RIVERNORTH CAPITAL MANAGEMENT, LLC
CIK 1447578 · last filed 2024-11-27
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$0
Companies
10
Total Filings
170
Lifetime Open-Market Net
-$10.78M
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| RMI | 0 | $15.62 | $0 | $300.6K | 2 | 2024-11-27 | |
| RMMZ | 0 | $14.85 | $0 | $0 | 9 | 2024-11-27 | |
| RFM | 0 | $14.95 | $0 | -$4.24M | 68 | 2024-11-27 | |
| RIV | 0 | $11.65 | $0 | -$3.63M | 64 | 2024-11-27 | |
| OPP | 0 | $7.65 | $0 | $0 | 3 | 2024-11-27 | |
| RFMZ | 0 | $13.30 | $0 | -$233.9K | 18 | 2024-11-27 | |
| RMM | 0 | $14.56 | $0 | $0 | 1 | 2024-11-27 | |
| RiverNorth Capital & Income Fund, Inc. (RMPL) Delisted | 0 | — | — | -$2.97M | 1 | 2018-04-17 | |
| FTF | 10%+ Owner | 0 | $5.84 | $0 | $0 | 2 | 2017-08-10 |
| PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | 10%+ Owner | 0 | — | — | $0 | 1 | 2016-05-05 |
Recent Filings · Page 14 of 17
170 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2019-06-24 | RIV | Sell (S) | −7,743 | -$132.2K | EDGAR |
| 2019-05-08 | RIV | Sell (S) | −16,500 | -$284.1K | EDGAR |
| 2018-10-30 | RMI | Buy (P) | +15,030 | $300.6K | EDGAR |
| 2018-06-15 | RIV | Sell (S) | −12,534 | -$269.6K | EDGAR |
| 2018-06-13 | RIV | Sell (S) | −26,451 | -$567.8K | EDGAR |
| 2018-06-11 | RIV | Sell (S) | −21,213 | -$454.6K | EDGAR |
| 2018-06-07 | RIV | Sell (S) | −22,500 | -$481.0K | EDGAR |
| 2018-06-05 | RIV | Sell (S) | −31,335 | -$669.5K | EDGAR |
| 2018-05-31 | RIV | Sell (S) | −37,500 | -$797.7K | EDGAR |
| 2018-04-17 | RiverNorth Capital & Income Fund, Inc. (RMPL) Delisted | Sell (S) | −124,107 | -$2.97M | EDGAR |
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.