Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RIVERNORTH OPPORTUNITIES FUND, INC.RIV · Entity 5947 | Officer of Subadviser | June 04, 2021 | June 08, 2021 |
| RiverNorth Capital & Income Fund, Inc.RMPLX · Entity 7096 | Officer of Investment Advisor | April 11, 2018 | April 17, 2018 |
| RiverNorth Flexible Municipal Income Fund II, Inc.RFMX · Entity 5900 | Officer of Investment Adviser | January 07, 2021 | January 13, 2021 |
| RiverNorth Flexible Municipal Income Fund, Inc.RFM · Entity 6849 | Officer of Investment Adviser | March 26, 2020 | March 26, 2020 |
| RiverNorth Managed Duration Municipal Income Fund II, Inc.RMMZ · Entity 6634 | Officer of Investment Adviser | February 10, 2022 | February 14, 2022 |
| RiverNorth Managed Duration Municipal Income Fund, Inc.RMM · Entity 6021 | Officer of Adviser | March 31, 2021 | April 06, 2021 |
| RiverNorth Opportunistic Municipal Income Fund, Inc.RMI · Entity 6784 | Officer of Investment Adviser | March 12, 2020 | March 16, 2020 |
| RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.OPP · Entity 6374 | Officer of Subadviser | March 12, 2020 | March 16, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
RIVERNORTH OPPORTUNITIES FUND, INC.
Report date June 04, 2021 · Filed June 08, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-06-04 transaction · row 1
1 source rowRow 1 · 2021-06-04 · Sale · Disposed 4,000 · Balance 0 |
RiverNorth Capital & Income Fund, Inc.
Report date April 11, 2018 · Filed April 17, 2018
Jointly reported with RIVERNORTH CAPITAL MANAGEMENT, LLC, Galley Patrick W.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-04-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-04-11 · Sale · Disposed 41,369 · Balance 0 F1: RiverNorth Capital Management, LLC serves as the adviser 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. |
Filing footnotes · ownership attribution and instrument terms
F1: RiverNorth Capital Management, LLC serves as the adviser 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.
RiverNorth Flexible Municipal Income Fund II, Inc.
Report date January 07, 2021 · Filed January 13, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| No securities beneficially ownedSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2021-01-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
RiverNorth Flexible Municipal Income Fund, Inc.
Report date March 26, 2020 · Filed March 26, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| No securities beneficially ownedSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2020-03-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
RiverNorth Managed Duration Municipal Income Fund II, Inc.
Report date February 10, 2022 · Filed February 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| No securities beneficially ownedSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2022-02-10 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
RiverNorth Managed Duration Municipal Income Fund, Inc.
Report date March 31, 2021 · Filed April 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2021-04-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-03-31 · Sale · Disposed 25,000 · Balance 4,000 Row 2 · 2021-04-01 · Sale · Disposed 4,000 · Balance 0 |
RiverNorth Opportunistic Municipal Income Fund, Inc.
Report date March 12, 2020 · Filed March 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-03-12 transaction · row 1
1 source rowRow 1 · 2020-03-12 · Sale · Disposed 2,155 · Balance 0 |
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Report date March 12, 2020 · Filed March 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-03-12 transaction · row 1
1 source rowRow 1 · 2020-03-12 · Sale · Disposed 6,000 · Balance 0 |
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 04, 2021 Filed Jun 8, 2021 15:06 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,000 | $17.88 | $71,520.00 |
DisclosureSEC source: 0001398344-21-012837 · fp0066148_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| April 01, 2021 Filed Apr 6, 2021 12:39 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,616 | $17.54 | $133,584.64 |
DisclosureSEC source: 0001398344-21-007721 · fp0051878_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| April 01, 2021 Filed Apr 6, 2021 12:37 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | SaleCommon Stock | 4,000 | $18.71 | $74,840.00 |
DisclosureSEC source: 0001398344-21-007719 · fp0064062_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 31, 2021 Filed Apr 6, 2021 12:39 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 15,000 | $17.38 | $260,700.00 |
DisclosureSEC source: 0001398344-21-007721 · fp0051878_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,616 Read SEC document |
| March 31, 2021 Filed Apr 6, 2021 12:37 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | SaleCommon Stock | 25,000 | $18.64 | $466,000.00 |
DisclosureSEC source: 0001398344-21-007719 · fp0064062_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 12:16 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,000 | $13.80 | $27,600.00 |
DisclosureSEC source: 0001398344-20-006660 · fp0052183_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,500 Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 12:16 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,000 | $13.79 | $27,580.00 |
DisclosureSEC source: 0001398344-20-006660 · fp0052183_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,500 Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 17:42 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,500 | $14.06 | $35,150.00 |
DisclosureSEC source: 0001398344-20-006273 · fp0051972_4.xml · nonDerivative · entry 4 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 17:42 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,500 | $14.04 | $35,100.00 |
DisclosureSEC source: 0001398344-20-006273 · fp0051972_4.xml · nonDerivative · entry 3 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 17:42 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,500 | $16.19 | $40,475.00 |
DisclosureSEC source: 0001398344-20-006273 · fp0051972_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 17:42 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,500 | $16.12 | $40,300.00 |
DisclosureSEC source: 0001398344-20-006273 · fp0051972_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 17:06 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 1,440 | $17.29 | $24,897.60 |
DisclosureSEC source: 0001398344-20-006085 · fp0051882_4.xml · nonDerivative · entry 5 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 17:06 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,000 | $17.28 | $34,560.00 |
DisclosureSEC source: 0001398344-20-006085 · fp0051882_4.xml · nonDerivative · entry 4 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,060 Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 17:06 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,000 | $17.30 | $34,600.00 |
DisclosureSEC source: 0001398344-20-006085 · fp0051882_4.xml · nonDerivative · entry 3 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,060 Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 17:06 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 60 | $18.40 | $1,104.00 |
DisclosureSEC source: 0001398344-20-006085 · fp0051882_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,060 Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 17:06 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 2,000 | $18.29 | $36,580.00 |
DisclosureSEC source: 0001398344-20-006085 · fp0051882_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 17:06 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 2,155 | $20.28 | $43,703.40 |
DisclosureSEC source: 0001398344-20-006084 · fp0051881_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 17:02 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 29,050 | $11.17 | $324,488.50 |
DisclosureSEC source: 0001398344-20-006079 · fp0051878_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,616 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 16:57 UTC | RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. OPP · Entity 6374 | SaleCommon Stock | 6,000 | $13.70 | $82,200.00 |
DisclosureSEC source: 0001398344-20-006076 · fp0051877_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 23, 2019 Filed Oct 24, 2019 19:16 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights (RIV RT) | 10,290 | $0.06 | $617.40 |
DisclosureSEC source: 0001398344-19-018481 · fp0047055_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:16 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights (RIV RT) | 51,429 | $0.04 | $2,062.30 |
DisclosureSEC source: 0001398344-19-018481 · fp0047055_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,290 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 21, 2019 Filed Oct 22, 2019 16:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights (RIV RT) | 47,938 | $0.04 | $1,720.97 |
DisclosureSEC source: 0001398344-19-018269 · fp0047022_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,719 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 18, 2019 Filed Oct 22, 2019 16:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights (RIV RT) | 14,465 | $0.06 | $869.35 |
DisclosureSEC source: 0001398344-19-018269 · fp0047022_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,657 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 11:09 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,522 | $16.70 | $25,417.40 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,171 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 11:09 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $16.67 | $33,340.00 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,693 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 11:09 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $16.63 | $33,260.00 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,693 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 16:37 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,429 | $16.92 | $24,178.68 |
DisclosureSEC source: 0001398344-19-017750 · fp0046762_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,693 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 16:37 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $16.88 | $16,880.00 |
DisclosureSEC source: 0001398344-19-017750 · fp0046762_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 16:37 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $16.89 | $16,890.00 |
DisclosureSEC source: 0001398344-19-017750 · fp0046762_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 01, 2019 Filed Oct 18, 2019 11:09 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantTransferable Subscription Rights (RIV RT) | 124,122 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-19-018097 · fp0046956_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Schmucker Brian H · CIK 0001662166 · Director · Chief Executive Officer Galley Patrick W. · CIK 0001646929 · Director · Chief Investment Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 01, 2019 Filed Oct 24, 2019 19:13 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | GrantTransferable Subscription Rights (RIV RT) | 55,668 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-19-018474 · fp0047056_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,668 Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 14:05 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 4,400 | $22.30 | $98,120.00 |
DisclosureSEC source: 0001398344-19-017390 · fp0046234_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,155 Read SEC document |
| September 26, 2019 Filed Sep 27, 2019 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,000 | $17.12 | $85,600.00 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 25, 2019 Filed Sep 27, 2019 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,700 | $17.24 | $46,548.00 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,122 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 09, 2019 Filed Sep 27, 2019 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 570 | $17.18 | $9,792.60 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,822 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 09, 2019 Filed Sep 27, 2019 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 109 | $17.19 | $1,873.71 |
DisclosureSEC source: 0001398344-19-017248 · fp0046140_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,392 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 28, 2019 Filed Aug 29, 2019 13:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 624 | $16.95 | $10,576.80 |
DisclosureSEC source: 0001398344-19-015569 · fp0045461_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,501 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 27, 2019 Filed Aug 29, 2019 13:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $16.95 | $50,850.00 |
DisclosureSEC source: 0001398344-19-015569 · fp0045461_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,125 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 13:52 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 1,000 | $22.30 | $22,300.00 |
DisclosureSEC source: 0001398344-19-014605 · fp0045250_4.xml · nonDerivative · entry 5 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,555 Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 13:52 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 1,000 | $22.21 | $22,210.00 |
DisclosureSEC source: 0001398344-19-014605 · fp0045250_4.xml · nonDerivative · entry 4 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,555 Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 13:52 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 1,000 | $22.20 | $22,200.00 |
DisclosureSEC source: 0001398344-19-014605 · fp0045250_4.xml · nonDerivative · entry 3 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,555 Read SEC document |
| August 15, 2019 Filed Aug 19, 2019 13:52 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 445 | $22.20 | $9,879.00 |
DisclosureSEC source: 0001398344-19-014605 · fp0045250_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,555 Read SEC document |
| August 15, 2019 Filed Aug 19, 2019 13:52 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 5,000 | $22.52 | $112,600.00 |
DisclosureSEC source: 0001398344-19-014605 · fp0045250_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 16:27 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,300 | $17.45 | $57,585.00 |
DisclosureSEC source: 0001398344-19-013487 · fp0044905_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,125 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 16:27 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $17.40 | $52,200.00 |
DisclosureSEC source: 0001398344-19-013487 · fp0044905_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,425 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 16, 2019 Filed Jul 17, 2019 16:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,755 | $17.40 | $30,537.00 |
DisclosureSEC source: 0001398344-19-012054 · fp0044402_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,425 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 15, 2019 Filed Jul 17, 2019 16:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,018 | $17.65 | $70,917.70 |
DisclosureSEC source: 0001398344-19-012054 · fp0044402_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,180 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 11, 2019 Filed Jul 17, 2019 16:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,500 | $17.62 | $96,910.00 |
DisclosureSEC source: 0001398344-19-012054 · fp0044402_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,198 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 10, 2019 Filed Jul 11, 2019 13:07 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,372 | $17.50 | $41,510.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,698 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 10, 2019 Filed Jul 11, 2019 13:07 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $17.45 | $52,350.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,070 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.