organization · Reporting owner
RIVERNORTH CAPITAL MANAGEMENT, LLC
Disclosed activity across 9 companies
Sign in to followReported relationships
Latest disclosed role at each company.
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.
FRANKLIN LTD DURATION INCOME TRUST
Report date August 08, 2017 · Filed August 10, 2017
Jointly reported with RIVERNORTH CAPITAL PARTNERS, L.P., RiverNorth Institutional Partners, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Affiliates | 0 |
Reported balance
After 2017-08-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-08 · Disposition to issuer · Disposed 1,820 · Balance 0 F1: Each of the reporting persons disclaim beneficial ownership of these securities for purposes of Section 16 except to the extent of its pecuniary interest therein. F2: 94% of par. |
Filing footnotes · ownership attribution and instrument terms
F1: Each of the reporting persons disclaim beneficial ownership of these securities for purposes of Section 16 except to the extent of its pecuniary interest therein.
F2: 94% of par.
RIVERNORTH OPPORTUNITIES FUND, INC.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-22 transaction · row 1
1 source rowRow 1 · 2024-11-22 · Other · Disposed 76,796 · Balance 0 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were transferred (not sold) to a sister company within the overall organization.
F2: The shares were transferred without a transaction price.
RiverNorth Capital & Income Fund, Inc.
Report date April 11, 2018 · Filed April 17, 2018
Jointly reported with Galley Patrick W., Schmucker Brian H
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-04-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-04-11 · Sale · Disposed 41,369 · Balance 0 F1: RiverNorth Capital Management, LLC serves as the adviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. |
Filing footnotes · ownership attribution and instrument terms
F1: RiverNorth Capital Management, LLC serves as the adviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings.
RiverNorth Flexible Municipal Income Fund II, Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-22 transaction · row 1
1 source rowRow 1 · 2024-11-22 · Other · Disposed 170,683 · Balance 0 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were transferred (not sold) to a sister company within the overall organization.
F2: The shares were transferred without a transaction price.
RiverNorth Flexible Municipal Income Fund, Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2024-11-22 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-11-22 · Other · Disposed 1,531 · Balance 74,080 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. Row 2 · 2024-11-22 · Other · Disposed 74,080 · Balance 0 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were transferred (not sold) to a sister company within the overall organization.
F2: The shares were transferred without a transaction price.
RiverNorth Managed Duration Municipal Income Fund II, Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-22 transaction · row 1
1 source rowRow 1 · 2024-11-22 · Other · Disposed 47,687 · Balance 0 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were transferred (not sold) to a sister company within the overall organization.
F2: The shares were transferred without a transaction price.
RiverNorth Managed Duration Municipal Income Fund, Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-11-22 · Other · Disposed 5,000 · Balance 0 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. F3: The shares transferred were initial seed capital investment in the Issuer required under the Investment Company Act of 1940. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were transferred (not sold) to a sister company within the overall organization.
F2: The shares were transferred without a transaction price.
F3: The shares transferred were initial seed capital investment in the Issuer required under the Investment Company Act of 1940.
RiverNorth Opportunistic Municipal Income Fund, Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-11-22 · Other · Disposed 5,010 · Balance 0 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. F3: The shares transferred were initial seed capital investment in the Issuer required under the Investment Company Act of 1940. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were transferred (not sold) to a sister company within the overall organization.
F2: The shares were transferred without a transaction price.
F3: The shares transferred were initial seed capital investment in the Issuer required under the Investment Company Act of 1940.
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-22 transaction · row 1
1 source rowRow 1 · 2024-11-22 · Other · Disposed 71,453 · Balance 0 F1: These shares were transferred (not sold) to a sister company within the overall organization. F2: The shares were transferred without a transaction price. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were transferred (not sold) to a sister company within the overall organization.
F2: The shares were transferred without a transaction price.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 13, 2021 Filed Jul 14, 2021 19:36 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $24.25 | $53,350.00 |
DisclosureSEC source: 0001398344-21-014374 · fp0067333_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,377 Read SEC document |
| July 12, 2021 Filed Jul 14, 2021 19:36 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $24.29 | $53,438.00 |
DisclosureSEC source: 0001398344-21-014374 · fp0067333_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,577 Read SEC document |
| July 09, 2021 Filed Jul 12, 2021 19:02 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $24.23 | $53,306.00 |
DisclosureSEC source: 0001398344-21-014269 · fp0067156_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,777 Read SEC document |
| July 08, 2021 Filed Jul 12, 2021 19:02 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $24.19 | $53,218.00 |
DisclosureSEC source: 0001398344-21-014269 · fp0067156_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,977 Read SEC document |
| July 07, 2021 Filed Jul 8, 2021 20:20 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $24.07 | $52,954.00 |
DisclosureSEC source: 0001398344-21-014170 · fp0066907_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,177 Read SEC document |
| July 06, 2021 Filed Jul 8, 2021 20:20 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $23.96 | $52,712.00 |
DisclosureSEC source: 0001398344-21-014170 · fp0066907_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,377 Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 20:47 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 1,201 | $23.73 | $28,499.73 |
DisclosureSEC source: 0001398344-21-013454 · fp0066593_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,577 Read SEC document |
| June 16, 2021 Filed Jun 21, 2021 14:10 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 800 | $24.25 | $19,400.00 |
DisclosureSEC source: 0001398344-21-013215 · fp0066355_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,778 Read SEC document |
| June 15, 2021 Filed Jun 21, 2021 14:10 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $24.24 | $53,328.00 |
DisclosureSEC source: 0001398344-21-013215 · fp0066355_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,578 Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 21:22 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $24.19 | $53,218.00 |
DisclosureSEC source: 0001398344-21-013071 · fp0066311_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,778 Read SEC document |
| June 03, 2021 Filed Jun 8, 2021 19:13 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 900 | $24.00 | $21,600.00 |
DisclosureSEC source: 0001398344-21-012841 · fp0066149_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,978 Read SEC document |
| June 01, 2021 Filed Jun 2, 2021 15:13 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $23.91 | $52,602.00 |
DisclosureSEC source: 0001398344-21-012363 · fp0065899_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,878 Read SEC document |
| May 24, 2021 Filed May 27, 2021 14:32 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 1,000 | $23.80 | $23,800.00 |
DisclosureSEC source: 0001398344-21-012102 · fp0065823_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,708 Read SEC document |
| May 18, 2021 Filed May 27, 2021 12:45 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 1,476 | $23.56 | $34,774.56 |
DisclosureSEC source: 0001398344-21-012096 · fp0065719_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,708 Read SEC document |
| May 14, 2021 Filed May 17, 2021 17:02 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $23.12 | $50,864.00 |
DisclosureSEC source: 0001398344-21-010945 · fp0065585_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,184 Read SEC document |
| May 12, 2021 Filed May 17, 2021 16:01 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $23.52 | $51,744.00 |
DisclosureSEC source: 0001398344-21-010929 · fp0065558_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,384 Read SEC document |
| May 10, 2021 Filed May 11, 2021 14:42 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,917 | $18.04 | $88,702.68 |
DisclosureSEC source: 0001398344-21-010201 · fp0065491_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,572 Read SEC document |
| May 10, 2021 Filed May 11, 2021 14:40 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $23.62 | $51,964.00 |
DisclosureSEC source: 0001398344-21-010198 · fp0065492_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,584 Read SEC document |
| May 07, 2021 Filed May 11, 2021 14:42 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 8,800 | $18.09 | $159,192.00 |
DisclosureSEC source: 0001398344-21-010201 · fp0065491_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,489 Read SEC document |
| May 07, 2021 Filed May 11, 2021 14:40 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,200 | $23.53 | $51,766.00 |
DisclosureSEC source: 0001398344-21-010198 · fp0065492_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,784 Read SEC document |
| April 30, 2021 Filed May 5, 2021 14:41 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,302 | $17.68 | $93,739.36 |
DisclosureSEC source: 0001398344-21-009675 · fp0065115_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,289 Read SEC document |
| April 30, 2021 Filed May 5, 2021 14:38 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 500 | $22.95 | $11,475.00 |
DisclosureSEC source: 0001398344-21-009672 · fp0065114_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,984 Read SEC document |
| April 29, 2021 Filed May 3, 2021 16:28 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 3,100 | $22.80 | $70,680.00 |
DisclosureSEC source: 0001398344-21-009382 · fp0065058_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,484 Read SEC document |
| April 23, 2021 Filed Apr 28, 2021 12:55 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,000 | $17.47 | $87,350.00 |
DisclosureSEC source: 0001398344-21-008683 · fp0064897_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,591 Read SEC document |
| April 23, 2021 Filed Apr 28, 2021 12:38 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 3,600 | $22.80 | $82,080.00 |
DisclosureSEC source: 0001398344-21-008678 · fp0064899_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,584 Read SEC document |
| April 13, 2021 Filed Apr 15, 2021 21:12 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,114 | $17.77 | $126,415.78 |
DisclosureSEC source: 0001398344-21-008080 · fp0064676_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,591 Read SEC document |
| April 13, 2021 Filed Apr 15, 2021 21:07 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 1,900 | $22.84 | $43,396.00 |
DisclosureSEC source: 0001398344-21-008078 · fp0064675_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,184 Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 16:28 UTC | RiverNorth Flexible Municipal Income Fund II, Inc. RFM · Entity 5900 | SaleCommon Stock | 3,600 | $22.34 | $80,424.00 |
DisclosureSEC source: 0001398344-21-007712 · fp0063910_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,084 Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 16:33 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 4,000 | $17.60 | $70,400.00 |
DisclosureSEC source: 0001398344-21-007714 · fp0064061_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,705 Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 16:55 UTC | RiverNorth Flexible Municipal Income Fund II, Inc. RFM · Entity 5900 | SaleCommon Stock | 2,200 | $22.27 | $48,994.00 |
DisclosureSEC source: 0001398344-21-007312 · fp0063910_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,684 Read SEC document |
| March 24, 2021 Filed Mar 26, 2021 18:33 UTC | RiverNorth Flexible Municipal Income Fund II, Inc. RFM · Entity 5900 | SaleCommon Stock | 1,385 | $22.21 | $30,760.85 |
DisclosureSEC source: 0001398344-21-007084 · fp0063837_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,884 Read SEC document |
| March 23, 2021 Filed Mar 24, 2021 21:50 UTC | RiverNorth Flexible Municipal Income Fund II, Inc. RFM · Entity 5900 | SaleCommon Stock | 2,425 | $22.18 | $53,786.50 |
DisclosureSEC source: 0001398344-21-006974 · fp0063798_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,269 Read SEC document |
| March 22, 2021 Filed Mar 24, 2021 21:50 UTC | RiverNorth Flexible Municipal Income Fund II, Inc. RFM · Entity 5900 | SaleCommon Stock | 900 | $22.20 | $19,980.00 |
DisclosureSEC source: 0001398344-21-006974 · fp0063798_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,694 Read SEC document |
| March 21, 2021 Filed Mar 24, 2021 21:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 6,279 | $17.36 | $109,003.44 |
DisclosureSEC source: 0001398344-21-006976 · fp0063799_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,705 Read SEC document |
| March 18, 2021 Filed Mar 19, 2021 17:01 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 1,333 | $22.20 | $29,592.60 |
DisclosureSEC source: 0001398344-21-006813 · fp0063715_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,594 Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 17:06 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,000 | $17.68 | $88,400.00 |
DisclosureSEC source: 0001398344-21-006816 · fp0063716_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,984 Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 17:01 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 1,500 | $22.08 | $33,120.00 |
DisclosureSEC source: 0001398344-21-006813 · fp0063715_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,927 Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 20:35 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 3,600 | $22.27 | $80,172.00 |
DisclosureSEC source: 0001398344-21-006688 · fp0063650_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,427 Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 20:32 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,510 | $17.72 | $97,637.20 |
DisclosureSEC source: 0001398344-21-006684 · fp0063651_4.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,984 Read SEC document |
| March 12, 2021 Filed Mar 17, 2021 20:35 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 3,000 | $22.07 | $66,210.00 |
DisclosureSEC source: 0001398344-21-006688 · fp0063650_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,027 Read SEC document |
| March 12, 2021 Filed Mar 17, 2021 20:32 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 5,000 | $17.60 | $88,000.00 |
DisclosureSEC source: 0001398344-21-006684 · fp0063651_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,494 Read SEC document |
| March 05, 2021 Filed Mar 17, 2021 20:35 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 3,662 | $21.97 | $80,454.14 |
DisclosureSEC source: 0001398344-21-006688 · fp0063650_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,027 Read SEC document |
| March 05, 2021 Filed Mar 17, 2021 20:32 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 8,500 | $17.02 | $144,670.00 |
DisclosureSEC source: 0001398344-21-006684 · fp0063651_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,494 Read SEC document |
| March 03, 2021 Filed Mar 4, 2021 21:16 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,091 | $21.92 | $45,834.72 |
DisclosureSEC source: 0001398344-21-005677 · fp0063370_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,689 Read SEC document |
| March 03, 2021 Filed Mar 4, 2021 21:04 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,635 | $17.37 | $132,619.95 |
DisclosureSEC source: 0001398344-21-005666 · fp0063369_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,994 Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 19:14 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon stock | 3,662 | $22.95 | $84,042.90 |
DisclosureSEC source: 0001398344-21-003179 · fp0062355_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,780 Read SEC document |
| February 09, 2021 Filed Feb 12, 2021 19:14 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon stock | 3,662 | $23.00 | $84,226.00 |
DisclosureSEC source: 0001398344-21-003179 · fp0062355_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,442 Read SEC document |
| February 09, 2021 Filed Feb 12, 2021 19:08 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 9,450 | $17.50 | $165,375.00 |
DisclosureSEC source: 0001398344-21-003177 · fp0062356_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,629 Read SEC document |
| February 05, 2021 Filed Feb 9, 2021 20:46 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon stock | 3,662 | $22.40 | $82,028.80 |
DisclosureSEC source: 0001398344-21-002764 · fp0062236_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,104 Read SEC document |
| February 05, 2021 Filed Feb 9, 2021 20:45 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 8,792 | $17.34 | $152,453.28 |
DisclosureSEC source: 0001398344-21-002761 · fp0062237_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,871 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.