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 |
|---|---|---|---|---|---|---|
| February 05, 2021 Filed Feb 12, 2021 19:08 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 8,792 | $17.34 | $152,453.28 |
DisclosureSEC source: 0001398344-21-003177 · fp0062356_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,079 Read SEC document |
| February 04, 2021 Filed Feb 9, 2021 20:46 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon stock | 3,662 | $22.55 | $82,578.10 |
DisclosureSEC source: 0001398344-21-002764 · fp0062236_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,766 Read SEC document |
| February 04, 2021 Filed Feb 9, 2021 20:45 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $17.17 | $34,340.00 |
DisclosureSEC source: 0001398344-21-002761 · fp0062237_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,663 Read SEC document |
| February 03, 2021 Filed Feb 4, 2021 20:06 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon stock | 3,662 | $22.32 | $81,735.84 |
DisclosureSEC source: 0001398344-21-002353 · fp0061962_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,428 Read SEC document |
| February 03, 2021 Filed Feb 4, 2021 20:02 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,459 | $17.01 | $126,877.59 |
DisclosureSEC source: 0001398344-21-002350 · fp0061951_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,663 Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 20:06 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon stock | 3,662 | $22.27 | $81,552.74 |
DisclosureSEC source: 0001398344-21-002353 · fp0061962_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,090 Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 20:02 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 2,000 | $17.01 | $34,020.00 |
DisclosureSEC source: 0001398344-21-002350 · fp0061951_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,122 Read SEC document |
| January 12, 2021 Filed Jan 14, 2021 19:02 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 3,662 | $22.28 | $81,589.36 |
DisclosureSEC source: 0001398344-21-000855 · fp0061278_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,752 Read SEC document |
| January 11, 2021 Filed Jan 12, 2021 21:38 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 3,186 | $22.18 | $70,665.48 |
DisclosureSEC source: 0001398344-21-000686 · fp0061175_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,414 Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 20:26 UTC | RiverNorth Flexible Municipal Income Fund, Inc. RFM · Entity 6849 | SaleCommon Stock | 2,400 | $20.25 | $48,600.00 |
DisclosureSEC source: 0001398344-20-020484 · fp0058799_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,600 Read SEC document |
| October 23, 2019 Filed Oct 24, 2019 19:16 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV RT · Entity 5947 | SaleTransferable Subscription Rights (RIV RT) | 10,290 | $0.06 | $617.40 |
DisclosureSEC source: 0001398344-19-018481 · fp0047055_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: 0 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 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 |
| 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 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 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.