13F-HR filed by RIVERNORTH CAPITAL MANAGEMENT, LLC
RIVERNORTH CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 139 holding rows worth $1,376,776,000.
- Accession
- 0000913849-16-000666
- Filer
- CIK 1447578
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 139 entries on the cover page, a total value of $1,376,776,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,376,776,000 with VALUE read as thousands by filing date, 13F file number 028-13256. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 3,494,752 | $59,096,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 5,002,138 | $48,371,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,597,145 | $39,353,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 2,928,413 | $39,094,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 1,711,225 | $34,892,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 3,974,286 | $33,702,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,548,342 | $32,262,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 2,251,972 | $30,875,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 3,181,815 | $26,664,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 690,375 | $25,979,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 3,973,980 | $24,798,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 6,568,680 | $23,976,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 5,530,342 | $23,946,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 110,659 | $23,936,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,084,537 | $23,187,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 2,036,719 | $23,178,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 1,739,841 | $22,879,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 240,668 | $22,527,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 1,240,071 | $21,168,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 1,790,331 | $21,054,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 4,125,913 | $20,836,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 1,374,529 | $20,508,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,404,439 | $18,216,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 482,753 | $18,060,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 2,286,797 | $17,448,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,455,884 | $16,757,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 1,176,630 | $15,979,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 1,471,606 | $15,923,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,091,736 | $15,918,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 1,020,568 | $15,911,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 1,050,222 | $15,869,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 1,039,897 | $15,442,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 1,244,514 | $13,690,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,699,231 | $13,645,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 2,570,747 | $13,574,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 1,121,293 | $13,556,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 894,979 | $13,425,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 378,646 | $12,363,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 2,121,675 | $12,072,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 483,170 | $11,683,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 926,778 | $11,353,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 1,917,816 | $11,047,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 1,738,449 | $10,587,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 800,942 | $10,372,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 737,465 | $10,199,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 1,163,436 | $10,052,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,913,505 | $9,797,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 635,622 | $9,795,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 701,694 | $9,620,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 425,650 | $9,462,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 502,577 | $9,408,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 521,245 | $9,341,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 1,322,369 | $9,124,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 1,854,219 | $9,067,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 1,079,237 | $8,947,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,850,889 | $8,773,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 553,895 | $8,696,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 687,386 | $8,276,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 487,881 | $7,582,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 49,099 | $7,501,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 532,647 | $7,260,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 408,642 | $7,229,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 587,886 | $7,019,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 493,475 | $6,983,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 364,829 | $6,943,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,087,830 | $6,556,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 582,157 | $6,514,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 756,755 | $6,470,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 408,448 | $6,315,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 532,370 | $6,314,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,335,740 | $6,305,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 636,542 | $6,143,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 455,394 | $6,020,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 363,591 | $5,912,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 872,013 | $5,703,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 679,452 | $5,673,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 863,252 | $5,559,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 209,517 | $5,538,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 468,449 | $5,518,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 207,430 | $5,358,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 438,245 | $5,316,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 432,510 | $5,021,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,532,763 | $4,813,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 370,560 | $4,806,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 254,019 | $4,732,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 332,786 | $4,612,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 525,117 | $4,411,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 473,923 | $4,365,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 230,385 | $4,359,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 1,669,713 | $4,291,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 1,620,992 | $4,279,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 764,371 | $4,242,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 732,666 | $4,037,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 540,922 | $3,960,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 387,780 | $3,928,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 383,472 | $3,816,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 30,000 | $3,726,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 462,375 | $3,611,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 333,455 | $3,398,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 268,587 | $3,395,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 224,157 | $3,342,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 220,651 | $3,226,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 206,664 | $3,207,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 131,168 | $3,111,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 194,754 | $3,095,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 243,641 | $3,007,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 351,733 | $2,821,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 235,493 | $2,779,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 275,806 | $2,471,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 263,881 | $2,430,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 188,674 | $2,217,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 129,350 | $2,190,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 196,020 | $2,162,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 154,551 | $2,159,000 | thousands by filing date | |
| KLR ENERGY ACQUISITION CORP | 49877M207 | UNIT 12/31/2020 | 200,000 | $2,100,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 192,532 | $2,058,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 200,000 | $1,994,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 276,584 | $1,972,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 135,743 | $1,774,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 235,380 | $1,768,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 182,913 | $1,540,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 107,219 | $1,471,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 168,274 | $1,464,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 80,082 | $1,321,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 585,842 | $1,060,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 97,884 | $1,011,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 81,529 | $988,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 117,716 | $956,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 56,844 | $889,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 105,661 | $865,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 48,232 | $773,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 73,058 | $726,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 29,787 | $532,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 59,251 | $507,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 62,907 | $489,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 33,117 | $358,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 16,574 | $242,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 28,792 | $235,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 14,310 | $205,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000913849-16-000666 | this filing | 2016-11-14 | acceptance time not in the bulk data set |