Monthly Portfolio Investments Report on Form N-port (public) (nport-p)
November 27 2019 - 12:40PM
Edgar (US Regulatory)
JHD
Nuveen High Income December 2019
Target Term Fund
Portfolio of Investments September 30, 2019
(Unaudited)
|
Principal Amount (000)
|
|
Description (1)
|
|
|
Coupon
|
Maturity
|
Ratings (2)
|
Value
|
|
|
|
LONG-TERM INVESTMENTS – 0.2% (0.2% of Total Investments)
|
|
|
|
|
|
|
|
|
|
CONVERTIBLE BONDS – 0.2% (0.2% of Total Investments)
|
|
|
|
|
|
|
|
|
|
Oil, Gas & Consumable Fuels – 0.2%
|
|
|
|
|
|
|
|
$641
|
|
Whiting Petroleum Corp
|
|
|
1.250%
|
4/01/20
|
BB-
|
$625,142
|
|
$641
|
|
Total Convertible Bonds (cost $630,090)
|
|
|
|
|
|
625,142
|
|
|
|
Total Long-Term Investments (cost $630,090)
|
|
|
|
|
|
625,142
|
|
Principal Amount (000)
|
|
Description (1)
|
Coupon
|
Maturity
|
|
Value
|
|
|
|
SHORT-TERM INVESTMENTS – 99.9% (99.8% of Total Investments)
|
|
|
|
|
|
|
|
COMMERCIAL PAPER – 98.5%
|
|
|
|
|
|
|
|
Air Freight & Logistics – 2.8%
|
|
|
|
|
|
$5,000
|
|
United Parcel Service Inc, 144A
|
0.000%
|
11/18/19
|
|
$4,983,467
|
|
2,500
|
|
United Parcel Service Inc, 144A
|
0.000%
|
11/20/19
|
|
2,492,361
|
|
7,500
|
|
Total Air Freight & Logistics
|
|
|
|
7,475,828
|
|
|
|
Automobiles – 0.7%
|
|
|
|
|
|
2,000
|
|
Ford Motor Credit Co LLC, 144A
|
0.000%
|
11/18/19
|
|
1,990,267
|
|
|
|
Banks – 25.5%
|
|
|
|
|
|
1,600
|
|
Barclays Bank PLC
|
0.000%
|
11/05/19
|
|
1,596,624
|
|
5,000
|
|
Bayerische Landesbank/New York
|
0.000%
|
11/20/19
|
|
4,985,486
|
|
5,000
|
|
Canada
|
0.000%
|
11/15/19
|
|
4,988,000
|
|
5,000
|
|
DNB Bank ASA, 144A
|
0.000%
|
11/18/19
|
|
4,986,000
|
|
3,000
|
|
Erste Abwicklungsanstalt, 144A
|
0.000%
|
11/04/19
|
|
2,994,192
|
|
5,000
|
|
Erste Finance Delaware LLC, 144A
|
0.000%
|
11/14/19
|
|
4,987,350
|
|
5,000
|
|
European Investment Bank
|
0.000%
|
11/20/19
|
|
4,986,389
|
|
5,000
|
|
Hannover Funding Co LLC, 144A
|
0.000%
|
11/06/19
|
|
4,985,200
|
|
5,000
|
|
Manhattan Asset Funding Co LLC, 144A
|
0.000%
|
11/14/19
|
|
4,987,350
|
|
5,000
|
|
Matchpoint Finance PLC, 144A
|
0.000%
|
11/20/19
|
|
4,985,347
|
|
5,728
|
|
Mitsubishi UFJ Trust and Banking Corporation
|
2.120%
|
11/21/19
|
|
5,733,068
|
|
5,000
|
|
Sheffield Receivables Co LLC, 144A
|
0.000%
|
11/20/19
|
|
4,984,236
|
|
300
|
|
Skandinaviska Enskilda Banken AB/New York NY
|
2.570%
|
11/01/19
|
|
300,090
|
|
3,000
|
|
Swedbank AB
|
0.000%
|
11/19/19
|
|
2,991,017
|
|
5,000
|
|
Toronto-Dominion Bank, 144A
|
0.000%
|
11/20/19
|
|
4,985,972
|
|
5,000
|
|
Victory Receivables Corp, 144A
|
0.000%
|
11/08/19
|
|
4,988,917
|
|
68,628
|
|
Total Banks
|
|
|
|
68,465,238
|
|
JHD
|
Nuveen High Income December 2019 Target Term Fund (continued)
|
|
|
Portfolio of Investments September 30, 2019
|
|
|
(Unaudited)
|
|
Principal Amount (000)
|
|
Description (1)
|
Coupon
|
Maturity
|
|
Value
|
|
|
|
Beverages – 1.8%
|
|
|
|
|
|
$4,000
|
|
Coca-Cola Co, 144A
|
0.000%
|
11/06/19
|
|
$3,992,080
|
|
345
|
|
Coca-Cola Co, 144A
|
0.000%
|
11/12/19
|
|
344,070
|
|
500
|
|
Coca-Cola Co.
|
0.000%
|
11/14/19
|
|
498,595
|
|
4,845
|
|
Total Beverages
|
|
|
|
4,834,745
|
|
|
|
Capital Markets – 6.5%
|
|
|
|
|
|
10,000
|
|
Bennington Stark Capital Co LLC, 144A
|
0.000%
|
11/21/19
|
|
9,969,967
|
|
5,000
|
|
IntercontinentalExchange Inc, 144A
|
0.000%
|
11/20/19
|
|
4,985,555
|
|
2,500
|
|
Ridgefield Funding Co LLC, 144A
|
0.000%
|
11/19/19
|
|
2,492,786
|
|
17,500
|
|
Total Capital Markets
|
|
|
|
17,448,308
|
|
|
|
Diversified Financial Services – 39.6%
|
|
|
|
|
|
5,000
|
|
Atlantic Asset Securitization LLC, 144A
|
0.000%
|
11/13/19
|
|
4,987,637
|
|
5,000
|
|
Barton Capital SA, 144A
|
0.000%
|
11/14/19
|
|
4,987,228
|
|
3,000
|
|
Cancara Asset Securitisation LLC
|
0.000%
|
11/13/19
|
|
2,992,439
|
|
5,000
|
|
CDP Financial Inc, 144A
|
0.000%
|
11/15/19
|
|
4,987,625
|
|
5,000
|
|
Chariot Funding LLC, 144A
|
0.000%
|
11/15/19
|
|
4,985,937
|
|
4,000
|
|
Chesham Finance LLC, 144A
|
0.000%
|
11/18/19
|
|
3,985,973
|
|
1,000
|
|
Chesham Finance LLC
|
0.000%
|
11/20/19
|
|
996,722
|
|
3,500
|
|
Concord Minutemen Capital Co LLC
|
0.000%
|
11/15/19
|
|
3,490,594
|
|
5,000
|
|
CRC Funding LLC, 144A
|
0.000%
|
11/12/19
|
|
4,987,750
|
|
5,000
|
|
Crown Point Capital Co LLC, 144A
|
0.000%
|
11/20/19
|
|
4,985,486
|
|
5,000
|
|
Ebury Finance LLC, 144A
|
0.000%
|
11/20/19
|
|
4,983,611
|
|
5,000
|
|
Fairway Finance Co LLC, 144A
|
0.000%
|
11/20/19
|
|
4,984,514
|
|
1,250
|
|
Gotham Funding Corp
|
0.000%
|
10/01/19
|
|
1,250,000
|
|
5,000
|
|
Great Bridge Capital Co LLC, 144A
|
0.000%
|
11/15/19
|
|
4,986,375
|
|
5,000
|
|
Halkin Finance LLC, 144A
|
0.000%
|
11/18/19
|
|
4,982,467
|
|
450
|
|
JP Morgan Securities LLC
|
0.000%
|
11/22/19
|
|
448,473
|
|
5,000
|
|
Jupiter Securitization Co LLC, 144A
|
0.000%
|
11/15/19
|
|
4,985,938
|
|
3,500
|
|
Kells Funding LLC
|
0.000%
|
11/18/19
|
|
3,489,780
|
|
5,000
|
|
LMA-Americas LLC, 144A
|
0.000%
|
11/15/19
|
|
4,985,750
|
|
2,500
|
|
Mont Blanc Capital Corp, 144A
|
0.000%
|
11/18/19
|
|
2,492,400
|
|
2,500
|
|
Mont Blanc Capital Corp, 144A
|
0.000%
|
11/19/19
|
|
2,492,684
|
|
5,000
|
|
Mountcliff Funding LLC, 144A
|
0.000%
|
11/15/19
|
|
4,986,437
|
|
5,000
|
|
National Securities Clearing Corp, 144A
|
0.000%
|
11/20/19
|
|
4,986,042
|
|
5,000
|
|
Old Line Funding LLC, 144A
|
0.000%
|
11/08/19
|
|
4,988,389
|
|
5,000
|
|
Versailles Commercial Paper LLC, 144A
|
0.000%
|
11/15/19
|
|
4,986,875
|
|
5,000
|
|
White Plains Capital Co LLC, 144A
|
0.000%
|
11/20/19
|
|
4,982,292
|
|
106,700
|
|
Total Diversified Financial Services
|
|
|
|
106,399,418
|
|
|
|
Electric Utilities – 0.4%
|
|
|
|
|
|
1,145
|
|
Hydro-Quebec, 144A
|
0.000%
|
11/05/19
|
|
1,142,774
|
|
Principal Amount (000)
|
|
Description (1)
|
Coupon
|
Maturity
|
|
Value
|
|
|
|
Electrical Equipment – 1.9%
|
|
|
|
|
|
$5,000
|
|
ST Engineering North America Inc, 144A
|
0.000%
|
11/15/19
|
|
$4,987,687
|
|
|
|
Energy Equipment & Services – 3.3%
|
|
|
|
|
|
5,000
|
|
Chevron Corp, 144A
|
0.000%
|
11/08/19
|
|
4,987,122
|
|
4,000
|
|
Schlumberger Investment SA, 144A
|
0.000%
|
11/18/19
|
|
3,989,173
|
|
9,000
|
|
Total Energy Equipment & Services
|
|
|
|
8,976,295
|
|
|
|
Food Products – 1.9%
|
|
|
|
|
|
2,000
|
|
Nestle Capital Corp, 144A
|
0.000%
|
11/20/19
|
|
1,989,524
|
|
3,000
|
|
Nestle Finance International Ltd
|
0.000%
|
11/20/19
|
|
2,991,083
|
|
5,000
|
|
Total Food Products
|
|
|
|
4,980,607
|
|
|
|
Industrial Conglomerates – 1.9%
|
|
|
|
|
|
5,000
|
|
Anglesea Funding LLC, 144A
|
0.000%
|
11/20/19
|
|
4,983,680
|
|
|
|
Insurance – 2.5%
|
|
|
|
|
|
5,000
|
|
MetLife Short Term Funding LLC, 144A
|
0.000%
|
11/08/19
|
|
4,987,703
|
|
1,750
|
|
Prudential PLC, 144A
|
0.000%
|
11/08/19
|
|
1,745,271
|
|
6,750
|
|
Total Insurance
|
|
|
|
6,732,974
|
|
|
|
Oil, Gas & Consumable Fuels – 1.9%
|
|
|
|
|
|
5,000
|
|
Exxon Mobil Corp
|
0.000%
|
11/19/19
|
|
4,986,729
|
|
|
|
Pharmaceuticals – 4.1%
|
|
|
|
|
|
5,000
|
|
Novartis Finance Corp, 144A
|
0.000%
|
11/01/19
|
|
4,991,389
|
|
6,000
|
|
Pfizer Inc, 144A
|
0.000%
|
11/14/19
|
|
5,983,280
|
|
11,000
|
|
Total Pharmaceuticals
|
|
|
|
10,974,669
|
|
|
|
Road & Rail – 3.7%
|
|
|
|
|
|
5,000
|
|
Toyota Industries Commercial Finance Inc, 144A
|
0.000%
|
11/13/19
|
|
4,987,697
|
|
5,000
|
|
Wheels Inc, 144A
|
0.000%
|
11/14/19
|
|
4,987,472
|
|
10,000
|
|
Total Road & Rail
|
|
|
|
9,975,169
|
|
$265,068
|
|
Total Commercial Paper (cost $264,354,388)
|
|
|
|
264,354,388
|
|
Principal Amount (000)
|
|
Description (1)
|
|
|
Coupon
|
Maturity
|
Ratings (2)
|
Value
|
|
|
|
U.S. GOVERNMENT AND AGENCY OBLIGATIONS – 1.3% (1.3% of Total Investments)
|
|
|
|
|
|
|
|
$3,500
|
|
Federal Home Loan Bank Discount Notes
|
|
|
0.000%
|
11/20/19
|
Aaa
|
$3,490,521
|
|
|
|
Total U.S. Government and Agency Obligations (cost $3,490,521)
|
|
|
|
|
|
3,490,521
|
|
JHD
|
Nuveen High Income December 2019 Target Term Fund (continued)
|
|
|
Portfolio of Investments September 30, 2019
|
|
|
(Unaudited)
|
|
Principal Amount (000)
|
|
Description (1)
|
|
|
Coupon
|
Maturity
|
|
Value
|
|
|
|
REPURCHASE AGREEMENTS – 0.1%
|
|
|
|
|
|
|
|
$125
|
|
Repurchase Agreement with Fixed Income Clearing Corporation, dated 9/30/19, repurchase price $124,587
collateralized $110,000 U.S. Treasury Bonds, 2.875%, due 5/15/43, value $127,276
|
|
|
0.850%
|
10/01/19
|
|
$124,584
|
|
|
|
Total Repurchase Agreements (cost $124,584)
|
|
|
|
|
|
124,584
|
|
|
|
Total Short-Term Investments (cost $267,969,493)
|
|
|
|
|
|
267,969,493
|
|
|
|
Total Investments (cost $268,599,583) – 100.1%
|
|
|
|
|
|
268,594,635
|
|
|
|
Other Assets Less Liabilities – (0.1)%
|
|
|
|
|
|
(206,358)
|
|
|
|
Net Assets Applicable to Common Shares – 100%
|
|
|
|
|
|
$268,388,277
|
Part F of Form N-PORT was prepared
in accordance with U.S. generally accepted accounting principles (“U.S. GAAP”) and in conformity with the applicable rules and regulations of the U.S. Securities and Exchange Commission (“SEC”)
related to interim filings. Part F of Form N-PORT does not include all information and footnotes required by U.S. GAAP for complete financial statements. Certain footnote disclosures normally included in financial
statements prepared in accordance with U.S. GAAP have been condensed or omitted from this report pursuant to the rules of the SEC. For a full set of the Fund’s notes to financial statements, please refer to the
Fund’s most recently filed annual or semi-annual report.
Fair Value Measurements
The Fund's investments in securities
are recorded at their estimated fair value. Fair value is defined as the price that would be received upon selling an investment or transferring a liability in an orderly transaction to an independent buyer in the
principal or most advantageous market for the investment. 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, credit spreads, 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:
|
|
|
|
|
|
Convertible Bonds
|
$ —
|
$625,142
|
$ —
|
$625,142
|
|
Short-Term Investments:
|
|
|
|
|
|
Commercial Paper
|
—
|
264,354,388
|
—
|
264,354,388
|
|
U.S. Government and Agency Obligations
|
—
|
3,490,521
|
—
|
3,490,521
|
|
Repurchase Agreements
|
—
|
124,584
|
—
|
124,584
|
|
Total
|
$ —
|
$268,594,635
|
$ —
|
$268,594,635
|
|
|
For Fund portfolio compliance purposes, the Fund’s industry classifications refer to any one or more of the industry sub-classifications used by one or more widely recognized
market indexes or ratings group indexes, and/or as defined by Fund management. This definition may not apply for purposes of this report, which may combine industry sub-classifications into sectors for reporting ease.
|
|
|
(1)
|
All percentages shown in the Portfolio of Investments are based on net assets applicable to common shares unless otherwise noted.
|
|
|
(2)
|
For financial reporting purposes, the ratings disclosed are the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors
Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. This treatment of split-rated securities may differ from that used for other purposes, such as for Fund investment policies.
Ratings below BBB by Standard & Poor’s, Baa by Moody’s or BBB by Fitch are considered to be below investment grade. Holdings designated N/R are not rated by any of these national rating agencies.
|
|
|
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.
|
|
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