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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
CPSR.U
426
DELISTED
Capstar Special Purpose Acquisition Corp. Units, each consisting of one share of Class A Common Stoc
CPSR.U
– –
-20,000
Closed -$204K
BTRSW
427
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
– –
-104,233
Closed -$146K
VIHAU
428
DELISTED
VPC Impact Acquisition Holdings Unit
VIHAU
– –
-50,000
Closed -$500K
ITACU
429
DELISTED
Industrial Tech Acquisitions, Inc. Unit
ITACU
– –
-150,000
Closed -$1.5M
PTK.U
430
DELISTED
PTK Acquisition Corp. Units, each consisting of one share of Common Stock, and one Warrant to acquir
PTK.U
– –
-200,000
Closed -$2.04M
FUSE.U
431
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
– –
-27,500
Closed -$283K
DFNS.U
432
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
– –
-100,000
Closed -$1.04M
EVY
433
DELISTED
Eaton Vance New York Municipal Income Trust
EVY
– –
-102,186
Closed -$1.31M
SVACU
434
DELISTED
Starboard Value Acquisition Corp. Unit
SVACU
– –
-75,000
Closed -$758K
CCIV.U
435
DELISTED
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
– –
-355,000
Closed -$3.56M
THCBU
436
DELISTED
Tuscan Holdings Corp. Unit
THCBU
– –
-32,225
Closed -$344K
PSACU
437
DELISTED
Property Solutions Acquisition Corp. Unit
PSACU
– –
-299,200
Closed -$3.02M
FGNA.U
438
DELISTED
FG New America Acquisition Corp. Units, each consisting of one share of Class A common stock and one
FGNA.U
– –
-175,000
Closed -$1.75M
NHICU
439
DELISTED
NewHold Investment Corp. Unit
NHICU
– –
-200,000
Closed -$2.01M
GXGXU
440
DELISTED
GX Acquisiton Corp. Unit
GXGXU
– –
-35,473
Closed -$398K
THBRW
441
DELISTED
Thunder Bridge Acquisition II, Ltd. Warrants
THBRW
– –
-37,500
Closed -$51K
GIX.WS
442
DELISTED
GigCapital2, Inc. Warrants exercisable for one share of Common Stock at an exercise price of $11.50
GIX.WS
– –
-161,880
Closed -$147K
GIX.U
443
DELISTED
GigCapital2, Inc.
GIX.U
– –
-38,120
Closed -$423K
GIK.WS
444
DELISTED
GigCapital3, Inc. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise
GIK.WS
– –
-149,997
Closed -$96K
CGRO
445
DELISTED
Collective Growth Corporation Class A Common Stock
CGRO
– –
-199,999
Closed -$1.97M
CGROW
446
DELISTED
Collective Growth Corporation Warrant
CGROW
– –
-99,999
Closed -$61K
BFT.U
447
DELISTED
Foley Trasimene Acquisition Corp. II Units, each consisting of one share of Class A common stock, an
BFT.U
– –
-200,000
Closed -$2.04M
CIIC
448
DELISTED
CIIG Merger Corp. - Class A Common Stock
CIIC
– –
-197,304
Closed -$1.98M
NBACR
449
DELISTED
Newborn Acquisition Corp. Right
NBACR
– –
-146,208
Closed -$29K
ROCHW
450
DELISTED
Roth CH Acquisition I Co. Warrant
ROCHW
– –
-74,992
Closed -$77K
16 17
18
19 20

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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.