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 |
|---|---|---|---|---|---|---|
| July 09, 2019 Filed Jul 11, 2019 13:07 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 400 | $17.42 | $6,968.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,070 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 08, 2019 Filed Jul 11, 2019 13:07 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,500 | $17.31 | $77,895.00 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,470 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 08, 2019 Filed Jul 11, 2019 13:07 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 738 | $17.36 | $12,811.68 |
DisclosureSEC source: 0001398344-19-011829 · fp0044230_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,970 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 05, 2019 Filed Jul 8, 2019 11:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,400 | $17.26 | $58,684.00 |
DisclosureSEC source: 0001398344-19-011641 · fp0043755_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,708 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| July 02, 2019 Filed Jul 8, 2019 11:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 370 | $17.26 | $6,386.20 |
DisclosureSEC source: 0001398344-19-011641 · fp0043755_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,108 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 21, 2019 Filed Jun 24, 2019 18:17 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 581 | $17.10 | $9,935.10 |
DisclosureSEC source: 0001398344-19-011011 · fp0043526_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,478 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 18:17 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $17.07 | $34,140.00 |
DisclosureSEC source: 0001398344-19-011011 · fp0043526_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,059 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 13:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 513 | $17.07 | $8,756.91 |
DisclosureSEC source: 0001398344-19-010820 · fp0043458_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,059 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 13:28 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $17.02 | $17,020.00 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,572 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 13:28 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,000 | $16.97 | $67,880.00 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,572 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 10, 2019 Filed Jun 17, 2019 13:28 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 200 | $17.10 | $3,420.00 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,572 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 06, 2019 Filed Jun 6, 2019 17:20 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 671 | $16.92 | $11,353.32 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,265 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 06, 2019 Filed Jun 17, 2019 13:28 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,191 | $16.95 | $20,187.45 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,772 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 06, 2019 Filed Jun 17, 2019 13:28 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,329 | $16.92 | $22,486.68 |
DisclosureSEC source: 0001398344-19-010590 · fp0043398_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,963 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 17:20 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $16.92 | $33,840.00 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,936 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 17:20 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 800 | $16.88 | $13,504.00 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,963 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 17:20 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $16.90 | $33,800.00 |
DisclosureSEC source: 0001398344-19-010167 · fp0043047_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,763 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| May 09, 2019 Filed May 13, 2019 13:20 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,500 | $16.79 | $92,345.00 |
DisclosureSEC source: 0001398344-19-008695 · fp0042116_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,666 Read SEC document |
| May 08, 2019 Filed May 8, 2019 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,500 | $16.91 | $93,005.00 |
DisclosureSEC source: 0001398344-19-008181 · fp0041974_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,166 Read SEC document |
| May 07, 2019 Filed May 8, 2019 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,500 | $17.20 | $94,600.00 |
DisclosureSEC source: 0001398344-19-008181 · fp0041974_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,666 Read SEC document |
| May 06, 2019 Filed May 8, 2019 14:25 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,500 | $17.22 | $94,710.00 |
DisclosureSEC source: 0001398344-19-008183 · fp0041973_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,763 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| May 02, 2019 Filed May 6, 2019 11:35 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,500 | $17.06 | $93,830.00 |
DisclosureSEC source: 0001398344-19-007968 · fp0041925_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,263 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 14:03 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantCommon Stock | 3,000 | $14.44 | $43,320.00 |
DisclosureSEC source: 0001398344-18-018347 · fp0037988_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,166 Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 14:03 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantCommon Stock | 5,000 | $14.91 | $74,550.00 |
DisclosureSEC source: 0001398344-18-018347 · fp0037988_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,166 Read SEC document |
| November 20, 2018 Filed Nov 20, 2018 15:30 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantCommon Stock | 2,000 | $16.38 | $32,760.00 |
DisclosureSEC source: 0001398344-18-016807 · fp0037256_4.xml · nonDerivative · entry 2 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,166 Read SEC document |
| November 20, 2018 Filed Nov 26, 2018 13:32 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantCommon Stock | 3,000 | $16.20 | $48,600.00 |
DisclosureSEC source: 0001398344-18-016939 · fp0037338_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,166 Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 15:30 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantCommon Stock | 5,000 | $16.20 | $81,000.00 |
DisclosureSEC source: 0001398344-18-016807 · fp0037256_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,166 Read SEC document |
| November 07, 2018 Filed Nov 13, 2018 09:33 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantCommon Stock | 8,833 | $16.93 | $149,542.69 |
DisclosureSEC source: 0001398344-18-016325 · fp0037081_4.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,166 Read SEC document |
| October 26, 2018 Filed Oct 29, 2018 16:59 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | PurchaseCommon Stock | 15,000 | $20.00 | $300,000.00 |
DisclosureSEC source: 0001398344-18-015529 · ownership.xml · nonDerivative · entry 1 Schmucker Brian H · CIK 0001662166 · Officer of Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| October 26, 2018 Filed Oct 30, 2018 15:27 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | PurchaseCommon Stock | 5,010 | $20.00 | $100,200.00 |
DisclosureSEC source: 0001398344-18-015606 · fp0036845_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Investment Adviser 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: 5,010 F1 · ownership.direct: 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. Read SEC document |
| June 13, 2018 Filed Jun 15, 2018 13:59 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 678 | $21.55 | $14,610.90 |
DisclosureSEC source: 0001398344-18-009084 · fp0034027_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,763 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 13, 2018 Filed Jun 15, 2018 13:59 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,500 | $21.50 | $75,250.00 |
DisclosureSEC source: 0001398344-18-009084 · fp0034027_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,441 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 16:30 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 300 | $21.51 | $6,453.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,941 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 16:30 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $21.45 | $64,350.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,241 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 16:30 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 17 | $21.50 | $365.50 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,241 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 16:30 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,500 | $21.49 | $53,725.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,258 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 16:30 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $21.46 | $64,380.00 |
DisclosureSEC source: 0001398344-18-008984 · fp0033990_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,758 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 10:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 618 | $21.42 | $13,237.56 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,758 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 10:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,500 | $21.40 | $53,500.00 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,376 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 07, 2018 Filed Jun 11, 2018 10:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 453 | $21.47 | $9,725.91 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,876 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 07, 2018 Filed Jun 11, 2018 10:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,500 | $21.45 | $75,075.00 |
DisclosureSEC source: 0001398344-18-008861 · fp0033940_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,329 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 05, 2018 Filed Jun 7, 2018 15:37 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,500 | $21.40 | $74,900.00 |
DisclosureSEC source: 0001398344-18-008715 · fp0033918_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,829 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 05, 2018 Filed Jun 7, 2018 15:37 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,000 | $21.36 | $85,440.00 |
DisclosureSEC source: 0001398344-18-008715 · fp0033918_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,329 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 04, 2018 Filed Jun 5, 2018 15:02 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,437 | $21.40 | $52,151.80 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_4.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,329 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 04, 2018 Filed Jun 5, 2018 15:02 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $21.37 | $42,740.00 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_4.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,766 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 04, 2018 Filed Jun 5, 2018 15:02 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $21.35 | $64,050.00 |
DisclosureSEC source: 0001398344-18-008566 · fp0033869_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · 10% owner Schmucker Brian H · CIK 0001662166 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,766 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 15:02 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | 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 OPPORTUNITIES FUND, INC. RIV · Entity 5947 | 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 OPPORTUNITIES FUND, INC. RIV · Entity 5947 | 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 OPPORTUNITIES FUND, INC. RIV · Entity 5947 | 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.