SEC Form 4 · accession 0001398344-17-012909
RIVERNORTH OPPORTUNITIES FUND, INC. · RIV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 5, 2017
Accepted (ET)
Oct 10, 2017 · 12:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501072
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 5, 2017 | S | 4,000 | $20.72 | D | 82,881 | D | |
| Common StockF1 | Oct 5, 2017 | S | 3,000 | $20.71 | D | 62,136 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1RiverNorth 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.