Rivernorth Capital Management

Rivernorth Capital Management as of Sept. 30, 2018

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 213 positions in its portfolio as reported in the September 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Western Asset Emerging Mrkts Dbt Fnd (EMD) 4.8 $58M 4.3M 13.42
Eaton Vance Limited Duration Income Fund (EVV) 3.7 $44M 3.5M 12.68
Western Asst High Incm Opprtnty Fnd (HIO) 3.6 $43M 9.1M 4.76
Nuveen Insured Tax-Free Adv Munici (NEA) 3.5 $42M 3.3M 12.66
BlackRock Credit All Inc Trust IV (BTZ) 3.0 $36M 3.0M 12.24
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.8 $33M 4.2M 7.97
Pgim Global Short Duration H (GHY) 2.6 $31M 2.2M 13.87
Templeton Global Income Fund 2.5 $30M 5.0M 6.12
Invesco Van Kampen Senior Income Trust (VVR) 2.3 $28M 6.5M 4.31
Highland Floatng Rate Opprt Ii Shs Ben Int shs ben int (HFRO) 2.1 $26M 1.7M 15.42
Nuveen Div. Advantage Muni. Fund (NAD) 2.1 $25M 2.0M 12.79
Alpine Total Dynamicdivid Fd Com Sh Ben Int cef (AOD) 2.1 $25M 2.9M 8.78
Voya Prime Rate Trust sh ben int 2.1 $25M 5.0M 4.98
Legg Mason Bw Global Income (BWG) 2.1 $25M 2.3M 10.92
Spdr S&p 500 Etf (SPY) 2.1 $25M 85k 290.56
BlackRock Corporate High Yield Fund VI (HYT) 2.0 $25M 2.3M 10.51
Delaware Enhanced Glbl. Div. & Inc. Fund 1.9 $23M 2.0M 11.20
Cornerstone Strategic Value (CLM) 1.8 $22M 1.5M 14.00
Templeton Emerging Markets Income Fund (TEI) 1.8 $21M 2.1M 10.00
Western Asset Global High Income Fnd (EHI) 1.7 $20M 2.2M 9.11
Invesco Van Kampen Dyn Cr Opp Fund 1.6 $20M 1.7M 11.47
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 1.6 $19M 1.8M 10.84
Nexpoint Credit Strategies Fund (NXDT) 1.6 $19M 837k 22.40
Kayne Anderson MLP Investment (KYN) 1.5 $18M 1.0M 17.85
Tortoise MLP Fund 1.4 $17M 1.1M 16.08
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 1.4 $17M 1.5M 10.84
Barings Bdc (BBDC) 1.3 $15M 1.5M 10.01
Pgim Short Duration High Yie (ISD) 1.2 $15M 1.0M 14.14
Western Asset Hgh Yld Dfnd (HYI) 1.1 $13M 912k 14.55
Morgan Stanley Emerging Markets Domestic (EDD) 1.0 $13M 1.9M 6.74
Allianzgi Nfj Divid Int Prem S cefs 1.0 $12M 935k 13.10
Invesco Van Kampen High Inc Trust II (VLT) 1.0 $12M 882k 13.70
Allianzgi Con Incm 2024 Targ 1.0 $12M 1.3M 9.20
Morgan Stanley Emerging Markets Debt (MSD) 0.9 $10M 1.2M 8.67
Advent Claymore Convertible Sec & Inc (AVK) 0.8 $10M 640k 15.67
Nuveen Mtg opportunity term (JLS) 0.8 $10M 415k 24.00
Garrison Capital 0.8 $10M 1.2M 8.28
Blackrock Multi-sector Incom other (BIT) 0.8 $9.3M 552k 16.92
Eagle Grwth & Income Oppty F 0.8 $9.4M 618k 15.19
Nuveen Mortgage opportunity trm fd2 0.8 $9.0M 388k 23.16
Invesco Exchange Traded Fd T ftse rafi 1000 (PRF) 0.7 $8.9M 75k 118.76
Cornerstone Total Rtrn Fd In (CRF) 0.7 $8.5M 610k 13.88
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.7 $8.4M 745k 11.26
Sprott Focus Tr (FUND) 0.7 $8.3M 1.1M 7.38
High Income Secs Fd Shs Ben Int cef (PCF) 0.7 $8.4M 885k 9.48
Wells Fargo Adv Inc Opport Fund (EAD) 0.6 $7.4M 938k 7.92
Alliance California Municipal Income Fun 0.6 $7.4M 543k 13.58
Eaton Vance Senior Income Trust (EVF) 0.6 $6.9M 1.1M 6.45
Ares Dynamic Cr Allocation (ARDC) 0.6 $6.8M 441k 15.53
Morgan Stanley Emerging Markets Fund 0.6 $6.5M 419k 15.60
Western Asset High Incm Fd I (HIX) 0.5 $6.4M 1.0M 6.34
Lehman Brothers First Trust IOF (NHS) 0.5 $6.4M 588k 10.95
Blackrock Muni Intermediate Drtn Fnd 0.5 $6.3M 482k 13.08
Nuveen Conn Prem Income Mun sh ben int 0.5 $6.2M 549k 11.36
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.5 $6.0M 465k 12.94
Nuveen Global High (JGH) 0.5 $6.0M 386k 15.59
BlackRock Ltd. Duration Income Trust (BLW) 0.5 $5.8M 392k 14.89
Deutsche Multi-mkt Income Tr Shs cef 0.5 $5.8M 645k 8.98
Vanguard Emerging Markets ETF (VWO) 0.5 $5.6M 135k 41.00
Nuveen Intermediate 0.4 $4.9M 393k 12.49
Special Opp 3.5% Pfd Conv 0.4 $4.9M 191k 25.50
AllianceBernstein Global Hgh Incm (AWF) 0.4 $4.7M 405k 11.65
MFS Charter Income Trust (MCR) 0.4 $4.7M 605k 7.76
Invesco Ftse Rafi Emerging Markets Etf etf (PXH) 0.4 $4.7M 221k 21.14
Virtus Total Return Fund cf 0.4 $4.5M 425k 10.54
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 0.4 $4.3M 346k 12.39
Madison Covered Call Eq Strat (MCN) 0.4 $4.3M 553k 7.69
Liberty All-Star Equity Fund (USA) 0.3 $4.0M 587k 6.81
Aberdeen Chile Fund (AEF) 0.3 $3.9M 575k 6.86
Lazard World Dividend & Income Fund 0.3 $3.9M 372k 10.43
Pensare Acquisition Corp 0.3 $3.9M 390k 9.96
One Madison Corp 0.3 $3.9M 400k 9.72
Aberdeen Asia-Pacific Income Fund 0.3 $3.7M 899k 4.14
Nuveen Emerging Mkts Debt 20 0.3 $3.6M 436k 8.18
Vanguard Europe Pacific ETF (VEA) 0.3 $3.3M 77k 43.27
Blackrock California Mun. Income Trust (BFZ) 0.3 $3.3M 268k 12.35
Nuveen Int Dur Qual Mun Trm 0.3 $3.3M 265k 12.31
Oha Investment 0.3 $3.3M 2.1M 1.53
Blackrock 2022 Gbl Incm Opp 0.3 $3.1M 350k 8.95
Hennessy Cap Acquston Corp I 0.3 $3.2M 311k 10.19
Cm Seven Star Acquisition 0.2 $3.0M 300k 10.08
Leisure Acquisition Corp 0.2 $3.0M 307k 9.75
Tkk Symphony Acquisition Cor unit 08/15/2023 0.2 $3.0M 300k 10.10
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.2 $2.9M 289k 9.96
Haymaker Acquisition Corp 0.2 $2.9M 295k 9.76
BlackRock New York Insured Municipal 0.2 $2.5M 200k 12.42
Opes Acquisition Corp 0.2 $2.5M 250k 9.85
India Fund (IFN) 0.2 $2.3M 106k 22.13
Neuberger Berman NY Int Mun Common 0.2 $2.3M 206k 11.42
Mexico Equity and Income Fund (MXE) 0.2 $2.4M 195k 12.28
Western Asset Global Cp Defi (GDO) 0.2 $2.4M 149k 16.20
Big Rock Partners Acquisi 0.2 $2.4M 240k 10.01
Modern Media Acquisition 0.2 $2.3M 228k 10.10
Kbl Merger Corp Iv 0.2 $2.2M 220k 10.10
Pure Acquisition Corp cl a 0.2 $2.2M 225k 9.71
Twelve Seas Investment Compa 0.2 $2.2M 225k 9.60
Tortoise Energy Infrastructure 0.2 $2.0M 74k 26.94
Black Ridge Acquisition Corp 0.2 $1.9M 191k 9.85
Legacy Acquisition Corp 0.2 $1.9M 200k 9.71
Mudrick Cap Acquisition Corp 0.2 $1.9M 200k 9.68
Union Acquisition Corp 0.2 $2.0M 200k 9.75
Blackrock Debt Strat (DSU) 0.1 $1.7M 151k 11.14
Gordon Pointe Acquisition 0.1 $1.7M 175k 9.90
Blackrock Res & Commodities Strategy Tr (BCX) 0.1 $1.5M 170k 9.07
Matlin & Partners Acquisitio cl a 0.1 $1.5M 150k 10.01
Industrea Acquisition Corp cl a 0.1 $1.5M 150k 10.20
Mtech Acquisition Corp 0.1 $1.6M 155k 10.20
Megalith Finl Acquisition Co unit 09/30/2025 0.1 $1.5M 150k 10.10
Trident Acquisitions Corp 0.1 $1.5M 150k 9.82
Vectoiq Acquisition Corp 0.1 $1.4M 150k 9.57
Thunder Bridge Acquisition L shs class a 0.1 $1.5M 150k 9.71
Eaton Vance Nj Muni Income T sh ben int 0.1 $1.3M 117k 11.42
Neuberger Ber. CA Intermediate Muni Fund 0.1 $1.3M 104k 12.47
Bison Cap Acquisition Corp ord 0.1 $1.3M 125k 10.21
Nuveen Quality Pref. Inc. Fund II 0.1 $1.2M 141k 8.80
Swiss Helvetia Fund (SWZ) 0.1 $1.2M 137k 8.51
Blackrock Muniyield California Ins Fund 0.1 $1.2M 95k 12.81
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.1 $1.2M 57k 20.71
Constellation Alpha Cap Corp 0.1 $1.1M 113k 10.12
Draper Oakwood Technology 0.1 $1.2M 120k 10.14
Tiberius Acquisition Corp 0.1 $1.2M 125k 9.67
Hl Acquisitions Corp 0.1 $1.2M 125k 9.56
Tottenham Acquisition I 0.1 $1.1M 118k 9.70
Tenzing Acquisition Corp unit 08/24/2024 0.1 $1.3M 125k 10.06
Nuveen California Municipal Value Fund (NCA) 0.1 $1.1M 113k 9.36
Special Opportunities Fund (SPE) 0.1 $1.1M 73k 15.08
Longevity Acquisition Corp unit 08/29/2024 0.1 $1.0M 100k 10.24
MFS Multimarket Income Trust (MMT) 0.1 $925k 167k 5.53
Trinity Merger Corp 0.1 $944k 96k 9.83
Lf Cap Acquisition Corp cl a 0.1 $960k 100k 9.60
Allegro Merger Corp 0.1 $953k 100k 9.53
China Fund (CHN) 0.1 $850k 43k 19.61
Nuveen Fltng Rte Incm Opp 0.1 $872k 85k 10.30
Western Asset Intm Muni Fd I (SBI) 0.1 $856k 101k 8.46
Gty Technology Holdings Inc cl a 0.1 $811k 80k 10.14
Eaton Vance California Mun. Income Trust (CEV) 0.1 $739k 66k 11.22
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.1 $754k 59k 12.87
Eaton Vance Calif Mun Bd 0.1 $704k 69k 10.24
Greenland Acquisitin Corpora 0.1 $725k 75k 9.67
RMR Asia Pacific Real Estate Fund 0.1 $557k 31k 17.97
Eaton Vance Mich Mun Bd 0.1 $562k 45k 12.56
Mfs Calif Mun 0.0 $467k 46k 10.17
National Energy Services Reu *w exp 05/05/202 (NESRW) 0.0 $484k 216k 2.24
Far Pt Acquisition Corp cl a founders sh 0.0 $482k 50k 9.64
Churchill Cap Corp unit 99/99/9999 0.0 $507k 50k 10.14
EATON VANCE MI Municipal 0.0 $395k 32k 12.42
Nuveen Select Maturities Mun Fund (NIM) 0.0 $305k 32k 9.58
Blackrock New York Municipal Bond Trust 0.0 $386k 30k 12.88
Eaton Vance N J Mun Bd 0.0 $392k 33k 11.76
Eaton Vance Ma Muni Income T sh ben int 0.0 $361k 29k 12.47
Voya Emerging Markets High I etf (IHD) 0.0 $378k 47k 8.07
Eaton Vance Short Duration Diversified I (EVG) 0.0 $252k 20k 12.92
Eaton Vance Ohio Municipal bond fund 0.0 $236k 21k 11.24
Eaton Vance Pa Muni Income T sh ben int 0.0 $215k 19k 11.37
Corporate Capital Trust 0.0 $299k 20k 15.28
Dws Strategic Income Trust 0.0 $219k 18k 12.54
Hennessy Cap Acquston Corp I *w exp 06/15/202 0.0 $253k 169k 1.50
Haymaker Acquisition Corp *w exp 10/27/202 0.0 $192k 148k 1.30
One Madison Corp w exp 99/99/999 0.0 $232k 200k 1.16
Mtech Acquisition Corp warrants 0.0 $229k 155k 1.48
Eaton Vance Oh Muni Income T sh ben int 0.0 $135k 11k 12.35
Eaton Vance Mass Mun Bd 0.0 $127k 10k 12.42
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $113k 150k 0.75
Modern Media Acquisition right 99/99/9999 0.0 $108k 230k 0.47
Modern Media Acquisition w exp 05/17/202 0.0 $69k 115k 0.60
Kbl Merger Corp Iv right 03/22/2019 0.0 $106k 230k 0.46
Bison Cap Acquisition Corp right 03/20/2019 0.0 $66k 125k 0.53
Industrea Acquisition Corp *w exp 08/01/202 0.0 $150k 150k 1.00
Pensare Acquisition Corp *w exp 07/27/202 0.0 $91k 175k 0.52
Pensare Acquisition Corp right 0.0 $158k 350k 0.45
Black Ridge Acquisition Corp *w exp 07/10/202 0.0 $135k 300k 0.45
Draper Oakwood Technology right 09/19/2018 0.0 $61k 120k 0.51
Cm Seven Star Acquisition Co *w exp 08/21/202 0.0 $75k 150k 0.50
Cm Seven Star Acquisition Co right 08/21/2022 0.0 $165k 300k 0.55
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $120k 240k 0.50
Legacy Acquisition Corp wt 0.0 $88k 200k 0.44
Leisure Acquisition Corp *w exp 12/05/201 0.0 $164k 153k 1.07
Gordon Pointe Acquisition Co w exp 07/30/202 0.0 $114k 175k 0.65
Opes Acquisition Corp w exp 01/15/202 0.0 $100k 250k 0.40
Union Acquisition Corp right 12/02/2019 0.0 $80k 200k 0.40
Union Acquisition Corp w exp 07/01/202 0.0 $70k 200k 0.35
Mudrick Cap Acquisition Corp *w exp 02/12/202 0.0 $140k 200k 0.70
Pure Acquisition Corp *w exp 04/17/202 0.0 $152k 113k 1.35
Vectoiq Acquisition Corp *w exp 05/16/202 0.0 $92k 150k 0.61
Tiberius Acquisition Corp w exp 02/28/202 0.0 $74k 125k 0.59
Falcon Minerals Corp *w exp 07/21/202 0.0 $149k 88k 1.70
Twelve Seas Investment Compa right 12/22/2019 0.0 $95k 225k 0.42
Twelve Seas Investment Compa *w exp 12/22/202 0.0 $81k 225k 0.36
International Mny Express In *w exp 01/19/202 0.0 $147k 63k 2.35
Thunder Bridge Acquisition L *w exp 01/01/202 0.0 $68k 150k 0.45
Gty Technology Holdings Inc w exp 99/99/999 0.0 $33k 27k 1.24
Stellar Acquisition Iii Inc w exp 03/22/202 0.0 $28k 200k 0.14
Hunter Maritime Acquisition *w exp 99/99/999 0.0 $23k 75k 0.31
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $51k 230k 0.22
Constellation Alpha Cap Corp *w exp 03/23/202 0.0 $26k 120k 0.22
Bison Cap Acquisition Corp *w exp 06/20/202 0.0 $33k 63k 0.53
Constellation Alpha Cap Corp right 99/99/9999 0.0 $48k 120k 0.40
Black Ridge Acquisition Corp right 07/10/2019 0.0 $37k 100k 0.37
I Am Cap Acq Warrant 5/22/24 warrant and righ 0.0 $53k 150k 0.35
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $54k 120k 0.45
Draper Oakwood Technology Acquisition Inc. right 09/19/2018 0.0 $35k 60k 0.58
Trinity Merger Corp *w exp 05/11/202 0.0 $48k 96k 0.50
Far Pt Acquisition Corp w exp 06/01/202 0.0 $27k 17k 1.62
Trident Acquisitions Corp *w exp 05/09/202 0.0 $44k 150k 0.29
Lf Capital Acquisition Corp lf capital acquisition-cw23 0.0 $55k 100k 0.55
Greenland Acquisitin Corpora *w exp 03/03/202 0.0 $20k 75k 0.27
Tottenham Acquisition I Ltd *w exp 05/06/202 0.0 $24k 118k 0.20
Allegro Merger Corp *w exp 01/06/202 0.0 $35k 100k 0.35
Greenland Acquisitin Corpora right 04/27/2025 0.0 $27k 75k 0.36
Hl Acquisitions Corp *w exp 06/21/202 0.0 $45k 125k 0.36
Hl Acquisitions Corp right 07/17/2023 0.0 $50k 125k 0.40
Tottenham Acquisition I Ltd right 06/05/2020 0.0 $44k 118k 0.37
Allegro Merger Corp right 12/31/2023 0.0 $40k 100k 0.40