13F-HR filed by RIVERNORTH CAPITAL MANAGEMENT, LLC
RIVERNORTH CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 129 holding rows worth $1,225,193,000 by the sum of the rows.
- Accession
- 0000913849-17-000339
- Filer
- CIK 1447578
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 129 entries on the cover page, a total value of $1,255,191,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,225,193,000 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 cover page states a total of $1,255,191,000, 2% more than the sum of the rows, $1,225,193,000. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 4,242,492 | $66,650,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 4,627,392 | $52,012,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 8,046,069 | $48,679,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 3,361,272 | $46,520,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 8,131,479 | $41,633,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 2,865,202 | $40,285,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 2,886,482 | $39,372,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,149,915 | $35,531,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 3,825,264 | $32,400,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 1,675,309 | $27,492,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 1,939,024 | $27,457,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 1,975,785 | $26,337,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 1,892,504 | $25,435,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 1,669,969 | $24,933,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 3,599,712 | $24,298,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 5,340,739 | $23,980,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 1,002,538 | $23,901,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 1,956,419 | $23,379,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 2,269,578 | $23,377,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,456,587 | $21,630,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,898,004 | $21,409,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 1,742,399 | $20,351,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 3,602,098 | $18,731,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 1,594,718 | $18,419,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 1,952,206 | $17,687,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 965,586 | $14,773,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 855,296 | $13,539,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 291,859 | $12,728,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,585,652 | $12,685,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 814,688 | $12,660,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 711,948 | $11,690,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 718,841 | $11,545,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 476,440 | $11,011,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 582,363 | $10,879,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 100,632 | $10,836,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 424,124 | $10,790,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 768,818 | $10,548,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 1,293,758 | $10,027,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 713,165 | $9,321,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 359,663 | $9,229,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 644,996 | $8,630,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 232,746 | $8,402,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 707,871 | $8,381,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 701,628 | $8,069,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 456,712 | $7,960,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 490,383 | $7,959,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 910,217 | $7,664,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 310,077 | $7,646,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 749,385 | $7,059,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 453,240 | $6,826,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 785,348 | $6,825,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 1,022,508 | $6,769,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 307,565 | $6,554,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 644,750 | $6,506,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 493,104 | $6,400,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 521,317 | $6,344,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 296,535 | $6,138,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 981,244 | $6,133,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 431,622 | $6,107,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P104 | SHS | 597,882 | $6,074,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 378,024 | $5,724,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 126,277 | $5,475,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 606,777 | $5,419,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 615,405 | $5,336,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 191,280 | $4,895,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 470,330 | $4,830,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 340,090 | $4,737,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 343,090 | $4,639,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 336,925 | $4,464,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 286,738 | $4,373,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 230,385 | $4,216,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 227,204 | $3,669,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E204 | UNIT 07/27/2022 | 350,000 | $3,588,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 141,656 | $3,553,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 564,285 | $3,521,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 135,594 | $3,125,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 343,920 | $2,971,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 726,266 | $2,832,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,209,405 | $2,762,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P202 | UNIT 99/99/9999 | 230,000 | $2,409,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 230,000 | $2,330,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L204 | UNIT 06/15/2024 | 225,000 | $2,329,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 197,489 | $2,240,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 230,000 | $2,210,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 129,941 | $2,187,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 200,000 | $2,030,000 | thousands by filing date | |
| FORUM MERGER CORP | 34985B103 | COM CL A | 200,000 | $1,942,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 137,135 | $1,908,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 240,492 | $1,878,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 122,016 | $1,763,000 | thousands by filing date | |
| OSPREY ENERGY ACQUISITION CO | 688397207 | UNIT 07/21/2022 | 175,000 | $1,741,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 138,335 | $1,645,000 | thousands by filing date | |
| ATLANTIC ACQUISITION CORP | 048206205 | UNIT 02/08/2019 | 150,000 | $1,545,000 | thousands by filing date | |
| I AM CAP ACQUISITION CO | 45074Q207 | UNIT 08/15/2022 | 150,000 | $1,538,000 | thousands by filing date | |
| INDUSTREA ACQUISITION CORP | 45579J203 | UNIT 07/21/2024 | 150,000 | $1,517,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 110,653 | $1,483,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 93,949 | $1,483,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828111 | CL A | 150,002 | $1,464,000 | thousands by filing date | |
| MODEL PERFORMANCE ACQUISIT-A | 57682V106 | Common | 150,000 | $1,457,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 75,196 | $1,410,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 148,302 | $1,330,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 52,440 | $1,310,000 | thousands by filing date | |
| BISON CAP ACQUISITION CORP | G1142P120 | UNIT 99/99/9999T | 125,000 | $1,282,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G109 | COM | 125,002 | $1,225,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F124 | UNIT 99/99/9999 | 120,000 | $1,224,000 | thousands by filing date | |
| DRAPER OAKWOOD TECHNOLOGY | 26146L202 | UNIT 09/30/2024 | 120,000 | $1,224,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 71,849 | $1,160,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 98,208 | $1,152,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 75,436 | $1,110,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 75,076 | $1,049,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 97,270 | $974,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 65,567 | $934,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 78,435 | $922,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 30,392 | $832,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 80,001 | $798,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 59,045 | $797,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 97,156 | $754,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 72,618 | $725,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 20,249 | $371,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 16,617 | $189,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 119,700 | $119,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 230,000 | $104,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G117 | *W EXP 01/19/202 | 62,501 | $78,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W115 | *W EXP 03/22/2022 | 200,000 | $74,000 | thousands by filing date | |
| Forum Merger Corp | 34985B129 | RIGHT 06/01/2019 | 200,000 | $54,000 | thousands by filing date | |
| MATLIN & PARTNERS ACQUISITIO | 57682V114 | *W EXP 05/28/202 | 150,000 | $53,000 | thousands by filing date | |
| WTS/HUNTER MARITIME ACQUISITIEXP12/31/2021 | Y37828129 | WARR | 75,001 | $44,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A128 | *W EXP 10/25/202 | 26,667 | $31,000 | thousands by filing date | |
| FORUM MERGER CORP | 34985B111 | *W EXP 06/01/202 | 100,000 | $31,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000913849-17-000339 | this filing | 2017-11-14 | acceptance time not in the bulk data set |