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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
GIK.WS
276
DELISTED
GigCapital3, Inc. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise
GIK.WS
$96K 0.01%
+149,997
New +$84.6K
ORSNR
277
DELISTED
Orisun Acquisition Corp. Right
ORSNR
$96K 0.01%
+160,000
New +$67.2K
ANDAR
278
DELISTED
Andina Acquisition Corp. III Right
ANDAR
$94K 0.01%
294,410
– –
ALUS.WS
279
DELISTED
Alussa Energy Acquisition Corp Warrants
ALUS.WS
$94K 0.01%
+145,337
New +$101K
THCAW
280
DELISTED
Tuscan Holdings Corp. II Warrant
THCAW
$90K 0.01%
+199,999
New +$97K
LGC.WS
281
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$89K 0.01%
165,277
-10,400
-6% -$4.35K
CIICW
282
DELISTED
CIIG Merger Corp. Warrants
CIICW
$85K 0.01%
+98,652
New +$96.7K
ASTSW
283
DELISTED
AST SpaceMobile, Inc. Warrant
ASTSW
$82K 0.01%
+67,499
New +$67.2K
LVOXW
284
DELISTED
LiveVox Holding, Inc. Warrant
LVOXW
$82K 0.01%
+97,720
New +$92.6K
AGBAW
285
DELISTED
AGBA Acquisition Ltd Warrant
AGBAW
$80K 0.01%
+250,000
New +$80K
PTACW
286
DELISTED
PropTech Acquisition Corporation Warrant
PTACW
$79K ﹤0.01%
+48,300
New +$78.4K
ROCHW
287
DELISTED
Roth CH Acquisition I Co. Warrant
ROCHW
$77K ﹤0.01%
+74,992
New +$76.1K
LACQW
288
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$71K ﹤0.01%
150,075
– –
GNRSW
289
DELISTED
Greenrose Acquisition Corp. Warrant
GNRSW
$69K ﹤0.01%
+289,496
New +$71.5K
RPLA.WS
290
DELISTED
Replay Acquisition Corp. Warrants
RPLA.WS
$69K ﹤0.01%
+72,955
New +$67.5K
LGVW.WS
291
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
$65K ﹤0.01%
+66,665
New +$74.4K
RVPHW
292
DELISTED
Reviva Pharmaceuticals Warrants
RVPHW
$64K ﹤0.01%
125,000
– –
TOTAR
293
DELISTED
Tottenham Acquisition I Limited Right expiring 3/6/2021
TOTAR
$63K ﹤0.01%
118,000
– –
MAPSW
294
DELISTED
WM TECHNOLOGY INC WTS
MAPSW
$61K ﹤0.01%
+99,999
New +$55.5K
CGROW
295
DELISTED
Collective Growth Corporation Warrant
CGROW
$61K ﹤0.01%
+99,999
New +$75.6K
ATCXW
296
DELISTED
Atlas Technical Consultants, Inc. Warrant
ATCXW
$60K ﹤0.01%
117,846
-4,100
-3% -$2.2K
AGBAR
297
DELISTED
AGBA Acquisition Ltd Right
AGBAR
$58K ﹤0.01%
+250,000
New +$63.9K
LTRYW icon
298
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$704
$56K ﹤0.01%
150,000
– –
RMG.WS
299
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
$54K ﹤0.01%
+25,000
New +$33.8K
GIX.RT
300
DELISTED
GigCapital2, Inc. Rights, each exchangeable into one-twentieth of a share of Common Stock
GIX.RT
$53K ﹤0.01%
+161,880
New +$53.2K
10 11
12
13 14

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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.