Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NYLI MacKay DefinedTerm Muni Opportunities FundMMD · Entity 8991 | Portfolio Manager | August 07, 2026 | August 10, 2026 |
| NYLIM MacKay Muni Income Opportunities FundMMIOX · Entity 76 | Portfolio Manager | March 25, 2024 | March 25, 2024 |
| RiverNorth Flexible Municipal Income Fund II, Inc.RFMZ · Entity 5900 | Portfolio Manager | February 23, 2021 | February 24, 2021 |
| RiverNorth Flexible Municipal Income Fund, Inc.RFM · Entity 6849 | Portfolio Manager | May 03, 2022 | May 05, 2022 |
| RiverNorth Managed Duration Municipal Income Fund II, Inc.RMMZ · Entity 6634 | Portfolio Manager | February 10, 2022 | February 11, 2022 |
| RiverNorth Managed Duration Municipal Income Fund, Inc.RMM · Entity 6021 | Portfolio Manager | May 03, 2022 | May 05, 2022 |
| RiverNorth Opportunistic Municipal Income Fund, Inc.RMI · Entity 6784 | Portfolio Manager | May 03, 2022 | May 05, 2022 |
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.
NYLI MacKay DefinedTerm Muni Opportunities Fund
Report date August 07, 2026 · Filed August 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 4,400 |
Reported balance
After 2026-08-07 transaction · row 1
1 source rowRow 1 · 2026-08-07 · Sale · Disposed 100 · Balance 4,400 |
| Shares of beneficial interestSEC Table I · non-derivative | Direct | 3,250 |
Reported balance
After 2026-08-07 transaction · row 2
1 source rowRow 2 · 2026-08-07 · Sale · Disposed 1,150 · Balance 3,250 |
NYLIM MacKay Muni Income Opportunities Fund
Report date March 25, 2024 · Filed March 25, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of beneficial interestSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2024-03-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
RiverNorth Flexible Municipal Income Fund II, Inc.
Report date February 23, 2021 · Filed February 24, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2021-02-23 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: The Reporting Person does not beneficially own any of the Issuer's equity securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person does not beneficially own any of the Issuer's equity securities.
RiverNorth Flexible Municipal Income Fund, Inc.
Report date May 03, 2022 · Filed May 05, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-05-03 transaction · row 1
1 source rowRow 1 · 2022-05-03 · Sale · Disposed 1,000 · Balance 0 F1: The shares were sold in separate transactions. The range of prices for the transactions reported on May 3, 2022 was $17.16 to $17.20. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were sold in separate transactions. The range of prices for the transactions reported on May 3, 2022 was $17.16 to $17.20. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
RiverNorth Managed Duration Municipal Income Fund II, Inc.
Report date February 10, 2022 · Filed February 11, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Common StockSEC 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 F1: The Reporting Person does not own any of the Issuer's equity securities and is filing this report solely in his capacity as a Portfolio Manager. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person does not own any of the Issuer's equity securities and is filing this report solely in his capacity as a Portfolio Manager.
RiverNorth Managed Duration Municipal Income Fund, Inc.
Report date May 03, 2022 · Filed May 05, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-05-03 transaction · row 1
1 source rowRow 1 · 2022-05-03 · Sale · Disposed 1,000 · Balance 0 |
RiverNorth Opportunistic Municipal Income Fund, Inc.
Report date May 03, 2022 · Filed May 05, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-05-03 transaction · row 1
1 source rowRow 1 · 2022-05-03 · Sale · Disposed 1,500 · Balance 0 F1: The shares were sold in separate transactions. The range of prices for the transactions reported on May 3, 2022 was $16.76 to $16.78. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were sold in separate transactions. The range of prices for the transactions reported on May 3, 2022 was $16.76 to $16.78. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
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 |
|---|---|---|---|---|---|---|
| August 07, 2026 Filed Aug 10, 2026 16:26 UTC | NYLI MacKay DefinedTerm Muni Opportunities Fund MMD · Entity 8991 | SaleShares of beneficial interest | 1,150 | $15.00 | $17,250.00 |
DisclosureSEC source: 0001769190-26-000001 · primary_doc.xml · nonDerivative · entry 2 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,250 Read SEC document |
| August 07, 2026 Filed Aug 10, 2026 16:26 UTC | NYLI MacKay DefinedTerm Muni Opportunities Fund MMD · Entity 8991 | SaleShares of Beneficial Interest | 100 | $15.02 | $1,502.00 |
DisclosureSEC source: 0001769190-26-000001 · primary_doc.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,400 Read SEC document |
| January 14, 2025 Filed Jan 14, 2025 20:28 UTC | NYLI MacKay DefinedTerm Muni Opportunities Fund MMD · Entity 8991 | PurchaseShares of Beneficial Interest | 2,000 | $14.74 | $29,480.00 |
DisclosureSEC source: 0001769190-25-000002 · primary_doc.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,500 Read SEC document |
| November 20, 2024 Filed Nov 21, 2024 17:09 UTC | NYLI MacKay DefinedTerm Muni Opportunities Fund MMD · Entity 8991 | PurchaseShares of beneficial interest | 2,500 | $15.79 | $39,475.00 |
DisclosureSEC source: 0001769190-24-000001 · primary_doc.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| May 03, 2022 Filed May 5, 2022 20:23 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 1,500 | $16.77 | $25,147.95 |
DisclosureSEC source: 0000898432-22-000330 · form4.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The shares were sold in separate transactions. The range of prices for the transactions reported on May 3, 2022 was $16.76 to $16.78. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| May 03, 2022 Filed May 5, 2022 20:21 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | SaleCommon Stock | 1,000 | $15.80 | $15,800.00 |
DisclosureSEC source: 0000898432-22-000329 · form4.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 03, 2022 Filed May 5, 2022 20:19 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 1,000 | $17.17 | $17,169.00 |
DisclosureSEC source: 0000898432-22-000328 · form4.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The shares were sold in separate transactions. The range of prices for the transactions reported on May 3, 2022 was $17.16 to $17.20. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| May 12, 2021 Filed May 13, 2021 15:31 UTC | NYLI MacKay DefinedTerm Muni Opportunities Fund MMD · Entity 8991 | SaleShares of beneficial interest | 3,000 | $22.66 | $67,986.30 |
DisclosureSEC source: 0001769190-21-000001 · primary_doc.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 13, 2020 Filed May 13, 2020 21:31 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | PurchaseCommon Stock | 1,000 | $19.25 | $19,249.00 |
DisclosureSEC source: 0000898432-20-000546 · form4.xml · nonDerivative · entry 1 Lawlor John J · CIK 0001769190 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 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.