RiverNorth Opportunities Fund Inc (RIV)

FINANCE: GENERAL FINANCE
SIC: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES

325 NORTH LASALLE STREET CHICAGO, IL 60654

RiverNorth Opportunities Fund Inc is a non-diversified, closed-end management investment company incorporated in the USA. The Fund seeks total return consisting of capital appreciation and current income. The Fund persues a tactical asset allocation strategy and opportunistically investing under normal circumstances in closed-end funds and exchange-traded funds.

Data as of 2021-04-17 11:01:06 -0400
Market Cap175.413 Million Shares Outstanding10.052 Million Avg 30-day Volume92.751 Thousand
P/E Ratio0.0 Dividend Yield8.57 EPS0
Price/Sales Debt to Equity EBITDA
Price to Book Value0.0 Forward PE Enterprise Value
Total Cash Current Debt Gross Profit
BETA0.48512 52-week High/Low17.68 / 10.51 Next Earnings Date Price to Cash FLow (P/CF) -9999999.0
Data provided by IEX Cloud
View SEC Filings from RIV instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 0 0 0 (0.0%) 0 (0.0%)
Funds Holding: 26 25 4.0% 5 (0.3%) 4 (0.25%) 25.0%
13F shares: 1.754 Million 1.75 Million 0.22% 860.064 Thousand 864.983 Thousand -0.57%
% Ownership 17.5495 18.7232 -6.27% 8.604 9.2527 -7.01%
New Positions: 6 6 0.0% 3 2 50.0%
Increased Positions 10 5 100.0% 2
Closed Positions 5 4 25.0% 2
Reduced Positions 7 12 -41.67% 2
Total Calls
Total Puts
PUT/CALL Ratio
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding RIV (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding RIV BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

71.7 Thousand total shares from 10 transactions

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

RIVERNORTH CAPITAL MANAGEMENT, LLC

  • SUBADVISER
36,591 2021-04-13 9

SCHMUCKER BRIAN H

  • OFFICER OF SUBADVISER
4,000 2021-03-31 1

SWANSON DAVID

  • Director
1,032 2020-11-09 1

KHWAJA-DIXON SAREENA SECRETARY

  • Officer
0 2020-06-05 2

O'NEILL STEPHEN ANDREW

  • PORTFOLIO MANAGER
47,722 2020-03-23 0

GALLEY PATRICK W.

  • Director
140,571 2020-03-12 0

OAKES JOHN S.

  • Director
1,967 2019-11-12 0

HUTCHENS JOHN WAYNE

  • Director
4,990 2019-11-12 0

SPAHR LATON

  • PRESIDENT OF THE ADVISER
0 2019-11-04 0

RIVERNORTH CAPITAL MANAGEMENT, LLC

SCHMUCKER BRIAN H CHIEF EXECUTIVE OFFICER

GALLEY PATRICK W. CHIEF INVESTMENT OFFICER

  • Officer
  • Director
  • SUBADVISER
0 2019-10-22 9

SUTULA MATTHEW

  • INTERIM CCO
0 2019-09-03 0

RAIO JERRY

  • Director
0 2019-06-18 0

SLEIGHTHOLME MICHAEL

  • OFFICER OF INVESTMENT ADVISOR
0 2019-06-10 0

KERSCHEN JILL TREASURER

  • Officer
0 2019-06-04 0

BURNS KATHRYN TREASURER

  • Officer
0 2018-09-14 0

MAY JEREMY O PRINCIPAL EXECUTIVE OFFICER

  • Officer
  • Director
  • OFFICER OF INVESTMENT ADVISER
0 2018-04-24 0

SS&C TECHNOLOGIES HOLDINGS INC

  • AFFILIATE OF INV ADVISER
0 2018-04-16 0

NOYES RICHARD CRAIG

  • OFFICER OF INVESTMENT ADVISOR
0 2018-03-19 0

MOORE CHRISTOPHER SECRETARY

  • Officer
0 2017-06-19 0

FRENCH ALLEN ASSISTANT SECRETARY

  • Officer
0 2017-06-19 0

SWENSON BRADLEY J PRINCIPAL FINANCIAL OFFICER

  • Officer
  • OFFICER OF INVESTMENT ADVISER
0 2017-01-31 0

ALPS ADVISORS INC

  • INVESTMENT ADVISER
0 2017-01-10 0

KUCHLI ANDREA E ASSISTNT SECRETARY

  • Officer
0 2016-09-07 0

MELONI ANDREW P ASSISTANT TREASURER

  • Officer
0 2016-06-27 0

DURAN TROY ANTHONY

  • OFFICER OF INVESTMENT ADVISER
0 2016-03-29 0

NELSON ERIN DOUGLAS CHIEF COMPLIANCE OFFICER

  • Officer
0 2015-12-23 0

MURRAY ABIGAIL J SECRETARY

  • Officer
0 2015-12-23 0

BUCHANAN PATRICK D TREASURER

  • Officer
0 2015-12-23 0

CARTER THOMAS ANTHONY PRESIDENT, INTERESTED DIRECTOR

  • Officer
0 2015-12-23 0

BURKE EDMUND J

  • OFFICER OF INVESTMENT ADVISER
0 2015-12-23 0

PARMENTIER WILLIAM R JR

  • OFFICER OF INVESTMENT ADVISER
0 2015-12-23 0

HUNT AISHA

  • OFFICER OF INVESTMENT ADVISER
0 2015-12-23 0

RUPPEL VALERIE LYNN ASSISTANT SECRETARY

  • Officer
0 2015-12-23 0

CARTER JOHN K

  • Director
0 2015-12-23 0

COLLINS MARCUS L

  • OFFICER OF SUB ADVISER
0 2015-12-23 0

MOHRHARDT JONATHAN M.

  • OFFICER OF SUB ADVISER
0 2015-12-23 0

DST SYSTEMS INC

  • AFFILIATE OF INVESTMENT ADV
0 2015-12-23 0

ALPS HOLDINGS INC

  • AFFILIATE OF THE ADVISER
0 2015-12-23 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-04-15 17:12:31 -0400 2021-04-13 S 7,114 $17.77 d 36,591 direct 0.0 0.0 1 0.0 1

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-04-06 12:33:55 -0400 2021-04-05 S 4,000 $17.60 d 43,705 direct -0.2264 0.8489 0.8489 6 -0.6225 4

SCHMUCKER BRIAN H OFFICER OF SUBADVISER

2021-04-06 12:39:28 -0400 2021-04-01 S 7,616 $17.54 d 4,000 direct -0.2264 0.8489 0.8489 6 -0.6225 4

SCHMUCKER BRIAN H OFFICER OF SUBADVISER

2021-04-06 12:39:28 -0400 2021-03-31 S 15,000 $17.38 d 11,616 direct -0.2264 0.8489 0.8489 6 -0.6225 4

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-03-24 17:54:31 -0400 2021-03-21 S 6,279 $17.36 d 47,705 direct 0.3486 1.8594 1.8594 6 0.0 1

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-03-19 13:06:52 -0400 2021-03-17 S 5,000 $17.68 d 53,984 direct -0.5754 -0.6329 0.0 1 -0.9781 5

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-03-17 16:32:50 -0400 2021-03-15 S 5,510 $17.72 d 58,984 direct -0.0575 -1.0351 0.0 1 -1.0351 6

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-03-17 16:32:50 -0400 2021-03-12 S 5,000 $17.60 d 64,494 direct -0.0575 -1.0351 0.0 1 -1.0351 6

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-03-17 16:32:50 -0400 2021-03-05 S 8,500 $17.02 d 69,494 direct -0.0575 -1.0351 0.0 1 -1.0351 6

RIVERNORTH CAPITAL MANAGEMENT, LLC SUBADVISER

2021-03-04 16:04:09 -0500 2021-03-03 S 7,635 $17.37 d 77,994 direct 0.6425 2.9206 1.9276 4.0888 27 0.0 1

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 16:15:03 UTC -5.2524 5.3124 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 15:45:03 UTC -5.2524 5.3124 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 15:15:02 UTC -5.2524 5.3124 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 14:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 14:15:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 13:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 13:15:04 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-20 12:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 22:15:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 21:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 21:15:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 20:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 20:15:05 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 19:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 19:15:02 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 18:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 18:15:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 17:45:03 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 17:15:13 UTC -5.0783 5.1383 100000
RIVERNORTH OPPORTUNITIES FND RIV 2021-04-19 16:45:02 UTC -5.5551 5.6151 100000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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