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 |
|---|---|---|---|---|---|---|
| September 08, 2017 Filed Sep 12, 2017 15:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 700 | $21.05 | $14,735.00 |
DisclosureSEC source: 0001398344-17-011936 · fp0028061_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,390 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 06, 2017 Filed Sep 7, 2017 16:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $21.03 | $21,030.00 |
DisclosureSEC source: 0001398344-17-011774 · fp0028007_4.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,090 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| September 05, 2017 Filed Sep 7, 2017 16:56 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 7,300 | $21.10 | $154,030.00 |
DisclosureSEC source: 0001398344-17-011774 · fp0028007_4.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser Galley Patrick W. · CIK 0001646929 · Director Schmucker Brian H · CIK 0001662166 · CEO of Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,090 F1 · ownership.direct: RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. Read SEC document |
| August 08, 2017 Filed Aug 10, 2017 15:00 UTC | FRANKLIN LTD DURATION INCOME TRUST FTF · Entity 8892 | Disposition to issuerAuction Rate Preferred Shares | 1,820 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000913849-17-000266 · form4_081017.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · 10% owner RIVERNORTH CAPITAL PARTNERS, L.P. · CIK 0001456771 · 10% owner RiverNorth Institutional Partners, L.P. · CIK 0001480795 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Affiliates Disclosed balance after: 0 F1 · shares: 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 · price: 94% of par. Read SEC document |
| May 18, 2017 Filed May 22, 2017 20:32 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,300 | $19.85 | $25,808.12 |
DisclosureSEC source: 0000913849-17-000208 · form4_052217.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,390 Read SEC document |
| May 16, 2017 Filed May 18, 2017 16:41 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 415 | $19.98 | $8,291.70 |
DisclosureSEC source: 0000913849-17-000204 · form4_051817.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,690 Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 21:05 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.95 | $19,950.00 |
DisclosureSEC source: 0000913849-17-000163 · form4_042617.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,105 Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 21:05 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.99 | $19,990.00 |
DisclosureSEC source: 0000913849-17-000163 · form4_042617.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 339,105 Read SEC document |
| April 20, 2017 Filed Apr 24, 2017 21:24 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 500 | $20.00 | $10,000.00 |
DisclosureSEC source: 0000913849-17-000158 · form4_042417.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,105 Read SEC document |
| April 20, 2017 Filed Apr 24, 2017 21:24 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,500 | $19.93 | $29,895.00 |
DisclosureSEC source: 0000913849-17-000158 · form4_042417.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,605 Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 600 | $19.83 | $11,898.00 |
DisclosureSEC source: 0000913849-17-000153 · form4_042017.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,105 Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 14:22 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.80 | $19,801.00 |
DisclosureSEC source: 0000913849-17-000153 · form4_042017.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,705 Read SEC document |
| April 17, 2017 Filed Apr 18, 2017 19:47 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 100 | $19.90 | $1,990.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,705 Read SEC document |
| April 17, 2017 Filed Apr 18, 2017 19:47 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.79 | $19,790.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,805 Read SEC document |
| April 13, 2017 Filed Apr 18, 2017 19:47 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.79 | $19,786.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,805 Read SEC document |
| April 13, 2017 Filed Apr 18, 2017 19:47 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.80 | $19,800.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 345,805 Read SEC document |
| April 13, 2017 Filed Apr 18, 2017 19:47 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,200 | $19.85 | $23,820.00 |
DisclosureSEC source: 0000913849-17-000151 · form4_041817.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 346,805 Read SEC document |
| April 12, 2017 Filed Apr 13, 2017 21:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $20.00 | $20,000.00 |
DisclosureSEC source: 0000913849-17-000144 · form4_041317.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 348,005 Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 21:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,200 | $19.95 | $23,940.00 |
DisclosureSEC source: 0000913849-17-000144 · form4_041317.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 349,005 Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 21:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.91 | $19,910.00 |
DisclosureSEC source: 0000913849-17-000144 · form4_041317.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,205 Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 21:54 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.89 | $19,890.00 |
DisclosureSEC source: 0000913849-17-000144 · form4_041317.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,205 Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 21:18 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.85 | $19,850.00 |
DisclosureSEC source: 0000913849-17-000142 · form4_041117.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 352,205 Read SEC document |
| April 07, 2017 Filed Apr 11, 2017 21:18 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 136 | $19.82 | $2,695.52 |
DisclosureSEC source: 0000913849-17-000142 · form4_041117.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 353,205 Read SEC document |
| April 07, 2017 Filed Apr 11, 2017 21:18 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.80 | $19,800.00 |
DisclosureSEC source: 0000913849-17-000142 · form4_041117.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 353,341 Read SEC document |
| April 07, 2017 Filed Apr 11, 2017 21:18 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.76 | $19,760.00 |
DisclosureSEC source: 0000913849-17-000142 · form4_041117.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,341 Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 22:40 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.71 | $19,710.00 |
DisclosureSEC source: 0000913849-17-000138 · form4_040717.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 355,341 Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 22:40 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.71 | $19,710.10 |
DisclosureSEC source: 0000913849-17-000138 · form4_040717.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,341 Read SEC document |
| April 04, 2017 Filed Apr 6, 2017 14:03 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 100 | $19.75 | $1,975.00 |
DisclosureSEC source: 0000913849-17-000136 · form4_040417.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,341 Read SEC document |
| April 04, 2017 Filed Apr 6, 2017 14:03 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.75 | $19,750.80 |
DisclosureSEC source: 0000913849-17-000136 · form4_040417.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,441 Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 14:03 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.65 | $19,650.00 |
DisclosureSEC source: 0000913849-17-000136 · form4_040417.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 358,441 Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 14:03 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 500 | $19.65 | $9,825.00 |
DisclosureSEC source: 0000913849-17-000136 · form4_040417.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,441 Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 23:12 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,500 | $19.72 | $29,580.00 |
DisclosureSEC source: 0000913849-17-000134 · form4_040317.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,941 Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 23:12 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 898 | $19.60 | $17,600.80 |
DisclosureSEC source: 0000913849-17-000134 · form4_040317.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 361,441 Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 23:12 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.60 | $19,600.00 |
DisclosureSEC source: 0000913849-17-000134 · form4_040317.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 362,339 Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 21:36 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.60 | $19,600.00 |
DisclosureSEC source: 0000913849-17-000132 · form4_032317.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 363.339 Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 21:36 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.60 | $19,600.10 |
DisclosureSEC source: 0000913849-17-000132 · form4_032317.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364.339 Read SEC document |
| March 09, 2017 Filed Mar 10, 2017 22:04 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 100 | $19.70 | $1,970.00 |
DisclosureSEC source: 0000913849-17-000126 · form4_031017.xml · nonDerivative · entry 5 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,339 Read SEC document |
| March 09, 2017 Filed Mar 10, 2017 22:04 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,300 | $19.62 | $25,507.04 |
DisclosureSEC source: 0000913849-17-000126 · form4_031017.xml · nonDerivative · entry 4 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,439 Read SEC document |
| March 09, 2017 Filed Mar 10, 2017 22:04 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,800 | $19.67 | $35,406.00 |
DisclosureSEC source: 0000913849-17-000126 · form4_031017.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,739 Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 22:04 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,500 | $19.67 | $29,511.15 |
DisclosureSEC source: 0000913849-17-000126 · form4_031017.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368,539 Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 22:04 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,500 | $19.65 | $29,473.05 |
DisclosureSEC source: 0000913849-17-000126 · form4_031017.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,039 Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 20:27 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 500 | $19.90 | $9,950.00 |
DisclosureSEC source: 0000913849-17-000120 · form4_030117.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 371,539 Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 15:27 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 1,000 | $19.85 | $19,850.10 |
DisclosureSEC source: 0000913849-17-000118 · form4_022817.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,039 Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 19:16 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 499 | $19.81 | $9,885.19 |
DisclosureSEC source: 0000913849-17-000116 · form4_022117.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 373,039 Read SEC document |
| February 13, 2017 Filed Feb 14, 2017 20:10 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 200 | $20.05 | $4,010.00 |
DisclosureSEC source: 0000913849-17-000101 · form4_021317.xml · nonDerivative · entry 3 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 373,538 Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 20:10 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 262 | $19.90 | $5,213.80 |
DisclosureSEC source: 0000913849-17-000101 · form4_021317.xml · nonDerivative · entry 2 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 373,738 Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 20:10 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 500 | $19.87 | $9,935.00 |
DisclosureSEC source: 0000913849-17-000101 · form4_021317.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 374,000 Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 23:09 UTC | RIVERNORTH OPPORTUNITIES FUND, INC. RIV · Entity 5947 | SaleCommon Stock | 500 | $19.83 | $9,915.00 |
DisclosureSEC source: 0000913849-17-000030 · form4_020617.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · SUBADVISER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 374,500 Read SEC document |
| October 27, 2016 Filed Nov 2, 2016 16:32 UTC | FRANKLIN LTD DURATION INCOME TRUST FTF · Entity 8892 | PurchaseAuction Rate Preferred Shares | 24 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000913849-16-000652 · form4_110116.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · 10% owner RIVERNORTH CAPITAL PARTNERS, L.P. · CIK 0001456771 · 10% owner RiverNorth Institutional Partners, L.P. · CIK 0001480795 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Affiliates Disclosed balance after: 1,820 F1 · shares: 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 · price: 93.5% of par. F3 · ownership.nature: 646 Auction Rate Preferred Shares are held by RiverNorth Capital Partners, L.P., 1,165 shares are held by RiverNorth Institutional Partners L.P. and 9 shares are held in a separate account managed by RiverNorth Capital Management, LLC. RiverNorth Capital Management, LLC is the general partner of RiverNorth Capital Partners, L.P. and RiverNorth Institutional Partners, L.P. The Auction Rate Preferred Shares reported herein represent the combined holdings in three series of Auction Rate Preferred Shares, which are treated as one class of securities for purposes of this report. Read SEC document |
| September 22, 2016 Filed Dec 6, 2016 21:08 UTC | RiverNorth Capital & Income Fund, Inc. RMPLX · Entity 7096 | PurchaseCommon Stock | 40,000 | $25.00 | $1,000,000.00 |
DisclosureSEC source: 0000913849-16-000695 · form4_120616.xml · nonDerivative · entry 1 RIVERNORTH CAPITAL MANAGEMENT, LLC · CIK 0001447578 · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.