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RCM

Rivernorth Capital Management Portfolio holdings

AUM $2B
1-Year Est. Return 0.79%
This Fund
S&P 500
This Quarter Est. Return
+2.65%
1 Year Est. Return
-0.79%
3 Year Est. Return
+4.8%
5 Year Est. Return
-8.69%
10 Year Est. Return
+11.73%
AUM
$1.62B
AUM Growth
-$143M
Cap. Flow
-$274M
Cap. Flow %
-16.98%
Top 10 Hldgs %
30.32%
Holding
425
New
161
Increased
45
Reduced
86
Closed
91

Top Buys

Rank Stock Value
1
HIX
Western Asset High Income Fund II
HIX
+$16.6M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$13.7M
3
BCSF icon
Bain Capital Specialty
BCSF
+$11M
4
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$9.21M
5
CPZ
Calamos Long/Short Equity & Dynamic Income Trust
CPZ
+$8.1M

Top Sells

Rank Stock Value
1
GBDC icon
Golub Capital BDC
GBDC
+$31.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$26M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$17.9M
4
EIM
Eaton Vance Municipal Bond Fund
EIM
+$17.2M
5
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$14.9M

Sector Composition

Rank Sector Weight
1 Financials 8.07%
2 Technology 1.29%
3 Consumer Discretionary 1%
4 Industrials 0.91%
5 Healthcare 0.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NFINW
226
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
$256K 0.02%
+195,721
New +$266K
SCPE
227
DELISTED
SC Health Corporation
SCPE
$252K 0.02%
+24,998
New +$253K
ARCC icon
228
Ares Capital
ARCC
$14.5B
$249K 0.02%
+17,815
New +$253K
NMFC icon
229
New Mountain Finance
NMFC
$739M
$245K 0.02%
+25,662
New +$248K
PIC.WS
230
DELISTED
Pivotal Investment Corporation II Redeemable Warrants, each whole warrant exercisable for shares of
PIC.WS
$237K 0.01%
+64,164
New +$91.6K
HYMCW
231
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
$222K 0.01%
141,461
-49,728
-26% -$91.9K
CCX.WS
232
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
$217K 0.01%
+99,315
New +$233K
HCCHW
233
DELISTED
HL Acquisitions Corp. Warrant
HCCHW
$215K 0.01%
104,080
-20,920
-17% -$32.7K
CPSR.U
234
DELISTED
Capstar Special Purpose Acquisition Corp. Units, each consisting of one share of Class A Common Stoc
CPSR.U
$204K 0.01%
+20,000
New +$204K
JFKKR
235
DELISTED
8i Enterprises Acquisition Corp Right
JFKKR
$199K 0.01%
233,596
-1,900
-0.8% -$1.39K
CBH
236
DELISTED
Virtus Convertible & Income 2024 Target Term Fund
CBH
$187K 0.01%
+21,254
New +$193K
LSEAW
237
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$180K 0.01%
100,000
– –
TMCWW
238
TMC The Metals Company Warrants
TMCWW
$771K
$180K 0.01%
+99,998
New +$122K
PCPL.WS
239
DELISTED
CC Neuberger Principal Holdings I Warrants, each whole warrant exercisable for one Class A ordinary
PCPL.WS
$180K 0.01%
+99,999
New +$158K
KCAC.WS
240
DELISTED
Kensington Capital Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class
KCAC.WS
$180K 0.01%
+39,898
New +$143K
CHAQ.WS
241
DELISTED
Chardan Healthcare Acquisition 2 Corp. Warrants, entitling the holder thereof to purchase one-half (
CHAQ.WS
$160K 0.01%
+222,500
New +$156K
LSACW
242
DELISTED
LifeSci Acquisition Corp. Warrant
LSACW
$153K 0.01%
+100,000
New +$88.9K
SAMAW
243
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
$153K 0.01%
294,494
– –
BGB
244
Blackstone Strategic Credit 2027 Term Fund
BGB
$505M
$150K 0.01%
+12,248
New +$144K
GIX.WS
245
DELISTED
GigCapital2, Inc. Warrants exercisable for one share of Common Stock at an exercise price of $11.50
GIX.WS
$147K 0.01%
+161,880
New +$121K
BTRSW
246
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$146K 0.01%
+104,233
New +$136K
GLEO.WS
247
DELISTED
Galileo Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Ordinary Share
GLEO.WS
$146K 0.01%
+235,000
New +$127K
IPV.WS
248
DELISTED
InterPrivate Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for shares of com
IPV.WS
$143K 0.01%
+174,999
New +$110K
CELU icon
249
Celularity
CELU
$20.3M
$142K 0.01%
+1,353
New +$140K
PHGE.WS
250
DELISTED
BiomX Inc. Warrants to purchase one-half of a share of Common Stock
PHGE.WS
$139K 0.01%
195,843
– –
8 9
10
11 12

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Rivernorth Capital Management's Q3 2020 Portfolio in Review

As of Q3 2020, Rivernorth Capital Management held 425 positions worth $1.62B, down 8.2% from $1.76B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Rivernorth Capital Management withdrew a net $274M in Q3 2020, closing 91 positions and reducing 86 holdings. Its most notable exit was Virtus Dividend, Interest & Premium Strategy Fund, an estimated $8.76M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8.1% of assets, up from 5.7% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Rivernorth Capital Management opened a new position in First Eagle Senior Loan Fund worth $4.55M.

  • Rivernorth Capital Management's largest Q3 2020 buy was First Eagle Senior Loan Fund: 367,079 shares worth $4.55M.
  • Rivernorth Capital Management added most to Western Asset High Income Fund II in Q3 2020, an estimated $16.6M increase.
  • Rivernorth Capital Management's biggest Q3 2020 reduction was Golub Capital BDC, cutting an estimated $31.3M.
  • Rivernorth Capital Management fully exited Virtus Dividend, Interest & Premium Strategy Fund in Q3 2020, selling an estimated $8.76M.
  • Rivernorth Capital Management's ten largest holdings make up 30% of its $1.62B portfolio in Q3 2020.
  • Rivernorth Capital Management opened 161 new positions and closed 91 in Q3 2020.
  • Rivernorth Capital Management's portfolio value fell 8.2% quarter-over-quarter to $1.62B.

Based on Rivernorth Capital Management's 13F filing for Q3 2020, filed 16 Nov 2020.