Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 03, 2021 Filed Mar 4, 2021 21:04 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 7,635 | $17.37 | $132,619.95 |
DisclosureSEC source: 0001398344-21-005666 · fp0063369_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,994 Read SEC document |
| February 09, 2021 Filed Feb 12, 2021 19:08 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 9,450 | $17.50 | $165,375.00 |
DisclosureSEC source: 0001398344-21-003177 · fp0062356_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,629 Read SEC document |
| February 05, 2021 Filed Feb 9, 2021 20:45 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 8,792 | $17.34 | $152,453.28 |
DisclosureSEC source: 0001398344-21-002761 · fp0062237_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,871 Read SEC document |
| February 05, 2021 Filed Feb 12, 2021 19:08 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 8,792 | $17.34 | $152,453.28 |
DisclosureSEC source: 0001398344-21-003177 · fp0062356_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,079 Read SEC document |
| February 04, 2021 Filed Feb 9, 2021 20:45 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 2,000 | $17.17 | $34,340.00 |
DisclosureSEC source: 0001398344-21-002761 · fp0062237_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,663 Read SEC document |
| February 03, 2021 Filed Feb 4, 2021 20:02 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 7,459 | $17.01 | $126,877.59 |
DisclosureSEC source: 0001398344-21-002350 · fp0061951_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,663 Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 20:02 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 2,000 | $17.01 | $34,020.00 |
DisclosureSEC source: 0001398344-21-002350 · fp0061951_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,122 Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 15:57 UTC |
Swanson DavidDirector
|
PurchaseCommon Shares of Beneficial Interest | 258 | $14.08 | $3,632.64 |
DisclosureSEC source: 0001298613-20-000003 · primary_doc.xml · nonDerivative · entry 1 Swanson David · CIK 0001298613 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,032 Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 12:22 UTC |
O'Neill Stephen AndrewPortfolio Manager
|
PurchaseCommon Stock | 500 | $9.35 | $4,675.00 |
DisclosureSEC source: 0001398344-20-006662 · fp0052184_4.xml · nonDerivative · entry 2 O'Neill Stephen Andrew · CIK 0001662140 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,722 Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 12:22 UTC |
O'Neill Stephen AndrewPortfolio Manager
|
PurchaseCommon Stock | 2,000 | $9.39 | $18,780.00 |
DisclosureSEC source: 0001398344-20-006662 · fp0052184_4.xml · nonDerivative · entry 1 O'Neill Stephen Andrew · CIK 0001662140 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,222 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 17:03 UTC |
Galley Patrick W.Director
|
PurchaseCommon Stock | 1,000 | $12.48 | $12,480.00 |
DisclosureSEC source: 0001398344-20-006081 · fp0051879_4.xml · nonDerivative · entry 2 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,571 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 17:03 UTC |
Galley Patrick W.Director
|
PurchaseCommon Stock | 1,876 | $12.45 | $23,356.20 |
DisclosureSEC source: 0001398344-20-006081 · fp0051879_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,571 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 17:02 UTC |
Schmucker Brian HOfficer of Subadviser
|
SaleCommon Stock | 29,050 | $11.17 | $324,488.50 |
DisclosureSEC source: 0001398344-20-006079 · fp0051878_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,616 Read SEC document |
| November 12, 2019 Filed Nov 12, 2019 15:34 UTC |
HUTCHENS JOHN WAYNEDirector
|
PurchaseCommon Shares of Beneficial Interest | 1,247 | $16.20 | $20,201.40 |
DisclosureSEC source: 0001662500-19-000003 · primary_doc.xml · nonDerivative · entry 1 HUTCHENS JOHN WAYNE · CIK 0001662500 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,990 Read SEC document |
| November 12, 2019 Filed Nov 13, 2019 10:58 UTC |
Oakes John S.Director
|
PurchaseCommon Shares of Beneficial Interest | 429 | $16.20 | $6,949.80 |
DisclosureSEC source: 0001647173-19-000001 · primary_doc.xml · nonDerivative · entry 1 Oakes John S. · CIK 0001647173 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,967 Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 11:36 UTC |
O'Neill Stephen AndrewPortfolio Manager
|
PurchaseCommon Stock | 5,000 | $16.20 | $81,000.00 |
DisclosureSEC source: 0001398344-19-019632 · fp0047580_4.xml · nonDerivative · entry 1 O'Neill Stephen Andrew · CIK 0001662140 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,792 Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 11:40 UTC |
Galley Patrick W.Director
|
PurchaseCommon Stock | 33,168 | $16.20 | $537,321.60 |
DisclosureSEC source: 0001398344-19-019634 · fp0047581_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,695 Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 14:54 UTC |
Swanson DavidDirector
|
PurchaseCommon Shares of Beneficial Interest | 194 | $16.60 | $3,220.40 |
DisclosureSEC source: 0001298613-19-000002 · primary_doc.xml · nonDerivative · entry 1 Swanson David · CIK 0001298613 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 774 Read SEC document |
| October 24, 2019 Filed Oct 24, 2019 19:13 UTC |
O'Neill Stephen AndrewOfficer of Subadviser
|
SaleTransferable Subscription Rights (RIV RT) | 23,793 | $0.05 | $1,268.17 |
DisclosureSEC source: 0001398344-19-018475 · fp0047058_4.xml · nonDerivative · entry 2 O'Neill Stephen Andrew · CIK 0001662140 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| October 23, 2019 Filed Oct 24, 2019 19:16 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleTransferable Subscription Rights (RIV RT) | 10,290 | $0.06 | $617.40 |
DisclosureSEC source: 0001398344-19-018481 · fp0047055_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:16 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleTransferable Subscription Rights (RIV RT) | 51,429 | $0.04 | $2,062.30 |
DisclosureSEC source: 0001398344-19-018481 · fp0047055_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,290 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 21, 2019 Filed Oct 22, 2019 16:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleTransferable Subscription Rights (RIV RT) | 47,938 | $0.04 | $1,720.97 |
DisclosureSEC source: 0001398344-19-018269 · fp0047022_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,719 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 18, 2019 Filed Oct 22, 2019 16:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleTransferable Subscription Rights (RIV RT) | 14,465 | $0.06 | $869.35 |
DisclosureSEC source: 0001398344-19-018269 · fp0047022_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,657 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 11:09 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleCommon Stock | 1,522 | $16.70 | $25,417.40 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,171 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 11:09 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleCommon Stock | 2,000 | $16.67 | $33,340.00 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,693 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 11:09 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleCommon Stock | 2,000 | $16.63 | $33,260.00 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,693 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 16:37 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleCommon Stock | 1,429 | $16.92 | $24,178.68 |
DisclosureSEC source: 0001398344-19-017750 · fp0046762_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,693 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 16:37 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleCommon Stock | 1,000 | $16.88 | $16,880.00 |
DisclosureSEC source: 0001398344-19-017750 · fp0046762_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 16:37 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
SaleCommon Stock | 1,000 | $16.89 | $16,890.00 |
DisclosureSEC source: 0001398344-19-017750 · fp0046762_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 01, 2019 Filed Oct 18, 2019 11:09 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Schmucker Brian HDirector · Chief Executive Officer
Galley Patrick W.Director · Chief Investment Officer
|
GrantTransferable Subscription Rights (RIV RT) | 124,122 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 01, 2019 Filed Oct 24, 2019 19:13 UTC |
O'Neill Stephen AndrewOfficer of Subadviser
|
GrantTransferable Subscription Rights (RIV RT) | 38,793 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-19-018475 · fp0047058_4.xml · nonDerivative · entry 1 O'Neill Stephen Andrew · CIK 0001662140 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,793 Read SEC document |
| October 01, 2019 Filed Oct 24, 2019 19:13 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantTransferable Subscription Rights (RIV RT) | 55,668 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-19-018474 · fp0047056_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,668 Read SEC document |
| October 01, 2019 Filed Oct 24, 2019 19:15 UTC |
Galley Patrick W.Director
|
GrantTransferable Subscription Rights (RIV RT) | 96,597 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-19-018480 · fp0047057_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,597 Read SEC document |
| September 26, 2019 Filed Sep 27, 2019 14:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 5,000 | $17.12 | $85,600.00 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 25, 2019 Filed Sep 27, 2019 14:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 2,700 | $17.24 | $46,548.00 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 09, 2019 Filed Sep 27, 2019 14:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 570 | $17.18 | $9,792.60 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,822 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 09, 2019 Filed Sep 27, 2019 14:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 109 | $17.19 | $1,873.71 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,392 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 28, 2019 Filed Aug 29, 2019 13:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 624 | $16.95 | $10,576.80 |
DisclosureSEC source: 0001398344-19-015569 · fp0045461_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,501 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 27, 2019 Filed Aug 29, 2019 13:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 3,000 | $16.95 | $50,850.00 |
DisclosureSEC source: 0001398344-19-015569 · fp0045461_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,125 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 16:27 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 3,300 | $17.45 | $57,585.00 |
DisclosureSEC source: 0001398344-19-013487 · fp0044905_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,125 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 16:27 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 3,000 | $17.40 | $52,200.00 |
DisclosureSEC source: 0001398344-19-013487 · fp0044905_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,425 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 16, 2019 Filed Jul 17, 2019 16:54 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 1,755 | $17.40 | $30,537.00 |
DisclosureSEC source: 0001398344-19-012054 · fp0044402_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,425 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 15, 2019 Filed Jul 17, 2019 16:54 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 4,018 | $17.65 | $70,917.70 |
DisclosureSEC source: 0001398344-19-012054 · fp0044402_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,180 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 11, 2019 Filed Jul 17, 2019 16:54 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 5,500 | $17.62 | $96,910.00 |
DisclosureSEC source: 0001398344-19-012054 · fp0044402_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,198 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 10, 2019 Filed Jul 11, 2019 13:07 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 2,372 | $17.50 | $41,510.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,698 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 10, 2019 Filed Jul 11, 2019 13:07 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 3,000 | $17.45 | $52,350.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,070 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 09, 2019 Filed Jul 11, 2019 13:07 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 400 | $17.42 | $6,968.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,070 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 08, 2019 Filed Jul 11, 2019 13:07 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 4,500 | $17.31 | $77,895.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,470 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 08, 2019 Filed Jul 11, 2019 13:07 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 738 | $17.36 | $12,811.68 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,970 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 05, 2019 Filed Jul 8, 2019 11:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 3,400 | $17.26 | $58,684.00 |
DisclosureSEC source: 0001398344-19-011641 · fp0043755_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,708 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.