0001398344-17-011936.txt : 20170912 0001398344-17-011936.hdr.sgml : 20170912 20170912155647 ACCESSION NUMBER: 0001398344-17-011936 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170908 FILED AS OF DATE: 20170912 DATE AS OF CHANGE: 20170912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Galley Patrick W. CENTRAL INDEX KEY: 0001646929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22472 FILM NUMBER: 171081107 MAIL ADDRESS: STREET 1: 325 N. LASALLE STREET STREET 2: SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schmucker Brian H CENTRAL INDEX KEY: 0001662166 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22472 FILM NUMBER: 171081106 MAIL ADDRESS: STREET 1: 325 NORTH LASALLE STREET STREET 2: SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001447578 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22472 FILM NUMBER: 171081108 BUSINESS ADDRESS: STREET 1: 325 N. LASALLE STREET STREET 2: SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 BUSINESS PHONE: 312-832-0409 MAIL ADDRESS: STREET 1: 325 N. LASALLE STREET STREET 2: SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 FORMER NAME: FORMER CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, INC. DATE OF NAME CHANGE: 20081009 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERNORTH OPPORTUNITIES FUND, INC. CENTRAL INDEX KEY: 0001501072 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 325 NORTH LASALLE STREET STREET 2: SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 BUSINESS PHONE: 312-832-1440 MAIL ADDRESS: STREET 1: 325 NORTH LASALLE STREET STREET 2: SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 FORMER COMPANY: FORMER CONFORMED NAME: RIVERNORTH TACTICAL OPPORTUNITIES FUND, INC. DATE OF NAME CHANGE: 20100909 4 1 fp0028061_4.xml OWNERSHIP DOCUMENT X0306 4 2017-09-08 0 0001501072 RIVERNORTH OPPORTUNITIES FUND, INC. RIV 0001447578 RIVERNORTH CAPITAL MANAGEMENT, LLC 325 N. LASALLE STREET SUITE 645 CHICAGO IL 60654 0 0 0 1 Subadviser 0001646929 Galley Patrick W. 325 N. LASALLE STREET SUITE 645 CHICAGO IL 60654 1 0 0 0 0001662166 Schmucker Brian H 325 NORTH LASALLE STREET SUITE 645 CHICAGO IL 60654 0 0 0 1 CEO of Investment Adviser Common Stock 2017-09-08 2017-09-08 4 S 0 700 21.05 D 327390 D Common Stock 2017-09-08 2017-09-08 4 S 0 2100 21.00 D 325290 D RiverNorth Capital Management, LLC serves as the subadviser for the Fund. Indirect reporting persons Brian H. Schmucker, the Chief Executive Officer and a manager of RiverNorth Capital, and Patrick W. Galley, the Chief Investment Officer and a manager of RiverNorth Capital, each are principals of RiverNorth Holding Co., RiverNorth Capital's indirect parent company. Each of Messrs. Galley and Schmucker may be deemed to have the power to direct the voting or disposition of the Shares held by RiverNorth Capital, and may have direct beneficial interest in additional shares disclosed in previous filings. /s/ Marc Collins 2017-09-12