Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RIVERNORTH OPPORTUNITIES FUND, INC.RIV · Entity 5947 | Director · President | September 24, 2026 | October 05, 2026 |
| RiverNorth Capital & Income Fund, Inc.RSF · Entity 7096 | Director · Chief Executive Officer | July 11, 2025 | August 01, 2025 |
| RiverNorth Flexible Municipal Income Fund II, Inc.RFMZ · Entity 5900 | Director · President | December 31, 2024 | February 14, 2025 |
| RiverNorth Flexible Municipal Income Fund, Inc.RFM · Entity 6849 | Director · President | April 08, 2025 | April 10, 2025 |
| RiverNorth Managed Duration Municipal Income Fund II, Inc.RMMZ · Entity 6634 | Director · President | October 04, 2022 | December 22, 2022 |
| RiverNorth Managed Duration Municipal Income Fund, Inc.RMM · Entity 6021 | Director · President | April 08, 2025 | April 10, 2025 |
| RiverNorth Opportunistic Municipal Income Fund, Inc.RMI · Entity 6784 | Director · President | April 25, 2025 | April 28, 2025 |
| RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.OPP · Entity 6374 | Director · President | December 31, 2024 | February 14, 2025 |
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 September 24, 2026 · Filed October 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 550,403.36 |
Reported balance
After 2026-09-24 transaction · row 1
1 source rowRow 1 · 2026-09-24 · Other · Acquired 219,708 · Balance 550,403.36 F1: The shares were acquired from rights offering. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were acquired from rights offering.
RiverNorth Capital & Income Fund, Inc.
Report date July 11, 2025 · Filed August 01, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 254,733 |
Reported balance
After 2025-07-11 transaction · row 1
1 source rowRow 1 · 2025-07-11 · Other · Acquired 39,813 · Balance 254,733 F1: The shares were acquired from rights offering. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were acquired from rights offering.
RiverNorth Flexible Municipal Income Fund II, Inc.
Report date December 31, 2024 · Filed February 14, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 21,000 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 21,000 F1: This Form 5 is being filed to update the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year which includes reinvested dividends. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 5 is being filed to update the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year which includes reinvested dividends.
RiverNorth Flexible Municipal Income Fund, Inc.
Report date April 08, 2025 · Filed April 10, 2025 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 3,400 |
Reported balance
After 2025-04-08 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2025-04-08 · Purchase · Acquired 2,000 · Balance 3,400 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 3,500 |
Reported balance
After 2025-04-08 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2025-04-08 · Purchase · Acquired 100 · Balance 3,500 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 3,600 |
Reported balance
After 2025-04-08 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2025-04-08 · Purchase · Acquired 100 · Balance 3,600 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 3,700 |
Reported balance
After 2025-04-08 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2025-04-08 · Purchase · Acquired 100 · Balance 3,700 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 4,700 |
Reported balance
After 2025-04-08 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2025-04-08 · Purchase · Acquired 1,000 · Balance 4,700 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 6,700 |
Reported balance
After 2025-04-08 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2025-04-08 · Purchase · Acquired 2,000 · Balance 6,700 |
RiverNorth Managed Duration Municipal Income Fund II, Inc.
Report date October 04, 2022 · Filed December 22, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2022-10-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-10-04 · Sale · Disposed 200 · Balance 800 Row 2 · 2022-10-04 · Sale · Disposed 800 · Balance 0 |
RiverNorth Managed Duration Municipal Income Fund, Inc.
Report date April 08, 2025 · Filed April 10, 2025 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 7,000 |
Reported balance
After 2025-04-08 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2025-04-08 · Purchase · Acquired 2,000 · Balance 7,000 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 9,000 |
Reported balance
After 2025-04-08 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2025-04-08 · Purchase · Acquired 2,000 · Balance 9,000 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 11,000 |
Reported balance
After 2025-04-08 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2025-04-08 · Purchase · Acquired 2,000 · Balance 11,000 |
RiverNorth Opportunistic Municipal Income Fund, Inc.
Report date April 25, 2025 · Filed April 28, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 2,200 |
Reported balance
After 2025-04-25 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-04-25 · Purchase · Acquired 200 · Balance 2,200 |
| Common StockSEC Table I · non-derivative | IndirectTrust Account | 2,700 |
Reported balance
After 2025-04-25 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2025-04-25 · Purchase · Acquired 500 · Balance 2,700 |
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Report date December 31, 2024 · Filed February 14, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectJoint Account | 26,592 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 26,592 F1: This Form 5 is being filed to update the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year which includes reinvested dividends. |
| Preferred SharesSEC Table I · non-derivative | IndirectJoint Account | 5,574 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,574 F1: This Form 5 is being filed to update the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year which includes reinvested dividends. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 5 is being filed to update the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year which includes reinvested dividends.
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 |
|---|---|---|---|---|---|---|
| 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 19:15 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | GrantTransferable Subscription Rights (RIV RT) | 96,597 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-19-018480 · fp0047057_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,597 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 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 26, 2019 Filed Jul 30, 2019 14:19 UTC | RiverNorth Managed Duration Municipal Income Fund, Inc. RMM · Entity 6021 | PurchaseCommon Stock | 10,000 | $20.00 | $200,000.00 |
DisclosureSEC source: 0001398344-19-013129 · fp0044627_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| July 23, 2019 Filed Jul 26, 2019 12:56 UTC | RiverNorth Opportunistic Municipal Income Fund, Inc. RMI · Entity 6784 | SaleCommon Stock | 5,880 | $21.65 | $127,302.00 |
DisclosureSEC source: 0001398344-19-012529 · fp0044563_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,870 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 |
| 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 17, 2019 Filed Jun 19, 2019 17:13 UTC | RiverNorth Capital & Income Fund, Inc. RSF · Entity 7096 | PurchaseCommon Stock | 31 | $19.52 | $605.12 |
DisclosureSEC source: 0001398344-19-010787 · fp0043446_4.xml · nonDerivative · entry 7 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,852 Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:13 UTC | RiverNorth Capital & Income Fund, Inc. RSF · Entity 7096 | PurchaseCommon Stock | 100 | $19.75 | $1,975.00 |
DisclosureSEC source: 0001398344-19-010787 · fp0043446_4.xml · nonDerivative · entry 6 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,821 Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:13 UTC | RiverNorth Capital & Income Fund, Inc. RSF · Entity 7096 | PurchaseCommon Stock | 100 | $19.50 | $1,950.00 |
DisclosureSEC source: 0001398344-19-010787 · fp0043446_4.xml · nonDerivative · entry 5 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,721 Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:13 UTC | RiverNorth Capital & Income Fund, Inc. RSF · Entity 7096 | PurchaseCommon Stock | 169 | $19.52 | $3,298.88 |
DisclosureSEC source: 0001398344-19-010787 · fp0043446_4.xml · nonDerivative · entry 4 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,621 Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:13 UTC | RiverNorth Capital & Income Fund, Inc. RSF · Entity 7096 | PurchaseCommon Stock | 200 | $19.72 | $3,944.00 |
DisclosureSEC source: 0001398344-19-010787 · fp0043446_4.xml · nonDerivative · entry 3 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,452 Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:13 UTC | RiverNorth Capital & Income Fund, Inc. RSF · Entity 7096 | PurchaseCommon Stock | 300 | $19.76 | $5,928.00 |
DisclosureSEC source: 0001398344-19-010787 · fp0043446_4.xml · nonDerivative · entry 2 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,252 Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:13 UTC | RiverNorth Capital & Income Fund, Inc. RSF · Entity 7096 | PurchaseCommon Stock | 500 | $19.60 | $9,800.00 |
DisclosureSEC source: 0001398344-19-010787 · fp0043446_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,952 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.