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 |
|---|---|---|---|---|---|---|
| July 02, 2019 Filed Jul 3, 2019 15:27 UTC |
Swanson DavidDirector
|
PurchaseCommon Shares of Beneficial Interest | 580 | $17.20 | $9,973.27 |
DisclosureSEC source: 0001298613-19-000001 · primary_doc.xml · nonDerivative · entry 1 Swanson David · CIK 0001298613 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 580 Read SEC document |
| July 02, 2019 Filed Jul 8, 2019 11:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 370 | $17.26 | $6,386.20 |
DisclosureSEC source: 0001398344-19-011641 · fp0043755_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: 168,108 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 |
| June 21, 2019 Filed Jun 24, 2019 18:17 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 581 | $17.10 | $9,935.10 |
DisclosureSEC source: 0001398344-19-011011 · fp0043526_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: 168,478 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 |
| June 20, 2019 Filed Jun 24, 2019 18:17 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HDirector
|
SaleCommon Stock | 2,000 | $17.07 | $34,140.00 |
DisclosureSEC source: 0001398344-19-011011 · fp0043526_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: 169,059 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 |
| June 18, 2019 Filed Jun 20, 2019 13:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 513 | $17.07 | $8,756.91 |
DisclosureSEC source: 0001398344-19-010820 · fp0043458_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,059 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 |
| June 13, 2019 Filed Jun 17, 2019 13:28 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 1,000 | $17.02 | $17,020.00 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,572 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 |
| June 13, 2019 Filed Jun 17, 2019 13:28 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 4,000 | $16.97 | $67,880.00 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,572 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 |
| June 10, 2019 Filed Jun 17, 2019 13:28 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 200 | $17.10 | $3,420.00 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,572 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 |
| June 06, 2019 Filed Jun 6, 2019 17:20 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 671 | $16.92 | $11,353.32 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,265 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 |
| June 06, 2019 Filed Jun 17, 2019 13:28 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 1,191 | $16.95 | $20,187.45 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,772 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 |
| June 06, 2019 Filed Jun 17, 2019 13:28 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 1,329 | $16.92 | $22,486.68 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,963 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 |
| June 05, 2019 Filed Jun 6, 2019 17:20 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 2,000 | $16.92 | $33,840.00 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,936 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 |
| June 04, 2019 Filed Jun 6, 2019 17:20 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 800 | $16.88 | $13,504.00 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,963 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 |
| June 04, 2019 Filed Jun 6, 2019 17:20 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 2,000 | $16.90 | $33,800.00 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,763 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 |
| May 09, 2019 Filed May 13, 2019 13:20 UTC |
Schmucker Brian HOfficer of Subadviser
|
SaleCommon Stock | 5,500 | $16.79 | $92,345.00 |
DisclosureSEC source: 0001398344-19-008695 · fp0042116_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,666 Read SEC document |
| May 08, 2019 Filed May 8, 2019 14:22 UTC |
Schmucker Brian HOfficer of Subadviser
|
SaleCommon Stock | 5,500 | $16.91 | $93,005.00 |
DisclosureSEC source: 0001398344-19-008181 · fp0041974_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,166 Read SEC document |
| May 07, 2019 Filed May 8, 2019 14:22 UTC |
Schmucker Brian HOfficer of Subadviser
|
SaleCommon Stock | 5,500 | $17.20 | $94,600.00 |
DisclosureSEC source: 0001398344-19-008181 · fp0041974_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,666 Read SEC document |
| May 06, 2019 Filed May 8, 2019 14:25 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 5,500 | $17.22 | $94,710.00 |
DisclosureSEC source: 0001398344-19-008183 · fp0041973_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,763 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 |
| May 02, 2019 Filed May 6, 2019 11:35 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 5,500 | $17.06 | $93,830.00 |
DisclosureSEC source: 0001398344-19-007968 · fp0041925_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,263 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 |
| December 21, 2018 Filed Dec 26, 2018 16:14 UTC |
Galley Patrick W.Director
|
PurchaseCommon Stock | 2,000 | $14.53 | $29,065.00 |
DisclosureSEC source: 0001398344-18-018522 · fp0038036_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,974 Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 14:03 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantCommon Stock | 3,000 | $14.44 | $43,320.00 |
DisclosureSEC source: 0001398344-18-018347 · fp0037988_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,166 Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 14:03 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantCommon Stock | 5,000 | $14.91 | $74,550.00 |
DisclosureSEC source: 0001398344-18-018347 · fp0037988_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,166 Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 14:00 UTC |
Galley Patrick W.Director
|
GrantCommon Stock | 2,000 | $14.84 | $29,685.00 |
DisclosureSEC source: 0001398344-18-018345 · fp0037987_4.xml · nonDerivative · entry 4 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,974 Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 14:00 UTC |
Galley Patrick W.Director
|
GrantCommon Stock | 2,000 | $15.00 | $30,005.00 |
DisclosureSEC source: 0001398344-18-018345 · fp0037987_4.xml · nonDerivative · entry 3 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,974 Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 14:00 UTC |
Galley Patrick W.Director
|
GrantCommon Stock | 1,000 | $15.03 | $15,034.80 |
DisclosureSEC source: 0001398344-18-018345 · fp0037987_4.xml · nonDerivative · entry 2 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,974 Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 14:00 UTC |
Galley Patrick W.Director
|
GrantCommon Stock | 2,000 | $15.02 | $30,045.00 |
DisclosureSEC source: 0001398344-18-018345 · fp0037987_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,974 Read SEC document |
| November 20, 2018 Filed Nov 20, 2018 15:30 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantCommon Stock | 2,000 | $16.38 | $32,760.00 |
DisclosureSEC source: 0001398344-18-016807 · fp0037256_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,166 Read SEC document |
| November 20, 2018 Filed Nov 26, 2018 13:32 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantCommon Stock | 3,000 | $16.20 | $48,600.00 |
DisclosureSEC source: 0001398344-18-016939 · fp0037338_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,166 Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 15:30 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantCommon Stock | 5,000 | $16.20 | $81,000.00 |
DisclosureSEC source: 0001398344-18-016807 · fp0037256_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,166 Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 13:46 UTC |
O'Neill Stephen AndrewPortfolio Manager
|
GrantCommon Stock | 8,000 | $16.93 | $135,440.00 |
DisclosureSEC source: 0001398344-18-016267 · fp0037053_4.xml · nonDerivative · entry 1 O'Neill Stephen Andrew · CIK 0001662140 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,639 Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 13:40 UTC |
Galley Patrick W.Director
|
GrantCommon Stock | 30,659 | $16.93 | $519,056.87 |
DisclosureSEC source: 0001398344-18-016265 · fp0037052_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,974 Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 15:44 UTC |
HUTCHENS JOHN WAYNEDirector
|
PurchaseCommon Shares of Beneficial Interest | 1,311 | $16.93 | $22,195.23 |
DisclosureSEC source: 0001662500-18-000001 · primary_doc.xml · nonDerivative · entry 1 HUTCHENS JOHN WAYNE · CIK 0001662500 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,743 Read SEC document |
| November 07, 2018 Filed Nov 13, 2018 09:33 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantCommon Stock | 8,833 | $16.93 | $149,542.69 |
DisclosureSEC source: 0001398344-18-016325 · fp0037081_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,166 Read SEC document |
| November 07, 2018 Filed Dec 17, 2018 11:02 UTC |
Oakes John S.Director
|
PurchaseCommon Shares of Beneficial Interest | 369 | $16.93 | $6,247.17 |
DisclosureSEC source: 0001647173-18-000002 · primary_doc.xml · nonDerivative · entry 1 Oakes John S. · CIK 0001647173 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,475 Read SEC document |
| June 13, 2018 Filed Jun 15, 2018 13:59 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 678 | $21.55 | $14,610.90 |
DisclosureSEC source: 0001398344-18-009084 · fp0034027_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,763 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 |
| June 13, 2018 Filed Jun 15, 2018 13:59 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 3,500 | $21.50 | $75,250.00 |
DisclosureSEC source: 0001398344-18-009084 · fp0034027_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,441 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 |
| June 12, 2018 Filed Jun 13, 2018 16:30 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 300 | $21.51 | $6,453.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,941 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 |
| June 12, 2018 Filed Jun 13, 2018 16:30 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 3,000 | $21.45 | $64,350.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,241 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 |
| June 11, 2018 Filed Jun 13, 2018 16:30 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 17 | $21.50 | $365.50 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,241 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 |
| June 11, 2018 Filed Jun 13, 2018 16:30 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 2,500 | $21.49 | $53,725.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,258 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 |
| June 11, 2018 Filed Jun 13, 2018 16:30 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 3,000 | $21.46 | $64,380.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,758 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 |
| June 08, 2018 Filed Jun 11, 2018 10:54 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 618 | $21.42 | $13,237.56 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,758 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 |
| June 08, 2018 Filed Jun 11, 2018 10:54 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 2,500 | $21.40 | $53,500.00 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,376 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 |
| June 07, 2018 Filed Jun 11, 2018 10:54 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 453 | $21.47 | $9,725.91 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,876 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 |
| June 07, 2018 Filed Jun 11, 2018 10:54 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 3,500 | $21.45 | $75,075.00 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,329 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 |
| June 05, 2018 Filed Jun 7, 2018 15:37 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 3,500 | $21.40 | $74,900.00 |
DisclosureSEC source: 0001398344-18-008715 · fp0033918_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,829 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 |
| June 05, 2018 Filed Jun 7, 2018 15:37 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 4,000 | $21.36 | $85,440.00 |
DisclosureSEC source: 0001398344-18-008715 · fp0033918_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,329 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 |
| June 04, 2018 Filed Jun 5, 2018 15:02 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 2,437 | $21.40 | $52,151.80 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,329 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 |
| June 04, 2018 Filed Jun 5, 2018 15:02 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 2,000 | $21.37 | $42,740.00 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,766 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 |
| June 04, 2018 Filed Jun 5, 2018 15:02 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 3,000 | $21.35 | $64,050.00 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,766 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.