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NUVEEN INVESTMENTS, INC
> RHHBY
| Date | Name | Ticker | Shares | Change | Value | Change | Price |
| 09/30/2017 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2017 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2017 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2016 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2016 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2016 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2013 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2012 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2012 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2012 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2011 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2011 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2011 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2011 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2010 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2010 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2010 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2010 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2009 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2009 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2009 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2009 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2008 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2008 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2008 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2008 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2007 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2007 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2007 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2007 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2006 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 09/30/2006 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 06/30/2006 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 03/31/2006 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
| 12/31/2005 | ROCHE HOLDING LTD | RHHBY | 0 | -40 | 0 | -3,000 | |
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