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Nuveen Sector Small/Mid Cap

The Nuveen Sector Small/Mid Cap strategy is an equity strategy that focuses on high quality small-to-mid cap stocks with earnings growth potential and attractive valuations. The strategy seeks to invest in companies with double digit earnings growth, attractive valuations, and adequate liquidity. The strategy can invest up to 10% in ADRs. Securities are dynamically weighted in the portfolio. This strategy attempts to be diversified by sector with near sector neutrality with over and under weights at the industry and security level.

Investment Process

Nuveen Sector employs a unique fundamental and quantitative investment strategy custom tailored to each of the ten economic sectors as defined by the Global Industry Classification Standard (GICS) or similar. In each of Nuveen Sector strategies, we seek to maintain near sector neutrality to a given benchmark. We then apply our overweight and underweight decisions by way of our industry allocations and individual stock concentrations. We believe this results in a portfolio that is well balanced between value and growth with lower risk that can provide opportunities throughout the market cycle.

Nuveen Sector believes this fundamental and quantitative process seeks to ensure that decisions are based on facts and results in a disciplined repeatable investment process.

Nuveen Sector believes risk is reduced and returns can be enhanced by targeting high quality companies. We define high quality companies as those with some or all of the following: attractive balance sheets, a cash cushion or margin of safety, increasing cash flows and low manageable levels of debt.

Use of models do not guarantee that the strategy will achieve its objective.

Nuveen Asset Management's equity models utilize fundamental and fundamentally-based quantitative analysis to rank equities from most to least attractive within a given universe. These rankings are intended for use only by the portfolio management and research teams to make investment decisions for a given portfolio. The Nuveen Asset Management fundamental and quantitative teams each assign a 1 (highest) to 5 (lowest) rating to each equity investment within the universe. Stocks with the lowest ranking (5) from either discipline are excluded from the purchase list (or considered for short positions, when applicable). The Short Model and Beta Model are utilized for alternative strategies only. The Russell Index used for ranking depends on the strategy, and the representative indexes are the Russell 1000® Value Index; Russell 1000® Index and Russell 1000® Growth Index.

This process does not guarantee that the strategy will achieve its objective.

Certain strategies may be available through other investment vehicles not listed above. Vehicles and their respective platforms shown may not be available in certain jurisdictions; investors should be aware of applicable legal requirements. This information should not be considered a solicitation or an offer by Nuveen Asset Management or Nuveen to provide any services in any jurisdiction. For more information on collective investment trusts, please contact us. If you are a non-U.S. investor and would like more information on UCITS Funds, please visit

This material is not intended to be a recommendation or investment advice, does not constitute a solicitation to buy or sell securities. The information does not take into account the specific objectives or circumstances of any investor, or suggest any specific course of action. Investment decisions should be made based on an investor's objectives and circumstances and in consultation with his or her advisors.

All investments involve risk and there is no assurance that an investment will provide positive performance over any period of time. Past performance does not guarantee future results.


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