schemaVersion:

N-CEN: Filer Information

Submission Contact Information

Name
 
Phone
 
E-Mail Address
 

Notification Information

Notify via Filing Website only?Checkbox not checked

N-CEN:Series/Class (Contract) Information

Series ID Record:1
Series ID
S000055017 
Class ID Record:1
Class ID
C000173018 
Series ID Record:2
Series ID
S000056738 
Class ID Record:1
Class ID
C000180107 
Series ID Record:3
Series ID
S000064846 
Class ID Record:1
Class ID
C000209930 
Series ID Record:4
Series ID
S000059077 
Class ID Record:1
Class ID
C000193700 
Series ID Record:5
Series ID
S000076615 
Class ID Record:1
Class ID
C000236604 

N-CEN:Part A: General Information

Item A.1. Reporting period covered.

a. Report for period ending:
2023-07-31 
b. Does this report cover a period of less than 12 months?Radio button not checked Yes Radio button checked No

N-CEN:Part B: Information About the Registrant


Item B.1. Background information.

a. Full name of Registrant
Nushares ETF Trust 
b. Investment Company Act file number ( e.g., 811-)
811-23161 
c. CIK
0001635073 
d. LEI
549300UWO63YZ5POLH71 

Item B.2. Address and telephone number of Registrant.

a. Street 1
333 West Wacker Drive 
Street 2
 
b. City
Chicago 
c. State, if applicable
ILLINOIS  
d. Foreign country, if applicable
UNITED STATES OF AMERICA  
e. Zip code and zip code extension, or foreign postal code
606061286 
f. Telephone number (including country code if foreign)
3129177700 
g. Public Website, if any
www.nuveen.com 

Item B.3. Location of books and records.

Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section.
Location books Record: 1
a. Name of person (e.g., a custodian of records)
Brown Brothers Harriman (BBH) 
b. Street 1
50 Post Office Square 
Street 2
 
c. City
Boston 
d. State, if applicable
MASSACHUSETTS  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
02110 
g. Telephone number (including country code if foreign)
6177721818 
h. Briefly describe the books and records kept at this location:
As custodian, Brown Brothers Harriman performs custodial, fund accounting and portfolio accounting services. 
Location books Record: 2
a. Name of person (e.g., a custodian of records)
Nuveen Fund Advisors, LLC 
b. Street 1
333 West Wacker Drive 
Street 2
 
c. City
Chicago 
d. State, if applicable
ILLINOIS  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
606061286 
g. Telephone number (including country code if foreign)
3129177700 
h. Briefly describe the books and records kept at this location:
Certificate of Incorporation, By-Laws, minutes of director and shareholder meetings and contracts of the Registrant and all advisory material of the investment adviser 
Location books Record: 3
a. Name of person (e.g., a custodian of records)
Brown Brothers Harriman 
b. Street 1
50 Post Office Square 
Street 2
 
c. City
Boston 
d. State, if applicable
MISSOURI  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
02110 
g. Telephone number (including country code if foreign)
6177721818 
h. Briefly describe the books and records kept at this location:
All required records in its capacity as transfer, administrator and custodian for the Registrant. 

Item B.4. Initial of final filings.

Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
a. Is this the first filing on this form by the Registrant? Radio button not checked Yes Radio button checked No
b. Is this the last filing on this form by the Registrant? Radio button not checked Yes Radio button checked No

Item B.5. Family of investment companies.

Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically.
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar.
a. Is the Registrant part of a family of investment companies? Radio button checked Yes Radio button not checked No
i. Full name of family of investment companies
Nuveen Funds 

Item B.6. Organization.

Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act).
Indicate the classification of the Registrant by checking the applicable item below.
Checkbox checked  a. Open-end management investment company registered under the Act on Form N-1A 
Checkbox not checked  b. Closed-end management investment company registered under the Act on Form N-2  
Checkbox not checked  c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3 
Checkbox not checked  d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4 
Checkbox not checked  e. Small business investment company registered under the Act on Form N-5 
Checkbox not checked  f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6 
Checkbox not checked  g. Unit investment trust registered under the Act on Form N-8B-2 
i. Total number of Series of the Registrant
19 

Item B.7. Securities Act registration.

Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? Radio button checked Yes Radio button not checked No

Item B.8. Directors.

Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
Director Record: 1
a. Full Name
Terence J. Toth 
b. CRD number, if any
004501033 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 2
a. Full Name
Jack B. Evans 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 3
a. Full Name
William C. Hunter 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 4
a. Full Name
Albin F. Moschner 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 5
a. Full Name
John K. Nelson 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 6
a. Full Name
Margaret L. Wolff 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 7
a. Full Name
Robert L. Young 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 8
a. Full Name
Matthew Thornton III 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 9
a. Full Name
Amy B. R. Lancellotta 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 
Director Record: 10
a. Full Name
Joanne T. Medero 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-05309 
File Number Record: 2
File Number Record:
811-05120 
File Number Record: 3
File Number Record:
811-05235 
File Number Record: 4
File Number Record:
811-05238 
File Number Record: 5
File Number Record:
811-05488 
File Number Record: 6
File Number Record:
811-05642 
File Number Record: 7
File Number Record:
811-06265 
File Number Record: 8
File Number Record:
811-06623 
File Number Record: 9
File Number Record:
811-06385 
File Number Record: 10
File Number Record:
811-06548 
File Number Record: 11
File Number Record:
811-06622 
File Number Record: 12
File Number Record:
811-06624 
File Number Record: 13
File Number Record:
811-06693 
File Number Record: 14
File Number Record:
811-07056 
File Number Record: 15
File Number Record:
811-07278 
File Number Record: 16
File Number Record:
811-07484 
File Number Record: 17
File Number Record:
811-07490 
File Number Record: 18
File Number Record:
811-07616 
File Number Record: 19
File Number Record:
811-07619 
File Number Record: 20
File Number Record:
811-07747 
File Number Record: 21
File Number Record:
811-07751 
File Number Record: 22
File Number Record:
811-07755 
File Number Record: 23
File Number Record:
811-07873 
File Number Record: 24
File Number Record:
811-07943 
File Number Record: 25
File Number Record:
811-08333 
File Number Record: 26
File Number Record:
811-09037 
File Number Record: 27
File Number Record:
811-09135 
File Number Record: 28
File Number Record:
811-09161 
File Number Record: 29
File Number Record:
811-09297 
File Number Record: 30
File Number Record:
811-09455 
File Number Record: 31
File Number Record:
811-09475 
File Number Record: 32
File Number Record:
811-09571 
File Number Record: 33
File Number Record:
811-10345 
File Number Record: 34
File Number Record:
811-10491 
File Number Record: 35
File Number Record:
811-21137 
File Number Record: 36
File Number Record:
811-21152 
File Number Record: 37
File Number Record:
811-21211 
File Number Record: 38
File Number Record:
811-21212 
File Number Record: 39
File Number Record:
811-21213 
File Number Record: 40
File Number Record:
811-21293 
File Number Record: 41
File Number Record:
811-21333 
File Number Record: 42
File Number Record:
811-21407 
File Number Record: 43
File Number Record:
811-21449 
File Number Record: 44
File Number Record:
811-21471 
File Number Record: 45
File Number Record:
811-21494 
File Number Record: 46
File Number Record:
811-21579 
File Number Record: 47
File Number Record:
811-21619 
File Number Record: 48
File Number Record:
811-21809 
File Number Record: 49
File Number Record:
811-21979 
File Number Record: 50
File Number Record:
811-22003 
File Number Record: 51
File Number Record:
811-22023 
File Number Record: 52
File Number Record:
811-22058 
File Number Record: 53
File Number Record:
811-22253 
File Number Record: 54
File Number Record:
811-22323 
File Number Record: 55
File Number Record:
811-22329 
File Number Record: 56
File Number Record:
811-22391 
File Number Record: 57
File Number Record:
811-22518 
File Number Record: 58
File Number Record:
811-22658 
File Number Record: 59
File Number Record:
811-22699 
File Number Record: 60
File Number Record:
811-22752 
File Number Record: 61
File Number Record:
811-22779 
File Number Record: 62
File Number Record:
811-22967 
File Number Record: 63
File Number Record:
811-22970 
File Number Record: 64
File Number Record:
811-22971 
File Number Record: 65
File Number Record:
811-22988 
File Number Record: 66
File Number Record:
811-23075 
File Number Record: 67
File Number Record:
811-23161 
File Number Record: 68
File Number Record:
811-23195 
File Number Record: 69
File Number Record:
811-23198 
File Number Record: 70
File Number Record:
811-23262 
File Number Record: 71
File Number Record:
811-23381 
File Number Record: 72
File Number Record:
811-23440 
File Number Record: 73
File Number Record:
811-23489 
File Number Record: 74
File Number Record:
811-23445 
File Number Record: 75
File Number Record:
811-23627 
File Number Record: 76
File Number Record:
811-23669 
File Number Record: 77
File Number Record:
811-23704 

Item B.9. Chief compliance officer.

Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
Chief compliance officer Record: 1
a. Full Name
Brett E. Black 
b. CRD Number, if any
N/A 
c. Street Address 1
333 West Wacker Drive 
Street Address 2
 
d. City
Chicago 
e. State, if applicable
ILLINOIS  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Zip code and zip code extension, or foreign postal code
606061286 
h. Telephone number (including country code if foreign)
XXXXXX 
i. Has the chief compliance officer changed since the last filing? Radio button not checked Yes Radio button checked No
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide:
CCO employer Record: 1
i. Name of the person
Nuveen Services LLC 
ii. Person's IRS Employer Identification Number
81-3407371 

Item B.10. Matters for security holder vote.

Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters.
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? Radio button not checked Yes Radio button checked No

Item B.11. Legal proceeding.

Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? Radio button not checked Yes Radio button checked No
b. Has any proceeding previously reported been terminated? Radio button not checked Yes Radio button checked No

Item B.12. Fidelity bond and insurance (management investment companies only).

a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? Radio button not checked Yes Radio button checked No

Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).

a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? Radio button checked Yes Radio button not checked No
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? Radio button not checked Yes Radio button checked No

Item B.14. Provision of financial support.

Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? Radio button not checked Yes Radio button checked No

Item B.15. Exemptive orders.

a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? Radio button not checked Yes Radio button checked No

Item B.16. Principal underwriters.

a. Provide the information requested below about each principal underwriter:
Principal underwriter Record: 1
i. Full name
Nuveen Securities, LLC 
ii. SEC file number (e.g., 8-)
008-13464 
iii. CRD number
000000469 
iv. LEI, if any
549300SUT66RK1UQZ953 
v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? Radio button checked Yes Radio button not checked No
b. Have any principal underwriters been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item B.17. Independent public accountant.

Provide the following information about eachthe independent public accountant:
Public accountant Record: 1
a. Full Name
KPMG LLP 
b. PCAOB Number
00185 
c. LEI, if any
5493003PVCIGA21K0K42 
d. State, if applicable
ILLINOIS  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Has the independent public accountant changed since the last filing?Radio button not checked Yes Radio button checked No

Item B.18. Report on internal control (management investment companies only).

Instruction. Small business investment companies are not required to respond to this item.
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? Radio button not checked Yes Radio button checked No

Item B.19. Audit opinion.

For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? Radio button not checked Yes Radio button checked No

Item B.20. Change in valuation methods.

Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? Radio button not checked Yes Radio button checked No

Item B.21. Change in accounting principles and practices.

Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? Radio button not checked Yes Radio button checked No

Item B.22. Net asset value error corrections (open-end management investment companies only).

a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? Radio button not checked Yes Radio button checked No

Item B.23. Rule 19a-1 notice (management investment companies only).

During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? Radio button not checked Yes Radio button checked No

N-CEN:Part C: Additional Questions for Management Investment Companies

General Instruction.

Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below.
Management Investment Record: 1

Item C.1. Background information.

a. Full Name of the Fund

Nuveen Enhanced Yield U.S. Aggregate Bond ETF 

b. Series identication number, if any

S000055017 

c. LEI

549300HE9VJ0SFOJ5553 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Nuveen Enhanced Yield U.S. Aggregate Bond ETF 
ii. Class identification number, if any

C000173018 

iii. Ticker symbol, if any

NUAG 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button checked Yes Radio button not checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-0.055044565379 
2. After Fund fees and expenses (i.e., net asset value):
-0.251670741835 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.971392822464 
2. After Fund fees and expenses (i.e., net asset value):
0.972999261861 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

558,881.141666667000 

g. Provide the net income from securities lending activities

3,502.000000000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Nuveen Fund Advisors, LLC 
ii. SEC file number ( e.g., 801- )

801-14147 

iii.CRD number
000104626 
iv. LEI, if any

5493003J8FN3E5O9OT63 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Teachers Advisors, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-46887 

iii. CRD number
000107157 
iv. LEI, if any

Q3EVPQI7HQSIMVRLOU14 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii.SEC file number ( e.g., 84- or 85- )

084-06072 

iii. LEI, if any

5493006KMX1VFTPYPW14 

iv. State, if applicable
NEW YORK  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing and Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Financial & Risk U.S. Holdings, Inc. (Refinitiv) 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJ07N016 

Description of other identifying number

 

iii. State, if applicable
DELAWARE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BERMUDA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Pricing Direct 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg 
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
Bloomberg BVAL 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 7
i. Full name
Bank of America 
ii. LEI, if any, or provide and describe other identifying number

B4TYDEB6GKMZO031MB27 

Description of other identifying number

 

iii. State, if applicable
NORTH CAROLINA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any

5493006KMX1VFTPYPW14 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any, or other identifying number

5493006KMX1VFTPYPW14 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Nuveen Securities, LLC 
b. SEC file number

008-13464 

c. CRD number
000000469 
d. LEI, if any

549300SUT66RK1UQZ953 

e. State, if applicable
ILLINOIS  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 2
a. Full name
TIAA-CREF Individual & Institutional Services, LLC 
b. SEC file number

008-44454 

c. CRD number
000020472 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 3
a. Full name
Teachers Professional Investors Services, Inc. 
b. SEC file number

008-47051 

c. CRD number
000036130 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Citadel Securities LLC 
ii. SEC file number

008-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
FLORIDA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

0.200000000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.200000000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

008-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

17,833,367.120000000000 

Principal Transactions Record: 2
i. Full name of dealer
Morgan Stanley 
ii. SEC file number

008-15869 

iii. CRD number
000008209 
iv. LEI, if any

7PDDXEMZ0ZV0CEDU4D16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

12,669,758.460000000000 

Principal Transactions Record: 3
i. Full name of dealer
INTL FCStone Credit Trading LLC 
ii. SEC file number

008-49291 

iii. CRD number
000041025 
iv. LEI, if any

549300QXVHD3G589TO05 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,794,987.130000000000 

Principal Transactions Record: 4
i. Full name of dealer
JPMorgan Securities LLC 
ii. SEC file number

008-36950 

iii. CRD number
000018718 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6,097,088.800000000000 

Principal Transactions Record: 5
i. Full name of dealer
Bank of America, National Association 
ii. SEC file number

008-07221 

iii. CRD number
000007691 
iv. LEI, if any

B4TYDEB6GKMZO031MB27 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

5,948,653.610000000000 

Principal Transactions Record: 6
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

008-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,708,534.530000000000 

Principal Transactions Record: 7
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

008-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,705,408.610000000000 

Principal Transactions Record: 8
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

008-32682 

iii. CRD number
000015794 
iv. LEI, if any

RCNB6OTYUAMMP879YW96 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,102,380.310000000000 

Principal Transactions Record: 9
i. Full name of dealer
Citigroup 
ii. SEC file number

008-08177 

iii. CRD number
000007059 
iv. LEI, if any

549300S41SMIODVIT266 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,030,346.610000000000 

Principal Transactions Record: 10
i. Full name of dealer
Deutsche Bank Securities Inc. 
ii. SEC file number

008-17822 

iii. CRD number
000002525 
iv. LEI, if any

9J6MBOOO7BECTDTUZW19 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,938,669.250000000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

87,655,328.470000000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

48,581,626.075068500000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 2

Item C.1. Background information.

a. Full Name of the Fund

Nuveen ESG 1-5 Year U.S. Aggregate Bond ETF 

b. Series identication number, if any

S000056738 

c. LEI

549300U4HMIURVN2OD61 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Nuveen ESG 1-5 Year U.S. Aggregate Bond ETF 
ii. Class identification number, if any

C000180107 

iii. Ticker symbol, if any

NUSA 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button checked Yes Radio button not checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-0.103901910307 
2. After Fund fees and expenses (i.e., net asset value):
-0.300718362773 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.414017475688 
2. After Fund fees and expenses (i.e., net asset value):
0.416092184217 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

294,014.047500000000 

g. Provide the net income from securities lending activities

2,956.000000000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Nuveen Fund Advisors, LLC 
ii. SEC file number ( e.g., 801- )

801-14147 

iii.CRD number
000104626 
iv. LEI, if any

5493003J8FN3E5O9OT63 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Teachers Advisors, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-46887 

iii. CRD number
000107157 
iv. LEI, if any

Q3EVPQI7HQSIMVRLOU14 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii.SEC file number ( e.g., 84- or 85- )

084-06072 

iii. LEI, if any

5493006KMX1VFTPYPW14 

iv. State, if applicable
NEW YORK  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing and Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Financial & Risk U.S. Holdings, Inc. (Refinitiv) 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJ07N016 

Description of other identifying number

 

iii. State, if applicable
DELAWARE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BERMUDA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Pricing Direct 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg 
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
Bloomberg BVAL 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 7
i. Full name
Bank of America 
ii. LEI, if any, or provide and describe other identifying number

B4TYDEB6GKMZO031MB27 

Description of other identifying number

 

iii. State, if applicable
NORTH CAROLINA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any

5493006KMX1VFTPYPW14 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any, or other identifying number

5493006KMX1VFTPYPW14 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Nuveen Securities, LLC 
b. SEC file number

008-13464 

c. CRD number
000000469 
d. LEI, if any

549300SUT66RK1UQZ953 

e. State, if applicable
ILLINOIS  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 2
a. Full name
TIAA-CREF Individual & Institutional Services, LLC 
b. SEC file number

008-44454 

c. CRD number
000020472 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 3
a. Full name
Teachers Professional Investors Services, Inc. 
b. SEC file number

008-47051 

c. CRD number
000036130 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
i. Full name of broker
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Gross commissions paid by the Fund for the reporting period

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.000000000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
JPMorgan Securities LLC 
ii. SEC file number

008-36950 

iii. CRD number
000018718 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6,049,498.410000000000 

Principal Transactions Record: 2
i. Full name of dealer
Bank of America, National Association 
ii. SEC file number

008-07221 

iii. CRD number
000007691 
iv. LEI, if any

B4TYDEB6GKMZO031MB27 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,785,278.440000000000 

Principal Transactions Record: 3
i. Full name of dealer
MartketAxess Corporation 
ii. SEC file number

008-50727 

iii. CRD number
000044542 
iv. LEI, if any

GPSMMRI21JE7ZCVYF972 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,477,358.420000000000 

Principal Transactions Record: 4
i. Full name of dealer
HSBC Securities (USA) Inc. 
ii. SEC file number

008-41562 

iii. CRD number
000019585 
iv. LEI, if any

CYYGQCGNHMHPSMRL3R97 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,133,296.490000000000 

Principal Transactions Record: 5
i. Full name of dealer
Deutsche Bank Securities Inc. 
ii. SEC file number

008-17822 

iii. CRD number
000002525 
iv. LEI, if any

9J6MBOOO7BECTDTUZW19 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,935,641.080000000000 

Principal Transactions Record: 6
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

008-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,945,439.050000000000 

Principal Transactions Record: 7
i. Full name of dealer
Scotia Capital (USA) Inc. 
ii. SEC file number

008-03716 

iii. CRD number
000002739 
iv. LEI, if any

549300BLWPABP1VNME36 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,865,575.190000000000 

Principal Transactions Record: 8
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

008-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,548,237.970000000000 

Principal Transactions Record: 9
i. Full name of dealer
Citigroup 
ii. SEC file number

008-08177 

iii. CRD number
000007059 
iv. LEI, if any

549300S41SMIODVIT266 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,542,826.610000000000 

Principal Transactions Record: 10
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

008-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,386,494.650000000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

50,959,873.320000000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

33,482,687.768876700000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 3

Item C.1. Background information.

a. Full Name of the Fund

Nuveen ESG High Yield Corporate Bond ETF 

b. Series identication number, if any

S000064846 

c. LEI

5493004NNDIHW8KI0J08 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Nuveen ESG High Yield Corporate Bond ETF  
ii. Class identification number, if any

C000209930 

iii. Ticker symbol, if any

NUHY 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button checked Yes Radio button not checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-0.075253828699 
2. After Fund fees and expenses (i.e., net asset value):
-0.385328872609 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
1.099330363668 
2. After Fund fees and expenses (i.e., net asset value):
1.100866049619 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A 

g. Provide the net income from securities lending activities

89,393.000000000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Nuveen Fund Advisors, LLC 
ii. SEC file number ( e.g., 801- )

801-14147 

iii.CRD number
000104626 
iv. LEI, if any

5493003J8FN3E5O9OT63 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Teachers Advisors, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-46887 

iii. CRD number
000107157 
iv. LEI, if any

Q3EVPQI7HQSIMVRLOU14 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii.SEC file number ( e.g., 84- or 85- )

084-06072 

iii. LEI, if any

5493006KMX1VFTPYPW14 

iv. State, if applicable
NEW YORK  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing and Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Financial & Risk U.S. Holdings, Inc. (Refinitiv) 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJ07N016 

Description of other identifying number

 

iii. State, if applicable
DELAWARE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BERMUDA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Pricing Direct 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg 
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
Bloomberg BVAL 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 7
i. Full name
Bank of America 
ii. LEI, if any, or provide and describe other identifying number

B4TYDEB6GKMZO031MB27 

Description of other identifying number

 

iii. State, if applicable
NORTH CAROLINA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any

5493006KMX1VFTPYPW14 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any, or other identifying number

5493006KMX1VFTPYPW14 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Nuveen Securities, LLC 
b. SEC file number

008-13464 

c. CRD number
000000469 
d. LEI, if any

549300SUT66RK1UQZ953 

e. State, if applicable
ILLINOIS  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 2
a. Full name
TIAA-CREF Individual & Institutional Services, LLC 
b. SEC file number

008-44454 

c. CRD number
000020472 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 3
a. Full name
Teachers Professional Investors Services, Inc. 
b. SEC file number

008-47051 

c. CRD number
000036130 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
i. Full name of broker
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Gross commissions paid by the Fund for the reporting period

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.000000000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Bank of America, National Association 
ii. SEC file number

008-07221 

iii. CRD number
000007691 
iv. LEI, if any

B4TYDEB6GKMZO031MB27 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

14,460,408.930000000000 

Principal Transactions Record: 2
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

008-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

12,052,492.410000000000 

Principal Transactions Record: 3
i. Full name of dealer
JPMorgan Securities LLC 
ii. SEC file number

008-36950 

iii. CRD number
000018718 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,170,708.540000000000 

Principal Transactions Record: 4
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

008-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

8,594,937.200000000000 

Principal Transactions Record: 5
i. Full name of dealer
Morgan Stanley 
ii. SEC file number

008-15869 

iii. CRD number
000008209 
iv. LEI, if any

7PDDXEMZ0ZV0CEDU4D16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,683,127.880000000000 

Principal Transactions Record: 6
i. Full name of dealer
National Financial Services LLC 
ii. SEC file number

008-26740 

iii. CRD number
000013041 
iv. LEI, if any

549300JRHF1MHHWUAW04 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

5,087,715.400000000000 

Principal Transactions Record: 7
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

008-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,716,680.530000000000 

Principal Transactions Record: 8
i. Full name of dealer
Citigroup 
ii. SEC file number

008-08177 

iii. CRD number
000007059 
iv. LEI, if any

549300S41SMIODVIT266 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,627,872.000000000000 

Principal Transactions Record: 9
i. Full name of dealer
Millennium Advisors, LLC 
ii. SEC file number

008-68349 

iii. CRD number
000151236 
iv. LEI, if any

254900E1P6Z2XZYSA163 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,302,135.350000000000 

Principal Transactions Record: 10
i. Full name of dealer
Deutsche Bank Securities Inc. 
ii. SEC file number

008-17822 

iii. CRD number
000002525 
iv. LEI, if any

9J6MBOOO7BECTDTUZW19 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,297,472.320000000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

78,517,905.970000000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

100,283,550.960658000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 4

Item C.1. Background information.

a. Full Name of the Fund

Nuveen ESG U.S. Aggregate Bond ETF 

b. Series identication number, if any

S000059077 

c. LEI

549300JPDKPHQSPVGM75 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Nuveen ESG U.S. Aggregate Bond ETF 
ii. Class identification number, if any

C000193700 

iii. Ticker symbol, if any

NUBD 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button checked Yes Radio button not checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
0.090501996212 
2. After Fund fees and expenses (i.e., net asset value):
-0.055530748054 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.732498906556 
2. After Fund fees and expenses (i.e., net asset value):
0.733480732204 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

2,450,690.393333330000 

g. Provide the net income from securities lending activities

16,781.000000000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Nuveen Fund Advisors, LLC 
ii. SEC file number ( e.g., 801- )

801-14147 

iii.CRD number
000104626 
iv. LEI, if any

5493003J8FN3E5O9OT63 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Teachers Advisors, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-46887 

iii. CRD number
000107157 
iv. LEI, if any

Q3EVPQI7HQSIMVRLOU14 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii.SEC file number ( e.g., 84- or 85- )

084-06072 

iii. LEI, if any

5493006KMX1VFTPYPW14 

iv. State, if applicable
NEW YORK  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing and Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Financial & Risk U.S. Holdings, Inc. (Refinitiv) 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJ07N016 

Description of other identifying number

 

iii. State, if applicable
DELAWARE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BERMUDA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Pricing Direct 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg 
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
Bloomberg BVAL 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 7
i. Full name
Bank of America 
ii. LEI, if any, or provide and describe other identifying number

B4TYDEB6GKMZO031MB27 

Description of other identifying number

 

iii. State, if applicable
NORTH CAROLINA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any

5493006KMX1VFTPYPW14 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
EUROCLEAR 
ii. LEI, if any

N/A 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any, or other identifying number

5493006KMX1VFTPYPW14 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Nuveen Securities, LLC 
b. SEC file number

008-13464 

c. CRD number
000000469 
d. LEI, if any

549300SUT66RK1UQZ953 

e. State, if applicable
ILLINOIS  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 2
a. Full name
TIAA-CREF Individual & Institutional Services, LLC 
b. SEC file number

008-44454 

c. CRD number
000020472 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 3
a. Full name
Teachers Professional Investors Services, Inc. 
b. SEC file number

008-47051 

c. CRD number
000036130 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
i. Full name of broker
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Gross commissions paid by the Fund for the reporting period

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.000000000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

008-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

14,824,188.600000000000 

Principal Transactions Record: 2
i. Full name of dealer
JPMorgan Securities LLC 
ii. SEC file number

008-36950 

iii. CRD number
000018718 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,277,633.610000000000 

Principal Transactions Record: 3
i. Full name of dealer
Citigroup 
ii. SEC file number

008-08177 

iii. CRD number
000007059 
iv. LEI, if any

549300S41SMIODVIT266 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,213,545.720000000000 

Principal Transactions Record: 4
i. Full name of dealer
Bank of America, National Association 
ii. SEC file number

008-07221 

iii. CRD number
000007691 
iv. LEI, if any

B4TYDEB6GKMZO031MB27 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,018,815.830000000000 

Principal Transactions Record: 5
i. Full name of dealer
BNY Mellon Capital Markets, LLC 
ii. SEC file number

008-35255 

iii. CRD number
000017454 
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

5,358,268.760000000000 

Principal Transactions Record: 6
i. Full name of dealer
Morgan Stanley 
ii. SEC file number

008-15869 

iii. CRD number
000008209 
iv. LEI, if any

7PDDXEMZ0ZV0CEDU4D16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

5,009,948.720000000000 

Principal Transactions Record: 7
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

008-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,677,250.030000000000 

Principal Transactions Record: 8
i. Full name of dealer
Deutsche Bank Securities Inc. 
ii. SEC file number

008-17822 

iii. CRD number
000002525 
iv. LEI, if any

9J6MBOOO7BECTDTUZW19 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,672,262.950000000000 

Principal Transactions Record: 9
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

008-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,151,910.110000000000 

Principal Transactions Record: 10
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

008-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,133,087.100000000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

78,381,013.700000000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

253,413,505.692822000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 5

Item C.1. Background information.

a. Full Name of the Fund

Nuveen Global Net Zero Transition ETF 

b. Series identication number, if any

S000076615 

c. LEI

549300Q9X2443ZNQMC07 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Nuveen Global Net Zero Transition ETF 
ii. Class identification number, if any

C000236604 

iii. Ticker symbol, if any

NTZG 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button not checked Yes Radio button checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-1.753151971803 
2. After Fund fees and expenses (i.e., net asset value):
-2.365926381487 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
3.098662350223 
2. After Fund fees and expenses (i.e., net asset value):
3.098293085102 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A 

g. Provide the net income from securities lending activities

N/A 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Nuveen Fund Advisors, LLC 
ii. SEC file number ( e.g., 801- )

801-14147 

iii.CRD number
000104626 
iv. LEI, if any

5493003J8FN3E5O9OT63 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Teachers Advisors, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-46887 

iii. CRD number
000107157 
iv. LEI, if any

Q3EVPQI7HQSIMVRLOU14 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii.SEC file number ( e.g., 84- or 85- )

084-06072 

iii. LEI, if any

5493006KMX1VFTPYPW14 

iv. State, if applicable
NEW YORK  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing and Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Financial & Risk U.S. Holdings, Inc. (Refinitiv) 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJ07N016 

Description of other identifying number

 

iii. State, if applicable
DELAWARE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BERMUDA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Pricing Direct 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg 
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
Bloomberg BVAL 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 7
i. Full name
Bank of America 
ii. LEI, if any, or provide and describe other identifying number

B4TYDEB6GKMZO031MB27 

Description of other identifying number

 

iii. State, if applicable
NORTH CAROLINA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any

5493006KMX1VFTPYPW14 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Brown Brothers Harriman & Co. 
ii. LEI, if any, or other identifying number

5493006KMX1VFTPYPW14 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Nuveen Securities, LLC 
b. SEC file number

008-13464 

c. CRD number
000000469 
d. LEI, if any

549300SUT66RK1UQZ953 

e. State, if applicable
ILLINOIS  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 2
a. Full name
TIAA-CREF Individual & Institutional Services, LLC 
b. SEC file number

008-44454 

c. CRD number
000020472 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 

Broker Dealers Record: 3
a. Full name
Teachers Professional Investors Services, Inc. 
b. SEC file number

008-47051 

c. CRD number
000036130 
d. LEI, if any

N/A 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.000000000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Sanford C. Bernstein & Co., LLC 
ii. SEC file number

008-52942 

iii. CRD number
000104474 
iv. LEI, if any

549300I7JYZHT7D5CO04 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

246.430000000000 

Brokers Record: 2
i. Full name of broker
JPMorgan Securities LLC 
ii. SEC file number

008-36950 

iii. CRD number
000018718 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

85.910000000000 

Brokers Record: 3
i. Full name of broker
UBS Financial Services Inc. 
ii. SEC file number

008-16267 

iii. CRD number
000008174 
iv. LEI, if any

ETYRV6ORNFJB5NONI676 

v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

74.430000000000 

Brokers Record: 4
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

008-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

53.370000000000 

Brokers Record: 5
i. Full name of broker
Instinet LLC 
ii. SEC file number

008-23669 

iii. CRD number
000007897 
iv. LEI, if any

549300MGMN3RKMU8FT57 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

36.260000000000 

Brokers Record: 6
i. Full name of broker
Citigroup 
ii. SEC file number

008-08177 

iii. CRD number
000007059 
iv. LEI, if any

549300S41SMIODVIT266 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

33.180000000000 

Brokers Record: 7
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

008-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

32.960000000000 

Brokers Record: 8
i. Full name of broker
Merrill Lynch & Co. Inc. 
ii. SEC file number

008-07221 

iii. CRD number
000007691 
iv. LEI, if any

DWW559HN8WVTCCS4VJ94 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

32.560000000000 

Brokers Record: 9
i. Full name of broker
Jefferies LLC 
ii. SEC file number

008-15869 

iii. CRD number
000008209 
iv. LEI, if any

7PDDXEMZ0ZV0CEDU4D16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8.080000000000 

Brokers Record: 10
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

008-22522 

iii. CRD number
000007616 
iv. LEI, if any

549300WR155U7DVMIW58 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

6.590000000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

647.360000000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Sanford C. Bernstein & Co., LLC 
ii. SEC file number

008-52942 

iii. CRD number
000104474 
iv. LEI, if any

549300I7JYZHT7D5CO04 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

821,883.880000000000 

Principal Transactions Record: 2
i. Full name of dealer
Instinet LLC 
ii. SEC file number

008-23669 

iii. CRD number
000007897 
iv. LEI, if any

549300MGMN3RKMU8FT57 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

784,944.910000000000 

Principal Transactions Record: 3
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

008-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

560,950.900000000000 

Principal Transactions Record: 4
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

008-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

501,814.710000000000 

Principal Transactions Record: 5
i. Full name of dealer
JPMorgan Securities LLC 
ii. SEC file number

008-36950 

iii. CRD number
000018718 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

486,371.970000000000 

Principal Transactions Record: 6
i. Full name of dealer
UBS Financial Services Inc. 
ii. SEC file number

008-16267 

iii. CRD number
000008174 
iv. LEI, if any

ETYRV6ORNFJB5NONI676 

v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

248,133.940000000000 

Principal Transactions Record: 7
i. Full name of dealer
Credit Suisse Securities (USA) LLC 
ii. SEC file number

008-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

161,505.170000000000 

Principal Transactions Record: 8
i. Full name of dealer
Virtu Americas LLC 
ii. SEC file number

008-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

158,989.570000000000 

Principal Transactions Record: 9
i. Full name of dealer
Citigroup 
ii. SEC file number

008-08177 

iii. CRD number
000007059 
iv. LEI, if any

549300S41SMIODVIT266 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

110,773.050000000000 

Principal Transactions Record: 10
i. Full name of dealer
Merrill Lynch & Co. Inc. 
ii. SEC file number

008-07221 

iii. CRD number
000007691 
iv. LEI, if any

DWW559HN8WVTCCS4VJ94 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

108,355.920000000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

4,166,308.880000000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

5,342,950.159808220000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No

N-CEN:Part E: Additional Questions for Exchange-Traded Funds and Exchange-Traded Managed Funds


Exchange Record: 1


Fund Name
Nuveen Enhanced Yield U.S. Aggregate Bond ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA  
b. Ticker. Provide the Fund's ticker symbol:
NUAG 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
ABN AMRO Clearing Chicago LLC 
b. SEC file number
008-34354 
c. CRD number
000014020 
d. LEI, if any
549300U16G4LU3V6C598 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 2
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
008-00201 
c. CRD number
000000134 
d. LEI, if any
5493004J7H4GCPG6OB62 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 3
a. Full Name
CITADEL SECURITIES LLC 
b. SEC file number
008-53574 
c. CRD number
000116797 
d. LEI, if any
12UUJYTN7D3SW8KCSG25 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 4
a. Full Name
CITIGROUP GLOBAL MARKETS INC. 
b. SEC file number
008-08177 
c. CRD number
000007059 
d. LEI, if any
MBNUM2BPBDO7JBLYG310 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 5
a. Full Name
CREDIT SUISSE SECURITIES (USA) LLC 
b. SEC file number
008-00422 
c. CRD number
000000816 
d. LEI, if any
1V8Y6QCX6YMJ2OELII46 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 6
a. Full Name
GOLDMAN SACHS & CO. LLC 
b. SEC file number
008-00129 
c. CRD number
000000361 
d. LEI, if any
FOR8UP27PHTHYVLBNG30 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
2,292,680.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
4,527,220.000000000000 
Authorized Participants Record: 7
a. Full Name
J.P. MORGAN SECURITIES LLC 
b. SEC file number
008-35008 
c. CRD number
000000079 
d. LEI, if any
ZBUT11V806EZRVTWT807 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
11,441,210.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
4,603,020.000000000000 
Authorized Participants Record: 8
a. Full Name
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 
b. SEC file number
008-07221 
c. CRD number
000007691 
d. LEI, if any
8NAV47T0Y26Q87Y0QP81 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
9,179,560.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
9,148,080.000000000000 
Authorized Participants Record: 9
a. Full Name
MERRILL LYNCH PROFESSIONAL CLEARING CORP. 
b. SEC file number
008-33359 
c. CRD number
000016139 
d. LEI, if any
549300PMHS66E71I2D34 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 10
a. Full Name
RBC Capital Markets, LLC 
b. SEC file number
008-45411 
c. CRD number
000031194 
d. LEI, if any
549300LCO2FLSSVFFR64 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 11
a. Full Name
VIRTU AMERICAS LLC 
b. SEC file number
008-68193 
c. CRD number
000149823 
d. LEI, if any
549300RA02N3BNSWBV74 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 12
a. Full Name
WELLS FARGO SECURITIES, LLC 
b. SEC file number
008-65876 
c. CRD number
000126292 
d. LEI, if any
VYVVCKR63DVZZN70PB21 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 13
a. Full Name
Deutsche Bank Securities Inc. 
b. SEC file number
008-17822 
c. CRD number
000002525 
d. LEI, if any
9J6MBOOO7BECTDTUZW19 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 14
a. Full Name
UBS Securities LLC 
b. SEC file number
008-22651 
c. CRD number
000007654 
d. LEI, if any
T6FIZBDPKLYJKFCRVK44 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period? 		Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
100,000.000000000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
42.448190101218 %  
ii. The standard deviation of the percentage of that value composed of cash:
40.777819086871 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
57.551809898782 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
40.777819086871 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
31.348244843850 %  
ii. The standard deviation of the percentage of that value composed of cash:
13.379557684493 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
68.651755156150 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
13.379557684493 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button not checked Yes Radio button checked No

Exchange Record: 2


Fund Name
Nuveen ESG 1-5 Year U.S. Aggregate Bond ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA  
b. Ticker. Provide the Fund's ticker symbol:
NUSA 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
ABN AMRO CLEARING CHICAGO LLC 
b. SEC file number
008-34354 
c. CRD number
000014020 
d. LEI, if any
549300U16G4LU3V6C598 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 2
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
008-00201 
c. CRD number
000000134 
d. LEI, if any
5493004J7H4GCPG6OB62 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 3
a. Full Name
CITADEL SECURITIES LLC 
b. SEC file number
008-53574 
c. CRD number
000116797 
d. LEI, if any
12UUJYTN7D3SW8KCSG25 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 4
a. Full Name
CITIGROUP GLOBAL MARKETS INC. 
b. SEC file number
008-08177 
c. CRD number
000007059 
d. LEI, if any
MBNUM2BPBDO7JBLYG310 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 5
a. Full Name
CREDIT SUISSE SECURITIES (USA) LLC 
b. SEC file number
008-00422 
c. CRD number
000000816 
d. LEI, if any
1V8Y6QCX6YMJ2OELII46 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 6
a. Full Name
GOLDMAN SACHS & CO. LLC 
b. SEC file number
008-00129 
c. CRD number
000000361 
d. LEI, if any
FOR8UP27PHTHYVLBNG30 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 7
a. Full Name
J.P. MORGAN SECURITIES LLC 
b. SEC file number
008-35008 
c. CRD number
000000079 
d. LEI, if any
ZBUT11V806EZRVTWT807 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
12,451,730.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
2,057,310.000000000000 
Authorized Participants Record: 8
a. Full Name
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 
b. SEC file number
008-07221 
c. CRD number
000007691 
d. LEI, if any
8NAV47T0Y26Q87Y0QP81 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 9
a. Full Name
MERRILL LYNCH PROFESSIONAL CLEARING CORP. 
b. SEC file number
008-33359 
c. CRD number
000016139 
d. LEI, if any
549300PMHS66E71I2D34 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 10
a. Full Name
RBC Capital Markets, LLC 
b. SEC file number
008-45411 
c. CRD number
000031194 
d. LEI, if any
549300LCO2FLSSVFFR64 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 11
a. Full Name
VIRTU AMERICAS LLC 
b. SEC file number
008-68193 
c. CRD number
000149823 
d. LEI, if any
549300RA02N3BNSWBV74 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 12
a. Full Name
WELLS FARGO SECURITIES, LLC 
b. SEC file number
008-65876 
c. CRD number
000126292 
d. LEI, if any
VYVVCKR63DVZZN70PB21 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 13
a. Full Name
Deutsche Bank Securities Inc. 
b. SEC file number
008-17822 
c. CRD number
000002525 
d. LEI, if any
9J6MBOOO7BECTDTUZW19 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 14
a. Full Name
UBS Securities LLC 
b. SEC file number
008-22651 
c. CRD number
000007654 
d. LEI, if any
T6FIZBDPKLYJKFCRVK44 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period? 		Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
100,000.000000000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
13.799606295992 %  
ii. The standard deviation of the percentage of that value composed of cash:
4.732199447347 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
86.200393704008 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
4.732199447347 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
16.404743775582 %  
ii. The standard deviation of the percentage of that value composed of cash:
11.960497785183 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
83.595256224418 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
11.960497785183 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button not checked Yes Radio button checked No

Exchange Record: 3


Fund Name
Nuveen ESG High Yield Corporate Bond ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA  
b. Ticker. Provide the Fund's ticker symbol:
NUHY 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
ABN AMRO CLEARING CHICAGO LLC 
b. SEC file number
008-34354 
c. CRD number
000014020 
d. LEI, if any
549300U16G4LU3V6C598 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 2
a. Full Name
CANTOR FITZGERALD & CO. 
b. SEC file number
008-00201 
c. CRD number
000000134 
d. LEI, if any
5493004J7H4GCPG6OB62 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 3
a. Full Name
CITADEL SECURITIES LLC 
b. SEC file number
008-53574 
c. CRD number
000116797 
d. LEI, if any
12UUJYTN7D3SW8KCSG25 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 4
a. Full Name
CITIGROUP GLOBAL MARKETS INC. 
b. SEC file number
008-08177 
c. CRD number
000007059 
d. LEI, if any
MBNUM2BPBDO7JBLYG310 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 5
a. Full Name
CREDIT SUISSE SECURITIES (USA) LLC 
b. SEC file number
008-00422 
c. CRD number
000000816 
d. LEI, if any
1V8Y6QCX6YMJ2OELII46 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 6
a. Full Name
GOLDMAN SACHS & CO. LLC 
b. SEC file number
008-00129 
c. CRD number
000000361 
d. LEI, if any
FOR8UP27PHTHYVLBNG30 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 7
a. Full Name
J.P. MORGAN SECURITIES LLC 
b. SEC file number
008-35008 
c. CRD number
000000079 
d. LEI, if any
ZBUT11V806EZRVTWT807 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
12,451,730.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
2,057,310.000000000000 
Authorized Participants Record: 8
a. Full Name
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 
b. SEC file number
008-07221 
c. CRD number
000007691 
d. LEI, if any
8NAV47T0Y26Q87Y0QP81 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 9
a. Full Name
MERRILL LYNCH PROFESSIONAL CLEARING CORP. 
b. SEC file number
008-33359 
c. CRD number
000016139 
d. LEI, if any
549300PMHS66E71I2D34 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 10
a. Full Name
RBC Capital Markets, LLC 
b. SEC file number
008-45411 
c. CRD number
000031194 
d. LEI, if any
549300LCO2FLSSVFFR64 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 11
a. Full Name
VIRTU AMERICAS LLC 
b. SEC file number
008-68193 
c. CRD number
000149823 
d. LEI, if any
549300RA02N3BNSWBV74 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 12
a. Full Name
WELLS FARGO SECURITIES, LLC 
b. SEC file number
008-65876 
c. CRD number
000126292 
d. LEI, if any
VYVVCKR63DVZZN70PB21 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 13
a. Full Name
Deutsche Bank Securities Inc. 
b. SEC file number
008-17822 
c. CRD number
000002525 
d. LEI, if any
9J6MBOOO7BECTDTUZW19 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 14
a. Full Name
UBS Securities LLC 
b. SEC file number
008-22651 
c. CRD number
000007654 
d. LEI, if any
T6FIZBDPKLYJKFCRVK44 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period? 		Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
100,000.000000000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
7.190041027803 %  
ii. The standard deviation of the percentage of that value composed of cash:
4.824488716729 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
92.809958972197 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
4.824488716729 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
17.363495049361 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.000000000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
82.636504950639 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.000000000000 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button not checked Yes Radio button checked No

Exchange Record: 4


Fund Name
Nuveen ESG U.S. Aggregate Bond ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA  
b. Ticker. Provide the Fund's ticker symbol:
NUBD 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
ABN AMRO CLEARING CHICAGO LLC 
b. SEC file number
008-34354 
c. CRD number
000014020 
d. LEI, if any
549300U16G4LU3V6C598 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 2
a. Full Name
CANTOR FITZGERALD & CO. 
b. SEC file number
008-00201 
c. CRD number
000000134 
d. LEI, if any
5493004J7H4GCPG6OB62 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 3
a. Full Name
CITADEL SECURITIES LLC 
b. SEC file number
008-53574 
c. CRD number
000116797 
d. LEI, if any
12UUJYTN7D3SW8KCSG25 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 4
a. Full Name
CITIGROUP GLOBAL MARKETS INC. 
b. SEC file number
008-08177 
c. CRD number
000007059 
d. LEI, if any
MBNUM2BPBDO7JBLYG310 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 5
a. Full Name
CREDIT SUISSE SECURITIES (USA) LLC 
b. SEC file number
008-00422 
c. CRD number
000000816 
d. LEI, if any
1V8Y6QCX6YMJ2OELII46 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 6
a. Full Name
GOLDMAN SACHS & CO. LLC 
b. SEC file number
008-00129 
c. CRD number
000000361 
d. LEI, if any
FOR8UP27PHTHYVLBNG30 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
4,304,110.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 7
a. Full Name
J.P. MORGAN SECURITIES LLC 
b. SEC file number
008-35008 
c. CRD number
000000079 
d. LEI, if any
ZBUT11V806EZRVTWT807 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
46,280,870.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
4,481,720.000000000000 
Authorized Participants Record: 8
a. Full Name
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 
b. SEC file number
008-07221 
c. CRD number
000007691 
d. LEI, if any
8NAV47T0Y26Q87Y0QP81 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
4,432,650.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
17,674,720.000000000000 
Authorized Participants Record: 9
a. Full Name
MERRILL LYNCH PROFESSIONAL CLEARING CORP. 
b. SEC file number
008-33359 
c. CRD number
000016139 
d. LEI, if any
549300PMHS66E71I2D34 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 10
a. Full Name
RBC Capital Markets, LLC 
b. SEC file number
008-45411 
c. CRD number
000031194 
d. LEI, if any
549300LCO2FLSSVFFR64 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 11
a. Full Name
VIRTU AMERICAS LLC 
b. SEC file number
008-68193 
c. CRD number
000149823 
d. LEI, if any
549300RA02N3BNSWBV74 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 12
a. Full Name
WELLS FARGO SECURITIES, LLC 
b. SEC file number
008-65876 
c. CRD number
000126292 
d. LEI, if any
VYVVCKR63DVZZN70PB21 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 13
a. Full Name
Deutsche Bank Securities Inc. 
b. SEC file number
008-17822 
c. CRD number
000002525 
d. LEI, if any
9J6MBOOO7BECTDTUZW19 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 14
a. Full Name
UBS Securities LLC 
b. SEC file number
008-22651 
c. CRD number
000007654 
d. LEI, if any
T6FIZBDPKLYJKFCRVK44 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period? 		Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
100,000.000000000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
29.579042245811 %  
ii. The standard deviation of the percentage of that value composed of cash:
22.675096143642 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
70.420957754189 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
22.675096143642 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
3.660936954067 %  
ii. The standard deviation of the percentage of that value composed of cash:
1.990340050994 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
96.339063045933 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
1.990340050994 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button not checked Yes Radio button checked No

Exchange Record: 5


Fund Name
Nuveen Global Net Zero Transition ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NASDAQ - ALL MARKETS  
b. Ticker. Provide the Fund's ticker symbol:
NTZG 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
ABN AMRO CLEARING CHICAGO LLC 
b. SEC file number
008-34354 
c. CRD number
000014020 
d. LEI, if any
549300U16G4LU3V6C598 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 2
a. Full Name
CANTOR FITZGERALD & CO. 
b. SEC file number
008-00201 
c. CRD number
000000134 
d. LEI, if any
5493004J7H4GCPG6OB62 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 3
a. Full Name
CITADEL SECURITIES LLC 
b. SEC file number
008-53574 
c. CRD number
000116797 
d. LEI, if any
12UUJYTN7D3SW8KCSG25 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 4
a. Full Name
CITIGROUP GLOBAL MARKETS INC. 
b. SEC file number
008-08177 
c. CRD number
000007059 
d. LEI, if any
MBNUM2BPBDO7JBLYG310 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 5
a. Full Name
CREDIT SUISSE SECURITIES (USA) LLC 
b. SEC file number
008-00422 
c. CRD number
000000816 
d. LEI, if any
1V8Y6QCX6YMJ2OELII46 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 6
a. Full Name
GOLDMAN SACHS & CO. LLC 
b. SEC file number
008-00129 
c. CRD number
000000361 
d. LEI, if any
FOR8UP27PHTHYVLBNG30 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 7
a. Full Name
J.P. MORGAN SECURITIES LLC 
b. SEC file number
008-35008 
c. CRD number
000000079 
d. LEI, if any
ZBUT11V806EZRVTWT807 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 8
a. Full Name
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 
b. SEC file number
008-07221 
c. CRD number
000007691 
d. LEI, if any
8NAV47T0Y26Q87Y0QP81 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 9
a. Full Name
MERRILL LYNCH PROFESSIONAL CLEARING CORP. 
b. SEC file number
008-33359 
c. CRD number
000016139 
d. LEI, if any
549300PMHS66E71I2D34 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 10
a. Full Name
RBC Capital Markets, LLC 
b. SEC file number
008-45411 
c. CRD number
000031194 
d. LEI, if any
549300LCO2FLSSVFFR64 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 11
a. Full Name
VIRTU AMERICAS LLC 
b. SEC file number
008-68193 
c. CRD number
000149823 
d. LEI, if any
549300RA02N3BNSWBV74 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 12
a. Full Name
WELLS FARGO SECURITIES, LLC 
b. SEC file number
008-65876 
c. CRD number
000126292 
d. LEI, if any
VYVVCKR63DVZZN70PB21 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 13
a. Full Name
Deutsche Bank Securities Inc. 
b. SEC file number
008-17822 
c. CRD number
000002525 
d. LEI, if any
9J6MBOOO7BECTDTUZW19 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
Authorized Participants Record: 14
a. Full Name
UBS Securities LLC 
b. SEC file number
008-22651 
c. CRD number
000007654 
d. LEI, if any
T6FIZBDPKLYJKFCRVK44 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.000000000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.000000000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period? 		Radio button not checked Yes Radio button checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
50,000.000000000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
0.000000000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.000000000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.000000000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.000000000000 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
0.000000000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.000000000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.000000000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.000000000000 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
0.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
0.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
0.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
N/A 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
0.000000000000 
3. A percentage of the value of each creation unit, if charged on that basis:
N/A %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button not checked Yes Radio button checked No

N-CEN:Part G: Attachments

Item G.1a. Attachments.

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: Checkbox not checked   i. Legal proceedings  
Checkbox not checked  ii. Provision of financial support  
Checkbox checked  iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)  
Checkbox not checked  iv. Change in accounting principles and practices  
Checkbox not checked  v. Information required to be filed pursuant to exemptive orders  
Checkbox not checked  vi. Other information required to be included as an attachment pursuant to Commission rules and regulations 

Instructions.

1. Item G.1.a.i. Legal proceedings.

(a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination.

2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support.

(b) Person providing support.

(c) Brief description of relationship between the person providing support and the Registrant.

(d) Date support provided.

(e) Amount of support.

(f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if applicable).

(h) Brief description of reason for support.

(i) Term of support.

(j) Brief description of any contractual restrictions relating to support.

3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year.

The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued.

Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed.

The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant.

4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description.

5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant.

6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations.

N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Registrant
Nushares ETF Trust 
Date
2023-10-11 
Signature
E. Scott Wickerham 
Title
Vice President and Funds Controller