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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
+3.71%
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
$1.44B
AUM Growth
-$91.6M
Cap. Flow
-$143M
Cap. Flow %
-9.9%
Top 10 Hldgs %
32.74%
Holding
179
New
28
Increased
39
Reduced
65
Closed
38

Top Buys

Rank Stock Value
1
EMD
Western Asset Emerging Markets Debt Fund
EMD
+$63.8M
2
HIO
Western Asset High Income Opportunity Fund
HIO
+$18.3M
3
RA
Brookfield Real Assets Income Fund
RA
+$16.3M
4
ARCC icon
Ares Capital
ARCC
+$13.6M
5
EHI
Western Asset Global High Income Fund
EHI
+$13.1M

Top Sells

Rank Stock Value
1
ACAS
American Capital Ltd
ACAS
+$43.3M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$37.1M
3
EMD
Western Asset Emerging Markets
EMD
+$28.2M
4
CHY
Calamos Convertible and High Income Fund
CHY
+$17.8M
5
PPT
Franklin Premier Income Trust
PPT
+$12.9M

Sector Composition

Rank Sector Weight
1 Financials 4.03%
2 Technology 0.2%
3 Energy 0.14%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GDO
101
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.4M
$2.84M 0.2%
162,856
-63,628
-28% -$1.1M
PHF
102
DELISTED
Pacholder High Yield
PHF
$2.71M 0.19%
350,628
-11,183
-3% -$86K
AWF
103
AllianceBernstein Global High Income Fund
AWF
$872M
$2.49M 0.17%
+197,700
New +$2.51M
MVC
104
DELISTED
MVC Capital, Inc.
MVC
$2.45M 0.17%
272,906
-792,339
-74% -$6.9M
MUC icon
105
BlackRock MuniHoldings California Quality Fund
MUC
$1.01B
$2.33M 0.16%
164,303
-21,836
-12% -$310K
KLRE
106
DELISTED
KLR Energy Acquisition Corp
KLRE
$2.07M 0.14%
+200,000
New +$2.08M
PHUN icon
107
Phunware
PHUN
$43.6M
$2.04M 0.14%
+4,000
New +$2.02M
CIF
108
DELISTED
MFS Intermediate High Income Fund
CIF
$2M 0.14%
758,415
-437,965
-37% -$1.14M
CHY
109
Calamos Convertible and High Income Fund
CHY
$1.06B
$1.88M 0.13%
165,233
-1,595,117
-91% -$17.8M
IGD
110
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
$517M
$1.8M 0.13%
+245,335
New +$1.75M
FPT
111
DELISTED
Federated Premier Intermediate M
FPT
$1.68M 0.12%
+127,906
New +$1.64M
FHY
112
DELISTED
First Trust Strategic High
FHY
$1.64M 0.11%
+125,503
New +$1.59M
MPACU
113
DELISTED
Matlin & Partners Acquisition Corporation Units
MPACU
$1.5M 0.1%
+150,000
New +$1.51M
HUNTU
114
DELISTED
Hunter Maritime Acquisition Corp. Unit
HUNTU
$1.48M 0.1%
150,002
+2
+0% +$20
BBDC icon
115
Barings BDC
BBDC
$965M
$1.47M 0.1%
+76,796
New +$1.47M
OFS icon
116
OFS Capital
OFS
$51.9M
$1.44M 0.1%
+101,699
New +$1.48M
SWZ
117
Swiss Helvetia Fund
SWZ
$77.5M
$1.41M 0.1%
121,835
– –
XRDC
118
DELISTED
Crossroads Capital, Inc
XRDC
$1.34M 0.09%
585,219
-35,688
-6% -$82.1K
FNTEU
119
DELISTED
FinTech Acquisition Corp. II Unit
FNTEU
$1.27M 0.09%
+125,000
New +$1.27M
LBF
120
DELISTED
Deutsche Global High Incm Fund
LBF
$1.2M 0.08%
140,895
-14,499
-9% -$123K
CXH
121
DELISTED
MFS Investment Grade Municipal Trust
CXH
$1.06M 0.07%
+110,445
New +$1.06M
PGZ
122
Principal Real Estate Income Fund
PGZ
$68.7M
$1.02M 0.07%
+57,928
New +$966K
MCN
123
Madison Covered Call & Equity Strategy Fund
MCN
$118M
$873K 0.06%
+108,677
New +$863K
GTYH
124
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$803K 0.06%
+80,001
New +$795K
EACQ
125
DELISTED
Easterly Acquisition Corp
EACQ
$728K 0.05%
73,058
– –
3 4
5
6 7

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Rivernorth Capital Management's Q1 2017 Portfolio in Review

As of Q1 2017, Rivernorth Capital Management held 179 positions worth $1.44B, down 6% from $1.53B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Rivernorth Capital Management withdrew a net $143M in Q1 2017, closing 38 positions and reducing 65 holdings. Its most notable exit was American Capital Ltd, an estimated $43.3M position sold in full.

By sector, the portfolio is most concentrated in Financials at 4% of assets, down from 5% a quarter earlier, followed by Technology and Energy.

Against the trend, Rivernorth Capital Management opened a new position in Western Asset Emerging Markets Debt Fund worth $64.7M.

  • Rivernorth Capital Management's largest Q1 2017 buy was Western Asset Emerging Markets Debt Fund: 4,171,753 shares worth $64.7M.
  • Rivernorth Capital Management added most to Western Asset High Income Opportunity Fund in Q1 2017, an estimated $18.3M increase.
  • Rivernorth Capital Management's biggest Q1 2017 reduction was PIMCO Dynamic Credit and Mortgage Income Fund, cutting an estimated $37.1M.
  • Rivernorth Capital Management fully exited American Capital Ltd in Q1 2017, selling an estimated $43.3M.
  • Rivernorth Capital Management's ten largest holdings make up 33% of its $1.44B portfolio in Q1 2017.
  • Rivernorth Capital Management opened 28 new positions and closed 38 in Q1 2017.
  • Rivernorth Capital Management's portfolio value fell 6% quarter-over-quarter to $1.44B.

Based on Rivernorth Capital Management's 13F filing for Q1 2017, filed 15 May 2017.