RiverNorth 靈活市政收入基金公司
US ˙ NYSE ˙ US76883H1041

簡介

本頁面提供了有關 Galley Patrick W. 已知的內部交易歷史的全面分析。內部人士包括公司的高管、董事或重要投資者。一般而言，基於內幕、非公開信息進行交易是非法的。這並不意味著他們在自己的公司進行任何交易都是非法的。但是，他們必須透過Form 4向美國證券交易委員會（SEC）報告所有交易。盡管存在這些限制，學術研究表明，內部人士 - 整體而言 - 在自己公司中的投資表現往往優於市場。

平均交易盈利能力

「平均交易盈利能力」衡量了內部人士在過去三年中所有非計劃性的公開市場購買交易的平均回報率。計算過程包括檢查每筆交易，排除了作為10b5-1交易計劃的一部分的交易。然後，對每筆交易在3、6和12個月的表現進行平均，以生成該筆交易最終的表現指標。最終，將所有交易的表現指標進行平均，計算出內部人士的總體平均表現指標。列表僅包含在過去兩年中進行過至少三筆交易的內部人士。

如果內部人士的交易盈利能力顯示為"N/A"，則可能是因為該內部人士在過去三年內沒有進行任何公開市場購買交易，或者他們進行的交易距離現在太近，無法計算出可靠的表現指標。

更新頻率：每日

查看收益最高的的內幕交易者列表。

查看排名最高的內部人士。
報告內部持倉的公司

SEC文件顯示Galley Patrick W.已報告在以下公司擁有持倉或進行了交易：

證券 職位 最新報告的持倉
US:RIV / RiverNorth Opportunities Fund, Inc. President, Director 330,695
US:RSF / RiverNorth Capital and Income Fund, Inc. Chief Executive Officer, Director 254,733
President, Director 2,700
US:RMM / Rivernorth Managed Duration Municipal Income Fund Inc. President, Director 15,000
US:RFM / RiverNorth Flexible Municipal Income Fund, Inc. President, Director 7,600
US:RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. President, Director 0
US:RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. President, Director 16,000
US:OPP / RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. President, Director 0
President, Director 0
如何解讀這些圖表

以下圖表顯示了在Galley Patrick W.進行的每筆公開市場非計劃交易後證券的股價表現。非計劃交易是指沒有作為10b5-1交易計劃的一部分而進行的交易。股價表現以累積百分比變化的方式繪製。例如，如果一筆內部人士交易是在2019年1月1日進行的，該圖表將顯示該證券的每日百分比變化直至當前日期。如果在此期間股價從10美元漲至15美元，則股價的累積百分比變化將為50%。從10美元漲至20美元的價格變化將為100%，而從10美元跌至5美元的價格變化將為-50%。

最終，我們將評估內部人士的交易與股價的超額回報（正向或負向）之間的相關性，以判斷內部人士是否在交易中利用內部信息獲利。如果內部人士有這樣的行為，我們預期看到（a）購買後的正回報，或者（b）賣出後的負回報。對於情況（a），購買圖表將顯示一系列向上傾斜的曲線，表示每次購買後都有正回報。對於情況（b），賣出圖表將顯示一系列向下傾斜的曲線，表示每次賣出後都有負回報。

然而，僅憑這一點還不足以得出結論。例如，如果公司的股價在多年內呈現非周期性上升，我們會預期所有購買後的圖表都呈現向上傾斜。同樣地，多年來呈現非周期性下降的股價會導致賣出後的圖表也呈現向下傾斜。這兩種情況的圖表都不能表示內部人士在進行內幕交易。

最有力的指標是在公司股價呈極度循環波動的情況下，「購買」圖表顯示正向信號，而「賣出」圖表顯示負向趨勢。這種情況強烈暗示內部人士可能根據內幕信息精確地計時進行交易，以獲得財務優勢。

RFM / RiverNorth Flexible Municipal Income Fund, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2025-04-09 RFM Galley Patrick W. 400 13.8499 400 13.8499 5,540 306 14.7500 361 6.52
2025-04-09 RFM Galley Patrick W. 200 13.7850 200 13.7850 2,757
2025-04-09 RFM Galley Patrick W. 200 13.8415 200 13.8415 2,768
2025-04-09 RFM Galley Patrick W. 100 13.7902 100 13.7902 1,379
2025-04-08 RFM Galley Patrick W. 2,000 13.7000 2,000 13.7000 27,400
2025-04-08 RFM Galley Patrick W. 100 13.7700 100 13.7700 1,377
2025-04-08 RFM Galley Patrick W. 100 13.7900 100 13.7900 1,379
2025-04-08 RFM Galley Patrick W. 100 13.9100 100 13.9100 1,391
2025-04-08 RFM Galley Patrick W. 1,000 13.7900 1,000 13.7900 13,790
2025-04-08 RFM Galley Patrick W. 2,000 13.7500 2,000 13.7500 27,500
2020-05-21 RFM Galley Patrick W. 100 18.7400 100 18.7400 1,874
2020-05-21 RFM Galley Patrick W. 400 18.6000 400 18.6000 7,440
2020-05-21 RFM Galley Patrick W. 400 18.7300 400 18.7300 7,492
2020-05-21 RFM Galley Patrick W. 500 18.7300 500 18.7300 9,365

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RFM / RiverNorth Flexible Municipal Income Fund, Inc. Insider Trades
RFM / RiverNorth Flexible Municipal Income Fund, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RFM / RiverNorth Flexible Municipal Income Fund, Inc. Insider Trades
RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2022-10-03 RFMZ Galley Patrick W. 3,725 13.6000 3,725 13.6000 50,660 122 14.8900 4,805 9.49
2022-10-03 RFMZ Galley Patrick W. 63 13.5700 63 13.5700 855
2022-10-03 RFMZ Galley Patrick W. 100 13.5900 100 13.5900 1,359
2022-10-03 RFMZ Galley Patrick W. 300 13.5800 300 13.5800 4,074
2022-10-03 RFMZ Galley Patrick W. 2,812 13.5900 2,812 13.5900 38,215
2022-09-30 RFMZ Galley Patrick W. 1 13.2000 1 13.2000 13
2022-09-30 RFMZ Galley Patrick W. 999 13.2000 999 13.2000 13,187
2022-09-30 RFMZ Galley Patrick W. 1,000 13.3200 1,000 13.3200 13,320
2022-09-28 RFMZ Galley Patrick W. 1,000 13.5700 1,000 13.5700 13,570
2022-09-28 RFMZ Galley Patrick W. 1,000 13.5800 1,000 13.5800 13,580
2022-05-05 RFMZ Galley Patrick W. 2,500 14.6900 2,500 14.6900 36,725
2022-05-05 RFMZ Galley Patrick W. 2,500 14.6000 2,500 14.6000 36,500
2022-05-05 RFMZ Galley Patrick W. 5,000 14.6500 5,000 14.6500 73,250

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. Insider Trades
RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RFMZ / RiverNorth Flexible Municipal Income Fund II, Inc. Insider Trades
RIV / RiverNorth Opportunities Fund, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2022-11-15 RIV Galley Patrick W. 41,899 0.0000 43,156 0.0000 0 28 13.2900 573,530
2020-03-12 RIV Galley Patrick W. 1,876 12.4500 1,932 12.0874 23,356
2020-03-12 RIV Galley Patrick W. 1,000 12.4800 1,030 12.1165 12,480
2019-11-07 RIV Galley Patrick W. 33,168 16.2000 34,163 15.7282 537,322
2018-12-21 RIV Galley Patrick W. 2,000 14.5325 2,036 14.2730 29,065
2017-10-04 RIV Galley Patrick W. 100 20.4800 102 20.1348 2,048
2015-12-29 RIV Galley Patrick W. 25,000 20.0000 25,429 19.6629 500,000

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RIV / RiverNorth Opportunities Fund, Inc. Insider Trades
RIV / RiverNorth Opportunities Fund, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2019-10-23 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 10,290 0.0600 10,599 0.0583 617 731
2019-10-22 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 51,429 0.0401 52,972 0.0389 2,062
2019-10-21 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 47,938 0.0359 49,376 0.0349 1,721
2019-10-18 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 14,465 0.0601 14,899 0.0583 869
2019-10-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.6300 2,060 16.1456 33,260
2019-10-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.6700 2,060 16.1845 33,340
2019-10-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,522 16.7000 1,568 16.2136 25,417
2019-10-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 16.8900 1,030 16.3981 16,890
2019-10-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 16.8800 1,030 16.3883 16,880
2019-10-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,429 16.9200 1,472 16.4272 24,179
2019-09-26 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,000 17.1200 5,091 16.8143 85,600
2019-09-25 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,700 17.2400 2,749 16.9321 46,548
2019-09-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 109 17.1900 111 16.8830 1,874
2019-09-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 570 17.1800 580 16.8732 9,793
2019-08-28 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 624 16.9500 635 16.6473 10,577
2019-08-27 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 16.9500 3,055 16.6473 50,850
2019-08-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 17.4000 3,055 17.0893 52,200
2019-08-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,300 17.4500 3,360 17.1384 57,585
2019-07-16 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,755 17.4000 1,787 17.0893 30,537
2019-07-15 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,018 17.6500 4,091 17.3348 70,918
2019-07-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,500 17.6200 5,600 17.3054 96,910
2019-07-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 17.4500 3,055 17.1384 52,350
2019-07-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,372 17.5000 2,415 17.1875 41,510
2019-07-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 400 17.4200 407 17.1089 6,968
2019-07-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 738 17.3600 751 17.0500 12,812
2019-07-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,500 17.3100 4,582 17.0009 77,895
2019-07-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,400 17.2600 3,462 16.9518 58,684
2019-07-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 370 17.2600 377 16.9518 6,386
2019-06-21 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 581 17.1000 592 16.7946 9,935
2019-06-20 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 17.0700 2,036 16.7652 34,140
2019-06-18 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 513 17.0700 522 16.7652 8,757
2019-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,000 16.9700 4,073 16.6670 67,880
2019-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 17.0200 1,018 16.7161 17,020
2019-06-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 200 17.1000 204 16.7946 3,420
2019-06-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 671 16.9200 683 16.6179 11,353
2019-06-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,329 16.9200 1,353 16.6179 22,487
2019-06-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,191 16.9500 1,213 16.6473 20,187
2019-06-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.9200 2,036 16.6179 33,840
2019-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 16.9000 2,036 16.5982 33,800
2019-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 800 16.8800 815 16.5786 13,504
2019-05-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,500 17.2200 5,600 16.9125 94,710
2019-05-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,500 17.0600 5,600 16.7554 93,830
2018-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,500 21.5000 3,564 21.1161 75,250
2018-06-13 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 678 21.5500 690 21.1652 14,611
2018-06-12 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.4500 3,055 21.0670 64,350
2018-06-12 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 300 21.5100 305 21.1259 6,453
2018-06-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.4600 3,055 21.0768 64,380
2018-06-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,500 21.4900 2,545 21.1062 53,725
2018-06-11 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 17 21.5000 17 21.1161 366
2018-06-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,500 21.4000 2,545 21.0179 53,500
2018-06-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 618 21.4200 629 21.0375 13,238
2018-06-07 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,500 21.4500 3,564 21.0670 75,075
2018-06-07 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 453 21.4700 461 21.0866 9,726
2018-06-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,000 21.3600 4,073 20.9786 85,440
2018-06-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,500 21.4000 3,564 21.0179 74,900
2018-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.3500 3,055 20.9688 64,050
2018-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.3700 2,036 20.9884 42,740
2018-06-04 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,437 21.4000 2,481 21.0179 52,152
2018-06-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,008 21.3700 1,026 20.9884 21,541
2018-06-01 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.3500 2,036 20.9688 42,700
2018-05-30 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.2900 2,036 20.9098 42,580
2018-05-30 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.3100 3,055 20.9295 63,930
2018-05-29 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,000 21.2300 2,036 20.8509 42,460
2018-05-29 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 21.2500 3,055 20.8705 63,750
2018-05-29 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,500 21.2700 2,545 20.8902 53,175
2018-01-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,400 20.7400 7,535 20.3696 153,476
2018-01-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,000 20.7500 7,127 20.3795 145,250
2018-01-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,000 20.5900 7,127 20.2223 144,130
2018-01-03 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,300 20.2800 5,396 19.9179 107,484
2018-01-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 8,000 20.0800 8,145 19.7214 160,640
2018-01-02 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 5,000 20.1200 5,091 19.7607 100,600
2017-10-30 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 7,860 0.2400 8,003 0.2357 1,886
2017-10-30 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 10,000 0.2300 10,182 0.2259 2,300
2017-10-23 RIV RT RIVERNORTH CAPITAL MANAGEMENT, LLC 19,691 0.2200 20,049 0.2161 4,332
2017-10-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 20.9700 3,051 20.6166 62,910
2017-10-10 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,374 21.0500 4,449 20.6952 92,073
2017-10-09 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,000 21.0000 7,120 20.6461 147,000
2017-10-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 4,000 20.7200 4,069 20.3708 82,880
2017-10-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,000 20.7100 3,051 20.3610 62,130
2017-09-18 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 3,700 21.0900 3,763 20.7346 78,033
2017-09-14 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 620 21.1200 631 20.7640 13,094
2017-09-14 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 180 21.1100 183 20.7542 3,800
2017-09-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 700 21.0500 712 20.6952 14,735
2017-09-08 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 2,100 21.0000 2,136 20.6461 44,100
2017-09-06 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 1,000 21.0300 1,017 20.6756 21,030
2017-09-05 RIV RIVERNORTH CAPITAL MANAGEMENT, LLC 7,300 21.1000 7,425 20.7444 154,030

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RIV / RiverNorth Opportunities Fund, Inc. Insider Trades
RMM / Rivernorth Managed Duration Municipal Income Fund Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2025-04-09 RMM Galley Patrick W. 2,000 13.1364 2,000 13.1364 26,273 309 14.6700 3,068 11.68
2025-04-09 RMM Galley Patrick W. 2,000 13.1450 2,000 13.1450 26,290
2025-04-08 RMM Galley Patrick W. 2,000 13.1100 2,000 13.1100 26,220
2025-04-08 RMM Galley Patrick W. 2,000 13.1600 2,000 13.1600 26,320
2025-04-08 RMM Galley Patrick W. 2,000 13.1800 2,000 13.1800 26,360
2022-02-11 RMMZ Galley Patrick W. 5,000 18.7500 5,000 18.7500 93,750
2019-07-26 RMM Galley Patrick W. 10,000 20.0000 10,000 20.0000 200,000

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RMM / Rivernorth Managed Duration Municipal Income Fund Inc. Insider Trades
RMM / Rivernorth Managed Duration Municipal Income Fund Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2022-11-04 RMM Galley Patrick W. 2,000 13.9100 2,000 13.9100 27,820 355 12.4200 -2,980 -10.71
2022-10-31 RMM Galley Patrick W. 2,900 13.6200 2,900 13.6200 39,498
2022-10-31 RMM Galley Patrick W. 100 13.6400 100 13.6400 1,364

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RMM / Rivernorth Managed Duration Municipal Income Fund Inc. Insider Trades
RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2022-02-14 RMMZ Galley Patrick W. 4,000 18.7000 4,000 18.7000 74,800 15 20.1900 5,960 7.97
2022-02-14 RMMZ Galley Patrick W. 1,000 18.5500 1,000 18.5500 18,550
2022-02-11 RMMZ Galley Patrick W. 5,000 18.7500 5,000 18.7500 93,750
2022-02-11 RMMZ Galley Patrick W. 5,000 18.7500 5,000 18.7500 93,750

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. Insider Trades
RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2022-10-04 RMMZ Galley Patrick W. 200 15.7000 200 15.7000 3,140 365 13.8500 -370 -11.78
2022-10-04 RMMZ Galley Patrick W. 800 15.6500 800 15.6500 12,520
2022-10-03 RMMZ Galley Patrick W. 2,500 16.1000 2,500 16.1000 40,250
2022-10-03 RMMZ Galley Patrick W. 12 15.7500 12 15.7500 189
2022-10-03 RMMZ Galley Patrick W. 300 15.7300 300 15.7300 4,719
2022-10-03 RMMZ Galley Patrick W. 500 15.7800 500 15.7800 7,890
2022-10-03 RMMZ Galley Patrick W. 1,700 15.7600 1,700 15.7600 26,792
2022-10-03 RMMZ Galley Patrick W. 1,988 15.7100 1,988 15.7100 31,231
2022-09-30 RMMZ Galley Patrick W. 100 15.7200 100 15.7200 1,572
2022-09-30 RMMZ Galley Patrick W. 100 15.7600 100 15.7600 1,576
2022-09-30 RMMZ Galley Patrick W. 300 15.7400 300 15.7400 4,722
2022-09-30 RMMZ Galley Patrick W. 500 15.7100 500 15.7100 7,855
2022-09-30 RMMZ Galley Patrick W. 100 15.7200 100 15.7200 1,572
2022-09-30 RMMZ Galley Patrick W. 100 15.7600 100 15.7600 1,576
2022-09-30 RMMZ Galley Patrick W. 300 15.7400 300 15.7400 4,722
2022-09-30 RMMZ Galley Patrick W. 500 15.7100 500 15.7100 7,855
2022-09-28 RMMZ Galley Patrick W. 1,000 15.7900 1,000 15.7900 15,790

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RMMZ / RiverNorth Managed Duration Municipal Income Fund II, Inc. Insider Trades
RSF / RiverNorth Capital and Income Fund, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2024-03-22 RSF Galley Patrick W. 100 16.0950 100 16.0950 1,610 3 16.1300 4 0.25
2023-02-03 RSF Galley Patrick W. 7,926 15.8400 7,926 15.8400 125,548
2023-02-03 RSF Galley Patrick W. 18,421 15.8400 18,421 15.8400 291,789
2023-02-03 RSF Galley Patrick W. 16,211 15.8400 16,211 15.8400 256,782
2020-03-27 RMPL Galley Patrick W. 185 23.8900 185 23.8900 4,420
2020-03-27 RMPL Galley Patrick W. 1,868 23.0000 1,868 23.0000 42,964
2020-03-27 RMPL Galley Patrick W. 15 23.9900 15 23.9900 360
2019-06-17 RSF Galley Patrick W. 500 19.6000 500 19.6000 9,800
2019-06-17 RSF Galley Patrick W. 300 19.7600 300 19.7600 5,928
2019-06-17 RSF Galley Patrick W. 200 19.7200 200 19.7200 3,944
2019-06-17 RSF Galley Patrick W. 169 19.5200 169 19.5200 3,299
2019-06-17 RSF Galley Patrick W. 100 19.5000 100 19.5000 1,950
2019-06-17 RSF Galley Patrick W. 100 19.7500 100 19.7500 1,975
2019-06-17 RSF Galley Patrick W. 31 19.5200 31 19.5200 605
2018-12-21 RMPL Galley Patrick W. 700 24.5571 700 24.5571 17,190
2018-12-20 RMPL Galley Patrick W. 1,000 24.6650 1,000 24.6650 24,665
2018-12-19 RMPL Galley Patrick W. 148 24.8034 148 24.8034 3,671
2018-12-19 RMPL Galley Patrick W. 852 24.7540 852 24.7540 21,090
2018-12-19 RMPL Galley Patrick W. 1,890 24.7026 1,890 24.7026 46,688
2018-12-17 RMPL Galley Patrick W. 600 24.7300 600 24.7300 14,838
2018-12-17 RMPL Galley Patrick W. 1,000 24.7350 1,000 24.7350 24,735
2018-12-17 RMPL Galley Patrick W. 100 24.7495 100 24.7495 2,475
2018-12-17 RMPL Galley Patrick W. 15 25.0600 15 25.0600 376
2018-12-17 RMPL Galley Patrick W. 246 24.7298 246 24.7298 6,084
2018-01-09 RMPL Galley Patrick W. 10,000 25.3000 10,000 25.3000 253,000
2018-01-09 RMPL Galley Patrick W. 5,000 25.2700 5,000 25.2700 126,350
2018-01-09 RMPL Galley Patrick W. 5,000 25.2600 5,000 25.2600 126,300
2017-12-26 RMPL Galley Patrick W. 1,000 25.2900 1,000 25.2900 25,290
2017-12-26 RMPL Galley Patrick W. 700 25.2800 700 25.2800 17,696
2017-12-26 RMPL Galley Patrick W. 100 25.3000 100 25.3000 2,530
2017-12-21 RMPL Galley Patrick W. 200 25.2000 200 25.2000 5,040
2017-12-21 RMPL Galley Patrick W. 400 25.2900 400 25.2900 10,116
2017-10-18 RMPL Galley Patrick W. 60,000 25.0000 60,000 25.0000 1,500,000
2017-09-07 RMPLX Galley Patrick W. 15,748 24.9300 15,748 24.9300 392,600
2017-01-04 [RMPLX] Galley Patrick W. 39,578 25.2200 39,578 25.2200 998,157
2016-10-25 [RMPLX] Galley Patrick W. 34,221 25.1800 34,221 25.1800 861,685

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RSF / RiverNorth Capital and Income Fund, Inc. Insider Trades
RSF / RiverNorth Capital and Income Fund, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 RFM / RiverNorth Flexible Municipal Income Fund, Inc. 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2022-12-22 RMPL Galley Patrick W. 182 24.9000 182 24.9000 4,532 731
2022-12-22 RMPL Galley Patrick W. 45 24.8800 45 24.8800 1,120
2022-12-22 RMPL Galley Patrick W. 598 24.8700 598 24.8700 14,872
2022-12-22 RMPL Galley Patrick W. 21 24.8500 21 24.8500 522
2022-12-22 RMPL Galley Patrick W. 1,676 24.8300 1,676 24.8300 41,615
2022-12-22 RMPL Galley Patrick W. 3,976 24.8200 3,976 24.8200 98,684
2022-12-22 RMPL Galley Patrick W. 595 24.8100 595 24.8100 14,762
2018-04-11 RMPLX RIVERNORTH CAPITAL MANAGEMENT, LLC 41,369 23.9600 41,369 23.9600 991,201

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RSF / RiverNorth Capital and Income Fund, Inc. Insider Trades
歷史內部人交易

該表格顯示了由 Galley Patrick W. 進行的所有內幕交易的完整列表，這些交易已向美國證券交易委員會（SEC）披露。

呈報日期 交易日期 表格 證券代碼 證券 代碼 10b5-1 股份 剩餘股份 %
變化		 每股
股價		 交易
金額		 剩餘
金額
2025-10-14 2025-10-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Shares of Beneficial Interest 		J - Other 112,213 330,695 51.36 11.95 1,340,945 3,951,810
2025-08-01 2025-07-11 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		J - Other 39,813 254,733 18.52 14.39 572,909 3,665,608
2025-07-16 2025-07-16 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		J - Other 10,033 214,920 4.90 14.68 147,284 3,155,026
2025-07-16 2025-07-16 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		J - Other 13,600 204,887 7.11 14.68 199,648 3,007,741
2025-04-28 2025-04-25 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 500 2,700 22.73 14.30 7,148 38,600
2025-04-28 2025-04-25 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 2,200 10.00 14.25 2,851 31,360
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 50 3,600 1.41 14.15 708 50,940
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 150 3,550 4.41 14.13 2,120 50,167
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 3,400 6.25 14.14 2,828 48,076
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 300 3,200 10.34 14.15 4,246 45,292
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 2,900 16.00 14.11 5,644 40,919
2025-04-10 2025-04-09 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 500 2,500 25.00 14.13 7,066 35,329
2025-04-10 2025-04-09 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 15,000 15.38 13.14 26,290 197,175
2025-04-10 2025-04-09 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 13,000 18.18 13.14 26,273 170,773
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 7,600 1.33 13.79 1,379 104,806
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 7,500 2.74 13.84 2,768 103,811
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 7,300 2.82 13.78 2,757 100,630
2025-04-10 2025-04-09 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 7,100 5.97 13.85 5,540 98,334
2025-04-10 2025-04-08 4/A RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 11,000 22.22 13.18 26,360 144,980
2025-04-10 2025-04-08 4/A RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 9,000 28.57 13.16 26,320 118,440
2025-04-10 2025-04-08 4/A RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 7,000 40.00 13.11 26,220 91,770
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 2,000 14.05 28,100 28,100
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 1,100 1,100 14.03 15,433 15,433
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 100 14.02 1,402 1,402
2025-04-10 2025-04-08 4/A RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 200 200 14.00 2,800 2,800
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 6,700 42.55 13.75 27,500 92,125
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 1,000 4,700 27.03 13.79 13,790 64,813
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 3,700 2.78 13.91 1,391 51,467
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 3,600 2.86 13.79 1,379 49,644
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 3,500 2.94 13.77 1,377 48,195
2025-04-10 2025-04-08 4/A RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 2,000 3,400 142.86 13.70 27,400 46,580
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 2,000 -50.00 14.05 -28,100 28,100
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -1,100 1,100 -50.00 14.03 -15,433 15,433
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 100 -50.00 14.02 -1,402 1,402
2025-04-09 2025-04-08 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase -200 200 -50.00 14.00 -2,800 2,800
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 6,700 -22.99 13.75 -27,500 92,125
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -1,000 4,700 -17.54 13.79 -13,790 64,813
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 3,700 -2.63 13.91 -1,391 51,467
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 3,600 -2.70 13.79 -1,379 49,644
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -100 3,500 -2.78 13.77 -1,377 48,195
2025-04-09 2025-04-08 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 3,400 -37.04 13.70 -27,400 46,580
2025-04-09 2025-04-08 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 11,000 -15.38 13.18 -26,360 144,980
2025-04-09 2025-04-08 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 9,000 -18.18 13.16 -26,320 118,440
2025-04-09 2025-04-08 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase -2,000 7,000 -22.22 13.11 -26,220 91,770
2024-04-29 2024-04-26 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		A - Award 68,414 237,061 40.57 15.04 1,028,947 3,565,397
2024-03-22 2024-03-22 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 100 168,647 0.06 16.10 1,610 2,714,373
2023-02-08 2023-02-03 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 16,211 168,547 10.64 15.84 256,782 2,669,784
2023-02-08 2023-02-03 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 18,421 150,126 13.99 15.84 291,789 2,377,996
2023-02-08 2023-02-03 4 RSF RiverNorth Capital & Income Fund, Inc.
Common Stock 		P - Purchase 7,926 142,200 5.90 15.84 125,548 2,252,448
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -595 43,926 -1.34 24.81 -14,762 1,089,804
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -3,976 44,521 -8.20 24.82 -98,684 1,105,011
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -1,676 48,497 -3.34 24.83 -41,615 1,204,181
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -21 50,173 -0.04 24.85 -522 1,246,799
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -598 50,194 -1.18 24.87 -14,872 1,248,325
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -45 50,792 -0.09 24.88 -1,120 1,263,705
2022-12-23 2022-12-22 4 RMPL RiverNorth Capital & Income Fund, Inc.
RiverNorth Capital & Income Fund 5.875% Cum. Pfd. Series A 		S - Sale -182 50,837 -0.36 24.90 -4,532 1,265,841
2022-12-22 2022-10-04 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -800 0 -100.00 15.65 -12,520
2022-12-22 2022-10-04 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -200 800 -20.00 15.70 -3,140 12,560
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 0 -100.00 17.53 -1,753
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -209 100 -67.64 17.52 -3,662 1,752
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -300 309 -49.26 17.54 -5,262 5,420
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -900 609 -59.64 17.63 -15,867 10,737
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,800 1,509 -54.40 17.51 -31,518 26,423
2022-12-08 2022-12-07 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -4,000 3,309 -54.73 17.73 -70,920 58,669
2022-12-06 2022-11-15 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Shares of Beneficial Interest 		P - Purchase 41,899 282,018 17.45
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 7,309 -1.35 17.30 -1,730 126,446
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -5 7,409 -0.07 17.28 -86 128,028
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 7,414 -1.33 17.27 -1,727 128,040
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,300 7,514 -14.75 17.31 -22,503 130,067
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 8,814 -1.12 17.53 -1,753 154,509
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -700 8,914 -7.28 17.59 -12,313 156,797
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,505 9,614 -13.54 17.49 -26,322 168,149
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 11,119 -0.89 17.50 -1,750 194,582
2022-12-06 2022-12-05 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,595 11,219 -12.45 17.51 -27,928 196,445
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -186 12,814 -1.43 17.44 -3,244 223,476
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,650 13,000 -11.26 17.33 -28,594 225,290
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -3,900 14,650 -21.02 17.43 -67,977 255,350
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 18,550 -0.54 17.34 -1,734 321,657
2022-12-05 2022-12-02 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 18,650 -0.53 17.48 -1,748 326,002
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -700 18,750 -3.60 17.83 -12,481 334,312
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,400 19,450 -6.71 17.82 -24,948 346,599
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -2,390 20,850 -10.28 17.84 -42,638 371,964
2022-12-02 2022-12-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -380 23,240 -1.61 17.80 -6,764 413,672
2022-12-01 2022-11-30 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 23,620 -4.06 17.39 -17,390 410,752
2022-12-01 2022-11-30 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 24,620 -3.90 17.35 -17,350 427,157
2022-12-01 2022-11-30 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 25,620 -3.76 17.20 -17,200 440,664
2022-11-07 2022-11-04 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		S - Sale -2,000 5,000 -28.57 13.91 -27,820 69,550
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -792 26,620 -2.89 14.68 -11,627 390,782
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -3,000 27,412 -9.86 14.71 -44,130 403,231
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -200 30,412 -0.65 14.69 -2,938 446,752
2022-11-02 2022-11-01 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -8 30,612 -0.03 14.73 -118 450,915
2022-11-01 2022-10-31 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		S - Sale -100 7,000 -1.41 13.64 -1,364 95,480
2022-11-01 2022-10-31 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		S - Sale -2,900 7,100 -29.00 13.62 -39,498 96,702
2022-10-25 2022-10-24 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -1,000 11,870 -7.77 15.08 -15,080 179,000
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,988 1,000 -66.53 15.71 -31,231 15,710
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,700 2,988 -36.26 15.76 -26,792 47,091
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -500 4,688 -9.64 15.78 -7,890 73,977
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -300 5,188 -5.47 15.73 -4,719 81,607
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -12 5,488 -0.22 15.75 -189 86,436
2022-10-04 2022-10-03 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -2,500 5,500 -31.25 16.10 -40,250 88,550
2022-10-04 2022-02-14 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 1,000 18.55 18,550 18,550
2022-10-04 2022-02-14 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 4,000 9,000 80.00 18.70 74,800 168,300
2022-10-04 2022-02-11 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 5,000 5,000 18.75 93,750 93,750
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -500 8,000 -5.88 15.71 -7,855 125,680
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -300 8,500 -3.41 15.74 -4,722 133,790
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 8,800 -1.12 15.76 -1,576 138,688
2022-10-04 2022-09-30 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 8,900 -1.11 15.72 -1,572 139,908
2022-10-04 2022-09-28 4/A RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,000 9,000 -10.00 15.79 -15,790 142,110
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 2,812 16,000 21.32 13.59 38,215 217,440
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 300 13,188 2.33 13.58 4,074 179,093
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 100 12,888 0.78 13.59 1,359 175,148
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 63 12,788 0.50 13.57 855 173,533
2022-10-04 2022-10-03 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 3,725 12,725 41.39 13.60 50,660 173,060
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -500 3,000 -14.29 15.71 -7,855 47,130
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -300 3,500 -7.89 15.74 -4,722 55,090
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 3,800 -2.56 15.76 -1,576 59,888
2022-10-03 2022-09-30 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -100 3,900 -2.50 15.72 -1,572 61,308
2022-10-03 2022-09-30 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 9,000 12.50 13.32 13,320 119,880
2022-10-03 2022-09-30 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 999 8,000 14.27 13.20 13,187 105,600
2022-10-03 2022-09-30 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1 7,001 0.01 13.20 13 92,413
2022-09-30 2022-09-28 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		S - Sale -1,000 4,000 -20.00 15.79 -15,790 63,160
2022-09-30 2022-09-28 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 7,000 16.67 13.58 13,580 95,060
2022-09-30 2022-09-28 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 1,000 6,000 20.00 13.57 13,570 81,420
2022-09-30 2022-09-28 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -597 12,870 -4.43 15.85 -9,462 203,990
2022-05-06 2022-05-05 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 5,000 10,000 100.00 14.65 73,250 146,500
2022-05-06 2022-05-05 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 2,500 5,000 100.00 14.60 36,500 73,000
2022-05-06 2022-05-05 4 RFMZ RiverNorth Flexible Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 2,500 2,500 14.69 36,725 36,725
2022-02-17 2022-02-11 4 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
Common Stock 		P - Purchase 5,000 5,000 18.75 93,750 93,750
2022-02-15 2022-02-11 4 RMMZ RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 5,000 5,000 18.75 93,750 93,750
2022-02-14 3 RMMZ RiverNorth Managed Duration Municipal Income Fund II, Inc.
No securities beneficially owned 		0
2021-10-08 2021-10-05 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Transferable Subscription Rights (OPP RT) 		D - Sale to Issuer -15,444 0 -100.00
2021-10-08 2021-09-13 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Transferable Subscription Rights (OPP RT) 		A - Award 15,444 15,444
2021-01-13 3 RFMX RiverNorth Flexible Municipal Income Fund II, Inc.
No securities beneficially owned 		0
2020-10-22 2020-10-20 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 900 11,719 8.32 14.90 13,410 174,613
2020-10-22 2020-10-20 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 900 10,819 9.07 14.88 13,392 160,987
2020-10-22 2020-10-20 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 1,300 9,919 15.08 14.90 19,370 147,793
2020-10-22 2020-10-10 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 3,700 16,319 29.32 14.90 55,130 243,153
2020-10-22 2020-10-10 4 RSF RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 900 12,619 7.68 14.89 13,401 187,897
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 500 1,400 55.56 18.73 9,365 26,222
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 900 80.00 18.73 7,492 16,857
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 400 500 400.00 18.60 7,440 9,300
2020-05-28 2020-05-21 4 RFM RiverNorth Flexible Municipal Income Fund, Inc.
Common Stock 		P - Purchase 100 100 18.74 1,874 1,874
2020-03-31 2020-03-27 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 15 8,619 0.17 23.99 360 206,770
2020-03-31 2020-03-27 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,868 8,604 27.73 23.00 42,964 197,892
2020-03-31 2020-03-27 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 185 6,736 2.82 23.89 4,420 160,923
2020-03-26 3 RFM RiverNorth Flexible Municipal Income Fund, Inc.
No securities beneficially owned 		0
2020-03-16 2020-03-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 1,000 140,571 0.72 12.48 12,480 1,754,326
2020-03-16 2020-03-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 1,876 139,571 1.36 12.45 23,356 1,737,659
2020-03-16 2020-03-12 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 597 13,467 4.64 21.65 12,925 291,561
2019-12-26 2019-12-17 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 6,111 15,444 65.48 16.21 99,059 250,347
2019-11-12 2019-11-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 33,168 137,695 31.73 16.20 537,322 2,230,659
2019-10-24 2019-10-23 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -10,290 0 -100.00 0.06 -617
2019-10-24 2019-10-22 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -51,429 10,290 -83.33 0.04 -2,062 413
2019-10-24 2019-10-01 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		A - Award 96,597 96,597
2019-10-22 2019-10-21 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -47,938 61,719 -43.72 0.04 -1,721 2,216
2019-10-22 2019-10-18 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		S - Sale -14,465 109,657 -11.65 0.06 -869 6,590
2019-10-18 2019-10-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,522 115,171 -1.30 16.70 -25,417 1,923,356
2019-10-18 2019-10-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 116,693 -1.69 16.67 -33,340 1,945,272
2019-10-18 2019-10-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 118,693 -1.66 16.63 -33,260 1,973,865
2019-10-18 2019-10-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights (RIV RT) 		A - Award 124,122 124,122
2019-10-10 2019-10-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,429 120,693 -1.17 16.92 -24,179 2,042,126
2019-10-10 2019-10-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 122,122 -0.81 16.88 -16,880 2,061,419
2019-10-10 2019-10-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 123,122 -0.81 16.89 -16,890 2,079,531
2019-09-27 2019-09-26 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,000 124,122 -3.87 17.12 -85,600 2,124,969
2019-09-27 2019-09-25 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,700 129,122 -2.05 17.24 -46,548 2,226,063
2019-09-27 2019-09-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -570 131,822 -0.43 17.18 -9,793 2,264,702
2019-09-27 2019-09-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -109 132,392 -0.08 17.19 -1,874 2,275,818
2019-08-29 2019-08-28 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -624 132,501 -0.47 16.95 -10,577 2,245,892
2019-08-29 2019-08-27 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 133,125 -2.20 16.95 -50,850 2,256,469
2019-08-05 2019-08-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,300 136,125 -2.37 17.45 -57,585 2,375,381
2019-08-05 2019-08-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 139,425 -2.11 17.40 -52,200 2,425,995
2019-07-30 2019-07-26 4 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
Common Stock 		P - Purchase 10,000 10,000 20.00 200,000 200,000
2019-07-26 2019-07-23 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		S - Sale -5,880 12,870 -31.36 21.65 -127,302 278,636
2019-07-17 2019-07-16 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,755 142,425 -1.22 17.40 -30,537 2,478,195
2019-07-17 2019-07-15 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,018 144,180 -2.71 17.65 -70,918 2,544,777
2019-07-17 2019-07-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,500 148,198 -3.58 17.62 -96,910 2,611,249
2019-07-11 2019-07-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,372 153,698 -1.52 17.50 -41,510 2,689,715
2019-07-11 2019-07-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 156,070 -1.89 17.45 -52,350 2,723,422
2019-07-11 2019-07-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -400 159,070 -0.25 17.42 -6,968 2,770,999
2019-07-11 2019-07-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,500 159,470 -2.74 17.31 -77,895 2,760,426
2019-07-11 2019-07-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -738 163,970 -0.45 17.36 -12,812 2,846,519
2019-07-08 2019-07-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,400 164,708 -2.02 17.26 -58,684 2,842,860
2019-07-08 2019-07-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -370 168,108 -0.22 17.26 -6,386 2,901,544
2019-06-24 3 RMM RiverNorth Managed Duration Municipal Income Fund, Inc.
No securities beneficially owned 		0
2019-06-24 2019-06-21 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -581 168,478 -0.34 17.10 -9,935 2,880,974
2019-06-24 2019-06-20 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 169,059 -1.17 17.07 -34,140 2,885,837
2019-06-20 2019-06-18 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -513 171,059 -0.30 17.07 -8,757 2,919,977
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 31 69,852 0.04 19.52 605 1,363,511
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 100 69,821 0.14 19.75 1,975 1,378,965
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 100 69,721 0.14 19.50 1,950 1,359,560
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 169 69,621 0.24 19.52 3,299 1,359,002
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 200 69,452 0.29 19.72 3,944 1,369,593
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 300 69,252 0.44 19.76 5,928 1,368,420
2019-06-19 2019-06-17 4 RSF RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 500 68,952 0.73 19.60 9,800 1,351,459
2019-06-17 2019-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 171,572 -0.58 17.02 -17,020 2,920,155
2019-06-17 2019-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,000 172,572 -2.27 16.97 -67,880 2,928,547
2019-06-17 2019-06-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -200 176,572 -0.11 17.10 -3,420 3,019,381
2019-06-17 2019-06-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,191 176,772 -0.67 16.95 -20,187 2,996,285
2019-06-17 2019-06-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,329 177,963 -0.74 16.92 -22,487 3,011,134
2019-06-06 2019-06-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -671 179,265 -0.37 16.92 -11,353 3,033,164
2019-06-06 2019-06-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 179,936 -1.10 16.92 -33,840 3,044,517
2019-06-06 2019-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -800 181,963 -0.44 16.88 -13,504 3,071,535
2019-06-06 2019-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 182,763 -1.08 16.90 -33,800 3,088,695
2019-05-08 2019-05-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,500 184,763 -2.89 17.22 -94,710 3,181,619
2019-05-06 2019-05-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,500 190,263 -2.81 17.06 -93,830 3,245,887
2018-12-26 2018-12-21 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 2,000 89,974 2.27 14.53 29,065 1,307,547
2018-12-26 2018-12-21 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 700 88,951 0.79 24.56 17,190 2,184,379
2018-12-26 2018-12-21 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 2,000 9,333 27.27 15.20 30,405 141,885
2018-12-21 2018-12-20 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 2,000 7,333 37.50 15.27 30,545 111,993
2018-12-21 2018-12-20 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 3,000 5,333 128.59 15.20 45,605 81,070
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 50 2,333 2.19 15.55 778 36,278
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 1,950 2,283 585.59 15.55 30,327 35,506
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 200 333 150.38 15.57 3,115 5,186
2018-12-21 2018-12-19 4 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
Common Stock 		P - Purchase 133 133 15.59 2,073 2,073
2018-12-21 2018-12-20 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 2,000 87,974 2.33 14.84 29,685 1,305,754
2018-12-21 2018-12-19 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 2,000 85,974 2.38 15.00 30,005 1,289,825
2018-12-21 2018-12-19 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 1,000 83,974 1.21 15.03 15,035 1,262,532
2018-12-21 2018-12-19 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 2,000 82,974 2.47 15.02 30,045 1,246,477
2018-12-21 2018-12-20 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,000 88,251 1.15 24.66 24,665 2,176,711
2018-12-21 2018-12-19 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,890 87,251 2.21 24.70 46,688 2,155,327
2018-12-21 2018-12-19 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 852 85,361 1.01 24.75 21,090 2,113,026
2018-12-21 2018-12-19 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 148 84,509 0.18 24.80 3,671 2,096,111
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 246 84,361 0.29 24.73 6,084 2,086,231
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 15 84,115 0.02 25.06 376 2,107,922
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 100 84,100 0.12 24.75 2,475 2,081,433
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,000 84,000 1.20 24.74 24,735 2,077,740
2018-12-19 2018-12-17 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 600 83,000 0.73 24.73 14,838 2,052,590
2018-11-09 2018-11-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 30,659 80,974 60.93 16.93 519,057 1,370,890
2018-10-30 2018-10-26 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 5,010 5,010 20.00 100,200 100,200
2018-10-29 2018-10-26 4 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
Common Stock 		P - Purchase 37,500 37,500 20.00 750,000 750,000
2018-09-14 3 RMI RiverNorth Opportunistic Municipal Income Fund, Inc.
No securities beneficially owned 		0
2018-06-15 2018-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -678 195,763 -0.35 21.55 -14,611 4,218,693
2018-06-15 2018-06-13 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,500 196,441 -1.75 21.50 -75,250 4,223,482
2018-06-13 2018-06-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -300 199,941 -0.15 21.51 -6,453 4,300,731
2018-06-13 2018-06-12 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 200,241 -1.48 21.45 -64,350 4,295,169
2018-06-13 2018-06-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -17 203,241 -0.01 21.50 -366 4,369,682
2018-06-13 2018-06-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,500 203,258 -1.22 21.49 -53,725 4,368,014
2018-06-13 2018-06-11 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 205,758 -1.44 21.46 -64,380 4,415,567
2018-06-11 2018-06-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -618 208,758 -0.30 21.42 -13,238 4,471,596
2018-06-11 2018-06-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,500 209,376 -1.18 21.40 -53,500 4,480,646
2018-06-11 2018-06-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -453 211,876 -0.21 21.47 -9,726 4,548,978
2018-06-11 2018-06-07 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,500 212,329 -1.62 21.45 -75,075 4,554,457
2018-06-07 2018-06-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,500 215,829 -1.60 21.40 -74,900 4,618,741
2018-06-07 2018-06-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,000 219,329 -1.79 21.36 -85,440 4,684,867
2018-06-05 2018-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,437 223,329 -1.08 21.40 -52,152 4,779,241
2018-06-05 2018-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 225,766 -0.88 21.37 -42,740 4,824,619
2018-06-05 2018-06-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 227,766 -1.30 21.35 -64,050 4,862,804
2018-06-05 2018-06-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 230,766 -0.86 21.35 -42,700 4,926,854
2018-06-05 2018-06-01 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,008 232,766 -0.43 21.37 -21,541 4,974,209
2018-05-31 2018-05-30 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 233,774 -1.27 21.31 -63,930 4,981,724
2018-05-31 2018-05-30 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 236,774 -0.84 21.29 -42,580 5,040,918
2018-05-31 2018-05-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,500 238,774 -1.04 21.27 -53,175 5,078,723
2018-05-31 2018-05-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 241,274 -1.23 21.25 -63,750 5,127,072
2018-05-31 2018-05-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,000 244,274 -0.81 21.23 -42,460 5,185,937
2018-04-17 2018-04-11 4 RMPLX RiverNorth Marketplace Lending Corp
Common Stock 		S - Sale -41,369 0 -100.00 23.96 -991,201
2018-01-12 2018-01-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,400 246,274 -2.92 20.74 -153,476 5,107,723
2018-01-10 2018-01-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,000 253,674 -2.69 20.75 -145,250 5,263,736
2018-01-10 2018-01-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,000 260,674 -2.62 20.59 -144,130 5,367,278
2018-01-10 2018-01-09 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 5,000 82,400 6.46 25.26 126,300 2,081,424
2018-01-10 2018-01-09 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 5,000 77,400 6.91 25.27 126,350 1,955,898
2018-01-10 2018-01-09 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 10,000 72,400 16.03 25.30 253,000 1,831,720
2018-01-05 2018-01-03 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,300 272,674 -1.91 20.28 -107,484 5,529,829
2018-01-03 2018-01-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -5,000 272,974 -1.80 20.12 -100,600 5,492,237
2018-01-03 2018-01-02 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -8,000 277,974 -2.80 20.08 -160,640 5,581,718
2017-12-26 2017-12-26 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 100 62,400 0.16 25.30 2,530 1,578,720
2017-12-26 2017-12-26 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 700 62,300 1.14 25.28 17,696 1,574,944
2017-12-26 2017-12-26 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 1,000 61,600 1.65 25.29 25,290 1,557,864
2017-12-26 2017-12-21 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 400 60,600 0.66 25.29 10,116 1,532,574
2017-12-26 2017-12-21 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 200 60,200 0.33 25.20 5,040 1,517,040
2017-11-21 2017-11-15 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		A - Award 18,676 44,710 71.74 19.54 364,929 873,633
2017-11-02 2017-10-04 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 100 26,034 0.39 20.48 2,048 533,176
2017-11-02 2017-10-18 4 RMPL RiverNorth Marketplace Lending Corp
RiverNorth Marketplace Lending Corp 5.875% Ser A Pfd (2024) 		P - Purchase 60,000 60,000 25.00 1,500,000 1,500,000
2017-10-31 2017-10-30 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights 		S - Sale -10,000 261,867 -3.68 0.23 -2,300 60,229
2017-10-31 2017-10-30 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights 		S - Sale -7,860 271,867 -2.81 0.24 -1,886 65,248
2017-10-25 2017-10-23 4 RIV RT RIVERNORTH OPPORTUNITIES FUND, INC.
Transferable Subscription Rights 		S - Sale -19,691 279,727 -6.58 0.22 -4,332 61,540
2017-10-13 2017-10-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,374 299,416 -1.44 21.05 -92,073 6,302,707
2017-10-13 2017-10-10 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 303,790 -0.98 20.97 -62,910 6,370,476
2017-10-13 2017-10-09 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,000 306,790 -2.23 21.00 -147,000 6,442,590
2017-10-10 2017-10-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,000 62,136 -4.61 20.71 -62,130 1,286,837
2017-10-10 2017-10-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -4,000 82,881 -4.60 20.72 -82,880 1,717,286
2017-09-20 2017-09-18 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -3,700 320,790 -1.14 21.09 -78,033 6,765,461
2017-09-18 2017-09-14 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -180 324,490 -0.06 21.11 -3,800 6,849,984
2017-09-18 2017-09-14 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -620 324,670 -0.19 21.12 -13,094 6,857,030
2017-09-12 2017-09-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -2,100 325,290 -0.64 21.00 -44,100 6,831,090
2017-09-12 2017-09-08 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -700 327,390 -0.21 21.05 -14,735 6,891,560
2017-09-11 2017-09-07 4 RMPLX RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 15,748 55,326 39.79 24.93 392,600 1,379,280
2017-09-07 2017-09-06 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -1,000 328,090 -0.30 21.03 -21,030 6,899,733
2017-09-07 2017-09-05 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		S - Sale -7,300 329,090 -2.17 21.10 -154,030 6,943,799
2017-01-06 2017-01-04 4 [RMPLX] RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 39,578 39,578 25.22 998,157 998,157
2016-11-10 2016-10-25 4 [RMPLX] RiverNorth Marketplace Lending Corp
Common Stock 		P - Purchase 34,221 34,221 25.18 861,685 861,685
2016-09-27 3 OPP RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
No securities beneficially owned 		0
2015-12-30 2015-12-29 4 RIV RIVERNORTH OPPORTUNITIES FUND, INC.
Common Stock 		P - Purchase 25,000 25,000 20.00 500,000 500,000
2015-10-05 3 XMPLX RiverNorth Marketplace Lending Corp
No securities beneficially owned 		0
2015-07-06 3 BARB RiverNorth Multi-Strategy Arbitrage Fund, Inc.
No securities beneficially owned 		0
P
非衍生或衍生證券的公開市場或私下買入
S
非衍生或衍生證券的公開市場或私下賣出
A
公司向內部人員授予、獎勵或以其他方式獲取證券（例如股票期權）
C
衍生工具轉換
D
將證券賣出或轉讓回公司
F
使用從公司收到的證券的一部分來支付行使價或稅務負擔。
G
內部人士贈送或接收他人贈送公司股票
K
股權掉期和類似的避險交易
M
行使或轉換從公司獲得的衍生證券（例如期權）
V
內部人士透過Form 4自願報告的一筆交易
J
其他（附有交易描述的腳註）