RiverNorth Flexible Municipal Income Fund, Inc.
US ˙ NYSE ˙ US76883H1041

Pendahuluan

Halaman ini memberikan analisis komprehensif tentang sejarah perdagangan orang dalam yang diketahui dari Galley Patrick W.. Orang dalam adalah pejabat, direktur, atau investor signifikan dalam suatu perusahaan. Adalah ilegal bagi orang dalam untuk melakukan perdagangan di perusahaan mereka berdasarkan informasi spesifik yang tidak dipublikasikan. Ini tidak berarti bahwa mereka dilarang melakukan perdagangan apa pun di perusahaan mereka sendiri. Namun, mereka harus melaporkan semua perdagangan kepada SEC melalui Formulir 4. Terlepas dari pembatasan ini, penelitian akademis menunjukkan bahwa orang dalam - secara umum - cenderung mengungguli pasar di perusahaan mereka sendiri.

Rata-rata Profitabilitas Perdagangan

Profitabilitas perdagangan rata-rata adalah pengembalian rata-rata dari semua pembelian pasar terbuka yang dilakukan oleh orang dalam dalam tiga tahun terakhir. Untuk menghitung ini, kami memeriksa setiap pembelian pasar terbuka yang tidak direncanakan yang dilakukan oleh orang dalam, tidak termasuk semua perdagangan yang ditandai sebagai bagian dari rencana perdagangan 10b5-1. Kami kemudian menghitung kinerja rata-rata dari perdagangan tersebut selama 3, 6, dan 12 bulan, dengan merata-ratakan setiap durasi tersebut untuk menghasilkan metrik kinerja akhir untuk setiap perdagangan. Terakhir, kami merata-ratakan semua metrik kinerja untuk menghitung metrik kinerja untuk orang dalam. Daftar ini hanya mencakup orang dalam yang telah melakukan setidaknya tiga perdagangan dalam dua tahun terakhir.

Jika profitabilitas perdagangan orang dalam ini adalah "N/A", maka orang dalam tersebut belum melakukan pembelian di pasar terbuka dalam tiga tahun terakhir, atau perdagangan yang mereka lakukan terlalu baru untuk menghitung metrik kinerja yang andal.

Frekuensi Pembaruan: Setiap Hari

Lihat daftar pedagang dalam perusahaan yang paling menguntungkan.

Lihat Peringkat Tertinggi Orang Dalam
Perusahaan dengan Posisi Orang Dalam yang Dilaporkan

Pengajuan SEC menunjukkan bahwa Galley Patrick W. telah melaporkan kepemilikan atau perdagangan di perusahaan-perusahaan berikut:

Keamanan Judul Kepemilikan Terakhir yang Dilaporkan
US:RSF / RiverNorth Capital and Income Fund, Inc. Chief Executive Officer, Director 254,733
President, Director 2,700
US:RMM / Rivernorth Managed Duration Municipal Income Fund Inc. President, Director 15,000
US:RFM / RiverNorth Flexible Municipal Income Fund, Inc. President, Director 7,600
US:RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. President, Director 0
US:RIV / RiverNorth Opportunities Fund, Inc. President, Director 282,018
US:RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. President, Director 16,000
US:OPP / RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. President, Director 0
President, Director 0
Cara Membaca Grafik

Grafik berikut menunjukkan kinerja saham sekuritas setelah setiap perdagangan pasar terbuka yang tidak direncanakan yang dilakukan oleh Galley Patrick W.. Perdagangan yang tidak direncanakan adalah perdagangan yang tidak dilakukan sebagai bagian dari rencana perdagangan 10b5-1. Kinerja saham digambarkan sebagai perubahan persentase kumulatif dalam harga saham. Misalnya, jika perdagangan orang dalam dilakukan pada 1 Januari 2019, grafik akan menunjukkan perubahan persentase harian sekuritas hingga saat ini. Jika harga saham naik dari $10 menjadi $15 selama periode ini, perubahan persentase kumulatif dalam harga saham akan menjadi 50%. Perubahan harga dari $10 menjadi $20 akan menjadi 100%, dan perubahan harga dari $10 menjadi $5 akan menjadi -50%.

Pada akhirnya, kita mencoba menentukan seberapa erat korelasi perdagangan orang dalam dengan pengembalian berlebih (positif atau negatif) pada harga saham untuk melihat apakah orang dalam tersebut mengatur waktu perdagangannya untuk mendapatkan keuntungan dari informasi orang dalam. Pertimbangkan situasi di mana orang dalam melakukan hal ini. Dalam situasi ini, kita akan mengharapkan (a) pengembalian positif setelah pembelian, atau (b) pengembalian negatif setelah penjualan. Dalam kasus (a), grafik PEMBELIAN akan menunjukkan serangkaian kurva yang miring ke atas, menunjukkan pengembalian positif setelah setiap transaksi pembelian. Dalam kasus (b), grafik PENJUALAN akan menunjukkan serangkaian kurva yang miring ke bawah, menunjukkan pengembalian negatif setelah setiap transaksi penjualan.

Namun, ini saja tidak cukup untuk menarik kesimpulan. Jika, misalnya, harga saham perusahaan berada dalam tren kenaikan non-siklikal selama bertahun-tahun, maka kita akan mengharapkan semua plot pasca-pembelian memiliki kemiringan ke atas. Demikian pula, penurunan non-siklikal selama bertahun-tahun akan menghasilkan plot pasca-perdagangan dengan kemiringan ke bawah. Tak satu pun dari grafik ini akan menunjukkan aktivitas perdagangan orang dalam.

Indikator terkuat adalah situasi di mana harga saham sangat siklikal, dan terdapat sinyal positif pada grafik PEMBELIAN dan plot negatif pada grafik PENJUALAN. Situasi ini akan sangat menunjukkan adanya orang dalam yang mengatur waktu perdagangan untuk keuntungan finansial mereka.

Pembelian Orang Dalam RFM / RiverNorth Flexible Municipal Income Fund, Inc. - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2025-04-09 RFM Galley Patrick W. 400 13.8499 400 13.8499 5,540 34 14.4800 253 4.57
2025-04-09 RFM Galley Patrick W. 200 13.7850 200 13.7850 2,757
2025-04-09 RFM Galley Patrick W. 200 13.8415 200 13.8415 2,768
2025-04-09 RFM Galley Patrick W. 100 13.7902 100 13.7902 1,379
2025-04-08 RFM Galley Patrick W. 2,000 13.7000 2,000 13.7000 27,400
2025-04-08 RFM Galley Patrick W. 100 13.7700 100 13.7700 1,377
2025-04-08 RFM Galley Patrick W. 100 13.7900 100 13.7900 1,379
2025-04-08 RFM Galley Patrick W. 100 13.9100 100 13.9100 1,391
2025-04-08 RFM Galley Patrick W. 1,000 13.7900 1,000 13.7900 13,790
2025-04-08 RFM Galley Patrick W. 2,000 13.7500 2,000 13.7500 27,500
2020-05-21 RFM Galley Patrick W. 100 18.7400 100 18.7400 1,874
2020-05-21 RFM Galley Patrick W. 400 18.6000 400 18.6000 7,440
2020-05-21 RFM Galley Patrick W. 400 18.7300 400 18.7300 7,492
2020-05-21 RFM Galley Patrick W. 500 18.7300 500 18.7300 9,365

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RFM / RiverNorth Flexible Municipal Income Fund, Inc. Insider Trades
Penjualan Orang Dalam RFM / RiverNorth Flexible Municipal Income Fund, Inc. - Analisis Kerugian Jangka Pendek

Pada bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan internal pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
Tidak ada transaksi pasar terbuka tak terduga yang diketahui untuk kombinasi orang dalam dan sekuritas ini.

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RFM / RiverNorth Flexible Municipal Income Fund, Inc. Insider Trades
Pembelian Orang Dalam RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2022-10-03 RFMZ Galley Patrick W. 3,725 13.6000 3,725 13.6000 50,660 122 14.8900 4,805 9.49
2022-10-03 RFMZ Galley Patrick W. 63 13.5700 63 13.5700 855
2022-10-03 RFMZ Galley Patrick W. 100 13.5900 100 13.5900 1,359
2022-10-03 RFMZ Galley Patrick W. 300 13.5800 300 13.5800 4,074
2022-10-03 RFMZ Galley Patrick W. 2,812 13.5900 2,812 13.5900 38,215
2022-09-30 RFMZ Galley Patrick W. 1 13.2000 1 13.2000 13
2022-09-30 RFMZ Galley Patrick W. 999 13.2000 999 13.2000 13,187
2022-09-30 RFMZ Galley Patrick W. 1,000 13.3200 1,000 13.3200 13,320
2022-09-28 RFMZ Galley Patrick W. 1,000 13.5700 1,000 13.5700 13,570
2022-09-28 RFMZ Galley Patrick W. 1,000 13.5800 1,000 13.5800 13,580
2022-05-05 RFMZ Galley Patrick W. 2,500 14.6900 2,500 14.6900 36,725
2022-05-05 RFMZ Galley Patrick W. 2,500 14.6000 2,500 14.6000 36,500
2022-05-05 RFMZ Galley Patrick W. 5,000 14.6500 5,000 14.6500 73,250

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. Insider Trades
Penjualan Orang Dalam RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. - Analisis Kerugian Jangka Pendek

Pada bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan internal pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
Tidak ada transaksi pasar terbuka tak terduga yang diketahui untuk kombinasi orang dalam dan sekuritas ini.

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. Insider Trades
Pembelian Orang Dalam RIV / RiverNorth Opportunities Fund, Inc. - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2022-11-15 RIV Galley Patrick W. 41,899 0.0000 41,899 0.0000 0 28 13.2900 556,838
2020-03-12 RIV Galley Patrick W. 1,876 12.4500 1,876 12.4500 23,356
2020-03-12 RIV Galley Patrick W. 1,000 12.4800 1,000 12.4800 12,480
2019-11-07 RIV Galley Patrick W. 33,168 16.2000 33,168 16.2000 537,322
2018-12-21 RIV Galley Patrick W. 2,000 14.5325 2,000 14.5325 29,065
2017-10-04 RIV Galley Patrick W. 100 20.4800 100 20.4800 2,048
2015-12-29 RIV Galley Patrick W. 25,000 20.0000 25,000 20.0000 500,000

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RIV / RiverNorth Opportunities Fund, Inc. Insider Trades
Penjualan Orang Dalam RIV / RiverNorth Opportunities Fund, Inc. - Analisis Kerugian Jangka Pendek

Pada bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan internal pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
2019-10-23 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 10,290 0.0600 10,290 0.0600 617 731
2019-10-22 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 51,429 0.0401 51,429 0.0401 2,062
2019-10-21 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 47,938 0.0359 47,938 0.0359 1,721
2019-10-18 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 14,465 0.0601 14,465 0.0601 869
2019-10-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.6300 2,000 16.6300 33,260
2019-10-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.6700 2,000 16.6700 33,340
2019-10-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,522 16.7000 1,522 16.7000 25,417
2019-10-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 16.8900 1,000 16.8900 16,890
2019-10-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 16.8800 1,000 16.8800 16,880
2019-10-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,429 16.9200 1,429 16.9200 24,179
2019-09-26 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,000 17.1200 5,000 17.1200 85,600
2019-09-25 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,700 17.2400 2,700 17.2400 46,548
2019-09-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 109 17.1900 109 17.1900 1,874
2019-09-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 570 17.1800 570 17.1800 9,793
2019-08-28 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 624 16.9500 624 16.9500 10,577
2019-08-27 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 16.9500 3,000 16.9500 50,850
2019-08-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 17.4000 3,000 17.4000 52,200
2019-08-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,300 17.4500 3,300 17.4500 57,585
2019-07-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,755 17.4000 1,755 17.4000 30,537
2019-07-15 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,018 17.6500 4,018 17.6500 70,918
2019-07-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,500 17.6200 5,500 17.6200 96,910
2019-07-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 17.4500 3,000 17.4500 52,350
2019-07-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,372 17.5000 2,372 17.5000 41,510
2019-07-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 400 17.4200 400 17.4200 6,968
2019-07-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 738 17.3600 738 17.3600 12,812
2019-07-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,500 17.3100 4,500 17.3100 77,895
2019-07-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,400 17.2600 3,400 17.2600 58,684
2019-07-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 370 17.2600 370 17.2600 6,386
2019-06-21 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 581 17.1000 581 17.1000 9,935
2019-06-20 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 17.0700 2,000 17.0700 34,140
2019-06-18 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 513 17.0700 513 17.0700 8,757
2019-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,000 16.9700 4,000 16.9700 67,880
2019-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 17.0200 1,000 17.0200 17,020
2019-06-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 200 17.1000 200 17.1000 3,420
2019-06-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 671 16.9200 671 16.9200 11,353
2019-06-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,329 16.9200 1,329 16.9200 22,487
2019-06-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,191 16.9500 1,191 16.9500 20,187
2019-06-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.9200 2,000 16.9200 33,840
2019-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.9000 2,000 16.9000 33,800
2019-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 800 16.8800 800 16.8800 13,504
2019-05-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,500 17.2200 5,500 17.2200 94,710
2019-05-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,500 17.0600 5,500 17.0600 93,830
2018-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,500 21.5000 3,500 21.5000 75,250
2018-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 678 21.5500 678 21.5500 14,611
2018-06-12 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.4500 3,000 21.4500 64,350
2018-06-12 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 300 21.5100 300 21.5100 6,453
2018-06-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.4600 3,000 21.4600 64,380
2018-06-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,500 21.4900 2,500 21.4900 53,725
2018-06-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 17 21.5000 17 21.5000 366
2018-06-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,500 21.4000 2,500 21.4000 53,500
2018-06-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 618 21.4200 618 21.4200 13,238
2018-06-07 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,500 21.4500 3,500 21.4500 75,075
2018-06-07 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 453 21.4700 453 21.4700 9,726
2018-06-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,000 21.3600 4,000 21.3600 85,440
2018-06-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,500 21.4000 3,500 21.4000 74,900
2018-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.3500 3,000 21.3500 64,050
2018-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.3700 2,000 21.3700 42,740
2018-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,437 21.4000 2,437 21.4000 52,152
2018-06-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,008 21.3700 1,008 21.3700 21,541
2018-06-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.3500 2,000 21.3500 42,700
2018-05-30 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.2900 2,000 21.2900 42,580
2018-05-30 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.3100 3,000 21.3100 63,930
2018-05-29 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.2300 2,000 21.2300 42,460
2018-05-29 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.2500 3,000 21.2500 63,750
2018-05-29 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,500 21.2700 2,500 21.2700 53,175
2018-01-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,400 20.7400 7,400 20.7400 153,476
2018-01-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,000 20.7500 7,000 20.7500 145,250
2018-01-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,000 20.5900 7,000 20.5900 144,130
2018-01-03 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,300 20.2800 5,300 20.2800 107,484
2018-01-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 8,000 20.0800 8,000 20.0800 160,640
2018-01-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,000 20.1200 5,000 20.1200 100,600
2017-10-30 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 7,860 0.2400 7,860 0.2400 1,886
2017-10-30 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 10,000 0.2300 10,000 0.2300 2,300
2017-10-23 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 19,691 0.2200 19,691 0.2200 4,332
2017-10-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 20.9700 3,000 20.9700 62,910
2017-10-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,374 21.0500 4,374 21.0500 92,073
2017-10-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,000 21.0000 7,000 21.0000 147,000
2017-10-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,000 20.7200 4,000 20.7200 82,880
2017-10-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 20.7100 3,000 20.7100 62,130
2017-09-18 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,700 21.0900 3,700 21.0900 78,033
2017-09-14 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 620 21.1200 620 21.1200 13,094
2017-09-14 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 180 21.1100 180 21.1100 3,800
2017-09-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 700 21.0500 700 21.0500 14,735
2017-09-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,100 21.0000 2,100 21.0000 44,100
2017-09-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 21.0300 1,000 21.0300 21,030
2017-09-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,300 21.1000 7,300 21.1000 154,030

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RIV / RiverNorth Opportunities Fund, Inc. Insider Trades
Pembelian Orang Dalam RMM / Rivernorth Managed Duration Municipal Income Fund Inc. - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2025-04-09 RMM Galley Patrick W. 2,000 13.1364 2,000 13.1364 26,273 34 14.0900 1,908 7.26
2025-04-09 RMM Galley Patrick W. 2,000 13.1450 2,000 13.1450 26,290
2025-04-08 RMM Galley Patrick W. 2,000 13.1100 2,000 13.1100 26,220
2025-04-08 RMM Galley Patrick W. 2,000 13.1600 2,000 13.1600 26,320
2025-04-08 RMM Galley Patrick W. 2,000 13.1800 2,000 13.1800 26,360
2022-02-11 RMMZ Galley Patrick W. 5,000 18.7500 5,000 18.7500 93,750
2019-07-26 RMM Galley Patrick W. 10,000 20.0000 10,000 20.0000 200,000

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RMM / Rivernorth Managed Duration Municipal Income Fund Inc. Insider Trades
Penjualan Orang Dalam RMM / Rivernorth Managed Duration Municipal Income Fund Inc. - Analisis Kerugian Jangka Pendek

Pada bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan internal pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
2022-11-04 RMM Galley Patrick W. 2,000 13.9100 2,000 13.9100 27,820 355 12.4200 -2,980 -10.71
2022-10-31 RMM Galley Patrick W. 2,900 13.6200 2,900 13.6200 39,498
2022-10-31 RMM Galley Patrick W. 100 13.6400 100 13.6400 1,364

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RMM / Rivernorth Managed Duration Municipal Income Fund Inc. Insider Trades
Pembelian Orang Dalam RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2022-02-14 RMMZ Galley Patrick W. 4,000 18.7000 4,000 18.7000 74,800 15 20.1900 5,960 7.97
2022-02-14 RMMZ Galley Patrick W. 1,000 18.5500 1,000 18.5500 18,550
2022-02-11 RMMZ Galley Patrick W. 5,000 18.7500 5,000 18.7500 93,750
2022-02-11 RMMZ Galley Patrick W. 5,000 18.7500 5,000 18.7500 93,750

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. Insider Trades
Penjualan Orang Dalam RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. - Analisis Kerugian Jangka Pendek

Pada bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan internal pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
2022-10-04 RMMZ Galley Patrick W. 200 15.7000 200 15.7000 3,140 365 13.8500 -370 -11.78
2022-10-04 RMMZ Galley Patrick W. 800 15.6500 800 15.6500 12,520
2022-10-03 RMMZ Galley Patrick W. 2,500 16.1000 2,500 16.1000 40,250
2022-10-03 RMMZ Galley Patrick W. 12 15.7500 12 15.7500 189
2022-10-03 RMMZ Galley Patrick W. 300 15.7300 300 15.7300 4,719
2022-10-03 RMMZ Galley Patrick W. 500 15.7800 500 15.7800 7,890
2022-10-03 RMMZ Galley Patrick W. 1,700 15.7600 1,700 15.7600 26,792
2022-10-03 RMMZ Galley Patrick W. 1,988 15.7100 1,988 15.7100 31,231
2022-09-30 RMMZ Galley Patrick W. 100 15.7200 100 15.7200 1,572
2022-09-30 RMMZ Galley Patrick W. 100 15.7600 100 15.7600 1,576
2022-09-30 RMMZ Galley Patrick W. 300 15.7400 300 15.7400 4,722
2022-09-30 RMMZ Galley Patrick W. 500 15.7100 500 15.7100 7,855
2022-09-30 RMMZ Galley Patrick W. 100 15.7200 100 15.7200 1,572
2022-09-30 RMMZ Galley Patrick W. 100 15.7600 100 15.7600 1,576
2022-09-30 RMMZ Galley Patrick W. 300 15.7400 300 15.7400 4,722
2022-09-30 RMMZ Galley Patrick W. 500 15.7100 500 15.7100 7,855
2022-09-28 RMMZ Galley Patrick W. 1,000 15.7900 1,000 15.7900 15,790

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. Insider Trades
Pembelian Orang Dalam RSF / RiverNorth Capital and Income Fund, Inc. - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2024-03-22 RSF Galley Patrick W. 100 16.0950 100 16.0950 1,610 3 16.1300 4 0.25
2023-02-03 RSF Galley Patrick W. 7,926 15.8400 7,926 15.8400 125,548
2023-02-03 RSF Galley Patrick W. 18,421 15.8400 18,421 15.8400 291,789
2023-02-03 RSF Galley Patrick W. 16,211 15.8400 16,211 15.8400 256,782
2020-03-27 RMPL Galley Patrick W. 185 23.8900 185 23.8900 4,420
2020-03-27 RMPL Galley Patrick W. 1,868 23.0000 1,868 23.0000 42,964
2020-03-27 RMPL Galley Patrick W. 15 23.9900 15 23.9900 360
2019-06-17 RSF Galley Patrick W. 500 19.6000 500 19.6000 9,800
2019-06-17 RSF Galley Patrick W. 300 19.7600 300 19.7600 5,928
2019-06-17 RSF Galley Patrick W. 200 19.7200 200 19.7200 3,944
2019-06-17 RSF Galley Patrick W. 169 19.5200 169 19.5200 3,299
2019-06-17 RSF Galley Patrick W. 100 19.5000 100 19.5000 1,950
2019-06-17 RSF Galley Patrick W. 100 19.7500 100 19.7500 1,975
2019-06-17 RSF Galley Patrick W. 31 19.5200 31 19.5200 605
2018-12-21 RMPL Galley Patrick W. 700 24.5571 700 24.5571 17,190
2018-12-20 RMPL Galley Patrick W. 1,000 24.6650 1,000 24.6650 24,665
2018-12-19 RMPL Galley Patrick W. 148 24.8034 148 24.8034 3,671
2018-12-19 RMPL Galley Patrick W. 852 24.7540 852 24.7540 21,090
2018-12-19 RMPL Galley Patrick W. 1,890 24.7026 1,890 24.7026 46,688
2018-12-17 RMPL Galley Patrick W. 600 24.7300 600 24.7300 14,838
2018-12-17 RMPL Galley Patrick W. 1,000 24.7350 1,000 24.7350 24,735
2018-12-17 RMPL Galley Patrick W. 100 24.7495 100 24.7495 2,475
2018-12-17 RMPL Galley Patrick W. 15 25.0600 15 25.0600 376
2018-12-17 RMPL Galley Patrick W. 246 24.7298 246 24.7298 6,084
2018-01-09 RMPL Galley Patrick W. 10,000 25.3000 10,000 25.3000 253,000
2018-01-09 RMPL Galley Patrick W. 5,000 25.2700 5,000 25.2700 126,350
2018-01-09 RMPL Galley Patrick W. 5,000 25.2600 5,000 25.2600 126,300
2017-12-26 RMPL Galley Patrick W. 1,000 25.2900 1,000 25.2900 25,290
2017-12-26 RMPL Galley Patrick W. 700 25.2800 700 25.2800 17,696
2017-12-26 RMPL Galley Patrick W. 100 25.3000 100 25.3000 2,530
2017-12-21 RMPL Galley Patrick W. 200 25.2000 200 25.2000 5,040
2017-12-21 RMPL Galley Patrick W. 400 25.2900 400 25.2900 10,116
2017-10-18 RMPL Galley Patrick W. 60,000 25.0000 60,000 25.0000 1,500,000
2017-09-07 RMPLX Galley Patrick W. 15,748 24.9300 15,748 24.9300 392,600
2017-01-04 [RMPLX] Galley Patrick W. 39,578 25.2200 39,578 25.2200 998,157
2016-10-25 [RMPLX] Galley Patrick W. 34,221 25.1800 34,221 25.1800 861,685

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RSF / RiverNorth Capital and Income Fund, Inc. Insider Trades
Penjualan Orang Dalam RSF / RiverNorth Capital and Income Fund, Inc. - Analisis Kerugian Jangka Pendek

Pada bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan internal pasar terbuka yang tidak direncanakan yang dilakukan di RFM / RiverNorth Flexible Municipal Income Fund, Inc.. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
2022-12-22 RMPL Galley Patrick W. 182 24.9000 182 24.9000 4,532 731
2022-12-22 RMPL Galley Patrick W. 45 24.8800 45 24.8800 1,120
2022-12-22 RMPL Galley Patrick W. 598 24.8700 598 24.8700 14,872
2022-12-22 RMPL Galley Patrick W. 21 24.8500 21 24.8500 522
2022-12-22 RMPL Galley Patrick W. 1,676 24.8300 1,676 24.8300 41,615
2022-12-22 RMPL Galley Patrick W. 3,976 24.8200 3,976 24.8200 98,684
2022-12-22 RMPL Galley Patrick W. 595 24.8100 595 24.8100 14,762
2018-04-11 RMPLX RIVERNORTH CAPITAL MANAGEMENT, LLC 41,369 23.9600 41,369 23.9600 991,201

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

RSF / RiverNorth Capital and Income Fund, Inc. Insider Trades
Sejarah Perdagangan Orang Dalam

Tabel ini menunjukkan daftar lengkap transaksi orang dalam yang dilakukan oleh Galley Patrick W. sebagaimana diungkapkan kepada Komisi Bursa Efek (Securities Exchange Commission/SEC).

Tanggal File Tanggal Transaksi Formulir Ticker Keamanan Kode 10b5-1 Saham Sisa Saham Persen
Ubah		 Bagikan
Harga		 Tran
Nilai		 Sisa
Nilai
2025-08-01 2025-07-11 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		J - Other 39,813 254,733 18.52 14.39 572,909 3,665,608
2025-07-16 2025-07-16 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		J - Other 10,033 214,920 4.90 14.68 147,284 3,155,026
2025-07-16 2025-07-16 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		J - Other 13,600 204,887 7.11 14.68 199,648 3,007,741
2025-04-28 2025-04-25 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 500 2,700 22.73 14.30 7,148 38,600
2025-04-28 2025-04-25 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 2,200 10.00 14.25 2,851 31,360
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 50 3,600 1.41 14.15 708 50,940
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 150 3,550 4.41 14.13 2,120 50,167
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 3,400 6.25 14.14 2,828 48,076
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 300 3,200 10.34 14.15 4,246 45,292
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 2,900 16.00 14.11 5,644 40,919
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 500 2,500 25.00 14.13 7,066 35,329
2025-04-10 2025-04-09 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 15,000 15.38 13.14 26,290 197,175
2025-04-10 2025-04-09 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 13,000 18.18 13.14 26,273 170,773
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 7,600 1.33 13.79 1,379 104,806
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 7,500 2.74 13.84 2,768 103,811
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 7,300 2.82 13.78 2,757 100,630
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 7,100 5.97 13.85 5,540 98,334
2025-04-10 2025-04-08 4/A RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 11,000 22.22 13.18 26,360 144,980
2025-04-10 2025-04-08 4/A RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 9,000 28.57 13.16 26,320 118,440
2025-04-10 2025-04-08 4/A RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 7,000 40.00 13.11 26,220 91,770
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 2,000 14.05 28,100 28,100
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 1,100 1,100 14.03 15,433 15,433
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 100 14.02 1,402 1,402
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 200 14.00 2,800 2,800
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 6,700 42.55 13.75 27,500 92,125
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 1,000 4,700 27.03 13.79 13,790 64,813
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 3,700 2.78 13.91 1,391 51,467
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 3,600 2.86 13.79 1,379 49,644
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 3,500 2.94 13.77 1,377 48,195
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 3,400 142.86 13.70 27,400 46,580
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 2,000 -50.00 14.05 -28,100 28,100
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -1,100 1,100 -50.00 14.03 -15,433 15,433
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 100 -50.00 14.02 -1,402 1,402
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -200 200 -50.00 14.00 -2,800 2,800
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 6,700 -22.99 13.75 -27,500 92,125
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -1,000 4,700 -17.54 13.79 -13,790 64,813
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 3,700 -2.63 13.91 -1,391 51,467
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 3,600 -2.70 13.79 -1,379 49,644
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 3,500 -2.78 13.77 -1,377 48,195
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 3,400 -37.04 13.70 -27,400 46,580
2025-04-09 2025-04-08 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 11,000 -15.38 13.18 -26,360 144,980
2025-04-09 2025-04-08 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 9,000 -18.18 13.16 -26,320 118,440
2025-04-09 2025-04-08 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 7,000 -22.22 13.11 -26,220 91,770
2024-04-29 2024-04-26 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		A - Award 68,414 237,061 40.57 15.04 1,028,947 3,565,397
2024-03-22 2024-03-22 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 100 168,647 0.06 16.10 1,610 2,714,373
2023-02-08 2023-02-03 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 16,211 168,547 10.64 15.84 256,782 2,669,784
2023-02-08 2023-02-03 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 18,421 150,126 13.99 15.84 291,789 2,377,996
2023-02-08 2023-02-03 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 7,926 142,200 5.90 15.84 125,548 2,252,448
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -595 43,926 -1.34 24.81 -14,762 1,089,804
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -3,976 44,521 -8.20 24.82 -98,684 1,105,011
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -1,676 48,497 -3.34 24.83 -41,615 1,204,181
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -21 50,173 -0.04 24.85 -522 1,246,799
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -598 50,194 -1.18 24.87 -14,872 1,248,325
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -45 50,792 -0.09 24.88 -1,120 1,263,705
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -182 50,837 -0.36 24.90 -4,532 1,265,841
2022-12-22 2022-10-04 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -800 0 -100.00 15.65 -12,520
2022-12-22 2022-10-04 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -200 800 -20.00 15.70 -3,140 12,560
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 0 -100.00 17.53 -1,753
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -209 100 -67.64 17.52 -3,662 1,752
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -300 309 -49.26 17.54 -5,262 5,420
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -900 609 -59.64 17.63 -15,867 10,737
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,800 1,509 -54.40 17.51 -31,518 26,423
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -4,000 3,309 -54.73 17.73 -70,920 58,669
2022-12-06 2022-11-15 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Shares of Beneficial Interest 		P - Purchase 41,899 282,018 17.45
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 7,309 -1.35 17.30 -1,730 126,446
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -5 7,409 -0.07 17.28 -86 128,028
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 7,414 -1.33 17.27 -1,727 128,040
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,300 7,514 -14.75 17.31 -22,503 130,067
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 8,814 -1.12 17.53 -1,753 154,509
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -700 8,914 -7.28 17.59 -12,313 156,797
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,505 9,614 -13.54 17.49 -26,322 168,149
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 11,119 -0.89 17.50 -1,750 194,582
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,595 11,219 -12.45 17.51 -27,928 196,445
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -186 12,814 -1.43 17.44 -3,244 223,476
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,650 13,000 -11.26 17.33 -28,594 225,290
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -3,900 14,650 -21.02 17.43 -67,977 255,350
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 18,550 -0.54 17.34 -1,734 321,657
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 18,650 -0.53 17.48 -1,748 326,002
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -700 18,750 -3.60 17.83 -12,481 334,312
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,400 19,450 -6.71 17.82 -24,948 346,599
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -2,390 20,850 -10.28 17.84 -42,638 371,964
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -380 23,240 -1.61 17.80 -6,764 413,672
2022-12-01 2022-11-30 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 23,620 -4.06 17.39 -17,390 410,752
2022-12-01 2022-11-30 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 24,620 -3.90 17.35 -17,350 427,157
2022-12-01 2022-11-30 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 25,620 -3.76 17.20 -17,200 440,664
2022-11-07 2022-11-04 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		S - Sale -2,000 5,000 -28.57 13.91 -27,820 69,550
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -792 26,620 -2.89 14.68 -11,627 390,782
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -3,000 27,412 -9.86 14.71 -44,130 403,231
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -200 30,412 -0.65 14.69 -2,938 446,752
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -8 30,612 -0.03 14.73 -118 450,915
2022-11-01 2022-10-31 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 7,000 -1.41 13.64 -1,364 95,480
2022-11-01 2022-10-31 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		S - Sale -2,900 7,100 -29.00 13.62 -39,498 96,702
2022-10-25 2022-10-24 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 11,870 -7.77 15.08 -15,080 179,000
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,988 1,000 -66.53 15.71 -31,231 15,710
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,700 2,988 -36.26 15.76 -26,792 47,091
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -500 4,688 -9.64 15.78 -7,890 73,977
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -300 5,188 -5.47 15.73 -4,719 81,607
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -12 5,488 -0.22 15.75 -189 86,436
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -2,500 5,500 -31.25 16.10 -40,250 88,550
2022-10-04 2022-02-14 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 1,000 18.55 18,550 18,550
2022-10-04 2022-02-14 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 4,000 9,000 80.00 18.70 74,800 168,300
2022-10-04 2022-02-11 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 5,000 5,000 18.75 93,750 93,750
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -500 8,000 -5.88 15.71 -7,855 125,680
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -300 8,500 -3.41 15.74 -4,722 133,790
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 8,800 -1.12 15.76 -1,576 138,688
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 8,900 -1.11 15.72 -1,572 139,908
2022-10-04 2022-09-28 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,000 9,000 -10.00 15.79 -15,790 142,110
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 2,812 16,000 21.32 13.59 38,215 217,440
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 300 13,188 2.33 13.58 4,074 179,093
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 100 12,888 0.78 13.59 1,359 175,148
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 63 12,788 0.50 13.57 855 173,533
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 3,725 12,725 41.39 13.60 50,660 173,060
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -500 3,000 -14.29 15.71 -7,855 47,130
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -300 3,500 -7.89 15.74 -4,722 55,090
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 3,800 -2.56 15.76 -1,576 59,888
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 3,900 -2.50 15.72 -1,572 61,308
2022-10-03 2022-09-30 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 9,000 12.50 13.32 13,320 119,880
2022-10-03 2022-09-30 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 999 8,000 14.27 13.20 13,187 105,600
2022-10-03 2022-09-30 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1 7,001 0.01 13.20 13 92,413
2022-09-30 2022-09-28 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,000 4,000 -20.00 15.79 -15,790 63,160
2022-09-30 2022-09-28 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 7,000 16.67 13.58 13,580 95,060
2022-09-30 2022-09-28 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 6,000 20.00 13.57 13,570 81,420
2022-09-30 2022-09-28 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -597 12,870 -4.43 15.85 -9,462 203,990
2022-05-06 2022-05-05 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 5,000 10,000 100.00 14.65 73,250 146,500
2022-05-06 2022-05-05 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 2,500 5,000 100.00 14.60 36,500 73,000
2022-05-06 2022-05-05 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 2,500 2,500 14.69 36,725 36,725
2022-02-17 2022-02-11 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 5,000 5,000 18.75 93,750 93,750
2022-02-15 2022-02-11 4 RMMZ RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 5,000 5,000 18.75 93,750 93,750
2022-02-14 3 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
No securities beneficially owned 		0
2021-10-08 2021-10-05 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Transferable Subscription Rights (OPP RT) 		D - Sale to Issuer -15,444 0 -100.00
2021-10-08 2021-09-13 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Transferable Subscription Rights (OPP RT) 		A - Award 15,444 15,444
2021-01-13 3 RFMX RiverNorth Flexible Municipal Income Fund II, Inc.
No securities beneficially owned 		0
2020-10-22 2020-10-20 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 900 11,719 8.32 14.90 13,410 174,613
2020-10-22 2020-10-20 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 900 10,819 9.07 14.88 13,392 160,987
2020-10-22 2020-10-20 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 1,300 9,919 15.08 14.90 19,370 147,793
2020-10-22 2020-10-10 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 3,700 16,319 29.32 14.90 55,130 243,153
2020-10-22 2020-10-10 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 900 12,619 7.68 14.89 13,401 187,897
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 500 1,400 55.56 18.73 9,365 26,222
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 900 80.00 18.73 7,492 16,857
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 500 400.00 18.60 7,440 9,300
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 100 18.74 1,874 1,874
2020-03-31 2020-03-27 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 15 8,619 0.17 23.99 360 206,770
2020-03-31 2020-03-27 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,868 8,604 27.73 23.00 42,964 197,892
2020-03-31 2020-03-27 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 185 6,736 2.82 23.89 4,420 160,923
2020-03-26 3 RFM RiverNorth Flexible Municipal Income Fund, Inc.
No securities beneficially owned 		0
2020-03-16 2020-03-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 1,000 140,571 0.72 12.48 12,480 1,754,326
2020-03-16 2020-03-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 1,876 139,571 1.36 12.45 23,356 1,737,659
2020-03-16 2020-03-12 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 597 13,467 4.64 21.65 12,925 291,561
2019-12-26 2019-12-17 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 6,111 15,444 65.48 16.21 99,059 250,347
2019-11-12 2019-11-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 33,168 137,695 31.73 16.20 537,322 2,230,659
2019-10-24 2019-10-23 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -10,290 0 -100.00 0.06 -617
2019-10-24 2019-10-22 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -51,429 10,290 -83.33 0.04 -2,062 413
2019-10-24 2019-10-01 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		A - Award 96,597 96,597
2019-10-22 2019-10-21 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -47,938 61,719 -43.72 0.04 -1,721 2,216
2019-10-22 2019-10-18 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -14,465 109,657 -11.65 0.06 -869 6,590
2019-10-18 2019-10-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,522 115,171 -1.30 16.70 -25,417 1,923,356
2019-10-18 2019-10-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 116,693 -1.69 16.67 -33,340 1,945,272
2019-10-18 2019-10-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 118,693 -1.66 16.63 -33,260 1,973,865
2019-10-18 2019-10-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		A - Award 124,122 124,122
2019-10-10 2019-10-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,429 120,693 -1.17 16.92 -24,179 2,042,126
2019-10-10 2019-10-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 122,122 -0.81 16.88 -16,880 2,061,419
2019-10-10 2019-10-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 123,122 -0.81 16.89 -16,890 2,079,531
2019-09-27 2019-09-26 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,000 124,122 -3.87 17.12 -85,600 2,124,969
2019-09-27 2019-09-25 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,700 129,122 -2.05 17.24 -46,548 2,226,063
2019-09-27 2019-09-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -570 131,822 -0.43 17.18 -9,793 2,264,702
2019-09-27 2019-09-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -109 132,392 -0.08 17.19 -1,874 2,275,818
2019-08-29 2019-08-28 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -624 132,501 -0.47 16.95 -10,577 2,245,892
2019-08-29 2019-08-27 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 133,125 -2.20 16.95 -50,850 2,256,469
2019-08-05 2019-08-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,300 136,125 -2.37 17.45 -57,585 2,375,381
2019-08-05 2019-08-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 139,425 -2.11 17.40 -52,200 2,425,995
2019-07-30 2019-07-26 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 10,000 10,000 20.00 200,000 200,000
2019-07-26 2019-07-23 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -5,880 12,870 -31.36 21.65 -127,302 278,636
2019-07-17 2019-07-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,755 142,425 -1.22 17.40 -30,537 2,478,195
2019-07-17 2019-07-15 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,018 144,180 -2.71 17.65 -70,918 2,544,777
2019-07-17 2019-07-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,500 148,198 -3.58 17.62 -96,910 2,611,249
2019-07-11 2019-07-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,372 153,698 -1.52 17.50 -41,510 2,689,715
2019-07-11 2019-07-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 156,070 -1.89 17.45 -52,350 2,723,422
2019-07-11 2019-07-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -400 159,070 -0.25 17.42 -6,968 2,770,999
2019-07-11 2019-07-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,500 159,470 -2.74 17.31 -77,895 2,760,426
2019-07-11 2019-07-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -738 163,970 -0.45 17.36 -12,812 2,846,519
2019-07-08 2019-07-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,400 164,708 -2.02 17.26 -58,684 2,842,860
2019-07-08 2019-07-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -370 168,108 -0.22 17.26 -6,386 2,901,544
2019-06-24 3 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
No securities beneficially owned 		0
2019-06-24 2019-06-21 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -581 168,478 -0.34 17.10 -9,935 2,880,974
2019-06-24 2019-06-20 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 169,059 -1.17 17.07 -34,140 2,885,837
2019-06-20 2019-06-18 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -513 171,059 -0.30 17.07 -8,757 2,919,977
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 31 69,852 0.04 19.52 605 1,363,511
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 100 69,821 0.14 19.75 1,975 1,378,965
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 100 69,721 0.14 19.50 1,950 1,359,560
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 169 69,621 0.24 19.52 3,299 1,359,002
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 200 69,452 0.29 19.72 3,944 1,369,593
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 300 69,252 0.44 19.76 5,928 1,368,420
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 500 68,952 0.73 19.60 9,800 1,351,459
2019-06-17 2019-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 171,572 -0.58 17.02 -17,020 2,920,155
2019-06-17 2019-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,000 172,572 -2.27 16.97 -67,880 2,928,547
2019-06-17 2019-06-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -200 176,572 -0.11 17.10 -3,420 3,019,381
2019-06-17 2019-06-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,191 176,772 -0.67 16.95 -20,187 2,996,285
2019-06-17 2019-06-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,329 177,963 -0.74 16.92 -22,487 3,011,134
2019-06-06 2019-06-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -671 179,265 -0.37 16.92 -11,353 3,033,164
2019-06-06 2019-06-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 179,936 -1.10 16.92 -33,840 3,044,517
2019-06-06 2019-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -800 181,963 -0.44 16.88 -13,504 3,071,535
2019-06-06 2019-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 182,763 -1.08 16.90 -33,800 3,088,695
2019-05-08 2019-05-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,500 184,763 -2.89 17.22 -94,710 3,181,619
2019-05-06 2019-05-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,500 190,263 -2.81 17.06 -93,830 3,245,887
2018-12-26 2018-12-21 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 2,000 89,974 2.27 14.53 29,065 1,307,547
2018-12-26 2018-12-21 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 700 88,951 0.79 24.56 17,190 2,184,379
2018-12-26 2018-12-21 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 2,000 9,333 27.27 15.20 30,405 141,885
2018-12-21 2018-12-20 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 2,000 7,333 37.50 15.27 30,545 111,993
2018-12-21 2018-12-20 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 3,000 5,333 128.59 15.20 45,605 81,070
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 50 2,333 2.19 15.55 778 36,278
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 1,950 2,283 585.59 15.55 30,327 35,506
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 200 333 150.38 15.57 3,115 5,186
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 133 133 15.59 2,073 2,073
2018-12-21 2018-12-20 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 2,000 87,974 2.33 14.84 29,685 1,305,754
2018-12-21 2018-12-19 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 2,000 85,974 2.38 15.00 30,005 1,289,825
2018-12-21 2018-12-19 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 1,000 83,974 1.21 15.03 15,035 1,262,532
2018-12-21 2018-12-19 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 2,000 82,974 2.47 15.02 30,045 1,246,477
2018-12-21 2018-12-20 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,000 88,251 1.15 24.66 24,665 2,176,711
2018-12-21 2018-12-19 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,890 87,251 2.21 24.70 46,688 2,155,327
2018-12-21 2018-12-19 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 852 85,361 1.01 24.75 21,090 2,113,026
2018-12-21 2018-12-19 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 148 84,509 0.18 24.80 3,671 2,096,111
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 246 84,361 0.29 24.73 6,084 2,086,231
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 15 84,115 0.02 25.06 376 2,107,922
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 100 84,100 0.12 24.75 2,475 2,081,433
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,000 84,000 1.20 24.74 24,735 2,077,740
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 600 83,000 0.73 24.73 14,838 2,052,590
2018-11-09 2018-11-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 30,659 80,974 60.93 16.93 519,057 1,370,890
2018-10-30 2018-10-26 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 5,010 5,010 20.00 100,200 100,200
2018-10-29 2018-10-26 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 37,500 37,500 20.00 750,000 750,000
2018-09-14 3 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
No securities beneficially owned 		0
2018-06-15 2018-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -678 195,763 -0.35 21.55 -14,611 4,218,693
2018-06-15 2018-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,500 196,441 -1.75 21.50 -75,250 4,223,482
2018-06-13 2018-06-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -300 199,941 -0.15 21.51 -6,453 4,300,731
2018-06-13 2018-06-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 200,241 -1.48 21.45 -64,350 4,295,169
2018-06-13 2018-06-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -17 203,241 -0.01 21.50 -366 4,369,682
2018-06-13 2018-06-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,500 203,258 -1.22 21.49 -53,725 4,368,014
2018-06-13 2018-06-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 205,758 -1.44 21.46 -64,380 4,415,567
2018-06-11 2018-06-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -618 208,758 -0.30 21.42 -13,238 4,471,596
2018-06-11 2018-06-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,500 209,376 -1.18 21.40 -53,500 4,480,646
2018-06-11 2018-06-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -453 211,876 -0.21 21.47 -9,726 4,548,978
2018-06-11 2018-06-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,500 212,329 -1.62 21.45 -75,075 4,554,457
2018-06-07 2018-06-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,500 215,829 -1.60 21.40 -74,900 4,618,741
2018-06-07 2018-06-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,000 219,329 -1.79 21.36 -85,440 4,684,867
2018-06-05 2018-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,437 223,329 -1.08 21.40 -52,152 4,779,241
2018-06-05 2018-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 225,766 -0.88 21.37 -42,740 4,824,619
2018-06-05 2018-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 227,766 -1.30 21.35 -64,050 4,862,804
2018-06-05 2018-06-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 230,766 -0.86 21.35 -42,700 4,926,854
2018-06-05 2018-06-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,008 232,766 -0.43 21.37 -21,541 4,974,209
2018-05-31 2018-05-30 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 233,774 -1.27 21.31 -63,930 4,981,724
2018-05-31 2018-05-30 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 236,774 -0.84 21.29 -42,580 5,040,918
2018-05-31 2018-05-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,500 238,774 -1.04 21.27 -53,175 5,078,723
2018-05-31 2018-05-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 241,274 -1.23 21.25 -63,750 5,127,072
2018-05-31 2018-05-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 244,274 -0.81 21.23 -42,460 5,185,937
2018-04-17 2018-04-11 4 RMPLX RiverNorth Marketplace Lending Corp
Common Stock 		S - Sale -41,369 0 -100.00 23.96 -991,201
2018-01-12 2018-01-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,400 246,274 -2.92 20.74 -153,476 5,107,723
2018-01-10 2018-01-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,000 253,674 -2.69 20.75 -145,250 5,263,736
2018-01-10 2018-01-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,000 260,674 -2.62 20.59 -144,130 5,367,278
2018-01-10 2018-01-09 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 5,000 82,400 6.46 25.26 126,300 2,081,424
2018-01-10 2018-01-09 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 5,000 77,400 6.91 25.27 126,350 1,955,898
2018-01-10 2018-01-09 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 10,000 72,400 16.03 25.30 253,000 1,831,720
2018-01-05 2018-01-03 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,300 272,674 -1.91 20.28 -107,484 5,529,829
2018-01-03 2018-01-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,000 272,974 -1.80 20.12 -100,600 5,492,237
2018-01-03 2018-01-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -8,000 277,974 -2.80 20.08 -160,640 5,581,718
2017-12-26 2017-12-26 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 100 62,400 0.16 25.30 2,530 1,578,720
2017-12-26 2017-12-26 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 700 62,300 1.14 25.28 17,696 1,574,944
2017-12-26 2017-12-26 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,000 61,600 1.65 25.29 25,290 1,557,864
2017-12-26 2017-12-21 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 400 60,600 0.66 25.29 10,116 1,532,574
2017-12-26 2017-12-21 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 200 60,200 0.33 25.20 5,040 1,517,040
2017-11-21 2017-11-15 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 18,676 44,710 71.74 19.54 364,929 873,633
2017-11-02 2017-10-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 100 26,034 0.39 20.48 2,048 533,176
2017-11-02 2017-10-18 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 60,000 60,000 25.00 1,500,000 1,500,000
2017-10-31 2017-10-30 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights 		S - Sale -10,000 261,867 -3.68 0.23 -2,300 60,229
2017-10-31 2017-10-30 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights 		S - Sale -7,860 271,867 -2.81 0.24 -1,886 65,248
2017-10-25 2017-10-23 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights 		S - Sale -19,691 279,727 -6.58 0.22 -4,332 61,540
2017-10-13 2017-10-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,374 299,416 -1.44 21.05 -92,073 6,302,707
2017-10-13 2017-10-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 303,790 -0.98 20.97 -62,910 6,370,476
2017-10-13 2017-10-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,000 306,790 -2.23 21.00 -147,000 6,442,590
2017-10-10 2017-10-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 62,136 -4.61 20.71 -62,130 1,286,837
2017-10-10 2017-10-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,000 82,881 -4.60 20.72 -82,880 1,717,286
2017-09-20 2017-09-18 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,700 320,790 -1.14 21.09 -78,033 6,765,461
2017-09-18 2017-09-14 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -180 324,490 -0.06 21.11 -3,800 6,849,984
2017-09-18 2017-09-14 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -620 324,670 -0.19 21.12 -13,094 6,857,030
2017-09-12 2017-09-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,100 325,290 -0.64 21.00 -44,100 6,831,090
2017-09-12 2017-09-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -700 327,390 -0.21 21.05 -14,735 6,891,560
2017-09-11 2017-09-07 4 RMPLX RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 15,748 55,326 39.79 24.93 392,600 1,379,280
2017-09-07 2017-09-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 328,090 -0.30 21.03 -21,030 6,899,733
2017-09-07 2017-09-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,300 329,090 -2.17 21.10 -154,030 6,943,799
2017-01-06 2017-01-04 4 [RMPLX] RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 39,578 39,578 25.22 998,157 998,157
2016-11-10 2016-10-25 4 [RMPLX] RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 34,221 34,221 25.18 861,685 861,685
2016-09-27 3 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
No securities beneficially owned 		0
2015-12-30 2015-12-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 25,000 25,000 20.00 500,000 500,000
2015-10-05 3 XMPLX RiverNorth Marketplace Lending Corp
No securities beneficially owned 		0
2015-07-06 3 BARB RiverNorth Multi-Strategy Arbitrage Fund, Inc.
No securities beneficially owned 		0
P
Pembelian sekuritas non-derivatif atau derivatif di pasar terbuka atau secara pribadi.
S
Penjualan terbuka atau penjualan pribadi atas sekuritas non-derivatif atau derivatif.
A
Hibah, penghargaan, atau perolehan sekuritas lainnya dari perusahaan (seperti opsi)
C
Konversi turunan
D
Penjualan atau pengalihan sekuritas kembali ke perusahaan.
F
Pembayaran harga pelaksanaan atau kewajiban pajak menggunakan sebagian sekuritas yang diterima dari perusahaan.
G
Pemberian sekuritas oleh atau kepada orang dalam.
K
Swap ekuitas dan transaksi lindung nilai serupa
M
Pelaksanaan atau konversi sekuritas derivatif yang diterima dari perusahaan (seperti opsi)
V
Transaksi yang dilaporkan secara sukarela pada Formulir 4.
J
Lainnya (disertai dengan catatan kaki yang menjelaskan transaksi tersebut)