0001398344-17-016283.txt : 20171226
0001398344-17-016283.hdr.sgml : 20171226
20171226165824
ACCESSION NUMBER: 0001398344-17-016283
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171221
FILED AS OF DATE: 20171226
DATE AS OF CHANGE: 20171226
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001447578
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-22472
FILM NUMBER: 171274812
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 NAME:
FORMER CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, INC.
DATE OF NAME CHANGE: 20081009
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: RIVERNORTH OPPORTUNITIES FUND, INC.
CENTRAL INDEX KEY: 0001501072
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1031
BUSINESS ADDRESS:
STREET 1: 325 NORTH LASALLE STREET
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
BUSINESS PHONE: 312-832-1440
MAIL ADDRESS:
STREET 1: 325 NORTH LASALLE STREET
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
FORMER COMPANY:
FORMER CONFORMED NAME: RIVERNORTH TACTICAL OPPORTUNITIES FUND, INC.
DATE OF NAME CHANGE: 20100909
4
1
fp0029873_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-12-21
0
0001501072
RIVERNORTH OPPORTUNITIES FUND, INC.
RIV
0001447578
RIVERNORTH CAPITAL MANAGEMENT, LLC
325 N. LASALLE STREET
SUITE 645
CHICAGO
IL
60654
0
0
0
1
Subadviser
Common Stock
2017-12-21
2017-12-21
4
S
0
2000
19.71
D
297416
D
Common Stock
2017-12-21
2017-12-21
4
S
0
3000
19.73
D
294416
D
Common Stock
2017-12-21
2017-12-21
4
S
0
4000
19.74
D
290416
D
Common Stock
2017-12-21
2017-12-21
4
S
0
4442
19.79
D
285974
D
RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings.
Marc Collins
2017-12-26
Patrick W. Galley
2017-12-26
Brian H. Schmucker
2017-12-26