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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
+9.74%
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
$1.68B
AUM Growth
+$69.2M
Cap. Flow
-$146M
Cap. Flow %
-8.69%
Top 10 Hldgs %
29%
Holding
496
New
162
Increased
49
Reduced
116
Closed
141

Top Buys

Rank Stock Value
1
OBDC icon
Blue Owl Capital
OBDC
+$35.8M
2
NMCO icon
Nuveen Municipal Credit Opportunities Fund
NMCO
+$25.9M
3
VVR icon
Invesco Senior Income Trust
VVR
+$19.6M
4
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$17M
5
BGB
Blackstone Strategic Credit 2027 Term Fund
BGB
+$16.2M

Top Sells

Rank Stock Value
1
EHI
Western Asset Global High Income Fund
EHI
+$53.9M
2
HIX
Western Asset High Income Fund II
HIX
+$28.4M
3
HIO
Western Asset High Income Opportunity Fund
HIO
+$20.8M
4
PHD
Pioneer Floating Rate Fund
PHD
+$15M
5
BFZ
BlackRock CA Municipal Income Trust
BFZ
+$14.6M

Sector Composition

Rank Sector Weight
1 Financials 11.15%
2 Healthcare 0.76%
3 Technology 0.75%
4 Consumer Discretionary 0.62%
5 Industrials 0.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BFIIW
401
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
– –
-163,038
Closed -$388K
CTR
402
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
– –
-154,197
Closed -$1.54M
GOEV
403
DELISTED
Canoo Inc. Class A Common Stock
GOEV
– –
-426
Closed -$2.18M
ZEV
404
DELISTED
Lightning eMotors, Inc.
ZEV
– –
-10,000
Closed -$1.99M
APPH
405
DELISTED
AppHarvest, Inc. Common Stock
APPH
– –
-41,172
Closed -$484K
APPHW
406
DELISTED
AppHarvest, Inc. Warrants
APPHW
– –
-216,072
Closed -$603K
MLACU
407
DELISTED
Malacca Straits Acquisition Company Limited Units
MLACU
– –
-55,000
Closed -$547K
DEX
408
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
– –
-72,048
Closed -$639K
SFT
409
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
– –
-9,879
Closed -$1.17M
VLDRW
410
DELISTED
Velodyne Lidar, Inc. Warrants
VLDRW
– –
-90,407
Closed -$442K
TWND.U
411
DELISTED
Tailwind Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one warrant
TWND.U
– –
-50,000
Closed -$503K
BTRS
412
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– –
-208,466
Closed -$2.18M
UPH
413
DELISTED
UpHealth, Inc.
UPH
– –
-16,188
Closed -$1.65M
EQOS
414
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
– –
-104,017
Closed -$1.07M
ACEVU
415
DELISTED
ACE Convergence Acquisition Corp
ACEVU
– –
-50,000
Closed -$513K
FST.U
416
DELISTED
FAST Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
FST.U
– –
-188,972
Closed -$1.88M
RBAC.U
417
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
– –
-75,000
Closed -$793K
PSTH.WS
418
DELISTED
Pershing Square Tontine Holdings, Ltd. Warrants, exercisable for one share of Class A Common Stock f
PSTH.WS
– –
-16,664
Closed -$119K
PRPB.U
419
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
– –
-200,000
Closed -$2.07M
LCAPU
420
DELISTED
Lionheart Acquisition Corp. II Unit
LCAPU
– –
-250,000
Closed -$2.49M
ALACW
421
DELISTED
Alberton Acquisition Corp Warrant
ALACW
– –
-194,596
Closed -$41K
TLMD
422
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
– –
-48,649
Closed -$494K
BTAQU
423
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
– –
-100,000
Closed -$996K
VMACU
424
DELISTED
Vistas Media Acquisition Company Inc. Unit
VMACU
– –
-100,000
Closed -$1.01M
TRIT
425
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
– –
-195,721
Closed -$2.03M
15 16
17
18 19

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Rivernorth Capital Management's Q4 2020 Portfolio in Review

As of Q4 2020, Rivernorth Capital Management held 496 positions worth $1.68B, up 4.3% from $1.62B the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Rivernorth Capital Management withdrew a net $146M in Q4 2020, closing 141 positions and reducing 116 holdings. Its most notable exit was Western Asset Global High Income Fund, an estimated $53.9M position sold in full.

By sector, the portfolio is most concentrated in Financials at 11% of assets, up from 8.1% a quarter earlier, followed by Healthcare and Technology.

Against the trend, Rivernorth Capital Management opened a new position in Blue Owl Capital worth $35.7M.

  • Rivernorth Capital Management's largest Q4 2020 buy was Blue Owl Capital: 2,823,663 shares worth $35.7M.
  • Rivernorth Capital Management added most to Invesco Senior Income Trust in Q4 2020, an estimated $19.6M increase.
  • Rivernorth Capital Management's biggest Q4 2020 reduction was Western Asset High Income Opportunity Fund, cutting an estimated $20.8M.
  • Rivernorth Capital Management fully exited Western Asset Global High Income Fund in Q4 2020, selling an estimated $53.9M.
  • Rivernorth Capital Management's ten largest holdings make up 29% of its $1.68B portfolio in Q4 2020.
  • Rivernorth Capital Management opened 162 new positions and closed 141 in Q4 2020.
  • Rivernorth Capital Management's portfolio value rose 4.3% quarter-over-quarter to $1.68B.

Based on Rivernorth Capital Management's 13F filing for Q4 2020, filed 16 Feb 2021.