0001398344-19-010590.txt : 20190617
0001398344-19-010590.hdr.sgml : 20190617
20190617132832
ACCESSION NUMBER: 0001398344-19-010590
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190606
FILED AS OF DATE: 20190617
DATE AS OF CHANGE: 20190617
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: 19901018
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
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: 19901019
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: 19901020
MAIL ADDRESS:
STREET 1: 325 NORTH LASALLE STREET
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: RIVERNORTH OPPORTUNITIES FUND, INC.
CENTRAL INDEX KEY: 0001501072
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0731
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
fp0043398_4.xml
X0306
4
2019-06-06
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
0
0
1
0
0001662166
Schmucker Brian H
325 NORTH LASALLE STREET
SUITE 645
CHICAGO
IL
60654
0
0
1
0
Common Stock
2019-06-06
2019-06-06
4
S
0
1329
16.92
D
177963
D
Common Stock
2019-06-06
2019-06-06
4
S
0
1191
16.95
D
176772
D
Common Stock
2019-06-10
2019-06-10
4
S
0
200
17.10
D
176572
D
Common Stock
2019-06-13
2019-06-13
4
S
0
4000
16.97
D
172572
D
Common Stock
2019-06-13
2019-06-13
4
S
0
1000
17.02
D
171572
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.
Marc Collins
2019-06-17