
3,344 | Medley Capital Corporation, (3) |
46,114 | ||||||||||||
1,885 | MVC Capital Inc. |
26,861 | ||||||||||||
2,886 | New Mountain Finance Corporation |
42,655 | ||||||||||||
1,752 | NGP Capital Resources Company |
12,965 | ||||||||||||
826 | Oppenheimer Holdings Inc., Class A |
19,394 | ||||||||||||
1,226 | PennantPark Floating Rate Capital Inc. |
17,103 | ||||||||||||
5,538 | Pennantpark Investment Corporation |
62,690 | ||||||||||||
1,345 | Piper Jaffray Companies, (2) |
52,832 | ||||||||||||
23,199 | Prospect Capital Corporation, (3) |
252,173 | ||||||||||||
946 | Pzena Investments Management, Inc. |
9,990 | ||||||||||||
166 | RCS Capital Corporation |
3,529 | ||||||||||||
1,748 | Safeguard Scientifics Inc., (2) |
32,041 | ||||||||||||
459 | Silvercrest Asset Management Corporation Class A |
7,252 |
60 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Capital Markets (continued) |
||||||||||||||
3,480 | Solar Capital Limited |
$ | 77,012 | |||||||||||
960 | Solar Senior Capital Limited |
17,347 | ||||||||||||
1,439 | Stellus Capital Investment Corporation, (3) |
21,283 | ||||||||||||
5,297 | Stifel Financial Corporation, (2), (3) |
239,160 | ||||||||||||
2,411 | SWS Group Inc., (2) |
18,516 | ||||||||||||
1,871 | TCP Capital Corporation, (3) |
32,406 | ||||||||||||
4,379 | Technology Investment Capital Corporation, (3) |
44,447 | ||||||||||||
2,826 | THL Credit Inc. |
44,707 | ||||||||||||
2,297 | Triangle Capital Corporation |
61,927 | ||||||||||||
563 | Virtus Investment Partners Inc., (2) |
102,612 | ||||||||||||
3,075 | Walter Investment Management Corporation , (2), (3) |
94,833 | ||||||||||||
582 | Westwood Holding Group Inc. |
33,273 | ||||||||||||
575 | WhiteHorse Finance Incorporated |
8,510 | ||||||||||||
8,371 | WisdomTree Investments Inc., (2) |
118,199 | ||||||||||||
Total Capital Markets |
3,646,958 | |||||||||||||
Chemicals – 2.2% |
||||||||||||||
2,451 | A Schulman, Inc. |
83,260 | ||||||||||||
839 | Advanced Emissions Solutions Inc., (2), (3) |
41,891 | ||||||||||||
493 | American Pacific Corporation, (2) |
22,890 | ||||||||||||
2,386 | American Vanguard Corp., (3) |
55,451 | ||||||||||||
1,657 | Arabian American Development Company , (2) |
18,890 | ||||||||||||
5,818 | Axiall Corporation |
232,138 | ||||||||||||
2,474 | Balchem Corporation |
134,882 | ||||||||||||
4,508 | Calgon Carbon Corporation, (2) |
91,557 | ||||||||||||
537 | Chase Corporation, Common Stock |
16,980 | ||||||||||||
8,193 | Chemtura Corporation, (2) |
205,480 | ||||||||||||
6,037 | Ferro Corporation, (2) |
75,945 | ||||||||||||
3,977 | Flotek Industries Inc., (2), (3) |
85,545 | ||||||||||||
1,811 | FutureFuel Corporation, (3) |
29,628 | ||||||||||||
665 | GSE Holdings Inc., (2) |
492 | ||||||||||||
4,193 | H.B. Fuller Company |
195,310 | ||||||||||||
785 | Hawkins Inc, (3) |
27,640 | ||||||||||||
1,830 | Innophos Holdings, Inc. |
85,406 | ||||||||||||
1,958 | Innospec, Inc. |
83,881 | ||||||||||||
4,560 | Intrepid Potash Inc., (2), (3) |
67,032 | ||||||||||||
682 | KMG Chemicals, Inc. |
10,680 | ||||||||||||
1,727 | Koppers Holdings Inc. |
68,217 | ||||||||||||
2,711 | Kraton Performance Polymers Inc., (2) |
67,802 | ||||||||||||
2,160 | Landec Corporation, (2) |
23,220 |
Nuveen Investments | 61 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Chemicals (continued) |
||||||||||||||
1,594 | LSB Industries Inc., (2), (3) |
$ | 52,777 | |||||||||||
455 | Marrone Bio Innovations Inc., (2) |
7,230 | ||||||||||||
2,905 | Minerals Technologies Inc. |
150,130 | ||||||||||||
6,691 | Olin Corporation, (3) |
172,026 | ||||||||||||
2,664 | OM Group Inc. |
86,154 | ||||||||||||
3,922 | OMNOVA Solutions Inc., (2) |
35,455 | ||||||||||||
800 | Penford Corporation, (2) |
9,904 | ||||||||||||
8,281 | PolyOne Corporation |
294,472 | ||||||||||||
1,095 | Quaker Chemical Corporation |
75,675 | ||||||||||||
4,170 | Sensient Technologies Corporation |
203,996 | ||||||||||||
1,570 | Stepan Company, (3) |
99,522 | ||||||||||||
1,315 | Taminco Corporation, (2), (3) |
26,445 | ||||||||||||
2,051 | Tredegar Corporation |
50,844 | ||||||||||||
1,887 | Zep Inc. |
30,267 | ||||||||||||
2,292 | Zoltek Companies, Inc., (2) |
38,276 | ||||||||||||
Total Chemicals |
3,057,390 | |||||||||||||
Commercial Banks – 6.9% |
||||||||||||||
1,258 | 1st Source Corporation |
37,073 | ||||||||||||
2,491 | 1st United Bancorp Inc/North, (3) |
18,085 | ||||||||||||
609 | Access National Corporation |
10,000 | ||||||||||||
655 | American National Bankshares, Inc. |
15,229 | ||||||||||||
1,989 | Ameris Bancorp., (2), (3) |
40,715 | ||||||||||||
775 | Ames National Corporation, (3) |
16,477 | ||||||||||||
888 | Arrow Financial Corporation, (3) |
22,138 | ||||||||||||
590 | BancFirst Corporation |
31,878 | ||||||||||||
2,439 | Banco Latinoamericano de Exportaciones S.A |
61,951 | ||||||||||||
2,738 | Bancorp, Inc., (2) |
52,159 | ||||||||||||
7,933 | BancorpSouth Inc., (3) |
186,981 | ||||||||||||
511 | Bank of Kentucky Financial Corporation |
18,360 | ||||||||||||
453 | Bank of Marin Bancorp California |
20,036 | ||||||||||||
2,591 | Bank of the Ozarks, Inc., (3) |
164,269 | ||||||||||||
1,621 | Banner Corporation |
59,701 | ||||||||||||
327 | Bar Harbor Bankshares |
12,455 | ||||||||||||
6,581 | BBCN Bancorp Inc. |
99,044 | ||||||||||||
1,526 | BNC Bancorp., (3) |
25,896 | ||||||||||||
6,642 | Boston Private Financial Holdings Inc. |
81,630 | ||||||||||||
931 | Bridge Bancorp Inc. |
22,903 | ||||||||||||
744 | Bridge Capital Holdings, (2) |
16,405 | ||||||||||||
1,126 | Bryn Mawr Bank |
31,382 |
62 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Commercial Banks (continued) |
||||||||||||||
272 | C & F Financial, Inc., (3) |
$ | 9,599 | |||||||||||
636 | Camden National Corporation |
22,483 | ||||||||||||
1,916 | Capital Bank Financial Corporation, Class A Shares, (2) |
44,164 | ||||||||||||
1,039 | Capital City Bank, (2) |
13,258 | ||||||||||||
2,522 | Cardinal Financial Corporation, (3) |
43,000 | ||||||||||||
472 | Cascade Bancorp., (2) |
2,275 | ||||||||||||
6,569 | Cathay General Bancorp. |
154,372 | ||||||||||||
981 | Center Bancorp, Inc. |
17,413 | ||||||||||||
2,509 | Centerstate Banks of Florida, Inc. |
27,599 | ||||||||||||
1,687 | Central Pacific Financial Corporation |
30,956 | ||||||||||||
284 | Century Bancorp, Inc. |
9,630 | ||||||||||||
2,457 | Chemical Financial Corporation |
70,958 | ||||||||||||
300 | Chemung Financial Corporation |
10,098 | ||||||||||||
1,027 | Citizens & Northern Corporation, (3) |
20,109 | ||||||||||||
1,305 | City Holding Company, (3) |
58,229 | ||||||||||||
1,198 | CNB Financial Corporation |
19,240 | ||||||||||||
2,954 | Cobiz, Inc., (3) |
31,194 | ||||||||||||
4,252 | Columbia Banking Systems Inc. |
111,020 | ||||||||||||
3,334 | Community Bank System Inc., (3) |
118,690 | ||||||||||||
1,168 | Community Trust Bancorp, Inc. |
47,327 | ||||||||||||
876 | CommunityOne Bancorp., (2) |
10,074 | ||||||||||||
145 | ConnectOne Bancorp Inc., (2) |
6,622 | ||||||||||||
678 | CU Bancorp., (2) |
11,696 | ||||||||||||
1,665 | Customers Bancorp Inc., (2) |
33,766 | ||||||||||||
7,654 | CVB Financial |
114,198 | ||||||||||||
1,858 | Eagle Bancorp, Inc., (2) |
61,779 | ||||||||||||
1 | East West Bancorp Inc. |
24 | ||||||||||||
1,856 | Enterprise Bancorp, Inc., (3) |
38,382 | ||||||||||||
1,509 | Enterprise Financial Services Corporation |
28,098 | ||||||||||||
12,519 | F.N.B. Corporation PA, (3) |
148,225 | ||||||||||||
623 | Farmers Capital Bank Corporation, (2) |
12,809 | ||||||||||||
1,221 | Fidelity Southern Corporation, (3) |
17,204 | ||||||||||||
1,150 | Financial Institutions, Inc., (3) |
24,012 | ||||||||||||
797 | First Bancorp Maine |
13,541 | ||||||||||||
1,640 | First Bancorp of North Carolina, Inc., (3) |
28,257 | ||||||||||||
6,009 | First Bancorp of Puerto Rico, (2), (3) |
29,384 | ||||||||||||
6,038 | First Busey Corporation, (3) |
33,209 | ||||||||||||
8,158 | First Commonwealth Financial Corporation |
66,977 | ||||||||||||
1,492 | First Community Bancshares, Inc. |
24,155 |
Nuveen Investments | 63 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Commercial Banks (continued) |
||||||||||||||
1,416 | First Connecticut Bancorp. |
$ | 21,821 | |||||||||||
4,822 | First Financial Bancorp. |
79,949 | ||||||||||||
2,627 | First Financial Bankshares, Inc., (3) |
160,694 | ||||||||||||
935 | First Financial Corporation |
30,079 | ||||||||||||
2,002 | First Financial Holdings Inc. |
123,223 | ||||||||||||
1,462 | First Interstate BancSystem Inc., Montana |
37,515 | ||||||||||||
2,911 | First Merchants Corporation |
61,393 | ||||||||||||
6,257 | First Midwest Bancorp, Inc. |
99,924 | ||||||||||||
347 | First NBC Bank Holding Company, (2) |
11,312 | ||||||||||||
659 | First of Long Island Corporation |
26,077 | ||||||||||||
5,538 | First Security Group, Inc., (2) |
11,408 | ||||||||||||
13,812 | FirstMerit Corporation |
281,074 | ||||||||||||
2,569 | Flushing Financial Corporation |
52,767 | ||||||||||||
1,415 | German American Bancorp, Inc. |
38,148 | ||||||||||||
6,003 | Glacier Bancorp, Inc., (3) |
158,659 | ||||||||||||
859 | Great Southern Bancorp. |
23,751 | ||||||||||||
1,226 | Guaranty Bancorp. |
15,889 | ||||||||||||
2,812 | Hampton Roads Bankshares, Inc., (2) |
4,387 | ||||||||||||
7,073 | Hancock Holding Company |
244,726 | ||||||||||||
2,632 | Hanmi Financial Corporation |
56,772 | ||||||||||||
1,235 | Heartland Financial USA, Inc. |
31,110 | ||||||||||||
1,735 | Heritage Commerce Corporation |
13,897 | ||||||||||||
1,262 | Heritage Financial Corporation, (3) |
21,492 | ||||||||||||
1,681 | Heritage Oaks Bancorp, (2) |
12,876 | ||||||||||||
3,770 | Home Bancshares, Inc., (3) |
116,267 | ||||||||||||
1,208 | Home Federal Bancorp, Inc. |
17,516 | ||||||||||||
1,609 | HomeTrust Bancshares Inc., (2) |
25,438 | ||||||||||||
724 | Horizon Bancorp. |
16,116 | ||||||||||||
1,369 | Hudson Valley Holding Corporation |
24,615 | ||||||||||||
2,474 | IberiaBank Corporation |
162,888 | ||||||||||||
1,907 | Independent Bank Corporation, (3) |
68,957 | ||||||||||||
316 | Independent Bank Group Inc. |
16,053 | ||||||||||||
4,442 | International Bancshares Corporation |
103,987 | ||||||||||||
1,491 | Intervest Bancshares Corporation, (2) |
11,153 | ||||||||||||
4,207 | Investors Bancorp, Inc. |
106,732 | ||||||||||||
2,979 | Lakeland Bancorp, Inc. |
33,573 | ||||||||||||
1,368 | Lakeland Financial Corporation, (3) |
50,110 | ||||||||||||
504 | LCNB Corporation |
8,875 | ||||||||||||
1,977 | Macatawa Bank Corporation, (2) |
10,478 |
64 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Commercial Banks (continued) |
||||||||||||||
1,698 | Mainsource Financial Group |
$ | 27,694 | |||||||||||
4,566 | MB Financial, Inc. |
128,305 | ||||||||||||
725 | Mercantile Bank Corporation |
14,507 | ||||||||||||
468 | Merchants Bancshares, Inc. |
13,946 | ||||||||||||
1,178 | Metro Bancorp, Inc., (2) |
23,407 | ||||||||||||
443 | Middleburg Financial Corporation |
7,912 | ||||||||||||
685 | Midsouth Bancorp Inc. |
10,624 | ||||||||||||
565 | MidWestOne Financial Group Inc. |
13,888 | ||||||||||||
4,163 | National Bank Holdings Corporation |
81,095 | ||||||||||||
579 | National Bankshares, Inc. |
21,081 | ||||||||||||
9,752 | National Penn Bancshares, Inc., (3) |
101,226 | ||||||||||||
3,649 | NBT Bancorp, Inc. |
87,722 | ||||||||||||
2,105 | NewBridge Bancorp., (2), (3) |
14,714 | ||||||||||||
542 | Northrim Bancorp, Inc. |
13,019 | ||||||||||||
3,802 | OFG Bancorp., (3) |
55,433 | ||||||||||||
8,447 | Old National Bancorp. |
118,258 | ||||||||||||
885 | OmniAmerican Bancorp Inc. |
19,842 | ||||||||||||
1,490 | Pacific Continental Corporation |
21,009 | ||||||||||||
1,386 | Pacific Premier Bancorp, Inc., (2), (3) |
21,996 | ||||||||||||
2,931 | Pacwest Bancorp., (3) |
117,562 | ||||||||||||
372 | Palmetto Bancshares Inc., (2) |
4,520 | ||||||||||||
959 | Park National Corporation |
75,090 | ||||||||||||
3,727 | Park Sterling Bank Inc. |
25,157 | ||||||||||||
937 | Peapack Gladstone Financial Corporation, (3) |
17,335 | ||||||||||||
401 | Penns Woods Bancorp, Inc. |
18,125 | ||||||||||||
900 | Peoples Bancorp, Inc. |
20,295 | ||||||||||||
2,920 | Pinnacle Financial Partners, Inc. |
95,309 | ||||||||||||
972 | Preferred Bank Los Angeles, (2) |
20,927 | ||||||||||||
5,409 | Privatebancorp, Inc. |
154,643 | ||||||||||||
5,024 | Prosperity Bancshares, Inc. |
314,301 | ||||||||||||
2,546 | Renasant Corporation |
73,299 | ||||||||||||
807 | Republic Bancorp, Inc. |
18,634 | ||||||||||||
2,476 | S&T Bancorp, Inc., (3) |
57,914 | ||||||||||||
2,080 | Sandy Spring Bancorp, Inc. |
51,938 | ||||||||||||
1,222 | Seacoast Banking Corporation of Florida, (2) |
13,630 | ||||||||||||
1,014 | Sierra Bancorp. |
16,072 | ||||||||||||
1,375 | Simmons First National Corporation, (3) |
47,479 | ||||||||||||
1,486 | Southside Bancshares, Inc. |
39,602 | ||||||||||||
1,641 | Southwest Bancorp, Inc. |
28,635 |
Nuveen Investments | 65 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Commercial Banks (continued) |
||||||||||||||
2,661 | State Bank Financial Corporation, (3) |
$ | 45,583 | |||||||||||
6,954 | Sterling Bancorp. |
87,620 | ||||||||||||
2,831 | Sterling Financial Corporation, (3) |
89,177 | ||||||||||||
963 | Suffolk Bancorp., (2) |
18,567 | ||||||||||||
3,370 | Sun Bancorp, Inc., (2) |
10,683 | ||||||||||||
15,539 | Susquehanna Bancshs Inc. |
168,287 | ||||||||||||
1,204 | SY Bancorp, Inc., (3) |
35,626 | ||||||||||||
1,440 | Taylor Capital Group, Inc., (2) |
32,155 | ||||||||||||
3,399 | Texas Capital BancShares, Inc., (2), (3) |
202,139 | ||||||||||||
1,204 | Tompkins Financial Corporation |
56,468 | ||||||||||||
3,857 | Towne Bank, (3) |
58,009 | ||||||||||||
1,334 | Trico Bancshares |
33,030 | ||||||||||||
546 | Tristate Capital Holdings Inc., (2) |
7,502 | ||||||||||||
5,597 | Trustmark Corporation |
132,985 | ||||||||||||
2,972 | UMB Financial Corporation, (3) |
176,210 | ||||||||||||
9,330 | Umpqua Holdings Corporation, (3) |
163,835 | ||||||||||||
3,618 | Union First Market Bankshares Corporation, (3) |
83,467 | ||||||||||||
4,195 | United Bankshares, Inc., (3) |
125,389 | ||||||||||||
3,590 | United Community Banks, Inc., (2) |
59,881 | ||||||||||||
1,391 | Univest Corporation of Pennsylvania |
26,123 | ||||||||||||
1,005 | VantageSouth Bancshares Inc., (2) |
5,769 | ||||||||||||
3,089 | ViewPoint Financial Group, (3) |
76,051 | ||||||||||||
2,247 | Virginia Commerce Bancorp, Inc., (2) |
36,536 | ||||||||||||
1,292 | Washington Banking Company |
22,985 | ||||||||||||
1,206 | Washington Trust Bancorp, Inc. |
39,726 | ||||||||||||
7,521 | Webster Financial Corporation |
228,187 | ||||||||||||
2,159 | WesBanco, Inc. |
61,661 | ||||||||||||
1,206 | West Bancorp, Inc. |
17,837 | ||||||||||||
2,248 | Westamerica Bancorp., (3) |
110,961 | ||||||||||||
6,173 | Western Alliance Bancorporation, (2) |
138,399 | ||||||||||||
5,160 | Wilshire Bancorp, Inc. |
51,394 | ||||||||||||
2,668 | Wintrust Financial Corporation, (3) |
116,938 | ||||||||||||
1,199 | Yadkin Financial Inc., (2) |
22,421 | ||||||||||||
Total Commercial Banks |
9,548,240 | |||||||||||||
Commercial Services & Supplies – 2.0% |
||||||||||||||
4,555 | ABM Industries Inc. |
121,436 | ||||||||||||
9,462 | Acco Brands Corporation, (2), (3) |
54,974 | ||||||||||||
1,843 | Acorn Energy Inc., (3) |
6,395 | ||||||||||||
1,535 | American Ecology Corporation |
54,892 |
66 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Commercial Services & Supplies (continued) |
||||||||||||||
3,140 | ARC Document Solutions, (2) |
$ | 23,801 | |||||||||||
3,996 | Brinks Company |
126,433 | ||||||||||||
3,219 | Casella Waste Systems, Inc., (2) |
16,513 | ||||||||||||
1,467 | CECO Environmental Corporation, (3) |
22,797 | ||||||||||||
4,490 | Cenveo Inc., (2), (3) |
14,907 | ||||||||||||
96 | CompX International Inc. |
1,252 | ||||||||||||
603 | Consolidated Graphics Inc., (2) |
39,099 | ||||||||||||
955 | Courier Corporation |
15,079 | ||||||||||||
4,239 | Deluxe Corporation, (3) |
205,803 | ||||||||||||
2,189 | EnerNOC, Inc., (2) |
49,034 | ||||||||||||
2,181 | Ennis Inc. |
31,559 | ||||||||||||
1,630 | G&K Services, Inc. |
91,101 | ||||||||||||
5,703 | Healthcare Services Group, Inc., (3) |
154,722 | ||||||||||||
737 | Heritage-Crystal Clean, Inc., (2), (3) |
12,249 | ||||||||||||
3,789 | HNI Corporation |
130,001 | ||||||||||||
3,695 | Innerworkings, Inc., (2), (3) |
27,860 | ||||||||||||
4,944 | Interface, Inc. |
103,577 | ||||||||||||
789 | Intersections, Inc. |
5,839 | ||||||||||||
2,703 | Kimball International Inc., Class B |
40,194 | ||||||||||||
4,015 | Knoll Inc., (3) |
66,649 | ||||||||||||
2,100 | McGrath Rentcorp. |
76,902 | ||||||||||||
4,885 | Miller (Herman) Inc. |
136,927 | ||||||||||||
2,360 | Mine Safety Appliances Company |
118,897 | ||||||||||||
3,196 | Mobile Mini, Inc., (2) |
123,589 | ||||||||||||
1,021 | Multi Color Corporation |
36,715 | ||||||||||||
562 | NL Industries Inc. |
6,204 | ||||||||||||
1,861 | Performant Financial Corporation, (2) |
15,874 | ||||||||||||
2,083 | Quad Graphics Inc., (3) |
47,763 | ||||||||||||
1,123 | Schawk Inc. |
13,566 | ||||||||||||
1,285 | SP Plus Corporation, (2), (3) |
32,459 | ||||||||||||
7,026 | Steelcase Inc. |
103,774 | ||||||||||||
9,484 | Swisher Hygiene Inc., (2) |
4,795 | ||||||||||||
1,715 | Team, Inc., (2) |
72,596 | ||||||||||||
5,410 | Tetra Tech, Inc., (2) |
159,649 | ||||||||||||
1,348 | TRC Companies, (2) |
9,153 | ||||||||||||
1,221 | UniFirst Corporation |
129,182 | ||||||||||||
3,379 | United Stationers, Inc. |
139,992 | ||||||||||||
1,694 | Viad Corporation |
44,535 | ||||||||||||
1,775 | West Corporation |
41,038 | ||||||||||||
Total Commercial Services & Supplies |
2,729,776 |
Nuveen Investments | 67 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Communications Equipment – 1.8% |
||||||||||||||
4,939 | ADTRAN, Inc. |
$ | 125,401 | |||||||||||
960 | Alliance Fiber, (3) |
15,120 | ||||||||||||
898 | Anaren Microwave Inc., (2), (3) |
25,099 | ||||||||||||
344 | Applied Optoelectronics Inc., (2) |
4,689 | ||||||||||||
9,709 | Arris Group Inc., (2) |
251,463 | ||||||||||||
9,496 | Aruba Networks, Inc., (2) |
187,166 | ||||||||||||
5,104 | Aviat Networks Inc., (2) |
9,698 | ||||||||||||
822 | Bel Fuse, Inc., Class B |
15,758 | ||||||||||||
1,344 | Black Box Corporation, (3) |
36,839 | ||||||||||||
2,922 | CalAmp Corporation, (2) |
86,141 | ||||||||||||
3,337 | Calix Inc., (2) |
26,462 | ||||||||||||
8,460 | Ciena Corporation, (2), (3) |
197,372 | ||||||||||||
1,402 | Comtech Telecom Corporation |
42,649 | ||||||||||||
2,155 | Digi International, Inc., (2) |
22,197 | ||||||||||||
7,572 | Emulex Corporation, (2) |
55,730 | ||||||||||||
7,750 | Extreme Networks Inc., (2) |
56,730 | ||||||||||||
7,787 | Finisar Corporation, (2), (3) |
184,630 | ||||||||||||
8,444 | Harmonic Inc., (2) |
55,393 | ||||||||||||
9,657 | Infinera Corporation, (2) |
84,209 | ||||||||||||
3,430 | Interdigital Inc. |
98,613 | ||||||||||||
4,707 | IXIA, (2) |
60,203 | ||||||||||||
1,292 | KVH Industries, Inc., (2) |
17,029 | ||||||||||||
3,211 | Netgear, Inc., (2), (3) |
102,463 | ||||||||||||
1,165 | Numerex Corporation, (2), (3) |
15,553 | ||||||||||||
1,587 | Oplink Communications, Inc., (2) |
26,868 | ||||||||||||
7,377 | Parkervision, Inc., (2), (3) |
33,860 | ||||||||||||
1,539 | PCTEL, Inc., (3) |
12,635 | ||||||||||||
3,607 | Plantronics Inc. |
154,849 | ||||||||||||
1,713 | Procera Networks Inc., (2), (3) |
19,802 | ||||||||||||
3,627 | Ruckus Wireless Incorporated, (2) |
48,711 | ||||||||||||
4,906 | ShoreTel, Inc., (2) |
37,776 | ||||||||||||
17,981 | Sonus Networks, Inc., (2) |
53,943 | ||||||||||||
456 | Tessco Technologies Inc. |
15,180 | ||||||||||||
1,050 | Ubiquiti Networks Inc., (2), (3) |
43,260 | ||||||||||||
3,297 | ViaSat, Inc., (2), (3) |
196,204 | ||||||||||||
3,705 | Westell Technologies Inc., Class A, (2) |
13,894 | ||||||||||||
Total Communications Equipment |
2,433,589 | |||||||||||||
Computers & Peripherals – 0.4% |
||||||||||||||
2,590 | Avid Technology Inc., (2) |
17,975 |
68 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Computers & Peripherals (continued) |
||||||||||||||
3,302 | Cray, Inc., (2), (3) |
$ | 97,376 | |||||||||||
3,868 | Electronics For Imaging, (2) |
163,887 | ||||||||||||
6,338 | Fusion-io Inc., (2), (3) |
69,718 | ||||||||||||
1,951 | Hutchinson Technology Inc., (2) |
7,414 | ||||||||||||
2,826 | Imation Corporation, (2) |
13,593 | ||||||||||||
2,325 | Immersion Corporation, (2) |
27,203 | ||||||||||||
7,420 | QLogic Corporation, (2) |
85,849 | ||||||||||||
17,692 | Quantum Corporation, (2) |
22,115 | ||||||||||||
2,819 | Silicon Graphics International Corporation, (2) |
36,675 | ||||||||||||
2,655 | Super Micro Computer Inc., (2) |
54,587 | ||||||||||||
1,551 | Violin Memory Inc., (2) |
5,863 | ||||||||||||
Total Computers & Peripherals |
602,255 | |||||||||||||
Construction & Engineering – 0.8% |
||||||||||||||
3,261 | Aegion Corporation, (2), (3) |
66,916 | ||||||||||||
1,630 | Ameresco Inc., Class A Shares, (2), (3) |
16,072 | ||||||||||||
1,164 | Argan, Inc. |
33,069 | ||||||||||||
3,099 | Comfort Systems USA Inc. |
52,807 | ||||||||||||
2,756 | Dycom Industries Inc., (2) |
76,699 | ||||||||||||
5,593 | Emcor Group Inc. |
237,758 | ||||||||||||
3,117 | Furmanite Corporation, (2) |
36,407 | ||||||||||||
3,235 | Granite Construction Inc. |
107,693 | ||||||||||||
4,950 | Great Lakes Dredge & Dock Corporation, (2) |
37,274 | ||||||||||||
1,651 | Layne Christensen Company, (2), (3) |
28,001 | ||||||||||||
4,951 | MasTec Inc., (2), (3) |
177,939 | ||||||||||||
1,749 | MYR Group Inc., (2) |
43,847 | ||||||||||||
786 | Northwest Pipe Company, (2), (3) |
27,573 | ||||||||||||
2,271 | Orion Marine Group Inc., (2) |
25,435 | ||||||||||||
2,162 | Pike Electric Corporation, (2) |
22,787 | ||||||||||||
2,941 | Primoris Services Corporation |
93,436 | ||||||||||||
1,385 | Sterling Construction Company, Inc., (2) |
14,986 | ||||||||||||
3,089 | Tutor Perini Corporation, (2) |
69,811 | ||||||||||||
Total Construction & Engineering |
1,168,510 | |||||||||||||
Construction Materials – 0.2% |
||||||||||||||
6,090 | Headwater Inc., (2) |
67,721 | ||||||||||||
1,813 | Texas Industries Inc., (2), (3) |
136,374 | ||||||||||||
162 | United States Lime & Minerals, Inc., (2) |
8,837 | ||||||||||||
1,180 | US Concrete, Inc., (2), (3) |
26,739 | ||||||||||||
Total Construction Materials |
239,671 |
Nuveen Investments | 69 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Consumer Finance – 0.7% |
||||||||||||||
2,378 | Cash America International, Inc., (3) |
$ | 87,344 | |||||||||||
1,507 | Consumer Portfolio Services, Inc., (2) |
12,825 | ||||||||||||
592 | Credit Acceptance Corporation, (2) |
82,395 | ||||||||||||
3,375 | DFC Global Corporation, (2), (3) |
25,380 | ||||||||||||
2,084 | Encore Capital Group, Inc., (2), (3) |
99,178 | ||||||||||||
4,254 | EZCORP, Inc., (2) |
46,709 | ||||||||||||
2,432 | First Cash Financial Services, Inc., (2) |
119,508 | ||||||||||||
761 | First Marblehead Corporation, (2) |
4,536 | ||||||||||||
2,150 | Green Dot Corporation, Class A Shares, (2) |
48,418 | ||||||||||||
1,438 | Imperial Holdings, Incorporated, (2), (3) |
8,887 | ||||||||||||
932 | JGWPT Holdings Inc., Class A Shares, (2) |
15,844 | ||||||||||||
1,907 | Nelnet Inc. |
71,036 | ||||||||||||
856 | Nicholas Financial, Inc. |
13,508 | ||||||||||||
4,227 | Portfolio Recovery Associates, Inc., (2), (3) |
212,280 | ||||||||||||
448 | Regional Management Corporation, (2), (3) |
14,887 | ||||||||||||
2,015 | Springleaf Holdings Inc., (2), (3) |
48,279 | ||||||||||||
774 | World Acceptance Corporation, (2), (3) |
74,064 | ||||||||||||
Total Consumer Finance |
985,078 | |||||||||||||
Containers & Packaging – 0.3% |
||||||||||||||
338 | AEP Industries, Inc., (2) |
14,886 | ||||||||||||
4,613 | Berry Plastics Corporation, (2), (3) |
102,870 | ||||||||||||
17,494 | Graphic Packaging Holding Company, (2) |
166,193 | ||||||||||||
2,349 | Myers Industries, Inc. |
44,983 | ||||||||||||
464 | UFP Technologies, Inc., (2) |
11,888 | ||||||||||||
Total Containers & Packaging |
340,820 | |||||||||||||
Distributors – 0.2% |
||||||||||||||
1,557 | Audiovox Corporation, (2) |
20,755 | ||||||||||||
957 | Core-Mark Holding Company, Inc. |
72,397 | ||||||||||||
3,882 | Pool Corporation |
210,327 | ||||||||||||
542 | Weyco Group, Inc. |
14,320 | ||||||||||||
Total Distributors |
317,799 | |||||||||||||
Diversified Consumer Services – 1.0% |
||||||||||||||
1,468 | American Public Education Inc., (2) |
62,140 | ||||||||||||
1,178 | Ascent Media Corporation, (2) |
84,286 | ||||||||||||
1,225 | Bridgepoint Education Inc., (2) |
21,291 | ||||||||||||
987 | Bright Horizons Family Solutions Inc., (2) |
36,272 | ||||||||||||
922 | Capella Education Company |
57,524 | ||||||||||||
4,598 | Career Education Corporation, (2), (3) |
25,013 | ||||||||||||
1,309 | Carriage Services Inc., (3) |
28,013 |
70 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Diversified Consumer Services (continued) |
||||||||||||||
6,606 | Corinthian Colleges Inc., (2) |
$ | 9,711 | |||||||||||
2,013 | Education Management Corporation, (2), (3) |
13,950 | ||||||||||||
3,784 | Grand Canyon Education Inc., (2) |
165,815 | ||||||||||||
4,580 | Hillenbrand Inc. |
123,981 | ||||||||||||
1,745 | Houghton Mifflin Harcourt Company, (2), (3) |
33,574 | ||||||||||||
1,946 | ITT Educational Services, Inc., (2), (3) |
57,212 | ||||||||||||
382 | JTH Holdings Inc., Class A Shares, (2) |
10,001 | ||||||||||||
2,264 | K12, Inc., (2) |
49,695 | ||||||||||||
5,056 | LifeLock, Incorporated, (2) |
103,193 | ||||||||||||
2,001 | Lincoln Educational Services Corporation |
8,744 | ||||||||||||
2,300 | Matthews International Corporation |
97,796 | ||||||||||||
3,959 | Regis Corporation |
48,814 | ||||||||||||
5,690 | Sothebys Holdings Inc. |
272,665 | ||||||||||||
1,222 | Steiner Leisure Limited, (2) |
59,890 | ||||||||||||
900 | Strayer Education Inc., (2) |
31,464 | ||||||||||||
1,768 | Universal Technical Institute Inc. |
20,809 | ||||||||||||
Total Diversified Consumer Services |
1,421,853 | |||||||||||||
Diversified Financial Services – 0.3% |
||||||||||||||
194 | California First National Bancorp. |
2,871 | ||||||||||||
918 | Gain Capital Holdings Inc., (3) |
8,161 | ||||||||||||
3,126 | Marketaxess |
196,125 | ||||||||||||
688 | Marlin Business Services Corporation |
17,455 | ||||||||||||
2,188 | Newstar Financial, Inc., (2) |
34,417 | ||||||||||||
4,758 | PHH Corporation, (2), (3) |
115,477 | ||||||||||||
1,895 | PICO Holdings, Inc., (2) |
44,665 | ||||||||||||
1,013 | Resource America Inc. |
8,894 | ||||||||||||
Total Diversified Financial Services |
428,065 | |||||||||||||
Diversified Telecommunication Services – 0.6% |
||||||||||||||
7,280 | 8X8, Inc., (2) |
73,819 | ||||||||||||
766 | Atlantic Tele-Network, Inc. |
44,620 | ||||||||||||
2,235 | Cbeyond Inc., (2), (3) |
16,226 | ||||||||||||
17,328 | Cincinnati Bell Inc., (2), (3) |
59,955 | ||||||||||||
3,935 | Cogent Communications Group, Inc. |
162,791 | ||||||||||||
3,343 | Consolidated Communications Holdings, Inc., (3) |
65,456 | ||||||||||||
1,730 | FairPoint Communications Inc., (2) |
22,161 | ||||||||||||
2,622 | General Communication, Inc., (2) |
25,512 | ||||||||||||
862 | Hawaiian Telcom Holdco Inc., (2), (3) |
23,395 | ||||||||||||
1,132 | Hickory Tech Corporation, (3) |
16,199 | ||||||||||||
1,281 | IDT Corporation |
21,777 |
Nuveen Investments | 71 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Diversified Telecommunication Services (continued) |
||||||||||||||
4,447 | inContact, Inc., (2), (3) |
$ | 39,045 | |||||||||||
2,712 | Inteliquent Incn |
31,459 | ||||||||||||
5,350 | Iridium Communications Inc., (2), (3) |
33,919 | ||||||||||||
1,287 | Lumos Networks Corporation |
24,466 | ||||||||||||
3,020 | Orbcomm, Inc., (2) |
20,838 | ||||||||||||
4,009 | Premiere Global Services, Inc., (2) |
43,698 | ||||||||||||
640 | Straight Path Communications Inc., Class B Shares, (2) |
5,274 | ||||||||||||
5,533 | TowerStream Corporation, (2) |
15,714 | ||||||||||||
1,546 | VocalTec Communications Limited, (2), (3) |
22,448 | ||||||||||||
12,946 | Vonage Holdings Corporation, (2) |
59,681 | ||||||||||||
Total Diversified Telecommunication Services |
828,453 | |||||||||||||
Electric Utilities – 1.4% |
||||||||||||||
3,326 | ALLETE Inc |
166,233 | ||||||||||||
5,038 | Cleco Corporation |
246,157 | ||||||||||||
3,352 | El Paso Electric Company |
122,113 | ||||||||||||
3,556 | Empire District Electric Company |
81,610 | ||||||||||||
1,075 | Genie Energy Limited, Class B Shares, (2) |
10,750 | ||||||||||||
4,187 | IDACORP, INC, (3) |
220,781 | ||||||||||||
1,927 | MGE Energy, Inc. |
109,723 | ||||||||||||
1,875 | NRG Yield Inc., Class A Shares, (3) |
73,013 | ||||||||||||
3,022 | Otter Tail Power Corporation, (3) |
84,132 | ||||||||||||
6,638 | PNM Resources Inc. |
163,627 | ||||||||||||
5,850 | Portland General Electric Company, (3) |
176,553 | ||||||||||||
4,705 | UIL Holdings Corporation |
181,942 | ||||||||||||
1,151 | Unitil Corp. |
35,036 | ||||||||||||
3,455 | UNS Energy Corporation |
206,885 | ||||||||||||
Total Electric Utilities |
1,878,555 | |||||||||||||
Electrical Equipment – 1.5% |
||||||||||||||
3,570 | Acuity Brands Inc., (3) |
453,533 | ||||||||||||
4,073 | American Superconductor Corporation, (2) |
6,110 | ||||||||||||
2,123 | AZZ Inc. |
88,763 | ||||||||||||
3,851 | Brady Corporation |
105,363 | ||||||||||||
25,382 | Capstone Turbine Corporation, (2), (3) |
41,119 | ||||||||||||
761 | Coleman Cable Inc. |
19,969 | ||||||||||||
1,722 | Encore Wire Corporation, (3) |
87,977 | ||||||||||||
4,011 | EnerSys |
272,989 | ||||||||||||
1,331 | Enphase Energy Incorporated, (2), (3) |
9,849 | ||||||||||||
3,952 | Franklin Electric Company, Inc. |
157,448 | ||||||||||||
14,955 | Fuelcell Energy Inc., (2), (3) |
21,386 |
72 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Electrical Equipment (continued) |
||||||||||||||
4,296 | Generac Holdings Inc. |
$ | 206,766 | |||||||||||
4,146 | General Cable Corporation |
118,285 | ||||||||||||
1,418 | Global Power Equipment Group Inc. |
25,255 | ||||||||||||
9,738 | GrafTech International Ltd., (2), (3) |
99,815 | ||||||||||||
4,255 | II VI Inc., (2) |
64,974 | ||||||||||||
1,801 | LSI Industries, Inc., (3) |
15,200 | ||||||||||||
3,888 | Polypore International Inc., (2) |
128,887 | ||||||||||||
767 | Powell Industries Inc. |
47,101 | ||||||||||||
167 | Power Solutions International Inc., (2) |
11,107 | ||||||||||||
1,802 | PowerSecure International, Inc., (2) |
34,779 | ||||||||||||
214 | Preformed Line Products Company |
14,441 | ||||||||||||
2,471 | Revolution Lighting Technologies Inc., (2), (3) |
7,438 | ||||||||||||
2,260 | Thermon Group Holdings Inc., (2) |
61,201 | ||||||||||||
1,473 | Vicor Corporation, (2), (3) |
15,216 | ||||||||||||
Total Electrical Equipment |
2,114,971 | |||||||||||||
Electronic Equipment & Instruments – 2.6% |
||||||||||||||
1,634 | Aeroflex Holding Corporation, (2) |
11,258 | ||||||||||||
1,184 | Agilysys Inc., (2) |
15,510 | ||||||||||||
2,259 | Anixter International Inc. |
198,159 | ||||||||||||
801 | Audience Incorporated, (2) |
9,115 | ||||||||||||
1,197 | Badger Meter Inc., (3) |
60,975 | ||||||||||||
3,669 | Belden Inc. |
237,421 | ||||||||||||
4,531 | Benchmark Electronics Inc., (2) |
102,990 | ||||||||||||
3,419 | Checkpoint Systems Inc., (2) |
45,609 | ||||||||||||
7,243 | Cognex Corporation, (2) |
285,736 | ||||||||||||
2,029 | Coherent Inc., (2) |
135,618 | ||||||||||||
383 | Control4 Corporation, (2), (3) |
8,778 | ||||||||||||
2,794 | CTS Corporation |
52,220 | ||||||||||||
3,044 | Daktronics Inc. |
44,473 | ||||||||||||
1,522 | DTS, Inc., (2) |
31,551 | ||||||||||||
1,565 | Electro Rent Corporation |
26,323 | ||||||||||||
1,986 | Electro Scientific Industries Inc. |
21,528 | ||||||||||||
2,363 | Fabrinet, (2) |
43,645 | ||||||||||||
1,424 | FARO Technologies, Inc., (2) |
73,649 | ||||||||||||
3,478 | FEI Company |
325,958 | ||||||||||||
2,530 | GSI Group, Inc., (2) |
27,299 | ||||||||||||
3,626 | Insight Enterprises Inc., (2) |
76,509 | ||||||||||||
4,731 | InvenSense Incorporated, (2), (3) |
93,153 | ||||||||||||
3,294 | Itron Inc., (2) |
133,012 |
Nuveen Investments | 73 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Electronic Equipment & Instruments (continued) |
||||||||||||||
3,743 | Kemet Corporation, (2) |
$ | 20,661 | |||||||||||
1,842 | Littelfuse Inc., (3) |
164,859 | ||||||||||||
2,432 | Maxwell Technologies, Inc., (2), (3) |
19,845 | ||||||||||||
1,287 | Measurement Specialties, Inc., (2) |
71,004 | ||||||||||||
2,693 | Mercury Computer Systems Inc., (2) |
28,815 | ||||||||||||
205 | Mesa Laboratories, Inc. |
16,455 | ||||||||||||
3,089 | Methode Electronics, Inc. |
103,976 | ||||||||||||
1,318 | MTS Systems Corporation, (3) |
92,695 | ||||||||||||
732 | Multi Fineline Electronix, Inc., (2) |
10,102 | ||||||||||||
2,267 | Neonode Incorporated, (2), (3) |
12,899 | ||||||||||||
3,256 | Newport Corporation, (2) |
59,064 | ||||||||||||
1,661 | OSI Systems Inc., (2) |
96,222 | ||||||||||||
1,736 | Park Electrochemical Corporation |
52,375 | ||||||||||||
777 | PC Connection, Inc. |
15,897 | ||||||||||||
2,842 | Plexus Corporation, (2), (3) |
111,122 | ||||||||||||
1,938 | Radisys Corporation, (2) |
5,485 | ||||||||||||
3,373 | RealD Inc., (2), (3) |
30,188 | ||||||||||||
948 | Richardson Electronics Limited |
10,930 | ||||||||||||
2,356 | Rofin Sinar Technologies Inc., (2) |
54,424 | ||||||||||||
1,422 | Rogers Corporation, (2) |
86,315 | ||||||||||||
6,898 | Sanmina-SCI Corporation, (2) |
115,335 | ||||||||||||
2,323 | ScanSource, Inc., (2) |
87,205 | ||||||||||||
3,750 | Speed Commerce Inc., (2) |
15,000 | ||||||||||||
2,200 | SYNNEX Corporation, (2) |
123,530 | ||||||||||||
4,412 | TTM Technologies, Inc., (2) |
35,340 | ||||||||||||
843 | Uni-Pixel Inc., (2), (3) |
8,051 | ||||||||||||
3,351 | Universal Display Corporation, (2) |
108,840 | ||||||||||||
304 | Viasystems Group Inc., (2) |
3,970 | ||||||||||||
1,031 | Vishay Precision Group Inc., (2), (3) |
14,681 | ||||||||||||
1,386 | Zygo Corporation, (2) |
19,446 | ||||||||||||
Total Electronic Equipment & Instruments |
3,655,220 | |||||||||||||
Energy Equipment & Services – 1.7% |
||||||||||||||
2,493 | Basic Energy Services, Inc., (2), (3) |
42,705 | ||||||||||||
719 | Bolt Technology Corporation |
15,581 | ||||||||||||
3,012 | Bristow Group Inc. |
216,231 | ||||||||||||
3,755 | C&J Energy Services Inc., (2) |
87,792 | ||||||||||||
8,161 | Cal Dive International Inc., (2), (3) |
13,384 | ||||||||||||
1,649 | Carbo Ceramics Inc., (3) |
189,833 | ||||||||||||
672 | Dawson Geophysical Company |
21,753 |
74 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Energy Equipment & Services (continued) |
||||||||||||||
1,677 | ERA Group Incorporated, (2), (3) |
$ | 49,119 | |||||||||||
4,798 | Exterran Holdings, Inc., (2), (3) |
166,683 | ||||||||||||
3,279 | Forum Energy Technologies Incorporated, (2) |
82,368 | ||||||||||||
1,075 | Geospace Technologies Corporation, (2), (3) |
85,484 | ||||||||||||
1,903 | Global Geophysical Services Inc., (2) |
2,816 | ||||||||||||
1,204 | Gulf Island Fabrication, Inc. |
24,393 | ||||||||||||
2,224 | Gulfmark Offshore Inc. |
94,653 | ||||||||||||
8,828 | Helix Energy Solutions Group, (2) |
180,003 | ||||||||||||
13,291 | Hercules Offshore Inc., (2) |
66,189 | ||||||||||||
2,983 | Hornbeck Offshore Services Inc., (2) |
127,404 | ||||||||||||
11,098 | ION Geophysical Corporation, (2) |
33,627 | ||||||||||||
12,692 | Key Energy Services Inc., (2) |
92,525 | ||||||||||||
2,173 | Matrix Service Company, (2) |
57,106 | ||||||||||||
1,069 | Mitcham Industries, Inc., (2) |
16,142 | ||||||||||||
1,031 | Natural Gas Services Group, (2) |
29,796 | ||||||||||||
7,179 | Newpark Resources Inc., (2), (3) |
81,553 | ||||||||||||
1,188 | Nuverra Environmental Solutions, (2), (3) |
17,178 | ||||||||||||
9,926 | Parker Drilling Company, (2), (3) |
73,849 | ||||||||||||
1,048 | PHI Inc Non-Voting, (2) |
38,598 | ||||||||||||
5,181 | Pioneer Energy Services Corporation, (2) |
43,417 | ||||||||||||
987 | RigNet, Inc., (2) |
46,044 | ||||||||||||
1,675 | SeaCor Smit Inc., (2), (3) |
141,002 | ||||||||||||
2,517 | Tesco Corporation, (2) |
53,159 | ||||||||||||
6,522 | TETRA Technologies, (2) |
67,307 | ||||||||||||
1,324 | TGC Industries Inc., (2) |
8,619 | ||||||||||||
16,750 | Vantage Drilling Company, (2), (3) |
27,303 | ||||||||||||
3,331 | Willbros Group Inc., (2) |
27,814 | ||||||||||||
Total Energy Equipment & Services |
2,321,430 | |||||||||||||
Food & Staples Retailing – 1.1% |
||||||||||||||
1,558 | Andersons, Inc., (3) |
128,909 | ||||||||||||
98 | Arden Group, Inc. |
12,368 | ||||||||||||
3,195 | Casey’s General Stores, Inc. |
219,401 | ||||||||||||
1,308 | Fairway Group Holdings Inc., (2), (3) |
15,369 | ||||||||||||
986 | Ingles Markets, Inc. |
26,799 | ||||||||||||
738 | Natural Grocers by Vitamin Cottage Incorporated, (2), (3) |
28,022 | ||||||||||||
1,963 | Pantry, Inc., (2) |
28,679 | ||||||||||||
1,572 | PriceSmart, Inc., (3) |
142,895 | ||||||||||||
60,700 | Rite Aid Corporation, (2) |
336,885 | ||||||||||||
2,099 | Roundys Inc. |
17,800 |
Nuveen Investments | 75 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Food & Staples Retailing (continued) |
||||||||||||||
2,962 | Spartan Stores, Inc. |
$ | 66,912 | |||||||||||
16,917 | SUPERVALU INC., (2), (3) |
97,780 | ||||||||||||
1,504 | Susser Holdings Corporation, (2), (3) |
91,714 | ||||||||||||
1,378 | The Chef’s Warehouse Inc., (2), (3) |
32,535 | ||||||||||||
4,109 | United Natural Foods Inc., (2), (3) |
277,645 | ||||||||||||
527 | Village Super Market, Inc. |
15,304 | ||||||||||||
917 | Weis Markets Inc. |
45,135 | ||||||||||||
Total Food & Staples Retailing |
1,584,152 | |||||||||||||
Food Products – 1.6% |
||||||||||||||
241 | Alico Inc., (3) |
8,801 | ||||||||||||
1,141 | Annie’s Incorporated, (2), (3) |
45,777 | ||||||||||||
4,406 | B&G Foods Inc., (3) |
144,385 | ||||||||||||
4,959 | Boulder Brands Inc., (2) |
71,112 | ||||||||||||
1,019 | Calavo Growers, Inc. |
30,957 | ||||||||||||
1,148 | Cal-Maine Foods, Inc. |
57,836 | ||||||||||||
3,871 | Chiquita Brands International Inc., (2) |
40,955 | ||||||||||||
13,157 | Darling International Inc., (2) |
257,351 | ||||||||||||
1,855 | Diamond Foods Inc., (2), (3) |
48,898 | ||||||||||||
503 | Farmer Brothers Company, (2), (3) |
10,880 | ||||||||||||
3,155 | Fresh Del Monte Produce Inc. |
83,481 | ||||||||||||
218 | Griffin Land & Nurseries, Inc. |
6,671 | ||||||||||||
3,200 | Hain Celestial Group Inc., (2), (3) |
294,048 | ||||||||||||
1,171 | Inventure Group, (2) |
14,673 | ||||||||||||
1,155 | J&K Snack Foods Corporation |
101,756 | ||||||||||||
681 | John B Sanfillippo & Son, Inc. |
15,765 | ||||||||||||
1,543 | Lancaster Colony Corporation |
134,118 | ||||||||||||
384 | Lifeway Foods, Inc. |
5,391 | ||||||||||||
834 | Limoneira Company |
17,322 | ||||||||||||
1,659 | Omega Protein Corporation, (2) |
16,806 | ||||||||||||
5,051 | Pilgrim’s Pride Corporation, (2) |
84,503 | ||||||||||||
2,723 | Post Holdings Inc., (2) |
145,762 | ||||||||||||
1,917 | Sanderson Farms Inc. |
142,529 | ||||||||||||
24 | Seaboard Corporation, (2) |
61,200 | ||||||||||||
678 | Seneca Foods Corporation, (2) |
19,709 | ||||||||||||
3,962 | Snyders Lance Inc. |
105,825 | ||||||||||||
1,631 | Tootsie Roll Industries Inc., (3) |
49,485 | ||||||||||||
3,021 | Treehouse Foods Inc., (2) |
198,903 | ||||||||||||
Total Food Products |
2,214,899 |
76 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Gas Utilities – 0.8% |
||||||||||||||
802 | Chesapeake Utilities Corporation |
$ | 47,198 | |||||||||||
572 | Delta Natural Gas Company, Inc., (3) |
11,909 | ||||||||||||
2,524 | Laclede Group Inc. |
115,826 | ||||||||||||
3,481 | New Jersey Resources Corporation, (3) |
158,734 | ||||||||||||
2,083 | Northwest Natural Gas Company, (3) |
86,569 | ||||||||||||
6,293 | Piedmont Natural Gas Company, (3) |
207,795 | ||||||||||||
2,663 | South Jersey Industries Inc. |
142,044 | ||||||||||||
3,860 | Southwest Gas Corporation |
207,398 | ||||||||||||
4,308 | WGL Holdings Inc. |
162,756 | ||||||||||||
Total Gas Utilities |
1,140,229 | |||||||||||||
Health Care Equipment & Supplies – 3.5% |
||||||||||||||
1,841 | Abaxis, Inc., (2), (3) |
70,271 | ||||||||||||
3,229 | Abiomed, Inc., (2), (3) |
88,765 | ||||||||||||
6,177 | Accuray, Inc., (2), (3) |
65,785 | ||||||||||||
6,095 | Align Technology, Inc., (2) |
362,165 | ||||||||||||
5,167 | Alphatec Holdings, Inc., (2) |
11,212 | ||||||||||||
947 | Analogic Corporation |
90,581 | ||||||||||||
2,053 | AngioDynamics, Inc., (2) |
32,663 | ||||||||||||
1,001 | Anika Therapeutics, Inc., (2) |
33,303 | ||||||||||||
9,394 | Antares Pharma Inc., (2), (3) |
44,903 | ||||||||||||
2,179 | Arthrocare Corporation, (2) |
98,883 | ||||||||||||
1,745 | AtriCure, Inc., (2) |
35,773 | ||||||||||||
121 | ATRION Corporation |
32,329 | ||||||||||||
2,858 | Biolase Technology, Inc., (2), (3) |
6,917 | ||||||||||||
2,732 | Cantel Medical Corporation |
86,604 | ||||||||||||
2,043 | Cardiovascular Systems, Inc., (2) |
69,299 | ||||||||||||
5,809 | Cerus Corporation, (2), (3) |
35,842 | ||||||||||||
2,312 | Conmed Corporation |
96,988 | ||||||||||||
2,289 | CryoLife Inc. |
24,698 | ||||||||||||
1,223 | Cutera, Inc., (2) |
11,619 | ||||||||||||
2,303 | Cyberonics, (2) |
153,840 | ||||||||||||
1,597 | Cynosure, Inc., (2), (3) |
42,848 | ||||||||||||
1,142 | Derma Sciences Inc., (2) |
15,006 | ||||||||||||
5,892 | DexCom, Inc., (2) |
238,390 | ||||||||||||
5,233 | Endologix, Inc., (2) |
83,728 | ||||||||||||
778 | Exactech, Inc., (2) |
17,334 | ||||||||||||
2,988 | Genmark Diagnostics Inc., (2), (3) |
38,605 | ||||||||||||
4,552 | Globus Medical Inc, Class A, (2) |
106,517 | ||||||||||||
1,992 | Greatbatch, Inc., (2) |
84,680 |
Nuveen Investments | 77 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Health Care Equipment & Supplies (continued) |
||||||||||||||
3,949 | Haemonetics Corporation, (2) |
$ | 149,628 | |||||||||||
1,363 | Heartware International Inc., (2) |
135,223 | ||||||||||||
1,001 | ICU Medical, Inc., (2) |
64,575 | ||||||||||||
4,453 | Insulet Corporation, (2), (3) |
191,479 | ||||||||||||
1,666 | Integra Lifesciences Holdings Corporation, (2), (3) |
77,402 | ||||||||||||
2,668 | Invacare Corporation |
53,840 | ||||||||||||
478 | LDR Holding Corporation, (2), (3) |
12,629 | ||||||||||||
4,059 | Masimo Corporation, (2), (3) |
118,726 | ||||||||||||
1,213 | Medical Action Industries, Inc., (2), (3) |
9,000 | ||||||||||||
3,456 | Meridian Bioscience, Inc., (3) |
78,728 | ||||||||||||
3,547 | Merit Medical Systems, Inc., (2) |
50,970 | ||||||||||||
2,533 | Natus Medical, Inc., (2) |
65,579 | ||||||||||||
2,990 | Neogen Corporation, (2) |
125,640 | ||||||||||||
3,686 | NuVasive, Inc., (2) |
138,004 | ||||||||||||
4,979 | Nxstage Medical, Inc., (2) |
64,478 | ||||||||||||
4,628 | OraSure Technologies, Inc., (2) |
27,166 | ||||||||||||
1,621 | Orthofix International NV, (2) |
33,312 | ||||||||||||
512 | Oxford Immunotec Global PLC, (2), (3) |
10,844 | ||||||||||||
1,170 | PhotoMedex, Inc., (2), (3) |
16,275 | ||||||||||||
2,340 | Quidel Corporation, (2), (3) |
69,170 | ||||||||||||
3,271 | Rockwell Medical Technologies, Inc., (2), (3) |
33,560 | ||||||||||||
4,690 | RTI Biologics Inc., (2) |
14,539 | ||||||||||||
3,362 | Spectranetics Corporation, (2) |
87,479 | ||||||||||||
3,062 | STAAR Surgical Company, (2) |
50,278 | ||||||||||||
4,912 | Steris Corporation |
225,412 | ||||||||||||
1,208 | Surmodics Inc., (2) |
29,451 | ||||||||||||
3,107 | Symmetry Medical, Inc., (2), (3) |
30,200 | ||||||||||||
765 | Tandem Diabetes Care Inc., (2), (3) |
19,775 | ||||||||||||
2,419 | TearLab Corporation, (2), (3) |
16,183 | ||||||||||||
4,777 | Thoratec Corporation, (2) |
166,908 | ||||||||||||
2,168 | Tornier N.V, (2) |
39,436 | ||||||||||||
8,099 | Unilife Corporation, (2), (3) |
37,822 | ||||||||||||
275 | Utah Medical Products, Inc. |
14,630 | ||||||||||||
1,376 | Vascular Solutions, Inc., (2) |
32,419 | ||||||||||||
419 | Veracyte Inc., (2) |
6,138 | ||||||||||||
4,546 | Volcano Corporation, (2), (3) |
95,421 | ||||||||||||
5,764 | West Pharmaceutical Services Inc. |
273,502 | ||||||||||||
3,123 | Wright Medical Group, Inc., (2) |
94,970 | ||||||||||||
1,474 | Zeltiq Aesthetics Inc, (2) |
30,202 | ||||||||||||
Total Health Care Equipment & Supplies |
4,870,541 |
78 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Health Care Providers & Services – 2.5% |
||||||||||||||
2,952 | Acadia Healthcare Company Inc., (2), (3) |
$ | 150,670 | |||||||||||
4,901 | Accretive Health Inc., (2) |
45,138 | ||||||||||||
456 | Addus HomeCare Corporation, (2) |
10,780 | ||||||||||||
3,241 | Air Methods Corporation, (2), (3) |
166,685 | ||||||||||||
416 | Alliance Imaging Inc., (2) |
11,939 | ||||||||||||
688 | Almost Family, Inc., (2), (3) |
20,922 | ||||||||||||
2,622 | Amedisys, Inc., (2), (3) |
39,566 | ||||||||||||
3,837 | AMN Healthcare Services Inc., (2) (2) |
57,977 | ||||||||||||
2,666 | AmSurg Corporation, (2) |
111,306 | ||||||||||||
2,038 | Bio-Reference Laboratories, Inc., (2), (3) |
54,802 | ||||||||||||
4,858 | Bioscrip, Inc., (2), (3) |
41,342 | ||||||||||||
2,387 | Capital Senior Living Corporation, (2), (3) |
53,636 | ||||||||||||
4,536 | Centene Corporation, (2) |
274,882 | ||||||||||||
1,467 | Chemed Corporation, (3) |
115,776 | ||||||||||||
1,046 | Chindex International, Inc., (2) |
17,217 | ||||||||||||
951 | Corvel Corporation, (2), (3) |
45,039 | ||||||||||||
2,261 | Cross Country Healthcare, Inc., (2), (3) |
24,419 | ||||||||||||
3,358 | Emeritus Corporation, (2) |
74,044 | ||||||||||||
1,621 | Ensign Group Inc. |
67,952 | ||||||||||||
2,522 | ExamWorks Group Inc., (2) |
77,652 | ||||||||||||
3,572 | Five Star Quality Care Inc., (2), (3) |
19,396 | ||||||||||||
2,610 | Gentiva Health Services, Inc., (2) |
29,650 | ||||||||||||
2,890 | Hanger Orthopedic Group Inc., (2) |
97,711 | ||||||||||||
7,269 | HealthSouth Corporation |
226,211 | ||||||||||||
2,850 | Healthways Inc., (2), (3) |
43,634 | ||||||||||||
1,398 | IPC The Hospitalist Company, Inc., (2), (3) |
74,625 | ||||||||||||
4,504 | Kindred Healthcare Inc. |
85,306 | ||||||||||||
793 | Landauer Inc., (3) |
36,613 | ||||||||||||
1,005 | LHC Group, Inc., (2) |
23,055 | ||||||||||||
2,093 | Magellan Health Services, Inc., (2) |
125,224 | ||||||||||||
2,362 | Molina Healthcare Inc., (2), (3) |
85,032 | ||||||||||||
1,067 | MWI Veterinary Supply, Inc., (2), (3) |
198,739 | ||||||||||||
896 | National Healthcare Corporation, (3) |
46,592 | ||||||||||||
817 | National Research Corporation, (2) |
12,255 | ||||||||||||
5,277 | Owens and Minor Inc., (3) |
182,795 | ||||||||||||
2,475 | Pharmerica Corporation, (2) |
60,242 | ||||||||||||
884 | Providence Service Corporation, (2) |
23,329 | ||||||||||||
4,055 | Select Medical Corporation |
43,794 | ||||||||||||
1,653 | Skilled Healthcare Group Inc., (2) |
7,554 |
Nuveen Investments | 79 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Health Care Providers & Services (continued) |
||||||||||||||
935 | Surgical Care Affiliates Inc., (2), (3) |
$ | 30,004 | |||||||||||
5,725 | Team Health Holdings Inc., (2), (3) |
247,091 | ||||||||||||
1,974 | Triple-S Management Corporation, Class B Shares, (2) |
35,216 | ||||||||||||
3,201 | Universal American Corporation, (3) |
22,567 | ||||||||||||
1,005 | US Physical Therapy, Inc. |
31,668 | ||||||||||||
90 | USMD Holdings Inc., (2) |
1,601 | ||||||||||||
3,623 | Wellcare Health Plans Inc., (2) |
235,894 | ||||||||||||
Total Health Care Providers & Services |
3,487,542 | |||||||||||||
Health Care Technology – 0.9% |
||||||||||||||
3,054 | AthenaHealth Inc., (2), (3) |
450,160 | ||||||||||||
924 | Computer Programs and Systems, Inc. |
61,742 | ||||||||||||
1,678 | Healthstream, Inc., (2) |
48,696 | ||||||||||||
7,308 | HMS Holdings Corporation, (2) |
168,303 | ||||||||||||
5,077 | MedAssets Inc., (2) |
111,897 | ||||||||||||
4,432 | Medidata Solutions, Inc., (2) |
279,659 | ||||||||||||
5,441 | Merge Healthcare Incorporated, (2) |
11,698 | ||||||||||||
2,862 | Omnicell, Inc., (2) |
73,897 | ||||||||||||
3,325 | Quality Systems Inc. |
61,213 | ||||||||||||
1,757 | Vocera Communications Incorporated, (2), (3) |
30,695 | ||||||||||||
Total Health Care Technology |
1,297,960 | |||||||||||||
Hotels, Restaurants & Leisure – 2.6% |
||||||||||||||
106 | Biglari Holdings Inc., (2) |
46,318 | ||||||||||||
2,055 | BJ’s Restaurants, Inc., (2), (3) |
58,280 | ||||||||||||
4,609 | Bloomin Brands, (2) |
105,869 | ||||||||||||
2,324 | Bob Evans Farms |
116,781 | ||||||||||||
5,789 | Boyd Gaming Corporation, (2) |
61,132 | ||||||||||||
1,632 | Bravo Brio Restaurant Group, (2) |
24,382 | ||||||||||||
1,564 | Buffalo Wild Wings, Inc., (2), (3) |
221,869 | ||||||||||||
3,362 | Caesar’s Entertainment Corporation, (2), (3) |
73,998 | ||||||||||||
1,973 | Carrols Restaurant Group, Inc., (2) |
12,016 | ||||||||||||
1,519 | CBRL Group Inc. |
150,396 | ||||||||||||
1,481 | CEC Entertainment Inc., (3) |
79,915 | ||||||||||||
4,443 | Cheesecake Factory Inc., (3) |
197,891 | ||||||||||||
1,146 | Churchill Downs Inc. |
102,120 | ||||||||||||
1,352 | Chuy’s Holdings Inc., (2), (3) |
48,834 | ||||||||||||
1,721 | ClubCorp Holdings Inc. |
31,167 | ||||||||||||
891 | Del Friscos Restaurant Group, (2) |
20,493 | ||||||||||||
7,648 | Denny’s Corporation, (2) |
52,465 | ||||||||||||
1,485 | Diamond Resorts International Inc., (2) |
25,988 |
80 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Hotels, Restaurants & Leisure (continued) |
||||||||||||||
1,378 | DineEquity Inc., (3) |
$ | 107,222 | |||||||||||
829 | Diversified Restaurant Holdings Inc., (2) |
4,211 | ||||||||||||
499 | Einstein Noah Restaurant Group |
7,615 | ||||||||||||
1,863 | Fiesta Restaurant Group, (2) |
80,053 | ||||||||||||
557 | Ignite Restaurant Group, Incorporated, (2), (3) |
6,773 | ||||||||||||
3,282 | Interval Leisure Group Inc. |
86,645 | ||||||||||||
2,320 | Intl Speedway Corporation, (3) |
77,882 | ||||||||||||
1,764 | Isle of Capri Casinos, (2) |
16,864 | ||||||||||||
3,707 | Jack in the Box Inc., Term Loan, (2) |
187,463 | ||||||||||||
1,392 | Jamba, Inc., (2), (3) |
17,776 | ||||||||||||
5,457 | Krispy Kreme Doughnuts Inc., (2), (3) |
94,133 | ||||||||||||
3,588 | Life Time Fitness Inc., (2), (3) |
147,682 | ||||||||||||
1,663 | Luby’s Inc., (2) |
10,859 | ||||||||||||
1,543 | Marcus Corporation |
20,152 | ||||||||||||
2,430 | Marriott Vacations World, (2) |
116,348 | ||||||||||||
715 | Monarch Casino & Resort, Inc., (2) |
13,778 | ||||||||||||
2,220 | Morgans Hotel Group Company, (2) |
17,227 | ||||||||||||
2,405 | Multimedia Games, Inc., (2) |
76,383 | ||||||||||||
226 | Nathan’s Famous, Inc., (2) |
11,058 | ||||||||||||
513 | Noodles & Company, (2), (3) |
18,648 | ||||||||||||
7,984 | Orient Express Hotels Limited, (2) |
113,053 | ||||||||||||
2,670 | Papa John’s International, Inc., (3) |
128,507 | ||||||||||||
4,866 | Pinnacle Entertainment Inc., (2) |
106,322 | ||||||||||||
1,990 | Popeye’s Louisiana Kitchen Inc., (2) |
80,098 | ||||||||||||
717 | Potbelly Corporation, (2), (3) |
16,254 | ||||||||||||
1,180 | Red Robin Gourmet Burgers, Inc., (2) |
76,027 | ||||||||||||
5,078 | Ruby Tuesday, Inc., (2), (3) |
28,437 | ||||||||||||
2,986 | Ruth’s Chris Steak House, Inc. |
39,087 | ||||||||||||
3,978 | Scientific Games Corporation, (2) |
56,010 | ||||||||||||
4,679 | Sonic Corporation, (2), (3) |
83,239 | ||||||||||||
969 | Speedway Motorsports Inc. |
18,566 | ||||||||||||
4,826 | Texas Roadhouse, Inc. |
117,031 | ||||||||||||
2,002 | Town Sports International |
21,842 | ||||||||||||
2,992 | Vail Resorts, Inc. |
203,905 | ||||||||||||
Total Hotels, Restaurants & Leisure |
3,637,064 | |||||||||||||
Household Durables – 1.1% |
||||||||||||||
905 | Bassett Furniture, Inc., (3) |
12,761 | ||||||||||||
2,090 | Beazer Homes USA, Inc., (2) |
47,046 | ||||||||||||
775 | Blyth Inc., (3) |
7,270 |
Nuveen Investments | 81 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Household Durables (continued) |
||||||||||||||
581 | Cavco Industries, Inc., (2), (3) |
$ | 45,388 | |||||||||||
706 | CSS Industries Inc. |
18,921 | ||||||||||||
2,068 | Ethan Allen Interiors Inc., (3) |
52,196 | ||||||||||||
814 | EveryWare Global Inc., (2) |
6,764 | ||||||||||||
409 | Flexsteel Industries, Inc. |
12,609 | ||||||||||||
2,659 | Helen of Troy Limited, (2) |
146,351 | ||||||||||||
896 | Hooker Furniture Corporation, (3) |
13,574 | ||||||||||||
9,431 | Hovnanian Enterprises Inc., (2), (3) |
56,869 | ||||||||||||
2,356 | Irobot Corporation, (2), (3) |
83,261 | ||||||||||||
6,963 | KB Home, (3) |
134,664 | ||||||||||||
4,363 | La Z Boy Inc. |
117,452 | ||||||||||||
748 | LGI Homes Inc., (2) |
13,030 | ||||||||||||
1,749 | Libbey Inc., (2) |
37,673 | ||||||||||||
852 | Lifetime Brands, Inc. |
13,138 | ||||||||||||
2,014 | M/I Homes, Inc., (2), (3) |
49,524 | ||||||||||||
3,404 | MDC Holdings Inc. |
105,150 | ||||||||||||
3,013 | Meritage Corporation, (2) |
146,341 | ||||||||||||
412 | Nacco Industries Inc. |
24,324 | ||||||||||||
3,843 | Ryland Group Inc., (3) |
171,552 | ||||||||||||
1,502 | Skullcandy Inc., (2) |
10,965 | ||||||||||||
12,350 | Standard Pacific Corporation, (2) |
108,680 | ||||||||||||
1,231 | Tri Pointe Homes, Incorporated, (2), (3) |
21,715 | ||||||||||||
645 | UCP Inc., Class A, (2) |
9,398 | ||||||||||||
1,249 | Universal Electronics Inc., (2) |
44,639 | ||||||||||||
568 | WCI Communities Inc., (2) |
10,633 | ||||||||||||
1,146 | William Lyon Homes Inc, Class A Shares, (2), (3) |
27,584 | ||||||||||||
2,563 | Zagg Inc., (2) |
10,816 | ||||||||||||
Total Household Durables |
1,560,288 | |||||||||||||
Household Products – 0.2% |
||||||||||||||
3,488 | Central Garden & Pet Company, (2) |
21,765 | ||||||||||||
2,751 | Harbinger Group Inc., (2) |
32,682 | ||||||||||||
402 | Oil Dri Corporation |
13,809 | ||||||||||||
463 | Orchids Paper Products Company, (3) |
14,422 | ||||||||||||
1,792 | Spectrum Brands Inc. |
134,848 | ||||||||||||
1,289 | WD 40 Company |
88,593 | ||||||||||||
Total Household Products |
306,119 | |||||||||||||
Independent Power Producers & Energy Traders – 0.2% |
||||||||||||||
9,986 | Atlantic Power Corporation |
26,463 | ||||||||||||
8,333 | Dynegy Inc., (2), (3) |
169,660 |
82 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Independent Power Producers & Energy Traders (continued) |
||||||||||||||
1,473 | Ormat Technologies Inc. |
$ | 36,309 | |||||||||||
1,235 | Pattern Energy Group Inc. |
34,444 | ||||||||||||
Total Independent Power Producers & Energy Traders |
266,876 | |||||||||||||
Industrial Conglomerates – 0.1% |
||||||||||||||
3,030 | Raven Industries, Inc., (3) |
113,474 | ||||||||||||
Insurance – 2.2% |
||||||||||||||
3,750 | Ambac Financial Group, Inc., (2) |
87,900 | ||||||||||||
4,949 | American Equity Investment Life Holding Company, (3) |
108,631 | ||||||||||||
1,532 | Amerisafe, Inc. |
63,379 | ||||||||||||
2,585 | Amtrust Financial Services, Inc., (3) |
83,444 | ||||||||||||
2,265 | Argo Group International Holdings Inc. |
101,902 | ||||||||||||
770 | Baldwin & Lyons, Class B |
19,219 | ||||||||||||
519 | Blue Capital Reinsurance Holdings Limited, (2) |
8,797 | ||||||||||||
3,620 | Citizens Inc., (2), (3) |
25,159 | ||||||||||||
18,515 | CNO Financial Group Inc. |
313,644 | ||||||||||||
2,188 | Crawford & Co, (3) |
17,701 | ||||||||||||
618 | Donegal Group, Inc., B |
9,029 | ||||||||||||
1,535 | eHealth, Inc., (2), (3) |
82,015 | ||||||||||||
376 | EMC Insurance Group Inc. |
10,332 | ||||||||||||
2,580 | Employers Holdings, Inc. |
63,391 | ||||||||||||
794 | Enstar Group, Limited, (2) |
98,424 | ||||||||||||
740 | FBL Financial Group Inc. |
28,586 | ||||||||||||
9,016 | First American Corporation |
233,695 | ||||||||||||
536 | Fortegra Financial Corp, (2) |
3,950 | ||||||||||||
727 | Global Indemnity PLC, (2) |
17,819 | ||||||||||||
2,351 | Greenlight Capital Re, Ltd, (2) |
75,538 | ||||||||||||
1,184 | Hallmark Financial Services, Inc., (2) |
10,431 | ||||||||||||
773 | HCI Group Inc., (3) |
32,876 | ||||||||||||
384 | Health Insurance Innovations Inc., (2) |
4,527 | ||||||||||||
5,172 | Hilltop Holdings Inc., (2), (3) |
123,042 | ||||||||||||
3,308 | Horace Mann Educators Corporation |
92,293 | ||||||||||||
657 | Independence Holding Company |
8,429 | ||||||||||||
961 | Infinity Property and Casualty Corporation |
67,847 | ||||||||||||
103 | Investors Title Company |
8,252 | ||||||||||||
329 | Kansas City Life Insurance Company |
15,519 | ||||||||||||
4,153 | Maiden Holdings, Ltd, (3) |
45,600 | ||||||||||||
4,157 | Meadowbrook Insurance Group, Inc. |
25,191 | ||||||||||||
3,578 | Montpelier Re Holdings Limited, (3) |
99,719 | ||||||||||||
554 | National Interstate Corporation |
12,504 |
Nuveen Investments | 83 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Insurance (continued) |
||||||||||||||
182 | National Western Life Insurance Company |
$ | 39,703 | |||||||||||
863 | Navigators Group, Inc., (2) |
51,461 | ||||||||||||
1,569 | OneBeacon Insurance Group Limited, Class A |
22,060 | ||||||||||||
484 | Phoenix Companies Inc., (2), (3) |
22,796 | ||||||||||||
2,263 | Platinum Underwriters Holdings Limited |
128,629 | ||||||||||||
4,750 | Primerica Inc. |
200,118 | ||||||||||||
3,546 | RLI Corporation, (3) |
147,726 | ||||||||||||
1,074 | Safety Insurance Group, Inc., (3) |
58,082 | ||||||||||||
4,627 | Selective Insurance Group Inc. |
108,827 | ||||||||||||
1,245 | State Auto Financial Corporation, (3) |
23,879 | ||||||||||||
1,775 | Stewart Information Services Corporation |
57,705 | ||||||||||||
6,791 | Symetra Financial Corporation |
130,048 | ||||||||||||
2,113 | Third Point Reinsurance Limited, (2), (3) |
33,745 | ||||||||||||
4,787 | Tower Group Inc., (3) |
11,968 | ||||||||||||
1,714 | United Fire Group Inc. |
43,021 | ||||||||||||
2,268 | Universal Insurance Holdings Inc., (3) |
25,288 | ||||||||||||
Total Insurance |
3,103,841 | |||||||||||||
Internet & Catalog Retail – 0.4% |
||||||||||||||
2,149 | 1-800-Flowers, (2), (3) |
10,831 | ||||||||||||
1,033 | Blue Nile Inc., (2) |
44,481 | ||||||||||||
1,541 | FTD Companies Inc., (2), (3) |
47,771 | ||||||||||||
2,819 | Hosting Site Network, Inc. |
154,397 | ||||||||||||
2,385 | Nutri System Inc. |
33,915 | ||||||||||||
2,000 | Orbitz Worldwide Inc., (2), (3) |
14,400 | ||||||||||||
932 | Overstock.com, Inc., (2) |
19,628 | ||||||||||||
1,675 | PetMed Express, Inc. |
22,160 | ||||||||||||
782 | RetailMeNot Inc., (2), (3) |
27,691 | ||||||||||||
3,165 | Shutterfly, Inc., (2), (3) |
149,894 | ||||||||||||
3,273 | ValueVision Media Inc., (2), (3) |
20,194 | ||||||||||||
1,832 | Vitacost.com, Inc., (2) |
10,113 | ||||||||||||
Total Internet & Catalog Retail |
555,475 | |||||||||||||
Internet Software & Services – 3.0% |
||||||||||||||
3,520 | Angie’s List, (2), (3) |
63,149 | ||||||||||||
3,854 | Bankrate Inc., (2) |
63,938 | ||||||||||||
4,006 | Bazaarvoice Inc., (2) |
29,044 | ||||||||||||
422 | BenefitFocus Inc., (2), (3) |
27,493 | ||||||||||||
3,416 | Blucora Inc., (2) |
87,484 | ||||||||||||
2,344 | Brightcove Inc., (2) |
25,175 | ||||||||||||
1,008 | Carbonite Inc., (2), (3) |
10,191 |
84 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Internet Software & Services (continued) |
||||||||||||||
499 | ChannelAdvisor Corporation, (2) |
$ | 21,642 | |||||||||||
1,247 | Chegg Inc., (2) |
8,317 | ||||||||||||
2,975 | ComScore Inc., (2) |
81,545 | ||||||||||||
2,560 | Constant Contact Inc., (2) |
69,146 | ||||||||||||
3,364 | Cornerstone OnDemand Inc., (2) |
191,916 | ||||||||||||
2,378 | CoStar Group, Inc., (2) |
409,111 | ||||||||||||
536 | Cvent Inc., (2), (3) |
20,481 | ||||||||||||
3,625 | DealerTrack Technologies Inc., (2) |
169,106 | ||||||||||||
3,016 | Demand Media Inc., (2), (3) |
17,402 | ||||||||||||
1,534 | Demandware Incorporated, (2) |
97,685 | ||||||||||||
3,384 | Dice Holdings Inc., (2) |
23,688 | ||||||||||||
2,939 | Digital River, Inc., (2) |
51,668 | ||||||||||||
1,229 | E2open Inc., (2), (3) |
29,435 | ||||||||||||
8,588 | Earthlink Holdings Corporation |
37,272 | ||||||||||||
1,090 | Egain Communications Corporation, (2) |
10,442 | ||||||||||||
1,810 | Endurance International Group Holdings Inc., (2), (3) |
20,779 | ||||||||||||
1,882 | Envestnet Inc., (2) |
80,456 | ||||||||||||
1,789 | Global Eagle Acquisition Corporation, (2) |
28,642 | ||||||||||||
916 | Gogo Inc., (2), (3) |
18,677 | ||||||||||||
4,466 | Internap Network Services Corporation, (2) |
36,398 | ||||||||||||
3,200 | Intralinks Holdings Inc., (2) |
33,856 | ||||||||||||
3,828 | J2 Global Inc., (3) |
173,600 | ||||||||||||
4,452 | Limelight Networks Inc., (2) |
8,503 | ||||||||||||
2,072 | Liquidity Services, Inc., (2), (3) |
49,251 | ||||||||||||
4,590 | Liveperson, Inc., (2) |
63,480 | ||||||||||||
2,027 | LogMeIn Inc., (2) |
68,837 | ||||||||||||
1,891 | Marchex, Inc., (3) |
17,700 | ||||||||||||
764 | Marin Software Inc., (2) |
7,541 | ||||||||||||
580 | Marketo Inc., (2) |
23,745 | ||||||||||||
2,941 | Millennial Media Incorporated, (2), (3) |
23,352 | ||||||||||||
8,721 | Monster Worldwide Inc., (2) |
53,373 | ||||||||||||
3,323 | Move, Inc., (2) |
46,987 | ||||||||||||
161 | Net Element International Inc., (2) |
734 | ||||||||||||
5,406 | NIC, Incorporated |
117,526 | ||||||||||||
1,899 | Open Solutions Inc., (2), (3) |
142,957 | ||||||||||||
2,792 | Perficient, Inc., (2) |
57,320 | ||||||||||||
2,613 | QuinStreet, Inc., (2) |
21,610 | ||||||||||||
1,871 | RealNetworks Inc., (2) |
13,621 | ||||||||||||
600 | Reis, Inc., (2) |
10,680 |
Nuveen Investments | 85 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Internet Software & Services (continued) |
||||||||||||||
3,067 | Responsys Inc., (2) |
$ | 82,840 | |||||||||||
409 | Rocket Fuel Inc., (2), (3) |
23,927 | ||||||||||||
1,898 | SciQuest Inc., (2), (3) |
50,183 | ||||||||||||
617 | Shutterstock Incorporated, (2), (3) |
49,736 | ||||||||||||
1,465 | Spark Networks, Incorporated, (2) |
8,394 | ||||||||||||
1,252 | SPS Commerce Inc., (2) |
80,904 | ||||||||||||
1,089 | Stamps.com Inc., (2) |
42,972 | ||||||||||||
4,189 | Support.com, Inc., (2) |
11,310 | ||||||||||||
857 | TechTarget Inc., (2) |
5,768 | ||||||||||||
459 | Textura Corporation, (2), (3) |
14,431 | ||||||||||||
662 | Travelzoo Inc., (2) |
14,749 | ||||||||||||
625 | Tremor Video Inc., (2) |
2,775 | ||||||||||||
2,307 | Trulia Inc., (2), (3) |
79,661 | ||||||||||||
1,101 | United Online, Inc. |
13,333 | ||||||||||||
8,237 | Unwired Planet Inc,, (2) |
13,756 | ||||||||||||
5,552 | ValueClick, Inc., (2) |
119,368 | ||||||||||||
2,721 | VistaPrint NV, (2), (3) |
133,002 | ||||||||||||
1,566 | Vocus, Inc., (2), (3) |
19,137 | ||||||||||||
3,494 | Web.com, Inc., (2) |
118,097 | ||||||||||||
2,365 | WebMD Health Corporation, Class A, (2), (3) |
113,284 | ||||||||||||
691 | Wix.com Limited, (2) |
19,804 | ||||||||||||
2,232 | XO Group, Incorporated, (2) |
27,074 | ||||||||||||
681 | Xoom Corporation, (2) |
18,653 | ||||||||||||
2,700 | Yelp Incorporated, (2), (3) |
205,065 | ||||||||||||
440 | YuMe Inc., (2) |
3,436 | ||||||||||||
1,942 | Zillow Inc, (2), (3) |
159,438 | ||||||||||||
5,157 | Zix Corporation, (2), (3) |
23,155 | ||||||||||||
Total Internet Software & Services |
4,119,207 | |||||||||||||
IT Services – 2.1% |
||||||||||||||
6,160 | Acxiom Corporation, (2), (3) |
221,514 | ||||||||||||
958 | Blackhawk Network Holdings Inc., (2), (3) |
25,205 | ||||||||||||
1,923 | CACI International Inc., (2), (3) |
142,340 | ||||||||||||
3,739 | Cardtronics Inc., (2) |
144,026 | ||||||||||||
858 | Cass Information Systems, Inc., (3) |
46,435 | ||||||||||||
6,217 | Ciber, Inc., (2), (3) |
24,122 | ||||||||||||
1,291 | Computer Task Group, Inc. |
20,863 | ||||||||||||
8,755 | Convergys Corporation |
178,339 | ||||||||||||
2,823 | CSG Systems International Inc. |
84,577 | ||||||||||||
1,594 | Datalink Corporation, (2) |
23,161 |
86 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
IT Services (continued) |
||||||||||||||
1,822 | EPAM Systems Inc., (2) |
$ | 74,520 | |||||||||||
4,153 | Euronet Worldwide, Inc., (2) |
177,998 | ||||||||||||
2,458 | Evertec Inc., (3) |
59,312 | ||||||||||||
2,720 | Exlservice Holdings, Inc., (2) |
68,408 | ||||||||||||
1,046 | Forrester Research, Inc., (3) |
39,267 | ||||||||||||
5,519 | Global Cash Access Holdings, Inc., (2) |
46,801 | ||||||||||||
2,007 | Hackett Group, Inc. |
11,841 | ||||||||||||
3,028 | Heartland Payment Systems Inc. |
130,537 | ||||||||||||
2,614 | Higher One Holdings Incn, (2) |
20,285 | ||||||||||||
2,902 | IGATE Corporation, (2) |
97,943 | ||||||||||||
4,853 | Lionbridge Technologies, Inc., (2), (3) |
26,692 | ||||||||||||
392 | Luxoft Holding Inc., (2), (3) |
14,657 | ||||||||||||
1,987 | ManTech International Corporation, Class A |
57,822 | ||||||||||||
5,692 | Maximus Inc. |
241,170 | ||||||||||||
3,082 | ModusLink Global Solutions Inc., (2) |
15,872 | ||||||||||||
1,785 | Moneygram International Inc., (2) |
33,023 | ||||||||||||
3,543 | Planet Payment Inc., (2), (3) |
12,507 | ||||||||||||
2,403 | PRG-Schultz International Inc., (2) |
16,004 | ||||||||||||
9,196 | Sapient Corporation, (2) |
147,412 | ||||||||||||
5,090 | ServiceSource International Inc., (2), (3) |
40,618 | ||||||||||||
3,272 | Sykes Enterprises Inc., (2) |
68,581 | ||||||||||||
1,286 | Syntel Inc., (2) |
108,346 | ||||||||||||
1,659 | TeleTech Holdings, Inc., (2) |
36,199 | ||||||||||||
3,679 | Unisys Corporation, (2) |
126,079 | ||||||||||||
1,704 | Virtusa Corporation, (2) |
58,413 | ||||||||||||
3,234 | WEX Inc., (2) |
266,352 | ||||||||||||
Total IT Services |
2,907,241 | |||||||||||||
Leisure Equipment & Products – 0.5% |
||||||||||||||
1,099 | Arctic Cat, Inc. |
46,532 | ||||||||||||
1,752 | Black Diamond Group Inc., (2), (3) |
18,659 | ||||||||||||
7,539 | Brunswick Corporation |
312,567 | ||||||||||||
5,924 | Callaway Golf Company, (3) |
48,399 | ||||||||||||
1,601 | JAKKS Pacific Inc., (3) |
9,222 | ||||||||||||
413 | Johnson Outdoors, Inc. |
9,817 | ||||||||||||
5,311 | LeapFrog Enterprises Inc., (2), (3) |
37,814 | ||||||||||||
877 | Marine Products Corporation |
7,025 | ||||||||||||
2,586 | Nautilus Group, Inc., (2), (3) |
22,033 | ||||||||||||
4,651 | Smith & Wesson Holding Corporation, (2), (3) |
60,882 | ||||||||||||
1,610 | Sturm, Ruger, & Company, (3) |
122,634 | ||||||||||||
Total Leisure Equipment & Products |
695,584 |
Nuveen Investments | 87 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Life Sciences Tools & Services – 0.4% |
||||||||||||||
922 | Accelerate Diagnostics Inc., (2), (3) |
$ | 12,714 | |||||||||||
5,925 | Affymetrix, Inc., (2), (3) |
55,636 | ||||||||||||
1,939 | Albany Molecular Research Inc., (2) |
20,747 | ||||||||||||
2,503 | Cambrex Corporation, (2) |
46,981 | ||||||||||||
2,119 | Fluidigm Corporation, (2) |
95,609 | ||||||||||||
554 | Furiex Pharmaceuticals Inc., (2), (3) |
25,683 | ||||||||||||
2,126 | Harvard Bioscience, Inc., (2) |
9,397 | ||||||||||||
3,113 | Luminex Corporation, (2) |
56,875 | ||||||||||||
2,741 | NeoGenomics Inc., (2) |
10,964 | ||||||||||||
3,986 | Pacific Biosciences of California Inc., (2) |
28,619 | ||||||||||||
4,737 | Parexel International Corporation, (2) |
231,213 | ||||||||||||
9,597 | Sequenom, Inc., (2), (3) |
21,785 | ||||||||||||
Total Life Sciences Tools & Services |
616,223 | |||||||||||||
Machinery – 3.2% |
||||||||||||||
3,340 | Accuride Corporation, (2) |
12,725 | ||||||||||||
6,100 | Actuant Corporation |
208,742 | ||||||||||||
589 | Alamo Group Inc. |
29,580 | ||||||||||||
2,330 | Albany International Corporation, Class A |
80,548 | ||||||||||||
2,251 | Altra Industrial Motion, Inc., (3) |
70,591 | ||||||||||||
788 | American Railcar Industries, (3) |
38,549 | ||||||||||||
705 | Ampco-Pittsburgh Corporation |
12,556 | ||||||||||||
1,698 | Astec Industries Inc. |
63,166 | ||||||||||||
4,479 | Barnes Group Inc. |
167,694 | ||||||||||||
4,102 | Blount International Inc., (2) |
52,588 | ||||||||||||
4,015 | Briggs & Stratton Corporation, (3) |
84,596 | ||||||||||||
2,526 | Chart Industries, Inc., (2), (3) |
215,821 | ||||||||||||
1,464 | CIRCOR International Inc. |
105,437 | ||||||||||||
4,141 | CLARCOR, Inc. |
229,494 | ||||||||||||
1,625 | Columbus McKinnon Corporation NY, (2) |
40,170 | ||||||||||||
1,998 | Commercial Vehicle Group Inc., (2) |
15,984 | ||||||||||||
1,853 | Douglas Dynamics Inc. |
26,906 | ||||||||||||
1,141 | Dynamic Material Corporation |
24,908 | ||||||||||||
3,682 | Energy Recovery, Inc., (2) |
15,759 | ||||||||||||
1,741 | EnPro Industries Inc., (2), (3) |
126,292 | ||||||||||||
2,204 | ESCO Technologies Inc., (3) |
76,920 | ||||||||||||
550 | ExOne Company, (2), (3) |
25,883 | ||||||||||||
5,204 | Federal Signal Corporation, (2) |
64,113 | ||||||||||||
4,036 | Flow International Corporation, (2), (3) |
16,305 | ||||||||||||
1,003 | Freightcar America Inc., (3) |
23,049 |
88 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Machinery (continued) |
||||||||||||||
670 | Global Brass & Copper Holdings Inc. |
$ | 11,584 | |||||||||||
1,571 | Gorman-Rupp Company, (3) |
50,005 | ||||||||||||
834 | Graham Corporation |
29,782 | ||||||||||||
2,036 | Greenbrier Companies Inc., (2), (3) |
74,701 | ||||||||||||
979 | Hardinge, Inc. |
13,481 | ||||||||||||
538 | Hurco Companies, Inc., (3) |
13,945 | ||||||||||||
877 | Hyster-Yale Materials Handling Inc. |
75,212 | ||||||||||||
2,411 | John Bean Technologies Corporation |
74,428 | ||||||||||||
933 | Kadant Inc. |
33,504 | ||||||||||||
848 | LB Foster Company |
36,515 | ||||||||||||
1,072 | Lindsay Manufacturing Company, (3) |
91,120 | ||||||||||||
1,420 | Lydall Inc., (2) |
25,091 | ||||||||||||
1,147 | Manitex International, Inc., (2) |
16,081 | ||||||||||||
8,121 | Meritor Inc., (2), (3) |
89,169 | ||||||||||||
1,567 | Middleby Corporation, (2) |
386,391 | ||||||||||||
936 | Midwest Air Group Inc. |
17,166 | ||||||||||||
2,343 | Mueller Industries Inc. |
145,828 | ||||||||||||
13,157 | Mueller Water Products Inc. |
114,203 | ||||||||||||
1,425 | NN, Incorporated |
25,208 | ||||||||||||
230 | OmegaFlex, Inc. |
4,591 | ||||||||||||
1,743 | Peerless Manufacturing Company, (2) |
13,020 | ||||||||||||
1,423 | Proto Labs Incorporated, (2), (3) |
112,929 | ||||||||||||
1,917 | RBC Bearings Inc., (2), (3) |
124,298 | ||||||||||||
2,525 | Rexnord Corporation, (2) |
65,600 | ||||||||||||
1,058 | Standex International Corporation |
60,179 | ||||||||||||
1,788 | Sun Hydraulics Corporation |
65,351 | ||||||||||||
1,540 | Tecumseh Products Company, Class A, (2) |
12,936 | ||||||||||||
1,533 | Tennant Company, (3) |
98,311 | ||||||||||||
4,460 | Titan International Inc., (3) |
74,750 | ||||||||||||
3,745 | TriMas Corporation, (2) |
130,326 | ||||||||||||
693 | Twin Disc, Inc. |
16,334 | ||||||||||||
5,706 | Wabash National Corporation, (2), (3) |
78,229 | ||||||||||||
2,377 | Watts Water Technologies, Inc. |
133,160 | ||||||||||||
5,730 | Woodward Governor Company |
245,531 | ||||||||||||
910 | Xerium Technologies, (2) |
15,252 | ||||||||||||
Total Machinery |
4,402,587 | |||||||||||||
Marine – 0.1% |
||||||||||||||
466 | International Shipholding Corp. |
12,484 | ||||||||||||
3,557 | Matson Incorporated |
85,119 |
Nuveen Investments | 89 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Marine (continued) |
||||||||||||||
1,781 | Ultrapetrol Limited, (2) |
$ | 5,913 | |||||||||||
Total Marine |
103,516 | |||||||||||||
Media – 1.3% |
||||||||||||||
1,575 | A.H. Belo Corporation, Class A Shares, (3) |
12,584 | ||||||||||||
366 | Beasley Broadcast Group, Inc. |
3,345 | ||||||||||||
1,921 | Carmike Cinemas, Inc., (2), (3) |
52,078 | ||||||||||||
6,380 | Central European Media Enterprises Limited, (2) |
18,949 | ||||||||||||
2,888 | Crown Media Holdings, Inc., (2) |
8,837 | ||||||||||||
7,211 | Cumulus Media, Inc., (2) |
48,242 | ||||||||||||
77 | Daily Journal Corporation, (2) |
12,328 | ||||||||||||
1,428 | Dex Media Inc., (2), (3) |
8,654 | ||||||||||||
2,016 | Digital Generation Inc., (3) |
27,216 | ||||||||||||
2,605 | E.W. Scripps Company, Class A, (2) |
47,958 | ||||||||||||
1,993 | Entercom Communications Corporation, (2) |
18,794 | ||||||||||||
4,596 | Entravision Communications Corporation |
27,714 | ||||||||||||
1,577 | Global Sources, Limited, (2) |
10,408 | ||||||||||||
4,192 | Gray Television Inc., (2) |
47,705 | ||||||||||||
3,582 | Harte-Hanks Inc. |
24,537 | ||||||||||||
717 | Hemisphere Media Group Inc., (2) |
8,246 | ||||||||||||
3,676 | Journal Communications Inc., (2) |
29,298 | ||||||||||||
11,729 | Live Nation Inc., (2) |
249,476 | ||||||||||||
1,085 | Loral Space & Communications, Inc., (2) |
80,670 | ||||||||||||
2,421 | Martha Stewart Living Omnimedia Inc., (2) |
9,660 | ||||||||||||
5,065 | McClatchy Company, (2) |
23,096 | ||||||||||||
3,153 | MDC Partners, Inc., (3) |
75,767 | ||||||||||||
1,634 | Media General Inc., (2), (3) |
29,134 | ||||||||||||
2,977 | Meredith Corporation |
136,287 | ||||||||||||
4,741 | National CineMedia, Inc. |
88,562 | ||||||||||||
10,751 | New York Times, Class A, (3) |
152,019 | ||||||||||||
2,447 | Nexstar Broadcasting Group, Inc. |
117,578 | ||||||||||||
867 | ReachLocal Inc., (2) |
11,254 | ||||||||||||
1,453 | Reading International Inc., A, (2) |
10,810 | ||||||||||||
870 | Rentrak Corporation, (2), (3) |
49,660 | ||||||||||||
402 | Saga Communications Inc Class A Shares |
19,835 | ||||||||||||
866 | Salem Communications Corporation |
7,448 | ||||||||||||
2,203 | Scholastic Corporation |
72,677 | ||||||||||||
1,663 | SFX Entertainment Inc., (2), (3) |
15,466 | ||||||||||||
5,701 | Sinclair Broadcast Group, Series A |
179,125 | ||||||||||||
2,009 | World Wrestling Entertainment Inc., (3) |
48,598 | ||||||||||||
Total Media |
1,784,015 |
90 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Metals & Mining – 1.3% |
||||||||||||||
11,359 | AK Steel Holding Corporation, (2), (3) |
$ | 80,308 | |||||||||||
8,658 | Allied Nevada Gold Corporation, (2), (3) |
42,511 | ||||||||||||
1,459 | AM Castle & Company, (2), (3) |
20,017 | ||||||||||||
2,321 | AMCOL International Corp., (3) |
79,076 | ||||||||||||
4,285 | Century Aluminum Company, (2), (3) |
50,006 | ||||||||||||
8,457 | Coeur d’Alene Mines Corporation, (2) |
85,839 | ||||||||||||
9,741 | Commercial Metals Company |
185,663 | ||||||||||||
4,966 | General Moly, Inc., (2), (3) |
6,406 | ||||||||||||
5,373 | Globe Specialty Metals Inc. |
93,920 | ||||||||||||
2,764 | Gold Resource Corp. |
12,742 | ||||||||||||
455 | Handy & Harman Limited, (2) |
8,882 | ||||||||||||
1,027 | Haynes International Inc. |
52,521 | ||||||||||||
27,737 | Hecla Mining Company, (3) |
84,043 | ||||||||||||
3,676 | Horsehead Holding Corp., (2), (3) |
56,316 | ||||||||||||
1,462 | Kaiser Aluminum Corporation |
102,062 | ||||||||||||
1,712 | Materion Corporation |
45,488 | ||||||||||||
9,468 | Midway Gold Corporation, (2), (3) |
9,847 | ||||||||||||
12,402 | Molycorp Inc., (2), (3) |
60,150 | ||||||||||||
2,810 | Noranda Aluminum Holdings Corporation |
9,161 | ||||||||||||
755 | Olympic Steel Inc., (3) |
20,906 | ||||||||||||
11,491 | Paramount Gold and Silver Corporation, (2), (3) |
13,674 | ||||||||||||
2,611 | RTI International Metals, Inc., (2) |
81,254 | ||||||||||||
2,144 | Schnitzer Steel Industries, Inc., (3) |
56,644 | ||||||||||||
9,841 | Stillwater Mining Company, (2), (3) |
123,406 | ||||||||||||
5,832 | SunCoke Energy Inc., (2) |
129,354 | ||||||||||||
577 | Universal Stainless & Alloy Products, Inc., (2), (3) |
18,314 | ||||||||||||
1,788 | US Silica Holdings Inc. |
52,961 | ||||||||||||
5,214 | Walter Industries Inc., (3) |
59,231 | ||||||||||||
4,405 | Worthington Industries, Inc. |
178,579 | ||||||||||||
Total Metals & Mining |
1,819,281 | |||||||||||||
Multiline Retail – 0.1% |
||||||||||||||
1,126 | Bon-Ton Stores, Inc., (3) |
12,105 | ||||||||||||
1,274 | Burlington Store Inc., (2), (3) |
32,589 | ||||||||||||
3,060 | Freds Inc., (3) |
53,489 | ||||||||||||
740 | Gordmans Stores Inc. |
5,343 | ||||||||||||
3,569 | Tuesday Morning Corporation, (2), (3) |
46,897 | ||||||||||||
Total Multiline Retail |
150,423 | |||||||||||||
Multi-Utilities – 0.4% |
||||||||||||||
4,993 | Avista Corporation, (3) |
143,948 |
Nuveen Investments | 91 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Multi-Utilities (continued) |
||||||||||||||
3,704 | Black Hills Corporation |
$ | 203,090 | |||||||||||
2,928 | Northwestern Corporation |
132,375 | ||||||||||||
Total Multi-Utilities |
479,413 | |||||||||||||
Oil, Gas & Consumable Fuels – 3.5% |
||||||||||||||
6,845 | Abraxas Petroleum Corporation, (2) |
21,699 | ||||||||||||
176 | Adams Resources and Energy, Incorporated |
11,708 | ||||||||||||
1,940 | Alon USA Energy, Inc. |
30,477 | ||||||||||||
18,401 | Alpha Natural Resources Inc., (2), (3) |
104,518 | ||||||||||||
2,185 | Amyris Inc., (2), (3) |
9,243 | ||||||||||||
762 | Apco Oil and Gas International Inc., (2) |
10,737 | ||||||||||||
2,907 | Approach Resources Inc., (2), (3) |
58,402 | ||||||||||||
17,688 | Arch Coal Inc., (3) |
74,997 | ||||||||||||
1,513 | Athlon Energy Inc., (2) |
46,147 | ||||||||||||
4,064 | Bill Barrett Corporation, (2), (3) |
113,833 | ||||||||||||
2,453 | Bonanza Creek Energy Inc., (2) |
99,862 | ||||||||||||
9,818 | BPZ Resources, Inc., (2), (3) |
19,636 | ||||||||||||
3,322 | Callon Petroleum Company Del, (2) |
22,424 | ||||||||||||
3,777 | Carrizo Oil & Gas, Inc., (2) |
155,235 | ||||||||||||
490 | Clayton Williams Energy, (2) |
33,820 | ||||||||||||
5,677 | Clean Energy Fuels Corporation, (2), (3) |
67,727 | ||||||||||||
5,070 | Cloud Peak Energy Inc., (2) |
94,961 | ||||||||||||
4,025 | Comstock Resources Inc., (3) |
69,029 | ||||||||||||
1,235 | Contango Oil & Gas Company, (2), (3) |
51,821 | ||||||||||||
3,967 | Crosstex Energy, Inc. |
148,763 | ||||||||||||
3,095 | Delek US Holdings Inc. |
93,779 | ||||||||||||
1,627 | Diamondback Energy, (2) |
84,571 | ||||||||||||
4,721 | Emerald Oil Inc., (2) |
36,210 | ||||||||||||
3,926 | Endeavor International Corporation, (2), (3) |
25,872 | ||||||||||||
6,615 | Energy XXI Limited Bermuda, (3) |
151,814 | ||||||||||||
2,491 | EPL Oil & Gas Inc., (2) |
66,933 | ||||||||||||
2,967 | Equal Energy Limited |
15,666 | ||||||||||||
1,412 | Evolution Petroleum Corporation |
18,582 | ||||||||||||
14,137 | Exco Resources Inc., (3) |
72,523 | ||||||||||||
9,942 | Forest Oil Corporation, (2) |
30,323 | ||||||||||||
4,293 | Frontline Limited, (2), (3) |
17,730 | ||||||||||||
4,451 | FX Energy, Inc., (2), (3) |
15,935 | ||||||||||||
2,127 | GasLog Limited, (3) |
44,582 | ||||||||||||
4,624 | Gastar Exploration, Limited, (2) |
27,559 | ||||||||||||
2,611 | Goodrich Petroleum Corporation, (2), (3) |
44,961 |
92 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Oil, Gas & Consumable Fuels (continued) |
||||||||||||||
2,108 | Green Plains Renewable Energy, Inc., (3) |
$ | 46,966 | |||||||||||
19,302 | Halcon Resources Corporation, (2), (3) |
65,048 | ||||||||||||
672 | Hallador Energy Company |
5,148 | ||||||||||||
77 | Isramco, Inc., (2) |
9,717 | ||||||||||||
928 | Jones Energy Inc, Class A, (2) |
14,551 | ||||||||||||
3,658 | Kior Inc., Class A Shares, (2) |
4,353 | ||||||||||||
2,539 | Knightsbridge Tankers Limited |
23,917 | ||||||||||||
22,121 | Kodiak Oil & Gas Corporation, (2) |
234,704 | ||||||||||||
2,324 | L&L Energy Inc., (2), (3), (4) |
2,185 | ||||||||||||
14,325 | Magnum Hunter Resources Corporation, (2) |
119,614 | ||||||||||||
4,849 | Matador Resources Company, (2) |
94,265 | ||||||||||||
2,766 | Midstates Petroleum Company Incorporated, (2), (3) |
12,917 | ||||||||||||
2,543 | Miller Energy Resources Inc., (2), (3) |
20,064 | ||||||||||||
6,252 | Nordic American Tanker Shipping Ltd, (3) |
68,397 | ||||||||||||
5,316 | Northern Oil and Gas Inc., (2) |
77,295 | ||||||||||||
580 | Panhandle Oil and Gas Inc. |
22,423 | ||||||||||||
2,966 | PDC Energy Inc., (2) |
147,885 | ||||||||||||
4,601 | Penn Virginia Corporation, (2), (3) |
55,166 | ||||||||||||
4,753 | Petroquest Energy Inc., (2) |
18,347 | ||||||||||||
10,383 | Quicksilver Resources Inc., (2), (3) |
32,291 | ||||||||||||
1,763 | Renewable Energy Group Inc., (2), (3) |
17,648 | ||||||||||||
18,824 | Rentech, Inc., (2) |
33,695 | ||||||||||||
5,643 | Resolute Energy Corporation, (2) |
45,088 | ||||||||||||
3,768 | Rex Energy Inc., (2) |
70,989 | ||||||||||||
456 | Rex Stores Corporation, (2) |
18,678 | ||||||||||||
5,091 | Rosetta Resources, Inc., (2) |
216,928 | ||||||||||||
3,173 | Sanchez Energy Corporation, (2), (3) |
87,226 | ||||||||||||
15,388 | Scorpio Tankers Inc. |
153,880 | ||||||||||||
3,504 | SemGroup Corporation, A Shares |
216,407 | ||||||||||||
4,663 | Ship Financial International Limited |
79,831 | ||||||||||||
3,984 | Solazyme Inc., (2), (3) |
51,672 | ||||||||||||
4,164 | Stone Energy Corporation, (2) |
128,876 | ||||||||||||
3,613 | Swift Energy Company, (2), (3) |
44,729 | ||||||||||||
4,228 | Synergy Resources Corporation, (2) |
36,530 | ||||||||||||
2,742 | Targa Resources Corporation |
247,575 | ||||||||||||
5,186 | Teekay Tankers Limited, Class A Shares, (3) |
17,632 | ||||||||||||
5,666 | Triangle Petroleum Corporation, (2), (3) |
43,118 | ||||||||||||
7,125 | Uranium Energy Corporation, (2), (3) |
12,326 | ||||||||||||
10,115 | Ur-Energy Inc., (2), (3) |
13,756 |
Nuveen Investments | 93 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Oil, Gas & Consumable Fuels (continued) |
||||||||||||||
4,825 | Vaalco Energy Inc., (2) |
$ | 29,047 | |||||||||||
4,098 | W&T Offshore Inc., (3) |
58,683 | ||||||||||||
6,073 | Warren Resources Inc., (2) |
20,466 | ||||||||||||
4,513 | Western Refining Inc., (3) |
176,503 | ||||||||||||
980 | Westmoreland Coal Company, (2) |
21,276 | ||||||||||||
3,088 | ZaZa Energy Corporation, (2), (3) |
3,088 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
4,912,979 | |||||||||||||
Paper & Forest Products – 0.8% |
||||||||||||||
1,045 | Boise Cascade Company, (2) |
31,862 | ||||||||||||
1,851 | Clearwater Paper Corporation, (2) |
105,414 | ||||||||||||
928 | Deltic Timber Corporation, (3) |
59,680 | ||||||||||||
3,577 | Glatfelter |
110,851 | ||||||||||||
6,806 | KapStone Paper and Packaging Corp., (2) |
190,364 | ||||||||||||
11,614 | Louisiana-Pacific Corporation, (2) |
203,593 | ||||||||||||
1,332 | Neenah Paper, Inc. |
57,862 | ||||||||||||
5,817 | Resolute Forest Products, (2) |
112,268 | ||||||||||||
2,614 | Schweitzer-Mauduit International Inc. |
120,584 | ||||||||||||
4,117 | Wausau Paper Corp. |
56,238 | ||||||||||||
Total Paper & Forest Products |
1,048,716 | |||||||||||||
Personal Products – 0.2% |
||||||||||||||
2,135 | Elizabeth Arden, Inc., (2) |
57,901 | ||||||||||||
1,680 | Female Health Company |
12,667 | ||||||||||||
1,367 | Inter Parfums, Inc. |
44,482 | ||||||||||||
8,775 | Lifevantage Corporation, (2) |
10,793 | ||||||||||||
1,150 | Medifast, Inc., (2) |
30,510 | ||||||||||||
909 | Nature’s Sunshine Products |
14,789 | ||||||||||||
713 | Nutraceutical International Corporation, (2) |
17,854 | ||||||||||||
945 | Revlon Inc., (2) |
22,189 | ||||||||||||
13,875 | Star Scientific, Inc., (2), (3) |
9,510 | ||||||||||||
1,442 | Synutra International Inc., (2), (3) |
10,469 | ||||||||||||
500 | USANA Health Sciences, Inc., (2) |
29,935 | ||||||||||||
Total Personal Products |
261,099 | |||||||||||||
Pharmaceuticals – 1.5% |
||||||||||||||
1,945 | AcelRx Pharmaceuticals Inc., (2), (3) |
22,212 | ||||||||||||
642 | Aerie Pharmaceuticals Inc., (2) |
11,851 | ||||||||||||
4,851 | Akorn, Inc., (2), (3) |
110,118 | ||||||||||||
1,413 | Alimera Sciences, Inc., (2), (3) |
9,001 | ||||||||||||
2,591 | Ampio Pharmaceuticals Inc., (2), (3) |
22,075 | ||||||||||||
551 | Aratana Therapeutics Inc., (2), (3) |
11,852 |
94 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Pharmaceuticals (continued) |
||||||||||||||
4,109 | Auxilium Pharmaceuticals, Inc., (2) |
$ | 105,108 | |||||||||||
12,093 | Avanir Pharmaceuticals, (2) |
45,349 | ||||||||||||
2,494 | Biodelivery Sciences, Inc., (2), (3) |
19,578 | ||||||||||||
5,141 | Cadence Pharmaceuticals, Inc., (2) |
56,448 | ||||||||||||
1,647 | Cempra Inc., (2), (3) |
19,583 | ||||||||||||
4,436 | Corcept Therapeutics, Inc., (2), (3) |
15,260 | ||||||||||||
686 | Cornerstone Therapeutics Inc., (2) |
6,503 | ||||||||||||
4,708 | DepoMed, Inc., (2) |
56,496 | ||||||||||||
2,539 | Endocyte Inc., (2), (3) |
30,138 | ||||||||||||
859 | Hi Tech Pharmacal Company, Inc., (2) |
37,160 | ||||||||||||
4,294 | Horizon Pharma Inc., (2), (3) |
42,339 | ||||||||||||
5,706 | Impax Laboratories Inc., (2) |
132,037 | ||||||||||||
1,557 | Lannett Company Inc., (2) |
54,993 | ||||||||||||
5,272 | Medicines Company, (2) |
183,255 | ||||||||||||
10,392 | Nektar Therapeutics, (2) |
141,331 | ||||||||||||
2,485 | Omeros Corporation, (2), (3) |
29,025 | ||||||||||||
2,296 | Pacira Pharmaceuticals, Inc., (2), (3) |
157,345 | ||||||||||||
1,459 | Pernix Therapeutics Holdings, Incorporated, (2) |
3,341 | ||||||||||||
2,249 | Pozen Inc. |
17,632 | ||||||||||||
4,263 | Prestige Brands Holdings Inc., (2) |
128,998 | ||||||||||||
4,323 | Questcor Pharmaceuticals Inc., (3) |
289,684 | ||||||||||||
504 | Relypsa Inc., (2) |
16,662 | ||||||||||||
1,913 | Repros Therapeutics, Inc., (2), (3) |
35,869 | ||||||||||||
1,568 | Sagent Pharmaceuticals Inc., (2) |
29,682 | ||||||||||||
4,506 | SciClone Pharmaceuticals, Inc., (2) |
21,178 | ||||||||||||
1,142 | Sucampo Pharmaceuticals, Inc., (2) |
9,433 | ||||||||||||
1,240 | Supernus Pharmaceuticals Incorporated, (2), (3) |
12,115 | ||||||||||||
7,191 | TherapeuticsMD, (2), (3) |
47,317 | ||||||||||||
8,389 | Vivus, Inc., (2), (3) |
62,246 | ||||||||||||
4,544 | Xenoport, Inc., (2) |
26,128 | ||||||||||||
8,189 | Zogenix Inc., (2), (3) |
36,277 | ||||||||||||
Total Pharmaceuticals |
2,055,619 | |||||||||||||
Professional Services – 1.3% |
||||||||||||||
4,099 | Acacia Research, (3) |
56,648 | ||||||||||||
587 | Barrett Business Services, Inc., (3) |
46,027 | ||||||||||||
3,170 | CBIZ Inc., (2), (3) |
27,262 | ||||||||||||
1,176 | CDI Corporation |
20,133 | ||||||||||||
2,802 | Corporate Executive Board Company |
204,826 | ||||||||||||
848 | CRA International, Inc., (2) |
15,993 |
Nuveen Investments | 95 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Professional Services (continued) |
||||||||||||||
1,099 | Exponent, Inc. |
$ | 79,370 | |||||||||||
758 | Franklin Covey Company, (2) |
14,485 | ||||||||||||
3,360 | FTI Consulting Inc., (2), (3) |
124,555 | ||||||||||||
1,223 | GP Strategies Corporation, (2) |
33,938 | ||||||||||||
1,505 | Heidrick & Struggles International, Inc. |
25,103 | ||||||||||||
1,950 | Huron Consulting Group, Inc., (2) |
129,168 | ||||||||||||
1,644 | ICF International, Inc., (2) |
55,337 | ||||||||||||
1,871 | Insperity Inc. |
61,780 | ||||||||||||
2,245 | Kelly Services, Inc. |
53,835 | ||||||||||||
2,256 | KForce Inc. |
40,901 | ||||||||||||
4,057 | Korn Ferry International, (2) |
95,177 | ||||||||||||
1,325 | Mistras Group Inc., (2) |
30,952 | ||||||||||||
4,203 | Navigant Consulting Inc., (2) |
73,847 | ||||||||||||
6,572 | Odyssey Marine Exploration Inc., (2), (3) |
12,750 | ||||||||||||
3,811 | On Assignment, Inc., (2) |
113,110 | ||||||||||||
13,497 | Pendrell Corporation, (2) |
19,706 | ||||||||||||
3,400 | Resources Connection, Inc. |
45,832 | ||||||||||||
2,700 | RPX Corporation, (2) |
43,794 | ||||||||||||
2,959 | The Advisory Board Company, (2), (3) |
187,334 | ||||||||||||
3,390 | TrueBlue Inc., (2) |
83,157 | ||||||||||||
343 | VSE Corporation |
15,130 | ||||||||||||
2,079 | WageWorks, Incorporated, (2), (3) |
129,293 | ||||||||||||
Total Professional Services |
1,839,443 | |||||||||||||
Real Estate Investment Trust – 7.3% |
||||||||||||||
4,589 | Acadia Realty Trust |
116,790 | ||||||||||||
2,327 | AG Mortgage Investment Trust Inc. |
38,605 | ||||||||||||
1,103 | Agree Realty Corporation |
31,535 | ||||||||||||
176 | Alexander’s Inc., (3) |
59,810 | ||||||||||||
4,699 | Altisource Residential Corporation |
140,970 | ||||||||||||
2,800 | American Assets Trust Inc |
93,716 | ||||||||||||
4,914 | American Capital Mortgage Investment Corporation, (3) |
96,069 | ||||||||||||
12,836 | American Realty Capital Properties Inc, (3) |
177,650 | ||||||||||||
1,141 | American Residential Properties Inc., (2), (3) |
21,109 | ||||||||||||
1,635 | AmREIT Inc., Class B Shares |
26,618 | ||||||||||||
12,072 | Anworth Mortgage Asset Corporation |
56,618 | ||||||||||||
2,851 | Apollo Commercial Real Estate Finance, Inc., (3) |
47,954 | ||||||||||||
2,669 | Apollo Residential Mortgage Inc. |
43,131 | ||||||||||||
1,783 | Ares Commercial Real Estate Corporation |
23,767 | ||||||||||||
1,583 | Armada Hoffler Properties Inc. |
14,405 |
96 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Real Estate Investment Trust (continued) |
||||||||||||||
31,178 | Armour Residential REIT Inc. |
$ | 128,142 | |||||||||||
1,529 | Ashford Hospitality Prime Inc. |
25,229 | ||||||||||||
5,121 | Ashford Hospitality Trust Inc. |
48,137 | ||||||||||||
4,794 | Associated Estates Realty Corp. |
76,560 | ||||||||||||
958 | Aviv REIT Inc. |
23,366 | ||||||||||||
5,380 | Campus Crest Communities Inc., (3) |
47,505 | ||||||||||||
7,388 | Capstead Mortgage Corporation, (3) |
93,237 | ||||||||||||
6,026 | Cedar Shopping Centers Inc., (3) |
38,024 | ||||||||||||
19,708 | Chambers Street Properties, (3) |
152,540 | ||||||||||||
2,192 | Chatham Lodging Trust, (3) |
45,835 | ||||||||||||
4,048 | Chesapeake Lodging Trust |
98,569 | ||||||||||||
4,994 | Colony Financial Inc. |
110,867 | ||||||||||||
1,729 | Coresite Realty Corporation, (3) |
53,046 | ||||||||||||
14,011 | Cousins Properties, Inc. |
150,618 | ||||||||||||
11,102 | CubeSmart |
182,961 | ||||||||||||
1,598 | CyrusOne Inc. |
34,533 | ||||||||||||
14,552 | CYS Investments Inc. |
115,252 | ||||||||||||
24,227 | DCT Industrial Trust Inc. |
174,434 | ||||||||||||
16,289 | DiamondRock Hospitality Company, (3) |
188,627 | ||||||||||||
5,202 | Dupont Fabros Technology Inc. |
135,200 | ||||||||||||
4,578 | Dynex Capital, Inc. |
36,899 | ||||||||||||
2,522 | EastGroup Properties Inc., (3) |
149,655 | ||||||||||||
9,503 | Education Realty Trust Inc. |
85,812 | ||||||||||||
537 | Ellington Residential Mortgage REIT |
8,683 | ||||||||||||
6,850 | Empire State Realty Trust Inc. |
100,421 | ||||||||||||
4,304 | Entertainment Properties Trust |
219,848 | ||||||||||||
5,017 | Equity One Inc. |
113,685 | ||||||||||||
3,987 | Excel Trust Inc. |
45,492 | ||||||||||||
10,343 | FelCor Lodging Trust Inc. |
84,399 | ||||||||||||
8,957 | First Industrial Realty Trust, Inc. |
153,702 | ||||||||||||
4,896 | First Potomac Realty Trust |
63,942 | ||||||||||||
7,502 | Franklin Street Properties Corporation |
89,949 | ||||||||||||
5,966 | Geo Group Inc. |
199,742 | ||||||||||||
2,135 | Getty Realty Corporation, (3) |
40,565 | ||||||||||||
1,169 | Gladstone Commercial Corporation, (3) |
21,802 | ||||||||||||
12,041 | Glimcher Realty Trust |
103,071 | ||||||||||||
4,556 | Government Properties Income Trust, (3) |
112,533 | ||||||||||||
4,949 | Gramercy Property Trust Inc, (2) |
28,803 | ||||||||||||
1,228 | Hannon Armstrong Sustainable Infrastructure Capital Inc., (3) |
16,246 |
Nuveen Investments | 97 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Real Estate Investment Trust (continued) |
||||||||||||||
7,988 | Healthcare Realty Trust, Inc. |
$ | 183,085 | |||||||||||
16,881 | Hersha Hospitality Trust |
91,664 | ||||||||||||
7,487 | Highwoods Properties, Inc., (3) |
278,067 | ||||||||||||
3,612 | Hudson Pacific Properties Inc. |
78,489 | ||||||||||||
7,110 | Inland Real Estate Corporation |
74,939 | ||||||||||||
11,268 | Invesco Mortgage Capital Inc. |
177,020 | ||||||||||||
8,406 | Investors Real Estate Trust, (3) |
73,048 | ||||||||||||
7,089 | iStar Financial Inc., (2) |
109,312 | ||||||||||||
1,125 | Javelin Mortgage Investment Corporation, (3) |
16,313 | ||||||||||||
10,866 | Kite Realty Group Trust |
70,086 | ||||||||||||
8,663 | LaSalle Hotel Properties |
266,474 | ||||||||||||
14,974 | Lexington Corporate Properties Trust |
161,869 | ||||||||||||
2,894 | LTC Properties Inc. |
109,827 | ||||||||||||
13,465 | Medical Properties Trust Inc. |
178,681 | ||||||||||||
3,536 | Monmouth Real Estate Investment Corporation |
32,673 | ||||||||||||
2,050 | National Health Investors Inc. |
129,089 | ||||||||||||
21,086 | New Residential Investment |
133,896 | ||||||||||||
5,312 | New York Mortgage Trust, Inc. |
37,928 | ||||||||||||
24,097 | Northstar Realty Finance Corporation |
351,551 | ||||||||||||
978 | One Liberty Properties Inc. |
20,401 | ||||||||||||
4,593 | Parkway Properties Inc. |
81,480 | ||||||||||||
5,118 | Pebblebrook Hotel Trust |
154,205 | ||||||||||||
5,667 | Penn Real Estate Investment Trust |
105,690 | ||||||||||||
5,872 | PennyMac Mortgage Investment Trust |
138,286 | ||||||||||||
1,673 | Physicians Realty Trust |
20,728 | ||||||||||||
3,374 | Potlatch Corporation |
134,960 | ||||||||||||
1,411 | PS Business Parks Inc. |
110,862 | ||||||||||||
1,171 | QTS Realty Trust Inc., Class A Shares |
26,570 | ||||||||||||
5,830 | RAIT Investment Trust |
49,205 | ||||||||||||
4,973 | Ramco-Gershenson Properties Trust, (3) |
79,419 | ||||||||||||
6,843 | Redwood Trust Inc., (3) |
127,964 | ||||||||||||
10,582 | Resource Capital Corporation, (3) |
62,328 | ||||||||||||
5,988 | Retail Opportunity Investments Corporation |
86,586 | ||||||||||||
1,410 | Rexford Industrial Realty Inc. |
19,247 | ||||||||||||
10,307 | RLJ Lodging Trust |
257,469 | ||||||||||||
1,869 | Rouse Properties Inc. |
32,595 | ||||||||||||
3,676 | Ryman Hospitalities Properties, (3) |
152,039 | ||||||||||||
3,111 | Sabra Health Care Real Estate Investment Trust Inc. |
90,001 | ||||||||||||
654 | Saul Centers Inc. |
30,476 |
98 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Real Estate Investment Trust (continued) |
||||||||||||||
1,576 | Select Income REIT |
$ | 43,498 | |||||||||||
1,097 | Silver Bay Realty Trust Corporation |
17,409 | ||||||||||||
2,617 | Sovran Self Storage Inc. |
177,720 | ||||||||||||
3,487 | STAG Industrial Inc. |
74,831 | ||||||||||||
15,109 | Strategic Hotels & Resorts Inc., (2) |
140,665 | ||||||||||||
6,652 | Summit Hotel Properties Inc. |
59,269 | ||||||||||||
2,988 | Sun Communities Inc., (3) |
139,689 | ||||||||||||
15,208 | Sunstone Hotel Investors Inc. |
195,119 | ||||||||||||
2,083 | Terreno Realty Corporation |
35,973 | ||||||||||||
1,388 | UMH Properties Inc. |
13,117 | ||||||||||||
991 | Universal Health Realty Income Trust |
42,018 | ||||||||||||
2,078 | Urstadt Biddle Properties Inc. |
38,983 | ||||||||||||
5,541 | Washington Real Estate Investment Trust, (3) |
129,105 | ||||||||||||
2,221 | Western Asset Mortgage Capital Corporation, (3) |
33,211 | ||||||||||||
1,779 | Whitestone Real Estate Investment Trust, (3) |
24,283 | ||||||||||||
2,665 | Winthrop Realty Trust, Inc. |
30,594 | ||||||||||||
470 | ZAIS Financial Corporation |
7,990 | ||||||||||||
Total Real Estate Investment Trust |
10,124,674 | |||||||||||||
Real Estate Management & Development – 0.3% |
||||||||||||||
3,587 | Alexander & Baldwin Inc. |
140,288 | ||||||||||||
787 | AV Homes Inc., (2), (3) |
14,733 | ||||||||||||
488 | Consolidated Tomoka Land Company, (3) |
17,153 | ||||||||||||
2,888 | Forestar Real Estate Group Inc., (2), (3) |
57,760 | ||||||||||||
4,720 | Kennedy-Wilson Holdings Inc. |
113,374 | ||||||||||||
965 | ReMax Holdings Inc., (2), (3) |
28,139 | ||||||||||||
1,148 | Tejon Ranch Company, (2), (3) |
39,170 | ||||||||||||
Total Real Estate Management & Development |
410,617 | |||||||||||||
Road & Rail – 0.5% |
||||||||||||||
2,142 | Arkansas Best Corporation, (3) |
73,449 | ||||||||||||
1,674 | Celadon Group, Inc., (3) |
34,786 | ||||||||||||
3,318 | Heartland Express, Inc., (3) |
69,877 | ||||||||||||
4,539 | Knight Transportation Inc. |
96,908 | ||||||||||||
1,952 | Marten Transport, Ltd. |
37,225 | ||||||||||||
546 | Patriot Transportation Holding, Inc., (2), (3) |
19,918 | ||||||||||||
1,754 | Quality Distribution, Inc., (2), (3) |
24,118 | ||||||||||||
1,551 | Roadrunner Transportation System Inc., (2) |
40,714 | ||||||||||||
2,024 | Saia, Inc., (2) |
68,128 | ||||||||||||
6,987 | Swift Transportation Company, (2), (3) |
152,317 | ||||||||||||
450 | Universal Truckload Services, Inc. |
13,055 |
Nuveen Investments | 99 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Road & Rail (continued) |
||||||||||||||
3,275 | Werner Enterprises, Inc., (3) |
$ | 85,347 | |||||||||||
901 | YRC Worldwide Inc., (2), (3) |
19,804 | ||||||||||||
Total Road & Rail |
735,646 | |||||||||||||
Semiconductors & Equipment – 3.3% |
||||||||||||||
3,271 | Advanced Energy Industries Inc., (2) |
89,298 | ||||||||||||
1,447 | Alpha & Omega Semiconductor Limited, (2), (3) |
10,505 | ||||||||||||
1,541 | Ambarella, Incorporated, (2), (3) |
49,358 | ||||||||||||
5,845 | Amkor Technology Inc., (2) |
30,979 | ||||||||||||
6,857 | Anadigics Inc., (2) |
13,508 | ||||||||||||
6,092 | Applied Micro Circuits Corporation, (2) |
61,529 | ||||||||||||
2,660 | ATMI Inc., (2) |
73,629 | ||||||||||||
9,027 | Axcelis Technologies Inc., (2) |
21,845 | ||||||||||||
5,541 | Brooks Automation Inc. |
56,241 | ||||||||||||
1,940 | Cabot Microelectronics Corporation, (2), (3) |
78,221 | ||||||||||||
4,279 | Cavium Networks Inc., (2), (3) |
159,050 | ||||||||||||
1,845 | CEVA, Inc., (2) |
32,085 | ||||||||||||
5,282 | Cirrus Logic Inc., (2), (3) |
92,488 | ||||||||||||
2,060 | Cohu Inc. |
21,342 | ||||||||||||
12,254 | Cypress Semiconductor Corporation |
123,030 | ||||||||||||
2,991 | Diodes Inc., (2), (3) |
68,524 | ||||||||||||
1,647 | DSP Group Inc., (2) |
14,757 | ||||||||||||
11,611 | Entegris Inc., (2) |
122,148 | ||||||||||||
7,465 | Entropic Communications Inc., (2) |
31,129 | ||||||||||||
3,189 | Exar Corporation, (2) |
35,111 | ||||||||||||
4,496 | FormFactor Inc., (2) |
28,954 | ||||||||||||
1,711 | GSI Technology Inc., (2) |
11,395 | ||||||||||||
11,161 | GT Advanced Technologies, Inc., (2), (3) |
114,623 | ||||||||||||
2,628 | Hittite Microwave Corporation, (2) |
150,716 | ||||||||||||
2,173 | Inphi Corporation, (2) |
24,946 | ||||||||||||
10,985 | Integrated Device Technology, Inc., (2) |
106,005 | ||||||||||||
2,343 | Integrated Silicon Solution, (2), (3) |
27,577 | ||||||||||||
1,438 | Intermolecular Inc, (2) |
5,795 | ||||||||||||
5,788 | International Rectifier Corporation, (2) |
150,546 | ||||||||||||
10,600 | Intersil Holding Corporation, Class A |
120,204 | ||||||||||||
2,016 | IXYS Corporation |
25,583 | ||||||||||||
5,526 | Kopin Corporation, (2) |
21,220 | ||||||||||||
9,637 | Lattice Semiconductor Corporation, (2) |
55,702 | ||||||||||||
3,963 | LTX-Credence Corporation, (2) |
33,884 | ||||||||||||
882 | MA-COM Technology Solutions Holdings Incorporated, (2) |
14,994 |
100 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Semiconductors & Equipment (continued) |
||||||||||||||
1,928 | Maxlinear Inc., (2) |
$ | 19,781 | |||||||||||
3,880 | Micrel, Incorporated, (3) |
38,722 | ||||||||||||
7,744 | Microsemi Corporation, (2) |
181,519 | ||||||||||||
4,418 | MKS Instruments Inc. |
133,114 | ||||||||||||
3,065 | Monolithic Power Systems, Inc., (2), (3) |
100,195 | ||||||||||||
3,919 | MoSys, Inc., (2), (3) |
19,673 | ||||||||||||
1,926 | Nanometrics Inc., (2), (3) |
32,626 | ||||||||||||
1,682 | NeoPhotonics Corporation, (2) |
12,346 | ||||||||||||
375 | NVE Corporation, (2), (3) |
21,585 | ||||||||||||
4,499 | Omnivision Technologies, Inc., (2) |
69,240 | ||||||||||||
2,095 | PDF Solutions, Inc., (2) |
49,652 | ||||||||||||
2,202 | Peregrine Semiconductor Corporation, (2), (3) |
14,467 | ||||||||||||
1,911 | Pericom Semiconductor Corporation, (2) |
15,823 | ||||||||||||
5,064 | Photronics Inc., (2) |
42,031 | ||||||||||||
3,798 | PLX Technologies Inc., (2) |
22,978 | ||||||||||||
17,003 | PMC-Sierra, Inc., (2) |
111,370 | ||||||||||||
2,415 | Power Integrations Inc., (3) |
143,040 | ||||||||||||
9,303 | Rambus Inc., (2) |
82,890 | ||||||||||||
23,438 | RF Micro Devices, Inc., (2) |
124,925 | ||||||||||||
1,764 | Rubicon Technology Inc., (2), (3) |
19,351 | ||||||||||||
2,722 | Rudolph Technologies, (2), (3) |
29,915 | ||||||||||||
5,613 | Semtech Corporation, (2) |
128,033 | ||||||||||||
2,552 | Sigma Designs, Inc., (2) |
11,969 | ||||||||||||
6,433 | Silicon Image, Inc., (2) |
35,960 | ||||||||||||
3,941 | Spansion Inc., Class A, (2) |
59,115 | ||||||||||||
22,205 | SunEdison Inc., (2) |
308,872 | ||||||||||||
3,436 | SunPower Corporation, (2), (3) |
111,189 | ||||||||||||
821 | Supertex Inc., (2) |
21,921 | ||||||||||||
2,708 | Synaptics, Inc., (2) |
158,039 | ||||||||||||
4,397 | Tessera Technologies Inc. |
87,280 | ||||||||||||
13,606 | TriQuint Semiconductor, Inc., (2) |
112,930 | ||||||||||||
1,991 | Ultra Clean Holdings, Inc., (2) |
22,757 | ||||||||||||
2,310 | Ultratech Stepper Inc., (2), (3) |
58,443 | ||||||||||||
3,263 | Veeco Instruments Inc., (2) |
124,027 | ||||||||||||
Total Semiconductors & Equipment |
4,602,699 | |||||||||||||
Software – 4.2% |
||||||||||||||
4,653 | Accelrys, Inc., (2) |
58,535 | ||||||||||||
3,320 | ACI Worldwide, Inc., (2) |
201,225 | ||||||||||||
3,943 | Actuate Corporation, (2) |
29,967 |
Nuveen Investments | 101 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Software (continued) |
||||||||||||||
2,720 | Advent Software Inc. |
$ | 89,379 | |||||||||||
2,000 | American Software, Inc. |
20,160 | ||||||||||||
7,809 | Aspen Technology Inc., (2) |
355,856 | ||||||||||||
1,995 | AVG Technologies NV, (2) |
33,097 | ||||||||||||
3,805 | Blackbaud, Inc. |
131,120 | ||||||||||||
3,153 | Bottomline Technologies, Inc., (2), (3) |
109,157 | ||||||||||||
2,337 | Broadsoft Inc., (2), (3) |
71,536 | ||||||||||||
3,131 | Callidus Software, Inc., (2), (3) |
45,932 | ||||||||||||
3,874 | CommVault Systems, Inc., (2) |
267,577 | ||||||||||||
1,715 | Comverse Incorporated, (2), (3) |
61,809 | ||||||||||||
612 | Covisint Corporation, (2) |
5,722 | ||||||||||||
618 | Cyan Inc., (2), (3) |
2,342 | ||||||||||||
526 | Digimarc Corporation |
19,241 | ||||||||||||
2,591 | Ebix, Inc., (3) |
35,186 | ||||||||||||
2,193 | Ellie Mae Incorporated, (2), (3) |
57,237 | ||||||||||||
2,621 | EPIQ Systems, Inc. |
37,638 | ||||||||||||
313 | ePlus, Inc., (2) |
16,883 | ||||||||||||
2,990 | Fair Isaac Corporation |
162,536 | ||||||||||||
1,362 | Fleetmatics Group Limited, (2), (3) |
54,494 | ||||||||||||
647 | Gigamon Inc., (2) |
19,708 | ||||||||||||
5,346 | Glu Mobile, Inc., (2), (3) |
21,117 | ||||||||||||
1,399 | Guidance Software, Inc., (2) |
15,095 | ||||||||||||
4,066 | Guidewire Software Incorporated, (2) |
191,956 | ||||||||||||
1,683 | Imperva Incorporated, (2) |
92,565 | ||||||||||||
4,405 | Infoblox, Incorporated, (2) |
154,527 | ||||||||||||
1,291 | Interactive Intelligence Group, (2), (3) |
98,039 | ||||||||||||
3,300 | Jive Software Inc., (2) |
30,525 | ||||||||||||
6,484 | Manhattan Associates Inc., (2) |
218,640 | ||||||||||||
466 | Mavenir Systems Inc., (2), (3) |
5,937 | ||||||||||||
7,948 | Mentor Graphics Corporation |
165,318 | ||||||||||||
754 | Microstrategy Inc., (2) |
94,778 | ||||||||||||
2,077 | Mitek Systems Inc., (2) |
12,441 | ||||||||||||
676 | Model N Inc., (2) |
6,692 | ||||||||||||
3,186 | Monotype Imaging Holdings Inc. |
92,936 | ||||||||||||
3,017 | NetScout Systems, Inc., (2) |
106,560 | ||||||||||||
9,968 | Parametric Technology Corporation, (2) |
355,658 | ||||||||||||
1,449 | Pegasystems, Inc. |
65,843 | ||||||||||||
4,326 | Progress Software Corporation, (2) |
104,559 | ||||||||||||
1,818 | Proofpoint, Incorporated, (2) |
73,593 |
102 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Software (continued) |
||||||||||||||
1,874 | PROS Holdings, Inc., (2) |
$ | 71,231 | |||||||||||
490 | QAD Inc A |
8,913 | ||||||||||||
7,252 | QLIK Technologies Inc., (2) |
195,949 | ||||||||||||
1,241 | Qualys Incorporated, (2), (3) |
35,964 | ||||||||||||
575 | Rally Software Development Corporation, (2), (3) |
12,248 | ||||||||||||
3,879 | RealPage Inc., (2), (3) |
87,200 | ||||||||||||
966 | Rosetta Stone Inc., (2) |
10,703 | ||||||||||||
1,412 | Sapiens International Corporation NV, (2) |
9,969 | ||||||||||||
2,728 | SeaChange International, Inc., (2) |
32,627 | ||||||||||||
493 | Silver Springs Networks Inc., (2) |
8,406 | ||||||||||||
4,855 | SS&C Technologies Holdings Inc., (2) |
188,471 | ||||||||||||
2,428 | Synchronoss Technologies, Inc., (2), (3) |
64,730 | ||||||||||||
6,748 | Take-Two Interactive Software, Inc., (2) |
129,427 | ||||||||||||
2,582 | Tangoe Inc., (2), (3) |
47,070 | ||||||||||||
3,965 | TeleCommunication Systems, (2) |
9,001 | ||||||||||||
1,479 | TeleNav Inc., (2) |
9,614 | ||||||||||||
10,550 | TiVo, Inc., (2) |
130,715 | ||||||||||||
2,625 | Tyler Technologies Inc., (2) |
276,806 | ||||||||||||
2,303 | Ultimate Software Group, Inc., (2) |
375,919 | ||||||||||||
2,409 | Vasco Data Security International, Inc., (2) |
17,995 | ||||||||||||
4,391 | Verint Systems Inc., (2) |
199,527 | ||||||||||||
3,518 | VirnetX Holding Corporation, (2), (3) |
63,183 | ||||||||||||
5,588 | Vringo Inc., (2), (3) |
23,973 | ||||||||||||
Total Software |
5,802,757 | |||||||||||||
Specialty Retail – 3.0% |
||||||||||||||
6,540 | Aeropostale, Inc., (2), (3) |
46,107 | ||||||||||||
670 | America’s Car-Mart, Inc., (2), (3) |
25,829 | ||||||||||||
3,932 | Ann Inc., (2) |
127,161 | ||||||||||||
2,598 | Asbury Automotive Group, Inc., (2) |
122,158 | ||||||||||||
3,367 | Barnes & Noble Inc., (2) |
45,387 | ||||||||||||
2,899 | bebe stores, inc. |
14,408 | ||||||||||||
1,401 | Big 5 Sporting Goods Corporation |
24,041 | ||||||||||||
1,278 | Body Central Corporation, (2) |
4,371 | ||||||||||||
3,605 | Brown Shoe Inc., (3) |
85,366 | ||||||||||||
2,328 | Buckle Inc., (3) |
103,177 | ||||||||||||
2,296 | Cato Corporation |
64,196 | ||||||||||||
1,925 | Childrens Place Retail Stores Inc., (2) |
101,390 | ||||||||||||
3,026 | Christopher & Banks Corporation, (2), (3) |
21,606 | ||||||||||||
1,288 | Citi Trends, Inc., (2), (3) |
20,608 |
Nuveen Investments | 103 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Specialty Retail (continued) |
||||||||||||||
1,871 | Conn’s, Inc., (2), (3) |
$ | 113,588 | |||||||||||
1,195 | Container Store Group Inc., (2), (3) |
43,916 | ||||||||||||
1,128 | Destination Maternity Corporation |
30,264 | ||||||||||||
3,509 | Destination XL Group Inc., (2) |
18,878 | ||||||||||||
7,114 | Express Inc., (2) |
123,214 | ||||||||||||
4,103 | Finish Line, Inc. |
105,242 | ||||||||||||
2,732 | Five Below, Incorporated, (2), (3) |
100,128 | ||||||||||||
3,669 | Francescas Holdings Corporation, (2), (3) |
69,711 | ||||||||||||
2,002 | Genesco Inc., (2) |
140,580 | ||||||||||||
1,812 | Group 1 Automotive Inc., (3) |
110,768 | ||||||||||||
1,646 | Haverty Furniture Companies Inc. |
45,792 | ||||||||||||
1,070 | Hhgregg Inc., (2), (3) |
8,838 | ||||||||||||
2,165 | Hibbett Sporting Goods, Inc., (2), (3) |
129,922 | ||||||||||||
2,330 | Joseph A Bank Clothiers, Inc., (2) |
130,993 | ||||||||||||
1,162 | Kirkland’s, Inc., (2) |
21,880 | ||||||||||||
1,850 | Lithia Motors Inc. |
104,137 | ||||||||||||
2,290 | Lumber Liquidators Inc., (2), (3) |
203,787 | ||||||||||||
1,945 | Marinemax Inc., (2) |
28,689 | ||||||||||||
1,120 | Mattress Firm Holding Corporation, (2) |
45,584 | ||||||||||||
3,947 | Mens Wearhouse Inc. |
189,614 | ||||||||||||
2,605 | Monro Muffler Brake, Inc., (3) |
144,604 | ||||||||||||
2,399 | New York & Company Inc., (2) |
10,867 | ||||||||||||
40,010 | Office Depot, Inc., (2) |
195,649 | ||||||||||||
2,343 | Outerwall Inc., (2), (3) |
150,678 | ||||||||||||
3,848 | Pacific Sunwear of California, Inc., (2) |
11,082 | ||||||||||||
3,520 | Penske Auto Group, Inc. |
151,043 | ||||||||||||
4,431 | Pep Boys – Manny, Moe & Jack, (2) |
52,906 | ||||||||||||
7,899 | Pier 1 Imports, Inc., (3) |
150,950 | ||||||||||||
8,307 | RadioShack Corporation, (2), (3) |
19,937 | ||||||||||||
4,120 | Rent-A-Center Inc., (3) |
102,753 | ||||||||||||
1,473 | Restoration Hardware Holdings Incorporated, (2) |
83,578 | ||||||||||||
721 | Sears Hometown and Outlet Stores, (2) |
15,134 | ||||||||||||
4,638 | Select Comfort Corporation, (2) |
75,924 | ||||||||||||
1,250 | Shoe Carnival, Inc. |
30,875 | ||||||||||||
3,245 | Sonic Automotive Inc., (3) |
72,785 | ||||||||||||
2,726 | Stage Stores Inc., (3) |
53,430 | ||||||||||||
2,306 | Stein Mart, Inc., (3) |
28,548 | ||||||||||||
908 | Systemax Inc., (2) |
10,269 | ||||||||||||
1,538 | Tile Shop Holdings Inc., (2), (3) |
21,732 |
104 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Specialty Retail (continued) |
||||||||||||||
824 | Tilly’s Inc, Class A Shares, (2) |
$ | 9,567 | |||||||||||
818 | Trans World Entertainment Corporation, (2) |
3,239 | ||||||||||||
2,530 | Vitamin Shoppe Inc., (2) |
113,395 | ||||||||||||
1,415 | West Marine, Inc., (2), (3) |
18,522 | ||||||||||||
7,414 | Wet Seal Inc., (2) |
17,719 | ||||||||||||
168 | Winmark Corporation |
13,549 | ||||||||||||
2,706 | Zale Corporation, (2), (3) |
40,915 | ||||||||||||
1,760 | Zumiez, Inc., (2) |
37,875 | ||||||||||||
Total Specialty Retail |
4,208,855 | |||||||||||||
Textiles, Apparel & Luxury Goods – 1.3% |
||||||||||||||
4,830 | American Apparel, Inc., (2), (3) |
4,763 | ||||||||||||
1,076 | Columbia Sportswear Company |
80,001 | ||||||||||||
794 | Costa Inc., (2) |
17,063 | ||||||||||||
7,344 | Crocs, Inc., (2) |
112,730 | ||||||||||||
680 | Culp Inc., (3) |
13,743 | ||||||||||||
9,997 | Fifth & Pacific Companies Inc., (2) |
286,914 | ||||||||||||
1,399 | G III Apparel Group, Limited, (2) |
97,888 | ||||||||||||
4,289 | Iconix Brand Group, Inc., (2), (3) |
159,551 | ||||||||||||
6,675 | Jones Apparel Group Inc. |
98,456 | ||||||||||||
1,472 | Movado Group Inc. |
55,568 | ||||||||||||
1,121 | Oxford Industries Inc., (3) |
84,602 | ||||||||||||
1,027 | Perry Ellis International, Inc., (2) |
16,093 | ||||||||||||
11,047 | Quiksilver Inc., (2), (3) |
77,881 | ||||||||||||
832 | R.G. Barry Corporation |
14,735 | ||||||||||||
3,223 | Skechers USA Inc., (2) |
93,112 | ||||||||||||
5,013 | Steven Madden Limited, (2) |
163,374 | ||||||||||||
3,990 | Tumi Holdings Inc., (2) |
79,920 | ||||||||||||
1,244 | Unifi Inc., (2) |
28,848 | ||||||||||||
1,804 | Vera Bradley Inc., (2), (3) |
43,332 | ||||||||||||
956 | Vince Holding Company, (2), (3) |
22,332 | ||||||||||||
8,362 | Wolverine World Wide Inc., (3) |
233,300 | ||||||||||||
Total Textiles, Apparel & Luxury Goods |
1,784,206 | |||||||||||||
Thrifts & Mortgage Finance – 1.6% |
||||||||||||||
7,359 | Astoria Financial Corporation |
97,433 | ||||||||||||
1,361 | Banc of California Inc., (3) |
17,285 | ||||||||||||
3,869 | Bank Mutual Corporation |
26,464 | ||||||||||||
1,757 | BankFinancial Corporation |
15,971 | ||||||||||||
602 | BBX Capital Corporation, (2) |
8,825 | ||||||||||||
2,472 | Beneficial Mutual Bancorp Inc., (2), (3) |
29,367 |
Nuveen Investments | 105 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Thrifts & Mortgage Finance (continued) |
||||||||||||||
2,090 | Berkshire Hills Bancorp, Inc. |
$ | 51,121 | |||||||||||
1,009 | BofI Holdings, Inc., (2) |
83,495 | ||||||||||||
5,841 | Brookline Bancorp, Inc. |
51,985 | ||||||||||||
12,414 | Capitol Federal Financial Inc. |
148,596 | ||||||||||||
1,640 | Charter Financial Corporation |
17,630 | ||||||||||||
716 | Clifton Savings Bancorp, Inc. |
9,065 | ||||||||||||
2,653 | Dime Community Bancshares, Inc. |
43,350 | ||||||||||||
545 | Doral Financial Group, (2) |
6,807 | ||||||||||||
1,070 | ESB Financial Corporation |
13,760 | ||||||||||||
730 | ESSA Bancorp Inc. |
8,234 | ||||||||||||
441 | Essent Group Limited, (2), (3) |
11,069 | ||||||||||||
6,707 | Everbank Financial Corporation |
119,452 | ||||||||||||
858 | Federal Agricultural Mortgage Corporation |
26,289 | ||||||||||||
814 | First Defiance Financial Corporation |
20,936 | ||||||||||||
226 | First Federal Bancshares of Arkansas, Inc., (2) |
1,874 | ||||||||||||
1,262 | First Financial Northwest Inc., (3) |
13,049 | ||||||||||||
1,654 | Flagstar Bancorp Inc., (2) |
34,519 | ||||||||||||
942 | Fox Chase Bancorp. |
16,118 | ||||||||||||
896 | Franklin Financial Corporation, (2) |
17,033 | ||||||||||||
106 | Hingham Institution for Savings |
8,329 | ||||||||||||
540 | Home Bancorp Inc., (2), (3) |
10,881 | ||||||||||||
5,919 | Home Loan Servicing Solutions Limited |
121,458 | ||||||||||||
1,080 | HomeStreet Inc., (3) |
19,375 | ||||||||||||
1,195 | Kearny Financial Corporation, (2) |
13,659 | ||||||||||||
695 | Meridian Interstate Bancorp, Inc., (2), (3) |
16,360 | ||||||||||||
497 | Meta Financial Group, Inc. |
20,104 | ||||||||||||
27,020 | MGIC Investment Corporation, (2), (3) |
229,400 | ||||||||||||
349 | NASB Financial, Inc. |
9,318 | ||||||||||||
4,194 | Northfield Bancorp Inc. |
52,131 | ||||||||||||
7,811 | Northwest Bancshares Inc. |
109,823 | ||||||||||||
1,064 | OceanFirst Financial Corporation |
18,897 | ||||||||||||
3,782 | Oritani Financial Corporation |
59,529 | ||||||||||||
1,064 | PennyMac Financial Services Inc., (2) |
18,067 | ||||||||||||
764 | Provident Financial Holdings, Inc. |
11,498 | ||||||||||||
4,974 | Provident Financial Services Inc. |
86,150 | ||||||||||||
14,406 | Radian Group Inc., (3) |
214,361 | ||||||||||||
1,976 | Rockville Financial Inc., (3) |
26,241 | ||||||||||||
679 | Stonegate Mortgage Corporation, (2), (3) |
10,287 | ||||||||||||
886 | Territorial Bancorp Inc. |
20,068 |
106 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Thrifts & Mortgage Finance (continued) |
||||||||||||||
497 | Tree.com Inc., (2) |
$ | 16,128 | |||||||||||
7,850 | TrustCo Bank Corporation NY |
51,261 | ||||||||||||
4,114 | United Community Financial Corporation, (2) |
14,522 | ||||||||||||
1,640 | United Financial Bancorp. |
29,077 | ||||||||||||
1,372 | Walker & Dunlop Inc., (2) |
19,263 | ||||||||||||
673 | Waterstone Financial Inc., (2) |
7,115 | ||||||||||||
1,478 | Westfield Financial Inc. |
11,026 | ||||||||||||
654 | WSFS Financial Corporation |
46,957 | ||||||||||||
Total Thrifts & Mortgage Finance |
2,161,012 | |||||||||||||
Tobacco – 0.1% |
||||||||||||||
7,303 | Alliance One International, Inc., (2), (3) |
18,769 | ||||||||||||
1,944 | Universal Corporation, (3) |
99,766 | ||||||||||||
4,320 | Vector Group Ltd., (3) |
77,155 | ||||||||||||
Total Tobacco |
195,690 | |||||||||||||
Trading Companies & Distributors – 0.9% |
||||||||||||||
2,283 | Aceto Corporation |
48,674 | ||||||||||||
5,706 | Aircastle LTD |
107,786 | ||||||||||||
3,512 | Applied Industrial Technologies Inc. |
177,496 | ||||||||||||
4,057 | Beacon Roofing Supply Company, (2) |
153,314 | ||||||||||||
2,937 | Bluelinx Holdings Inc., (2) |
4,670 | ||||||||||||
1,431 | CAI International Inc., (2), (3) |
29,607 | ||||||||||||
789 | DXP Enterprises, Inc., (2), (3) |
75,776 | ||||||||||||
2,476 | H&E Equipment Services, Inc., (2) |
74,973 | ||||||||||||
1,493 | Houston Wire & Cable Company |
19,752 | ||||||||||||
2,253 | Kaman Corporation, (3) |
87,326 | ||||||||||||
2,891 | Rush Enterprises, Class A, (2) |
79,907 | ||||||||||||
670 | Stock Building Supply Holdings Inc., (2) |
11,678 | ||||||||||||
2,821 | TAL International Group Inc., (3) |
121,388 | ||||||||||||
1,776 | Textainer Group Holdings Limited, (3) |
64,451 | ||||||||||||
1,435 | Titan Machinery, Inc., (2), (3) |
23,391 | ||||||||||||
2,140 | Watsco Inc. |
202,487 | ||||||||||||
Total Trading Companies & Distributors |
1,282,676 | |||||||||||||
Transportation Infrastructure – 0.1% |
||||||||||||||
3,431 | Wesco Aircraft Holdings Inc., (2) |
76,683 | ||||||||||||
Water Utilities – 0.2% |
||||||||||||||
3,214 | American States Water Co |
91,278 | ||||||||||||
631 | Artesian Resources Corporation |
14,204 | ||||||||||||
3,978 | California Water Service Group |
92,648 | ||||||||||||
902 | Connecticut Water Service, Inc., (3) |
30,397 |
Nuveen Investments | 107 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Water Utilities (continued) |
||||||||||||||
1,219 | Consolidated Water Company, Limited |
$ | 15,676 | |||||||||||
1,319 | Middlesex Water Company |
26,248 | ||||||||||||
1,434 | Pure Cycle Corporation, (2) |
8,919 | ||||||||||||
1,289 | SJW Corporation |
36,878 | ||||||||||||
1,077 | York Water Company |
21,938 | ||||||||||||
Total Water Utilities |
338,186 | |||||||||||||
Wireless Telecommunication Services – 0.2% |
||||||||||||||
1,547 | Boingo Wireless Inc., (2) |
9,359 | ||||||||||||
4,499 | Leap Wireless International, Inc., (2) |
78,957 | ||||||||||||
14,336 | NII Holdings Inc., Class B, (2), (3) |
43,151 | ||||||||||||
1,274 | NTELOS Holdings Corporation |
20,906 | ||||||||||||
717 | RingCentral Inc., Class A, (2), (3) |
13,085 | ||||||||||||
1,999 | Shenandoah Telecommunications Company, (3) |
50,175 | ||||||||||||
1,803 | USA Mobility Inc. |
25,711 | ||||||||||||
Total Wireless Telecommunication Services |
241,344 | |||||||||||||
Total Common Stocks (cost $95,018,937) |
133,895,901 | |||||||||||||
Shares | Description (1), (5) | Value | ||||||||||||
EXCHANGE-TRADED FUNDS – 0.0% |
||||||||||||||
713 | Firsthand Technology Value Fund, Incorporated |
$ | 17,084 | |||||||||||
Total Exchange-Traded Funds (cost $13,279) |
17,084 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
COMMON STOCK RIGHTS – 0.0% |
||||||||||||||
692 | Clinical Data, Inc., (2), (4) |
$ | — | |||||||||||
3,767 | Cubist Pharmaceuticals Inc., (2) |
3,281 | ||||||||||||
1,493 | Gerber Scientific Inc., (2), (4) |
— | ||||||||||||
Total Common Stock Right (cost $6,958) |
3,281 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
WARRANTS – 0.0% |
||||||||||||||
1,328 | Magnum Hunter Resources Corporation, (2), (3), (4) |
$ | 3,255 | |||||||||||
424 | Oncomed Pharamceuticals Inc., (2), (4) |
— | ||||||||||||
157 | Tejon Ranch Company, (2) |
636 | ||||||||||||
2,878 | Trius Therapeutics Inc., (2), (4) |
— | ||||||||||||
Total Warrants (cost $855) |
3,891 | |||||||||||||
Total Long-Term Investments (cost $95,040,029) |
133,920,157 |
108 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 26.9% |
| |||||||||||||||||||
Money Market Funds – 26.9% |
||||||||||||||||||||
37,311,484 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (6), (7) |
$ | 37,311,484 | |||||||||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $37,311,484) |
|
37,311,484 | ||||||||||||||||||
Shares/ Principal Amount (000) |
Description (1) | Coupon | Maturity | Rating (8) | Value | |||||||||||||||
SHORT-TERM INVESTMENTS – 4.0% |
||||||||||||||||||||
Money Market Funds – 3.6% |
||||||||||||||||||||
44,629 | First American Prime Obligations Fund, Class Z |
0.016 | % (6) | N/A | N/A | $ | 44,629 | |||||||||||||
4,862,501 | First American Treasury Obligations Fund, Class Z |
0.000 | % (6) | N/A | N/A | 4,862,501 | ||||||||||||||
Total Money Market Funds |
4,907,130 | |||||||||||||||||||
U.S. Government and Agency Obligations – 0.4% |
|
|||||||||||||||||||
$ | 600 | U.S. Treasury Bills, (9) |
0.000 | % | 2/13/14 | N/R | 599,999 | |||||||||||||
Total Short-Term Investments (cost $5,507,119) |
5,507,129 | |||||||||||||||||||
Total Investments (cost $137,858,632) – 127.3% |
176,738,770 | |||||||||||||||||||
Other Assets Less Liabilities – (27.3)% |
(37,929,937 | ) | ||||||||||||||||||
Net Assets – 100% |
$ | 138,808,833 |
Investments in Derivatives as of January 31, 2014
Futures Contracts outstanding:
Description | Contract Position |
Number of Contracts |
Contract Expiration |
Notional Amount at Value |
Unrealized Appreciation (Depreciation) |
|||||||||||||||
Russell 2000 Mini Index | Long | 47 | 3/14 | $ | 5,303,010 | $ | (21,355 | ) |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
Nuveen Investments | 109 |
Nuveen Small Cap Index Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 133,893,716 | $ | — | $ | 2,185 | $ | 133,895,901 | ||||||||
Exchange-Traded Funds |
17,084 | — | — | 17,084 | ||||||||||||
Common Stock Rights |
3,281 | — | — | * | 3,281 | |||||||||||
Warrants |
636 | — | 3,255 | 3,891 | ||||||||||||
Investments Purchased with Collateral from Securities Lending | 37,311,484 | — | — | 37,311,484 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
4,907,130 | — | — | 4,907,130 | ||||||||||||
U.S. Government & Agency Obligations |
— | 599,999 | — | 599,999 | ||||||||||||
Derivatives: | ||||||||||||||||
Futures Contracts** |
(21,355 | ) | — | — | (21,355 | ) | ||||||||||
Total | $ | 176,111,976 | $ | 599,999 | $ | 5,440 | $ | 176,717,415 |
* | Level 3 securities have a market value of zero. |
** | Represents net unrealized appreciation (depreciation) as reported in the Fund’s Portfolio of Investments. |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments (excluding investments in derivatives) was $138,276,441.
Gross unrealized appreciation and gross unrealized depreciation of investments (excluding investments in derivatives) as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 45,200,995 | ||
Depreciation |
(6,738,666 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 38,462,329 |
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 the 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. |
(2) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(3) | Investment, or a portion of investment, is out on loan. The total value of investments out on loan at the end of the reporting period was $35,352,731. |
(4) | Investment valued at fair value using methods determined in good faith by, or at the discretion of, the Board of Directors. For fair value measurement disclosure purposes, investment classified as Level 3. |
(5) | A copy of the most recent financial statements for the exchange-traded funds in which the Fund invests can be obtained from the Securities and Exchange Commission on its website at http://www.sec.gov. |
(6) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(7) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
(8) | Ratings: Using the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. 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. |
(9) | Investment, or portion of investment, segregated as collateral for investments in derivatives. |
N/A | Not applicable. |
REIT | Real Estate Investment Trust. |
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. |
110 | Nuveen Investments |
Nuveen Large Cap Select Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 109.1% |
| |||||||||||||
COMMON STOCKS – 98.3% |
| |||||||||||||
Aerospace & Defense – 1.9% |
| |||||||||||||
6,269 | Boeing Company |
$ | 785,255 | |||||||||||
Airlines – 1.2% |
| |||||||||||||
15,696 | Delta Air Lines, Inc. |
480,455 | ||||||||||||
Automobiles – 1.0% |
| |||||||||||||
4,946 | Daimler AG, (2) |
414,772 | ||||||||||||
Biotechnology – 3.1% |
| |||||||||||||
3,361 | Celgene Corporation, (3) |
510,637 | ||||||||||||
9,334 | Gilead Sciences, Inc., (2), (3) |
752,787 | ||||||||||||
Total Biotechnology |
1,263,424 | |||||||||||||
Capital Markets – 2.8% |
| |||||||||||||
18,433 | Invesco LTD |
612,897 | ||||||||||||
18,206 | Morgan Stanley |
537,259 | ||||||||||||
Total Capital Markets |
1,150,156 | |||||||||||||
Chemicals – 2.6% |
| |||||||||||||
12,706 | Dow Chemical Company |
578,250 | ||||||||||||
2,683 | PPG Industries, Inc. |
489,272 | ||||||||||||
Total Chemicals |
1,067,522 | |||||||||||||
Commercial Banks – 5.3% |
| |||||||||||||
21,728 | Barclays PLC |
388,931 | ||||||||||||
11,252 | BNP Paribas SA, (2) |
437,365 | ||||||||||||
23,013 | Fifth Third Bancorp. |
483,733 | ||||||||||||
74,441 | Lloyds TSB Group PLC, (2), (3) |
407,937 | ||||||||||||
41,855 | Regions Financial Corporation |
425,665 | ||||||||||||
Total Commercial Banks |
2,143,631 | |||||||||||||
Commercial Services & Supplies – 1.5% |
| |||||||||||||
23,842 | Pitney Bowes Inc. |
600,342 | ||||||||||||
Computers & Peripherals – 6.7% |
| |||||||||||||
3,152 | Apple, Inc. |
1,577,891 | ||||||||||||
19,098 | Hewlett-Packard Company |
553,842 | ||||||||||||
6,673 | Western Digital Corporation |
575,012 | ||||||||||||
Total Computers & Peripherals |
2,706,745 | |||||||||||||
Construction & Engineering – 1.1% |
| |||||||||||||
6,066 | Fluor Corporation |
460,773 |
Nuveen Investments | 111 |
Nuveen Large Cap Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Diversified Financial Services – 4.9% |
||||||||||||||
57,031 | Bank of America Corporation |
$ | 955,269 | |||||||||||
18,603 | JPMorgan Chase & Co. |
1,029,862 | ||||||||||||
Total Diversified Financial Services |
1,985,131 | |||||||||||||
Diversified Telecommunication Services – 1.1% |
| |||||||||||||
9,356 | Verizon Communications Inc. |
449,275 | ||||||||||||
Electrical Equipment – 3.6% |
| |||||||||||||
5,889 | Eaton Corporation PLC |
430,427 | ||||||||||||
8,017 | Emerson Electric Company |
528,641 | ||||||||||||
4,505 | Rockwell Automation, Inc., (2) |
517,354 | ||||||||||||
Total Electrical Equipment |
1,476,422 | |||||||||||||
Energy Equipment & Services – 1.2% |
| |||||||||||||
5,692 | Schlumberger Limited |
498,448 | ||||||||||||
Food & Staples Retailing – 1.8% |
| |||||||||||||
10,771 | CVS Caremark Corporation |
729,412 | ||||||||||||
Health Care Equipment & Supplies – 3.4% |
| |||||||||||||
29,370 | Boston Scientific Corporation, (3) |
397,376 | ||||||||||||
7,607 | Saint Jude Medical Inc. |
461,973 | ||||||||||||
6,653 | Stryker Corporation |
516,273 | ||||||||||||
Total Health Care Equipment & Supplies |
1,375,622 | |||||||||||||
Health Care Providers & Services – 2.9% |
| |||||||||||||
5,257 | CIGNA Corporation |
453,732 | ||||||||||||
4,100 | McKesson HBOC Inc. |
715,081 | ||||||||||||
Total Health Care Providers & Services |
1,168,813 | |||||||||||||
Hotels, Restaurants & Leisure – 1.1% |
| |||||||||||||
9,202 | Marriott International, Inc., Class A, (2) |
453,659 | ||||||||||||
Household Durables – 2.8% |
| |||||||||||||
8,562 | Jarden Corporation, (3) |
517,573 | ||||||||||||
4,312 | Mohawk Industries Inc., (3) |
613,080 | ||||||||||||
Total Household Durables |
1,130,653 | |||||||||||||
Industrial Conglomerates – 2.6% |
| |||||||||||||
5,546 | Carlisle Companies Inc. |
413,343 | ||||||||||||
8,733 | Danaher Corporation |
649,648 | ||||||||||||
Total Industrial Conglomerates |
1,062,991 | |||||||||||||
Insurance – 2.9% |
| |||||||||||||
11,875 | Lincoln National Corporation |
570,356 | ||||||||||||
7,407 | Prudential Financial, Inc. |
625,077 | ||||||||||||
Total Insurance |
1,195,433 |
112 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Internet & Catalog Retail – 1.2% |
||||||||||||||
436 | priceline.com Incorporated, (2), (3) |
$ | 499,172 | |||||||||||
Internet Software & Services – 3.7% |
| |||||||||||||
1,254 | Google Inc., Class A, (3) |
1,480,936 | ||||||||||||
IT Services – 1.9% |
| |||||||||||||
10,000 | MasterCard, Inc., Class A |
756,800 | ||||||||||||
Leisure Equipment & Products – 2.3% |
| |||||||||||||
9,709 | Brunswick Corporation |
402,535 | ||||||||||||
4,342 | Polaris Industries Inc., (2) |
543,618 | ||||||||||||
Total Leisure Equipment & Products |
946,153 | |||||||||||||
Life Sciences Tools & Services – 0.9% |
| |||||||||||||
6,406 | Agilent Technologies, Inc. |
372,509 | ||||||||||||
Machinery – 1.4% |
| |||||||||||||
7,293 | Illinois Tool Works, Inc. |
575,199 | ||||||||||||
Media – 4.9% |
||||||||||||||
16,400 | Comcast Corporation, Class A |
892,980 | ||||||||||||
3,023 | Liberty Media Corporation, (3) |
397,797 | ||||||||||||
5,113 | Time Warner Cable, Class A |
681,410 | ||||||||||||
Total Media |
1,972,187 | |||||||||||||
Multiline Retail – 2.4% |
| |||||||||||||
8,035 | Kohl’s Corporation, (2) |
406,812 | ||||||||||||
10,253 | Macy’s, Inc. |
545,460 | ||||||||||||
Total Multiline Retail |
952,272 | |||||||||||||
Multi-Utilities – 1.1% |
| |||||||||||||
4,953 | Sempra Energy |
459,193 | ||||||||||||
Oil, Gas & Consumable Fuels – 6.5% |
| |||||||||||||
6,541 | Anadarko Petroleum Corporation |
527,793 | ||||||||||||
8,458 | Cabot Oil & Gas Corporation, (2) |
338,151 | ||||||||||||
2,960 | Exxon Mobil Corporation |
272,794 | ||||||||||||
6,815 | Occidental Petroleum Corporation |
596,790 | ||||||||||||
2,556 | Pioneer Natural Resources Company |
432,782 | ||||||||||||
9,479 | Valero Energy Corporation |
484,377 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
2,652,687 | |||||||||||||
Paper & Forest Products – 1.1% |
| |||||||||||||
9,217 | International Paper Company |
440,020 | ||||||||||||
Pharmaceuticals – 2.8% |
| |||||||||||||
37,956 | Pfizer Inc. |
1,153,862 |
Nuveen Investments | 113 |
Nuveen Large Cap Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Professional Services – 0.9% |
||||||||||||||
4,427 | Manpower Inc. |
$ | 344,863 | |||||||||||
Software – 6.2% |
| |||||||||||||
10,499 | Adobe Systems Incorporated, (3) |
621,436 | ||||||||||||
10,146 | Autodesk, Inc., (3) |
519,983 | ||||||||||||
36,811 | Microsoft Corporation |
1,393,296 | ||||||||||||
Total Software |
2,534,715 | |||||||||||||
Specialty Retail – 4.5% |
| |||||||||||||
12,970 | Best Buy Co., Inc., (2) |
305,314 | ||||||||||||
9,592 | Foot Locker, Inc. |
370,251 | ||||||||||||
15,190 | Lowe’s Companies, Inc. |
703,145 | ||||||||||||
34,073 | Staples, Inc., (2) |
448,401 | ||||||||||||
Total Specialty Retail |
1,827,111 | |||||||||||||
Textiles, Apparel & Luxury Goods – 1.0% |
| |||||||||||||
5,419 | Deckers Outdoor Corporation, (3) |
422,410 | ||||||||||||
Total Common Stocks (cost $33,663,045) |
39,989,023 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 10.8% |
| |||||||||||||
Money Market Funds – 10.8% |
| |||||||||||||
4,384,900 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (4), (5) |
$ | 4,384,900 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $4,384,900) |
4,384,900 | |||||||||||||
Total Long-Term Investments (cost $38,047,945) |
44,373,923 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
SHORT-TERM INVESTMENTS – 1.1% |
| |||||||||||||
Money Market Funds – 1.1% |
| |||||||||||||
449,196 | First American Treasury Obligations Fund, Class Z, 0.000%, (4) |
$ | 449,196 | |||||||||||
Total Short-Term Investments (cost $449,196) |
449,196 | |||||||||||||
Total Investments (cost $38,497,141) – 110.2% |
44,823,119 | |||||||||||||
Other Assets Less Liabilities – (10.2)% |
(4,147,910 | ) | ||||||||||||
Net Assets – 100% |
$ | 40,675,209 |
114 | Nuveen Investments |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 39,989,023 | $ | — | $ | — | $ | 39,989,023 | ||||||||
Investments Purchased with Collateral from Securities Lending |
4,384,900 | — | — | 4,384,900 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
449,196 | — | — | 449,196 | ||||||||||||
Total | $ | 44,823,119 | $ | — | $ | — | $ | 44,823,119 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset values of the Fund.
As of January 31, 2014, the cost of investments was $38,593,210.
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 6,645,302 | ||
Depreciation |
(415,393 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 6,229,909 |
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. |
(2) | Investment, or a portion of investment, is out on loan for securities lending. The total value of securities out on loan as of the end of the reporting period was $4,209,007. |
(3) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
Nuveen Investments | 115 |
Nuveen Small Cap Select Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 112.9% |
||||||||||||||
COMMON STOCKS – 97.6% |
||||||||||||||
Aerospace & Defense – 1.4% |
||||||||||||||
239,039 | Orbital Sciences Corporation, (2) |
$ | 5,844,504 | |||||||||||
Automobiles – 1.0% |
||||||||||||||
84,260 | Thor Industries, Inc. |
4,328,436 | ||||||||||||
Biotechnology – 3.8% |
||||||||||||||
37,815 | Acadia Pharmaceuticals, Inc., (2), (3) |
881,090 | ||||||||||||
12,536 | Aegerion Pharmaceuticals Inc., (2) |
751,909 | ||||||||||||
20,232 | Alnylam Pharmaceuticals, Inc., (2) |
1,692,609 | ||||||||||||
50,043 | Celldex Therapeutics, Inc., (2) |
1,290,109 | ||||||||||||
57,864 | Cepheid, Inc., (2), (3) |
3,058,691 | ||||||||||||
42,696 | Cubist Pharmaceuticals Inc., (2) |
3,120,651 | ||||||||||||
2,640 | Intercept Pharmaceuticals Inc., (2) |
794,323 | ||||||||||||
26,021 | Intermune, Inc., (2) |
347,380 | ||||||||||||
40,199 | ISIS Pharmaceuticals, Inc., (2), (3) |
2,052,561 | ||||||||||||
32,375 | NPS Pharmaceuticals, Inc., (2) |
1,158,378 | ||||||||||||
8,705 | Puma Biotechnology Inc , (2) |
1,029,018 | ||||||||||||
Total Biotechnology |
16,176,719 | |||||||||||||
Capital Markets – 4.1% |
||||||||||||||
113,004 | Evercore Partners Inc., Class A, (3) |
6,310,143 | ||||||||||||
518,857 | Pennantpark Investment Corporation |
5,873,461 | ||||||||||||
78,280 | Waddell & Reed Financial, Inc., Class A, (3) |
5,074,110 | ||||||||||||
Total Capital Markets |
17,257,714 | |||||||||||||
Chemicals – 1.0% |
||||||||||||||
163,009 | Chemtura Corporation, (2) |
4,088,266 | ||||||||||||
Commercial Banks – 7.2% |
||||||||||||||
110,568 | Banner Corporation |
4,072,219 | ||||||||||||
358,897 | Cardinal Financial Corporation, (3) |
6,119,194 | ||||||||||||
237,108 | East West Bancorp Inc. |
7,933,634 | ||||||||||||
239,189 | Glacier Bancorp, Inc., (3) |
6,321,765 | ||||||||||||
100,038 | Texas Capital BancShares, Inc., (2), (3) |
5,949,260 | ||||||||||||
Total Commercial Banks |
30,396,072 | |||||||||||||
Communications Equipment – 2.6% |
||||||||||||||
370,866 | JDS Uniphase Corporation, (2) |
4,928,809 | ||||||||||||
138,918 | Plantronics Inc. |
5,963,750 | ||||||||||||
Total Communications Equipment |
10,892,559 |
116 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Construction & Engineering – 3.3% |
||||||||||||||
167,286 | MasTec Inc., (2), (3) |
$ | 6,012,259 | |||||||||||
102,194 | Primoris Services Corporation |
3,246,703 | ||||||||||||
217,183 | Tutor Perini Corporation, (2) |
4,908,336 | ||||||||||||
Total Construction & Engineering |
14,167,298 | |||||||||||||
Distributors – 1.8% |
||||||||||||||
44,190 | Core-Mark Holding Company, Inc. |
3,342,974 | ||||||||||||
78,718 | Pool Corporation |
4,264,941 | ||||||||||||
Total Distributors |
7,607,915 | |||||||||||||
Diversified Consumer Services – 1.2% |
||||||||||||||
84,175 | Capella Education Company |
5,251,678 | ||||||||||||
Electric Utilities – 1.1% |
||||||||||||||
122,041 | UIL Holdings Corporation |
4,719,325 | ||||||||||||
Electrical Equipment – 1.5% |
||||||||||||||
83,322 | Regal-Beloit Corporation |
6,173,327 | ||||||||||||
Electronic Equipment & Instruments – 1.3% |
||||||||||||||
313,498 | Newport Corporation, (2) |
5,686,854 | ||||||||||||
Energy Equipment & Services – 1.9% |
||||||||||||||
83,574 | Atwood Oceanics Inc., (2) |
3,961,408 | ||||||||||||
548,307 | Parker Drilling Company, (2) |
4,079,404 | ||||||||||||
Total Energy Equipment & Services |
8,040,812 | |||||||||||||
Food Products – 3.2% |
||||||||||||||
646,063 | SunOpta, Inc., (2), (3) |
6,040,689 | ||||||||||||
112,155 | Treehouse Foods Inc., (2) |
7,384,285 | ||||||||||||
Total Food Products |
13,424,974 | |||||||||||||
Gas Utilities – 1.0% |
||||||||||||||
90,968 | Atmos Energy Corporation, (3) |
4,367,374 | ||||||||||||
Health Care Equipment & Supplies – 5.6% |
||||||||||||||
75,487 | Align Technology, Inc., (2) |
4,485,438 | ||||||||||||
115,449 | Integra Lifesciences Holdings Corporation, (2), (3) |
5,363,761 | ||||||||||||
363,829 | Merit Medical Systems, Inc., (2) |
5,228,223 | ||||||||||||
201,074 | Nxstage Medical, Inc., (2) |
2,603,908 | ||||||||||||
167,217 | Thoratec Corporation, (2) |
5,842,562 | ||||||||||||
Total Health Care Equipment & Supplies |
23,523,892 | |||||||||||||
Health Care Providers & Services – 2.4% |
||||||||||||||
185,247 | HealthSouth Corporation |
5,764,887 | ||||||||||||
80,562 | Mednax Inc., (2), (3) |
4,482,470 | ||||||||||||
Total Health Care Providers & Services |
10,247,357 |
Nuveen Investments | 117 |
Nuveen Small Cap Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Hotels, Restaurants & Leisure – 2.4% |
||||||||||||||
137,141 | Life Time Fitness Inc., (2), (3) |
$ | 5,644,724 | |||||||||||
186,281 | Texas Roadhouse, Inc. |
4,517,314 | ||||||||||||
Total Hotels, Restaurants & Leisure |
10,162,038 | |||||||||||||
Household Durables – 2.7% |
||||||||||||||
153,245 | Meritage Corporation, (2) |
7,443,110 | ||||||||||||
225,331 | Tri Pointe Homes, Incorporated, (2), (3) |
3,974,839 | ||||||||||||
Total Household Durables |
11,417,949 | |||||||||||||
Insurance – 3.3% |
||||||||||||||
231,240 | American Equity Investment Life Holding Company, (3) |
5,075,718 | ||||||||||||
300,814 | CNO Financial Group Inc. |
5,095,789 | ||||||||||||
358,753 | Maiden Holdings, Ltd |
3,939,108 | ||||||||||||
Total Insurance |
14,110,615 | |||||||||||||
Internet Software & Services – 4.0% |
||||||||||||||
150,822 | Constant Contact Inc., (2) |
4,073,702 | ||||||||||||
18,730 | CoStar Group, Inc., (2) |
3,222,309 | ||||||||||||
105,457 | Perficient, Inc., (2) |
2,165,032 | ||||||||||||
154,759 | Web.com, Inc., (2) |
5,230,854 | ||||||||||||
24,873 | Zillow Inc, (2), (3) |
2,042,073 | ||||||||||||
Total Internet Software & Services |
16,733,970 | |||||||||||||
IT Services – 2.1% |
||||||||||||||
160,726 | Euronet Worldwide, Inc., (2) |
6,888,716 | ||||||||||||
101,099 | Sykes Enterprises Inc., (2) |
2,119,035 | ||||||||||||
Total IT Services |
9,007,751 | |||||||||||||
Leisure Equipment & Products – 1.3% |
||||||||||||||
129,628 | Brunswick Corporation |
5,374,377 | ||||||||||||
Machinery – 3.7% |
||||||||||||||
145,079 | Actuant Corporation, Class A |
4,964,603 | ||||||||||||
199,337 | Altra Industrial Motion, Inc., (3) |
6,251,208 | ||||||||||||
170,988 | Harsco Corporation |
4,341,385 | ||||||||||||
Total Machinery |
15,557,196 | |||||||||||||
Metals & Mining – 0.7% |
||||||||||||||
107,144 | US Silica Holdings Inc. |
3,173,605 | ||||||||||||
Oil, Gas & Consumable Fuels – 2.7% |
||||||||||||||
134,195 | Delek US Holdings Inc. |
4,066,109 | ||||||||||||
84,387 | Energy XXI Ltd., (3) |
1,936,682 | ||||||||||||
128,344 | Rosetta Resources, Inc., (2) |
5,468,738 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
11,471,529 |
118 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Paper & Forest Products – 2.2% |
||||||||||||||
54,837 | Domtar Corporation |
$ | 5,890,042 | |||||||||||
189,625 | Louisiana-Pacific Corporation, (2) |
3,324,126 | ||||||||||||
Total Paper & Forest Products |
9,214,168 | |||||||||||||
Pharmaceuticals – 1.0% |
||||||||||||||
41,670 | Salix Pharmaceuticals Limited, (2), (3) |
4,056,158 | ||||||||||||
Professional Services – 1.9% |
||||||||||||||
335,734 | CBIZ Inc., (2), (3) |
2,887,312 | ||||||||||||
209,992 | TrueBlue Inc., (2) |
5,151,104 | ||||||||||||
Total Professional Services |
8,038,416 | |||||||||||||
Real Estate Investment Trust – 6.3% |
||||||||||||||
177,708 | Chesapeake Lodging Trust |
4,327,190 | ||||||||||||
290,115 | CubeSmart |
4,781,095 | ||||||||||||
63,271 | EastGroup Properties Inc., (3) |
3,754,501 | ||||||||||||
163,887 | LaSalle Hotel Properties |
5,041,164 | ||||||||||||
628,445 | MFA Mortgage Investments, Inc. |
4,581,364 | ||||||||||||
53,996 | PS Business Parks Inc. |
4,242,466 | ||||||||||||
Total Real Estate Investment Trust |
26,727,780 | |||||||||||||
Road & Rail – 1.3% |
||||||||||||||
256,703 | Swift Transportation Company, (2), (3) |
5,596,125 | ||||||||||||
Semiconductors & Equipment – 2.5% |
||||||||||||||
575,067 | Integrated Device Technology, Inc., (2) |
5,549,397 | ||||||||||||
172,061 | MKS Instruments Inc. |
5,184,198 | ||||||||||||
Total Semiconductors & Equipment |
10,733,595 | |||||||||||||
Software – 5.6% |
||||||||||||||
75,796 | Aspen Technology Inc., (2) |
3,454,024 | ||||||||||||
74,954 | Fleetmatics Group Limited, (2), (3) |
2,998,910 | ||||||||||||
123,111 | Infoblox, Incorporated, (2) |
4,318,734 | ||||||||||||
128,895 | Parametric Technology Corporation, (2) |
4,598,974 | ||||||||||||
182,130 | Synchronoss Technologies, Inc., (2), (3) |
4,855,586 | ||||||||||||
20,927 | Ultimate Software Group, Inc., (2) |
3,415,914 | ||||||||||||
Total Software |
23,642,142 | |||||||||||||
Specialty Retail – 4.1% |
||||||||||||||
144,642 | Ann Inc., (2) |
4,677,722 | ||||||||||||
286,132 | Ascena Retail Group Inc., (2) |
5,367,835 | ||||||||||||
61,928 | Genesco Inc., (2) |
4,348,584 | ||||||||||||
160,057 | Kirkland’s, Inc., (2) |
3,013,873 | ||||||||||||
Total Specialty Retail |
17,408,014 |
Nuveen Investments | 119 |
Nuveen Small Cap Select Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Textiles, Apparel & Luxury Goods – 1.4% |
||||||||||||||
85,903 | G III Apparel Group, Limited, (2) |
$ | 6,010,633 | |||||||||||
Thrifts & Mortgage Finance – 1.8% |
||||||||||||||
419,677 | Everbank Financial Corporation |
7,474,447 | ||||||||||||
Trading Companies & Distributors – 1.2% |
||||||||||||||
179,021 | MRC Global Inc., (2) |
4,998,266 | ||||||||||||
Total Common Stocks (cost $322,263,456) |
413,103,850 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 15.3% |
||||||||||||||
Money Market Funds – 15.3% |
||||||||||||||
64,852,359 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (4), (5) |
$ | 64,852,359 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $64,852,359) |
64,852,359 | |||||||||||||
Total Long-Term Investments (cost $387,115,815) |
477,956,209 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
SHORT-TERM INVESTMENTS – 1.5% |
||||||||||||||
Money Market Funds – 1.5% |
||||||||||||||
6,385,064 | First American Treasury Obligations Fund, Class Z, 0.000%, (4) |
$ | 6,385,064 | |||||||||||
Total Short-Term Investments (cost $6,385,064) |
6,385,064 | |||||||||||||
Total Investments (cost $393,500,879) – 114.4% |
484,341,273 | |||||||||||||
Other Assets Less Liabilities – (14.4)% |
(60,871,185 | ) | ||||||||||||
Net Assets – 100% |
$ | 423,470,088 |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
120 | Nuveen Investments |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 413,103,850 | $ | — | $ | — | $ | 413,103,850 | ||||||||
Investments Purchased with Collateral from Securities Lending |
64,852,359 | — | — | 64,852,359 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
6,385,064 | — | — | 6,385,064 | ||||||||||||
Total | $ | 484,341,273 | $ | — | $ | — | $ | 484,341,273 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset values of the Fund.
As of January 31, 2014, the cost of investments was $396,156,998.
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 95,767,879 | ||
Depreciation |
(7,583,604 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 88,184,275 |
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. |
(2) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(3) | Investment, or a portion of investment, is out on loan for securities lending. The total value of securities out on loan as of the end of the reporting period was $62,830,235. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
Nuveen Investments | 121 |
Nuveen Dividend Value Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 110.6% |
||||||||||||||
COMMON STOCKS – 99.0% |
||||||||||||||
Aerospace & Defense – 2.0% |
||||||||||||||
136,283 | General Dynamics Corporation |
$ | 13,806,831 | |||||||||||
165,214 | United Technologies Corporation |
18,837,700 | ||||||||||||
Total Aerospace & Defense |
32,644,531 | |||||||||||||
Capital Markets – 2.5% |
||||||||||||||
654,680 | Morgan Stanley |
19,319,607 | ||||||||||||
315,924 | State Street Corporation |
21,151,112 | ||||||||||||
Total Capital Markets |
40,470,719 | |||||||||||||
Chemicals – 4.4% |
||||||||||||||
438,082 | Dow Chemical Company |
19,937,112 | ||||||||||||
225,550 | LyondellBasell Industries NV |
17,764,318 | ||||||||||||
109,955 | PPG Industries, Inc. |
20,051,394 | ||||||||||||
109,772 | Praxair, Inc., (2) |
13,690,764 | ||||||||||||
Total Chemicals |
71,443,588 | |||||||||||||
Commercial Banks – 6.4% |
||||||||||||||
280,527 | BankUnited Inc. |
8,724,390 | ||||||||||||
211,790 | Comerica Incorporated |
9,699,982 | ||||||||||||
213,209 | Community Bank System Inc., (2) |
7,590,240 | ||||||||||||
915,039 | Fifth Third Bancorp. |
19,234,120 | ||||||||||||
148,523 | M&T Bank Corporation, (2) |
16,561,800 | ||||||||||||
132,166 | PNC Financial Services Group, Inc. |
10,557,420 | ||||||||||||
1,235,904 | Regions Financial Corporation |
12,569,144 | ||||||||||||
524,429 | SunTrust Banks, Inc. |
19,414,362 | ||||||||||||
Total Commercial Banks |
104,351,458 | |||||||||||||
Communications Equipment – 1.0% |
||||||||||||||
1,375,539 | Ericsson LM Telefonaktiebolaget |
16,905,374 | ||||||||||||
Computers & Peripherals – 2.9% |
||||||||||||||
44,011 | Apple, Inc. |
22,031,907 | ||||||||||||
851,906 | Hewlett-Packard Company |
24,705,274 | ||||||||||||
Total Computers & Peripherals |
46,737,181 | |||||||||||||
Consumer Finance – 2.0% |
||||||||||||||
232,835 | Capital One Financial Corporation |
16,440,479 | ||||||||||||
692,130 | SLM Corporation |
15,752,879 | ||||||||||||
Total Consumer Finance |
32,193,358 |
122 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Diversified Financial Services – 7.0% |
||||||||||||||
2,886,720 | Bank of America Corporation |
$ | 48,352,559 | |||||||||||
833,802 | Citigroup Inc. |
39,547,229 | ||||||||||||
465,719 | JP Morgan Chase & Co. |
25,782,204 | ||||||||||||
Total Diversified Financial Services |
113,681,992 | |||||||||||||
Diversified Telecommunication Services – 2.0% |
||||||||||||||
445,401 | CenturyLink Inc., (2) |
12,854,273 | ||||||||||||
229,563 | Verizon Communications Inc., (2) |
11,023,615 | ||||||||||||
1,175,118 | Windstream Holdings Inc., (2) |
8,789,883 | ||||||||||||
Total Diversified Telecommunication Services |
32,667,771 | |||||||||||||
Electric Utilities – 2.8% |
||||||||||||||
274,017 | Exelon Corporation, (2) |
7,946,493 | ||||||||||||
186,463 | Pinnacle West Capital Corporation |
9,813,548 | ||||||||||||
453,430 | PPL Corporation |
13,861,355 | ||||||||||||
442,973 | Westar Energy Inc., (2) |
14,693,414 | ||||||||||||
Total Electric Utilities |
46,314,810 | |||||||||||||
Electrical Equipment – 4.3% |
||||||||||||||
346,578 | Eaton PLC |
25,331,386 | ||||||||||||
222,434 | Emerson Electric Company |
14,667,298 | ||||||||||||
272,655 | Regal-Beloit Corporation |
20,201,009 | ||||||||||||
83,008 | Rockwell Automation, Inc., (2) |
9,532,639 | ||||||||||||
Total Electrical Equipment |
69,732,332 | |||||||||||||
Energy Equipment & Services – 0.5% |
||||||||||||||
119,477 | Oceaneering International Inc. |
8,142,358 | ||||||||||||
Food & Staples Retailing – 1.3% |
||||||||||||||
364,293 | Walgreen Co. |
20,892,204 | ||||||||||||
Food Products – 1.6% |
||||||||||||||
394,477 | ConAgra Foods, Inc. |
12,540,424 | ||||||||||||
366,116 | Unilever PLC, ADR |
13,670,771 | ||||||||||||
Total Food Products |
26,211,195 | |||||||||||||
Health Care Equipment & Supplies – 1.7% |
||||||||||||||
280,540 | Covidien PLC |
19,144,050 | ||||||||||||
107,988 | Stryker Corporation |
8,379,869 | ||||||||||||
Total Health Care Equipment & Supplies |
27,523,919 | |||||||||||||
Health Care Providers & Services – 1.4% |
||||||||||||||
308,942 | UnitedHealth Group Incorporated, (2) |
22,330,328 | ||||||||||||
Hotels, Restaurants & Leisure – 1.0% |
||||||||||||||
416,898 | Carnival Corporation, ADR, (2) |
16,338,233 |
Nuveen Investments | 123 |
Nuveen Dividend Value Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Household Durables – 0.8% |
||||||||||||||
104,428 | Whirlpool Corporation |
$ | 13,920,252 | |||||||||||
Household Products – 2.6% |
||||||||||||||
565,795 | Procter & Gamble Company |
43,351,212 | ||||||||||||
Industrial Conglomerates – 3.9% |
||||||||||||||
2,506,264 | General Electric Company |
62,982,413 | ||||||||||||
Insurance – 4.3% |
||||||||||||||
485,795 | Hartford Financial Services Group, Inc. |
16,152,684 | ||||||||||||
268,955 | Lincoln National Corporation |
12,917,909 | ||||||||||||
293,030 | Prudential Financial, Inc. |
24,728,802 | ||||||||||||
522,138 | Unum Group |
16,812,844 | ||||||||||||
Total Insurance |
70,612,239 | |||||||||||||
Leisure Equipment & Products – 2.6% |
||||||||||||||
382,726 | Hasbro, Inc. |
18,799,501 | ||||||||||||
194,959 | Polaris Industries Inc., (2) |
24,408,867 | ||||||||||||
Total Leisure Equipment & Products |
43,208,368 | |||||||||||||
Machinery – 1.9% |
||||||||||||||
194,534 | Dover Corporation, (2) |
16,838,863 | ||||||||||||
446,690 | Xylem Inc. |
14,901,578 | ||||||||||||
Total Machinery |
31,740,441 | |||||||||||||
Media – 0.7% |
||||||||||||||
416,388 | Cinemark Holdings Inc. |
12,204,332 | ||||||||||||
Multiline Retail – 0.6% |
||||||||||||||
186,370 | Kohl’s Corporation, (2) |
9,435,913 | ||||||||||||
Multi-Utilities – 0.9% |
||||||||||||||
539,974 | CMS Energy Corporation |
15,005,877 | ||||||||||||
Oil, Gas & Consumable Fuels – 11.8% |
||||||||||||||
280,856 | Anadarko Petroleum Corporation |
22,662,271 | ||||||||||||
372,565 | Chevron Corporation |
41,589,430 | ||||||||||||
158,921 | ConocoPhillips |
10,321,919 | ||||||||||||
395,820 | Enbridge Energy Partners LP |
11,629,192 | ||||||||||||
236,168 | Exxon Mobil Corporation |
21,765,243 | ||||||||||||
242,585 | Golar LNG, Limited, (2) |
8,614,193 | ||||||||||||
370,275 | Linn Energy LLC, (2) |
12,152,426 | ||||||||||||
250,636 | Marathon Oil Corporation |
8,218,354 | ||||||||||||
326,056 | Occidental Petroleum Corporation |
28,552,724 | ||||||||||||
516,670 | Spectra Energy Corporation, (2) |
18,574,287 | ||||||||||||
165,096 | Williams Partners LP |
8,271,310 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
192,351,349 |
124 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Pharmaceuticals – 9.5% |
||||||||||||||
251,242 | AstraZeneca PLC, Sponsored ADR |
$ | 15,953,867 | |||||||||||
402,897 | GlaxoSmithKline PLC, (2) |
20,765,311 | ||||||||||||
280,277 | Johnson & Johnson |
24,796,106 | ||||||||||||
707,542 | Merck & Company Inc. |
37,478,500 | ||||||||||||
1,857,781 | Pfizer Inc. |
56,476,541 | ||||||||||||
Total Pharmaceuticals |
155,470,325 | |||||||||||||
Real Estate Investment Trust – 3.7% |
||||||||||||||
175,449 | Liberty Property Trust |
6,386,344 | ||||||||||||
1,515,625 | MFA Mortgage Investments, Inc. |
11,048,906 | ||||||||||||
110,235 | Mid-America Apartment Communities |
7,114,567 | ||||||||||||
222,112 | National Retail Properties, Inc. |
7,374,118 | ||||||||||||
503,286 | Redwood Trust Inc., (2) |
9,411,448 | ||||||||||||
635,555 | Starwood Property Trust Inc. |
19,193,761 | ||||||||||||
Total Real Estate Investment Trust |
60,529,144 | |||||||||||||
Semiconductors & Equipment – 2.5% |
||||||||||||||
889,965 | Intel Corporation |
21,839,741 | ||||||||||||
340,347 | Maxim Integrated Products, Inc. |
10,298,900 | ||||||||||||
200,797 | Texas Instruments Incorporated |
8,513,793 | ||||||||||||
Total Semiconductors & Equipment |
40,652,434 | |||||||||||||
Software – 3.0% |
||||||||||||||
555,038 | CA Inc. |
17,805,619 | ||||||||||||
448,237 | Microsoft Corporation |
16,965,770 | ||||||||||||
637,299 | Symantec Corporation |
13,644,572 | ||||||||||||
Total Software |
48,415,961 | |||||||||||||
Specialty Retail – 2.8% |
||||||||||||||
693,376 | Best Buy Co., Inc. |
16,322,071 | ||||||||||||
290,735 | Lowe’s Companies, Inc. |
13,458,123 | ||||||||||||
1,243,015 | Staples, Inc., (2) |
16,358,077 | ||||||||||||
Total Specialty Retail |
46,138,271 | |||||||||||||
Tobacco – 1.6% |
||||||||||||||
396,399 | Altria Group, Inc. |
13,961,173 | ||||||||||||
153,318 | Philip Morris International |
11,980,269 | ||||||||||||
Total Tobacco |
25,941,442 | |||||||||||||
Wireless Telecommunication Services – 1.0% |
||||||||||||||
434,725 | Vodafone Group PLC, Sponsored ADR |
16,110,909 | ||||||||||||
Total Common Stocks (cost $1,184,634,865) |
1,616,652,233 |
Nuveen Investments | 125 |
Nuveen Dividend Value Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 11.6% |
||||||||||||||
Money Market Funds – 11.6% |
||||||||||||||
189,595,817 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (3), (4) |
$ | 189,595,817 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $189,595,817) |
189,595,817 | |||||||||||||
Total Long-Term Investments (cost $1,374,230,682) |
1,806,248,050 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
SHORT-TERM INVESTMENTS – 1.2% |
||||||||||||||
Money Market Funds – 1.2% |
||||||||||||||
19,507,535 | First American Treasury Obligations Fund, Class Z, 0.000%, (3) |
$ | 19,507,535 | |||||||||||
Total Short-Term Investments (cost $19,507,535) |
19,507,535 | |||||||||||||
Total Investments (cost $1,393,738,217) – 111.8% |
1,825,755,585 | |||||||||||||
Other Assets Less Liabilities – (11.8)% |
(192,878,604 | ) | ||||||||||||
Net Assets – 100% |
$ | 1,632,876,981 |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 1,616,652,233 | $ | — | $ | — | $ | 1,616,652,233 | ||||||||
Investments Purchased with Collateral from Securities Lending |
189,595,817 | — | — | 189,595,817 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
19,507,535 | — | — | 19,507,535 | ||||||||||||
Total | $ | 1,825,755,585 | $ | — | $ | — | $ | 1,825,755,585 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments was $1,396,735,492.
126 | Nuveen Investments |
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 444,056,801 | ||
Depreciation |
(15,036,708 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 429,020,093 |
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. |
(2) | Investment, or a portion of investment, is out on loan for securities lending. The total value of securities out on loan as of the end of the reporting period was $182,678,764. |
(3) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(4) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
ADR | American Depositary Receipt. |
Nuveen Investments | 127 |
Nuveen Mid Cap Value Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 120.5% |
||||||||||||||
COMMON STOCKS – 99.2% |
||||||||||||||
Airlines – 2.9% |
||||||||||||||
81,255 | Delta Air Lines, Inc. |
$ | 2,487,216 | |||||||||||
80,114 | Southwest Airlines Co. |
1,678,388 | ||||||||||||
Total Airlines |
4,165,604 | |||||||||||||
Auto Components – 0.9% |
||||||||||||||
65,474 | Dana Holding Corporation, (2) |
1,238,768 | ||||||||||||
Building Products – 1.0% |
||||||||||||||
64,658 | Masco Corporation |
1,368,163 | ||||||||||||
Capital Markets – 3.7% |
||||||||||||||
85,930 | Invesco LTD |
2,857,173 | ||||||||||||
47,273 | Raymond James Financial Inc. |
2,406,668 | ||||||||||||
Total Capital Markets |
5,263,841 | |||||||||||||
Commercial Banks – 7.1% |
||||||||||||||
64,604 | East West Bancorp Inc. |
2,161,650 | ||||||||||||
113,369 | Fifth Third Bancorp. |
2,383,016 | ||||||||||||
185,360 | Regions Financial Corporation |
1,885,111 | ||||||||||||
41,010 | Wintrust Financial Corporation, (2) |
1,797,468 | ||||||||||||
66,513 | Zions Bancorporation, (2) |
1,912,249 | ||||||||||||
Total Commercial Banks |
10,139,494 | |||||||||||||
Commercial Services & Supplies – 1.0% |
||||||||||||||
57,032 | Pitney Bowes Inc. |
1,436,066 | ||||||||||||
Computers & Peripherals – 2.6% |
||||||||||||||
27,486 | SanDisk Corporation, (2) |
1,911,651 | ||||||||||||
20,714 | Western Digital Corporation |
1,784,925 | ||||||||||||
Total Computers & Peripherals |
3,696,576 | |||||||||||||
Consumer Finance – 1.4% |
||||||||||||||
86,484 | SLM Corporation |
1,968,376 | ||||||||||||
Electric Utilities – 1.0% |
||||||||||||||
33,128 | Northeast Utilities |
1,451,006 | ||||||||||||
Electrical Equipment – 2.2% |
||||||||||||||
22,414 | Regal-Beloit Corporation |
1,660,653 | ||||||||||||
12,497 | Rockwell Automation, Inc., (2) |
1,435,155 | ||||||||||||
Total Electrical Equipment |
3,095,808 |
128 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Energy Equipment & Services – 1.3% |
||||||||||||||
24,847 | FMC Technologies Inc., (2), (3) |
$ | 1,228,436 | |||||||||||
10,347 | Oceaneering International Inc. |
705,148 | ||||||||||||
Total Energy Equipment & Services |
1,933,584 | |||||||||||||
Food Products – 1.1% |
||||||||||||||
19,302 | Green Mountain Coffee Inc., (2) |
1,563,462 | ||||||||||||
Health Care Equipment & Supplies – 2.6% |
||||||||||||||
131,487 | Boston Scientific Corporation, (3) |
1,779,019 | ||||||||||||
31,178 | Saint Jude Medical Inc. |
1,893,440 | ||||||||||||
Total Health Care Equipment & Supplies |
3,672,459 | |||||||||||||
Health Care Providers & Services – 4.3% |
||||||||||||||
26,334 | Cardinal Health, Inc. |
1,791,239 | ||||||||||||
18,574 | CIGNA Corporation |
1,603,122 | ||||||||||||
21,841 | HCA Holdings Inc., (3) |
1,097,947 | ||||||||||||
20,700 | Universal Health Services, Inc., Class B |
1,697,814 | ||||||||||||
Total Health Care Providers & Services |
6,190,122 | |||||||||||||
Hotels, Restaurants & Leisure – 5.0% |
||||||||||||||
27,406 | Darden Restaurants, Inc., (2) |
1,354,953 | ||||||||||||
23,516 | Jack in the Box Inc., Term Loan, (3) |
1,189,204 | ||||||||||||
31,772 | Marriott International, Inc., Class A, (2) |
1,566,360 | ||||||||||||
62,460 | Royal Caribbean Cruises Limited |
3,098,016 | ||||||||||||
Total Hotels, Restaurants & Leisure |
7,208,533 | |||||||||||||
Household Durables – 2.7% |
||||||||||||||
29,786 | Jarden Corporation, (3) |
1,800,564 | ||||||||||||
14,851 | Mohawk Industries Inc., (3) |
2,111,515 | ||||||||||||
Total Household Durables |
3,912,079 | |||||||||||||
Independent Power Producers & Energy Traders – 1.3% |
||||||||||||||
68,922 | NRG Energy Inc., (2) |
1,919,478 | ||||||||||||
Industrial Conglomerates – 1.7% |
||||||||||||||
32,325 | Carlisle Companies Inc. |
2,409,182 | ||||||||||||
Insurance – 8.4% |
||||||||||||||
108,337 | CNO Financial Group Inc. |
1,835,229 | ||||||||||||
42,661 | Endurance Specialty Holdings Limited, (2) |
2,235,010 | ||||||||||||
86,771 | Hartford Financial Services Group, Inc. |
2,885,136 | ||||||||||||
43,822 | Lincoln National Corporation |
2,104,771 | ||||||||||||
91,250 | Unum Group |
2,938,250 | ||||||||||||
Total Insurance |
11,998,396 | |||||||||||||
Internet Software & Services – 1.1% |
||||||||||||||
32,892 | AOL Inc., (2), (3) |
1,515,663 |
Nuveen Investments | 129 |
Nuveen Mid Cap Value Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Leisure Equipment & Products – 1.8% |
||||||||||||||
28,581 | Brunswick Corporation |
$ | 1,184,968 | |||||||||||
11,356 | Polaris Industries Inc. |
1,421,771 | ||||||||||||
Total Leisure Equipment & Products |
2,606,739 | |||||||||||||
Life Sciences Tools & Services – 1.4% |
||||||||||||||
35,625 | Agilent Technologies, Inc. |
2,071,594 | ||||||||||||
Machinery – 1.5% |
||||||||||||||
40,082 | Oshkosh Truck Corporation |
2,170,039 | ||||||||||||
Media – 1.2% |
||||||||||||||
13,462 | Liberty Media Corporation, Class A, (3) |
1,771,465 | ||||||||||||
Multiline Retail – 3.1% |
||||||||||||||
50,571 | Kohl’s Corporation, (2) |
2,560,410 | ||||||||||||
34,992 | Macy’s, Inc. |
1,861,574 | ||||||||||||
Total Multiline Retail |
4,421,984 | |||||||||||||
Multi-Utilities – 2.8% |
||||||||||||||
42,053 | NiSource Inc. |
1,445,362 | ||||||||||||
28,445 | Sempra Energy |
2,637,136 | ||||||||||||
Total Multi-Utilities |
4,082,498 | |||||||||||||
Oil, Gas & Consumable Fuels – 5.0% |
||||||||||||||
26,026 | Chesapeake Energy Corporation |
700,360 | ||||||||||||
23,058 | Gulfport Energy Corporation, (3) |
1,405,385 | ||||||||||||
27,081 | Noble Energy, Inc. |
1,687,959 | ||||||||||||
21,776 | Oasis Petroleum Inc., (3) |
910,455 | ||||||||||||
87,907 | Peabody Energy Corporation |
1,498,814 | ||||||||||||
17,556 | Whiting Petroleum Corporation, (3) |
1,024,919 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
7,227,892 | |||||||||||||
Paper & Forest Products – 3.7% |
||||||||||||||
19,596 | Domtar Corporation, (2) |
2,104,806 | ||||||||||||
32,582 | International Paper Company |
1,555,465 | ||||||||||||
90,150 | Louisiana-Pacific Corporation, (3) |
1,580,330 | ||||||||||||
Total Paper & Forest Products |
5,240,601 | |||||||||||||
Pharmaceuticals – 1.5% |
||||||||||||||
32,596 | Forest Laboratories, Inc., (3) |
2,161,115 | ||||||||||||
Professional Services – 0.9% |
||||||||||||||
17,375 | Manpower Inc. |
1,353,513 | ||||||||||||
Real Estate Investment Trust – 8.4% |
||||||||||||||
137,883 | Developers Diversified Realty Corporation, (2) |
2,160,627 | ||||||||||||
140,383 | Host Hotels & Resorts Inc., (2) |
2,581,643 | ||||||||||||
91,135 | Kimco Realty Corporation, (2) |
1,905,633 | ||||||||||||
230,608 | MFA Mortgage Investments, Inc. |
1,681,132 |
130 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Real Estate Investment Trust (continued) |
||||||||||||||
19,837 | SL Green Realty Corporation, (2) |
$ | 1,860,115 | |||||||||||
61,791 | Starwood Property Trust Inc. |
1,866,088 | ||||||||||||
Total Real Estate Investment Trust |
12,055,238 | |||||||||||||
Road & Rail – 1.3% |
||||||||||||||
88,007 | Swift Transportation Company, (2), (3) |
1,918,553 | ||||||||||||
Semiconductors & Equipment – 1.5% |
||||||||||||||
92,158 | Micron Technology, Inc., (3) |
2,123,320 | ||||||||||||
Software – 2.4% |
||||||||||||||
31,952 | Autodesk, Inc., (3) |
1,637,540 | ||||||||||||
55,192 | CA Inc. |
1,770,559 | ||||||||||||
Total Software |
3,408,099 | |||||||||||||
Specialty Retail – 5.7% |
||||||||||||||
58,241 | Best Buy Co., Inc. |
1,370,993 | ||||||||||||
45,706 | Foot Locker, Inc. |
1,764,252 | ||||||||||||
22,347 | Outerwall Inc., (2), (3) |
1,437,136 | ||||||||||||
271,409 | Staples, Inc., (2) |
3,571,742 | ||||||||||||
Total Specialty Retail |
8,144,123 | |||||||||||||
Textiles, Apparel & Luxury Goods – 1.3% |
||||||||||||||
24,633 | Deckers Outdoor Corporation, (3) |
1,920,142 | ||||||||||||
Thrifts & Mortgage Finance – 1.1% |
||||||||||||||
90,793 | Everbank Financial Corporation |
1,617,023 | ||||||||||||
Water Utilities – 1.3% |
||||||||||||||
45,269 | American Water Works Company |
1,927,102 | ||||||||||||
Total Common Stocks (cost $122,489,374) |
142,367,700 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 21.3% |
||||||||||||||
Money Market Funds – 21.3% |
||||||||||||||
30,553,309 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (4), (5) |
$ | 30,553,309 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $30,553,309) |
30,553,309 | |||||||||||||
Total Long-Term Investments (cost $153,042,683) |
172,921,009 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
SHORT-TERM INVESTMENTS – 0.4% |
||||||||||||||
Money Market Funds – 0.4% |
||||||||||||||
535,707 | First American Treasury Obligations Fund, Class Z, 0.000%, (4) |
$ | 535,707 | |||||||||||
Total Short-Term Investments (cost $535,707) |
535,707 | |||||||||||||
Total Investments (cost $153,578,390) – 120.9% |
173,456,716 | |||||||||||||
Other Assets Less Liabilities – (20.9)% |
(30,029,087 | ) | ||||||||||||
Net Assets – 100% |
$ | 143,427,629 |
Nuveen Investments | 131 |
Nuveen Mid Cap Value Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 142,367,700 | $ | — | $ | — | $ | 142,367,700 | ||||||||
Investments Purchased with Collateral from Securities Lending |
30,553,309 | — | — | 30,553,309 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
535,707 | — | — | 535,707 | ||||||||||||
Total | $ | 173,456,716 | $ | — | $ | — | $ | 173,456,716 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments was $153,723,838.
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 21,662,637 | ||
Depreciation |
(1,929,759 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 19,732,878 |
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. |
(2) | Investment, or a portion of investment, is out on loan for securities lending. The total value of securities out on loan as of the end of the reporting period was $29,447,706. |
(3) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
132 | Nuveen Investments |
Nuveen Small Cap Value Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 120.0% |
||||||||||||||
COMMON STOCKS – 99.0% |
||||||||||||||
Aerospace & Defense – 0.7% |
||||||||||||||
11,500 | Triumph Group Inc. |
$ | 786,830 | |||||||||||
Auto Components – 1.3% |
||||||||||||||
73,470 | Dana Holding Corporation, (2) |
1,390,052 | ||||||||||||
Automobiles – 1.0% |
||||||||||||||
20,500 | Thor Industries, Inc. |
1,053,085 | ||||||||||||
Capital Markets – 4.1% |
||||||||||||||
83,121 | JMP Group Inc. |
618,420 | ||||||||||||
70,001 | Manning & Napier Inc. |
1,172,517 | ||||||||||||
106,721 | New Mountain Finance Corporation |
1,577,336 | ||||||||||||
88,052 | Pennantpark Investment Corporation |
996,749 | ||||||||||||
Total Capital Markets |
4,365,022 | |||||||||||||
Chemicals – 2.2% |
||||||||||||||
41,102 | Chemtura Corporation, (3) |
1,030,838 | ||||||||||||
26,000 | Minerals Technologies Inc. |
1,343,680 | ||||||||||||
Total Chemicals |
2,374,518 | |||||||||||||
Commercial Banks – 14.3% |
||||||||||||||
44,200 | Banner Corporation, (2) |
1,627,886 | ||||||||||||
96,500 | Customers Bancorp Inc., (3) |
1,957,020 | ||||||||||||
56,000 | East West Bancorp Inc. |
1,873,760 | ||||||||||||
39,000 | Flushing Financial Corporation |
801,060 | ||||||||||||
54,500 | Heartland Financial USA, Inc. |
1,372,855 | ||||||||||||
51,000 | Renasant Corporation |
1,468,290 | ||||||||||||
10,000 | SVB Financial Group, (3) |
1,122,300 | ||||||||||||
26,225 | Texas Capital BancShares, Inc., (2), (3) |
1,559,601 | ||||||||||||
64,131 | Webster Financial Corporation |
1,945,735 | ||||||||||||
36,000 | Wintrust Financial Corporation, (2) |
1,577,880 | ||||||||||||
Total Commercial Banks |
15,306,387 | |||||||||||||
Commercial Services & Supplies – 0.7% |
||||||||||||||
124,896 | Acco Brands Corporation, (2), (3) |
725,646 | ||||||||||||
Communications Equipment – 2.2% |
||||||||||||||
72,493 | Applied Optoelectronics Inc., (3) |
988,080 | ||||||||||||
30,750 | Plantronics Inc. |
1,320,098 | ||||||||||||
Total Communications Equipment |
2,308,178 |
Nuveen Investments | 133 |
Nuveen Small Cap Value Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Construction & Engineering – 3.1% |
||||||||||||||
47,125 | Emcor Group Inc. |
$ | 2,003,280 | |||||||||||
60,000 | Tutor Perini Corporation, (3) |
1,356,000 | ||||||||||||
Total Construction & Engineering |
3,359,280 | |||||||||||||
Construction Materials – 1.2% |
||||||||||||||
113,589 | Headwater Inc., (3) |
1,263,110 | ||||||||||||
Diversified Financial Services – 1.2% |
||||||||||||||
51,500 | PHH Corporation, (2), (3) |
1,249,905 | ||||||||||||
Diversified Telecommunication Services – 1.3% |
||||||||||||||
125,000 | Premiere Global Services, Inc., (3) |
1,362,500 | ||||||||||||
Electric Utilities – 2.6% |
||||||||||||||
35,568 | El Paso Electric Company |
1,295,742 | ||||||||||||
39,500 | UIL Holdings Corporation, (2) |
1,527,465 | ||||||||||||
Total Electric Utilities |
2,823,207 | |||||||||||||
Electrical Equipment – 2.5% |
||||||||||||||
38,287 | Babcock & Wilcox Company |
1,312,478 | ||||||||||||
18,700 | Regal-Beloit Corporation |
1,385,483 | ||||||||||||
Total Electrical Equipment |
2,697,961 | |||||||||||||
Electronic Equipment & Instruments – 1.6% |
||||||||||||||
121,869 | Vishay Intertechnology Inc., (2), (3) |
1,654,981 | ||||||||||||
Energy Equipment & Services – 2.8% |
||||||||||||||
48,000 | Basic Energy Services, Inc., (2), (3) |
822,240 | ||||||||||||
41,909 | Matrix Service Company, (3) |
1,101,369 | ||||||||||||
42,182 | Patterson-UTI Energy, Inc. |
1,083,656 | ||||||||||||
Total Energy Equipment & Services |
3,007,265 | |||||||||||||
Food & Staples Retailing – 0.8% |
||||||||||||||
36,000 | Spartan Stores, Inc. |
813,240 | ||||||||||||
Gas Utilities – 1.2% |
||||||||||||||
22,993 | Southwest Gas Corporation, (2) |
1,235,414 | ||||||||||||
Health Care Equipment & Supplies – 2.1% |
||||||||||||||
237,000 | Alphatec Holdings, Inc., (3) |
514,290 | ||||||||||||
14,661 | Conmed Corporation |
615,029 | ||||||||||||
82,710 | Nxstage Medical, Inc., (3) |
1,071,095 | ||||||||||||
Total Health Care Equipment & Supplies |
2,200,414 | |||||||||||||
Health Care Providers & Services – 3.0% |
||||||||||||||
44,119 | Hanger Orthopedic Group Inc., (3) |
1,491,663 | ||||||||||||
15,315 | Medax Inc., (2), (3) |
852,127 | ||||||||||||
28,100 | US Physical Therapy, Inc. |
885,431 | ||||||||||||
Total Health Care Providers & Services |
3,229,221 |
134 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Hotels, Restaurants & Leisure – 2.3% |
||||||||||||||
22,000 | Bob Evans Farms |
$ | 1,105,500 | |||||||||||
91,000 | Einstein Noah Restaurant Group |
1,388,660 | ||||||||||||
Total Hotels, Restaurants & Leisure |
2,494,160 | |||||||||||||
Household Durables – 3.0% |
||||||||||||||
55,000 | La Z Boy Inc. |
1,480,600 | ||||||||||||
18,000 | Meritage Corporation, (3) |
874,260 | ||||||||||||
50,042 | Tri Pointe Homes, Incorporated, (2), (3) |
882,741 | ||||||||||||
Total Household Durables |
3,237,601 | |||||||||||||
Insurance – 6.1% |
||||||||||||||
82,178 | American Equity Investment Life Holding Company, (2) |
1,803,807 | ||||||||||||
92,463 | CNO Financial Group Inc. |
1,566,323 | ||||||||||||
24,000 | Endurance Specialty Holdings Limited, (2) |
1,257,360 | ||||||||||||
65,735 | Horace Mann Educators Corporation |
1,834,007 | ||||||||||||
Total Insurance |
6,461,497 | |||||||||||||
Internet Software & Services – 3.1% |
||||||||||||||
37,500 | Constant Contact Inc., (3) |
1,012,875 | ||||||||||||
77,000 | Dice Holdings Inc., (3) |
539,000 | ||||||||||||
86,785 | Perficient, Inc., (3) |
1,781,696 | ||||||||||||
Total Internet Software & Services |
3,333,571 | |||||||||||||
Leisure Equipment & Products – 0.4% |
||||||||||||||
25,530 | Malibu Boats Inc., Class A, (3) |
453,158 | ||||||||||||
Machinery – 2.4% |
||||||||||||||
21,884 | Actuant Corporation |
748,870 | ||||||||||||
59,000 | Altra Industrial Motion, Inc., (2) |
1,850,240 | ||||||||||||
Total Machinery |
2,599,110 | |||||||||||||
Metals & Mining – 1.8% |
||||||||||||||
33,492 | Commercial Metals Company |
638,358 | ||||||||||||
18,150 | Kaiser Aluminum Corporation |
1,267,052 | ||||||||||||
Total Metals & Mining |
1,905,410 | |||||||||||||
Oil, Gas & Consumable Fuels – 3.9% |
||||||||||||||
36,804 | Bill Barrett Corporation, (2), (3) |
1,030,880 | ||||||||||||
33,067 | Delek US Holdings Inc. |
1,001,930 | ||||||||||||
30,200 | Energy XXI Limited Bermuda, (2) |
693,090 | ||||||||||||
33,256 | Rosetta Resources, Inc., (3) |
1,417,038 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
4,142,938 | |||||||||||||
Professional Services – 2.2% |
||||||||||||||
70,000 | Korn Ferry International, (3) |
1,642,200 | ||||||||||||
29,000 | TrueBlue Inc., (3) |
711,370 | ||||||||||||
Total Professional Services |
2,353,570 |
Nuveen Investments | 135 |
Nuveen Small Cap Value Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Real Estate Investment Trust – 8.7% |
||||||||||||||
78,000 | Associated Estates Realty Corp. |
$ | 1,245,660 | |||||||||||
92,000 | Brandywine Realty Trust, (2) |
1,311,000 | ||||||||||||
86,500 | CubeSmart, (2) |
1,425,520 | ||||||||||||
27,100 | Entertainment Properties Trust, (2) |
1,384,268 | ||||||||||||
142,189 | Kite Realty Group Trust |
917,119 | ||||||||||||
50,000 | LaSalle Hotel Properties |
1,538,000 | ||||||||||||
195,000 | MFA Mortgage Investments, Inc. |
1,421,550 | ||||||||||||
Total Real Estate Investment Trust |
9,243,117 | |||||||||||||
Road & Rail – 2.4% |
||||||||||||||
57,025 | Celadon Group, Inc., (2) |
1,184,980 | ||||||||||||
40,500 | Saia, Inc., (3) |
1,363,230 | ||||||||||||
Total Road & Rail |
2,548,210 | |||||||||||||
Semiconductors & Equipment – 4.4% |
||||||||||||||
109,604 | Cypress Semiconductor Corporation, (2) |
1,100,424 | ||||||||||||
107,898 | Integrated Device Technology, Inc., (3) |
1,041,216 | ||||||||||||
34,226 | MKS Instruments Inc. |
1,031,229 | ||||||||||||
187,000 | TriQuint Semiconductor, Inc., (3) |
1,552,100 | ||||||||||||
Total Semiconductors & Equipment |
4,724,969 | |||||||||||||
Software – 0.8% |
||||||||||||||
24,951 | Parametric Technology Corporation, (3) |
890,252 | ||||||||||||
Specialty Retail – 4.1% |
||||||||||||||
35,000 | Ann Inc., (3) |
1,131,900 | ||||||||||||
18,000 | Genesco Inc., (3) |
1,263,960 | ||||||||||||
15,800 | Group 1 Automotive Inc., (2) |
965,854 | ||||||||||||
21,477 | Mens Wearhouse Inc. |
1,031,755 | ||||||||||||
Total Specialty Retail |
4,393,469 | |||||||||||||
Textiles, Apparel & Luxury Goods – 0.9% |
||||||||||||||
61,000 | Perry Ellis International, Inc., (2), (3) |
955,870 | ||||||||||||
Thrifts & Mortgage Finance – 2.6% |
||||||||||||||
87,500 | Everbank Financial Corporation, (2) |
1,558,375 | ||||||||||||
16,500 | WSFS Financial Corporation |
1,184,700 | ||||||||||||
Total Thrifts & Mortgage Finance |
2,743,075 | |||||||||||||
Total Common Stocks (cost $85,436,193) |
105,686,193 | |||||||||||||
Shares | Description (1) | Value | ||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 21.0% |
||||||||||||||
Money Market Funds – 21.0% |
||||||||||||||
22,449,803 | Mount Vernon Securities Lending Prime Portfolio, 0.173%, (4), (5) |
$ | 22,449,803 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $22,449,803) |
22,449,803 | |||||||||||||
Total Long-Term Investments (cost $107,885,996) |
128,135,996 |
136 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
SHORT-TERM INVESTMENTS – 1.1% |
||||||||||||||
Money Market Funds – 1.1% |
||||||||||||||
1,147,513 | First American Treasury Obligations Fund, Class Z, 0.000%, (4) |
$ | 1,147,513 | |||||||||||
Total Short-Term Investments (cost $1,147,513) |
1,147,513 | |||||||||||||
Total Investments (cost $109,033,509) – 121.1% |
129,283,509 | |||||||||||||
Other Assets Less Liabilities – (21.1)% |
(22,494,055 | ) | ||||||||||||
Net Assets – 100% |
$ | 106,789,454 |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 105,686,193 | $ | — | $ | — | $ | 105,686,193 | ||||||||
Investments Purchased with Collateral from Securities Lending |
22,449,803 | — | — | 22,449,803 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
1,147,513 | — | — | 1,147,513 | ||||||||||||
Total | $ | 129,283,509 | $ | — | $ | — | $ | 129,283,509 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments was $109,073,131.
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 22,053,155 | ||
Depreciation |
(1,842,777 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 20,210,378 |
Nuveen Investments | 137 |
Nuveen Small Cap Value Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
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. |
(2) | Investment, or a portion of investment, is out on loan for securities lending. The total value of securities out on loan as of the end of the reporting period was $21,416,076. |
(3) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
138 | Nuveen Investments |
Nuveen Large Cap Growth Opportunities Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 118.1% |
||||||||||||||
COMMON STOCKS – 98.6% |
||||||||||||||
Aerospace & Defense – 3.0% |
||||||||||||||
72,014 | Boeing Company |
$ | 9,020,474 | |||||||||||
35,898 | Precision Castparts Corporation |
9,145,016 | ||||||||||||
Total Aerospace & Defense |
18,165,490 | |||||||||||||
Airlines – 3.1% |
||||||||||||||
273,403 | Delta Air Lines, Inc. |
8,368,866 | ||||||||||||
80,841 | Ryanair Holdings PLC, Sponsored ADR, (2) |
3,819,737 | ||||||||||||
303,091 | Southwest Airlines Co. |
6,349,756 | ||||||||||||
Total Airlines |
18,538,359 | |||||||||||||
Auto Components – 1.2% |
||||||||||||||
130,828 | BorgWarner Inc., (3) |
7,025,464 | ||||||||||||
Automobiles – 0.7% |
||||||||||||||
69,899 | Harley-Davidson, Inc., (3) |
4,312,069 | ||||||||||||
Biotechnology – 7.1% |
||||||||||||||
41,012 | Biogen Idec Inc., (2) |
12,821,992 | ||||||||||||
57,984 | Celgene Corporation, (2) |
8,809,509 | ||||||||||||
219,208 | Gilead Sciences, Inc., (2), (3) |
17,679,125 | ||||||||||||
65,347 | ISIS Pharmaceuticals, Inc., (2) |
3,336,618 | ||||||||||||
Total Biotechnology |
42,647,244 | |||||||||||||
Capital Markets – 1.8% |
||||||||||||||
215,128 | Charles Schwab Corporation, (3) |
5,339,477 | ||||||||||||
33,868 | Goldman Sachs Group, Inc. |
5,558,416 | ||||||||||||
Total Capital Markets |
10,897,893 | |||||||||||||
Chemicals – 4.5% |
||||||||||||||
58,546 | Ecolab Inc. |
5,886,215 | ||||||||||||
67,886 | Monsanto Company |
7,233,253 | ||||||||||||
40,776 | PPG Industries, Inc. |
7,435,911 | ||||||||||||
67,835 | WR Grace & Co., (2) |
6,398,197 | ||||||||||||
Total Chemicals |
26,953,576 | |||||||||||||
Computers & Peripherals – 2.8% |
||||||||||||||
34,256 | Apple, Inc. |
17,148,554 | ||||||||||||
Consumer Finance – 1.5% |
||||||||||||||
105,553 | American Express Company |
8,974,116 |
Nuveen Investments | 139 |
Nuveen Large Cap Growth Opportunities Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Diversified Financial Services – 0.9% |
||||||||||||||
99,602 | JPMorgan Chase & Co. |
$ | 5,513,967 | |||||||||||
Energy Equipment & Services – 1.0% |
||||||||||||||
87,297 | Oceaneering International Inc. |
5,949,291 | ||||||||||||
Food & Staples Retailing – 2.4% |
||||||||||||||
87,485 | Costco Wholesale Corporation |
9,829,815 | ||||||||||||
84,258 | Whole Foods Market, Inc., (3) |
4,403,323 | ||||||||||||
Total Food & Staples Retailing |
14,233,138 | |||||||||||||
Health Care Providers & Services – 1.4% |
||||||||||||||
48,012 | McKesson HBOC Inc. |
8,373,773 | ||||||||||||
Health Care Technology – 1.7% |
||||||||||||||
20,985 | AthenaHealth Inc., (2), (3) |
3,093,189 | ||||||||||||
127,040 | Cerner Corporation, (2), (3) |
7,227,306 | ||||||||||||
Total Health Care Technology |
10,320,495 | |||||||||||||
Hotels, Restaurants & Leisure – 4.0% |
||||||||||||||
115,047 | Las Vegas Sands |
8,803,396 | ||||||||||||
129,369 | Starbucks Corporation |
9,200,723 | ||||||||||||
78,485 | Starwood Hotels & Resorts Worldwide, Inc. |
5,863,614 | ||||||||||||
Total Hotels, Restaurants & Leisure |
23,867,733 | |||||||||||||
Household Durables – 1.4% |
||||||||||||||
138,018 | Jarden Corporation, (2) |
8,343,188 | ||||||||||||
Industrial Conglomerates – 1.4% |
||||||||||||||
113,047 | Danaher Corporation |
8,409,566 | ||||||||||||
Internet & Catalog Retail – 5.5% |
||||||||||||||
32,929 | Amazon.com, Inc., (2) |
11,811,303 | ||||||||||||
10,929 | NetFlix.com Inc., (2), (3) |
4,473,568 | ||||||||||||
11,544 | priceline.com Incorporated, (2) |
13,216,610 | ||||||||||||
48,948 | TripAdvisor Inc., (2) |
3,778,296 | ||||||||||||
Total Internet & Catalog Retail |
33,279,777 | |||||||||||||
Internet Software & Services – 10.5% |
||||||||||||||
239,754 | Facebook Inc., Class A, (2) |
15,001,408 | ||||||||||||
24,156 | Google Inc., Class A, (2) |
28,527,511 | ||||||||||||
30,211 | LinkedIn Corporation, Class A, (2) |
6,501,709 | ||||||||||||
197,850 | Pandora Media, Inc., (2) |
7,136,450 | ||||||||||||
50,231 | Twitter Inc., (2), (3) |
3,239,900 | ||||||||||||
36,016 | Yelp Inc., (2) |
2,735,415 | ||||||||||||
Total Internet Software & Services |
63,142,393 | |||||||||||||
IT Services – 6.2% |
||||||||||||||
28,677 | Alliance Data Systems Corporation, (2), (3) |
6,872,730 |
140 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
IT Services (continued) |
||||||||||||||
198,800 | MasterCard, Inc., Class A |
$ | 15,045,184 | |||||||||||
71,538 | Visa Inc., Class A, (3) |
15,411,431 | ||||||||||||
Total IT Services |
37,329,345 | |||||||||||||
Leisure Equipment & Products – 0.9% |
||||||||||||||
42,395 | Polaris Industries Inc., (3) |
5,307,854 | ||||||||||||
Machinery – 4.2% |
||||||||||||||
64,826 | Cummins Inc. |
8,231,605 | ||||||||||||
83,987 | Flowserve Corporation, (3) |
6,074,780 | ||||||||||||
81,776 | Graco Inc. |
5,682,614 | ||||||||||||
68,407 | Wabtec Corporation, (3) |
5,049,121 | ||||||||||||
Total Machinery |
25,038,120 | |||||||||||||
Media – 6.0% |
||||||||||||||
112,044 | CBS Corporation, Class B |
6,579,224 | ||||||||||||
81,340 | Discovery Communications Inc., Class A, (2), (3) |
6,489,305 | ||||||||||||
94,252 | Liberty Global PLC, Class A, (2), (3) |
7,533,562 | ||||||||||||
228,519 | Twenty First Century Fox Inc., Class A |
7,271,475 | ||||||||||||
114,696 | Walt Disney Company, (3) |
8,328,077 | ||||||||||||
Total Media |
36,201,643 | |||||||||||||
Multiline Retail – 1.0% |
||||||||||||||
117,790 | Dollar Tree Stores Inc., (2) |
5,950,751 | ||||||||||||
Oil, Gas & Consumable Fuels – 2.3% |
||||||||||||||
156,036 | Cabot Oil & Gas Corporation |
6,238,319 | ||||||||||||
43,178 | Pioneer Natural Resources Co. |
7,310,899 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
13,549,218 | |||||||||||||
Pharmaceuticals – 4.3% |
||||||||||||||
220,053 | Bristol-Myers Squibb Company |
10,996,048 | ||||||||||||
139,770 | Mylan Laboratories Inc., (2), (3) |
6,346,956 | ||||||||||||
171,811 | Pfizer Inc. |
5,223,054 | ||||||||||||
24,145 | Valeant Pharmaceuticals International, (2), (3) |
3,275,028 | ||||||||||||
Total Pharmaceuticals |
25,841,086 | |||||||||||||
Real Estate Investment Trust – 1.4% |
||||||||||||||
101,291 | American Tower Corporation (REIT) |
8,192,416 | ||||||||||||
Road & Rail – 2.2% |
||||||||||||||
76,318 | J.B. Hunt Transports Serives Inc., (3) |
5,727,666 | ||||||||||||
42,811 | Union Pacific Corporation |
7,459,389 | ||||||||||||
Total Road & Rail |
13,187,055 | |||||||||||||
Semiconductors & Equipment – 0.7% |
||||||||||||||
96,098 | ARM Holdings PLC, Sponsored ADR, (3) |
4,427,235 |
Nuveen Investments | 141 |
Nuveen Large Cap Growth Opportunities Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||||
Software – 8.2% |
||||||||||||||||
124,480 | Adobe Systems Incorporated, (2) |
$ | 7,367,971 | |||||||||||||
239,016 | Microsoft Corporation |
9,046,756 | ||||||||||||||
40,155 | NetSuite Inc., (2) |
4,223,503 | ||||||||||||||
126,175 | Salesforce.com, Inc., (2), (3) |
7,637,373 | ||||||||||||||
90,924 | ServiceNow Inc., (2), (3) |
5,767,309 | ||||||||||||||
84,998 | Splunk Inc., (2), (3) |
6,547,396 | ||||||||||||||
41,633 | Tableau Software Inc., Class A, (2) |
3,364,779 | ||||||||||||||
61,267 | Workday Inc., Class A, (2), (3) |
5,485,847 | ||||||||||||||
Total Software |
49,440,934 | |||||||||||||||
Specialty Retail – 4.5% |
||||||||||||||||
83,482 | CarMax, Inc., (2), (3) |
3,765,873 | ||||||||||||||
61,239 | Home Depot, Inc. |
4,706,217 | ||||||||||||||
183,383 | Lowe’s Companies, Inc. |
8,488,798 | ||||||||||||||
98,045 | TJX Companies, Inc. |
5,623,861 | ||||||||||||||
69,105 | Tractor Supply Company |
4,596,174 | ||||||||||||||
Total Specialty Retail |
27,180,923 | |||||||||||||||
Trading Companies & Distributors – 0.8% |
||||||||||||||||
20,508 | W.W. Grainger, Inc., (3) |
4,808,715 | ||||||||||||||
Total Common Stocks (cost $403,601,253) |
592,551,381 | |||||||||||||||
Shares | Description (1) | Coupon | Value | |||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 19.5% |
|
|||||||||||||||
Money Market Funds – 19.5% |
||||||||||||||||
117,483,914 | Mount Vernon Securities Lending Prime Portfolio, (5) |
0.173 | % (4) | $ | 117,483,914 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $117,483,914) |
117,483,914 | |||||||||||||||
Total Long-Term Investments (cost $521,085,167) |
|
710,035,296 | ||||||||||||||
Shares | Description (1) | Coupon | Value | |||||||||||||
SHORT-TERM INVESTMENTS – 0.9% |
||||||||||||||||
Money Market Funds – 0.9% |
||||||||||||||||
5,474,108 | First American Treasury Obligations Fund, Class Z |
0.000 | % (4) | $ | 5,474,108 | |||||||||||
Total Short-Term Investments (cost $5,474,108) |
5,474,108 | |||||||||||||||
Total Investments (cost $526,559,275) – 119.0% |
715,509,403 | |||||||||||||||
Other Assets Less Liabilities – (19.0)% |
(114,337,298 | ) | ||||||||||||||
Net Assets – 100% |
$ | 601,172,105 |
142 | Nuveen Investments |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 592,551,381 | $ | — | $ | — | $ | 592,551,381 | ||||||||
Investments Purchased with Collateral from Securities Lending |
117,483,914 | — | — | 117,483,914 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
5,474,108 | — | — | 5,474,108 | ||||||||||||
Total | $ | 715,509,403 | $ | — | $ | — | $ | 715,509,403 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments was $527,134,762.
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 190,516,450 | ||
Depreciation |
(2,141,809 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 188,374,641 |
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. |
(2) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(3) | Investment, or portion of investment, is out on loan for securities lending. The total value of the securities out on loan as of the end of the reporting period was $114,156,931. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
ADR | American Depositary Receipt. |
REIT | Real Estate Investment Trust. |
Nuveen Investments | 143 |
Nuveen Mid Cap Growth Opportunities Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 125.7% |
||||||||||||||
COMMON STOCKS – 99.3% |
||||||||||||||
Airlines – 3.9% |
||||||||||||||
697,592 | Delta Air Lines, Inc. |
$ | 21,353,291 | |||||||||||
271,257 | Ryanair Holdings PLC, Sponsored ADR, (2) |
12,816,893 | ||||||||||||
656,048 | Southwest Airlines Co. |
13,744,206 | ||||||||||||
Total Airlines |
47,914,390 | |||||||||||||
Auto Components – 1.9% |
||||||||||||||
428,703 | BorgWarner Inc., (3) |
23,021,351 | ||||||||||||
Automobiles – 1.5% |
||||||||||||||
289,512 | Harley-Davidson, Inc., (3) |
17,859,995 | ||||||||||||
Beverages – 1.5% |
||||||||||||||
269,075 | Monster Beverage Corporation, (2) |
18,270,193 | ||||||||||||
Biotechnology – 4.9% |
||||||||||||||
153,599 | Alexion Pharmaceuticals Inc., (2) |
24,380,769 | ||||||||||||
327,593 | Grifols SA |
12,975,959 | ||||||||||||
199,712 | ISIS Pharmaceuticals, Inc., (2), (3) |
10,197,295 | ||||||||||||
44,579 | Regeneron Pharmaceuticals, Inc., (2), (3) |
12,865,054 | ||||||||||||
Total Biotechnology |
60,419,077 | |||||||||||||
Building Products – 1.3% |
||||||||||||||
364,348 | Fortune Brands Home & Security, Inc. |
16,417,521 | ||||||||||||
Capital Markets – 5.8% |
||||||||||||||
81,951 | Affiliated Managers Group Inc., (2) |
16,327,917 | ||||||||||||
227,882 | Evercore Partners Inc., Class A, (3) |
12,724,931 | ||||||||||||
337,166 | Lazard Limited |
14,417,218 | ||||||||||||
254,123 | LPL Investments Holdings Inc., (3) |
13,603,204 | ||||||||||||
479,754 | TD Ameritrade Holding Corporation |
14,992,313 | ||||||||||||
Total Capital Markets |
72,065,583 | |||||||||||||
Chemicals – 3.8% |
||||||||||||||
161,874 | FMC Corporation, (3) |
11,433,161 | ||||||||||||
99,219 | PPG Industries, Inc. |
18,093,577 | ||||||||||||
187,945 | WR Grace & Co., (2) |
17,726,972 | ||||||||||||
Total Chemicals |
47,253,710 | |||||||||||||
Communications Equipment – 1.0% |
||||||||||||||
113,396 | F5 Networks, Inc., (2) |
12,133,372 |
144 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Construction & Engineering – 1.1% |
||||||||||||||
183,327 | Chicago Bridge & Iron Company N.V. |
$ | 13,747,692 | |||||||||||
Diversified Financial Services – 4.4% |
||||||||||||||
286,835 | CBOE Holdings Inc. |
14,921,157 | ||||||||||||
120,780 | IntercontinentalExchange Group Inc. |
25,217,656 | ||||||||||||
194,858 | Moody’s Corporation, (3) |
14,532,510 | ||||||||||||
Total Diversified Financial Services |
54,671,323 | |||||||||||||
Electrical Equipment – 4.1% |
||||||||||||||
254,576 | Ametek Inc. |
12,581,146 | ||||||||||||
179,124 | Rockwell Automation, Inc., (3) |
20,570,600 | ||||||||||||
131,059 | Roper Industries Inc., (3) |
17,986,537 | ||||||||||||
Total Electrical Equipment |
51,138,283 | |||||||||||||
Electronic Equipment & Instruments – 2.5% |
||||||||||||||
248,168 | Amphenol Corporation, Class A |
21,560,836 | ||||||||||||
109,380 | Littelfuse, Inc., (3) |
9,789,510 | ||||||||||||
Total Electronic Equipment & Instruments |
31,350,346 | |||||||||||||
Energy Equipment & Services – 1.7% |
||||||||||||||
52,672 | Core Laboratories NV, (3) |
9,424,074 | ||||||||||||
168,198 | Oceaneering International Inc. |
11,462,694 | ||||||||||||
Total Energy Equipment & Services |
20,886,768 | |||||||||||||
Food Products – 1.6% |
||||||||||||||
249,490 | Green Mountain Coffee Roasters Inc., (3) |
20,208,690 | ||||||||||||
Health Care Providers & Services – 3.7% |
||||||||||||||
278,251 | Catamaran Corporation, (2) |
13,528,563 | ||||||||||||
114,015 | Henry Schein Inc., (2), (3) |
13,099,183 | ||||||||||||
190,624 | Team Health Holdings Inc., (2), (3) |
8,227,332 | ||||||||||||
137,636 | Universal Health Services, Inc., Class B |
11,288,905 | ||||||||||||
Total Health Care Providers & Services |
46,143,983 | |||||||||||||
Health Care Technology – 2.3% |
||||||||||||||
69,782 | AthenaHealth Inc., (2), (3) |
10,285,867 | ||||||||||||
324,851 | Cerner Corporation, (2), (3) |
18,480,773 | ||||||||||||
Total Health Care Technology |
28,766,640 | |||||||||||||
Hotels, Restaurants & Leisure – 3.1% |
||||||||||||||
199,285 | Starwood Hotels & Resorts Worldwide, Inc. |
14,888,582 | ||||||||||||
107,962 | Wynn Resorts Ltd |
23,473,098 | ||||||||||||
Total Hotels, Restaurants & Leisure |
38,361,680 | |||||||||||||
Household Durables – 2.3% |
||||||||||||||
260,614 | Jarden Corporation, (2) |
15,754,116 | ||||||||||||
91,631 | Mohawk Industries Inc., (2) |
13,028,096 | ||||||||||||
Total Household Durables |
28,782,212 |
Nuveen Investments | 145 |
Nuveen Mid Cap Growth Opportunities Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Internet & Catalog Retail – 3.4% |
||||||||||||||
314,454 | CTRIP.com, (2), (3) |
$ | 12,424,078 | |||||||||||
43,145 | NetFlix, Inc., (2), (3) |
17,660,543 | ||||||||||||
10,030 | priceline.com Incorporated, (2) |
11,483,247 | ||||||||||||
Total Internet & Catalog Retail |
41,567,868 | |||||||||||||
Internet Software & Services – 4.2% |
||||||||||||||
179,660 | Cornerstone OnDemand Inc., (2) |
10,249,603 | ||||||||||||
254,524 | Criteo SA, Sponsored ADR, (2), (3) |
8,956,700 | ||||||||||||
82,385 | LinkedIn Corporation, Class A, (2) |
17,730,075 | ||||||||||||
84,505 | Yelp Inc., (2) |
6,418,155 | ||||||||||||
103,357 | Zillow Inc, (2), (3) |
8,485,610 | ||||||||||||
Total Internet Software & Services |
51,840,143 | |||||||||||||
IT Services – 3.4% |
||||||||||||||
62,304 | Alliance Data Systems Corporation, (2), (3) |
14,931,777 | ||||||||||||
240,240 | Gartner Inc., (2) |
16,896,079 | ||||||||||||
128,047 | WEX Inc., (2) |
10,545,951 | ||||||||||||
Total IT Services |
42,373,807 | |||||||||||||
Leisure Equipment & Products – 1.4% |
||||||||||||||
132,808 | Polaris Industries Inc., (3) |
16,627,562 | ||||||||||||
Machinery – 5.0% |
||||||||||||||
202,320 | Flowserve Corporation, (3) |
14,633,806 | ||||||||||||
139,124 | Graco Inc. |
9,667,727 | ||||||||||||
216,397 | WABCO Holdings Inc., (2) |
18,657,749 | ||||||||||||
253,131 | Wabtec Corporation, (3) |
18,683,598 | ||||||||||||
Total Machinery |
61,642,880 | |||||||||||||
Marine – 1.2% |
||||||||||||||
149,402 | Kirby Corporation, (2) |
14,908,826 | ||||||||||||
Multiline Retail – 1.4% |
||||||||||||||
339,404 | Dollar Tree Stores Inc., (2) |
17,146,690 | ||||||||||||
Oil, Gas & Consumable Fuels – 3.7% |
||||||||||||||
437,484 | Cabot Oil & Gas Corporation |
17,490,610 | ||||||||||||
163,834 | Concho Resources Inc., (2) |
16,021,327 | ||||||||||||
237,311 | Diamondback Energy Inc., (2) |
12,335,426 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
45,847,363 | |||||||||||||
Personal Products – 0.8% |
||||||||||||||
116,671 | Nu Skin Enterprises, Inc., Class A |
9,934,536 | ||||||||||||
Pharmaceuticals – 5.1% |
||||||||||||||
145,572 | Jazz Pharmaceuticals, Inc., (2), (3) |
22,077,449 | ||||||||||||
459,825 | Mylan Inc., (2), (3) |
20,880,653 | ||||||||||||
212,059 | Salix Pharmaceuticals Limited, (2), (3) |
20,641,823 | ||||||||||||
Total Pharmaceuticals |
63,599,925 |
146 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||||
Professional Services – 1.7% |
||||||||||||||||
83,558 | IHS Inc., (2) |
$ | 9,476,313 | |||||||||||||
140,963 | Manpower Inc. |
10,981,018 | ||||||||||||||
Total Professional Services |
20,457,331 | |||||||||||||||
Road & Rail – 1.0% |
||||||||||||||||
581,325 | Swift Transportation Company, (2), (3) |
12,672,885 | ||||||||||||||
Semiconductors & Equipment – 1.7% |
||||||||||||||||
540,131 | Applied Materials, Inc. |
9,085,003 | ||||||||||||||
261,673 | ARM Holdings PLC, Sponsored ADR, (3) |
12,055,275 | ||||||||||||||
Total Semiconductors & Equipment |
21,140,278 | |||||||||||||||
Software – 6.6% |
||||||||||||||||
287,419 | Aspen Technology Inc., (2) |
13,097,683 | ||||||||||||||
97,735 | NetSuite Inc., (2) |
10,279,767 | ||||||||||||||
187,386 | ServiceNow Inc., (2), (3) |
11,885,894 | ||||||||||||||
193,068 | Splunk Inc., (2) |
14,872,028 | ||||||||||||||
144,035 | Tableau Software Inc., Class A, (2) |
11,640,909 | ||||||||||||||
50,738 | Ultimate Software Group, Inc., (2) |
8,281,964 | ||||||||||||||
129,758 | Workday Inc., Class A, (2) |
11,618,531 | ||||||||||||||
Total Software |
81,676,776 | |||||||||||||||
Specialty Retail – 3.2% |
||||||||||||||||
14,679 | AutoZone, Inc., (2) |
7,266,986 | ||||||||||||||
237,146 | GNC Holdings Inc., Class A |
12,120,532 | ||||||||||||||
188,519 | PetSmart Inc., (3) |
11,876,697 | ||||||||||||||
121,566 | Tractor Supply Company |
8,085,355 | ||||||||||||||
Total Specialty Retail |
39,349,570 | |||||||||||||||
Textiles, Apparel & Luxury Goods – 2.3% |
||||||||||||||||
189,214 | Deckers Outdoor Corporation, (2) |
14,749,231 | ||||||||||||||
174,042 | Michael Kors Holdings Limited, (2), (3) |
13,911,177 | ||||||||||||||
Total Textiles, Apparel & Luxury Goods |
28,660,408 | |||||||||||||||
Thrifts & Mortgage Finance – 0.8% |
||||||||||||||||
208,653 | Ocwen Financial Corporation, (2) |
9,209,943 | ||||||||||||||
Total Common Stock (cost $949,729,790) |
1,228,069,600 | |||||||||||||||
Shares | Description (1) | Coupon | Value | |||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 26.4% |
||||||||||||||||
Money Market Funds – 26.4% |
||||||||||||||||
326,757,089 | Mount Vernon Securities Lending Prime Portfolio, (5) |
0.173 | % (4) | $ | 326,757,089 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $326,757,089) |
326,757,089 | |||||||||||||||
Total Long-Term Investments (cost $1,276,486,879) |
1,554,826,689 |
Nuveen Investments | 147 |
Nuveen Mid Cap Growth Opportunities Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Coupon | Value | |||||||||||||
SHORT-TERM INVESTMENTS – 1.2% |
||||||||||||||||
Money Market Funds – 1.2% |
||||||||||||||||
14,555,863 | First American Treasury Obligations Fund, Class Z |
0.000 | % (4) | $ | 14,555,863 | |||||||||||
Total Short-Term Investments (cost $14,555,863) |
14,555,863 | |||||||||||||||
Total Investments (cost $1,291,042,742) – 126.9% |
1,569,382,552 | |||||||||||||||
Other Assets Less Liabilities – (26.9)% |
(332,560,340 | ) | ||||||||||||||
Net Assets – 100% |
$ | 1,236,822,212 |
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 1,228,069,600 | $ | — | $ | — | $ | 1,228,069,600 | ||||||||
Investments purchased with Collateral from Securities Lending |
326,757,089 | — | — | 326,757,089 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
14,555,863 | — | — | 14,555,863 | ||||||||||||
Total | $ | 1,569,382,552 | $ | — | $ | — | $ | 1,569,382,552 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments was $1,292,681,158.
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 292,717,227 | ||
Depreciation |
(16,015,833 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 276,701,394 |
148 | Nuveen Investments |
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. |
(2) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(3) | Investment, or portion of investment, is out on loan for securities lending. The total value of the securities out on loan as of the end of the reporting period was $317,551,362. |
(4) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(5) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
ADR | American Depositary Receipt. |
Nuveen Investments | 149 |
Nuveen Small Cap Growth Opportunities Fund
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
LONG-TERM INVESTMENTS – 120.4% |
||||||||||||||
COMMON STOCKS – 96.4% |
||||||||||||||
Aerospace & Defense – 2.9% |
||||||||||||||
35,941 | Hexcel Corporation, (2) |
$ | 1,498,021 | |||||||||||
51,349 | Orbital Sciences Corporation, (2) |
1,255,483 | ||||||||||||
Total Aerospace & Defense |
2,753,504 | |||||||||||||
Auto Components – 1.4% |
||||||||||||||
23,129 | Tenneco Inc., (2) |
1,314,652 | ||||||||||||
Automobiles – 1.0% |
||||||||||||||
18,130 | Thor Industries, Inc. |
931,338 | ||||||||||||
Biotechnology – 7.6% |
||||||||||||||
13,810 | Alkermes Inc., (2) |
672,271 | ||||||||||||
10,106 | Alnylam Pharmaceuticals, Inc., (2), (3) |
845,468 | ||||||||||||
24,757 | Celldex Therapeutics, Inc., (2) |
638,235 | ||||||||||||
24,151 | Cepheid, Inc., (2), (3) |
1,276,623 | ||||||||||||
16,696 | Cubist Pharmaceuticals Inc., (2) |
1,220,311 | ||||||||||||
1,985 | Intercept Pharmaceuticals Incorporated, (2) |
597,247 | ||||||||||||
9,617 | Intermune, Inc., (2), (3) |
128,387 | ||||||||||||
16,371 | ISIS Pharmaceuticals, Inc., (2), (3) |
835,903 | ||||||||||||
17,804 | Karyopharm Therapeutics Inc., (2), (3) |
621,538 | ||||||||||||
3,345 | Puma Biotechnology Inc , (2), (3) |
395,412 | ||||||||||||
Total Biotechnology |
7,231,395 | |||||||||||||
Capital Markets – 3.0% |
||||||||||||||
24,131 | Evercore Partners Inc., Class A, (3) |
1,347,475 | ||||||||||||
32,656 | Stifel Financial Corporation, (2), (3) |
1,474,418 | ||||||||||||
Total Capital Markets |
2,821,893 | |||||||||||||
Chemicals – 2.2% |
||||||||||||||
33,862 | Chemtura Corporation, (2) |
849,259 | ||||||||||||
26,567 | H.B. Fuller Company |
1,237,491 | ||||||||||||
Total Chemicals |
2,086,750 | |||||||||||||
Commercial Banks – 3.5% |
||||||||||||||
71,316 | Cathay General Bancorp. |
1,675,926 | ||||||||||||
48,784 | East West Bancorp Inc. |
1,632,313 | ||||||||||||
Total Commercial Banks |
3,308,239 | |||||||||||||
Commercial Services & Supplies – 1.1% |
||||||||||||||
51,753 | Interface, Inc. |
1,084,225 |
150 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||
Communications Equipment – 2.8% |
||||||||||||||
67,011 | Aruba Networks, Inc., (2) |
$ | 1,320,787 | |||||||||||
31,097 | Plantronics Inc., (3) |
1,334,994 | ||||||||||||
Total Communications Equipment |
2,655,781 | |||||||||||||
Construction & Engineering – 2.5% |
||||||||||||||
40,912 | MasTec Inc., (2), (3) |
1,470,377 | ||||||||||||
35,743 | MYR Group Inc., (2) |
896,077 | ||||||||||||
Total Construction & Engineering |
2,366,454 | |||||||||||||
Distributors – 1.0% |
||||||||||||||
17,603 | Pool Corporation, (3) |
953,731 | ||||||||||||
Diversified Consumer Services – 2.4% |
||||||||||||||
18,206 | Capella Education Company, (3) |
1,135,872 | ||||||||||||
25,647 | Grand Canyon Education Inc., (2) |
1,123,852 | ||||||||||||
Total Diversified Consumer Services |
2,259,724 | |||||||||||||
Electrical Equipment – 2.6% |
||||||||||||||
10,436 | Acuity Brands Inc., (3) |
1,325,789 | ||||||||||||
41,145 | Thermon Group Holdings Inc., (2) |
1,114,207 | ||||||||||||
Total Electrical Equipment |
2,439,996 | |||||||||||||
Electronic Equipment & Instruments – 1.5% |
||||||||||||||
21,283 | Coherent Inc., (2) |
1,422,556 | ||||||||||||
Energy Equipment & Services – 1.2% |
||||||||||||||
11,170 | Dril-Quip Inc., (2) |
1,123,255 | ||||||||||||
Food Products – 2.2% |
||||||||||||||
17,747 | Annie’s Incorporated, (2), (3) |
712,010 | ||||||||||||
21,135 | Treehouse Foods Inc., (2) |
1,391,528 | ||||||||||||
Total Food Products |
2,103,538 | |||||||||||||
Health Care Equipment & Supplies – 8.4% |
||||||||||||||
17,379 | Align Technology, Inc., (2) |
1,032,660 | ||||||||||||
77,183 | Endologix, Inc., (2) |
1,234,928 | ||||||||||||
58,129 | Globus Medical Inc, Class A, (2) |
1,360,219 | ||||||||||||
11,997 | Haemonetics Corporation, (2) |
454,566 | ||||||||||||
132,437 | Nxstage Medical, Inc., (2) |
1,715,060 | ||||||||||||
34,730 | Quidel Corporation, (2), (3) |
1,026,619 | ||||||||||||
44,545 | Spectranetics Corporation, (2) |
1,159,061 | ||||||||||||
Total Health Care Equipment & Supplies |
7,983,113 | |||||||||||||
Health Care Providers & Services – 2.7% |
||||||||||||||
38,187 | HealthSouth Corporation |
1,188,379 | ||||||||||||
32,314 | Team Health Holdings Inc., (2), (3) |
1,394,672 | ||||||||||||
Total Health Care Providers & Services |
2,583,051 |
Nuveen Investments | 151 |
Nuveen Small Cap Growth Opportunities Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Shares | Description (1) | Value | ||||||||||||
Health Care Technology – 1.5% |
||||||||||||||
9,862 | AthenaHealth Inc., (2), (3) |
$ | 1,453,659 | |||||||||||
Hotels, Restaurants & Leisure – 2.7% |
||||||||||||||
65,263 | Del Friscos Restaurant Group Inc., (2) |
1,501,049 | ||||||||||||
16,743 | Red Robin Gourmet Burgers, Inc., (2) |
1,078,751 | ||||||||||||
Total Hotels, Restaurants & Leisure |
2,579,800 | |||||||||||||
Household Durables – 2.2% |
||||||||||||||
26,275 | Meritage Homes Corporation, (2) |
1,276,177 | ||||||||||||
43,081 | Tri Pointe Homes, Inc., (2), (3) |
759,949 | ||||||||||||
Total Household Durables |
2,036,126 | |||||||||||||
Internet & Catalog Retail – 1.2% |
||||||||||||||
23,021 | Shutterfly, Inc., (2), (3) |
1,090,275 | ||||||||||||
Internet Software & Services – 5.3% |
||||||||||||||
54,090 | Constant Contact Inc., (2) |
1,460,971 | ||||||||||||
25,465 | DealerTrack Technologies Inc., (2), (3) |
1,187,942 | ||||||||||||
47,029 | Perficient, Inc., (2) |
965,505 | ||||||||||||
40,504 | Web.com Group, Inc., (2) |
1,369,035 | ||||||||||||
Total Internet Software & Services |
4,983,453 | |||||||||||||
IT Services – 1.0% |
||||||||||||||
20,864 | Heartland Payment Systems Inc., (3) |
899,447 | ||||||||||||
Leisure Equipment & Products – 2.8% |
||||||||||||||
30,342 | Arctic Cat, Inc. |
1,284,680 | ||||||||||||
33,237 | Brunswick Corporation |
1,378,006 | ||||||||||||
Total Leisure Equipment & Products |
2,662,686 | |||||||||||||
Machinery – 2.7% |
||||||||||||||
31,137 | Actuant Corporation, Class A |
1,065,508 | ||||||||||||
47,889 | Altra Industrial Motion, Inc., (3) |
1,501,799 | ||||||||||||
Total Machinery |
2,567,307 | |||||||||||||
Oil, Gas & Consumable Fuels – 2.5% |
||||||||||||||
23,190 | Diamondback Energy, (2) |
1,205,416 | ||||||||||||
28,613 | Oasis Petroleum Inc., (2), (3) |
1,196,310 | ||||||||||||
Total Oil, Gas & Consumable Fuels |
2,401,726 | |||||||||||||
Pharmaceuticals – 0.8% |
||||||||||||||
55,080 | Nektar Therapautics, (2) |
749,088 | ||||||||||||
Professional Services – 1.2% |
||||||||||||||
45,134 | TrueBlue Inc., (2) |
1,107,137 | ||||||||||||
Road & Rail – 1.5% |
||||||||||||||
64,516 | Swift Transportation Company, Class A, (2), (3) |
1,406,449 |
152 | Nuveen Investments |
Shares | Description (1) | Value | ||||||||||||||
Semiconductors & Equipment – 4.4% |
||||||||||||||||
99,598 | Maxlinear Inc., (2), (3) |
$ | 1,021,875 | |||||||||||||
47,232 | MKS Instruments Inc. |
1,423,100 | ||||||||||||||
91,061 | Teradyne, Inc., (2), (3) |
1,712,857 | ||||||||||||||
Total Semiconductors & Equipment |
4,157,832 | |||||||||||||||
Software – 10.0% |
||||||||||||||||
30,054 | Aspen Technology Inc., (2) |
1,369,561 | ||||||||||||||
86,060 | Cadence Design Systems, Inc., (2) |
1,215,167 | ||||||||||||||
17,052 | CommVault Systems, Inc., (2) |
1,177,782 | ||||||||||||||
39,865 | Infoblox, Incorporated, (2), (3) |
1,398,464 | ||||||||||||||
32,761 | Micros Systems, Inc., (2), (3) |
1,819,219 | ||||||||||||||
33,579 | Solarwinds, Inc., (2) |
1,339,466 | ||||||||||||||
7,209 | Ultimate Software Group, Inc., (2) |
1,176,725 | ||||||||||||||
591,081 | VideoPropulsion Inc., (2), (4) |
— | ||||||||||||||
Total Software |
9,496,384 | |||||||||||||||
Specialty Retail – 4.1% |
||||||||||||||||
40,155 | Ann Inc., (2) |
1,298,613 | ||||||||||||||
74,100 | Ascena Retail Group Inc., (2) |
1,390,116 | ||||||||||||||
16,258 | Genesco Inc., (2) |
1,141,637 | ||||||||||||||
Total Specialty Retail |
3,830,366 | |||||||||||||||
Textiles, Apparel & Luxury Goods – 1.4% |
||||||||||||||||
19,428 | G-III Apparel Group, Ltd., (2) |
1,359,377 | ||||||||||||||
Trading Companies & Distributors – 1.1% |
||||||||||||||||
37,669 | MRC Global Inc., (2) |
1,051,718 | ||||||||||||||
Total Common Stocks (cost $70,081,026) |
91,256,025 | |||||||||||||||
Shares | Description (1) | Coupon | Value | |||||||||||||
INVESTMENTS PURCHASED WITH COLLATERAL FROM SECURITIES LENDING – 24.0% |
||||||||||||||||
Money Market Funds – 24.0% |
||||||||||||||||
22,643,209 | Mount Vernon Securities Lending Prime Portfolio, (6) |
0.173 | % (5) | $ | 22,643,209 | |||||||||||
Total Investments Purchased with Collateral from Securities Lending (cost $22,643,209) |
22,643,209 | |||||||||||||||
Total Long-Term Investments (cost $92,724,235) |
113,899,234 | |||||||||||||||
Shares | Description (1) | Coupon | Value | |||||||||||||
SHORT-TERM INVESTMENTS – 4.2% |
||||||||||||||||
Money Market Funds – 4.2% |
||||||||||||||||
3,924,872 | First American Treasury Obligations Fund, Class Z |
0.000 | % (5) | $ | 3,924,872 | |||||||||||
Total Short-Term Investments (cost $3,924,872) |
3,924,872 | |||||||||||||||
Total Investments (cost $96,649,107) – 124.6% |
117,824,106 | |||||||||||||||
Other Assets Less Liabilities – (24.6)% |
(23,298,416 | ) | ||||||||||||||
Net Assets – 100% |
$ | 94,525,690 |
Nuveen Investments | 153 |
Nuveen Small Cap Growth Opportunities Fund (continued)
Portfolio of Investments January 31, 2014 (Unaudited)
Fair Value Measurements
Fair value is defined as the price that the Fund would receive 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. A three-tier hierarchy 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 the reporting entity’s own 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, prepayment speeds, credit risk, etc.). | |
Level 3 – | Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments). |
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
Level 1 | Level 2 | Level 3 | Total | |||||||||||||
Long-Term Investments: | ||||||||||||||||
Common Stocks |
$ | 91,256,025 | $ | — | $ | — | * | $ | 91,256,025 | |||||||
Investments Purchased with Collateral from Securities Lending |
22,643,209 | — | — | 22,643,209 | ||||||||||||
Short-Term Investments: | ||||||||||||||||
Money Market Funds |
3,924,872 | — | — | 3,924,872 | ||||||||||||
Total | $ | 117,824,106 | $ | — | $ | — | * | $ | 117,824,106 |
* | Level 3 security has a market value of zero. Refer to the Fund’s Portfolio of Investments for security classified as Level 3. |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of January 31, 2014, the cost of investments was $97,333,523.
Gross unrealized appreciation and gross unrealized depreciation of investments as of January 31, 2014, were as follows:
Gross unrealized: | ||||
Appreciation |
$ | 21,728,915 | ||
Depreciation |
(1,238,332 | ) | ||
Net unrealized appreciation (depreciation) of investments | $ | 20,490,583 |
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. |
(2) | Non-income producing; issuer has not declared a dividend within the past twelve months. |
(3) | Investment, or portion of investment, is out on loan for securities lending. The total value of the securities out on loan as of the end of the reporting period was $21,888,655. |
(4) | Investment valued at fair value using methods determined in good faith by, or at the discretion of, the Board of Directors. For fair value measurement disclosure purposes, investment classified as Level 3. |
(5) | The rate shown is the annualized seven-day effective yield as of the end of the reporting period. |
(6) | The Fund may loan securities representing up to one third of the fair value of its total assets (which includes collateral for securities on loan) to broker dealers, banks, and other institutions. The Fund maintains collateral equal to at least 102% of the fair value of the securities loaned. The cash collateral received by the Fund is invested in this money market fund. |
154 | Nuveen Investments |
Item 2. Controls and Procedures.
(a) | The registrant’s principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the “1940 Act”) (17 CFR 270.30a-3(c))) are effective, as of a date within 90 days of the filing date of this report that includes the disclosure required by this paragraph, based on their evaluation of the controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rules 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 (17 CFR 240.13a-15(b) or 240.15d-15(b)). |
(b) | There were no changes in the registrant’s internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrant’s last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant’s internal control over financial reporting. |
Item 3. Exhibits.
File as exhibits as part of this Form a separate certification for each principal executive officer and principal financial officer of the registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)), exactly as set forth below: See Ex-99. CERT attached hereto.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) Nuveen Investment Funds, Inc.
By (Signature and Title) |
/s/ Kevin J. McCarthy | |
Kevin J. McCarthy | ||
Vice President and Secretary |
Date: April 1, 2014
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
By (Signature and Title) |
/s/ Gifford R. Zimmerman | |
Gifford R. Zimmerman | ||
Chief Administrative Officer (principal executive officer) |
Date: April 1, 2014
By (Signature and Title) |
/s/ Stephen D. Foy | |
Stephen D. Foy | ||
Vice President and Controller (principal financial officer) |
Date: April 1, 2014
This ‘N-Q’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / Effective on: | 4/1/14 | N-Q | ||
For Period End: | 1/31/14 | N-Q, N-Q/A | ||
List all Filings |