Chief Compliance Officer

0001398344-20-022752.txt : 20201116 0001398344-20-022752.hdr.sgml : 20201116 20201116171327 ACCESSION NUMBER: 0001398344-20-022752 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 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: 201318317 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 primary_doc.xml 13F-HR LIVE false false false 0001447578 XXXXXXXX 09-30-2020 09-30-2020 false 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 11-12-2020 0 334 1615091 INFORMATION TABLE 2 fp0058510_13fhr-table.xml 13F INFORMATION TABLE 8I ENTERPRISES ACQUISITION C *W EXP 10/29/202 G2956M112 297 221396 SH SOLE 221396 0 0 8I ENTERPRISES ACQUISITION C SHS G2956M104 1071 104017 SH SOLE 104017 0 0 8I ENTERPRISES ACQUISITION C RIGHT 10/29/2020 G2956M120 199 233596 SH SOLE 233596 0 0 ABERDEEN EMRG MRKTS EQT INM COM 00301W105 7579 1169670 SH SOLE 1169670 0 0 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 7083 892085 SH SOLE 892085 0 0 ACE CONVERGENCE ACQU CORP UNIT 99/99/9999 G0083D112 513 50000 SH SOLE 50000 0 0 ADVENT CONVERTIBLE & INCOME COM 00764C109 4301 311477 SH SOLE 311477 0 0 AGBA ACQUISITION LTD SHS G0120M109 2595 250000 SH SOLE 250000 0 0 AGBA ACQUISITION LTD *W EXP 05/10/202 G0120M117 80 250000 SH SOLE 250000 0 0 AGBA ACQUISITION LTD RIGHT 05/10/2024 G0120M125 58 250000 SH SOLE 250000 0 0 ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 41 194596 SH SOLE 194596 0 0 ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 39 194596 SH SOLE 194596 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 16055 1527618 SH SOLE 1527618 0 0 ALLIANCEBERNSTEIN NATL MUN I COM 01864U106 11593 831603 SH SOLE 831603 0 0 ALLIANZGI CONV & INCM 2024 T COM 01883H102 187 21254 SH SOLE 21254 0 0 ALUSSA ENERGY ACQUISITION CO SHS CL A G0232J101 2886 290674 SH SOLE 290674 0 0 ALUSSA ENERGY ACQUISITION CO *W EXP 10/31/202 G0232J119 94 145337 SH SOLE 145337 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 136 200000 SH SOLE 200000 0 0 AMPLITUDE HLTHCRE AQUSTIN CO COM CL A 03212A105 1919 193420 SH SOLE 193420 0 0 AMPLITUDE HLTHCRE AQUSTIN CO *W EXP 12/01/202 03212A113 114 96710 SH SOLE 96710 0 0 ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 97 294410 SH SOLE 294410 0 0 ANDINA ACQUISITION CORP III RIGHT 10/01/2025 G04415132 94 294410 SH SOLE 294410 0 0 APEX TECHNOLOGY ACQUISITION COM CL A 03768F102 530 49998 SH SOLE 49998 0 0 APEX TECHNOLOGY ACQUISITION *W EXP 09/18/202 03768F110 48 24999 SH SOLE 24999 0 0 APOLLO SR FLOATING RATE FD I COM 037636107 2623 204606 SH SOLE 204606 0 0 APOLLO TACTICAL INCOME FD IN COM 037638103 878 69090 SH SOLE 69090 0 0 ARES CAPITAL CORP COM 04010L103 249 17815 SH SOLE 17815 0 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 6895 543734 SH SOLE 543734 0 0 ARYA SCIENCES ACQUISTION CO UNIT 06/09/2027 G31655114 110 10000 SH SOLE 10000 0 0 ATLAS TECHNICAL CONSULTANTS *W EXP 11/26/202 049430119 60 117846 SH SOLE 117846 0 0 BAIN CAP SPECIALTY FIN INC COM STK 05684B107 20646 2024159 SH SOLE 2024159 0 0 BARINGS BDC INC COM 06759L103 31009 3876150 SH SOLE 3876150 0 0 BARINGS CORPORATE INVS COM 06759X107 2560 204831 SH SOLE 204831 0 0 BARINGS GLOBAL SHORT DURATIO COM 06760L100 1215 91188 SH SOLE 91188 0 0 BARINGS PARTN INVS SH BEN INT 06761A103 2069 190544 SH SOLE 190544 0 0 BIG ROCK PARTNERS ACQUISI CO *W EXP 12/01/202 089482111 31 118662 SH SOLE 118662 0 0 BIG ROCK PARTNERS ACQUISI CO RIGHT 12/01/2022 089482129 47 237324 SH SOLE 237324 0 0 BIOMX INC *W EXP 10/16/202 09090D111 139 195843 SH SOLE 195843 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 14560 1103881 SH SOLE 1103881 0 0 BLACKROCK CAP ALLOCATION TR COM 09260U109 2046 100000 SH SOLE 100000 0 0 BLACKROCK CAP INVT CORP NOTE 5.000% 6/1 092533AC2 27940 28297000 PRN SOLE 28297000 0 0 BLACKROCK DEBT STRATEGIES FD COM NEW 09255R202 21603 2173384 SH SOLE 2173384 0 0 BLACKROCK ENHANCED GLOBAL DI COM 092501105 114 11870 SH SOLE 11870 0 0 BLACKROCK FLOATING RATE INCO COM 091941104 856 76208 SH SOLE 76208 0 0 BLACKROCK FLOATING RATE INCO COM 09255X100 6431 559213 SH SOLE 559213 0 0 BLACKROCK MULTI-SECTOR INC T COM 09258A107 3029 191975 SH SOLE 191975 0 0 BLACKROCK MUN INCOME QUALITY COM 092479104 9791 687557 SH SOLE 687557 0 0 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 10306 765665 SH SOLE 765665 0 0 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 3969 283888 SH SOLE 283888 0 0 BLACKROCK MUNIHOLDINGS QUALI COM 09254A101 1506 116953 SH SOLE 116953 0 0 BLACKROCK MUNIHOLDINGS QUALI COM 09254C107 5055 396772 SH SOLE 396772 0 0 BLACKROCK MUNIVEST FD INC COM 09253R105 3640 419302 SH SOLE 419302 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 519 37509 SH SOLE 37509 0 0 BLACKROCK MUNIYIELD N Y QUAL COM 09255E102 5046 397344 SH SOLE 397344 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 24866 1850120 SH SOLE 1850120 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254G108 8212 627805 SH SOLE 627805 0 0 BLACKROCK NEW YORK MUN BD TR COM 09249P106 5174 326873 SH SOLE 326873 0 0 BLACKROCK NY MUNI INC QLTY T COM 09249U105 8342 638280 SH SOLE 638280 0 0 BLACKROCK RES & COMMODITIES SHS 09257A108 7675 1289899 SH SOLE 1289899 0 0 BLACKROCK SCIENCE & TECH TR SHS BEN INT 09260K101 3288 128192 SH SOLE 128192 0 0 BLACKROCK TCP CAPITAL CORP NOTE 4.625% 3/0 87238QAD5 24664 24558000 PRN SOLE 24558000 0 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 3485 253277 SH SOLE 253277 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 150 12248 SH SOLE 12248 0 0 BRANDYWINEGBL GBL INCM OPP COM 10537L104 21706 1885811 SH SOLE 1885811 0 0 BRILLIANT ACQUISITION CORP SHS G1643W111 585 60000 SH SOLE 60000 0 0 BRILLIANT ACQUISITION CORP *W EXP 03/31/202 G1643W129 6 32451 SH SOLE 32451 0 0 BRILLIANT ACQUISITION CORP RIGHT 99/99/9999 G1643W137 12 60000 SH SOLE 60000 0 0 BROOGE ENERGY LTD *W EXP 12/20/202 G1611B115 102 203192 SH SOLE 203192 0 0 BURGUNDY TECHNOLOGY ACQU COR UNIT 08/26/2025 G1702T132 996 100000 SH SOLE 100000 0 0 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 619 53007 SH SOLE 53007 0 0 CALAMOS CONV OPPORTUNITIES & SH BEN INT 128117108 3587 326079 SH SOLE 326079 0 0 CALAMOS LNG SHR EQT DYNAMIC COM 12812C106 9164 630290 SH SOLE 630290 0 0 CAPSTAR SPL PURP ACQUISITION UNIT 07/09/2027 14070Y200 204 20000 SH SOLE 20000 0 0 CC NEUBERGER PRIN HLDGS II UNIT 99/99/9999 G3166T129 2066 200000 SH SOLE 200000 0 0 CC NEUBERGER PRINCIPAL HLDNG COM G1992Y114 3120 299997 SH SOLE 299997 0 0 CC NEUBERGER PRINCIPAL HLDNG *W EXP 99/99/999 G1992Y122 180 99999 SH SOLE 99999 0 0 CF FIN ACQUISITION CORP *W EXP 04/30/202 12528N115 108 110147 SH SOLE 110147 0 0 CHARDAN HEALTHCR ACQSTN 2 CO COM 15957T107 2178 222500 SH SOLE 222500 0 0 CHARDAN HEALTHCR ACQSTN 2 CO *W EXP 03/05/202 15957T115 160 222500 SH SOLE 222500 0 0 CHURCHILL CAP CORP II CL A 17143G106 3143 297945 SH SOLE 297945 0 0 CHURCHILL CAP CORP II *W EXP 07/02/202 17143G114 217 99315 SH SOLE 99315 0 0 CHURCHILL CAPITAL CORP IV UNIT 99/99/9999 171439201 3557 355000 SH SOLE 355000 0 0 CIIG MERGER CORP COM CL A 12559C103 1977 197304 SH SOLE 197304 0 0 CIIG MERGER CORP *W EXP 12/31/202 12559C111 85 98652 SH SOLE 98652 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 18469Q207 1544 154197 SH SOLE 154197 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 3475 309974 SH SOLE 309974 0 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 9304 996106 SH SOLE 996106 0 0 COLLECTIVE GROWTH CORP COM CL A 19424L101 1972 199999 SH SOLE 199999 0 0 COLLECTIVE GROWTH CORP *W EXP 04/30/202 19424L119 61 99999 SH SOLE 99999 0 0 COLONNADE ACQUISITION CORP UNIT 99/99/9999 G2283K128 1992 200000 SH SOLE 200000 0 0 CRESCENT ACQUISITION CORP *W EXP 03/08/202 22564L113 82 97720 SH SOLE 97720 0 0 DELAWARE ENHANCED GBL DIV & COM 246060107 639 72048 SH SOLE 72048 0 0 DMY TECHNOLOGY GROUP INC COM 233253103 2620 205330 SH SOLE 205330 0 0 DMY TECHNOLOGY GROUP INC *W EXP 02/21/202 233253111 365 121648 SH SOLE 121648 0 0 DTF TAX-FREE INCOME INC COM 23334J107 8912 617154 SH SOLE 617154 0 0 DUFF & PHELPS UTIL CORP BD T COM 26432K108 3947 427641 SH SOLE 427641 0 0 DWS MUN INCOME TR COM 233368109 1393 125699 SH SOLE 125699 0 0 EAGLE GRWTH & INCOME OPPTY F COM SHS BEN IN 26958J105 2609 207900 SH SOLE 207900 0 0 EAST STONE ACQUISITION CORP SHS G2911D108 1625 165000 SH SOLE 165000 0 0 EAST STONE ACQUISITION CORP *W EXP 12/31/202 G2911D116 33 165000 SH SOLE 165000 0 0 EAST STONE ACQUISITION CORP RIGHT 12/31/2026 G2911D132 43 165000 SH SOLE 165000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 6649 585300 SH SOLE 585300 0 0 EATON VANCE FLTG RATE INCOM COM SHS BEN INT 278284104 17361 1238316 SH SOLE 1238316 0 0 EATON VANCE FLTING RATE INC COM 278279104 6404 539062 SH SOLE 539062 0 0 EATON VANCE LTD DURATION INC COM 27828H105 39658 3506459 SH SOLE 3506459 0 0 EATON VANCE MUN BD FD COM 27827X101 22137 1680833 SH SOLE 1680833 0 0 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 2101 164030 SH SOLE 164030 0 0 EATON VANCE NEW YORK MUN INC SH BEN INT 27826W104 1308 102186 SH SOLE 102186 0 0 EATON VANCE SHORT DURATION D COM 27828V104 651 56849 SH SOLE 56849 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 9325 1588526 SH SOLE 1588526 0 0 EXPERIENCE INVT CORP COM CL A 30217C109 1005 100000 SH SOLE 100000 0 0 EXPERIENCE INVT CORP *W EXP 09/01/202 30217C117 41 33333 SH SOLE 33333 0 0 FAST ACQUISITION CORP UNIT 99/99/9999 311875207 1884 188972 SH SOLE 188972 0 0 FG NEW AMER ACQUISITION CORP UNIT 08/31/2027 30259V205 1752 175000 SH SOLE 175000 0 0 FIDUCIARY CLAYMORE ENGRY INF COM 31647Q205 2830 393031 SH SOLE 393031 0 0 FINTECH ACQUISITION CORP III *W EXP 12/01/202 31811A119 113 73381 SH SOLE 73381 0 0 FIRST EAGLE SENIOR LOAN FUND COM NEW 32010E100 4552 367079 SH SOLE 367079 0 0 FIRST TR ENERGY INCOME & GRO COM 33738G104 4336 478629 SH SOLE 478629 0 0 FIRST TR ENERGY INFRASTRCTR COM 33738C103 952 106368 SH SOLE 106368 0 0 FIRST TR HIGH INCOME L/S FD COM 33738E109 9976 716639 SH SOLE 716639 0 0 FIRST TR MLP & ENERGY INCOM COM 33739B104 11055 2382442 SH SOLE 2382442 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 2862 260895 SH SOLE 260895 0 0 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 10088 1195289 SH SOLE 1195289 0 0 FLYING EAGLE ACQUISITION COR COM 34407Y103 1459 119997 SH SOLE 119997 0 0 FLYING EAGLE ACQUISITION COR *W EXP 02/26/202 34407Y111 98 29999 SH SOLE 29999 0 0 FOLEY TRASIMENE ACQUISITION UNIT 99/99/9999 344328208 2040 200000 SH SOLE 200000 0 0 FORTRESS VALUE ACQUISITION C COM CL A 34962V106 1290 94979 SH SOLE 94979 0 0 FORTRESS VALUE ACQUISITION C *W EXP 05/04/202 34962V114 119 36065 SH SOLE 36065 0 0 FST TR NEW OPPORT MLP & ENE COM 33739M100 1610 447285 SH SOLE 447285 0 0 FUSION ACQUISITION CORP UNIT 99/99/9999 36118H204 283 27500 SH SOLE 27500 0 0 GALILEO ACQUISITION CORP SHS G3770A102 2327 235000 SH SOLE 235000 0 0 GALILEO ACQUISITION CORP *W EXP 10/31/202 G3770A110 146 235000 SH SOLE 235000 0 0 GIGCAPITAL2 INC COM 375036100 1645 161880 SH SOLE 161880 0 0 GIGCAPITAL2 INC *W EXP 02/28/202 375036118 147 161880 SH SOLE 161880 0 0 GIGCAPITAL2 INC RIGHT 02/28/2026 375036126 53 161880 SH SOLE 161880 0 0 GIGCAPITAL2 INC UNIT 02/28/2026 375036209 423 38120 SH SOLE 38120 0 0 GIGCAPITAL3 INC COM 37519D107 1990 199996 SH SOLE 199996 0 0 GIGCAPITAL3 INC *W EXP 05/18/202 37519D115 96 149997 SH SOLE 149997 0 0 GOLDMAN SACHS BDC INC NOTE 4.500% 4/0 38147UAB3 2457 2422000 PRN SOLE 2422000 0 0 GOLUB CAP BDC INC COM 38173M102 2901 219122 SH SOLE 219122 0 0 GREENROSE ACQUISITION CORP COM 395392103 2828 289496 SH SOLE 289496 0 0 GREENROSE ACQUISITION CORP *W EXP 08/11/202 395392111 69 289496 SH SOLE 289496 0 0 GREENVISION ACQUISITION CORP COM 39678G103 2670 265942 SH SOLE 265942 0 0 GREENVISION ACQUISITION CORP *W EXP 10/28/202 39678G111 138 264742 SH SOLE 264742 0 0 GREENVISION ACQUISITION CORP RIGHT 06/01/2021 39678G129 122 265942 SH SOLE 265942 0 0 GX ACQUISITION CORP COM CL A 36251A107 142 13527 SH SOLE 13527 0 0 GX ACQUISITION CORP *W EXP 05/24/202 36251A115 132 82263 SH SOLE 82263 0 0 GX ACQUISITION CORP UNIT 05/24/2026 36251A206 398 35473 SH SOLE 35473 0 0 HALL OF FAME RESORT & ENTMT *W EXP 07/01/202 40619L110 42 159798 SH SOLE 159798 0 0 HAYMAKER ACQUISITION CORP II COM CL A 42087L101 969 96902 SH SOLE 96902 0 0 HAYMAKER ACQUISITION CORP II *W EXP 10/31/202 42087L119 32 32300 SH SOLE 32300 0 0 HEALTH SCIENCES ACQ CORP 2 ORD SHS G4411D109 110 10000 SH SOLE 10000 0 0 HEALTHCARE MERGER CORP COM CL A 42227L102 494 48649 SH SOLE 48649 0 0 HEALTHCARE MERGER CORP *W EXP 12/17/202 42227L110 44 24324 SH SOLE 24324 0 0 HENNESSY CAP ACQUSTION CORP CL A COM 42589C104 2183 195920 SH SOLE 195920 0 0 HENNESSY CAP ACQUSTION CORP *W EXP 09/05/202 42589C112 339 146940 SH SOLE 146940 0 0 HERCULES CAPITAL INC DBCV 4.375% 2/0 427096AF9 6128 6000000 PRN SOLE 6000000 0 0 HIGH INCOME SECS FD SHS BEN INT 42968F108 328 39338 SH SOLE 39338 0 0 HIGHCAPE CAP ACQUISITION COR UNIT 09/30/2027 42984L204 506 50000 SH SOLE 50000 0 0 HIGHLAND GLOBAL ALLOCATION F COM 43010T104 6607 1065678 SH SOLE 1065678 0 0 HIGHLAND INCOME FD HIGHLAND INCOME 43010E404 9432 1097977 SH SOLE 1097977 0 0 HL ACQUISITIONS CORP *W EXP 06/21/202 G4603R122 215 104080 SH SOLE 104080 0 0 HL ACQUISITIONS CORP RIGHT 07/17/2023 G4603R130 131 125000 SH SOLE 125000 0 0 HYCROFT MINING HOLDING CORP *W EXP 02/12/202 44862P117 222 141461 SH SOLE 141461 0 0 INDUSTRIAL TECH ACQU INC UNIT 08/31/2025 456357201 1500 150000 SH SOLE 150000 0 0 INSURANCE ACQUISITION CORP CL A 457867109 1167 98792 SH SOLE 98792 0 0 INSURANCE ACQUISITION CORP *W EXP 03/31/202 457867117 137 49396 SH SOLE 49396 0 0 INTERPRIVATE ACQUISITION COR COM 46064A103 3500 349999 SH SOLE 349999 0 0 INTERPRIVATE ACQUISITION COR *W EXP 10/24/202 46064A111 143 174999 SH SOLE 174999 0 0 INVESCO ADVANTAGE MUN INCOME SH BEN INT 46132E103 5644 522088 SH SOLE 522088 0 0 INVESCO CALIF MUN INCOME TR COM 46132P108 16055 1091457 SH SOLE 1091457 0 0 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 18445 2002756 SH SOLE 2002756 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 46138E727 666 37953 SH SOLE 37953 0 0 INVESCO HIGH INCOME TR II COM 46131F101 4445 362541 SH SOLE 362541 0 0 INVESCO MUN OPPORTUNITY TR COM 46132C107 12146 993978 SH SOLE 993978 0 0 INVESCO MUN TR COM 46131J103 5249 437051 SH SOLE 437051 0 0 INVESCO QUALITY MUN INCOME T COM 46133G107 7514 607949 SH SOLE 607949 0 0 INVESCO SR INCOME TR COM 46131H107 8107 2214961 SH SOLE 2214961 0 0 INVESCO TR INVT GRADE MUNS COM 46131M106 18031 1451750 SH SOLE 1451750 0 0 KAYNE ANDERSON NEXTGEN ENRGY COM 48661E108 6722 1667955 SH SOLE 1667955 0 0 KBL MERGER CORP IV *W EXP 01/15/202 48242A112 29 124200 SH SOLE 124200 0 0 KENSINGTON CAP ACQUISITION C COM CL A 490073103 1162 69371 SH SOLE 69371 0 0 KENSINGTON CAP ACQUISITION C *W EXP 07/01/202 490073111 180 39898 SH SOLE 39898 0 0 LANDCADIA HLDGS II INC *W EXP 05/09/202 51476X113 136 30881 SH SOLE 30881 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 89 165277 SH SOLE 165277 0 0 LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 71 150075 SH SOLE 150075 0 0 LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 180 100000 SH SOLE 100000 0 0 LGL SYS ACQUISITION CORP UNIT 10/24/2024 50201G205 1044 100000 SH SOLE 100000 0 0 LIFESCI ACQUISITION CORP COM 53228P109 1240 100000 SH SOLE 100000 0 0 LIFESCI ACQUISITION CORP *W EXP 02/14/202 53228P117 153 100000 SH SOLE 100000 0 0 LIONHEART ACQUISITION CORP I UNIT 08/13/2025 53625R203 2490 250000 SH SOLE 250000 0 0 LIV CAP ACQUISITION CORP CL A G5510C108 2798 284062 SH SOLE 284062 0 0 LIV CAP ACQUISITION CORP *W EXP 12/13/202 G5510C116 134 284062 SH SOLE 284062 0 0 LIVE OAK ACQUISITION CORP COM CL A 53804F103 2016 199997 SH SOLE 199997 0 0 LIVE OAK ACQUISITION CORP *W EXP 05/08/202 53804F111 98 99998 SH SOLE 99998 0 0 LONGEVITY ACQUISITION CORP *W EXP 07/31/202 G56372116 25 100000 SH SOLE 100000 0 0 LONGEVITY ACQUISITION CORP RIGHT 07/31/2020 G56372124 21 100000 SH SOLE 100000 0 0 LONGVIEW ACQUISITION CORP COM CL A 543195101 1964 199997 SH SOLE 199997 0 0 LONGVIEW ACQUISITION CORP *W EXP 05/27/202 543195119 65 66665 SH SOLE 66665 0 0 MALACCA STRAITS ACQUISITION UNIT 99/99/9999 G5859B125 547 55000 SH SOLE 55000 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 99 150000 SH SOLE 150000 0 0 MERIDA MERGER CORP I COM 58953M106 3849 389191 SH SOLE 389191 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 107 194593 SH SOLE 194593 0 0 METEN EDTECHX ED GROUP LTD *W EXP 03/31/202 G6055H106 20 96249 SH SOLE 96249 0 0 MONOCLE ACQUISITION CORP COM 609754106 754 73609 SH SOLE 73609 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 37 73609 SH SOLE 73609 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 5352 637852 SH SOLE 637852 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 11085 1993617 SH SOLE 1993617 0 0 MOUNTAIN CREST ACQUISITION C COM 62401M106 863 85000 SH SOLE 85000 0 0 MOUNTAIN CREST ACQUISITION C RIGHT 03/19/2025 62401M122 34 52284 SH SOLE 52284 0 0 MVC CAP INC COM 553829102 4048 518323 SH SOLE 518323 0 0 NETFIN ACQUISITION CORP SHS CL A G6455A107 2030 195721 SH SOLE 195721 0 0 NETFIN ACQUISITION CORP *W EXP 08/01/202 G6455A115 256 195721 SH SOLE 195721 0 0 NEUBERGER BERMAN HIGH YIELD COM 64128C106 6866 619114 SH SOLE 619114 0 0 NEUBERGER BRMAN NY MUNI FD I COM 64124K102 2527 217103 SH SOLE 217103 0 0 NEW MTN FIN CORP COM 647551100 245 25662 SH SOLE 25662 0 0 NEW MTN FIN CORP NOTE 5.750% 8/1 647551AC4 32594 32390000 PRN SOLE 32390000 0 0 NEW PROVIDENCE ACQUISITION COM CL A 64822P106 1359 134999 SH SOLE 134999 0 0 NEW PROVIDENCE ACQUISITION *W EXP 09/11/202 64822P114 82 67499 SH SOLE 67499 0 0 NEWBORN ACQUISITION CORP SHS G6463T106 1449 146208 SH SOLE 146208 0 0 NEWBORN ACQUISITION CORP *W EXP 02/03/202 G6463T114 42 146208 SH SOLE 146208 0 0 NEWBORN ACQUISITION CORP RIGHT 02/03/2025 G6463T122 29 146208 SH SOLE 146208 0 0 NEWHOLD INVESTMENT CORP UNIT 03/10/2025 651448201 2012 200000 SH SOLE 200000 0 0 NEXPOINT STRATEGIC OPPORTES COM NEW 65340G205 13044 1506236 SH SOLE 1506236 0 0 NOVUS CAP CORP COM 67012U108 484 41172 SH SOLE 41172 0 0 NOVUS CAP CORP *W EXP 06/30/202 67012U116 603 216072 SH SOLE 216072 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 21417 1367593 SH SOLE 1367593 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 72466 5053416 SH SOLE 5053416 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 25432 1746688 SH SOLE 1746688 0 0 NUVEEN CALIF MUNICPAL VALUE COM 6706EB106 1070 68414 SH SOLE 68414 0 0 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 6289 411834 SH SOLE 411834 0 0 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 19597 3315917 SH SOLE 3315917 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 2168 264356 SH SOLE 264356 0 0 NUVEEN GEORGIA QLTY MUN INC COM 67072B107 5054 414303 SH SOLE 414303 0 0 NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 9051 668958 SH SOLE 668958 0 0 NUVEEN HIGH INCOME 2020 TARG COM 67075L102 372 39384 SH SOLE 39384 0 0 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 7257 551471 SH SOLE 551471 0 0 NUVEEN MICH QUALITY MUN INCO COM 670979103 10049 708645 SH SOLE 708645 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 9567 651269 SH SOLE 651269 0 0 NUVEEN NEW JERSEY MUN VALUE SHS 670702109 445 32258 SH SOLE 32258 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 16126 1254000 SH SOLE 1254000 0 0 NUVEEN NEW YORK MUN VALUE FD COM 670706100 2088 141067 SH SOLE 141067 0 0 NUVEEN NEW YORK QLT MUN INC COM 67066X107 2253 164789 SH SOLE 164789 0 0 NUVEEN PENNSYLVANIA QLT MUN COM 670972108 7250 539463 SH SOLE 539463 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 90156 6209058 SH SOLE 6209058 0 0 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1421 125982 SH SOLE 125982 0 0 OAKTREE SPECIALTY LENDING CO COM 67401P108 28181 5822583 SH SOLE 5822583 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 388 163038 SH SOLE 163038 0 0 ORISUN ACQUISITION CORP COM 68632T109 1629 160000 SH SOLE 160000 0 0 ORISUN ACQUISITION CORP *W EXP 05/31/202 68632T117 48 160000 SH SOLE 160000 0 0 ORISUN ACQUISITION CORP RIGHT 05/31/2024 68632T125 96 160000 SH SOLE 160000 0 0 OSPREY TECHNLGY AQUISTION CO COM CL A 68839R104 2009 197126 SH SOLE 197126 0 0 OSPREY TECHNLGY AQUISTION CO *W EXP 10/30/202 68839R120 138 98563 SH SOLE 98563 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 3404 150000 SH SOLE 150000 0 0 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 119 16664 SH SOLE 16664 0 0 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 28743 2169296 SH SOLE 2169296 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 13924 1008254 SH SOLE 1008254 0 0 PIMCO ENRGY TACTICAL CR OPP COM SHS BEN INT 69346N107 7184 1160586 SH SOLE 1160586 0 0 PIONEER FLOATING RATE TR COM 72369J102 15209 1505857 SH SOLE 1505857 0 0 PIONEER MUN HIGH INCOME ADVA COM 723762100 570 52157 SH SOLE 52157 0 0 PIONEER MUN HIGH INCOME TR COM SHS 723763108 335 28953 SH SOLE 28953 0 0 PIVOTAL INVT CORP II COM CL A 72582K100 2219 192493 SH SOLE 192493 0 0 PIVOTAL INVT CORP II *W EXP 06/01/202 72582K118 237 64164 SH SOLE 64164 0 0 PROPERTY SOLUTIONS ACQUISITI UNIT 03/30/2027 74348Q207 3019 299200 SH SOLE 299200 0 0 PROPTECH ACQUISITION CORP COM CL A 74349F101 1075 96600 SH SOLE 96600 0 0 PROPTECH ACQUISITION CORP *W EXP 05/26/202 74349F119 79 48300 SH SOLE 48300 0 0 PTK ACQUISITION CORP UNIT 99/99/9999 69375F207 2038 200000 SH SOLE 200000 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 4396 338910 SH SOLE 338910 0 0 REDBALL ACQUISITION CORP UNIT 99/99/9999 G7417R121 793 75000 SH SOLE 75000 0 0 REPLAY ACQUISITION CORP COM G75130107 1485 145910 SH SOLE 145910 0 0 REPLAY ACQUISITION CORP *W EXP 03/01/202 G75130115 69 72955 SH SOLE 72955 0 0 RMG ACQUISITION CORP *W EXP 02/21/202 749641114 54 25000 SH SOLE 25000 0 0 ROTH CH ACQUISITION I CO COM 778675108 995 99990 SH SOLE 99990 0 0 ROTH CH ACQUISITION I CO *W EXP 01/28/202 778675116 77 74992 SH SOLE 74992 0 0 ROYCE GLOBAL VALUE TR INC COM 78081T104 4345 353825 SH SOLE 353825 0 0 ROYCE MICRO-CAP TR INC COM 780915104 6188 806826 SH SOLE 806826 0 0 ROYCE VALUE TR INC COM 780910105 1781 140940 SH SOLE 140940 0 0 SC HEALTH CORP COM CL A G78516203 252 24998 SH SOLE 24998 0 0 SC HEALTH CORP *W EXP 99/99/999 G78516401 14 12499 SH SOLE 12499 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 153 294494 SH SOLE 294494 0 0 SILVER SPIKE ACQUISITION COR CL A SHS G8136L106 2026 199998 SH SOLE 199998 0 0 SILVER SPIKE ACQUISITION COR *W EXP 08/02/202 G8136L114 61 99999 SH SOLE 99999 0 0 SOURCE CAP INC COM 836144105 13473 365627 SH SOLE 365627 0 0 SOUTH MTN MERGER CORP COM CL A 838884104 2178 208466 SH SOLE 208466 0 0 SOUTH MTN MERGER CORP *W EXP 06/20/202 838884112 146 104233 SH SOLE 104233 0 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 2050 165157 SH SOLE 165157 0 0 SPECIAL OPPORTUNITIES FD INC PFD CONV SE B 84741T302 4068 161353 SH SOLE 161353 0 0 SPROTT FOCUS TR INC COM 85208J109 4027 676858 SH SOLE 676858 0 0 STABLE RD ACQUISITION CORP COM CL A 85236Q109 662 65704 SH SOLE 65704 0 0 STABLE RD ACQUISITION CORP *W EXP 05/15/202 85236Q117 38 32852 SH SOLE 32852 0 0 STARBOARD VALUE ACQUISITN CO UNIT 09/10/2025 85521J208 758 75000 SH SOLE 75000 0 0 SUSTAINABLE OPPORTNTS ACQ CO ORD SHS A G8598Y109 2040 199997 SH SOLE 199997 0 0 SUSTAINABLE OPPORTNTS ACQ CO *W EXP 99/99/999 G8598Y117 180 99998 SH SOLE 99998 0 0 TAILWIND ACQUISITION CORP UNIT 09/07/2027 87403Q201 503 50000 SH SOLE 50000 0 0 TEMPLETON EMERGING MKTS INCO COM 880192109 9520 1284781 SH SOLE 1284781 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 9686 1810421 SH SOLE 1810421 0 0 TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 64 125000 SH SOLE 125000 0 0 THUNDER BRDG ACQUISTION II L *W EXP 11/30/202 G8857S108 51 37500 SH SOLE 37500 0 0 THUNDER BRDG ACQUISTION II L CL A SHS G8857S116 765 75000 SH SOLE 75000 0 0 TOTTENHAM ACQUISITION I LTD *W EXP 05/06/202 G8959N114 51 107805 SH SOLE 107805 0 0 TOTTENHAM ACQUISITION I LTD RIGHT 11/06/2020 G8959N122 63 118000 SH SOLE 118000 0 0 TPG SPECIALTY LENDING INC NOTE 4.500% 8/0 87265KAD4 1383 1338000 PRN SOLE 1338000 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 56 150000 SH SOLE 150000 0 0 TRINE ACQUISITION CORP COM CL A 89628U108 2908 269281 SH SOLE 269281 0 0 TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 353 134640 SH SOLE 134640 0 0 TUSCAN HLDGS CORP COM 90069K104 2176 213743 SH SOLE 213743 0 0 TUSCAN HLDGS CORP *W EXP 04/01/202 90069K112 109 213743 SH SOLE 213743 0 0 TUSCAN HLDGS CORP UNIT 99/99/9999 90069K203 344 32225 SH SOLE 32225 0 0 TUSCAN HLDGS CORP II COM 90070A103 3992 399998 SH SOLE 399998 0 0 TUSCAN HLDGS CORP II *W EXP 99/99/999 90070A111 90 199999 SH SOLE 199999 0 0 UNION ACQUISITION CORP II SHS G9402Q100 1490 150000 SH SOLE 150000 0 0 UNION ACQUISITION CORP II *W EXP 04/01/202 G9402Q126 113 150000 SH SOLE 150000 0 0 VELODYNE LIDAR INC *W EXP 09/29/202 92259F119 442 90407 SH SOLE 90407 0 0 VISTAS MEDIA ACQUISITION CO UNIT 08/03/2025 92840T206 1010 100000 SH SOLE 100000 0 0 VOYA EMERGING MKTS HIGH DIVI COM 92912P108 589 89083 SH SOLE 89083 0 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 2737 553017 SH SOLE 553017 0 0 VOYA INTL HIGH DIVID EQTY IN COM 92912Y109 747 168576 SH SOLE 168576 0 0 VOYA NAT RES EQUITY INCOME F COM 92913C106 2955 1210875 SH SOLE 1210875 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 54210 12292605 SH SOLE 12292605 0 0 VPC IMPACT ACQUISITION HLDNG UNIT 09/22/2025 G9441E126 500 50000 SH SOLE 50000 0 0 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 4161 570024 SH SOLE 570024 0 0 WESTERN ASSET CORPORATE LN F COM 95790J102 1712 184864 SH SOLE 184864 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 15046 1221279 SH SOLE 1221279 0 0 WESTERN ASSET GLOBAL HIGH IN COM 95766B109 53948 5596315 SH SOLE 5596315 0 0 WESTERN ASSET HIGH INCOME FD COM 95766J102 28357 4430757 SH SOLE 4430757 0 0 WESTERN ASSET HIGH INCOME OP COM 95766K109 37520 7657196 SH SOLE 7657196 0 0 WESTERN ASSET HIGH YIELD DEF COM 95768B107 1912 136297 SH SOLE 136297 0 0 WESTERN ASSET MANAGED MUNS F COM 95766M105 2538 208167 SH SOLE 208167 0 0 WESTERN ASSET VAR RT STRG FD COM 957667108 511 31146 SH SOLE 31146 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 1651 135541 SH SOLE 135541 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 49410 4395937 SH SOLE 4395937 0 0 YUNHONG INTL CL A SHS G98882106 1905 193023 SH SOLE 193023 0 0 YUNHONG INTL *W EXP 01/31/202 G98882122 17 96511 SH SOLE 96511 0 0 YUNHONG INTL RIGHT 01/31/2027 G98882130 39 193023 SH SOLE 193023 0 0