RIVERNORTH OPPORTUNITIES FUND, INC. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| O'Neill Stephen Andrew | — | Other | 15,000 | $11.95 | $179,250 | 94,768 | Oct 10, 2025 |
| Raio Jerry | — | Other | 3,834 | $11.95 | $45,816 | 8,412 | Oct 10, 2025 |
| RiverNorth Strategic Holdings, LLC | — | Other | 25,599 | $11.95 | $305,908 | 102,395 | Oct 10, 2025 |
| Galley Patrick W. | President | Other | 112,213 | $11.95 | $1,340,945 | 330,695 | Oct 10, 2025 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Other | 76,796 | — | — | — | Nov 22, 2024 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 12,608 | $11.12 | $140,201 | 89,368 | Dec 27, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 8,674 | $11.06 | $95,934 | 76,760 | Dec 14, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 600 | $10.83 | $6,498 | 68,086 | Dec 8, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 292 | $10.77 | $3,145 | 67,486 | Dec 7, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 1,053 | $10.68 | $11,246 | 67,194 | Dec 4, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 47 | $10.65 | $501 | 66,141 | Dec 1, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 12,400 | $10.50 | $130,200 | 66,094 | Nov 21, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 15,245 | $10.49 | $159,920 | 53,694 | Nov 20, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 18,094 | $10.47 | $189,444 | 38,449 | Nov 17, 2023 |
| Raio Jerry | — | Purchase | 2,500 | $9.74 | $24,350 | 4,000 | Oct 27, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 916 | $11.20 | $10,259 | 20,355 | Jun 2, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 4,539 | $10.98 | $49,838 | 19,439 | May 12, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 728 | $11.13 | $8,103 | 14,900 | May 11, 2023 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Award / Grant | 1,600 | $11.13 | $17,808 | 14,172 | May 10, 2023 |
| Raio Jerry | — | Purchase | 1,500 | $11.55 | $17,325 | 1,500 | Apr 10, 2023 |
| Galley Patrick W. | President | Purchase | 41,899 | — | — | 282,018 | Nov 15, 2022 |
| HUTCHENS JOHN WAYNE | — | Purchase | 2,773 | $11.93 | $33,082 | 7,763 | Nov 8, 2022 |
| O'Neill Stephen Andrew | — | Purchase | 200 | $14.95 | $2,990 | 68,629 | Jan 24, 2022 |
| HUTCHENS JOHN WAYNE | — | Purchase | 1,664 | $16.81 | $27,972 | 6,654 | Nov 16, 2021 |
| O'Neill Stephen Andrew | — | Purchase | 16,557 | $16.81 | $278,323 | 66,227 | Nov 15, 2021 |
| O'Neill Stephen Andrew | — | Purchase | 16,557 | $16.81 | $278,323 | 82,784 | Nov 15, 2021 |
| Swanson David | — | Purchase | 344 | $16.81 | $5,783 | 1,376 | Nov 15, 2021 |
| Schmucker Brian H | — | Sale | 4,000 | $17.88 | $71,520 | — | Jun 4, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 8,800 | $18.09 | $159,192 | 17,489 | May 10, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,302 | $17.68 | $93,739 | 26,289 | Apr 30, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,000 | $17.47 | $87,350 | 31,591 | Apr 23, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 7,114 | $17.77 | $126,416 | 36,591 | Apr 13, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 4,000 | $17.60 | $70,400 | 43,705 | Apr 5, 2021 |
| Schmucker Brian H | — | Sale | 15,000 | $17.38 | $260,700 | 11,616 | Apr 1, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 6,279 | $17.36 | $109,003 | 47,705 | Mar 21, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,000 | $17.68 | $88,400 | 53,984 | Mar 17, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,000 | $17.60 | $88,000 | 64,494 | Mar 15, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 7,635 | $17.37 | $132,620 | 77,994 | Mar 3, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 9,450 | $17.50 | $165,375 | 85,629 | Feb 5, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 8,792 | $17.34 | $152,453 | 103,871 | Feb 4, 2021 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 2,000 | $17.01 | $34,020 | 122,122 | Feb 3, 2021 |
| Swanson David | — | Purchase | 258 | $14.08 | $3,633 | 1,032 | Nov 9, 2020 |
| O'Neill Stephen Andrew | — | Purchase | 500 | $9.35 | $4,675 | 47,722 | Mar 23, 2020 |
| Galley Patrick W. | — | Purchase | 1,000 | $12.48 | $12,480 | 140,571 | Mar 12, 2020 |
| Schmucker Brian H | — | Sale | 29,050 | $11.17 | $324,489 | 26,616 | Mar 12, 2020 |
| Oakes John S. | — | Purchase | 429 | $16.20 | $6,950 | 1,967 | Nov 12, 2019 |
| HUTCHENS JOHN WAYNE | — | Purchase | 1,247 | $16.20 | $20,201 | 4,990 | Nov 12, 2019 |
| Galley Patrick W. | — | Purchase | 33,168 | $16.20 | $537,322 | 137,695 | Nov 7, 2019 |
| O'Neill Stephen Andrew | — | Purchase | 5,000 | $16.20 | $81,000 | 43,792 | Nov 7, 2019 |
| Swanson David | — | Purchase | 194 | $16.60 | $3,220 | 774 | Oct 25, 2019 |