RCM

Rivernorth Capital Management Portfolio holdings

AUM $1.81B
1-Year Return 0.33%
This Quarter Return
+2.63%
1 Year Return
-0.33%
3 Year Return
+6.11%
5 Year Return
+5.61%
10 Year Return
+4.07%
AUM
$1.62B
AUM Growth
-$143M
Cap. Flow
-$275M
Cap. Flow %
-17.02%
Top 10 Hldgs %
30.32%
Holding
425
New
161
Increased
45
Reduced
86
Closed
91

Top Buys

1
HIX
Western Asset High Income Fund II
HIX
+$16.2M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$13.9M
3
BCSF icon
Bain Capital Specialty
BCSF
+$10.7M
4
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$9.15M
5
PHD
Pioneer Floating Rate Fund
PHD
+$8.23M

Top Sells

1
GBDC icon
Golub Capital BDC
GBDC
+$33.2M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$26M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$18.2M
4
EIM
Eaton Vance Municipal Bond Fund
EIM
+$17.2M
5
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$14.8M

Sector Composition

1 Financials 8%
2 Technology 1.39%
3 Consumer Discretionary 1%
4 Industrials 0.94%
5 Healthcare 0.6%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
MAV
201
DELISTED
Pioneer Municipal High Income Advantage Fund
MAV
$570K 0.04%
52,157
– –
MLACU
202
DELISTED
Malacca Straits Acquisition Company Limited Units
MLACU
$547K 0.03%
+55,000
New +$547K
AVPT icon
203
AvePoint
AVPT
$3.51B
$530K 0.03%
+49,998
New +$530K
MYC
204
DELISTED
Blackrock Muni Yield California Fund, Inc.
MYC
$519K 0.03%
37,509
– –
ACEVU
205
DELISTED
ACE Convergence Acquisition Corp. Unit
ACEVU
$513K 0.03%
+50,000
New +$513K
GFY
206
DELISTED
Western Asset Variable Rate Strategic Fund, Inc
GFY
$511K 0.03%
31,146
+17,498
+128% +$287K
CAPAU
207
DELISTED
HighCape Capital Acquisition Corp. Unit
CAPAU
$506K 0.03%
+50,000
New +$506K
TWND.U
208
DELISTED
Tailwind Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one warrant
TWND.U
$503K 0.03%
+50,000
New +$503K
VIHAU
209
DELISTED
VPC Impact Acquisition Holdings Unit
VIHAU
$500K 0.03%
+50,000
New +$500K
TLMD
210
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
$494K 0.03%
+48,649
New +$494K
APPH
211
DELISTED
AppHarvest, Inc. Common Stock
APPH
$484K 0.03%
+41,172
New +$484K
NJV
212
DELISTED
Nuveen New Jersey Municipal Value Fund Common shares of beneficial interest
NJV
$445K 0.03%
+32,258
New +$445K
VLDRW
213
DELISTED
Velodyne Lidar, Inc. Warrants
VLDRW
$442K 0.03%
+90,407
New +$442K
GIX.U
214
DELISTED
GigCapital2, Inc.
GIX.U
$423K 0.03%
38,120
-161,880
-81% -$1.8M
GXGXU
215
DELISTED
GX Acquisiton Corp. Unit
GXGXU
$398K 0.02%
35,473
-164,527
-82% -$1.85M
BFIIW
216
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
$388K 0.02%
163,038
-81,639
-33% -$194K
JHY
217
DELISTED
Nuveen High Income 2020 Target Term Fund Common Shares of Beneficial Interest
JHY
$372K 0.02%
+39,384
New +$372K
DMYT.WS
218
DELISTED
dMY Technology Group, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Clas
DMYT.WS
$365K 0.02%
+121,648
New +$365K
TRNE.WS
219
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$353K 0.02%
+134,640
New +$353K
THCBU
220
DELISTED
Tuscan Holdings Corp. Unit
THCBU
$344K 0.02%
32,225
-213,743
-87% -$2.28M
GOEVW
221
DELISTED
Canoo Inc. Warrant
GOEVW
$339K 0.02%
+146,940
New +$339K
MHI
222
DELISTED
Pioneer Municipal High Income Fund
MHI
$335K 0.02%
28,953
– –
PCF
223
High Income Securities Fund
PCF
$120M
$328K 0.02%
39,338
-94,426
-71% -$787K
JFKKW
224
DELISTED
8i Enterprises Acquisition Corp Warrant
JFKKW
$297K 0.02%
221,396
-14,100
-6% -$18.9K
FUSE.U
225
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
$283K 0.02%
27,500
– –
7 8
9
10 11