0000950123-20-005425.txt : 20200518
0000950123-20-005425.hdr.sgml : 20200518
20200515180801
ACCESSION NUMBER: 0000950123-20-005425
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200518
DATE AS OF CHANGE: 20200515
EFFECTIVENESS DATE: 20200518
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001447578
IRS NUMBER: 271560688
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13256
FILM NUMBER: 20887193
BUSINESS ADDRESS:
STREET 1: 325 N. LASALLE STREET
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
BUSINESS PHONE: 312-832-0409
MAIL ADDRESS:
STREET 1: 325 N. LASALLE STREET
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
FORMER COMPANY:
FORMER CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, INC.
DATE OF NAME CHANGE: 20081009
13F-HR
1
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03-31-2020
03-31-2020
RiverNorth Capital Management, LLC
325 N. LASALLE STREET
SUITE 645
CHICAGO
IL
60654
13F HOLDINGS REPORT
028-13256
N
Marcus Collins
Chief Compliance Officer
(312) 445-2251
/s/ Marcus Collins
Chicago
IL
05-15-2020
0
273
1492606
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2
form13fInfoTable.xml
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COM
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0
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2419
715694
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987
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0
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35
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300000
SH
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300000
0
0
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508
50000
SH
SOLE
50000
0
0
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120
200000
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SOLE
200000
0
0
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482428
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BLACKROCK ENHANCED GBL DIV T
COM
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G1611B115
170
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CALAMOS LNG SHR EQT DYNAMIC
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CHURCHILL CAP CORP II
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18469Q108
46
33070
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33070
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COM
18914C100
4826
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545289
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CLOUGH GLOBAL OPPORTUNITIES
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7773
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1351053
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CRESCENT ACQUISITION CORP
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22564L204
2050
200000
SH
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200000
0
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COM
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3905
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524184
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DMY TECHNOLOGY GROUP INC
COM
233253202
4913
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DTF TAX-FREE INCOME INC
COM
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COM
26432K108
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2028860
0
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DWS MUN INCOME TR
COM
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EAGLE GRWTH & INCOME OPPTY F
COM
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COM
G2911D124
3902
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165000
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12156
1045193
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1045193
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4693
457859
SH
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739
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COM
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39392
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3726767
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COM
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33752
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2704527
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3501
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292220
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145
12526
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12526
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993
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0
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EATON VANCE SR INCOME TR
COM
27826S103
8152
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1768225
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EATON VANCE TAX MNGD BUY WRI
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27829M103
1038
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135717
0
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COM
28138X103
1426
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SH
SOLE
83894
0
0
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W EXP 12/31/202
28138X111
47
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80510
0
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FAR PT ACQUISITION CORP
COM
30734W109
506
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0
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FAR PT ACQUISITION CORP
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30734W117
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16665
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2284
225000
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225000
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1535
150000
SH
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150000
0
0
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COM
337319107
1150
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130671
0
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687031
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COM
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6495
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682997
0
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FIRST TR SR FLOATING RATE 20
COM
33740K101
1240
169112
SH
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169112
0
0
FLYING EAGLE ACQUISITION CORP
COM
34407Y202
3198
120000
SH
SOLE
120000
0
0
GALILEO ACQUISITION CORP
UNIT 99/99/9999
G3770A128
2256
235000
SH
SOLE
235000
0
0
GIGCAPITAL2 INC
UNIT 02/28/2026
375036209
2084
200000
SH
SOLE
200000
0
0
GOLUB CAP BDC INC
COM
38173M102
16713
1330677
SH
SOLE
1330677
0
0
GORDON POINTE ACQUISITION CO
W EXP 07/30/202
382788115
32
175000
SH
SOLE
175000
0
0
GORDON POINTE ACQUISITION CO
COM
382788107
1007
99163
SH
SOLE
99163
0
0
GRAF INDL CORP
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384278206
2972
284380
SH
SOLE
284380
0
0
GREENROSE ACQUISITION CORP
COM
395392202
5295
300000
SH
SOLE
300000
0
0
GREENVISION ACQUISITION CORP
UNIT 10/28/2024
39678G202
2736
275000
SH
SOLE
275000
0
0
GX ACQUISITION CORP
UNIT 05/24/2026
36251A206
2020
200000
SH
SOLE
200000
0
0
HANCOCK JOHN INV TRUSTTAX ADV
COM
41013P749
1189
237404
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SOLE
237404
0
0
HAYMAKER ACQUISITION CORP II
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42087L200
1010
100000
SH
SOLE
100000
0
0
HEALTHCARE MERGER CORP
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42227L201
515
50000
SH
SOLE
50000
0
0
HENNESSY CAP ACQUSTION CORP
UNIT 99/99/9999
42589C203
2058
200000
SH
SOLE
200000
0
0
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
1226
352854
SH
SOLE
352854
0
0
HIGH INCOME SECS FD
COM
42968F108
1296
198409
SH
SOLE
198409
0
0
HIGHLAND GLOBAL ALLOCATION F
COM
43010T104
4021
924265
SH
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924265
0
0
HIGHLAND INCOME FUNDHIGHLAND INCOME
COM
43010E404
25015
2932617
SH
SOLE
2932617
0
0
HL ACQUISITIONS CORP
W EXP 06/21/202
G4603R122
6
125000
SH
SOLE
125000
0
0
HL ACQUISITIONS CORP
RIGHT 07/17/2023
G4603R130
10
125000
SH
SOLE
125000
0
0
IMMUNOVANT INC
W EXP 12/18/202
45258J110
240
100000
SH
SOLE
100000
0
0
INDIA FD INC
COM
454089103
1003
73606
SH
SOLE
73606
0
0
INSURANCE ACQUISITION CORP
UNIT 03/31/2024
457867307
1038
100000
SH
SOLE
100000
0
0
INTERPRIVATE ACQUISITION COR
COM
46064A202
5595
300000
SH
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300000
0
0
INVESCO ADVANTAGE MUNICIPAL
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46132E103
1212
118037
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118037
0
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INVESCO DYNAMIC CR OPP FD
COM
46132R104
17742
2223331
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2223331
0
0
INVESCO EXCHNG TRADED FD TRFTSE RAFI EMNG
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46138E727
2758
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178753
0
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INVESCO HIGH INCOME TR II
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46131F101
4447
415251
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415251
0
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8536
745484
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0
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COM
46131J103
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679913
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679913
0
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INVESCO QUALITY MUNI INC TRS
COM
46133G107
3048
260293
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260293
0
0
INVESCO SR INCOME TR
COM
46131H107
14464
4491902
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4491902
0
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INVESCO TR INVT GRADE MUNS
COM
46131M106
16896
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1397539
0
0
INVESCO VALUE MUN INCOME TR
COM
46132P108
7922
560225
SH
SOLE
560225
0
0
KAYNE ANDERSN MLP MIDS INVT
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486606106
3552
978470
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978470
0
0
KAYNE ANDERSON MDSTM ENERGY
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48661E108
2488
747082
SH
SOLE
747082
0
0
KBL MERGER CORP IV
RIGHT 04/09/2020
48242A120
31
208800
SH
SOLE
208800
0
0
KBL MERGER CORP IV
W EXP 01/15/202
48242A112
9
124200
SH
SOLE
124200
0
0
LANDCADIA HLDGS II INC
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51476X204
1960
200000
SH
SOLE
200000
0
0
LEGACY ACQUISITION CORP
W EXP 11/30/202
524643111
44
177900
SH
SOLE
177900
0
0
LEISURE ACQUISITION CORP
COM
52539T107
2268
207923
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SOLE
207923
0
0
LEISURE ACQUISITION CORP
W EXP 12/05/201
52539T115
26
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153297
0
0
LEO HOLDINGS CORP
COM
G5463L105
2060
200000
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0
LF CAP ACQUISITION CORP
COM
50200K108
1035
100000
SH
SOLE
100000
0
0
LF CAP ACQUISITION CORP
W EXP 06/22/202
50200K116
26
100000
SH
SOLE
100000
0
0
LifeSci Acquisition Corp
COM
53228P208
2765
100000
SH
SOLE
100000
0
0
LIV CAP ACQUISITION CORP
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G5510C124
2890
294940
SH
SOLE
294940
0
0
LONGEVITY ACQUISITION CORP
UNIT 08/29/2024
G56372108
1070
100000
SH
SOLE
100000
0
0
Mangrove Partners
COM
39813G117
1532
49998
SH
SOLE
49998
0
0
MEGALITH FINL ACQUISITION CO
UNIT 09/30/2025
58518F208
1590
150000
SH
SOLE
150000
0
0
MERIDA MERGER CORP I
COM
58953M106
3876
400000
SH
SOLE
400000
0
0
MERIDA MERGER CORP I
W EXP 11/07/202
58953M114
100
199997
SH
SOLE
199997
0
0
MONOCLE ACQUISITION CORP
COM
609754106
754
75000
SH
SOLE
75000
0
0
MONOCLE ACQUISITION CORP
W EXP 12/06/202
609754114
23
75000
SH
SOLE
75000
0
0
MORGAN STANLEY EM MKTS DM DE
COM
617477104
6200
1190056
SH
SOLE
1190056
0
0
MUDRICK CAP ACQUISITION CORP
W EXP 02/12/202
624745113
70
200000
SH
SOLE
200000
0
0
NETFIN ACQUISITION CORP
UNIT 08/01/2024
G6455A123
2014
200000
SH
SOLE
200000
0
0
NEUBERGER BERMAN HGH YLD FD
COM
64128C106
2736
315208
SH
SOLE
315208
0
0
NEUBERGER BRMAN CLIFRN MUNI
COM
64123C101
950
72214
SH
SOLE
72214
0
0
NEUBERGER BRMAN NY MUNI FD I
COM
64124K102
5824
503408
SH
SOLE
503408
0
0
NEW MTN FIN
CORPNOTE 5.750% 8/1
647551AC4
17220
21000000
SH
SOLE
21000000
0
0
NEW PROVIDENCE ACQUISITIN CO
UNIT 09/01/2024
64822P205
1387
135000
SH
SOLE
135000
0
0
Newborn Acquisition Corp
COM
G6463T130
3698
150000
SH
SOLE
150000
0
0
NEXPOINT STRATEGIC OPORTUNT
COM
65340G205
10387
1257555
SH
SOLE
1257555
0
0
NUVEEN AMT FREE MUN CR INC F
COM
67071L106
27386
1865500
SH
SOLE
1865500
0
0
NUVEEN AMT FREE QLTY MUN INC
COM
670657105
56654
4184226
SH
SOLE
4184226
0
0
NUVEEN AMT-FREE MUN VALUE FD
COM
670695105
164
10500
SH
SOLE
10500
0
0
NUVEEN CA QUALTY MUN INCOME
COM
67066Y105
21910
1600463
SH
SOLE
1600463
0
0
NUVEEN CALIF MUNICPAL VALU F
COM
6706EB106
237
16133
SH
SOLE
16133
0
0
NUVEEN CALIFORNIA AMT QLT MU
COM
670651108
6666
470730
SH
SOLE
470730
0
0
NUVEEN CR STRATEGIES INCM FD
COM
67073D102
23642
4169593
SH
SOLE
4169593
0
0
NUVEEN ENHANCED MUN VALUE FD
COM
67074M101
3185
244245
SH
SOLE
244245
0
0
NUVEEN FLOATING RATE INCOME
COM
67072T108
2676
354427
SH
SOLE
354427
0
0
NUVEEN FLTNG RTE INCM OPP FD
COM
6706EN100
3479
468233
SH
SOLE
468233
0
0
NUVEEN GEORGIA QLTY MUN INC
COM
67072B107
7927
667231
SH
SOLE
667231
0
0
NUVEEN GLOBAL HIGH IN
COM
67075G103
6826
610577
SH
SOLE
610577
0
0
NUVEEN HIGH INCOME 2020 TARG
COM
67075L102
391
44284
SH
SOLE
44284
0
0
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
1043
78213
SH
SOLE
78213
0
0
NUVEEN MARYLAND QLT MUN INC
COM
67061Q107
6038
478094
SH
SOLE
478094
0
0
NUVEEN MICHIGAN QLT MUN INC
COM
670979103
4721
351817
SH
SOLE
351817
0
0
NUVEEN MUN 2021 TARGET TERM
COM
670687102
387
40999
SH
SOLE
40999
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
3029
310373
SH
SOLE
310373
0
0
NUVEEN MUNICIPAL CREDIT INC
COM
67070X101
4274
303735
SH
SOLE
303735
0
0
NUVEEN NEW YORK AMT QLT MUNI
COM
670656107
12060
964774
SH
SOLE
964774
0
0
NUVEEN NEW YORK MUN VALUE FD
COM
670706100
1499
110384
SH
SOLE
110384
0
0
NUVEEN NEW YORK QLT MUN INC
COM
67066X107
4120
313748
SH
SOLE
313748
0
0
NUVEEN OHIO QLTY MUN INCOME
COM
670980101
4494
305068
SH
SOLE
305068
0
0
NUVEEN PENNSYLVANIA QLT MUN
COM
670972108
8896
668401
SH
SOLE
668401
0
0
NUVEEN PFD & INCOME 2022 TER
COM
67075T105
868
45446
SH
SOLE
45446
0
0
NUVEEN QUALITY MUNCP INCOME
COM
67066V101
75565
5499636
SH
SOLE
5499636
0
0
OAKTREE SPECIALTY LENDING CO
COM
67401P108
6281
1938535
SH
SOLE
1938535
0
0
OPES ACQUISITION CORP
W EXP 03/13/202
68373P118
13
250000
SH
SOLE
250000
0
0
ORISUN ACQUISITION CORP
UNIT 99/99/9999
68632T208
1632
160000
SH
SOLE
160000
0
0
OSPREY TECHNLGY AQUISTION CO
UNIT 10/30/2024
68839R401
1975
202400
SH
SOLE
202400
0
0
PCM FUND INC
COM
69323T101
274
34461
SH
SOLE
34461
0
0
PENSARE ACQUISITION CORP
RIGHT 99/99/9999
70957E121
49
349994
SH
SOLE
349994
0
0
PENSARE ACQUISITION CORP
W EXP 07/27/202
70957E113
9
174897
SH
SOLE
174897
0
0
PGIM GLOBAL HIGH YIELD FD INC
COM
69346J106
27451
2482017
SH
SOLE
2482017
0
0
PGIM HIGH YIELD BOND FUND INC
COM
69346H100
14427
1245838
SH
SOLE
1245838
0
0
PIMCO DYNMIC CREDIT AND MRT
COM
72202D106
789
46928
SH
SOLE
46928
0
0
PIMCO ENRGY TACTICAL CR OPP
COM
69346N107
11649
2169354
SH
SOLE
2169354
0
0
PIMCO HIGH INCOME FD
COM
722014107
3003
612765
SH
SOLE
612765
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
772
38196
SH
SOLE
38196
0
0
PIMCO INCOME STRATEGY FUND
COM
72201H108
267
31655
SH
SOLE
31655
0
0
PIMCO INCOME STRATEGY FUND I
COM
72201J104
1440
189919
SH
SOLE
189919
0
0
PIONEER DIV HIGH INCOME TRUS
COM
723653101
2851
271769
SH
SOLE
271769
0
0
PIONEER FLOATING RATE TR
COM
72369J102
10045
1313124
SH
SOLE
1313124
0
0
PIVOTAL INVT CORP II
UNIT 06/01/2025
72582K209
1992
200000
SH
SOLE
200000
0
0
PROFICIENT ALPHA ACQUSTN COR
UNIT 04/30/2026
74317H204
3393
325000
SH
SOLE
325000
0
0
PROPTECH ACQUISITION CORPORA
UNIT 10/01/2026
74349F200
994
100000
SH
SOLE
100000
0
0
PURE ACQUISITION CORP
COM
74621Q106
2338
224996
SH
SOLE
224996
0
0
PURE ACQUISITION CORP
W EXP 04/17/202
74621Q114
74
75112
SH
SOLE
75112
0
0
PUTNAM MUN OPPORTUNITIES TR
COM
746922103
9515
797557
SH
SOLE
797557
0
0
REPLAY ACQUISITION CORP
UNIT 03/01/2024
G75130123
1472
150000
SH
SOLE
150000
0
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
2924
363724
SH
SOLE
363724
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
4359
784042
SH
SOLE
784042
0
0
ROYCE VALUE TR INC
COM
780910105
1565
161805
SH
SOLE
161805
0
0
SC HEALTH CORP
UNIT 99/99/9999
G78516302
255
25000
SH
SOLE
25000
0
0
SCHULTZE SPL PURP ACQUSTN CO
UNIT 12/31/2023
80821R208
3093
300000
SH
SOLE
300000
0
0
Shaolin Capital Management Llc
COM
G4809J114
3206
125000
SH
SOLE
125000
0
0
SILVER SPIKE ACQUISITION COR
UNIT 99/99/9999
G8136L122
1990
200000
SH
SOLE
200000
0
0
SOURCE CAP INC
COM
836144105
8076
263148
SH
SOLE
263148
0
0
SOUTH MTN MERGER CORP
UNIT 99/99/9999
838884203
2129
214000
SH
SOLE
214000
0
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
2903
305583
SH
SOLE
305583
0
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
4625
191280
SH
SOLE
191280
0
0
SPROTT FOCUS TR INC
COM
85208J109
3179
630724
SH
SOLE
630724
0
0
STABLE RD ACQUISITION CORP
UNIT 05/15/2026
85236Q208
678
67500
SH
SOLE
67500
0
0
SWISS HELVETIA FD INC
COM
870875101
5486
789381
SH
SOLE
789381
0
0
TEMPLETON EMERG MKTS INCOME
COM
880192109
4683
626072
SH
SOLE
626072
0
0
TEMPLETON EMERGING MKTS FD I
COM
880191101
295
26457
SH
SOLE
26457
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
21380
3996268
SH
SOLE
3996268
0
0
TENZING ACQUISITION CORP
UNIT 08/24/2024
G8708A124
1281
125000
SH
SOLE
125000
0
0
THL CREDIT INC
COM
872438106
68
25805
SH
SOLE
25805
0
0
THUNDER BRDG ACQUISTION II L
UNIT 99/99/9999
G8857S124
764
75000
SH
SOLE
75000
0
0
TORTOISE ENERGY INDEPENDENC
COM
89148K101
116
101251
SH
SOLE
101251
0
0
TOTTENHAM ACQUISITION I LTD
COM
G8959N106
1239
118000
SH
SOLE
118000
0
0
TOTTENHAM ACQUISITION I LTD
W EXP 05/06/202
G8959N114
5
118000
SH
SOLE
118000
0
0
TOTTENHAM ACQUISITION I LTD
RIGHT 06/05/2020
G8959N122
13
118000
SH
SOLE
118000
0
0
TPG SPECIALTY LENDING INC
NOTE 4.500% 8/0
87265KAD4
1356
1500000
SH
SOLE
1500000
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
1111
79844
SH
SOLE
79844
0
0
TRIDENT ACQUISITIONS CORP
W EXP 05/09/202
89615T114
14
150000
SH
SOLE
150000
0
0
TRINE ACQUISITION CORP
UNIT 03/31/2021
89628U207
2783
275000
SH
SOLE
275000
0
0
TUSCAN HLDGS CORP II
UNIT 04/01/2026
90070A202
4000
400000
SH
SOLE
400000
0
0
TUSCAN HOLDINGS CORP
UNIT 99/99/9999
90069K203
2528
250000
SH
SOLE
250000
0
0
UNION ACQUISITION CORP II
UNIT 99/99/9999
G9402Q118
1464
150000
SH
SOLE
150000
0
0
VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF
COM
922042858
2349
70000
SH
SOLE
70000
0
0
VECTOIQ ACQUISITION CORP
COM
92243N103
1596
149999
SH
SOLE
149999
0
0
VECTOIQ ACQUISITION CORP
W EXP 05/11/202
92243N111
292
149999
SH
SOLE
149999
0
0
VOYA EMERGING MKTS HIGH DIVI
COM
92912P108
624
107003
SH
SOLE
107003
0
0
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
7110
1559160
SH
SOLE
1559160
0
0
VOYA NAT RES EQUITY INCOME F
COM
92913C106
2424
1122345
SH
SOLE
1122345
0
0
VOYA PRIME RATE TR
COM
92913A100
26583
7165176
SH
SOLE
7165176
0
0
WEALTHBRIDGE ACQUISITION LTD
W EXP 01/31/202
G4887W128
29
225000
SH
SOLE
225000
0
0
WEALTHBRIDGE ACQUISITION LTD
RIGHT 11/02/2023
G4887W136
104
225000
SH
SOLE
225000
0
0
WEALTHBRIDGE ACQUISITION LTD
COM
G4887W110
4646
225000
SH
SOLE
225000
0
0
WELLS FARGO INCOME OPPORTUNIWF INC OPPTY FD
COM
94987B105
7748
1214449
SH
SOLE
1214449
0
0
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
16377
1555312
SH
SOLE
1555312
0
0
WESTERN ASSET GLB HI INCOME
COM
95766B109
31786
4249413
SH
SOLE
4249413
0
0
WESTERN ASSET HGH YLD DFNDFD
COM
95768B107
2531
205306
SH
SOLE
205306
0
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
5905
1178625
SH
SOLE
1178625
0
0
WESTERN ASSET HIGH INCM OPP
COM
95766K109
34023
8081584
SH
SOLE
8081584
0
0
WESTERN ASST MNGD MUN FD INC
COM
95766M105
1365
114155
SH
SOLE
114155
0
0
WESTERN AST INFL LKD OPP & I
COM
95766R104
46878
4903585
SH
SOLE
4903585
0
0
Yunhong International
COM
G98882114
4530
200000
SH
SOLE
200000
0
0