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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
MCOMW
251
DELISTED
micromobility.com Inc. Warrant
MCOMW
$138K 0.01%
+264,742
New +$115K
SFTW.WS
252
DELISTED
Osprey Technology Acquisition Corp. Redeemable Warrants, each whole Warrant exercisable for one shar
SFTW.WS
$138K 0.01%
+98,563
New +$116K
INSUW
253
DELISTED
Insurance Acquisition Corp. Warrant
INSUW
$137K 0.01%
+49,396
New +$132K
ADNWW
254
DELISTED
Advent Technologies Holdings Warrant
ADNWW
$136K 0.01%
200,000
– –
LCAHW
255
DELISTED
Landcadia Holdings II, Inc. Warrant
LCAHW
$136K 0.01%
+30,881
New +$135K
LIVKW
256
DELISTED
LIV Capital Acquisition Corp. Warrant
LIVKW
$134K 0.01%
+284,062
New +$116K
CELUW
257
DELISTED
Celularity Inc
CELUW
$132K 0.01%
+82,263
New +$124K
HCCHR
258
DELISTED
HL Acquisitions Corp. Right
HCCHR
$131K 0.01%
125,000
– –
GRNVR
259
DELISTED
GreenVision Acquisition Corp Rights
GRNVR
$122K 0.01%
+265,942
New +$105K
PSTH.WS
260
DELISTED
Pershing Square Tontine Holdings, Ltd. Warrants, exercisable for one share of Class A Common Stock f
PSTH.WS
$119K 0.01%
+16,664
New +$120K
FVAC.WS
261
DELISTED
Fortress Value Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A c
FVAC.WS
$119K 0.01%
+36,065
New +$109K
BOE icon
262
BlackRock Enhanced Global Dividend Trust
BOE
$697M
$114K 0.01%
11,870
-35,248
-75% -$342K
JSPRW icon
263
Japer Therapeutics Warrants
JSPRW
$212K
$114K 0.01%
+96,710
New +$97.8K
LATNW
264
DELISTED
Union Acquisition Corp. II Warrant
LATNW
$113K 0.01%
+150,000
New +$66.5K
FTACW
265
DELISTED
FinTech Acquisition Corp. III Warrant
FTACW
$113K 0.01%
+73,381
New +$128K
OBIO icon
266
Orchestra BioMed
OBIO
$260M
$110K 0.01%
+10,000
New +$112K
ARYBU
267
DELISTED
ARYA Sciences Acquisition Corp II Unit
ARYBU
$110K 0.01%
10,000
– –
MVSTW
268
DELISTED
Microvast Holdings Warrants
MVSTW
$109K 0.01%
+213,743
New +$110K
CFFAW
269
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
$108K 0.01%
110,147
– –
LFLYW
270
DELISTED
Leafly Holdings, Inc. Warrant
LFLYW
$107K 0.01%
194,593
– –
BROGW
271
DELISTED
Brooge Holdings Limited Warrant expiring 12/20/2024
BROGW
$102K 0.01%
203,192
-6,300
-3% -$3.67K
MFAC.WS
272
DELISTED
Megalith Financial Acquisition Corp. Warrants, each warrant exercisable for one share of Class A Com
MFAC.WS
$99K 0.01%
150,000
– –
LOAK.WS
273
DELISTED
Live Oak Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LOAK.WS
$98K 0.01%
+99,998
New +$85.6K
FEAC.WS
274
DELISTED
Flying Eagle Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A com
FEAC.WS
$98K 0.01%
+29,999
New +$108K
SNAXW
275
DELISTED
Stryve Foods, Inc. Warrant
SNAXW
$97K 0.01%
294,410
– –
9 10
11
12 13

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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.