Insider transactions

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
-$3.56M

Charts

Trading activity, where the exposure sits, and each trade against the stock price.

RIV price and trades

Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.

Shares held

Shares owned after each reported transaction on this company (direct holdings as reported).

Open-market buying and selling

by month

Dollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.

Exposure by company

latest
OfficerDirector10% owner* stale (no filing in 3 yrs)

Most recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.

Filer Profile

Reported Address
360 S. ROSEMARY AVE
SUITE 1420
WEST PALM BEACH, FL 33401
Phone
(561) 484-7185
State of Incorporation
DE
Formerly Known As
RIVERNORTH CAPITAL MANAGEMENT, INC. (2008–2010)
Related Filers
Patrick W. Galley — 36 joint filings, latest 2019-10-24
Brian H Schmucker — 36 joint filings, latest 2019-10-24
RIVERNORTH CAPITAL PARTNERS, L.P. — 14 joint filings, latest 2017-08-10
RiverNorth Institutional Partners, L.P. — 14 joint filings, latest 2017-08-10
Oaktree Specialty Lending Corp — 11 joint filings, latest 2016-02-22
MVC CAPITAL, INC. — 3 joint filings, latest 2019-02-14
GLADSTONE INVESTMENT CORPORATION\DE — 2 joint filings, latest 2019-02-14
CAPITAL SOUTHWEST CORP — 1 joint filings, latest 2019-02-14
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

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 $14.04 $0 $100.2K 2 2024-11-27
RMMZ 0 $13.95 $0 $0 9 2024-11-27
RFM 0 $13.66 $0 -$4.24M 68 2024-11-27
RIV 0 $10.32 $0 $1.80M 64 2024-11-27
OPP 0 $7.13 $0 $0 3 2024-11-27
RFMZ 0 $12.26 $0 -$233.9K 18 2024-11-27
RMM 0 $13.47 $0 $0 1 2024-11-27
RiverNorth Capital & Income Fund, Inc. (RMPL) Delisted 0 — — -$991.2K 1 2018-04-17
FTF 10%+ Owner 0 $5.53 $0 $0 2 2017-08-10
PACHOLDER HIGH YIELD FUND INC (PHF) Delisted 10%+ Owner 0 — — $0 1 2016-05-05

Recent Filings · Page 7 of 17

170 filings
Insider 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
2021-10-08 RFM Sell (S) −3,850 -$89.5K EDGAR
2021-09-30 RFM Sell (S) −370 -$8.7K EDGAR
2021-09-22 RFM Sell (S) −700 -$16.8K EDGAR
2021-09-21 RFM Sell (S) −2,200 -$52.8K EDGAR
2021-09-20 RFM Sell (S) −4,400 -$105.8K EDGAR
2021-09-16 RFM Sell (S) −2,200 -$52.9K EDGAR
2021-09-15 RFM Sell (S) −2,200 -$53.0K EDGAR
2021-09-14 RFM Sell (S) −2,200 -$52.9K EDGAR
2021-09-08 RFM Sell (S) −2,200 -$52.8K EDGAR
2021-09-07 RFM Sell (S) −2,200 -$52.7K EDGAR
Showing 61–70 of 170
Page 7 of 17
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.