Ameriprise Financial, Inc. and Ameriprise Financial Services, LLC filed a Schedule 13G reporting beneficial ownership in Nuveen Mortgage and Income Fund common stock. The filing shows 296,505 shares with shared dispositive power, representing 5.4% of the class as reported.
The report states AFI is the parent of AFS and incorporates cover-page rows for voting/dispositive powers; both entities disclaim beneficial ownership in the shares reported.
Positive
None.
Negative
None.
Insights
Passive investor reporting with disclosed shared control.
The filing records 296,505 shares and 5.4% ownership as a passive reporting holder under Schedule 13G. It identifies shared dispositive power rather than sole voting authority, consistent with institutional investment reporting rules.
Watch subsequent filings for any shift to an active Schedule 13D or material changes in percent ownership; timing of any changes is not provided here.
Key Figures
Shares reported:296,505 sharesPercent of class:5.4%CUSIP:670735109+1 more
4 metrics
Shares reported296,505 sharesSchedule 13G cover rows for reporting persons
Percent of class5.4%Percent of common stock reported on cover page
CUSIP670735109Issuer common stock CUSIP on the filing
Report date03/31/2026Date tied to the cover-page ownership figures
Key Terms
Schedule 13G, Beneficial ownership, Shared dispositive power
3 terms
Schedule 13Gregulatory
"filed a <b>Schedule 13G</b> reporting beneficial ownership"
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.
Beneficial ownershipfinancial
"Each of AFI and AFS disclaims <b>beneficial ownership</b> of any shares reported"
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
Shared dispositive powerregulatory
"Shared <b>dispositive power</b> 296,505.00 reported on the cover"
What stake does Ameriprise report in Nuveen Mortgage and Income Fund (JLS)?
Ameriprise reports ownership of 296,505 shares, representing 5.4% of the common stock. The filing shows shared dispositive power, filed on the Schedule 13G cover data included in the submission.
Does the Schedule 13G filing indicate Ameriprise controls voting of the shares?
The filing shows shared dispositive power of 296,505 shares and reports sole voting power as 0.00. It does not indicate sole voting control; voting figures are reported on the cover rows referenced in Item 4.
Which Ameriprise entities filed the 13G for Nuveen Mortgage and Income Fund?
Two reporting persons filed: Ameriprise Financial, Inc. and Ameriprise Financial Services, LLC. AFI is identified as the parent of AFS and the filing incorporates cover-page rows for each reporting person.
Do Ameriprise entities claim beneficial ownership of the shares?
Both AFI and AFS include the reported share counts but each disclaims beneficial ownership of the shares reported on this Schedule 13G, per the Item 4 disclosure in the filing.
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Nuveen Mortgage and Income Fund
(Name of Issuer)
Common Stock
(Title of Class of Securities)
670735109
(CUSIP Number)
03/31/2026
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)
schemaVersion:
SCHEDULE 13G
CUSIP Number(s):
670735109
1
Names of Reporting Persons
Ameriprise Financial, Inc.
2
Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
3
Sec Use Only
4
Citizenship or Place of Organization
DELAWARE
Number of Shares Beneficially Owned by Each Reporting Person With:
5
Sole Voting Power
0.00
6
Shared Voting Power
0.00
7
Sole Dispositive Power
0.00
8
Shared Dispositive Power
296,505.00
9
Aggregate Amount Beneficially Owned by Each Reporting Person
296,505.00
10
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
11
Percent of class represented by amount in row (9)
5.4 %
12
Type of Reporting Person (See Instructions)
HC
SCHEDULE 13G
CUSIP Number(s):
670735109
1
Names of Reporting Persons
Ameriprise Financial Services, LLC
2
Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
3
Sec Use Only
4
Citizenship or Place of Organization
DELAWARE
Number of Shares Beneficially Owned by Each Reporting Person With:
5
Sole Voting Power
0.00
6
Shared Voting Power
0.00
7
Sole Dispositive Power
0.00
8
Shared Dispositive Power
296,505.00
9
Aggregate Amount Beneficially Owned by Each Reporting Person
296,505.00
10
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
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 Number(s):
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:
05/15/2026
Ameriprise Financial Services, LLC
Signature:
/s/ Brett Flansburg
Name/Title:
Brett Flansburg, Vice President Compliance
Date:
05/15/2026
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
