NUVEEN FLOATING RATE INCOME FUND — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Caraher Scott C. | — | Purchase | 5,000 | $7.95 | $39,750 | 45,440 | Apr 9, 2025 |
| Caraher Scott C. | — | Purchase | 15,000 | $8.40 | $126,000 | 40,440 | Mar 21, 2025 |
| LAMB DAVID J | Vice President | X | 13,631 | $8.20 | $111,774 | 22,338 | Feb 25, 2025 |
| Jones Nathaniel T. | Vice President and Treasurer | X | 454 | $8.20 | $3,723 | 768 | Feb 25, 2025 |
| Caraher Scott C. | — | X | 4,240 | $8.20 | $34,768 | 25,440 | Feb 25, 2025 |
| MOSCHNER ALBIN F | — | X | 6,903 | $8.20 | $56,606 | 34,516 | Feb 25, 2025 |
| TOTH TERENCE J | — | X | 744 | $8.20 | $6,101 | 4,464 | Feb 25, 2025 |
| Thornton Matthew III | — | X | 5,800 | $8.20 | $47,560 | 34,800 | Feb 25, 2025 |
| MOSCHNER ALBIN F | — | Sale | 20,000 | $8.77 | $175,400 | 13,400 | Oct 1, 2024 |
| PERRY MICHAEL A | Vice President | Purchase | 6,600 | $8.67 | $57,222 | 6,600 | Mar 11, 2024 |
| Thornton Matthew III | — | Purchase | 29,000 | $8.16 | $236,640 | 29,000 | Dec 15, 2023 |
| Jones Nathaniel T. | Vice President and Treasurer | Sale | 1,406 | $7.67 | $10,784 | 314 | Oct 26, 2023 |
| Caraher Scott C. | — | Sale | 29,503 | $7.90 | $233,074 | 47,056 | Oct 3, 2023 |
| Caraher Scott C. | — | Sale | 35,000 | $8.11 | $283,850 | 76,559 | Sep 27, 2023 |
| Caraher Scott C. | — | Sale | 25,000 | $8.13 | $203,250 | 89,559 | Sep 26, 2023 |
| MOSCHNER ALBIN F | — | Purchase | 2,200 | $8.19 | $18,018 | 30,400 | Sep 6, 2023 |
| LAMB DAVID J | Vice President | Other | 4,707 | — | — | 4,707 | Jul 31, 2023 |
| MOSCHNER ALBIN F | — | Other | 3,000 | — | — | 3,000 | Jul 31, 2023 |
| Jones Nathaniel T. | Vice President and Treasurer | Other | 450 | — | — | 970 | Jul 31, 2023 |
| Caraher Scott C. | — | Other | 51,636 | — | — | 114,559 | Jul 31, 2023 |
| Saba Capital Management, L.P. | — | Sale | 9,317 | $9.51 | $88,605 | 5,665,888 | Apr 29, 2021 |
| Saba Capital Management, L.P. | — | Sale | 28,390 | $9.56 | $271,408 | 5,675,205 | Apr 27, 2021 |
| Saba Capital Management, L.P. | — | Sale | 20,186 | $9.57 | $193,180 | 5,876,672 | Apr 23, 2021 |
| Weinstein Boaz | — | Sale | 530 | $9.58 | $5,077 | 6,003,663 | Apr 22, 2021 |
| Weinstein Boaz | — | Sale | 25,633 | $9.65 | $247,358 | 6,022,507 | Apr 16, 2021 |
| Saba Capital Management, L.P. | — | Sale | 26,453 | $9.63 | $254,742 | 6,055,027 | Apr 14, 2021 |
| Weinstein Boaz | — | Sale | 159,060 | $9.70 | $1,542,882 | 6,142,179 | Apr 12, 2021 |
| Saba Capital Management, L.P. | — | Sale | 162,037 | $9.77 | $1,583,101 | 6,523,408 | Apr 9, 2021 |
| Caraher Scott C. | — | Purchase | 7,000 | $9.42 | $65,940 | 22,000 | Mar 8, 2021 |
| Caraher Scott C. | — | Purchase | 2,000 | $6.66 | $13,320 | 8,000 | Mar 1, 2021 |
| KNIGHTS OF COLUMBUS | — | Sale | 37,091,000 | $100.00 | $3,709,100,000 | 13,909,000 | Nov 9, 2020 |
| Weinstein Boaz | — | Purchase | 3,600 | $8.33 | $29,988 | 6,685,445 | Oct 2, 2020 |
| Weinstein Boaz | — | Purchase | 54,729 | $8.34 | $456,440 | 6,681,845 | Sep 30, 2020 |
| Weinstein Boaz | — | Purchase | 25,842 | $8.30 | $214,489 | 6,277,165 | Sep 29, 2020 |
| Weinstein Boaz | — | Purchase | 60,105 | $8.30 | $498,872 | 6,112,549 | Sep 25, 2020 |
| Saba Capital Management, L.P. | — | Purchase | 95,907 | $8.37 | $802,742 | 5,846,982 | Sep 23, 2020 |
| MOSCHNER ALBIN F | — | Purchase | 3,000 | $7.87 | $23,610 | 28,200 | Jun 11, 2020 |
| SCHNEIDER WILLIAM J | — | Sale | 35,775 | $9.64 | $344,871 | — | Nov 27, 2018 |
| Caraher Scott C. | — | Purchase | 2,000 | $10.43 | $20,860 | 6,000 | Oct 3, 2018 |
| SCHNEIDER WILLIAM J | — | Purchase | 35,775 | $11.18 | $399,965 | 35,775 | Jan 22, 2018 |
| Nuveen Fund Advisors, LLC | — | Sale | 7,000 | $11.40 | $79,800 | — | Apr 6, 2017 |
| MOSCHNER ALBIN F | — | Purchase | 200 | $11.40 | $2,280 | 25,200 | Apr 6, 2017 |
| Jones Nathaniel T. | Vice President and Treasurer | Purchase | 750 | $11.31 | $8,483 | 750 | Mar 21, 2017 |
| LAMB DAVID J | Vice President | Purchase | 4,000 | $11.30 | $45,200 | 4,000 | Mar 21, 2017 |
| MOSCHNER ALBIN F | — | Purchase | 25,000 | $12.02 | $300,500 | 25,000 | Feb 14, 2017 |
| KNIGHTS OF COLUMBUS | — | Sale | 4,000 | $1,001.00 | $4,004,000 | 51,000,000 | Jan 13, 2017 |
| CITIGROUP INC | — | Other | 758 | $100,000.00 | $75,800,000 | — | Dec 20, 2016 |
| CITIGROUP INC | — | Other | 322 | $100,000.00 | $32,200,000 | 758 | Nov 29, 2016 |
| CITIGROUP INC | — | Other | 310 | $100,000.00 | $31,000,000 | 1,080 | Mar 29, 2016 |
| EVANS JACK | — | Sale | 1,600 | $9.67 | $15,472 | — | Dec 17, 2015 |