RIVERNORTH CAPITAL MANAGEMENT, LLC Q3 2016 Filing

Filed November 14, 2016

Portfolio Value

$1.4T

Holdings

139

Report Date

Q3 2016

Filing Type

13F-HR

All Holdings (139 positions)

#	Stock	Shares	Value	% Portfolio
1	—AMERICAN CAP LTD	3,494,752	$59.1B	4.29%
2	GLOCLOUGH GLOBAL OPPORTUNITIES	5,002,138	$48.4B	3.51%
3	USALIBERTY ALL STAR EQUITY FD	7,597,145	$39.4B	2.86%
4	BTZBLACKROCK CR ALLCTN INC TR	2,928,413	$39.1B	2.84%
5	—PIMCO DYNMIC CREDIT AND MRT	1,711,225	$34.9B	2.53%
6	XJQCXNUVEEN CR STRATEGIES INCM FD	3,974,286	$33.7B	2.45%
7	RVTROYCE VALUE TR INC	2,548,342	$32.3B	2.34%
8	XEVVXEATON VANCE LTD DUR INCOME F	2,251,972	$30.9B	2.24%
9	STEWBOULDER GROWTH & INCOME FD I	3,181,815	$26.7B	1.94%
10	VWOVANGUARD INTL EQUITY INDEX F	690,375	$26.0B	1.89%
11	BRWTEMPLETON GLOBAL INCOME FD	3,973,980	$24.8B	1.80%
12	—BLACKROCK DEBT STRAT FD INC	6,568,680	$24.0B	1.74%
13	VVRINVESCO SR INCOME TR	5,530,342	$23.9B	1.74%
14	SPYSPDR S&P 500 ETF TR	110,659	$23.9B	1.74%
15	TYTRI CONTL CORP	1,084,537	$23.2B	1.68%
16	XGLQXCLOUGH GLOBAL EQUITY FD	2,036,719	$23.2B	1.68%
17	ADXADAMS DIVERSIFIED EQUITY FD	1,739,841	$22.9B	1.66%
18	PRFUSDPOWERSHARES ETF TRUST	240,668	$22.5B	1.64%
19	BITBLACKROCK MULTI-SECTOR INC T	1,240,071	$21.2B	1.54%
20	—INVESCO DYNAMIC CR OPP FD	1,790,331	$21.1B	1.53%
21	HIOWESTERN ASSET HIGH INCM OPP	4,125,913	$20.8B	1.51%
22	BGBBLACKSTONE GSO STRATEGIC CR	1,374,529	$20.5B	1.49%
23	ERCWELLS FARGO MULTI SECTOR INC	1,404,439	$18.2B	1.32%
24	VEAVANGUARD TAX MANAGED INTL FD	482,753	$18.1B	1.31%
25	—ALPINE TOTAL DYNAMIC DIVID F	2,286,797	$17.4B	1.27%
26	—WESTERN ASSET EMRG MKT INCM	1,455,884	$16.8B	1.22%
27	—LEGG MASON BW GLB INC OPP FD	1,176,630	$16.0B	1.16%
28	HYTBLACKROCK CORPOR HI YLD FD I	1,471,606	$15.9B	1.16%
29	AVKADVENT CLAYMORE CV SECS & IN	1,091,736	$15.9B	1.16%
30	FDDFIRST TR HIGH INCOME L/S FD	1,020,568	$15.9B	1.16%
31	—PRUDENTIAL GLB SHT DUR HG YL	1,050,222	$15.9B	1.15%
32	ARDCARES DYNAMIC CR ALLOCATION F	1,039,897	$15.4B	1.12%
33	TEITEMPLETON EMERG MKTS INCOME	1,244,514	$13.7B	0.99%
34	EDDMORGAN STANLEY EM MKTS DM DE	1,699,231	$13.6B	0.99%
35	—VOYA PRIME RATE TR	2,570,747	$13.6B	0.99%
36	FTFFRANKLIN LTD DURATION INC TR	1,121,293	$13.6B	0.98%
37	—BROOKFIELD MTG OPP INC FD IN	894,979	$13.4B	0.98%
38	GAMGENERAL AMERN INVS INC	378,646	$12.4B	0.90%
39	XNROXNEUBERGER BERMAN RE ES SEC F	2,121,675	$12.1B	0.88%
40	JLSNUVEEN MTG OPPORTUNITY TERM	483,170	$11.7B	0.85%
41	XBOEXBLACKROCK GLOBAL OPP EQTY TR	926,778	$11.4B	0.82%
42	—ADVENT CLAY CONV SEC INC FD	1,917,816	$11.0B	0.80%
43	MMTMFS MULTIMARKET INCOME TR	1,738,449	$10.6B	0.77%
44	—ZWEIG FD	800,942	$10.4B	0.75%
45	CEFCENTRAL FD CDA LTD	737,465	$10.2B	0.74%
46	MCRMFS CHARTER INCOME TR	1,163,436	$10.1B	0.73%
47	—ABERDEEN ASIA PACIFIC INCOM	1,913,505	$9.8B	0.71%
48	HYIWESTERN ASSET HGH YLD DFNDFD	635,622	$9.8B	0.71%
49	XEVGXEATON VANCE SH TM DR DIVR IN	701,694	$9.6B	0.70%
50	NXDTNEXPOINT CR STRATEGIES FD	425,650	$9.5B	0.69%
51	—ALLIANZGI EQUITY & CONV INCO	502,577	$9.4B	0.68%
52	—POWERSHARES ETF TR II	521,245	$9.3B	0.68%
53	FUNDSPROTT FOCUS TR INC	1,322,369	$9.1B	0.66%
54	PPTPUTNAM PREMIER INCOME TR	1,854,219	$9.1B	0.66%
55	—MVC CAPITAL INC	1,079,237	$8.9B	0.65%
56	—VIRTUS TOTAL RETURN FD	1,850,889	$8.8B	0.64%
57	JGHNUVEEN GLOBAL HIGH INCOME FD	553,895	$8.7B	0.63%
58	ZTRVIRTUS GLOBAL DIVID INCOME F	687,386	$8.3B	0.60%
59	BGXBLACKSTONE GSO LNG SHRT CR I	487,881	$7.6B	0.55%
60	—RYDEX ETF TRUST	49,099	$7.5B	0.54%
61	XSCDXLMP CAP & INCOME FD INC	532,647	$7.3B	0.53%
62	GDOWESTERN ASSET GLOBAL CP DEFI	408,642	$7.2B	0.53%
63	—NUVEEN GLOBAL EQUITY INCOME	587,886	$7.0B	0.51%
64	—DEUTSCHE HIGH INCOME OPPORT	493,475	$7.0B	0.51%
65	—ALLIANZGI DIVERS INC & CNV F	364,829	$6.9B	0.50%
66	—OHA INVT CORP	2,087,830	$6.6B	0.48%
67	WIWWESTERN ASSET CLYM INFL OPP	582,157	$6.5B	0.47%
68	—DEUTSCHE MULTI-MKT INCOME TR	756,755	$6.5B	0.47%
69	—APOLLO TACTICAL INCOME FD IN	408,448	$6.3B	0.46%
70	NHSNEUBERGER BERMAN HGH YLD FD	532,370	$6.3B	0.46%
71	—GSV CAP CORP	1,335,740	$6.3B	0.46%
72	MSDMORGAN STANLEY EMER MKTS DEB	636,542	$6.1B	0.45%
73	—NUVEEN LG/SHT COMMODITY TOTR	455,394	$6.0B	0.44%
74	XEMDXWESTERN ASSET EMRG MKT DEBT	363,591	$5.9B	0.43%
75	NEANUVEEN SR INCOME FD	872,013	$5.7B	0.41%
76	—ADVENT CLAYMORE ENH GRW & IN	679,452	$5.7B	0.41%
77	EVFEATON VANCE SR INCOME TR	863,252	$5.6B	0.40%
78	GDXVANECK VECTORS ETF TR	209,517	$5.5B	0.40%
79	XFEBFIRST TR ABERDEEN GLBL OPP F	468,449	$5.5B	0.40%
80	—SPECIAL OPPORTUNITIES FD INC	207,430	$5.4B	0.39%
81	GLVCLOUGH GLOBAL DIVND AND INC	438,245	$5.3B	0.39%
82	—WESTERN ASSET WORLDWIDE INCO	432,510	$5.0B	0.36%
83	CIKCREDIT SUISSE ASSET MGMT INC	1,532,763	$4.8B	0.35%
84	—AVENUE INCOME CR STRATEGIES	370,560	$4.8B	0.35%
85	BGHBARINGS GLOBAL SHORT DURATIO	254,019	$4.7B	0.34%
86	XFRAXBLACKROCK FLOAT RATE OME STR	332,786	$4.6B	0.33%
87	IGRCBRE CLARION GLOBAL REAL EST	525,117	$4.4B	0.32%
88	—DEUTSCHE HIGH INCOME TR	473,923	$4.4B	0.32%
89	—MORGAN STANLEY TRUSTS	230,385	$4.4B	0.32%
90	CIFMFS INTERMEDIATE HIGH INC FD	1,669,713	$4.3B	0.31%
91	—FULL CIRCLE CAP CORP	1,620,992	$4.3B	0.31%
92	—ALPINE GLOBAL PREMIER PPTYS	764,371	$4.2B	0.31%
93	—FIFTH STR ASSET MGMT INC	732,666	$4.0B	0.29%
94	—BROOKFIELD HIGH INCOME FD IN	540,922	$4.0B	0.29%
95	—GARRISON CAP INC	387,780	$3.9B	0.29%
96	GDLGDL FUND	383,472	$3.8B	0.28%
97	IWMISHARES TR	30,000	$3.7B	0.27%
98	RMTROYCE MICRO-CAP TR INC	462,375	$3.6B	0.26%
99	EHIWESTERN ASSET GLB HI INCOME	333,455	$3.4B	0.25%
100	—ABERDEEN EMERGING MKTS SMALL	268,587	$3.4B	0.25%

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