Rivernorth Capital Management

Rivernorth Capital Management as of Sept. 30, 2019

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 244 positions in its portfolio as reported in the September 2019 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
New Mtn Fin Corp note 5.750% 8/1 24.0 $525M 5.0M 104.93
Nuveen Div. Advantage Muni. Fund (NAD) 4.0 $88M 6.1M 14.36
Nuveen Insured Tax-Free Adv Munici (NEA) 3.5 $76M 5.3M 14.31
Western Asst High Incm Opprtnty Fnd (HIO) 2.8 $62M 12M 5.05
Eaton Vance Limited Duration Income Fund (EVV) 2.5 $54M 4.3M 12.50
Western Asset Emerging Mrkts Dbt Fnd (EMD) 2.1 $46M 3.3M 13.89
Highland Floatng Rate Opprt Ii Shs Ben Int shs ben int (HFRO) 1.9 $41M 3.1M 13.35
Western Asset Global High Income Fnd (EHI) 1.9 $41M 4.1M 9.93
Invesco Van Kampen Dyn Cr Opp Fund 1.8 $39M 3.6M 11.00
Legg Mason Bw Global Income (BWG) 1.7 $38M 3.1M 12.10
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 1.7 $37M 4.9M 7.48
Voya Prime Rate Trust sh ben int 1.7 $37M 7.8M 4.71
Invesco Van Kampen Senior Income Trust (VVR) 1.7 $36M 8.7M 4.19
Pgim Global Short Duration H (GHY) 1.6 $35M 2.4M 14.37
Templeton Global Income Fund 1.5 $34M 5.5M 6.14
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 1.4 $30M 2.7M 11.08
Barings Bdc (BBDC) 1.3 $28M 2.7M 10.15
Blackrock Muniyield Insured Fund (MYI) 1.2 $27M 2.0M 13.57
BlackRock Credit All Inc Trust IV (BTZ) 1.2 $26M 1.9M 13.62
Nuveen Ins Ny Tx Fr Adv Mun (NRK) 0.9 $20M 1.5M 13.46
Putnam Municipal Opportunities Trust (PMO) 0.9 $19M 1.5M 13.07
Eaton Vance Municipal Bond Fund (EIM) 0.8 $19M 1.4M 12.96
Pgim Short Duration High Yie (ISD) 0.8 $18M 1.2M 14.95
Alpine Total Dynamicdivid Fd Com Sh Ben Int cef (AOD) 0.8 $18M 2.2M 8.34
Nuveen Mtg opportunity term (JLS) 0.8 $18M 776k 23.06
Allianzgi Nfj Divid Int Prem S cefs 0.7 $16M 1.3M 12.23
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.7 $16M 1.1M 14.12
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.7 $15M 1.2M 12.87
First Tr High Income L/s (FSD) 0.7 $15M 988k 15.16
Nuveen PA Investnt Quality Municipal (NQP) 0.6 $14M 994k 14.00
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.6 $14M 940k 14.99
Blackrock Debt Strat (DSU) 0.6 $13M 1.2M 10.75
Eaton Vance Floating-Rate Income Trust (EFT) 0.6 $12M 926k 13.22
Western Asset High Incm Fd I (HIX) 0.6 $12M 1.8M 6.78
Invesco Van Kampen Muni Opp Trust (VMO) 0.5 $12M 939k 12.51
BlackRock MuniHoldings New York Insured (MHN) 0.5 $12M 850k 13.61
Blackrock Multi-sector Incom other (BIT) 0.5 $11M 658k 17.16
Lehman Brothers First Trust IOF (NHS) 0.5 $11M 915k 12.07
AllianceBernstein Global Hgh Incm (AWF) 0.5 $11M 893k 11.99
Nuveen Floating Rate Income Fund (JFR) 0.5 $11M 1.1M 9.72
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 0.5 $11M 1.2M 9.14
Invesco Van Kampen High Inc Trust II (VLT) 0.5 $11M 732k 14.32
Blackrock California Mun. Income Trust (BFZ) 0.5 $10M 763k 13.69
Western Asset Hgh Yld Dfnd (HYI) 0.5 $10M 689k 15.16
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 0.5 $10M 723k 13.78
Advent Claymore Convertible Sec & Inc (AVK) 0.5 $9.8M 673k 14.58
Nuveen Ohio Quality Income M 0.5 $9.9M 626k 15.78
Eaton Vance Senior Floating Rate Fund (EFR) 0.4 $9.6M 737k 13.04
Nuveen North Carol Premium Incom Mun 0.4 $9.7M 717k 13.51
BlackRock Insured Municipal Income Trust (BYM) 0.4 $9.4M 666k 14.15
Spdr S&p 500 Etf (SPY) 0.4 $9.3M 31k 296.80
Nuveen Global High (JGH) 0.4 $9.2M 592k 15.56
Delaware Enhanced Glbl. Div. & Inc. Fund 0.4 $9.0M 911k 9.86
Eaton Vance Fltg Rate In 0.4 $8.8M 579k 15.21
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.4 $8.6M 364k 23.66
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.4 $8.1M 712k 11.33
Garrison Capital 0.4 $8.0M 1.2M 6.91
Invesco Van Kampen Municipal Trust (VKQ) 0.4 $7.8M 621k 12.63
Ares Dynamic Cr Allocation (ARDC) 0.4 $8.0M 534k 14.90
Pioneer Floating Rate Trust (PHD) 0.3 $7.7M 735k 10.53
Blackrock Muniyield California Ins Fund 0.3 $7.7M 534k 14.39
Nuveen Conn Prem Income Mun sh ben int 0.3 $7.7M 576k 13.42
BlackRock Floating Rate Income Strat. Fn (FRA) 0.3 $7.4M 589k 12.62
Eaton Vance Senior Income Trust (EVF) 0.3 $7.0M 1.2M 6.12
Fs Investment Corporation 0.3 $6.9M 1.2M 5.83
Invesco Exchange Traded Fd T ftse rafi 1000 (PRF) 0.3 $6.9M 59k 117.87
Nuveen Insd Dividend Advantage (NVG) 0.3 $6.8M 407k 16.73
Neuberger Berman NY Int Mun Common 0.3 $6.3M 504k 12.51
BlackRock New York Insured Municipal 0.3 $6.3M 459k 13.74
Nuveen Ga Div Adv Mun Fd 2 0.3 $6.3M 509k 12.41
Aberdeen Chile Fund (AEF) 0.3 $6.1M 872k 6.96
BlackRock MuniYield New York Insured Fnd (MYN) 0.3 $6.0M 458k 13.06
Morgan Stanley Emerging Markets Debt (MSD) 0.3 $5.9M 644k 9.19
Cornerstone Strategic Value (CLM) 0.3 $5.8M 512k 11.36
First Trust/Four Corners SFRI Fund II (FCT) 0.2 $5.1M 429k 12.00
Nuveen Ny Divid Advntg Mun F (NAN) 0.2 $5.1M 361k 14.26
Nuveen Michigan Qlity Incom Municipal 0.2 $5.2M 370k 13.96
Franklin Templeton (FTF) 0.2 $5.1M 544k 9.31
Nuveen Maryland Premium Income Municipal 0.2 $5.1M 382k 13.35
Tortoise MLP Fund 0.2 $4.9M 395k 12.29
Special Opp 3.5% Pfd Conv 0.2 $4.8M 191k 25.30
BlackRock Floating Rate Income Trust (BGT) 0.2 $4.7M 383k 12.27
Neuberger Ber. CA Intermediate Muni Fund 0.2 $4.6M 328k 13.99
Exd - Eaton Vance Tax-advant 0.2 $4.6M 481k 9.52
Putnam Managed Municipal Income Trust (PMM) 0.2 $4.5M 570k 7.82
Special Opportunities Fund (SPE) 0.2 $4.4M 307k 14.24
Western Asset Corporate Loan F 0.2 $4.4M 461k 9.49
New America High Income Fund I 0.2 $3.9M 442k 8.83
Blackrock Muniyield Quality Fund II (MQT) 0.2 $3.8M 297k 12.97
Pioneer Municipal High Income Advantage (MAV) 0.2 $4.0M 370k 10.94
Swiss Helvetia Fund (SWZ) 0.2 $3.9M 486k 8.03
Nuveen Intermediate 0.2 $3.8M 280k 13.73
Sprott Focus Tr (FUND) 0.2 $3.8M 569k 6.74
Royce Micro Capital Trust (RMT) 0.2 $3.7M 458k 8.04
Nuveen Int Dur Qual Mun Trm 0.2 $3.7M 269k 13.67
BlackRock Corporate High Yield Fund VI (HYT) 0.2 $3.5M 326k 10.75
DTF Tax Free Income (DTF) 0.2 $3.5M 240k 14.47
Invesco Insured Municipal Income Trust (IIM) 0.2 $3.5M 230k 15.36
Invesco Ftse Rafi Emerging Markets Etf etf (PXH) 0.2 $3.6M 179k 20.08
Nuveen Fltng Rte Incm Opp 0.1 $3.4M 354k 9.54
Proficient Alpha Acqustn Cor unit 04/30/2026 (PAACU) 0.1 $3.3M 325k 10.00
Kayne Anderson MLP Investment (KYN) 0.1 $3.0M 210k 14.46
Nuveen Mortgage opportunity trm fd2 0.1 $3.0M 134k 22.17
Leisure Acquisition Corp 0.1 $3.1M 307k 10.24
Tkk Symphony Acquistion Cor 0.1 $3.1M 300k 10.18
Graf Industrial Red Unt 0.1 $3.1M 300k 10.30
Schultze Special Purpose Acquisi Unt 0.1 $3.1M 300k 10.35
Dd3 Acquisition Corp 0.1 $3.0M 300k 10.15
Andina Acquisition Corp Iii unit 09/24/2020 0.1 $3.2M 300k 10.50
Churchill Cap Corp Ii unit 99/99/9999 0.1 $3.2M 300k 10.51
Wells Fargo Adv Inc Opport Fund (EAD) 0.1 $2.9M 349k 8.24
BlackRock Ltd. Duration Income Trust (BLW) 0.1 $2.8M 180k 15.63
Nuveen Senior Income Fund 0.1 $2.8M 481k 5.76
Trine Acquisition Corp unit 03/31/2021 0.1 $2.8M 275k 10.35
Western Asset Global Cp Defi (GDO) 0.1 $2.7M 157k 17.42
Big Rock Partners Acquisi 0.1 $2.5M 240k 10.58
Opes Acquisition Corp 0.1 $2.6M 250k 10.36
Dws Municipal Income Cf non-tax cef (KTF) 0.1 $2.6M 225k 11.59
High Income Secs Fd Shs Ben Int cef (PCF) 0.1 $2.6M 301k 8.49
Tuscan Holdings Corp unit 99/99/9999 0.1 $2.7M 250k 10.69
Highland Global mf closed and mf open (HGLB) 0.1 $2.7M 265k 10.25
Agba Acquistion 0.1 $2.5M 250k 10.18
Vanguard Emerging Markets ETF (VWO) 0.1 $2.4M 61k 40.27
Royce Value Trust (RVT) 0.1 $2.3M 168k 13.76
Source Capital 0.1 $2.5M 68k 36.52
Templeton Emerging Markets Income Fund (TEI) 0.1 $2.5M 275k 9.07
Invesco Quality Municipal Inc Trust (IQI) 0.1 $2.5M 192k 12.79
PIONEER DIV HIGH INCOME TRUS COM Bene Inter 0.1 $2.4M 167k 14.50
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.1 $2.3M 199k 11.59
Clough Global Equity Fund closed-end fund (GLQ) 0.1 $2.4M 213k 11.50
Nexpoint Credit Strategies Fund (NXDT) 0.1 $2.4M 136k 17.93
Tcp Cap Corp note 5.250%12/1 0.1 $2.5M 2.5M 1.00
Allianzgi Con Incm 2024 Targ 0.1 $2.5M 260k 9.44
Pure Acquisition Corp cl a 0.1 $2.3M 225k 10.25
Twelve Seas Investment Compa 0.1 $2.3M 225k 10.24
Wealthbridge Acquisition Ltd unit 99/99/9999 0.1 $2.3M 225k 10.40
8i Enterprises Acquisitin 0.1 $2.4M 240k 9.99
BlackRock MuniHolding Insured Investm 0.1 $2.2M 160k 13.53
Eaton Vance California Mun. Income Trust (CEV) 0.1 $2.2M 161k 13.44
Blackrock Res & Commodities Strategy Tr (BCX) 0.1 $2.2M 300k 7.48
Oha Investment 0.1 $2.1M 1.6M 1.30
Alberton Acquisition Corp unit 04/22/2020 0.1 $2.1M 200k 10.55
Hennessy Cap Acqustion Corp unit 99/99/9999 0.1 $2.1M 200k 10.55
Gx Acquisiton Unt 0.1 $2.2M 200k 11.09
South Mountain Merger Unt 0.1 $2.2M 214k 10.50
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.1 $2.0M 134k 15.12
Legacy Acquisition Corp 0.1 $2.0M 200k 10.20
Mudrick Cap Acquisition Corp 0.1 $2.1M 200k 10.28
Leo Holdings Corp 0.1 $2.0M 200k 10.24
Amci Acquisition Corp unit 01/07/2019 0.1 $2.1M 200k 10.35
Crescent Acquisition Corp unit 99/99/9999 0.1 $2.0M 200k 10.16
Boxwood Merger Corp 0.1 $2.0M 200k 10.08
Gigcapital2 Inc unit 02/28/2026 0.1 $2.1M 200k 10.30
India Fund (IFN) 0.1 $1.8M 85k 20.53
Gordon Pointe Acquisition 0.1 $1.8M 175k 10.47
Blackrock Muniholdings Insured Fund II (MUE) 0.1 $1.5M 121k 12.77
Pioneer Municipal High Income Trust (MHI) 0.1 $1.4M 116k 12.46
Lazard World Dividend & Income Fund 0.1 $1.4M 154k 9.34
Trident Acquisitions Corp 0.1 $1.6M 150k 10.42
Vectoiq Acquisition Corp 0.1 $1.5M 150k 10.21
Megalith Finl Acquisition Co unit 09/30/2025 0.1 $1.6M 150k 10.46
Cf Fin Acquisition Corp unit 04/30/2025 0.1 $1.6M 150k 10.59
Fintech Acquisition Corp Iii unit 12/01/2023 0.1 $1.6M 150k 10.68
B Riley Principal Merger Cor unit 99/99/9999 0.1 $1.5M 150k 10.10
Replay Acquisition Unt 0.1 $1.5M 150k 10.26
Vanguard Europe Pacific ETF (VEA) 0.1 $1.4M 34k 41.09
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.1 $1.3M 81k 16.23
Mexico Equity and Income Fund (MXE) 0.1 $1.4M 133k 10.52
Voya Emerging Markets High I etf (IHD) 0.1 $1.3M 184k 7.17
Tiberius Acquisition Corp 0.1 $1.3M 125k 10.24
Hl Acquisitions Corp 0.1 $1.3M 125k 10.20
Tottenham Acquisition I 0.1 $1.2M 118k 10.29
Tenzing Acquisition Corp unit 08/24/2024 0.1 $1.3M 125k 10.48
Eaton Vance Municipal Income Trust (EVN) 0.1 $1.1M 85k 12.88
Duff & Phelps Utility & Corp Bond Trust 0.1 $1.0M 110k 9.24
Mfs Calif Mun 0.1 $1.1M 84k 12.82
Blackrock MuniHoldings Insured 0.1 $1.2M 91k 12.79
Eaton Vance New York Muni. Incm. Trst 0.1 $1.1M 79k 13.40
Trinity Merger Corp 0.1 $1.0M 96k 10.44
Lf Cap Acquisition Corp cl a 0.1 $1.0M 100k 10.26
Allegro Merger Corp 0.1 $1.0M 100k 10.16
Longevity Acquisition Corp unit 08/29/2024 0.1 $1.1M 100k 10.57
Chaserg Technlgy Acquisitn C unit 09/30/2023 0.1 $1.1M 100k 10.65
Edtechx Holdings Acquisition unit 12/31/2025 0.1 $1.0M 100k 10.37
Pivotal Acquisition Cl A Ord 0.1 $1.0M 100k 10.18
Insurance Acquisition Corp unit 03/31/2024 0.1 $1.0M 100k 10.42
Act Ii Global Acquisition Unt 0.1 $1.0M 100k 10.38
Haymaker Acquisition Unt 0.1 $1.0M 100k 10.33
Health Sciences Acqustn Corp unit 04/01/2024 0.1 $1.1M 100k 10.73
Blackrock Ny Mun Income Tr I 0.0 $881k 62k 14.31
BlackRock Muni New York Intr. Dur. Fnd. 0.0 $931k 63k 14.72
Cornerstone Total Rtrn Fd In (CRF) 0.0 $829k 75k 10.99
First Tr Sr Floating Rate 20 0.0 $876k 99k 8.85
Greenland Acquisitin Corpora 0.0 $776k 75k 10.35
Monocle Acquisition Corp unit 99/99/9999 0.0 $783k 75k 10.44
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.0 $726k 134k 5.41
Van Kampen Advantage Muni Incm Tr II (VKI) 0.0 $645k 57k 11.23
Apollo Sr Floating Rate Fd I (AFT) 0.0 $572k 39k 14.83
BlackRock Global Opportunities Equity Tr (BOE) 0.0 $423k 41k 10.42
Morgan Stanley Emerging Markets Domestic (EDD) 0.0 $400k 61k 6.60
Eaton Vance New York Municipal Bond Fund (ENX) 0.0 $367k 30k 12.46
Blackrock New York Municipal Bond Trust 0.0 $545k 37k 14.71
Voya Global Eq Div & Pr Opp (IGD) 0.0 $363k 61k 6.00
Far Pt Acquisition Corp cl a founders sh 0.0 $511k 50k 10.22
Pimco Energy & Tactical (PDX) 0.0 $412k 24k 17.53
Cohen and Steers Global Income Builder 0.0 $188k 21k 9.12
Nuveen New York Mun Value 0.0 $200k 14k 14.15
THE GDL FUND Closed-End fund (GDL) 0.0 $252k 27k 9.19
Leisure Acquisition Corp *w exp 12/05/201 0.0 $115k 153k 0.75
Mudrick Cap Acquisition Corp *w exp 02/12/202 0.0 $126k 200k 0.63
Pure Acquisition Corp *w exp 04/17/202 0.0 $118k 113k 1.05
Trinity Merger Corp *w exp 05/11/202 0.0 $122k 96k 1.27
Collier Creek Holdings unit 99/99/9999 0.0 $214k 20k 10.70
Pivotal Acquisition Corp pivotal acquisition co-cw24 0.0 $134k 100k 1.34
Boxwood Merger Corp *w exp 11/26/202 0.0 $140k 200k 0.70
Chardan Healthcare Acquisiti *w exp 12/13/202 0.0 $158k 200k 0.79
Chardan Healthcare Acquisiti 0.0 $305k 30k 10.17
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $21k 230k 0.09
Kbl Merger Corp Iv right 03/22/2019 0.0 $41k 230k 0.18
Pensare Acquisition Corp *w exp 07/27/202 0.0 $39k 175k 0.22
Pensare Acquisition Corp right 0.0 $105k 350k 0.30
Legacy Acquisition Corp wt 0.0 $70k 200k 0.35
Gordon Pointe Acquisition Co w exp 07/30/202 0.0 $70k 175k 0.40
Opes Acquisition Corp w exp 01/15/202 0.0 $45k 250k 0.18
Vectoiq Acquisition Corp *w exp 05/16/202 0.0 $75k 150k 0.50
Far Pt Acquisition Corp w exp 06/01/202 0.0 $20k 17k 1.20
Tiberius Acquisition Corp w exp 02/28/202 0.0 $74k 125k 0.59
Trident Acquisitions Corp *w exp 05/09/202 0.0 $23k 150k 0.15
Lf Capital Acquisition Corp lf capital acquisition-cw23 0.0 $32k 100k 0.32
Twelve Seas Investment Compa right 12/22/2019 0.0 $83k 225k 0.37
Twelve Seas Investment Compa *w exp 12/22/202 0.0 $72k 225k 0.32
Greenland Acquisitin Corpora *w exp 03/03/202 0.0 $15k 75k 0.20
Tottenham Acquisition I Ltd *w exp 05/06/202 0.0 $20k 118k 0.17
Allegro Merger Corp *w exp 01/06/202 0.0 $23k 100k 0.23
Greenland Acquisitin Corpora right 04/27/2025 0.0 $45k 75k 0.60
Hl Acquisitions Corp *w exp 06/21/202 0.0 $33k 125k 0.26
Hl Acquisitions Corp right 07/17/2023 0.0 $34k 125k 0.27
Tkk Symphony Acquisition Cor *w exp 02/20/202 0.0 $27k 300k 0.09
Tkk Symphony Acquisition Cor right 02/20/2020 0.0 $72k 300k 0.24
Tottenham Acquisition I Ltd right 06/05/2020 0.0 $34k 118k 0.29
Allegro Merger Corp right 12/31/2023 0.0 $26k 100k 0.26
Dd3 Acquisition Corp *w exp 10/20/202 0.0 $102k 300k 0.34
8i Enterprises Acquisi -cw25 warrants 0.0 $96k 240k 0.40
8i Enterprises Acquisiti-rts rights 0.0 $106k 240k 0.44