RCM

Rivernorth Capital Management Portfolio holdings

AUM $1.81B
1-Year Return 0.33%
This Quarter Return
-1.39%
1 Year Return
-0.33%
3 Year Return
+6.11%
5 Year Return
+5.61%
10 Year Return
+4.07%
AUM
$1.44B
AUM Growth
+$213M
Cap. Flow
+$223M
Cap. Flow %
15.54%
Top 10 Hldgs %
29.86%
Holding
197
New
68
Increased
48
Reduced
28
Closed
27

Top Buys

1
CCT
Corporate Capital Trust, Inc.
CCT
+$23M
2
PHK
PIMCO High Income Fund
PHK
+$20.3M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$19.7M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$17.6M
5
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$17.1M

Top Sells

1
GLO
Clough Global Opportunities Fund
GLO
+$21.9M
2
GLQ
Clough Global Equity Fund
GLQ
+$17.7M
3
ADX icon
Adams Diversified Equity Fund
ADX
+$12M
4
RVT icon
Royce Value Trust
RVT
+$8.75M
5
BOE icon
BlackRock Enhanced Global Dividend Trust
BOE
+$4.64M

Sector Composition

1 Financials 3.32%
2 Technology 0.69%
3 Consumer Staples 0.52%
4 Energy 0.38%
5 Industrials 0.32%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
DOTA
126
DELISTED
Draper Oakwood Technology Acquisition, Inc. Class A Common Stock
DOTA
$1.17M 0.08%
+120,000
New +$1.17M
DMTK
127
DELISTED
DermTech, Inc. Common Stock
DMTK
$1.17M 0.08%
+60,000
New +$1.17M
BDCS
128
DELISTED
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
$1.14M 0.08%
+55,000
New +$1.14M
BGIO
129
DELISTED
BlackRock 2022 Global Income Opportunity Trust
BGIO
$1.12M 0.08%
+114,301
New +$1.12M
MSF
130
DELISTED
Morgan Stanley Emerging Mkts Fd
MSF
$1.12M 0.08%
+62,328
New +$1.12M
BDCL
131
DELISTED
2Leveraged Long Exchange Traded Access Securities (E-TRACS) Linked to the Wells Fargo Business Dev
BDCL
$855K 0.06%
+52,000
New +$855K
GTYH
132
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$794K 0.06%
80,001
– –
GMZ
133
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
$777K 0.05%
+12,412
New +$777K
STEW
134
SRH Total Return Fund
STEW
$1.78B
$724K 0.05%
65,326
-405,004
-86% -$4.49M
BGX
135
Blackstone Long-Short Credit Income Fund
BGX
$159M
$707K 0.05%
44,430
-27,419
-38% -$436K
CXH
136
MFS Investment Grade Municipal Trust
CXH
$64.4M
$705K 0.05%
72,618
– –
DDF
137
DELISTED
Delaware Investments Dividend & Income Fund, Inc.
DDF
$685K 0.05%
+63,861
New +$685K
PHT
138
Pioneer High Income Fund
PHT
$244M
$463K 0.03%
+47,635
New +$463K
CPTAG
139
DELISTED
Capitala Finance Corp. 5.75% Convertible Notes Due 2022
CPTAG
$349K 0.02%
14,047
-38,393
-73% -$954K
ABE
140
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc.
ABE
$344K 0.02%
23,680
-51,396
-68% -$747K
NESRW
141
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$189K 0.01%
230,000
– –
WRLSR
142
DELISTED
Pensare Acquisition Corp. Right to purchase 1/10 of common stock
WRLSR
$175K 0.01%
+349,994
New +$175K
HCAC.WS
143
DELISTED
Hennessy Capital Acquisition Corp. III
HCAC.WS
$143K 0.01%
+168,750
New +$143K
FMCIR
144
DELISTED
Forum Merger Corporation Right
FMCIR
$132K 0.01%
200,000
– –
ROSEW
145
DELISTED
Rosehill Resources Inc.
ROSEW
$119K 0.01%
119,700
– –
BRACW
146
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
$99K 0.01%
+300,000
New +$99K
WRLSW
147
DELISTED
Pensare Acquisition Corp. Warrant
WRLSW
$96K 0.01%
+174,997
New +$96K
CMSSR
148
DELISTED
CM Seven Star Acquisition Corporation Right
CMSSR
$96K 0.01%
+300,000
New +$96K
MMDMR
149
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
$90K 0.01%
+230,000
New +$90K
ATACR
150
DELISTED
Atlantic Acquisition Corp. Right
ATACR
$90K 0.01%
+150,000
New +$90K
4 5
6
7 8