RIVERNORTH CAPITAL MANAGEMENT, LLC
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- FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND (3)
- BARINGS PARTICIPATION INVESTORS (3)
- PIMCO Energy & Tactical Credit Opportunities Fund (3)
- BLACKROCK NEW YORK MUNICIPAL BOND TRUST (2)
- DIAMOND HILL FINANCIAL TRENDS FUND, INC (2)
- TORTOISE ENERGY CAPITAL CORP (2)
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Other (98)
13F-HR
Wednesday, 2/14/2024
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 11/14/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/14/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 5/15/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 2/14/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Thursday, 12/15/2022
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 11/14/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Tuesday, 9/20/2022
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 8/15/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Wednesday, 6/29/2022
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 5/16/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 2/14/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Friday, 2/4/2022
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 11/15/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Monday, 11/8/2021
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 8/16/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Thursday, 8/5/2021
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 5/17/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Wednesday, 4/28/2021
Filing for proposed sale of securities under Rule 144
144
Wednesday, 4/28/2021
Filing for proposed sale of securities under Rule 144
13F-HR
Tuesday, 2/16/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Tuesday, 1/12/2021
Filing for proposed sale of securities under Rule 144
144
Monday, 1/11/2021
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 11/16/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Tuesday, 10/13/2020
Filing for proposed sale of securities under Rule 144
13F-HR
Friday, 8/14/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 5/18/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/14/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Monday, 11/25/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 11/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Friday, 10/18/2019
Filing for proposed sale of securities under Rule 144
13F-HR
Wednesday, 8/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Wednesday, 7/17/2019
Filing for proposed sale of securities under Rule 144
13F-HR
Wednesday, 5/15/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Thursday, 4/18/2019
Filing for proposed sale of securities under Rule 144
144
Thursday, 4/18/2019
Filing for proposed sale of securities under Rule 144
13F-HR
Thursday, 2/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Thursday, 12/6/2018
Filing for proposed sale of securities under Rule 144
13F-HR
Thursday, 11/15/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Wednesday, 8/29/2018
Filing for proposed sale of securities under Rule 144
13F-HR
Tuesday, 8/14/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Thursday, 5/24/2018
Filing for proposed sale of securities under Rule 144
13F-HR
Tuesday, 5/15/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 2/14/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Monday, 1/22/2018
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
144
Monday, 12/4/2017
Filing for proposed sale of securities under Rule 144
13F-HR
Tuesday, 11/14/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Wednesday, 10/18/2017
Filing for proposed sale of securities under Rule 144
144
Thursday, 8/31/2017
Filing for proposed sale of securities under Rule 144
13F-HR
Monday, 8/14/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 5/15/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
144
Friday, 5/5/2017
Filing for proposed sale of securities under Rule 144
40-APP/A
Wednesday, 4/12/2017
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP
Thursday, 3/23/2017
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
144
Wednesday, 2/15/2017
Filing for proposed sale of securities under Rule 144
13F-HR
Tuesday, 2/14/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 11/14/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP
Thursday, 9/1/2016
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Monday, 8/15/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 5/16/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 2/16/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 11/16/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 8/14/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 5/15/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 2/17/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 11/14/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 8/14/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 5/15/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/14/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Tuesday, 1/21/2014
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Thursday, 11/14/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Tuesday, 10/8/2013
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Wednesday, 8/14/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP
Wednesday, 5/29/2013
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Wednesday, 5/15/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/15/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 11/14/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 8/14/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 5/15/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 2/14/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 11/14/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Thursday, 9/29/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Thursday, 9/29/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/15/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 5/16/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 2/14/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Friday, 1/21/2011
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Monday, 11/15/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/16/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP
Monday, 7/26/2010
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Tuesday, 5/11/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/5/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 11/4/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 8/11/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Friday, 5/29/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/6/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 1/28/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 11/14/2008
Initial Quarterly Form 13F Holdings Report filed by institutional managers
Ownership (503)
SC 13G/A
Wednesday, 2/14/2024
Saba Capital Income & Opportunities Fund: Major Shareholders
SC 13G
Wednesday, 2/14/2024
PHP Ventures Acquisition Corp.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Global Partner Acquisition Corp II: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK INVESTMENT QUALITY MUNICIPAL TRUST, INC.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK MUNIVEST FUND, INC.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK MUNIYIELD FUND, INC.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Compass Digital Acquisition Corp.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Clover Leaf Capital Corp.: Major Shareholders
SC 13G/A
Wednesday, 2/14/2024
Priveterra Acquisition Corp. II: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK MUNIHOLDINGS QUALITY FUND II, INC.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Qomolangma Acquisition Corp.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Keyarch Acquisition Corp: Major Shareholders
SC 13G/A
Wednesday, 2/14/2024
WESTERN ASSET HIGH INCOME OPPORTUNITY FUND INC.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Concord Acquisition Corp III: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK MUNIHOLDINGS FUND, INC.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Spree Acquisition Corp. 1 Ltd: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Southport Acquisition Corp: Major Shareholders
SC 13G/A
Wednesday, 2/14/2024
BARINGS PARTICIPATION INVESTORS: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Hudson Acquisition I Corp.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK MUNICIPAL INCOME TRUST: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Cactus Acquisition Corp. 1 Ltd: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Yotta Acquisition Corp: Major Shareholders
SC 13G
Wednesday, 2/14/2024
DTF TAX-FREE INCOME 2028 TERM FUND INC: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK MUNIYIELD QUALITY FUND II, INC.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Welsbach Technology Metals Acquisition Corp.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Kensington Capital Acquisition Corp. V: Major Shareholders
SC 13G
Wednesday, 2/14/2024
Aquaron Acquisition Corp.: Major Shareholders
SC 13G/A
Wednesday, 2/14/2024
BLACKROCK MUNIVEST FUND II, INC.: Major Shareholders
SC 13G/A
Wednesday, 2/14/2024
WESTERN ASSET MANAGED MUNICIPALS FUND INC.: Major Shareholders
SC 13G/A
Wednesday, 2/14/2024
Berenson Acquisition Corp. I: Major Shareholders
SC 13G
Wednesday, 2/14/2024
StoneBridge Acquisition Corp.: Major Shareholders
SC 13G
Wednesday, 2/14/2024
BLACKROCK MUNICIPAL INCOME TRUST II: Major Shareholders
SC 13G
Wednesday, 2/14/2024
byNordic Acquisition Corp: Major Shareholders
4
Thursday, 12/28/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Thursday, 12/28/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Friday, 12/22/2023
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.: Statement of changes in beneficial ownership of securities
4
Friday, 12/22/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Thursday, 12/21/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Thursday, 12/21/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 12/18/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 12/18/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Friday, 12/15/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Friday, 12/15/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 12/11/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 12/11/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 12/11/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Thursday, 12/7/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Thursday, 12/7/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/6/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
SC 13G
Tuesday, 12/5/2023
BLACKROCK MUNIVEST FUND II, INC.: Major Shareholders
4
Monday, 12/4/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Wednesday, 11/22/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Wednesday, 11/22/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Tuesday, 11/21/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Tuesday, 11/21/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Monday, 11/20/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
SC 13G
Wednesday, 8/23/2023
Priveterra Acquisition Corp. II: Major Shareholders
4
Monday, 6/12/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 6/12/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 6/5/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 6/5/2023
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 6/5/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Friday, 5/26/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Wednesday, 5/24/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Wednesday, 5/24/2023
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.: Statement of changes in beneficial ownership of securities
4
Monday, 5/15/2023
RiverNorth Flexible Municipal Income Fund, Inc.: Statement of changes in beneficial ownership of securities
SC 13G/A
Monday, 5/15/2023
BrandywineGLOBAL-Global Income Opportunities Fund Inc: Major Shareholders
4
Monday, 5/15/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Friday, 5/12/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Friday, 5/12/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Thursday, 5/11/2023
RIVERNORTH OPPORTUNITIES FUND, INC.: Statement of changes in beneficial ownership of securities
4
Wednesday, 5/10/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
4
Wednesday, 5/10/2023
RiverNorth Flexible Municipal Income Fund, Inc.: Statement of changes in beneficial ownership of securities
4
Tuesday, 5/2/2023
RiverNorth Flexible Municipal Income Fund II, Inc.: Statement of changes in beneficial ownership of securities
SC 13G
Tuesday, 2/14/2023
BARINGS CORPORATE INVESTORS: Major Shareholders
SC 13G
Tuesday, 2/14/2023
WESTERN ASSET HIGH INCOME OPPORTUNITY FUND INC.: Major Shareholders
SC 13G
Tuesday, 2/14/2023
OmniLit Acquisition Corp.: Major Shareholders
SC 13G/A
Tuesday, 2/14/2023
Saba Capital Income & Opportunities Fund: Major Shareholders
SC 13G
Tuesday, 2/14/2023
NewHold Investment Corp. II: Major Shareholders
SC 13G/A
Tuesday, 2/14/2023
PIMCO Energy & Tactical Credit Opportunities Fund: Major Shareholders
SC 13G
Tuesday, 2/14/2023
WESTERN ASSET MANAGED MUNICIPALS FUND INC.: Major Shareholders
SC 13G
Tuesday, 2/14/2023
PIONEER MUNICIPAL HIGH INCOME FUND, INC.: Major Shareholders
SC 13G/A
Tuesday, 2/14/2023
BrandywineGLOBAL-Global Income Opportunities Fund Inc: Major Shareholders
SC 13G/A
Tuesday, 2/14/2023
BARINGS PARTICIPATION INVESTORS: Major Shareholders
SC 13G
Tuesday, 2/14/2023
Integral Acquisition Corp 1: Major Shareholders
SC 13G
Tuesday, 2/14/2023
Virtus Total Return Fund Inc.: Major Shareholders
SC 13G
Tuesday, 2/14/2023
BlackRock ESG Capital Allocation Trust: Major Shareholders
SC 13G
Tuesday, 2/15/2022
Revelstone Capital Acquisition Corp.: Major Shareholders
SC 13G
Tuesday, 2/15/2022
NewHold Investment Corp. II: Major Shareholders
SC 13G
Tuesday, 2/15/2022
Armada Acquisition Corp. I: Major Shareholders
SC 13G
Tuesday, 2/15/2022
PepperLime Health Acquisition Corp: Major Shareholders
SC 13G
Tuesday, 2/15/2022
Schultze Special Purpose Acquisition Corp. II: Major Shareholders
SC 13G/A
Tuesday, 2/15/2022
DTF TAX-FREE INCOME 2028 TERM FUND INC: Major Shareholders
SC 13G/A
Monday, 2/14/2022
WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND: Major Shareholders
3
Monday, 2/14/2022
RiverNorth Managed Duration Municipal Income Fund II, Inc.: Initial statement of beneficial ownership of securities
SC 13G
Monday, 2/14/2022
Berenson Acquisition Corp. I: Major Shareholders
SC 13G/A
Monday, 2/14/2022
BrandywineGLOBAL-Global Income Opportunities Fund Inc: Major Shareholders
SC 13G
Monday, 2/14/2022
Morgan Stanley Emerging Markets Domestic Debt Fund, Inc.: Major Shareholders
SC 13G/A
Monday, 2/14/2022
FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND: Major Shareholders
SC 13G/A
Monday, 2/14/2022
EATON VANCE SENIOR INCOME TRUST: Major Shareholders
Proxies (5)
PRRN14A
Tuesday, 2/2/2016
Revised preliminary proxy statement filed by non-management
PRRN14A
Monday, 1/11/2016
Revised preliminary proxy statement filed by non-management
PREC14A
Friday, 12/11/2015
Preliminary proxy statement in connection with contested solicitations
DFAN14A
Tuesday, 11/17/2015
Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material
DFAN14A
Tuesday, 11/17/2015
Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material