Rivernorth Capital Management’s Capitala Finance Corp. 5.75% Convertible Notes Due 2022 CPTAG Stock Holding History

Rivernorth Capital Management’s Portfolio CPTAG Stock Details CPTAG Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q1	–	Sell	-14,047	Closed	-$349K	–	192
2017 Q4	$349K	Sell	14,047 -38,393	-73%	-$956K	0.02%	139
2017 Q3	$1.31M	Sell	52,440 -45,860	-47%	-$1.15M	0.11%	102
2017 Q2	$2.49M	Buy	+98,300	New	+$2.47M	0.19%	97

Other funds holding CPTAG

BTS

BB&T Securities Richmond, Virginia $10.9B AUM 5.31% 1-Year Est. Return

Stifel Financial St. Louis, Missouri $120B AUM 27.84% 1-Year Est. Return

YMRC

Yorktown Management & Research Company Forest, Virginia $163M AUM 68.53% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

Rivernorth Capital Management's CPTAG Position: Q1 2018 in Review

Rivernorth Capital Management sold out of Capitala Finance Corp. 5.75% Convertible Notes Due 2022 (CPTAG) in Q1 2018, closing a stake of 14,047 shares — an estimated $349K sold.

Rivernorth Capital Management first reported a position in CPTAG in Q2 2017 and held it in 3 quarters. The position peaked at $2.49M in Q2 2017. 4 funds tracked by Wall St. Rank hold CPTAG as of Q1 2018.

Rivernorth Capital Management reported no remaining Capitala Finance Corp. 5.75% Convertible Notes Due 2022 position as of Q1 2018 after selling out during the quarter.
Rivernorth Capital Management sold 14,047 Capitala Finance Corp. 5.75% Convertible Notes Due 2022 shares in Q1 2018, an estimated $349K.
Rivernorth Capital Management first reported a position in Capitala Finance Corp. 5.75% Convertible Notes Due 2022 in Q2 2017 and held it in 3 quarters.
Rivernorth Capital Management's Capitala Finance Corp. 5.75% Convertible Notes Due 2022 position peaked at $2.49M in Q2 2017.
4 funds tracked by Wall St. Rank held Capitala Finance Corp. 5.75% Convertible Notes Due 2022 as of Q1 2018.

Based on Rivernorth Capital Management's 13F filing for Q1 2018, filed 15 May 2018.