RCM

Rivernorth Capital Management Portfolio holdings

AUM $1.81B
1-Year Return 0.33%
This Quarter Return
+4.37%
1 Year Return
-0.33%
3 Year Return
+6.11%
5 Year Return
+5.61%
10 Year Return
+4.07%
AUM
$1.38B
AUM Growth
-$169M
Cap. Flow
-$232M
Cap. Flow %
-16.82%
Top 10 Hldgs %
26.9%
Holding
161
New
12
Increased
41
Reduced
71
Closed
22

Top Buys

1
PPT
Putnam Premier Income Trust
PPT
$8M
2
HIO
Western Asset High Income Opportunity Fund
HIO
$7.63M
3
USA icon
Liberty All-Star Equity Fund
USA
$5.58M
4
SPE.PRB
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
$5.36M
5
JGV
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
$4.55M

Top Sells

1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$74.9M
2
ACG
ALLIANCEBERNSTEIN INCOME FUND INC.
ACG
$39.4M
3
CHI
Calamos Convertible Opportunities and Income Fund
CHI
$20.8M
4
HYT icon
BlackRock Corporate High Yield Fund
HYT
$13.4M
5
OCSI
Oaktree Strategic Income Corporation
OCSI
$13.3M

Sector Composition

1 Financials 1.85%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
CHI
126
Calamos Convertible Opportunities and Income Fund
CHI
$816M
$1.01M 0.07%
97,884
-2,010,618
-95% -$20.8M
KST
127
DELISTED
Deutsche Strategic Income Trust
KST
$988K 0.07%
81,529
-77,823
-49% -$943K
RGT
128
Royce Global Value Trust
RGT
$83.4M
$956K 0.07%
117,716
– –
EFF
129
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$889K 0.06%
+56,844
New +$889K
IHD
130
Voya Emerging Markets High Income Dividend Equity Fund
IHD
$106M
$865K 0.06%
105,661
-131,263
-55% -$1.07M
KIO
131
KKR Income Opportunities Fund
KIO
$514M
$773K 0.06%
48,232
-99,756
-67% -$1.6M
EACQ
132
DELISTED
Easterly Acquisition Corp
EACQ
$726K 0.05%
+73,058
New +$726K
SAR icon
133
Saratoga Investment
SAR
$395M
$532K 0.04%
29,787
-85,545
-74% -$1.53M
OCSI
134
DELISTED
Oaktree Strategic Income Corporation
OCSI
$507K 0.04%
59,251
-1,559,364
-96% -$13.3M
MCN
135
Madison Covered Call & Equity Strategy Fund
MCN
$132M
$489K 0.04%
62,907
– –
GGZ
136
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$116M
$358K 0.03%
33,117
– –
NEA icon
137
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.32B
$242K 0.02%
+16,574
New +$242K
BCX icon
138
BlackRock Resources & Commodities Strategy Trust
BCX
$784M
$235K 0.02%
28,792
-176,184
-86% -$1.44M
MZF
139
DELISTED
Managed Duration Inv Grd Muni Fd
MZF
$205K 0.01%
+14,310
New +$205K
AWF
140
AllianceBernstein Global High Income Fund
AWF
$974M
– –
-677,921
Closed -$8.33M
BKT icon
141
BlackRock Income Trust
BKT
$286M
– –
-20,180
Closed -$401K
CEE
142
Central and Eastern Europe Fund
CEE
$105M
– –
-122,057
Closed -$2.24M
CET
143
Central Securities Corp
CET
$1.45B
– –
-21,195
Closed -$416K
CHY
144
Calamos Convertible and High Income Fund
CHY
$872M
– –
-313,808
Closed -$3.33M
EAD
145
Allspring Income Opportunities Fund
EAD
$421M
– –
-197,444
Closed -$1.56M
ISD
146
PGIM High Yield Bond Fund
ISD
$486M
– –
-321,101
Closed -$5.07M
JFR icon
147
Nuveen Floating Rate Income Fund
JFR
$1.13B
– –
-407,697
Closed -$4.22M
NVG icon
148
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.56B
– –
-38,369
Closed -$624K
NZF icon
149
Nuveen Municipal Credit Income Fund
NZF
$2.36B
– –
-39,157
Closed -$623K
PIM
150
Putnam Master Intermediate Income Trust
PIM
$163M
– –
-157,528
Closed -$682K
3 4 5
6
7