Rivernorth Capital Management’s Saratoga Investment SAR Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q4	–	Sell	-29,787	Closed	-$532K	–	161
2016 Q3	$532K	Sell	29,787 -85,545	-74%	-$1.51M	0.04%	133
2016 Q2	$1.95M	Sell	115,332 -179,573	-61%	-$2.95M	0.13%	129
2016 Q1	$4.62M	Buy	294,905 +21,045	+8%	+$304K	0.28%	100
2015 Q4	$4.22M	Buy	273,860 +56,645	+26%	+$887K	0.24%	112
2015 Q3	$3.51M	Buy	217,215 +82,511	+61%	+$1.37M	0.22%	120
2015 Q2	$2.31M	Buy	134,704 +18,294	+16%	+$309K	0.14%	136
2015 Q1	$1.84M	Buy	116,410 +7,346	+7%	+$114K	0.12%	134
2014 Q4	$1.62M	Buy	109,064 +83,188	+321%	+$1.26M	0.11%	154
2014 Q3	$415K	Buy	+25,876	New	+$412K	0.03%	155

Other funds holding SAR

BDCM

Black Diamond Capital Management Stamford, Connecticut $172M AUM 2.61% 1-Year Est. Return

LTFS

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

RVPG

Relative Value Partners Group $772M AUM 15.6% 1-Year Est. Return

CAS

Cue Advisory Services Phoenix, Arizona $167M AUM 18.62% 1-Year Est. Return

MCM

McKinley Capital Management Anchorage, Alaska $571M AUM 36.44% 1-Year Est. Return

JMPWA

JP Morgan Private Wealth Advisors San Francisco, California $35B AUM 24.26% 1-Year Est. Return

FTCM

First Trust Capital Management Chicago, Illinois $1.9B AUM 58.39% 1-Year Est. Return

AWW

Alan W. Weber $336M AUM 75.94% 1-Year Est. Return

Millennium Management New York $240B AUM 35.51% 1-Year Est. Return

Legal & General Group London, United Kingdom $432B AUM 29.4% 1-Year Est. Return

Rivernorth Capital Management's SAR Position: Q4 2016 in Review

Rivernorth Capital Management sold out of Saratoga Investment (SAR) in Q4 2016, closing a stake of 29,787 shares — an estimated $532K sold.

Rivernorth Capital Management first reported a position in SAR in Q3 2014 and held it in 9 quarters. The position peaked at $4.62M in Q1 2016. 21 funds tracked by Wall St. Rank hold SAR as of Q4 2016.

Rivernorth Capital Management reported no remaining Saratoga Investment position as of Q4 2016 after selling out during the quarter.
Rivernorth Capital Management sold 29,787 Saratoga Investment shares in Q4 2016, an estimated $532K.
Rivernorth Capital Management first reported a position in Saratoga Investment in Q3 2014 and held it in 9 quarters.
Rivernorth Capital Management's Saratoga Investment position peaked at $4.62M in Q1 2016.
21 funds tracked by Wall St. Rank held Saratoga Investment as of Q4 2016.

Based on Rivernorth Capital Management's 13F filing for Q4 2016, filed 14 Feb 2017.