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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
ROCH
451
DELISTED
Roth CH Acquisition I Co. Common Stock
ROCH
– –
-99,990
Closed -$995K
IPV.WS
452
DELISTED
InterPrivate Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for shares of com
IPV.WS
– –
-174,999
Closed -$143K
CLA.U
453
DELISTED
Colonnade Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one
CLA.U
– –
-200,000
Closed -$1.99M
LGVW.WS
454
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
– –
-66,665
Closed -$65K
MFAC.WS
455
DELISTED
Megalith Financial Acquisition Corp. Warrants, each warrant exercisable for one share of Class A Com
MFAC.WS
– –
-150,000
Closed -$99K
TOTAR
456
DELISTED
Tottenham Acquisition I Limited Right expiring 3/6/2021
TOTAR
– –
-118,000
Closed -$63K
TOTAW
457
DELISTED
Tottenham Acquisition I Limited Warrant
TOTAW
– –
-107,805
Closed -$51K
LOAK.WS
458
DELISTED
Live Oak Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LOAK.WS
– –
-99,998
Closed -$98K
DMYT.WS
459
DELISTED
dMY Technology Group, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Clas
DMYT.WS
– –
-121,648
Closed -$365K
LCAHW
460
DELISTED
Landcadia Holdings II, Inc. Warrant
LCAHW
– –
-30,881
Closed -$136K
RMG.WS
461
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
– –
-25,000
Closed -$54K
LSACW
462
DELISTED
LifeSci Acquisition Corp. Warrant
LSACW
– –
-100,000
Closed -$153K
PTACW
463
DELISTED
PropTech Acquisition Corporation Warrant
PTACW
– –
-48,300
Closed -$79K
MVC
464
DELISTED
MVC Capital, Inc.
MVC
– –
-518,323
Closed -$4.05M
HYACW
465
DELISTED
Haymaker Acquisition Corp. II Warrant
HYACW
– –
-32,300
Closed -$32K
PIC.WS
466
DELISTED
Pivotal Investment Corporation II Redeemable Warrants, each whole warrant exercisable for shares of
PIC.WS
– –
-64,164
Closed -$237K
SAMAW
467
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
– –
-294,494
Closed -$153K
FEAC.WS
468
DELISTED
Flying Eagle Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A com
FEAC.WS
– –
-29,999
Closed -$98K
HCCHR
469
DELISTED
HL Acquisitions Corp. Right
HCCHR
– –
-125,000
Closed -$131K
HCCHW
470
DELISTED
HL Acquisitions Corp. Warrant
HCCHW
– –
-104,080
Closed -$215K
TRNE.WS
471
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
– –
-134,640
Closed -$353K
ATCXW
472
DELISTED
Atlas Technical Consultants, Inc. Warrant
ATCXW
– –
-117,846
Closed -$60K
KCAC.WS
473
DELISTED
Kensington Capital Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class
KCAC.WS
– –
-39,898
Closed -$180K
LGC.WS
474
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
– –
-165,277
Closed -$89K
GFY
475
DELISTED
Western Asset Variable Rate Strategic Fund, Inc
GFY
– –
-31,146
Closed -$511K
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.