Rivernorth Capital Management

Rivernorth Capital Management as of Dec. 31, 2016

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 151 positions in its portfolio as reported in the December 2016 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 3.4 $52M 5.8M 8.95
Pimco Dynamic Credit Income other 3.3 $50M 2.5M 20.22
Eaton Vance Limited Duration Income Fund (EVV) 3.1 $47M 3.4M 13.72
American Capital 2.8 $43M 2.4M 17.92
Brookfield Real Assets Incom shs ben int (RA) 2.8 $43M 1.9M 22.31
BlackRock Credit All Inc Trust IV (BTZ) 2.7 $41M 3.1M 12.97
Nuveen Insured Tax-Free Adv Munici (NEA) 2.7 $41M 3.1M 13.34
Liberty All-Star Equity Fund (USA) 2.5 $38M 7.4M 5.16
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.1 $32M 3.6M 8.85
Wstrn Asst Emrgng Mrkts Incm Fnd 1.8 $28M 1.9M 14.71
BlackRock Corporate High Yield Fund VI (HYT) 1.8 $27M 2.5M 10.83
Nuveen Div. Advantage Muni. Fund (NAD) 1.8 $27M 1.9M 13.96
Templeton Global Income Fund (SABA) 1.7 $26M 4.0M 6.48
Western Asst High Incm Opprtnty Fnd (HIO) 1.7 $26M 5.1M 4.99
Royce Value Trust (RVT) 1.7 $25M 1.9M 13.39
Invesco Van Kampen Senior Income Trust (VVR) 1.6 $24M 5.1M 4.64
LEGG MASON BW GLOBAL Income 1.6 $24M 2.0M 11.83
Invesco Van Kampen Dyn Cr Opp Fund 1.5 $23M 1.9M 12.30
BlackRock Debt Strategies Fund 1.5 $23M 2.0M 11.34
Blackrock Multi-sector Incom other (BIT) 1.5 $23M 1.4M 16.48
Prudential Gl Sh Dur Hi Yld 1.3 $20M 1.3M 14.89
First Tr High Income L/s (FSD) 1.3 $19M 1.2M 16.08
Clough Global Equity Fund closed-end fund (GLQ) 1.2 $19M 1.7M 11.13
Adams Express Company (ADX) 1.2 $19M 1.5M 12.71
Calamos Convertible & Hi Income Fund (CHY) 1.2 $19M 1.8M 10.55
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 1.2 $19M 1.5M 12.83
Tri-Continental Corporation (TY) 1.2 $18M 822k 22.05
Blackstone Gso Strategic (BGB) 1.2 $18M 1.2M 15.34
PowerShares FTSE RAFI US 1000 1.1 $17M 171k 99.55
BlackRock Global Opportunities Equity Tr (BOE) 1.1 $17M 1.4M 11.57
Templeton Emerging Markets Income Fund (TEI) 1.1 $16M 1.5M 10.91
Nuveen Insd Dividend Advantage (NVG) 1.1 $16M 1.1M 14.46
Advent Claymore Convertible Sec & Inc (AVK) 1.0 $16M 1.1M 14.68
Putnam Premier Income Trust (PPT) 1.0 $16M 3.2M 4.97
Vanguard Emerging Markets ETF (VWO) 1.0 $16M 436k 35.78
Franklin Templeton (FTF) 0.9 $14M 1.2M 12.04
Alpine Total Dyn Fd New cefs 0.9 $14M 1.8M 7.58
Boulder Growth & Income Fund (STEW) 0.9 $13M 1.5M 8.94
Morgan Stanley Emerging Markets Domestic (EDD) 0.8 $13M 1.8M 7.17
Ares Dynamic Cr Allocation (ARDC) 0.8 $13M 850k 15.08
Cbre Clarion Global Real Estat re (IGR) 0.8 $13M 1.7M 7.30
MFS Multimarket Income Trust (MMT) 0.8 $12M 2.0M 6.06
Nuveen Mtg opportunity term (JLS) 0.8 $12M 482k 24.07
Neuberger Berman Real Estate Sec (NRO) 0.8 $11M 2.1M 5.37
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.8 $12M 1.0M 11.14
Calamos Conv. Opptys. & Income Fund (CHI) 0.7 $11M 1.1M 10.09
General American Investors (GAM) 0.7 $11M 342k 31.18
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.7 $11M 1.8M 5.88
Zweig Fund 0.7 $9.9M 820k 12.09
Western Asset Hgh Yld Dfnd (HYI) 0.6 $9.7M 647k 15.04
PowerShares FTSE RAFI Emerging MarketETF 0.6 $9.5M 521k 18.15
Nexpoint Credit Strategies Fund (NXDT) 0.6 $9.4M 412k 22.77
MVC Capital 0.6 $9.1M 1.1M 8.58
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 0.6 $9.1M 688k 13.22
Nuveen Global High (JGH) 0.6 $8.8M 552k 15.99
MFS Charter Income Trust (MCR) 0.6 $8.7M 1.0M 8.52
Sprott Focus Tr (FUND) 0.6 $8.7M 1.3M 6.94
Voya Prime Rate Trust sh ben int 0.6 $8.6M 1.6M 5.54
Virtus Total Return Fund Cef 0.6 $8.4M 1.9M 4.47
Central Fd Cda Ltd cl a 0.5 $8.3M 738k 11.29
Aberdeen Asia-Pacific Income Fund (FAX) 0.5 $8.3M 1.8M 4.63
Lazard Global Total Return & Income Fund (LGI) 0.5 $8.3M 604k 13.74
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.5 $8.3M 599k 13.80
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.5 $8.1M 570k 14.14
Vanguard Europe Pacific ETF (VEA) 0.5 $7.8M 214k 36.54
Allianzgi Equity & Conv In 0.5 $7.7M 416k 18.42
Blackstone Gso Lng Shrt Cr I (BGX) 0.5 $7.4M 466k 15.92
Virtus Global Divid Income F (ZTR) 0.5 $7.3M 606k 12.04
Eaton Vance Short Duration Diversified I (EVG) 0.5 $6.8M 493k 13.86
BlackRock Ltd. Duration Income Trust (BLW) 0.5 $6.9M 455k 15.17
Garrison Capital 0.5 $6.9M 735k 9.35
Allianzgi Divers Inc & Cnv F 0.5 $6.9M 367k 18.78
Royce Micro Capital Trust (RMT) 0.4 $6.7M 823k 8.16
Nuveen Long/short Commodity 0.4 $6.8M 486k 13.98
Deutsche High Income Opport 0.4 $6.7M 467k 14.41
THL Credit 0.4 $6.5M 645k 10.01
Pimco Municipal Income Fund II (PML) 0.4 $6.5M 529k 12.22
Deutsche Multi-mkt Income Tr Shs cef 0.4 $6.3M 734k 8.52
Eaton Vance Senior Income Trust (EVF) 0.4 $6.2M 926k 6.68
Invesco Van Kampen Municipal Trust (VKQ) 0.4 $6.0M 493k 12.26
Gsv Cap Corp 0.4 $5.9M 1.2M 5.03
Advent/Claymore Enhanced Growth & Income 0.4 $5.7M 681k 8.30
First Trust/Aberdeen Global Opportunity (FAM) 0.4 $5.7M 507k 11.16
Morgan Stanley Emerging Markets Debt (MSD) 0.4 $5.7M 628k 9.10
Allianzgi Nfj Divid Int Prem S cefs 0.4 $5.7M 449k 12.61
LMP Capital and Income Fund (SCD) 0.4 $5.5M 414k 13.29
Lehman Brothers First Trust IOF (NHS) 0.4 $5.5M 471k 11.67
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.4 $5.5M 479k 11.48
Fifth Str Asset Mgmt 0.3 $4.9M 733k 6.70
Special Opp 3.5% Pfd Conv 0.3 $4.9M 191k 25.40
Nuveen Muni Value Fund (NUV) 0.3 $4.7M 494k 9.56
Western Asset Global High Income Fnd (EHI) 0.3 $4.6M 466k 9.83
Nuveen Int Dur Qual Mun Trm 0.3 $4.6M 377k 12.30
Vaneck Vectors Gold Miners mutual (GDX) 0.3 $4.4M 210k 20.86
Morgan Stanley income sec 0.3 $4.1M 230k 17.94
Barings Global Short Duration Com cef (BGH) 0.3 $3.9M 205k 19.23
Great Elm Cap 0.3 $3.9M 335k 11.67
Western Asset Global Cp Defi (GDO) 0.2 $3.9M 227k 17.12
THE GDL FUND Closed-End fund (GDL) 0.2 $3.8M 385k 9.84
VIRTUS GLOBAL Multi-sec (VGI) 0.2 $3.8M 251k 15.33
Alpine Global Premier Properties Fund 0.2 $3.7M 717k 5.13
Oha Investment 0.2 $3.7M 2.1M 1.73
Gamco Global Gold Natural Reso (GGN) 0.2 $3.5M 659k 5.30
Invesco Van Kampen High Inc Trust II (VLT) 0.2 $3.3M 233k 14.25
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.2 $3.2M 252k 12.75
Eaton Vance Municipal Bond Fund (EIM) 0.2 $3.2M 261k 12.41
Nuveen Mortgage opportunity trm fd2 0.2 $3.2M 139k 23.16
Cornerstone Strategic Value (CLM) 0.2 $3.2M 208k 15.17
Aberdn Emring Mkts Telecomtions 0.2 $3.0M 269k 11.25
MFS Intermediate High Income Fund (CIF) 0.2 $3.1M 1.2M 2.58
Special Opportunities Fund (SPE) 0.2 $3.1M 227k 13.65
Lazard World Dividend & Income Fund 0.2 $3.1M 313k 9.91
Nuveen Senior Income Fund 0.2 $2.7M 398k 6.79
Avenue Income Cr Strat 0.2 $2.7M 204k 13.43
Apollo Tactical Income Fd In (AIF) 0.2 $2.8M 180k 15.46
BlackRock Floating Rate Income Strat. Fn (FRA) 0.2 $2.6M 181k 14.41
Wells Fargo Adv Inc Opport Fund (EAD) 0.2 $2.7M 316k 8.48
Pacholder High Yield 0.2 $2.6M 362k 7.20
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.2 $2.6M 186k 14.08
Calamos (CCD) 0.2 $2.5M 141k 17.53
Klr Energy Acquisition Corp unit 0.2 $2.5M 200k 12.49
Cohen & Steers Quality Income Realty (RQI) 0.1 $2.2M 184k 12.21
American Cap Sr Floating 0.1 $2.4M 199k 11.90
John Hancock Preferred Income Fund III (HPS) 0.1 $2.1M 119k 17.74
Stellar Acquisition Iii Inc unit 03/22/2022 0.1 $2.1M 200k 10.30
Credit Suisse AM Inc Fund (CIK) 0.1 $1.9M 586k 3.16
Nuveen Mun High Income Opp F (NMZ) 0.1 $1.8M 140k 12.81
Delaware Enhanced Glbl. Div. & Inc. Fund 0.1 $1.8M 179k 10.11
Pioneer Floating Rate Trust (PHD) 0.1 $1.7M 144k 11.87
Nuveen Multi-Strategy Income & Growth (JPC) 0.1 $1.7M 177k 9.84
Blackrock Res & Commodities Strategy Tr (BCX) 0.1 $1.6M 188k 8.27
Hunter Maritime Acquisition unit 99/99/9999 0.1 $1.5M 150k 10.15
Crossroads Cap 0.1 $1.3M 621k 2.13
Swiss Helvetia Fund (SWZ) 0.1 $1.2M 122k 10.21
Kkr Income Opportunities (KIO) 0.1 $1.3M 80k 16.04
Alpine Global Dynamic 0.1 $1.3M 145k 8.77
Dws Global High Income Fund 0.1 $1.3M 155k 8.33
Eagle Pt Cr (ECC) 0.1 $1.3M 78k 16.71
Apollo Investment 0.1 $1.0M 175k 5.86
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.1 $1.1M 79k 14.14
Managed Duration Invtmt Grd Mun Fund 0.1 $851k 65k 13.12
Van Kampen Advantage Muni Incm Tr II (VKI) 0.1 $858k 77k 11.17
Dws Strategic Income Trust 0.1 $760k 64k 11.89
H & Q Healthcare Fund equities (HQH) 0.1 $719k 34k 21.14
Easterly Acquisition 0.1 $720k 73k 9.86
Gty Technology Holdings Inc. unit 99/99/9999 0.1 $840k 80k 10.50
PIMCO High Income Fund (PHK) 0.0 $592k 65k 9.16
Nuveen Preferred And equity (JPI) 0.0 $514k 22k 22.92
Nuveen Flexible Invt Income 0.0 $423k 25k 16.65
Western Asset Corporate Loan F 0.0 $508k 45k 11.25
Nuveen Real Estate Income Fund (JRS) 0.0 $275k 26k 10.75