Rivernorth Capital Management’s NUVEEN PERFORMANCE+MUN FUND NPP Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q4	–	Sell	-57,034	Closed	-$809K	–	217
2015 Q3	$809K	Sell	57,034 -6,200	-10%	-$87.2K	0.05%	178
2015 Q2	$887K	Sell	63,234 -37,248	-37%	-$540K	0.06%	165
2015 Q1	$1.49M	Sell	100,482 -46,262	-32%	-$689K	0.1%	143
2014 Q4	$2.16M	Hold	146,744	–	–	0.14%	142
2014 Q3	$2.13M	Hold	146,744	–	–	0.17%	120
2014 Q2	$2.15M	Sell	146,744 -198,872	-58%	-$2.91M	0.17%	124
2014 Q1	$5M	Sell	345,616 -329,551	-49%	-$4.66M	0.41%	75
2013 Q4	$9.13M	Sell	675,167 -99,627	-13%	-$1.32M	0.7%	46
2013 Q3	$10.5M	Buy	774,794 +394,443	+104%	+$5.28M	1.1%	31
2013 Q2	$5.47M	Buy	+380,351	New	+$5.86M	0.61%	50

Other funds holding NPP

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

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

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

PPA

Parametric Portfolio Associates Seattle, Washington $190B AUM 18.52% 1-Year Est. Return

Horizon Kinetics New York $3.06B AUM 5.37% 1-Year Est. Return

Oxbow Advisors Austin, Texas $1.23B AUM 23.59% 1-Year Est. Return

MSL

Mackay Shields LLC New York $2.99B AUM 3.89% 1-Year Est. Return

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

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

Rivernorth Capital Management's NPP Position: Q4 2015 in Review

Rivernorth Capital Management sold out of NUVEEN PERFORMANCE+MUN FUND (NPP) in Q4 2015, closing a stake of 57,034 shares — an estimated $809K sold.

Rivernorth Capital Management first reported a position in NPP in Q2 2013 and held it in 10 quarters. The position peaked at $10.5M in Q3 2013. 78 funds tracked by Wall St. Rank hold NPP as of Q4 2015.

Rivernorth Capital Management reported no remaining NUVEEN PERFORMANCE+MUN FUND position as of Q4 2015 after selling out during the quarter.
Rivernorth Capital Management sold 57,034 NUVEEN PERFORMANCE+MUN FUND shares in Q4 2015, an estimated $809K.
Rivernorth Capital Management first reported a position in NUVEEN PERFORMANCE+MUN FUND in Q2 2013 and held it in 10 quarters.
Rivernorth Capital Management's NUVEEN PERFORMANCE+MUN FUND position peaked at $10.5M in Q3 2013.
78 funds tracked by Wall St. Rank held NUVEEN PERFORMANCE+MUN FUND as of Q4 2015.

Based on Rivernorth Capital Management's 13F filing for Q4 2015, filed 16 Feb 2016.