Rivernorth Capital Management

Rivernorth Capital Management as of Sept. 30, 2016

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 139 positions in its portfolio as reported in the September 2016 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
American Capital 4.3 $59M 3.5M 16.91
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 3.5 $48M 5.0M 9.67
Liberty All-Star Equity Fund (USA) 2.9 $39M 7.6M 5.18
BlackRock Credit All Inc Trust IV (BTZ) 2.8 $39M 2.9M 13.35
Pimco Dynamic Credit Income other 2.5 $35M 1.7M 20.39
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.5 $34M 4.0M 8.48
Royce Value Trust (RVT) 2.3 $32M 2.5M 12.66
Eaton Vance Limited Duration Income Fund (EVV) 2.2 $31M 2.3M 13.71
Boulder Growth & Income Fund (STEW) 1.9 $27M 3.2M 8.38
Vanguard Emerging Markets ETF (VWO) 1.9 $26M 690k 37.63
Templeton Global Income Fund (SABA) 1.8 $25M 4.0M 6.24
Spdr S&p 500 Etf (SPY) 1.7 $24M 111k 216.30
BlackRock Debt Strategies Fund 1.7 $24M 6.6M 3.65
Invesco Van Kampen Senior Income Trust (VVR) 1.7 $24M 5.5M 4.33
Tri-Continental Corporation (TY) 1.7 $23M 1.1M 21.38
Clough Global Equity Fund closed-end fund (GLQ) 1.7 $23M 2.0M 11.38
Adams Express Company (ADX) 1.7 $23M 1.7M 13.15
PowerShares FTSE RAFI US 1000 1.6 $23M 241k 93.60
Blackrock Multi-sector Incom other (BIT) 1.5 $21M 1.2M 17.07
Invesco Van Kampen Dyn Cr Opp Fund 1.5 $21M 1.8M 11.76
Western Asst High Incm Opprtnty Fnd (HIO) 1.5 $21M 4.1M 5.05
Blackstone Gso Strategic (BGB) 1.5 $21M 1.4M 14.92
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 1.3 $18M 1.4M 12.97
Vanguard Europe Pacific ETF (VEA) 1.3 $18M 483k 37.41
Alpine Total Dyn Fd New cefs 1.3 $17M 2.3M 7.63
Wstrn Asst Emrgng Mrkts Incm Fnd 1.2 $17M 1.5M 11.51
Advent Claymore Convertible Sec & Inc (AVK) 1.2 $16M 1.1M 14.58
BlackRock Corporate High Yield Fund VI (HYT) 1.2 $16M 1.5M 10.82
First Tr High Income L/s (FSD) 1.2 $16M 1.0M 15.59
LEGG MASON BW GLOBAL Income 1.2 $16M 1.2M 13.58
Prudential Gl Sh Dur Hi Yld 1.1 $16M 1.1M 15.11
Ares Dynamic Cr Allocation (ARDC) 1.1 $15M 1.0M 14.85
Morgan Stanley Emerging Markets Domestic (EDD) 1.0 $14M 1.7M 8.03
Templeton Emerging Markets Income Fund (TEI) 1.0 $14M 1.2M 11.00
Voya Prime Rate Trust sh ben int 1.0 $14M 2.6M 5.28
Franklin Templeton (FTF) 1.0 $14M 1.1M 12.09
Brookfield Mortg. Opportunity bond etf 1.0 $13M 895k 15.00
General American Investors (GAM) 0.9 $12M 379k 32.65
Neuberger Berman Real Estate Sec (NRO) 0.9 $12M 2.1M 5.69
Nuveen Mtg opportunity term (JLS) 0.8 $12M 483k 24.18
BlackRock Global Opportunities Equity Tr (BOE) 0.8 $11M 927k 12.25
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.8 $11M 1.9M 5.76
MFS Multimarket Income Trust (MMT) 0.8 $11M 1.7M 6.09
Zweig Fund 0.8 $10M 801k 12.95
Central Fd Cda Ltd cl a 0.7 $10M 738k 13.83
MFS Charter Income Trust (MCR) 0.7 $10M 1.2M 8.64
Aberdeen Asia-Pacific Income Fund (FAX) 0.7 $9.8M 1.9M 5.12
Western Asset Hgh Yld Dfnd (HYI) 0.7 $9.8M 636k 15.41
Eaton Vance Short Duration Diversified I (EVG) 0.7 $9.6M 702k 13.71
Nexpoint Credit Strategies Fund (NXDT) 0.7 $9.5M 426k 22.23
PowerShares FTSE RAFI Emerging MarketETF 0.7 $9.3M 521k 17.92
Allianzgi Equity & Conv In 0.7 $9.4M 503k 18.72
Putnam Premier Income Trust (PPT) 0.7 $9.1M 1.9M 4.89
Sprott Focus Tr (FUND) 0.7 $9.1M 1.3M 6.90
MVC Capital 0.7 $8.9M 1.1M 8.29
Virtus Total Return Fund Cef 0.6 $8.8M 1.9M 4.74
Nuveen Global High (JGH) 0.6 $8.7M 554k 15.70
Virtus Global Divid Income F (ZTR) 0.6 $8.3M 687k 12.04
Blackstone Gso Lng Shrt Cr I (BGX) 0.6 $7.6M 488k 15.54
Rydex Russell Top 50 ETF 0.5 $7.5M 49k 152.77
LMP Capital and Income Fund (SCD) 0.5 $7.3M 533k 13.63
Western Asset Global Cp Defi (GDO) 0.5 $7.2M 409k 17.69
Nuveen Global Value Opportunities Fund 0.5 $7.0M 588k 11.94
Deutsche High Income Opport 0.5 $7.0M 494k 14.15
Allianzgi Divers Inc & Cnv F 0.5 $6.9M 365k 19.03
Oha Investment 0.5 $6.6M 2.1M 3.14
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.5 $6.5M 582k 11.19
Deutsche Multi-mkt Income Tr Shs cef 0.5 $6.5M 757k 8.55
Lehman Brothers First Trust IOF (NHS) 0.5 $6.3M 532k 11.86
Gsv Cap Corp 0.5 $6.3M 1.3M 4.72
Apollo Tactical Income Fd In (AIF) 0.5 $6.3M 408k 15.46
Morgan Stanley Emerging Markets Debt (MSD) 0.5 $6.1M 637k 9.65
Nuveen Long/short Commodity 0.4 $6.0M 455k 13.22
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.4 $5.9M 364k 16.26
Advent/Claymore Enhanced Growth & Income 0.4 $5.7M 680k 8.35
Nuveen Senior Income Fund 0.4 $5.7M 872k 6.54
Eaton Vance Senior Income Trust (EVF) 0.4 $5.6M 863k 6.44
First Trust/Aberdeen Global Opportunity (FAM) 0.4 $5.5M 468k 11.78
Vaneck Vectors Gold Miners mutual (GDX) 0.4 $5.5M 210k 26.43
Clough Global Allocation Fun (GLV) 0.4 $5.3M 438k 12.13
Special Opp 3.5% Pfd Conv 0.4 $5.4M 207k 25.83
Western Asset Worldwide Income Fund 0.4 $5.0M 433k 11.61
Credit Suisse AM Inc Fund (CIK) 0.3 $4.8M 1.5M 3.14
Avenue Income Cr Strat 0.3 $4.8M 371k 12.97
BlackRock Floating Rate Income Strat. Fn (FRA) 0.3 $4.6M 333k 13.86
Barings Global Short Duration Com cef (BGH) 0.3 $4.7M 254k 18.63
Morgan Stanley income sec 0.3 $4.4M 230k 18.92
Cbre Clarion Global Real Estat re (IGR) 0.3 $4.4M 525k 8.40
Deutsche High Income Tr 0.3 $4.4M 474k 9.21
Alpine Global Premier Properties Fund 0.3 $4.2M 764k 5.55
MFS Intermediate High Income Fund (CIF) 0.3 $4.3M 1.7M 2.57
Full Circle Cap Corp 0.3 $4.3M 1.6M 2.64
Garrison Capital 0.3 $3.9M 388k 10.13
Brookfield High Income Fd In 0.3 $4.0M 541k 7.32
Fifth Str Asset Mgmt 0.3 $4.0M 733k 5.51
THE GDL FUND Closed-End fund (GDL) 0.3 $3.8M 384k 9.95
iShares Russell 2000 Index (IWM) 0.3 $3.7M 30k 124.20
Royce Micro Capital Trust (RMT) 0.3 $3.6M 462k 7.81
Aberdn Emring Mkts Telecomtions 0.2 $3.4M 269k 12.64
Western Asset Global High Income Fnd (EHI) 0.2 $3.4M 334k 10.19
Special Opportunities Fund (SPE) 0.2 $3.3M 224k 14.91
BlackRock Ltd. Duration Income Trust (BLW) 0.2 $3.2M 207k 15.52
Invesco Van Kampen High Inc Trust II (VLT) 0.2 $3.2M 221k 14.62
Nuveen Mortgage opportunity trm fd2 0.2 $3.1M 131k 23.72
First Trust Strategic 0.2 $3.0M 244k 12.34
VIRTUS GLOBAL Multi-sec (VGI) 0.2 $3.1M 195k 15.89
Pioneer Floating Rate Trust (PHD) 0.2 $2.8M 236k 11.80
Putnam High Income Securities Fund 0.2 $2.8M 352k 8.02
New America High Income Fund I (HYB) 0.2 $2.4M 264k 9.21
Clearbridge Amern Energ M 0.2 $2.5M 276k 8.96
Lazard Global Total Return & Income Fund (LGI) 0.2 $2.2M 155k 13.97
Madison Strategic Sector Premium Fund 0.2 $2.2M 189k 11.75
Apollo Sr Floating Rate Fd I (AFT) 0.2 $2.2M 129k 16.93
American Cap Sr Floating 0.2 $2.2M 196k 11.03
Klr Energy Acquisition Corp unit 0.1 $2.1M 200k 10.50
Western Asset Corporate Loan F 0.1 $2.1M 193k 10.69
Pacholder High Yield 0.1 $2.0M 277k 7.13
Stellar Acquisition Iii Inc unit 03/22/2022 0.1 $2.0M 200k 9.97
Calamos Global Dynamic Income Fund (CHW) 0.1 $1.8M 235k 7.51
Clearbridge Energy M 0.1 $1.8M 136k 13.07
Brookfield Global Listed 0.1 $1.5M 107k 13.72
Alpine Global Dynamic 0.1 $1.5M 168k 8.70
Dws Global High Income Fund 0.1 $1.5M 183k 8.42
Thl Cr Sr Ln 0.1 $1.3M 80k 16.50
Crossroads Cap 0.1 $1.1M 586k 1.81
Calamos Conv. Opptys. & Income Fund (CHI) 0.1 $1.0M 98k 10.33
Royce Global Value Tr (RGT) 0.1 $956k 118k 8.12
Dws Strategic Income Trust 0.1 $988k 82k 12.12
Eaton Vance Fltg Rate In 0.1 $889k 57k 15.64
Kkr Income Opportunities (KIO) 0.1 $773k 48k 16.03
Voya Emerging Markets High I etf (IHD) 0.1 $865k 106k 8.19
Easterly Acquisition 0.1 $726k 73k 9.94
Saratoga Investment (SAR) 0.0 $532k 30k 17.86
Madison Covered Call Eq Strat (MCN) 0.0 $489k 63k 7.77
Fifth Str Sr Floating Rate 0.0 $507k 59k 8.56
Gabelli mutual funds - (GGZ) 0.0 $358k 33k 10.81
Nuveen Insured Tax-Free Adv Munici (NEA) 0.0 $242k 17k 14.60
Blackrock Res & Commodities Strategy Tr (BCX) 0.0 $235k 29k 8.16
Managed Duration Invtmt Grd Mun Fund 0.0 $205k 14k 14.33