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 |
|---|---|---|---|---|---|---|
| April 11, 2018 Filed Apr 17, 2018 16:42 UTC | RiverNorth Capital & Income Fund, Inc. RMPLX · Entity 7096 | SaleCommon Stock | 41,369 | $23.96 | $991,201.24 |
DisclosureSEC source: 0001398344-18-005641 · fp0032708_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Investment Adviser 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: 0 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 |
| January 10, 2018 Filed Jan 12, 2018 16:11 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,400 | $20.74 | $153,476.00 |
DisclosureSEC source: 0001398344-18-000565 · fp0030290_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,274 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| January 09, 2018 Filed Jan 10, 2018 15:26 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,000 | $20.75 | $145,250.00 |
DisclosureSEC source: 0001398344-18-000438 · fp0030215_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,674 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| January 09, 2018 Filed Jan 10, 2018 15:19 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 5,000 | $25.26 | $126,300.00 |
DisclosureSEC source: 0001398344-18-000436 · fp0030210_4.xml · nonDerivative · entry 3 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,400 Read SEC document |
| January 09, 2018 Filed Jan 10, 2018 15:19 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 5,000 | $25.27 | $126,350.00 |
DisclosureSEC source: 0001398344-18-000436 · fp0030210_4.xml · nonDerivative · entry 2 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,400 Read SEC document |
| January 09, 2018 Filed Jan 10, 2018 15:19 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 10,000 | $25.30 | $253,000.00 |
DisclosureSEC source: 0001398344-18-000436 · fp0030210_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,400 Read SEC document |
| January 08, 2018 Filed Jan 10, 2018 15:26 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,000 | $20.59 | $144,130.00 |
DisclosureSEC source: 0001398344-18-000438 · fp0030215_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,674 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 11:36 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,300 | $20.28 | $107,484.00 |
DisclosureSEC source: 0001398344-18-000190 · fp0030091_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,674 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 15:51 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,000 | $20.12 | $100,600.00 |
DisclosureSEC source: 0001398344-18-000095 · fp0030033_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,974 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 15:51 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 8,000 | $20.08 | $160,640.00 |
DisclosureSEC source: 0001398344-18-000095 · fp0030033_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · Officer of Investment Advisor Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,974 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| December 26, 2017 Filed Dec 26, 2017 16:55 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 100 | $25.30 | $2,530.00 |
DisclosureSEC source: 0001398344-17-016281 · fp0029874_4.xml · nonDerivative · entry 5 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,400 Read SEC document |
| December 26, 2017 Filed Dec 26, 2017 16:55 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 700 | $25.28 | $17,696.00 |
DisclosureSEC source: 0001398344-17-016281 · fp0029874_4.xml · nonDerivative · entry 4 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,300 Read SEC document |
| December 26, 2017 Filed Dec 26, 2017 16:55 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 1,000 | $25.29 | $25,290.00 |
DisclosureSEC source: 0001398344-17-016281 · fp0029874_4.xml · nonDerivative · entry 3 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,600 Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 16:55 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 400 | $25.29 | $10,116.00 |
DisclosureSEC source: 0001398344-17-016281 · fp0029874_4.xml · nonDerivative · entry 2 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,600 Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 16:55 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 200 | $25.20 | $5,040.00 |
DisclosureSEC source: 0001398344-17-016281 · fp0029874_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,200 Read SEC document |
| November 15, 2017 Filed Nov 21, 2017 09:43 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | GrantCommon Stock | 18,676 | $19.54 | $364,929.04 |
DisclosureSEC source: 0001398344-17-014941 · fp0029281_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,710 Read SEC document |
| October 30, 2017 Filed Oct 31, 2017 14:39 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights | 10,000 | $0.23 | $2,300.00 |
DisclosureSEC source: 0001398344-17-013954 · fp0028926_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,867 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 30, 2017 Filed Oct 31, 2017 14:39 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights | 7,860 | $0.24 | $1,886.40 |
DisclosureSEC source: 0001398344-17-013954 · fp0028926_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,867 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 23, 2017 Filed Oct 25, 2017 16:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights | 19,691 | $0.22 | $4,332.02 |
DisclosureSEC source: 0001398344-17-013602 · fp0028756_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,727 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 18, 2017 Filed Nov 2, 2017 15:50 UTC | RiverNorth Capital & Income Fund, Inc. RMPL · Entity 7096 | PurchaseRiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) | 60,000 | $25.00 | $1,500,000.00 |
DisclosureSEC source: 0001398344-17-014090 · fp0028995_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Read SEC document |
| October 10, 2017 Filed Oct 13, 2017 11:46 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,374 | $21.05 | $92,072.70 |
DisclosureSEC source: 0001398344-17-013056 · fp0028530_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,416 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 10, 2017 Filed Oct 13, 2017 11:46 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $20.97 | $62,910.00 |
DisclosureSEC source: 0001398344-17-013056 · fp0028530_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,790 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 09, 2017 Filed Oct 13, 2017 11:46 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,000 | $21.00 | $147,000.00 |
DisclosureSEC source: 0001398344-17-013056 · fp0028530_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,790 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 05, 2017 Filed Oct 10, 2017 12:49 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,000 | $20.71 | $62,130.00 |
DisclosureSEC source: 0001398344-17-012909 · fp0028456_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,136 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 05, 2017 Filed Oct 10, 2017 12:49 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,000 | $20.72 | $82,880.00 |
DisclosureSEC source: 0001398344-17-012909 · fp0028456_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,880.59 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| October 04, 2017 Filed Nov 2, 2017 15:52 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | PurchaseCommon Stock | 100 | $20.48 | $2,048.00 |
DisclosureSEC source: 0001398344-17-014093 · fp0028996_4.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,034 Read SEC document |
| September 18, 2017 Filed Sep 20, 2017 14:10 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 3,700 | $21.09 | $78,033.00 |
DisclosureSEC source: 0001398344-17-012133 · fp0028153_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,790 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 14, 2017 Filed Sep 18, 2017 14:37 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 180 | $21.11 | $3,799.80 |
DisclosureSEC source: 0001398344-17-012080 · fp0028102_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,490 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 14, 2017 Filed Sep 18, 2017 14:37 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 620 | $21.12 | $13,094.40 |
DisclosureSEC source: 0001398344-17-012080 · fp0028102_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,670 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 08, 2017 Filed Sep 12, 2017 15:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,100 | $21.00 | $44,100.00 |
DisclosureSEC source: 0001398344-17-011936 · fp0028061_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,290 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 08, 2017 Filed Sep 12, 2017 15:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 700 | $21.05 | $14,735.00 |
DisclosureSEC source: 0001398344-17-011936 · fp0028061_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,390 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 14:48 UTC | RiverNorth Capital & Income Fund, Inc. RMPLX · Entity 7096 | PurchaseCommon Stock | 15,748.095 | $24.93 | $392,600.01 |
DisclosureSEC source: 0000913849-17-000305 · form4_091117.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,326.095 Read SEC document |
| September 06, 2017 Filed Sep 7, 2017 16:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $21.03 | $21,030.00 |
DisclosureSEC source: 0001398344-17-011774 · fp0028007_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,090 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 05, 2017 Filed Sep 7, 2017 16:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,300 | $21.10 | $154,030.00 |
DisclosureSEC source: 0001398344-17-011774 · fp0028007_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,090 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 15:25 UTC | RiverNorth Capital & Income Fund, Inc. [RMPLX] · Entity 7096 | PurchaseCommon Stock | 39,578 | $25.22 | $998,157.16 |
DisclosureSEC source: 0000913849-17-000002 · form4_010617.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,578 Read SEC document |
| October 25, 2016 Filed Nov 10, 2016 12:36 UTC | RiverNorth Capital & Income Fund, Inc. [RMPLX] · Entity 7096 | PurchaseCommon Stock | 34,221 | $25.18 | $861,684.78 |
DisclosureSEC source: 0000913849-16-000658 · form4_110116.xml · nonDerivative · entry 1 Galley Patrick W. · CIK 0001646929 · Director · PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,221 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.