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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
THBRW
301
DELISTED
Thunder Bridge Acquisition II, Ltd. Warrants
THBRW
$51K ﹤0.01%
+37,500
New +$52.7K
TOTAW
302
DELISTED
Tottenham Acquisition I Limited Warrant
TOTAW
$51K ﹤0.01%
107,805
-10,195
-9% -$3.19K
AVPTW
303
DELISTED
AvePoint Inc Warrant
AVPTW
$48K ﹤0.01%
+24,999
New +$41K
UKOMW
304
DELISTED
Ucommune International Ltd Warrant
UKOMW
$48K ﹤0.01%
+160,000
New +$47.6K
BRPAR
305
DELISTED
Big Rock Partners Acquisition Corp. Right
BRPAR
$47K ﹤0.01%
237,324
– –
HCCOW
306
DELISTED
Healthcare Merger Corp. Warrants
HCCOW
$44K ﹤0.01%
+24,324
New +$40.9K
ESSCR
307
DELISTED
East Stone Acquisition Corporation Right
ESSCR
$43K ﹤0.01%
+165,000
New +$33.1K
HOFVW
308
DELISTED
Hall of Fame Resort & Entertainment Company Warrant
HOFVW
$42K ﹤0.01%
+159,798
New +$126K
NVVEW
309
DELISTED
Newborn Acquisition Corp Warrant
NVVEW
$42K ﹤0.01%
+146,208
New +$25.3K
SRTAW
310
DELISTED
Strata Critical Medical Inc Warrants
SRTAW
$41K ﹤0.01%
+33,333
New +$36K
ALACW
311
DELISTED
Alberton Acquisition Corp Warrant
ALACW
$41K ﹤0.01%
194,596
– –
ALACR
312
DELISTED
Alberton Acquisition Corp Rights
ALACR
$39K ﹤0.01%
194,596
– –
ZGYHR
313
DELISTED
Yunhong International Right
ZGYHR
$39K ﹤0.01%
+193,023
New +$41.9K
MNTSW icon
314
Momentus Inc Warrant
MNTSW
$9
$38K ﹤0.01%
+32,852
New +$23.4K
ASLEW
315
DELISTED
AerSale Corp Warrants
ASLEW
$37K ﹤0.01%
73,609
– –
MCACR
316
DELISTED
Mountain Crest Acquisition Corp. Right
MCACR
$34K ﹤0.01%
+52,284
New +$26K
ESSCW
317
DELISTED
East Stone Acquisition Corporation Warrant
ESSCW
$33K ﹤0.01%
+165,000
New +$33.7K
HYACW
318
DELISTED
Haymaker Acquisition Corp. II Warrant
HYACW
$32K ﹤0.01%
+32,300
New +$42.5K
NRXPW
319
DELISTED
NRX Pharmaceuticals Warrant
NRXPW
$31K ﹤0.01%
118,662
– –
NBACR
320
DELISTED
Newborn Acquisition Corp. Right
NBACR
$29K ﹤0.01%
+146,208
New +$30K
KBLMW
321
DELISTED
KBL Merger Corp. IV Warrant
KBLMW
$29K ﹤0.01%
124,200
– –
LOACW
322
DELISTED
Longevity Acquisition Corporation Warrant
LOACW
$25K ﹤0.01%
100,000
– –
LOACR
323
DELISTED
Longevity Acquisition Corporation Right
LOACR
$21K ﹤0.01%
100,000
– –
BTCTW
324
DELISTED
BTC Digital Ltd. Warrant
BTCTW
$20K ﹤0.01%
96,249
– –
ZGYHW
325
DELISTED
Yunhong International Warrant
ZGYHW
$17K ﹤0.01%
+96,511
New +$21.2K
11 12
13
14 15

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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.