Rivernorth Capital Management’s State Street SPDR Bloomberg Convertible Securities ETF CWB Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2013 Q4	–	Sell	-111,000	Closed	-$5.02M	–	224
2013 Q3	$5.02M	Hold	111,000	–	–	0.53%	60
2013 Q2	$4.74M	Buy	+111,000	New	+$4.77M	0.53%	60

Other funds holding CWB

Deutsche Bank Frankfurt Am Main Ge, Germany $303B AUM 30.15% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

QS Investors New York $8.47B AUM 30.71% 1-Year Est. Return

UBS Zurich, Switzerland $136B AUM 16.36% 1-Year Est. Return

AUIM

Aegon USA Investment Management Cedar Rapids, Iowa $140M AUM 12.2% 1-Year Est. Return

ING Group Amsterdam, Netherlands $16.4B AUM 34.6% 1-Year Est. Return

PNC Financial Services Group Pittsburgh, Pennsylvania $173B AUM 20.72% 1-Year Est. Return

Schroder Investment Management Group London, United Kingdom $122B AUM 29.27% 1-Year Est. Return

Rivernorth Capital Management's CWB Position: Q4 2013 in Review

Rivernorth Capital Management sold out of State Street SPDR Bloomberg Convertible Securities ETF (CWB) in Q4 2013, closing a stake of 111,000 shares — an estimated $5.02M sold.

Rivernorth Capital Management first reported a position in CWB in Q2 2013 and held it in 2 quarters. The position peaked at $5.02M in Q3 2013. 140 funds tracked by Wall St. Rank hold CWB as of Q4 2013.

Rivernorth Capital Management reported no remaining State Street SPDR Bloomberg Convertible Securities ETF position as of Q4 2013 after selling out during the quarter.
Rivernorth Capital Management sold 111,000 State Street SPDR Bloomberg Convertible Securities ETF shares in Q4 2013, an estimated $5.02M.
Rivernorth Capital Management first reported a position in State Street SPDR Bloomberg Convertible Securities ETF in Q2 2013 and held it in 2 quarters.
Rivernorth Capital Management's State Street SPDR Bloomberg Convertible Securities ETF position peaked at $5.02M in Q3 2013.
140 funds tracked by Wall St. Rank held State Street SPDR Bloomberg Convertible Securities ETF as of Q4 2013.

Based on Rivernorth Capital Management's 13F filing for Q4 2013, filed 14 Feb 2014.