a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class R |
ii. Class identification number, if any | C000037794 |
iii. Ticker symbol, if any | RNCOX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class I |
ii. Class identification number, if any | C000145024 |
iii. Ticker symbol, if any | RNCIX |
Pricing Services Record:
1 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | BofA Securities, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HN4UKV1E2R3U73 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | IHS MARKIT GROUP HOLDINGS LIMITED |
ii. LEI, if any, or provide and describe other
identifying number
| 2138005LTLTVZ4WMEX25 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | CANTOR FITZGERALD & CO |
ii. SEC file number | 008-201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 874.84 |
Brokers Record:
2 |
i. Full name of broker | INTL FCSTONE CREDIT TRADING LLC |
ii. SEC file number | 008-49291 |
iii. CRD number | 000041025 |
iv. LEI, if any | 549300AWF3TOHRYL7754 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,474.55 |
Brokers Record:
3 |
i. Full name of broker | INTERACTIVE BROKERS LLC |
ii. SEC file number | 008-47257 |
iii. CRD number | 000036418 |
iv. LEI, if any | 50OBSE5T5521O6SMZR28 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,804.70 |
Brokers Record:
4 |
i. Full name of broker | LADENBURG THALMANN & CO. INC. |
ii. SEC file number | 008-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 29,058.94 |
Brokers Record:
5 |
i. Full name of broker | JONESTRADING INSTITUTIONAL SERVICES LLC |
ii. SEC file number | 008-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,984.26 |
Brokers Record:
6 |
i. Full name of broker | WALLACHBETH CAPITAL LLC |
ii. SEC file number | 008-67936 |
iii. CRD number | 000147853 |
iv. LEI, if any | 549300R371KUKXEXC133 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 516.25 |
Brokers Record:
7 |
i. Full name of broker | COWEN PRIME SERVICES LLC |
ii. SEC file number | 008-68531 |
iii. CRD number | 000153397 |
iv. LEI, if any | 5493008YIIJEE4T4UC61 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 800 |
Brokers Record:
8 |
i. Full name of broker | NATIONAL FINANCIAL SERVICES LLC |
ii. SEC file number | 008-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,993.69 |
Brokers Record:
9 |
i. Full name of broker | PIPER SANDLER |
ii. SEC file number | 008-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,041.75 |
Brokers Record:
10 |
i. Full name of broker | RAYMOND JAMES FINANCIAL SERVICES, INC. |
ii. SEC file number | 008-17983 |
iii. CRD number | 000006694 |
iv. LEI, if any | RGUZHJ05YTITL6D76949 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,084.15 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 61,202.51 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | THE HUNTINGTON INVESTMENT COMPANY |
ii. SEC file number | 008-34867 |
iii. CRD number | 000016986 |
iv. LEI, if any | 5493004MEJ6IU9SR1R78 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,513,293.16 |
Principal Transactions Record:
2 |
i. Full name of dealer | NATIONAL FINANCIAL SERVICES LLC |
ii. SEC file number | 008-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 153.77 |
Principal Transactions Record:
3 |
i. Full name of dealer | LADENBURG THALMANN & CO. INC. |
ii. SEC file number | 008-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,913,334.38 |
Principal Transactions Record:
4 |
i. Full name of dealer | UBS SECURITIES LLC |
ii. SEC file number | 008-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 201,490.00 |
Principal Transactions Record:
5 |
i. Full name of dealer | KEEFE, BRUYETTE & WOODS, INC. |
ii. SEC file number | 008-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,830,405.20 |
Principal Transactions Record:
6 |
i. Full name of dealer | BCP SECURITIES, LLC |
ii. SEC file number | 008-42836 |
iii. CRD number | 000027063 |
iv. LEI, if any | 2549006Q2SCXK1988H68 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 866,022.00 |
Principal Transactions Record:
7 |
i. Full name of dealer | JANNEY MONTGOMERY SCOTT LLC |
ii. SEC file number | 008-462 |
iii. CRD number | 000000463 |
iv. LEI, if any | 549300QQRY1JCFQHYS08 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 940,452.14 |
Principal Transactions Record:
8 |
i. Full name of dealer | CABRERA CAPITAL MARKETS, LLC |
ii. SEC file number | 008-26406 |
iii. CRD number | 000010081 |
iv. LEI, if any | 254900BIRJU76JRBK985 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 12,078.50 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank & Trust, Co. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | RiverNorth/Doubleline Strategic Income Fund |
SEC File number(
e.g., 811-
)
| 811-21934 |
Shared Credit Users Record:
2 |
Name of fund | RiverNorth/Oaktree High Income Fund |
SEC File number(
e.g., 811-
)
| 811-21934 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class I |
ii. Class identification number, if any | C000095455 |
iii. Ticker symbol, if any | RNSIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class R |
ii. Class identification number, if any | C000095454 |
iii. Ticker symbol, if any | RNDLX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | BofA Securities, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HN4UKV1E2R3U73 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | IHS MARKIT GROUP HOLDINGS LIMITED |
ii. LEI, if any, or provide and describe other
identifying number
| 2138005LTLTVZ4WMEX25 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | CANTOR FITZGERALD & CO. |
ii. SEC file number | 008-201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,950.20 |
Brokers Record:
2 |
i. Full name of broker | INTERACTIVE BROKERS LLC |
ii. SEC file number | 008-47257 |
iii. CRD number | 000036418 |
iv. LEI, if any | 50OBSE5T5521O6SMZR28 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 14,823.28 |
Brokers Record:
3 |
i. Full name of broker | BTIG, LLC |
ii. SEC file number | 008-65473 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 47,125.00 |
Brokers Record:
4 |
i. Full name of broker | WALLACHBETH CAPITAL LLC |
ii. SEC file number | 008-67936 |
iii. CRD number | 000147853 |
iv. LEI, if any | 549300R371KUKXEXC133 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,883.55 |
Brokers Record:
5 |
i. Full name of broker | COWEN PRIME SERVICES LLC |
ii. SEC file number | 008-68531 |
iii. CRD number | 000153397 |
iv. LEI, if any | 5493008YIIJEE4T4UC61 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 28,782.20 |
Brokers Record:
6 |
i. Full name of broker | JONESTRADING INSTITUTIONAL SERVICES LLC |
ii. SEC file number | 008-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,075.00 |
Brokers Record:
7 |
i. Full name of broker | NATIONAL FINANCIAL SERVICES LLC |
ii. SEC file number | 008-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 30,494.20 |
Brokers Record:
8 |
i. Full name of broker | PIPER SANDLER |
ii. SEC file number | 008-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,385.00 |
Brokers Record:
9 |
i. Full name of broker | LADENBURG THALMANN & CO. INC. |
ii. SEC file number | 008-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 62,222.52 |
Brokers Record:
10 |
i. Full name of broker | INTL FCSTONE CREDIT TRADING LLC |
ii. SEC file number | 008-49291 |
iii. CRD number | 000041025 |
iv. LEI, if any | 549300AWF3TOHRYL7754 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 31,227.28 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 242,937.96 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 008-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
UTAH
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 170,905,356.46 |
Principal Transactions Record:
2 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 008-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 108,373,751.49 |
Principal Transactions Record:
3 |
i. Full name of dealer | CITICORP SECURITIES SERVICES, INC. |
ii. SEC file number | 008-32117 |
iii. CRD number | 000015387 |
iv. LEI, if any | 549300N0SOX9OZVKG341 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 319,451,154.43 |
Principal Transactions Record:
4 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 008-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 488,898,486.28 |
Principal Transactions Record:
5 |
i. Full name of dealer | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000149777 |
iv. LEI, if any | IGJSJL3JD5P30I6NJZ34 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 120,398,671.21 |
Principal Transactions Record:
6 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 135,861,792.16 |
Principal Transactions Record:
7 |
i. Full name of dealer | CITADEL SECURITIES LLC |
ii. SEC file number | 008-53574 |
iii. CRD number | 000116797 |
iv. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 95,336,921.03 |
Principal Transactions Record:
8 |
i. Full name of dealer | HSBC SECURITIES (USA) INC. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 234,772,186.54 |
Principal Transactions Record:
9 |
i. Full name of dealer | BNP PARIBAS SECURITIES CORP. |
ii. SEC file number | 008-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | 2J5703FH5U5M97R1I237 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 104,565,809.41 |
Principal Transactions Record:
10 |
i. Full name of dealer | JPMORGAN DISTRIBUTION SERVICES, INC. |
ii. SEC file number | 008-52700 |
iii. CRD number | 000104234 |
iv. LEI, if any | N/A |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 415,576,075.71 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank & Trust, Co. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | RiverNorth Core Opportunity Fund |
SEC File number(
e.g., 811-
)
| 811-21934 |
Shared Credit Users Record:
2 |
Name of fund | RiverNorth/Oaktree High Income Fund |
SEC File number(
e.g., 811-
)
| 811-21934 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class I |
ii. Class identification number, if any | C000119956 |
iii. Ticker symbol, if any | RNHIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class R |
ii. Class identification number, if any | C000119955 |
iii. Ticker symbol, if any | RNOTX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | BofA Securities, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HN4UKV1E2R3U73 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | IHS MARKIT GROUP HOLDINGS LIMITED |
ii. LEI, if any, or provide and describe other
identifying number
| 2138005LTLTVZ4WMEX25 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | JONESTRADING INSTITUTIONAL SERVICES LLC |
ii. SEC file number | 008-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 134.83 |
Brokers Record:
2 |
i. Full name of broker | NATIONAL FINANCIAL SERVICES LLC |
ii. SEC file number | 008-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 210.10 |
Brokers Record:
3 |
i. Full name of broker | LEK SECURITIES |
ii. SEC file number | 008-42152 |
iii. CRD number | 000033135 |
iv. LEI, if any | 549300X3VRB2P0N1KR45 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 0.81 |
Brokers Record:
4 |
i. Full name of broker | BARCLAYS CAPITAL INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3.57 |
Brokers Record:
5 |
i. Full name of broker | LIQUIDNET, INC. |
ii. SEC file number | 008-52461 |
iii. CRD number | 000103987 |
iv. LEI, if any | 213800HSKBBO1GCVRG79 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 89.12 |
Brokers Record:
6 |
i. Full name of broker | INTERACTIVE BROKERS LLC |
ii. SEC file number | 008-47257 |
iii. CRD number | 000036418 |
iv. LEI, if any | 50OBSE5T5521O6SMZR28 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10.49 |
Brokers Record:
7 |
i. Full name of broker | LADENBURG THALMANN & CO. INC. |
ii. SEC file number | 008-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 574.67 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,023.59 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | JPMORGAN DISTRIBUTION SERVICES, INC. |
ii. SEC file number | 008-52700 |
iii. CRD number | 000104234 |
iv. LEI, if any | N/A |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,085,864.67 |
Principal Transactions Record:
2 |
i. Full name of dealer | JEFFERIES LLC |
ii. SEC file number | 008-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,116,776.04 |
Principal Transactions Record:
3 |
i. Full name of dealer | DEUTSCHE BANK SECURITIES INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,751,862.77 |
Principal Transactions Record:
4 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,229,738.31 |
Principal Transactions Record:
5 |
i. Full name of dealer | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000149777 |
iv. LEI, if any | IGJSJL3JD5P30I6NJZ34 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,509,398.62 |
Principal Transactions Record:
6 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 008-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,391,825.50 |
Principal Transactions Record:
7 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 008-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | PBLD0EJDB5FWOLXP3B76 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,800,676.91 |
Principal Transactions Record:
8 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 008-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
UTAH
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,901,707.02 |
Principal Transactions Record:
9 |
i. Full name of dealer | CITICORP SECURITIES SERVICES, INC. |
ii. SEC file number | 008-32117 |
iii. CRD number | 000015387 |
iv. LEI, if any | 549300N0SOX9OZVKG341 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,263,769.16 |
Principal Transactions Record:
10 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,540,464.28 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank & Trust, Co. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | RiverNorth Core Opportunity Fund |
SEC File number(
e.g., 811-
)
| 811-21934 |
Shared Credit Users Record:
2 |
Name of fund | RiverNorth/Doubleline Strategic Income Fund |
SEC File number(
e.g., 811-
)
| 811-21934 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,000,000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 25 |