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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
+2.65%
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
$1.62B
AUM Growth
-$143M
Cap. Flow
-$274M
Cap. Flow %
-16.98%
Top 10 Hldgs %
30.32%
Holding
425
New
161
Increased
45
Reduced
86
Closed
91

Top Buys

Rank Stock Value
1
HIX
Western Asset High Income Fund II
HIX
+$16.6M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$13.7M
3
BCSF icon
Bain Capital Specialty
BCSF
+$11M
4
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$9.21M
5
CPZ
Calamos Long/Short Equity & Dynamic Income Trust
CPZ
+$8.1M

Top Sells

Rank Stock Value
1
GBDC icon
Golub Capital BDC
GBDC
+$31.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$26M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$17.9M
4
EIM
Eaton Vance Municipal Bond Fund
EIM
+$17.2M
5
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$14.9M

Sector Composition

Rank Sector Weight
1 Financials 8.07%
2 Technology 1.29%
3 Consumer Discretionary 1%
4 Industrials 0.91%
5 Healthcare 0.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MVST icon
126
Microvast
MVST
$288M
$2.18M 0.13%
+213,743
New +$2.17M
JRO
127
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$2.17M 0.13%
264,356
-142,468
-35% -$1.15M
EVN
128
Eaton Vance Municipal Income Trust
EVN
$430M
$2.1M 0.13%
164,030
-53,108
-24% -$677K
NYV
129
DELISTED
Nuveen New York Municipal Value Fund 2
NYV
$2.09M 0.13%
141,067
+4,470
+3% +$64.9K
MPV
130
Barings Participation Investors
MPV
$176M
$2.07M 0.13%
190,544
+162,303
+575% +$1.87M
PRPB.U
131
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
$2.07M 0.13%
+200,000
New +$2.04M
SPE
132
Special Opportunities Fund
SPE
$144M
$2.05M 0.13%
172,886
-111,992
-39% -$1.31M
BCAT icon
133
BlackRock Capital Allocation Term Trust
BCAT
$1.69B
$2.05M 0.13%
+100,000
New +$2.02M
TMC icon
134
TMC The Metals Company
TMC
$1.97B
$2.04M 0.13%
+199,997
New +$2M
BFT.U
135
DELISTED
Foley Trasimene Acquisition Corp. II Units, each consisting of one share of Class A common stock, an
BFT.U
$2.04M 0.13%
+200,000
New +$2.05M
PTK.U
136
DELISTED
PTK Acquisition Corp. Units, each consisting of one share of Common Stock, and one Warrant to acquir
PTK.U
$2.04M 0.13%
+200,000
New +$2M
TRIT
137
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
$2.03M 0.13%
+195,721
New +$2.05M
MAPS
138
DELISTED
WM TECHNOLOGY INC A
MAPS
$2.03M 0.13%
+199,998
New +$2.02M
DNMR
139
DELISTED
Danimer Scientific, Inc.
DNMR
$2.02M 0.12%
+5,000
New +$1.99M
NHICU
140
DELISTED
NewHold Investment Corp. Unit
NHICU
$2.01M 0.12%
+200,000
New +$1.99M
BKSY icon
141
BlackSky Technology
BKSY
$1.22B
$2.01M 0.12%
+24,641
New +$1.99M
CLA.U
142
DELISTED
Colonnade Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one
CLA.U
$1.99M 0.12%
+200,000
New +$1.98M
ZEV
143
DELISTED
Lightning eMotors, Inc.
ZEV
$1.99M 0.12%
+10,000
New +$1.98M
CIIC
144
DELISTED
CIIG Merger Corp. - Class A Common Stock
CIIC
$1.98M 0.12%
+197,304
New +$1.99M
CGRO
145
DELISTED
Collective Growth Corporation Class A Common Stock
CGRO
$1.97M 0.12%
+199,999
New +$1.97M
BFLY icon
146
Butterfly Network
BFLY
$2.5B
$1.96M 0.12%
+199,997
New +$1.98M
JSPR icon
147
Jasper Therapeutics
JSPR
$29.7M
$1.92M 0.12%
+19,342
New +$1.93M
HYI
148
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$1.91M 0.12%
136,297
-6,185
-4% -$88.7K
ZGYH
149
DELISTED
Yunhong International Class A Ordinary Shares
ZGYH
$1.91M 0.12%
+193,023
New +$1.9M
FST.U
150
DELISTED
FAST Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
FST.U
$1.88M 0.12%
+188,972
New +$1.88M
4 5
6
7 8

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Rivernorth Capital Management's Q3 2020 Portfolio in Review

As of Q3 2020, Rivernorth Capital Management held 425 positions worth $1.62B, down 8.2% from $1.76B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Rivernorth Capital Management withdrew a net $274M in Q3 2020, closing 91 positions and reducing 86 holdings. Its most notable exit was Virtus Dividend, Interest & Premium Strategy Fund, an estimated $8.76M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8.1% of assets, up from 5.7% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Rivernorth Capital Management opened a new position in First Eagle Senior Loan Fund worth $4.55M.

  • Rivernorth Capital Management's largest Q3 2020 buy was First Eagle Senior Loan Fund: 367,079 shares worth $4.55M.
  • Rivernorth Capital Management added most to Western Asset High Income Fund II in Q3 2020, an estimated $16.6M increase.
  • Rivernorth Capital Management's biggest Q3 2020 reduction was Golub Capital BDC, cutting an estimated $31.3M.
  • Rivernorth Capital Management fully exited Virtus Dividend, Interest & Premium Strategy Fund in Q3 2020, selling an estimated $8.76M.
  • Rivernorth Capital Management's ten largest holdings make up 30% of its $1.62B portfolio in Q3 2020.
  • Rivernorth Capital Management opened 161 new positions and closed 91 in Q3 2020.
  • Rivernorth Capital Management's portfolio value fell 8.2% quarter-over-quarter to $1.62B.

Based on Rivernorth Capital Management's 13F filing for Q3 2020, filed 16 Nov 2020.