UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-22658
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Nuveen Real Asset Income and Growth Fund | ||||||||
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(Exact name of registrant as specified in charter) | ||||||||
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333 West Wacker Drive, Chicago, Illinois 60606 |
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(Address of principal executive offices) (Zip code) |
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Kevin J. McCarthy—Vice President and Secretary |
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(Name and address of agent for service) |
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Registrant’s telephone number, including area code: |
312-917-7700 |
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Date of fiscal year end: |
12/31 |
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Date of reporting period: |
3/31/2014 |
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Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Schedule of Investments
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Portfolio of Investments (Unaudited) |
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Nuveen Real Asset Income and Growth Fund (JRI) |
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March 31, 2014 |
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Shares |
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Description (1) |
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Value |
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LONG-TERM INVESTMENTS – 135.7% (98.9% of Total Investments) |
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|
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COMMON STOCKS – 71.4% (52.1% of Total Investments) |
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|
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Air Freight & Logistics – 1.2% |
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|
| ||||||
|
38,618 |
|
BPost SA |
|
$ 864,534 |
| ||||||
|
14,596 |
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Oesterreichische Post AG, (4) |
|
735,610 |
| ||||||
|
672,191 |
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Singapore Post Limited, (4) |
|
727,355 |
| ||||||
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Total Air Freight & Logistics |
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2,327,499 |
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Commercial Services & Supplies – 0.8% |
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|
| ||||||
|
1,980,359 |
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K-Green Trust, (4) |
|
1,637,730 |
| ||||||
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|
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Construction & Engineering – 0.4% |
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|
| ||||||
|
39,040 |
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Ferrovial SA, (4) |
|
846,299 |
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|
|
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Electric Utilities – 7.3% |
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|
| ||||||
|
88,970 |
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Alupar Investimento SA |
|
695,997 |
| ||||||
|
41,045 |
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Brookfield Infrastructure Partners LP |
|
1,619,225 |
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|
748 |
|
Companhia de Transmissao de Energia Eletrica Paulista |
|
8,103 |
| ||||||
|
15,000 |
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Duke Energy Corporation |
|
1,068,300 |
| ||||||
|
83,479 |
|
EDP - Energias de Portugal, S.A., (4) |
|
387,563 |
| ||||||
|
307,431 |
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EDP Energias do Brasil S.A |
|
1,380,662 |
| ||||||
|
85,984 |
|
Energa SA, (2), (4) |
|
507,513 |
| ||||||
|
30,572 |
|
Hafslund ASA, Class B Shares |
|
245,074 |
| ||||||
|
2,706,740 |
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HK Electric Investments Limited, (2) |
|
1,744,820 |
| ||||||
|
89,068 |
|
Infratil Limited, (4) |
|
174,771 |
| ||||||
|
50,195 |
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Pepco Holdings, Inc. |
|
1,027,994 |
| ||||||
|
46,410 |
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Scottish and Southern Energy PLC, (4) |
|
1,136,769 |
| ||||||
|
226,612 |
|
Spark Infrastructure Group, (4) |
|
360,050 |
| ||||||
|
639,636 |
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Terna-Rete Elettrica Nazionale SpA, (4) |
|
3,423,181 |
| ||||||
|
61,128 |
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Transmissora Alianca de Energia Eletrica SA |
|
517,796 |
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Total Electric Utilities |
|
14,297,818 |
| ||||||
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Gas Utilities – 1.1% |
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|
| ||||||
|
2,293,108 |
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Cityspring Infrastructure Trust, (4) |
|
857,669 |
| ||||||
|
238,648 |
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Snam Rete Gas S.p.A |
|
1,397,886 |
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Total Gas Utilities |
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2,255,555 |
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Independent Power and Renewable Electricity Producers – 2.1% |
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|
| ||||||
|
1,509 |
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Pattern Energy Group Inc. |
|
40,939 |
| ||||||
|
400,214 |
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TransAlta Renewables Inc. |
|
4,163,239 |
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Total Independent Power and Renewable Electricity Producers |
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4,204,178 |
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Media – 0.0% |
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|
| ||||||
|
3,091 |
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CBS Outdoor Americas Inc., (2), WI/DD |
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90,412 |
| ||||||
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Multi-Utilities – 9.3% |
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|
| ||||||
|
159,947 |
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Centrica PLC, (4) |
|
879,941 |
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|
1,906,174 |
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Duet Group, (4) |
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3,678,641 |
| ||||||
|
21,658 |
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E ON SE, (4) |
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422,982 |
| ||||||
|
101,367 |
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GDF Suez, (4) |
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2,772,892 |
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|
6,031 |
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Hera SpA |
|
17,614 |
| ||||||
|
108,502 |
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National Grid PLC |
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7,458,427 |
| ||||||
|
43,714 |
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Suez Environnement Company |
|
887,982 |
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|
966,815 |
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Vector Limited, (4) |
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2,041,754 |
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Total Multi-Utilities |
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18,160,233 |
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Oil, Gas & Consumable Fuels – 4.1% |
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|
| ||||||
|
921 |
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BlueKnight Energy Partners LP |
|
8,206 |
| ||||||
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25,775 |
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DCP Midstream Partners LP |
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1,291,328 |
| ||||||
|
20,098 |
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Enbridge Energy Partners LP |
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550,886 |
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|
43,438 |
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Kinder Morgan, Inc. |
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1,411,301 |
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|
37,679 |
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Markwest Energy Partners LP |
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2,461,192 |
| ||||||
|
26,736 |
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OneOK Partners Limited Partnership |
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1,431,713 |
| ||||||
|
1,885 |
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QEP Midstream Partners LP |
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44,071 |
| ||||||
|
19,800 |
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Rose Rock Midstream Limited Partnership |
|
821,502 |
| ||||||
|
363 |
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Southcross Energy Partners, L.P |
|
6,153 |
| ||||||
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Total Oil, Gas & Consumable Fuels |
|
8,026,352 |
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Real Estate Investment Trust – 34.2% |
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|
| ||||||
|
83,814 |
|
AmREIT Inc., Class B Shares |
|
1,388,798 |
| ||||||
|
169,837 |
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Apollo Commercial Real Estate Finance, Inc. |
|
2,824,389 |
| ||||||
|
129,121 |
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Armada Hoffler Properties Inc. |
|
1,296,375 |
| ||||||
|
45,731 |
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Artis Real Estate Investment Trust |
|
650,700 |
| ||||||
|
494,627 |
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Ascendas Real Estate Investment Trust, (4) |
|
890,326 |
| ||||||
|
57,008 |
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Aviv REIT Inc. |
|
1,393,846 |
| ||||||
|
119,473 |
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Blackstone Mortgage Trust Inc, Class A |
|
3,434,849 |
| ||||||
|
242,611 |
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Campus Crest Communities Inc. |
|
2,105,863 |
| ||||||
|
396,602 |
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CapitaMall Trust, (4) |
|
596,738 |
| ||||||
|
30,721 |
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CBL & Associates Properties Inc. |
|
545,298 |
| ||||||
|
292,378 |
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Colony Financial Inc. |
|
6,417,697 |
| ||||||
|
104,295 |
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Corrections Corporation of America |
|
3,266,519 |
| ||||||
|
2,528 |
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Digital Realty Trust Inc. |
|
134,186 |
| ||||||
|
52,081 |
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Franklin Street Properties Corporation |
|
656,221 |
| ||||||
|
30,046 |
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Geo Group Inc. |
|
968,683 |
| ||||||
|
3,501 |
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Health Care Property Investors Inc. |
|
135,804 |
| ||||||
|
17,192 |
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Health Care REIT, Inc. |
|
1,024,643 |
| ||||||
|
149,907 |
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Healthcare Trust of America Inc., Class A |
|
1,707,441 |
| ||||||
|
2,891 |
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Highwoods Properties, Inc. |
|
111,043 |
| ||||||
|
107,943 |
|
Independence Realty Trust |
|
961,772 |
| ||||||
|
263,421 |
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Inland Real Estate Corporation |
|
2,779,092 |
| ||||||
|
39,194 |
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Investors Real Estate Trust |
|
351,962 |
| ||||||
|
42,791 |
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Kite Realty Group Trust |
|
1,100,157 |
| ||||||
|
100,539 |
|
Liberty Property Trust |
|
3,715,921 |
| ||||||
|
18,317 |
|
LTC Properties Inc. |
|
689,269 |
| ||||||
|
31,231 |
|
Mack-Cali Realty Corporation |
|
649,292 |
| ||||||
|
692,099 |
|
Mapletree Logistics Trust, (4) |
|
575,389 |
| ||||||
|
238,995 |
|
Medical Properties Trust Inc. |
|
3,056,746 |
| ||||||
|
23,837 |
|
Monmouth Real Estate Investment Corporation |
|
227,405 |
| ||||||
|
19,427 |
|
National Health Investors Inc. |
|
1,174,556 |
| ||||||
|
44,889 |
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National Retail Properties, Inc. |
|
1,540,590 |
| ||||||
|
82,430 |
|
Newcastle Investment Corporation |
|
387,421 |
| ||||||
|
30,978 |
|
Omega Healthcare Investors Inc. |
|
1,038,383 |
| ||||||
|
837,120 |
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Parkway Life Real Estate Investment Trust, (4) |
|
1,624,019 |
| ||||||
|
46,060 |
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Pebblebrook Hotel Trust |
|
1,197,560 |
| ||||||
|
45,031 |
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Physicians Realty Trust |
|
626,832 |
| ||||||
|
22,895 |
|
Public Storage, Inc. |
|
541,696 |
| ||||||
|
34,440 |
|
Realty Income Corporation, WI/DD |
|
1,407,218 |
| ||||||
|
42,070 |
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Select Income REIT |
|
1,273,459 |
| ||||||
|
123,000 |
|
Starwood Property Trust Inc. |
|
2,901,570 |
| ||||||
|
211,293 |
|
Summit Hotel Properties Inc. |
|
1,960,799 |
| ||||||
|
122 |
|
Sunstone Hotel Investors Inc. |
|
3,148 |
| ||||||
|
1,471,032 |
|
Suntec Real Estate Investment Trust, (4) |
|
1,944,595 |
| ||||||
|
35,654 |
|
Universal Health Realty Income Trust |
|
1,506,025 |
| ||||||
|
74,713 |
|
Urstadt Biddle Properties Inc. |
|
1,543,571 |
| ||||||
|
38 |
|
Washington Real Estate Investment Trust |
|
907 |
| ||||||
|
682,942 |
|
Westfield Retail Trust, (4) |
|
1,890,804 |
| ||||||
|
11,863 |
|
WP Carey Inc. |
|
712,610 |
| ||||||
|
|
|
Total Real Estate Investment Trust |
|
66,932,187 |
| ||||||
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|
|
Real Estate Management & Development – 1.5% |
|
|
| ||||||
|
40,444 |
|
Brookfield Property Partners, (2) |
|
756,303 |
| ||||||
|
4,248,475 |
|
Langham Hospitality Investments Limited, (2), (4) |
|
2,127,850 |
| ||||||
|
|
|
Total Real Estate Management & Development |
|
2,884,153 |
| ||||||
|
|
|
Transportation Infrastructure – 9.1% |
|
|
| ||||||
|
49,866 |
|
Abertis Infraestructuras S.A, (4) |
|
1,139,692 |
| ||||||
|
159,876 |
|
Atlantia SpA, (4) |
|
4,107,950 |
| ||||||
|
35,727 |
|
Grupo Aeroportuario Centro Norte, SA |
|
1,034,297 |
| ||||||
|
6,146,569 |
|
Hutchison Port Holdings Trust, (4) |
|
3,996,376 |
| ||||||
|
3,022 |
|
Kobenhavns Lufthavne |
|
1,672,894 |
| ||||||
|
12,315 |
|
Macquarie Infrastructure Company LLC |
|
705,280 |
| ||||||
|
7,608 |
|
Singapore Airport Terminal Services Limited, (4) |
|
18,402 |
| ||||||
|
96 |
|
Societa Iniziative Autostradali e Servizi SpA, (4) |
|
1,156 |
| ||||||
|
316,998 |
|
Sydney Airport, (4) |
|
1,233,432 |
| ||||||
|
575,608 |
|
Transurban Group, (4) |
|
3,880,495 |
| ||||||
|
|
|
Total Transportation Infrastructure |
|
17,789,974 |
| ||||||
|
|
|
Water Utilities – 0.3% |
|
|
| ||||||
|
346,589 |
|
Inversiones Aguas Metropolitanas SA |
|
562,508 |
| ||||||
|
|
|
Total Common Stocks (cost $132,854,310) |
|
140,014,898 |
| ||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
Description (1) |
|
Coupon |
|
|
|
Ratings (3) |
|
Value |
|
|
|
|
CONVERTIBLE PREFERRED SECURITIES – 3.2% (2.3% of Total Investments) |
|
|
|
|
| ||||
|
|
|
Electric Utilities – 1.2% |
|
|
|
|
|
|
|
|
|
|
25,945 |
|
NextEra Energy Inc. |
|
5.799% |
|
|
|
N/R |
|
$ 1,401,549 |
|
|
19,586 |
|
PPL Corporation |
|
8.750% |
|
|
|
N/R |
|
1,071,354 |
|
|
|
|
Total Electric Utilities |
|
|
|
|
|
|
|
2,472,903 |
|
|
|
|
Real Estate Investment Trust – 2.0% |
|
|
|
|
|
|
|
|
|
|
23,074 |
|
Alexandria Real Estate Equities Inc., (5) |
|
7.000% |
|
|
|
N/R |
|
620,834 |
|
|
69,441 |
|
American Homes 4 Rent |
|
5.000% |
|
|
|
N/R |
|
1,701,305 |
|
|
10,182 |
|
Crown Castle International Corporation |
|
4.500% |
|
|
|
N/R |
|
1,032,353 |
|
|
8,287 |
|
Ramco-Gershenson Properties Trust |
|
7.250% |
|
|
|
N/R |
|
499,291 |
|
|
|
|
Total Real Estate Investment Trust |
|
|
|
|
|
|
|
3,853,783 |
|
|
|
|
Total Convertible Preferred Securities (cost $6,023,022) |
|
|
|
|
|
|
6,326,686 |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
Description (1) |
|
Coupon |
|
|
|
Ratings (3) |
|
Value |
|
|
|
|
$25 PAR (OR SIMILAR) RETAIL PREFERRED – 27.0% (19.7% of Total Investments) |
|
|
|
|
| ||||
|
|
|
Electric Utilities – 3.6% |
|
|
|
|
|
|
|
|
|
|
17,269 |
|
Alabama Power Company, (14) |
|
6.450% |
|
|
|
A3 |
|
$ 453,311 |
|
|
7,270 |
|
APT Pipelines Limited, (2), (14) |
|
7.153% |
|
|
|
N/R |
|
713,999 |
|
|
82,452 |
|
Integrys Energy Group Inc. |
|
6.000% |
|
|
|
BBB |
|
2,078,615 |
|
|
21,252 |
|
NextEra Energy Inc. |
|
5.700% |
|
|
|
BBB |
|
506,860 |
|
|
67,865 |
|
NextEra Energy Inc. |
|
5.000% |
|
|
|
BBB |
|
1,400,055 |
|
|
84,495 |
|
PPL Capital Funding, Inc. |
|
5.900% |
|
|
|
BB+ |
|
1,968,734 |
|
|
|
|
Total Electric Utilities |
|
|
|
|
|
|
|
7,121,574 |
|
|
|
|
Energy Equipment & Services – 0.0% |
|
|
|
|
|
|
|
|
|
|
1,564 |
|
NextEra Energy Inc. |
|
5.625% |
|
|
|
BBB |
|
36,050 |
|
|
|
|
Independent Power and Renewable Electricity Producers – 0.0% |
|
|
|
|
|
|
| ||
|
674 |
|
TransAlta Corporation |
|
4.600% |
|
|
|
N/R |
|
10,224 |
|
|
|
|
Multi-Utilities – 0.2% |
|
|
|
|
|
|
|
|
|
|
17,164 |
|
DTE Energy Company |
|
6.500% |
|
|
|
Baa1 |
|
437,682 |
|
|
|
|
Oil, Gas & Consumable Fuels – 1.1% |
|
|
|
|
|
|
|
|
|
|
84,345 |
|
Atlas Pipeline Partners LP, (2) |
|
8.250% |
|
|
|
CCC+ |
|
2,126,337 |
|
|
|
|
Real Estate Investment Trust – 22.1% |
|
|
|
|
|
|
|
|
|
|
67,036 |
|
American Homes 4 Rent |
|
5.000% |
|
|
|
N/R |
|
1,675,900 |
|
|
15,737 |
|
Apartment Investment & Management Company |
|
7.000% |
|
|
|
BB |
|
394,684 |
|
|
22,399 |
|
Apollo Commercial Real Estate Finance |
|
8.625% |
|
|
|
N/R |
|
568,039 |
|
|
39,126 |
|
Campus Crest Communities |
|
8.000% |
|
|
|
Ba1 |
|
984,019 |
|
|
88,108 |
|
Cedar Shopping Centers Inc., Series A |
|
7.250% |
|
|
|
N/R |
|
2,071,419 |
|
|
30,181 |
|
Colony Financial Inc. |
|
8.500% |
|
|
|
N/R |
|
782,593 |
|
|
58,300 |
|
DDR Corporation |
|
6.500% |
|
|
|
Baa3 |
|
1,402,698 |
|
|
28,881 |
|
DDR Corporation |
|
6.250% |
|
|
|
Baa3 |
|
669,173 |
|
|
48,185 |
|
Digital Realty Trust Inc., (2) |
|
7.375% |
|
|
|
Baa3 |
|
1,199,325 |
|
|
30,210 |
|
Digital Realty Trust Inc. |
|
5.875% |
|
|
|
Baa3 |
|
615,076 |
|
|
103,866 |
|
Equity Lifestyle Properties Inc. |
|
6.750% |
|
|
|
N/R |
|
2,534,330 |
|
|
1,947 |
|
First Potomac Realty Trust |
|
7.750% |
|
|
|
N/R |
|
49,201 |
|
|
141,917 |
|
General Growth Properties |
|
6.375% |
|
|
|
B |
|
3,293,894 |
|
|
47,265 |
|
Glimcher Realty Trust |
|
7.500% |
|
|
|
B1 |
|
1,187,297 |
|
|
100,740 |
|
Glimcher Realty Trust |
|
6.875% |
|
|
|
B1 |
|
2,372,427 |
|
|
79,955 |
|
Hersha Hospitality Trust |
|
6.875% |
|
|
|
N/R |
|
1,910,925 |
|
|
7,291 |
|
Hersha Hospitality Trust |
|
8.000% |
|
|
|
N/R |
|
185,921 |
|
|
2,324 |
|
Hudson Pacific Properties Inc. |
|
8.375% |
|
|
|
N/R |
|
60,889 |
|
|
2,524 |
|
Inland Real Estate Corporation |
|
8.125% |
|
|
|
N/R |
|
65,170 |
|
|
51,701 |
|
Kilroy Realty Corporation |
|
6.875% |
|
|
|
Ba1 |
|
1,268,226 |
|
|
21,047 |
|
Kimco Realty Corporation, |
|
5.500% |
|
|
|
Baa2 |
|
438,830 |
|
|
22,154 |
|
Monmouth Real Estate Investment Corp |
|
7.875% |
|
|
|
N/R |
|
565,592 |
|
|
59,337 |
|
National Retail Properties Inc. |
|
5.700% |
|
|
|
Baa2 |
|
1,242,517 |
|
|
30,816 |
|
Pebblebrook Hotel Trust |
|
6.500% |
|
|
|
N/R |
|
687,813 |
|
|
15,246 |
|
Post Properties, Inc., Series A |
|
8.500% |
|
|
|
Baa3 |
|
902,563 |
|
|
26,121 |
|
Retail Properties of America |
|
7.000% |
|
|
|
N/R |
|
645,189 |
|
|
430 |
|
Sabra Health Care Real Estate Investement Trust |
|
7.125% |
|
|
|
B2 |
|
10,389 |
|
|
71,343 |
|
Saul Centers, Inc. |
|
6.875% |
|
|
|
N/R |
|
1,724,360 |
|
|
2,603 |
|
Simon Property Group, Inc. |
|
8.375% |
|
|
|
BBB+ |
|
165,941 |
|
|
74,489 |
|
SL Green Realty Corporation |
|
6.500% |
|
|
|
Ba2 |
|
1,743,043 |
|
|
52,375 |
|
STAG Industrial Inc. |
|
6.625% |
|
|
|
BB |
|
1,191,531 |
|
|
196,377 |
|
Summit Hotel Properties Inc. |
|
7.125% |
|
|
|
N/R |
|
4,536,309 |
|
|
101,284 |
|
Summit Hotel Properties Inc. |
|
7.875% |
|
|
|
N/R |
|
2,563,498 |
|
|
27,063 |
|
Summit Hotel Properties Inc. |
|
9.250% |
|
|
|
N/R |
|
729,077 |
|
|
78,578 |
|
Taubman Centers Incorporated, Series K |
|
6.250% |
|
|
|
N/R |
|
1,802,579 |
|
|
1,121 |
|
Terreno Realty Corporation |
|
7.750% |
|
|
|
N/R |
|
28,328 |
|
|
37,171 |
|
Urstadt Biddle Properties |
|
7.125% |
|
|
|
N/R |
|
912,545 |
|
|
|
|
Total Real Estate Investment Trust |
|
|
|
|
|
|
|
43,181,310 |
|
|
|
|
Total $25 Par (or similar) Retail Preferred (cost $53,828,037) |
|
|
|
52,913,177 |
| ||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Principal |
|
|
|
|
|
|
|
|
|
|
|
|
Amount (000) (6) |
|
Description (1) |
|
Coupon |
|
Maturity |
|
Ratings (3) |
|
Value |
|
|
|
|
CORPORATE BONDS – 21.2% (15.4% of Total Investments) |
|
|
|
|
|
|
|
| |
|
|
|
Building Products – 0.7% |
|
|
|
|
|
|
|
|
|
|
$ 1,372 |
|
Associated Asphalt Partners LLC, 144A |
|
8.500% |
|
2/15/18 |
|
B |
|
$ 1,437,170 |
|
|
|
|
Commercial Services & Supplies – 1.5% |
|
|
|
|
|
|
|
|
|
|
1,720 |
|
ADS Waste Holdings Inc. |
|
8.250% |
|
10/01/20 |
|
CCC+ |
|
1,870,500 |
|
|
1,100 |
|
Casella Waste Systems Inc. |
|
7.750% |
|
2/15/19 |
|
Caa1 |
|
1,141,250 |
|
|
2,820 |
|
Total Commercial Services & Supplies |
|
|
|
|
|
|
|
3,011,750 |
|
|
|
|
Diversified Financial Services – 0.6% |
|
|
|
|
|
|
|
|
|
|
1,150 |
|
Jefferies LoanCore LLC Finance Corporation, 144A |
|
6.875% |
|
6/01/20 |
|
B |
|
1,167,250 |
|
|
|
|
Diversified Telecommunication Services – 0.8% |
|
|
|
|
|
|
|
|
|
|
1,450 |
|
IntelSat Limited |
|
8.125% |
|
6/01/23 |
|
B- |
|
1,537,000 |
|
|
|
|
Electric Utilities – 1.6% |
|
|
|
|
|
|
|
|
|
|
1,400 |
|
Intergen NV, 144A |
|
7.000% |
|
6/30/23 |
|
B+ |
|
1,470,000 |
|
|
1,700 |
|
Star Energy Geothermal Wayang Windu Limited, 144A |
|
6.125% |
|
3/27/20 |
|
B+ |
|
1,661,750 |
|
|
3,100 |
|
Total Electric Utilities |
|
|
|
|
|
|
|
3,131,750 |
|
|
|
|
Energy Equipment & Services – 0.4% |
|
|
|
|
|
|
|
|
|
|
750 |
|
Exterran Partners LP/EXLP Finance Corporation, 144A, WI/DD |
|
6.000% |
|
10/01/22 |
|
B1 |
|
737,783 |
|
|
|
|
Gas Utilities – 0.4% |
|
|
|
|
|
|
|
|
|
|
700 |
|
LBC Tank Terminals Holdings Netherlands BV, 144A |
|
6.875% |
|
5/15/23 |
|
B |
|
747,250 |
|
|
|
|
Health Care Providers & Services – 2.6% |
|
|
|
|
|
|
|
|
|
|
1,000 |
|
Kindred Healthcare Inc., 144A, WI/DD |
|
6.375% |
|
4/15/22 |
|
B- |
|
1,002,500 |
|
|
100 |
|
Lifepoint Hospitals Inc., 144A |
|
5.500% |
|
12/01/21 |
|
Ba1 |
|
103,750 |
|
|
1,526 |
|
National Mentor Holdings, 144A |
|
12.500% |
|
2/15/18 |
|
CCC+ |
|
1,625,190 |
|
|
1,625 |
|
Select Medical Corporation |
|
6.375% |
|
6/01/21 |
|
B- |
|
1,649,375 |
|
|
750 |
|
Tenet Healthcare Corporation |
|
6.750% |
|
2/01/20 |
|
B3 |
|
789,375 |
|
|
5,001 |
|
Total Health Care Providers & Services |
|
|
|
|
|
|
|
5,170,190 |
|
|
|
|
Independent Power and Renewable Electricity Producers – 0.3% |
|
|
|
|
|
|
| ||
|
700 |
|
Mirant Americas Generation LLC |
|
8.500% |
|
10/01/21 |
|
BB- |
|
668,500 |
|
|
|
|
Industrial Conglomerates – 0.6% |
|
|
|
|
|
|
|
|
|
|
1,250 |
|
Covanta Holding Corporation |
|
5.875% |
|
3/01/24 |
|
Ba3 |
|
1,269,733 |
|
|
|
|
Internet Software & Services – 0.5% |
|
|
|
|
|
|
|
|
|
|
950 |
|
Equinix Inc. |
|
5.375% |
|
4/01/23 |
|
BB |
|
969,000 |
|
|
|
|
Metals & Mining – 0.5% |
|
|
|
|
|
|
|
|
|
|
1,600 |
|
WPE International Cooperatief U.A, 144A |
|
10.375% |
|
9/30/20 |
|
B+ |
|
964,000 |
|
|
|
|
Multi-Utilities – 0.5% |
|
|
|
|
|
|
|
|
|
|
500 GBP |
|
RWE AG |
|
7.000% |
|
3/20/49 |
|
BBB- |
|
897,135 |
|
|
|
|
Oil, Gas & Consumable Fuels – 7.0% |
|
|
|
|
|
|
|
|
|
|
1,525 |
|
Atlas Pipeline LP Finance |
|
5.875% |
|
8/01/23 |
|
B+ |
|
1,505,938 |
|
|
1,750 |
|
Calumet Specialty Products |
|
7.625% |
|
1/15/22 |
|
B+ |
|
1,855,000 |
|
|
1,000 |
|
Crestwood Midstream Partners LP, 144A |
|
6.125% |
|
3/01/22 |
|
BB |
|
1,045,000 |
|
|
300 |
|
Gibson Energy, 144A |
|
6.750% |
|
7/15/21 |
|
BB |
|
321,750 |
|
|
1,365 |
|
Martin Mid-Stream Partners LP Finance |
|
7.250% |
|
2/15/21 |
|
B- |
|
1,431,544 |
|
|
1,700 |
|
Niska Gas Storage Canada ULC Finance Corporation, 144A |
|
6.500% |
|
4/01/19 |
|
B |
|
1,674,500 |
|
|
1,660 |
|
PBF Holding Company LLC |
|
8.250% |
|
2/15/20 |
|
BB+ |
|
1,801,100 |
|
|
800 |
|
Sabine Pass Liquefaction LLC, 144A |
|
6.250% |
|
3/15/22 |
|
BB+ |
|
834,000 |
|
|
1,150 |
|
Summit Midstream Holdings LLC Finance, 144A |
|
7.500% |
|
7/01/21 |
|
B |
|
1,230,500 |
|
|
1,140 |
|
Tesoro Logistics LP Finance Corporation |
|
6.125% |
|
10/15/21 |
|
BB- |
|
1,208,400 |
|
|
750 |
|
Western Refining Inc. |
|
6.250% |
|
4/01/21 |
|
B+ |
|
776,250 |
|
|
13,140 |
|
Total Oil, Gas & Consumable Fuels |
|
|
|
|
|
|
|
13,683,982 |
|
|
|
|
Real Estate Investment Trust – 0.8% |
|
|
|
|
|
|
|
|
|
|
250 |
|
Corrections Corporation of America |
|
4.625% |
|
5/01/23 |
|
BB+ |
|
241,250 |
|
|
1,300 |
|
Geo Group Inc. |
|
5.875% |
|
1/15/22 |
|
B+ |
|
1,335,750 |
|
|
1,550 |
|
Total Real Estate Investment Trust |
|
|
|
|
|
|
|
1,577,000 |
|
|
|
|
Real Estate Management & Development – 0.4% |
|
|
|
|
|
|
|
|
|
|
750 |
|
Kennedy-Wilson Holdings Incorporated |
|
5.875% |
|
4/01/24 |
|
BB- |
|
750,000 |
|
|
|
|
Road & Rail – 0.9% |
|
|
|
|
|
|
|
|
|
|
1,750 |
|
Watco Companies LLC Finance, 144A |
|
6.375% |
|
4/01/23 |
|
B3 |
|
1,776,250 |
|
|
|
|
Transportation Infrastructure – 0.8% |
|
|
|
|
|
|
|
|
|
|
20,076 MXN |
|
Concesionaria Mexiquesne SA de CV |
|
5.950% |
|
12/15/35 |
|
BBB |
|
1,483,930 |
|
|
|
|
Wireless Telecommunication Services – 0.3% |
|
|
|
|
|
|
|
|
|
|
500 |
|
Crown Castle International Corporation |
|
5.250% |
|
1/15/23 |
|
BB- |
|
508,124 |
|
|
|
|
Total Corporate Bonds (cost $40,874,536) |
|
|
|
|
|
|
|
41,487,797 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Principal |
|
|
|
|
|
|
|
|
|
|
|
|
Amount (000) |
|
Description (1) |
|
Coupon |
|
Maturity |
|
Ratings (3) |
|
Value |
|
|
|
|
CONVERTIBLE BONDS – 3.4% (2.5% of Total Investments) |
|
|
|
|
|
|
|
|
|
|
|
|
Oil, Gas & Consumable Fuels – 1.2% |
|
|
|
|
|
|
|
|
|
|
$ 2,410 |
|
DCP Midstream LLC, 144A |
|
5.850% |
|
5/21/43 |
|
Baa3 |
|
$ 2,265,400 |
|
|
|
|
Real Estate Investment Trust – 2.2% |
|
|
|
|
|
|
|
|
|
|
2,675 |
|
Blackstone Mortgage Trust |
|
5.250% |
|
12/01/18 |
|
N/R |
|
2,989,313 |
|
|
1,330 |
|
Colony Financial Inc. |
|
3.875% |
|
1/15/21 |
|
N/R |
|
1,374,887 |
|
|
4,005 |
|
Total Real Estate Investment Trust |
|
|
|
|
|
|
|
4,364,200 |
|
|
$ 6,415 |
|
Total Convertible Bonds (cost $6,415,000) |
|
|
|
|
|
|
|
6,629,600 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Principal |
|
|
|
|
|
|
|
|
|
|
|
|
Amount (000) (6)/ |
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
Description (1) |
|
Coupon |
|
Maturity |
|
Ratings (3) |
|
Value |
|
|
|
|
$1,000 PAR (OR SIMILAR) INSTITUTIONAL PREFERRED – 8.3% (6.0% of Total Investments) |
|
|
| ||||||
|
|
|
Construction & Engineering – 1.6% |
|
|
|
|
|
|
|
|
|
|
$ 3,174 |
|
PHBS Limited |
|
6.625% |
|
N/A (7) |
|
N/R |
|
$ 3,094,650 |
|
|
|
|
Diversified Financial Services – 1.2% |
|
|
|
|
|
|
|
|
|
|
2,205 |
|
Royal Capital BV |
|
8.375% |
|
N/A (7) |
|
N/R |
|
2,332,074 |
|
|
— (8) |
|
SinOceanic II ASA, 144A |
|
10.000% |
|
2/17/15 |
|
N/R |
|
1 |
|
|
|
|
Total Diversified Financial Services |
|
|
|
|
|
|
|
2,332,075 |
|
|
|
|
Electric Utilities – 3.5% |
|
|
|
|
|
|
|
|
|
|
2,015 |
|
AES Gener SA, 144A |
|
8.375% |
|
12/18/73 |
|
Ba2 |
|
2,135,900 |
|
|
1,581 |
|
Electricite de France, 144A |
|
5.250% |
|
N/A (7) |
|
A3 |
|
1,583,372 |
|
|
1,940 |
|
Electricite de France, 144A |
|
5.625% |
|
N/A (7) |
|
A3 |
|
1,955,772 |
|
|
735 EUR |
|
Tennet Holding BV |
|
6.655% |
|
N/A (7) |
|
BBB |
|
1,121,829 |
|
|
|
|
Total Electric Utilities |
|
|
|
|
|
|
|
6,796,873 |
|
|
|
|
Energy Equipment & Services – 1.7% |
|
|
|
|
|
|
|
|
|
|
2,305 EUR |
|
Origin Energy Finance Limited |
|
7.875% |
|
6/16/71 |
|
BB+ |
|
3,397,448 |
|
|
|
|
Transportation Infrastructure – 0.3% |
|
|
|
|
|
|
|
|
|
|
400 EUR |
|
Eurogate GmbH |
|
6.750% |
|
N/A (7) |
|
N/R |
|
571,449 |
|
|
|
|
Total $1,000 Par (or similar) Institutional Preferred (cost $14,975,097) |
|
|
|
|
|
16,192,495 |
| ||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
Description (1), (9) |
|
|
|
|
|
|
|
Value |
|
|
|
|
INVESTMENT COMPANIES – 1.2% (0.9% of Total Investments) |
|
|
|
|
|
|
| ||
|
|
|
Diversified Other - 0.5% |
|
|
|
|
|
|
|
|
|
|
542,629 |
|
John Laing Infrastructure Fund |
|
|
|
|
|
|
|
$ 1,064,766 |
|
|
|
|
Real Estate Management & Development - 0.7% |
|
|
|
|
|
|
|
|
|
|
805,002 |
|
Starwood European Real Estate Finance Limited |
|
|
|
|
|
|
|
1,331,993 |
|
|
|
|
Total Investment Companies (cost $2,334,232) |
|
|
|
|
|
|
|
2,396,759 |
|
|
|
|
Total Long-Term Investments (cost $257,304,235) |
|
|
|
|
|
|
|
265,961,412 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Principal |
|
|
|
|
|
|
|
|
|
|
|
|
Amount (000) |
|
Description (1) |
|
Coupon |
|
Maturity |
|
|
|
Value |
|
|
|
|
SHORT-TERM INVESTMENTS – 1.5% (1.1% of Total Investments) |
|
|
|
|
|
|
| ||
|
$ 2,902 |
|
Repurchase Agreement with Fixed Income Clearing Corporation, dated 3/31/14, repurchase price $2,902,361, collateralized by $2,985,000 U.S. Treasury Notes, 2.125%, due 1/31/21, value $2,962,613 |
|
0.000% |
|
4/01/14 |
|
|
|
$ 2,902,361 |
|
|
|
|
Total Short-Term Investments (cost $2,902,361) |
|
|
|
|
|
|
|
2,902,361 |
|
|
|
|
Total Investments (cost $260,206,596) – 137.2% |
|
|
|
|
|
|
|
268,863,773 |
|
|
|
|
Borrowings – (41.6)% (10), (11) |
|
|
|
|
|
|
|
(81,500,000 |
) |
|
|
|
Other Assets Less Liabilities – 4.4% (12) |
|
|
|
|
|
|
|
8,612,654 |
|
|
|
|
Net Assets – 100% |
|
|
|
|
|
|
|
$ 195,976,427 |
|
Investments in Derivatives as of March 31, 2014
Interest Rate Swaps outstanding:
|
|
|
|
|
Fund |
|
|
|
|
|
Fixed Rate |
|
|
|
|
|
Unrealized |
|
|
|
|
Notional |
|
Pay/Receive |
|
|
|
Fixed Rate |
|
Payment |
|
Effective |
|
Termination |
|
Appreciation |
|
|
Counterparty |
|
Amount |
|
Floating Rate |
|
Floating Rate Index |
|
(Annualized) |
|
Frequency |
|
Date (13) |
|
Date |
|
(Depreciation) (12) |
|
|
JPMorgan |
|
$ 29,250,000 |
|
Receive |
|
1-Month USD-LIBOR |
|
1.255 |
% |
Monthly |
|
12/01/14 |
|
12/01/18 |
|
$ 695,791 |
|
|
JPMorgan |
|
29,250,000 |
|
Receive |
|
1-Month USD-LIBOR |
|
1.673 |
|
Monthly |
|
12/01/14 |
|
12/01/20 |
|
1,275,904 |
|
|
|
|
$ 58,500,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
$ 1,971,695 |
|
|
|
|
Fair Value Measurements | |||||||||||||||||||||||||||
|
|
|
| |||||||||||||||||||||||||||
|
|
|
Fair value is defined as the price that the Fund would receive upon selling an investment or transferring a liability in an orderly transaction to an independent buyer in the principal or most advantageous market for the investment. A three-tier hierarchy is used to maximize the use of observable market data and minimize the use of unobservable inputs and to establish classification of fair value measurements for disclosure purposes. Observable inputs reflect the assumptions market participants would use in pricing the asset or liability. Observable inputs are based on market data obtained from sources independent of the reporting entity. Unobservable inputs reflect the reporting entity’s own assumptions about the assumptions market participants would use in pricing the asset or liability. Unobservable inputs are based on the best information available in the circumstances. The following is a summary of the three-tiered hierarchy of valuation input levels. | |||||||||||||||||||||||||||
|
|
|
| |||||||||||||||||||||||||||
|
|
|
Level 1 – Inputs are unadjusted and prices are determined using quoted prices in active markets for identical securities.
Level 2 – Prices are determined using other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.).
Level 3 – Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments).
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period: | |||||||||||||||||||||||||||
|
|
|
| |||||||||||||||||||||||||||
|
|
|
|
|
Level 1 |
|
Level 2 |
|
Level 3 |
|
Total |
| ||||||||||||||||||
|
|
|
Long-Term Investments: |
|
|
|
|
|
|
|
|
| ||||||||||||||||||
|
|
|
Common Stocks |
|
$ 93,999,068 |
|
$ 46,015,830 |
|
$ — |
|
$ 140,014,898 |
| ||||||||||||||||||
|
|
|
Convertible Preferred Securities |
|
5,705,852 |
|
620,834 |
|
— |
|
6,326,686 |
| ||||||||||||||||||
|
|
|
$25 Par (or similar) Retail Preferred |
|
51,745,867 |
|
1,167,310 |
|
— |
|
52,913,177 |
| ||||||||||||||||||
|
|
|
Corporate Bonds |
|
— |
|
41,487,797 |
|
— |
|
41,487,797 |
| ||||||||||||||||||
|
|
|
Convertible Bonds |
|
— |
|
6,629,600 |
|
— |
|
6,629,600 |
| ||||||||||||||||||
|
|
|
$1,000 Par (or similar) Institutional Preferred |
|
— |
|
16,192,495 |
|
— |
|
16,192,495 |
| ||||||||||||||||||
|
|
|
Investment Companies |
|
2,396,759 |
|
— |
|
— |
|
2,396,759 |
| ||||||||||||||||||
|
|
|
Short-Term Investments: |
|
|
|
|
|
|
|
|
| ||||||||||||||||||
|
|
|
Repurchase Agreements |
|
— |
|
2,902,361 |
|
— |
|
2,902,361 |
| ||||||||||||||||||
|
|
|
Investments in Derivatives: |
|
|
|
|
|
|
|
|
| ||||||||||||||||||
|
|
|
Interest Rate Swaps* |
|
— |
|
1,971,695 |
|
— |
|
1,971,695 |
| ||||||||||||||||||
|
|
|
Total |
|
$ 153,847,546 |
|
$ 116,987,922 |
|
$ — |
|
$ 270,835,468 |
| ||||||||||||||||||
|
|
|
| |||||||||||||||||||||||||||
|
|
|
* Represents net unrealized appreciation (depreciation). | |||||||||||||||||||||||||||
|
|
|
| |||||||||||||||||||||||||||
|
|
|
The table below presents the transfers in and out of the three valuation levels for the Fund as of the end of the reporting period when compared to the valuation levels at the end of the previous fiscal year. Changes in valuation inputs or methodologies may result in transfers into or out of an assigned level within the fair value hierarchy. Transfers in or out of levels are generally due to the availability of publicly available information and to the significance or extent the Adviser determines that the valuation inputs or methodologies may impact the valuation of those securities. | |||||||||||||||||||||||||||
|
|
|
| |||||||||||||||||||||||||||
|
|
|
|
|
Level 1 |
|
Level 2 |
|
Level 3 |
| ||||||||||||||||||||
|
|
|
|
|
Transfers In |
|
(Transfers Out) |
|
Transfers In |
|
(Transfers Out) |
|
Transfers In |
|
(Transfers Out) |
| ||||||||||||||
|
|
|
Common Stocks |
|
$ |
– |
|
$ |
(42,221,219 |
) |
$ |
42,221,219 |
|
$ |
– |
|
$ |
– |
|
$ |
– |
| ||||||||
|
|
|
Income Tax Information | ||||||
|
|
|
| ||||||
|
|
|
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to the recognition of premium amortization, and timing differences in recognizing certain gains and losses on investment transactions. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
As of March 31, 2014, the cost of investments (excluding investments in derivatives) was $261,353,238.
Gross unrealized appreciation and gross unrealized depreciation of investments (excluding investments in derivatives) as of March 31, 2014, were as follows: | ||||||
|
|
|
| ||||||
|
|
|
|
|
|
| |||
|
|
|
Gross unrealized: |
|
|
| |||
|
|
|
Appreciation |
|
$ |
13,502,995 |
| ||
|
|
|
Depreciation |
|
(5,992,460 |
) | |||
|
|
|
|
|
|
| |||
|
|
|
Net unrealized appreciation (depreciation) of investments |
|
$ |
7,510,535 |
| ||
|
|
|
|
|
|
| |||
|
|
|
| ||||||
|
|
|
|
|
For Fund portfolio compliance purposes, the Fund’s industry classifications refer to any one or more of the industry sub-classifications used by one or more widely recognized market indexes or ratings group indexes, and/or as defined by Fund management. This definition may not apply for purposes of this report, which may combine industry subclassifications into sectors for reporting ease. | ||||
|
|
|
(1) |
|
All percentages shown in the Portfolio of Investments are based on net assets. | ||||
|
|
|
(2) |
|
Non-income producing; issuer has not declared a dividend within the past twelve months. | ||||
|
|
|
(3) |
|
Ratings: Using the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. Ratings below BBB by Standard & Poor’s, Baa by Moody’s or BBB by Fitch are considered to be below investment grade. Holdings designated N/R are not rated by any of these national rating agencies. | ||||
|
|
|
(4) |
|
For fair value measurement disclosure purposes, Common Stock classified as Level 2. | ||||
|
|
|
(5) |
|
For fair value measurement disclosure purposes, Convertible Preferred Securities classified as Level 2. | ||||
|
|
|
(6) |
|
Principal Amount (000) denominated in U.S. Dollars, unless otherwise noted. | ||||
|
|
|
(7) |
|
Perpetual security. Maturity date is not applicable. | ||||
|
|
|
(8) |
|
Principal Amount (000) rounds to less than $1,000. | ||||
|
|
|
(9) |
|
A copy of the most recent financial statements for the investment companies in which the Fund invests can be obtained directly from the Securities and Exchange Commission on its website at http://www.sec.gov. | ||||
|
|
|
(10) |
|
Borrowings as a percentage of Total Investments is 30.3%. | ||||
|
|
|
(11) |
|
The Fund may pledge up to 100% of its eligible investments in the Portfolio of Investments as collateral for Borrowings. As of the end of the reporting period, investments with a value of $136,097,897 have been pledged as collateral for Borrowings. | ||||
|
|
|
(12) |
|
Other Assets Less Liabilities includes the Unrealized Appreciation (Depreciation) of derivative instruments as listed within Investments in Derivatives as of the end of the reporting period. | ||||
|
|
|
(13) |
|
Effective date represents the date on which both the Fund and Counterparty commence interest payment accruals on each contract. | ||||
|
|
|
(14) |
|
For fair value measurement disclosure purpose, $25 Par (or similar) Retail Preferred classified as Level 2. | ||||
|
|
|
N/A |
|
Not applicable. | ||||
|
|
|
REIT |
|
Real Estate Investment Trust. | ||||
|
|
|
WI/DD |
|
Investment, or portion of investment, purchased on a when-issued or delayed delivery basis. | ||||
|
|
|
144A |
|
Investment is exempt from registration under Rule 144A of the Securities Act of 1933, as amended. These investments may only be resold in transactions exempt from registration, which are normally those transactions with qualified institutional buyers. | ||||
|
|
|
EUR |
|
Euro | ||||
|
|
|
GBP |
|
British Pound Sterling | ||||
|
|
|
MXN |
|
Mexican Peso | ||||
|
USD-LIBOR |
|
United States Dollar – London Inter-Bank Offered Rate. | ||||||
Item 2. Controls and Procedures.
|
a. |
|
The registrant’s principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the “1940 Act”) (17 CFR 270.30a-3(c))) are effective, as of a date within 90 days of the filing date of this report that includes the disclosure required by this paragraph, based on their evaluation of the controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 (17 CFR 240.13a-15(b) or 240.15d-15(b)). |
|
|
|
|
|
b. |
|
There were no changes in the registrant’s internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrant’s last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant’s internal control over financial reporting. |
Item 3. Exhibits.
File as exhibits as part of this Form a separate certification for each principal executive officer and principal financial officer of the registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)), exactly as set forth below: EX-99 CERT Attached hereto.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) Nuveen Real Asset Income and Growth Fund
|
By (Signature and Title) |
/s/ Kevin J. McCarthy |
|
|
|
Kevin J. McCarthy |
|
|
|
Vice President and Secretary |
|
Date: May 30, 2014
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
|
By (Signature and Title) |
/s/ Gifford R. Zimmerman |
|
|
|
Gifford R. Zimmerman |
|
|
|
Chief Administrative Officer (principal executive officer) |
|
Date: May 30, 2014
|
By (Signature and Title) |
/s/ Stephen D. Foy |
|
|
|
Stephen D. Foy |
|
|
|
Vice President and Controller (principal financial officer) |
|
Date: May 30, 2014