Rivernorth Capital Management, LLC - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	2	1	3	0	0	0	2	5	9	4
P	%wins				67	67	67	100	100	100	83
S	%ret	4	1	19	0	0	1	5	10	17	7
S	%wins				84	68	47	0	0	0	33

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
2/4/22 15:28	2/3/22	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-46	20.87	0	-2	-3	74	D
1/13/22 17:51	1/10/22	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S.m	-98	22.29	0	-4	-5	76	D
12/27/21 17:28	12/23/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-28	22.20	0	-1	-2	80	D
12/17/21 16:45	12/16/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-51	23.11	0	-2	-3	81	D
12/8/21 18:18	12/7/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-50	22.78	0	-2	-3	84	D
12/2/21 15:30	11/30/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-51	23.09	0	-2	-2	86	D
12/1/21 18:40	11/29/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-51	23.05	0	-2	-2	88	D
11/22/21 15:29	11/19/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-2	23.20	0	0	0	90	D
11/19/21 14:17	11/18/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-51	23.15	0	-2	-2	90	D
11/18/21 13:00	11/17/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-51	23.16	0	-2	-2	93	D
10/27/21 14:58	10/26/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-32	23.00	0	-1	-1	95	D
10/19/21 13:24	10/18/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-288	23.59	0	-12	-11	96	D
10/15/21 16:38	10/14/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-51	23.27	0	-2	-2	108	D
10/14/21 12:07	10/13/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-51	23.34	0	-2	-2	111	D
10/12/21 11:53	10/8/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S.m	-92	23.34	0	-4	-3	113	D
10/8/21 11:19	10/6/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S.m	-90	23.26	0	-4	-3	117	D
9/30/21 12:03	9/29/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-9	23.57	0	0	0	121	D
9/22/21 13:13	9/21/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-17	23.99	0	-1	-1	121	D
9/21/21 19:35	9/20/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-53	24.00	0	-2	-2	122	D
9/20/21 11:40	9/16/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S.m	-106	24.06	0	-4	-3	124	D
9/16/21 12:04	9/15/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-53	24.05	0	-2	-2	128	D
9/15/21 13:29	9/14/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-53	24.11	0	-2	-2	130	D
9/14/21 13:46	9/13/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-53	24.06	0	-2	-2	133	D
9/8/21 14:01	9/7/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-53	23.99	0	-2	-2	135	D
9/7/21 14:36	9/3/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S	-53	23.94	0	-2	-2	137	D
9/3/21 16:10	9/1/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Advisor	S.m	-99	24.03	0	-4	-3	139	D
9/1/21 17:21	8/30/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-47	24.03	0	-2	-1	146	D
8/26/21 14:20	8/25/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-53	23.94	0	-2	-1	148	D
8/19/21 16:28	8/18/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-44	24.20	0	-2	-1	151	D
8/17/21 17:36	8/16/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-42	24.38	0	-2	-1	152	D
8/16/21 14:20	8/13/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-1	24.50	0	0	0	154	D
8/13/21 13:13	8/12/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-2	24.45	0	0	0	154	D
8/12/21 11:05	8/11/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-54	24.49	0	-2	-1	154	D
8/11/21 16:47	8/10/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-17	24.46	0	-1	0	156	D
7/29/21 14:41	7/28/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-53	24.19	0	-2	-1	157	D
7/26/21 13:06	7/23/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-3	24.40	0	0	0	159	D
7/23/21 14:00	7/21/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-54	24.40	0	-2	-1	159	D
7/21/21 18:04	7/19/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-81	24.39	0	-3	-2	162	D
7/16/21 12:33	7/14/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-108	24.45	0	-4	-3	165	D
7/14/21 15:36	7/12/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-107	24.27	0	-4	-3	169	D
7/12/21 15:02	7/8/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-107	24.21	0	-4	-2	174	D
7/8/21 16:20	7/6/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-106	24.02	0	-4	-2	178	D
6/28/21 16:47	6/24/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-29	23.73	0	-1	-1	183	D
6/21/21 10:10	6/15/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-73	24.24	0	-3	-2	184	D
6/14/21 17:22	6/10/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-53	24.19	0	-2	-1	187	D
6/8/21 15:13	6/3/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-22	24.00	0	-1	0	189	D
6/2/21 11:13	6/1/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-53	23.91	0	-2	-1	190	D
5/27/21 10:32	5/24/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-24	23.80	0	-1	-1	193	D
5/27/21 08:45	5/18/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-35	23.56	0	-1	-1	194	D
5/17/21 13:02	5/14/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-51	23.12	0	-2	-1	195	D
5/17/21 12:01	5/12/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-52	23.52	0	-2	-1	197	D
5/11/21 10:42	5/7/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-248	18.07	0	-14	-52	13	D
5/11/21 10:40	5/7/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-104	23.58	0	-4	-2	200	D
5/5/21 10:41	4/30/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-94	17.68	0	-5	-17	26	D
5/5/21 10:38	4/30/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-11	22.95	0	-1	0	214	D
5/3/21 12:28	4/29/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-71	22.80	0	-3	-1	214	D
4/28/21 08:55	4/23/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-87	17.47	0	-5	-14	32	D
4/28/21 08:38	4/23/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-82	22.80	0	-4	-2	218	D
4/15/21 17:12	4/13/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-126	17.77	0	-7	-16	37	D
4/15/21 17:07	4/13/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-43	22.84	0	-2	-1	221	D
4/6/21 12:33	4/5/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-70	17.60	0	-4	-8	44	D
4/6/21 12:28	4/5/21	RFM	Rivernorth Flexible Municipal Income Fund Ii, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-80	22.34	0	-4	-2	223	D
3/30/21 12:55	3/26/21	RFM	Rivernorth Flexible Municipal Income Fund Ii, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-49	22.27	0	-2	-1	227	D
3/26/21 14:33	3/24/21	RFM	Rivernorth Flexible Municipal Income Fund Ii, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-31	22.21	0	-1	-1	229	D
3/24/21 17:54	3/21/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-109	17.36	0	-6	-12	48	D
3/24/21 17:50	3/22/21	RFM	Rivernorth Flexible Municipal Income Fund Ii, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-74	22.19	0	-3	-1	230	D
3/19/21 13:06	3/17/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-88	17.68	0	-5	-8	54	D
3/19/21 13:01	3/17/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-63	22.14	0	-3	-1	234	D
3/17/21 16:35	3/5/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-227	22.10	0	-10	-4	236	D
3/17/21 16:32	3/5/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-330	17.38	0	-19	-24	59	D
3/4/21 16:16	3/3/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-46	21.92	0	-2	-1	247	D
3/4/21 16:04	3/3/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-133	17.37	0	-8	-9	78	D
2/12/21 14:14	2/9/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-168	22.98	0	-7	-3	249	D
2/12/21 14:08	2/5/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-318	17.42	0	-18	-18	86	D
2/9/21 15:46	2/4/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-165	22.48	0	-7	-3	256	D
2/9/21 15:45	2/4/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-187	17.31	0	-11	-9	104	D
2/4/21 15:06	2/2/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S.m	-163	22.30	0	-7	-3	263	D
2/4/21 15:02	2/2/21	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-161	17.01	0	-9	-8	115	D
1/14/21 14:02	1/12/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-82	22.28	0	-4	-1	271	D
1/12/21 16:38	1/11/21	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Adviser	S	-71	22.18	0	-3	-1	274	D
10/22/20 16:26	10/20/20	RFM	Rivernorth Flexible Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Investme	S	-49	20.25	0	-2	-1	278	D
10/24/19 19:16	10/22/19	RIVRT	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-3	0.0434	0	-62	-100	0	D
10/22/19 16:22	10/18/19	RIVRT	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-3	0.0415	0	-62	-50	62	D
10/18/19 11:09	10/16/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-92	16.66	0	-6	-2	239	D
10/10/19 16:37	10/8/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-58	16.90	0	-3	-3	121	D
9/27/19 14:22	9/9/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-144	17.16	0	-8	-6	124	D
8/29/19 13:56	8/27/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-61	16.95	0	-4	-3	133	D
8/5/19 16:27	8/1/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-110	17.43	0	-6	-4	136	D
7/17/19 16:54	7/11/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-198	17.60	0	-11	-7	142	D
7/11/19 13:07	7/8/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-192	17.40	0	-11	-7	154	D
7/8/19 11:56	7/2/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-65	17.26	0	-4	-2	165	D
6/24/19 18:17	6/20/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-44	17.08	0	-3	-2	168	D
6/20/19 13:56	6/18/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-9	17.07	0	-1	0	171	D
6/17/19 13:28	6/6/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-131	16.97	0	-8	-4	172	D
6/6/19 17:20	6/4/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-92	16.91	0	-5	-3	179	D
5/8/19 14:25	5/6/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-95	17.22	0	-6	-3	185	D
5/6/19 11:35	5/2/19	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-94	17.06	0	-6	-3	190	D
10/30/18 15:27	10/26/18	RMI	Rivernorth Opportunistic Municipal Income Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Investme	P	100	20.00	0	5	New	5	D
6/15/18 13:59	6/13/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-90	21.51	0	-4	-2	196	D
6/13/18 16:30	6/11/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-189	21.47	0	-9	-4	200	D
6/11/18 10:54	6/7/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-152	21.43	0	-7	-3	209	D
6/7/18 15:37	6/5/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-160	21.38	0	-8	-3	216	D
6/5/18 15:02	6/1/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-223	21.37	0	-10	-4	223	D
5/31/18 15:46	5/29/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-266	21.27	0	-13	-5	234	D
4/17/18 16:42	4/11/18	RMPLX	Rivernorth Marketplace Lending Corp		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Investme	S	-991	23.96	0	-41	-100	0	D
1/12/18 16:11	1/10/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-153	20.74	0	-7	-3	246	D
1/10/18 15:26	1/8/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-289	20.67	0	-14	-5	254	D
1/5/18 11:36	1/3/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-107	20.28	0	-5	-2	273	D
1/3/18 15:51	1/2/18	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-261	20.10	0	-13	-5	273	D
12/26/17 16:58	12/21/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-265	19.75	0	-13	-4	286	D
10/31/17 14:39	10/30/17	RIVRT	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-4	0.2344	0	-18	-6	262	D
10/25/17 16:56	10/23/17	RIVRT	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-4	0.2200	0	-20	-7	280	D
10/13/17 11:46	10/9/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-302	21.01	0	-14	-5	299	D
10/10/17 12:49	10/5/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-145	20.72	0	-7	-10	62	D
9/20/17 14:10	9/18/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-78	21.09	0	-4	-1	321	D
9/18/17 14:37	9/14/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-17	21.12	0	-1	0	324	D
9/12/17 15:56	9/8/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-59	21.01	0	-3	-1	325	D
9/7/17 16:56	9/5/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-175	21.09	0	-8	-2	328	D
5/22/17 16:32	5/18/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-26	19.85	0	-1	0	336	D
5/18/17 12:41	5/16/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-8	19.98	0	0	0	338	D		18	11	2	2	-1	-2	-1
4/26/17 17:05	4/24/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-40	19.97	0	-2	-1	338	D		21	9	7	4	3	1	1	0	0
4/24/17 17:24	4/20/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-40	19.95	0	-2	-1	340	D		17	7	3	2	1	-1	-1	1	1
4/21/17 10:22	4/19/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-32	19.81	0	-2	0	342	D		17	7	5	3	2	1	0	-1	1
4/18/17 15:47	4/13/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-85	19.81	0	-4	-1	344	D		22	7	7	3	3	2	0	-1	0
4/13/17 17:54	4/11/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-84	19.94	0	-4	-1	348	D		24	6	7	1	3	1	0	0	0	-1
4/11/17 17:18	4/7/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-62	19.80	0	-3	-1	352	D		26	6	6	2	2	1	1	-1	-1	0
4/7/17 18:40	4/5/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-39	19.71	0	-2	-1	355	D		26	5	7	1	1	1	1	0	1	2
4/6/17 10:03	4/3/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-51	19.69	0	-3	-1	357	D		25	6	7	1	1	1	0	0	1	2
4/3/17 19:12	3/30/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-67	19.65	0	-3	-1	360	D		23	5	6	0	2	0	0	0	1	3
3/23/17 17:36	3/21/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-39	19.60	0	-2	-85	0	D		24	6	7	0	0	1	0	0	0	2
3/10/17 17:04	3/8/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-122	19.66	0	-6	-2	365	D		24	2	7	0	-1	0	0	0	1	2
3/1/17 15:27	2/27/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-10	19.90	0	-1	0	372	D		30	5	5	3	0	-1	-1	2	0	0
3/1/17 10:27	2/27/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-20	19.85	0	-1	0	372	D		30	5	5	3	0	-1	-1	2	0	0
2/22/17 14:16	2/17/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-10	19.81	0	0	0	373	D		33	7	7	5	2	1	0	0	-1	0
2/14/17 15:10	2/10/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S.m	-19	19.92	0	-1	0	374	D		36	7	9	6	4	1	1	-1	0	-2
2/8/17 18:09	2/6/17	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	S	-10	19.83	0	-1	0	375	D		41	8	8	6	2	2	0	-1	0	-1	3
12/6/16 16:08	9/22/16	RMPLX	Rivernorth Marketplace Lending Corp		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	Investme	P	1,000	25.00	0	40	New	40	D
11/2/16 16:32	10/27/16	FTF	Franklin Ltd Duration Income Trust		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	T		P	0	0.00	1	0	1	2	I	10	14	7	3	1	1	-2	-2	0	2	0	5	6
8/22/16 20:42	8/18/16	FTF	Franklin Ltd Duration Income Trust		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	T		P	0	0.00	1	0	0	2	I	7	14	17	5	3	2	1	0	1	1	1	1	6
5/5/16 15:29	4/13/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	T		S	0	0.00	0	-1	-100	0	I	-9	0	6	17	4	4	1	-1	0	-1	2	8	8
12/30/15 16:13	12/29/15	RIV	Rivernorth Opportunities Fund, Inc.		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	H	SUBADVIS	P	7,500	20.00	0	375	New	375	D
9/23/15 19:37	9/1/15	AFB	Alliancebernstein National Municipal Income Fund		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	T		S	0	0.00	1	-1	-100	0	I	19	4	1	1	1	3	1	1	0	0	2	3	12	17
9/23/15 19:34	9/1/15	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	T		S	0	0.00	0	-1	-100	0	I	26	8	0	3	2	3	2	1	0	0	2	4	10	17
11/14/14 17:28	11/12/14	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Rivernorth Capital Management, LLC	IL	T		P	0	0.00	0	1	139	1	I	-3	20	7	5	3	0	-1	-1	-1	-2	-1	0	4	9

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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