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 |
|---|---|---|---|---|---|---|
| June 01, 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 | $21.35 | $42,700.00 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_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: 230,766 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 01, 2018 Filed Jun 5, 2018 15:02 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.10% owner
Schmucker Brian H10% owner
|
SaleCommon Stock | 1,008 | $21.37 | $21,540.96 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_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: 232,766 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 |
| May 30, 2018 Filed May 31, 2018 15:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 3,000 | $21.31 | $63,930.00 |
DisclosureSEC source: 0001398344-18-008324 · fp0033791_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,774 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 30, 2018 Filed May 31, 2018 15:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 2,000 | $21.29 | $42,580.00 |
DisclosureSEC source: 0001398344-18-008324 · fp0033791_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,774 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 29, 2018 Filed May 31, 2018 15:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 2,500 | $21.27 | $53,175.00 |
DisclosureSEC source: 0001398344-18-008324 · fp0033791_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,774 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 29, 2018 Filed May 31, 2018 15:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 3,000 | $21.25 | $63,750.00 |
DisclosureSEC source: 0001398344-18-008324 · fp0033791_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,274 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 29, 2018 Filed May 31, 2018 15:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 2,000 | $21.23 | $42,460.00 |
DisclosureSEC source: 0001398344-18-008324 · fp0033791_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,274 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 |
| January 10, 2018 Filed Jan 12, 2018 16:11 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 7,400 | $20.74 | $153,476.00 |
DisclosureSEC source: 0001398344-18-000565 · fp0030290_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,274 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 |
| January 09, 2018 Filed Jan 10, 2018 15:26 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 7,000 | $20.75 | $145,250.00 |
DisclosureSEC source: 0001398344-18-000438 · fp0030215_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,674 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 |
| January 08, 2018 Filed Jan 10, 2018 15:26 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 7,000 | $20.59 | $144,130.00 |
DisclosureSEC source: 0001398344-18-000438 · fp0030215_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,674 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 |
| January 03, 2018 Filed Jan 5, 2018 11:36 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 5,300 | $20.28 | $107,484.00 |
DisclosureSEC source: 0001398344-18-000190 · fp0030091_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,674 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 |
| January 02, 2018 Filed Jan 3, 2018 15:51 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 5,000 | $20.12 | $100,600.00 |
DisclosureSEC source: 0001398344-18-000095 · fp0030033_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,974 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 |
| January 02, 2018 Filed Jan 3, 2018 15:51 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HOfficer of Investment Advisor
|
SaleCommon Stock | 8,000 | $20.08 | $160,640.00 |
DisclosureSEC source: 0001398344-18-000095 · fp0030033_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,974 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, 2017 Filed Dec 26, 2017 21:58 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 4,442 | $19.79 | $87,907.18 |
DisclosureSEC source: 0001398344-17-016283 · fp0029873_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,974 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, 2017 Filed Dec 26, 2017 21:58 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 4,000 | $19.74 | $78,960.00 |
DisclosureSEC source: 0001398344-17-016283 · fp0029873_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,416 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, 2017 Filed Dec 26, 2017 21:58 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 3,000 | $19.73 | $59,190.00 |
DisclosureSEC source: 0001398344-17-016283 · fp0029873_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,416 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, 2017 Filed Dec 26, 2017 21:58 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 2,000 | $19.71 | $39,420.00 |
DisclosureSEC source: 0001398344-17-016283 · fp0029873_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,416 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 |
| November 15, 2017 Filed Nov 17, 2017 11:23 UTC |
Oakes John S.Director
|
GrantCommon Shares of Beneficial Interest | 667 | $19.54 | $13,033.18 |
DisclosureSEC source: 0001647173-17-000001 · primary_doc.xml · nonDerivative · entry 1 Oakes John S. · CIK 0001647173 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,167 Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:08 UTC |
HUTCHENS JOHN WAYNEDirector
|
GrantCommon Shares of Beneficial Interest | 1,332 | $19.54 | $26,027.28 |
DisclosureSEC source: 0001662500-17-000001 · primary_doc.xml · nonDerivative · entry 1 HUTCHENS JOHN WAYNE · CIK 0001662500 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,432 Read SEC document |
| November 15, 2017 Filed Nov 21, 2017 09:46 UTC |
O'Neill Stephen AndrewPortfolio Manager
|
GrantCommon Stock | 2,000 | $19.54 | $39,080.00 |
DisclosureSEC source: 0001398344-17-014946 · fp0029284_4.xml · nonDerivative · entry 1 O'Neill Stephen Andrew · CIK 0001662140 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Read SEC document |
| November 15, 2017 Filed Nov 21, 2017 09:44 UTC |
Schmucker Brian HOfficer of Subadviser
|
GrantCommon Stock | 11,333 | $19.54 | $221,446.82 |
DisclosureSEC source: 0001398344-17-014943 · fp0029285_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,333 Read SEC document |
| November 15, 2017 Filed Nov 21, 2017 09:43 UTC |
Galley Patrick W.Director
|
GrantCommon Stock | 18,676 | $19.54 | $364,929.04 |
DisclosureSEC source: 0001398344-17-014941 · fp0029281_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,710 Read SEC document |
| October 30, 2017 Filed Oct 31, 2017 14:39 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleTransferable Subscription Rights | 10,000 | $0.23 | $2,300.00 |
DisclosureSEC source: 0001398344-17-013954 · fp0028926_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,867 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 30, 2017 Filed Oct 31, 2017 14:39 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleTransferable Subscription Rights | 7,860 | $0.24 | $1,886.40 |
DisclosureSEC source: 0001398344-17-013954 · fp0028926_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,867 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 23, 2017 Filed Oct 25, 2017 16:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleTransferable Subscription Rights | 19,691 | $0.22 | $4,332.02 |
DisclosureSEC source: 0001398344-17-013602 · fp0028756_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,727 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 10, 2017 Filed Oct 13, 2017 11:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 4,374 | $21.05 | $92,072.70 |
DisclosureSEC source: 0001398344-17-013056 · fp0028530_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,416 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 10, 2017 Filed Oct 13, 2017 11:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 3,000 | $20.97 | $62,910.00 |
DisclosureSEC source: 0001398344-17-013056 · fp0028530_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,790 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 09, 2017 Filed Oct 13, 2017 11:46 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 7,000 | $21.00 | $147,000.00 |
DisclosureSEC source: 0001398344-17-013056 · fp0028530_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,790 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 05, 2017 Filed Oct 10, 2017 12:49 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 3,000 | $20.71 | $62,130.00 |
DisclosureSEC source: 0001398344-17-012909 · fp0028456_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,136 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 05, 2017 Filed Oct 10, 2017 12:49 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 4,000 | $20.72 | $82,880.00 |
DisclosureSEC source: 0001398344-17-012909 · fp0028456_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,880.59 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 04, 2017 Filed Nov 2, 2017 15:52 UTC |
Galley Patrick W.Director
|
PurchaseCommon Stock | 100 | $20.48 | $2,048.00 |
DisclosureSEC source: 0001398344-17-014093 · fp0028996_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,034 Read SEC document |
| September 18, 2017 Filed Sep 20, 2017 14:10 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 3,700 | $21.09 | $78,033.00 |
DisclosureSEC source: 0001398344-17-012133 · fp0028153_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,790 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 14, 2017 Filed Sep 18, 2017 14:37 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 180 | $21.11 | $3,799.80 |
DisclosureSEC source: 0001398344-17-012080 · fp0028102_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,490 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 14, 2017 Filed Sep 18, 2017 14:37 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 620 | $21.12 | $13,094.40 |
DisclosureSEC source: 0001398344-17-012080 · fp0028102_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,670 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 08, 2017 Filed Sep 12, 2017 15:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 2,100 | $21.00 | $44,100.00 |
DisclosureSEC source: 0001398344-17-011936 · fp0028061_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,290 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 |
| September 08, 2017 Filed Sep 12, 2017 15:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 700 | $21.05 | $14,735.00 |
DisclosureSEC source: 0001398344-17-011936 · fp0028061_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,390 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 06, 2017 Filed Sep 7, 2017 16:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 1,000 | $21.03 | $21,030.00 |
DisclosureSEC source: 0001398344-17-011774 · fp0028007_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,090 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 05, 2017 Filed Sep 7, 2017 16:56 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
Galley Patrick W.Director
Schmucker Brian HCEO of Investment Adviser
|
SaleCommon Stock | 7,300 | $21.10 | $154,030.00 |
DisclosureSEC source: 0001398344-17-011774 · fp0028007_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,090 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 18, 2017 Filed May 22, 2017 20:32 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 1,300 | $19.85 | $25,808.12 |
DisclosureSEC source: 0000913849-17-000208 · form4_052217.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,390 Read SEC document |
| May 16, 2017 Filed May 18, 2017 16:41 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 415 | $19.98 | $8,291.70 |
DisclosureSEC source: 0000913849-17-000204 · form4_051817.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,690 Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 21:05 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 1,000 | $19.95 | $19,950.00 |
DisclosureSEC source: 0000913849-17-000163 · form4_042617.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,105 Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 21:05 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 1,000 | $19.99 | $19,990.00 |
DisclosureSEC source: 0000913849-17-000163 · form4_042617.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 339,105 Read SEC document |
| April 20, 2017 Filed Apr 24, 2017 21:24 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 500 | $20.00 | $10,000.00 |
DisclosureSEC source: 0000913849-17-000158 · form4_042417.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,105 Read SEC document |
| April 20, 2017 Filed Apr 24, 2017 21:24 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSubadviser
|
SaleCommon Stock | 1,500 | $19.93 | $29,895.00 |
DisclosureSEC source: 0000913849-17-000158 · form4_042417.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,605 Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 14:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 600 | $19.83 | $11,898.00 |
DisclosureSEC source: 0000913849-17-000153 · form4_042017.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,105 Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 14:22 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 1,000 | $19.80 | $19,801.00 |
DisclosureSEC source: 0000913849-17-000153 · form4_042017.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,705 Read SEC document |
| April 17, 2017 Filed Apr 18, 2017 19:47 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 100 | $19.90 | $1,990.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,705 Read SEC document |
| April 17, 2017 Filed Apr 18, 2017 19:47 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 1,000 | $19.79 | $19,790.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,805 Read SEC document |
| April 13, 2017 Filed Apr 18, 2017 19:47 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 1,000 | $19.79 | $19,786.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,805 Read SEC document |
| April 13, 2017 Filed Apr 18, 2017 19:47 UTC |
RIVERNORTH CAPITAL MANAGEMENT, LLCSUBADVISER
|
SaleCommon Stock | 1,000 | $19.80 | $19,800.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 345,805 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.