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Ameriprise Financial, Inc. and its subsidiary Ameriprise Financial Services, LLC report ownership of common stock of Nuveen Mortgage and Income Fund. The filing states that Ameriprise entities have shared dispositive power over 368,549 shares, representing 6.7% of the fund’s common stock, with no sole or shared voting power reported. Ameriprise notes that the parent company may be deemed to beneficially own shares held by the subsidiary, and both entities disclaim beneficial ownership of the shares reported.
Key Figures
Shares with shared dispositive power:368,549 sharesPercent of class owned:6.7%Sole voting power:0 shares+3 more
6 metrics
Shares with shared dispositive power368,549 sharesCommon stock of Nuveen Mortgage and Income Fund reported by Ameriprise entities
Percent of class owned6.7%Portion of Nuveen Mortgage and Income Fund common stock attributed to Ameriprise entities
Sole voting power0 sharesNumber of Nuveen Mortgage and Income Fund shares over which Ameriprise has sole voting power
Shared voting power0 sharesNumber of Nuveen Mortgage and Income Fund shares over which Ameriprise has shared voting power
CUSIP670735109CUSIP number for Nuveen Mortgage and Income Fund common stock
Reporting date06/30/2026Date associated with the ownership information in the Schedule 13G/A amendment
"AFI, as the parent company of AFS, may be deemed to beneficially own the shares"
Beneficially own means having the economic rights and risks of a security—such as the right to receive dividends, sell the shares, or profit from price changes—whether or not your name appears on the official share register. Think of it like renting a car: you use it and reap the benefits even if the title lists someone else. Investors care because beneficial ownership determines who truly controls value, must be disclosed under securities rules, and can signal potential influence or trading activity that affects a stock’s price.
shared dispositive powerfinancial
"Shared Dispositive Power 368,549.00"
Schedule 13Gregulatory
"Each of AFI and AFS disclaims beneficial ownership of any shares reported on this Schedule."
A Schedule 13G is a formal document that investors file with the government when they acquire a large ownership stake in a company, usually for investment purposes rather than control. It helps keep the public informed about who owns significant parts of a company's shares, which can influence how the company is managed and how investors make decisions. Filing this schedule is important for transparency and understanding the ownership landscape of publicly traded companies.
parent holding companyfinancial
"If a parent holding company has filed this schedule, pursuant to (ii)(G)..."
CUSIPfinancial
"Title of class of securities: Common Stock (e) | CUSIP No.: 670735109"
A CUSIP is a nine-character alphanumeric code that uniquely identifies a U.S. or Canadian financial security—such as a stock, bond, or fund share—like a Social Security number for an investment. It matters to investors because brokers, exchanges and record-keepers use the CUSIP to match trades, track ownership, settle transactions and pull accurate records, reducing errors and ensuring money and securities go to the right place.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What ownership stake in JLS does Ameriprise report in this Schedule 13G/A?
Ameriprise entities report beneficial ownership of 368,549 shares of Nuveen Mortgage and Income Fund (JLS), representing 6.7% of the outstanding common stock. The filing emphasizes that both Ameriprise entities disclaim beneficial ownership of the reported shares.
Which Ameriprise entities are reporting holdings in Nuveen Mortgage and Income Fund (JLS)?
The reporting persons are Ameriprise Financial, Inc. and its subsidiary Ameriprise Financial Services, LLC, both organized in Delaware. The parent company may be deemed to beneficially own the shares reported by the subsidiary under the Schedule 13G/A.
How much voting power do the Ameriprise entities report over JLS shares?
The Schedule 13G/A states that Ameriprise entities have 0 shares of sole voting power and 0 shares of shared voting power in Nuveen Mortgage and Income Fund (JLS), indicating no reported ability to vote the shares.
What dispositive power over JLS shares is reported by Ameriprise?
Ameriprise entities report 0 shares with sole dispositive power and 368,549 shares with shared dispositive power in Nuveen Mortgage and Income Fund (JLS), meaning they can jointly decide on the disposition of these shares.
Do Ameriprise entities admit beneficial ownership of the JLS shares reported?
No. While the filing attributes 368,549 shares and 6.7% of the class to the Ameriprise entities for reporting purposes, each of Ameriprise Financial, Inc. and Ameriprise Financial Services, LLC disclaims beneficial ownership of all shares reported on this Schedule.
Address or principal business office or, if none, residence:
(a) 145 Ameriprise Financial Center, Minneapolis, MN 55474
(b) 5227 Ameriprise Financial Center, Minneapolis, MN 55474
(c)
Citizenship:
(a) Delaware
(b) Delaware
(d)
Title of class of securities:
Common Stock
(e)
CUSIP No.:
670735109
Item 3.
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
please specify the type of institution:
(k)
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.
Ownership
(a)
Amount beneficially owned:
Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person.
AFI, as the parent company of AFS, may be deemed to beneficially own the shares reported herein by AFS. Accordingly, the shares reported herein by AFI include those shares separately reported herein by AFS.
Each of AFI and AFS disclaims beneficial ownership of any shares reported on this Schedule.
(b)
Percent of class:
The information required by Item 4(b) is set forth in Rows (5)-(9) and (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.
(c)
Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
The information required by Item 4(c) is set forth in Rows (5)-(9) and (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.
(ii) Shared power to vote or to direct the vote:
The information required by Item 4(c) is set forth in Rows (5)-(9) and (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.
(iii) Sole power to dispose or to direct the disposition of:
The information required by Item 4(c) is set forth in Rows (5)-(9) and (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.
(iv) Shared power to dispose or to direct the disposition of:
The information required by Item 4(c) is set forth in Rows (5)-(9) and (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.
Item 5.
Ownership of 5 Percent or Less of a Class.
Not Applicable
Item 6.
Ownership of more than 5 Percent on Behalf of Another Person.
Not Applicable
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
AFI: See Exhibit I
Item 8.
Identification and Classification of Members of the Group.
Not Applicable
Item 9.
Notice of Dissolution of Group.
Not Applicable
Item 10.
Certifications:
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Ameriprise Financial, Inc.
Signature:
/s/ Michael G. Clarke
Name/Title:
Michael G. Clarke, Senior Vice President, North America Head of Operations & Investor Services
Date:
08/14/2026
Ameriprise Financial Services, LLC
Signature:
/s/ Brett Flansburg
Name/Title:
Brett Flansburg, Vice President Compliance
Date:
08/14/2026
Comments accompanying signature:
Contact Information
Charles Chiesa
VP Fund Treasurer Global Operations and Investor Services
Telephone: 617-385-9593
Exhibit Information
Exhibit Index
Exhibit I Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company.
Exhibit II Joint Filing Agreement
