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 |
|---|---|---|---|---|---|---|---|
| Schmucker Brian H | Chief Executive Officer | Sale | 10,290 | $0.06 | $617 | — | Oct 22, 2019 |
| Galley Patrick W. | Chief Investment Officer | Sale | 14,465 | $0.06 | $868 | 109,657 | Oct 21, 2019 |
| Schmucker Brian H | Chief Executive Officer | Sale | 1,000 | $16.89 | $16,890 | 123,122 | Oct 8, 2019 |
| Galley Patrick W. | — | Award / Grant | 96,597 | — | — | 96,597 | Oct 1, 2019 |
| O'Neill Stephen Andrew | — | Sale | 23,793 | $0.05 | $1,190 | 15,000 | Oct 1, 2019 |
| Schmucker Brian H | — | Award / Grant | 55,668 | — | — | 55,668 | Oct 1, 2019 |
| Schmucker Brian H | Chief Executive Officer | Sale | 1,522 | $16.70 | $25,417 | 115,171 | Oct 1, 2019 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,000 | $17.12 | $85,600 | 124,122 | Sep 25, 2019 |
| Galley Patrick W. | — | Sale | 3,000 | $16.95 | $50,850 | 133,125 | Aug 28, 2019 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 3,300 | $17.45 | $57,585 | 136,125 | Aug 1, 2019 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 1,755 | $17.40 | $30,537 | 142,425 | Jul 11, 2019 |
| Schmucker Brian H | — | Sale | 2,372 | $17.50 | $41,510 | 153,698 | Jul 10, 2019 |
| Galley Patrick W. | — | Sale | 3,400 | $17.26 | $58,684 | 164,708 | Jul 2, 2019 |
| Swanson David | — | Purchase | 580 | $17.20 | $9,976 | 580 | Jul 2, 2019 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 581 | $17.10 | $9,935 | 168,478 | Jun 20, 2019 |
| Schmucker Brian H | — | Sale | 513 | $17.07 | $8,757 | 171,059 | Jun 18, 2019 |
| Schmucker Brian H | — | Sale | 200 | $17.10 | $3,420 | 176,572 | Jun 13, 2019 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 671 | $16.92 | $11,353 | 179,265 | Jun 4, 2019 |
| Schmucker Brian H | — | Sale | 5,500 | $16.79 | $92,345 | 55,666 | May 9, 2019 |
| Schmucker Brian H | — | Sale | 5,500 | $17.20 | $94,600 | 66,666 | May 8, 2019 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,500 | $17.22 | $94,710 | 184,763 | May 6, 2019 |
| Galley Patrick W. | — | Sale | 5,500 | $17.06 | $93,830 | 190,263 | May 2, 2019 |
| Galley Patrick W. | — | Purchase | 2,000 | $14.53 | $29,060 | 89,974 | Dec 21, 2018 |
| Schmucker Brian H | — | Award / Grant | 3,000 | $14.44 | $43,320 | 72,166 | Dec 20, 2018 |
| Galley Patrick W. | — | Award / Grant | 1,000 | $15.03 | $15,030 | 83,974 | Dec 20, 2018 |
| Schmucker Brian H | — | Award / Grant | 3,000 | $16.20 | $48,600 | 64,166 | Nov 20, 2018 |
| Schmucker Brian H | — | Award / Grant | 2,000 | $16.38 | $32,760 | 61,166 | Nov 19, 2018 |
| Oakes John S. | — | Purchase | 369 | $16.93 | $6,247 | 1,475 | Nov 7, 2018 |
| Schmucker Brian H | — | Award / Grant | 8,833 | $16.93 | $149,543 | 54,166 | Nov 7, 2018 |
| O'Neill Stephen Andrew | — | Award / Grant | 8,000 | $16.93 | $135,440 | 35,639 | Nov 7, 2018 |
| Galley Patrick W. | — | Award / Grant | 30,659 | $16.93 | $519,057 | 80,974 | Nov 7, 2018 |
| HUTCHENS JOHN WAYNE | — | Purchase | 1,311 | $16.93 | $22,195 | 3,743 | Nov 7, 2018 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 678 | $21.55 | $14,611 | 195,763 | Jun 13, 2018 |
| Schmucker Brian H | — | Sale | 3,000 | $21.46 | $64,380 | 205,758 | Jun 12, 2018 |
| Schmucker Brian H | — | Sale | 3,500 | $21.45 | $75,075 | 212,329 | Jun 8, 2018 |
| Galley Patrick W. | — | Sale | 4,000 | $21.36 | $85,440 | 219,329 | Jun 5, 2018 |
| Galley Patrick W. | — | Sale | 3,000 | $21.35 | $64,050 | 227,766 | Jun 1, 2018 |
| Galley Patrick W. | — | Sale | 3,000 | $21.31 | $63,930 | 233,774 | May 29, 2018 |
| Galley Patrick W. | — | Sale | 7,400 | $20.74 | $153,476 | 246,274 | Jan 10, 2018 |
| Schmucker Brian H | Officer of Investment Advisor | Sale | 7,000 | $20.75 | $145,250 | 253,674 | Jan 8, 2018 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,300 | $20.28 | $107,484 | 272,674 | Jan 3, 2018 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 5,000 | $20.12 | $100,600 | 272,974 | Jan 2, 2018 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 3,000 | $19.73 | $59,190 | 294,416 | Dec 21, 2017 |
| O'Neill Stephen Andrew | — | Award / Grant | 2,000 | $19.54 | $39,080 | 27,000 | Nov 15, 2017 |
| Schmucker Brian H | — | Award / Grant | 11,333 | $19.54 | $221,447 | 45,333 | Nov 15, 2017 |
| Galley Patrick W. | — | Award / Grant | 18,676 | $19.54 | $364,929 | 44,710 | Nov 15, 2017 |
| HUTCHENS JOHN WAYNE | — | Award / Grant | 1,332 | $19.54 | $26,027 | 2,432 | Nov 15, 2017 |
| Oakes John S. | — | Award / Grant | 667 | $19.54 | $13,033 | 1,167 | Nov 15, 2017 |
| Schmucker Brian H | — | Sale | 10,000 | $0.23 | $2,300 | 261,867 | Oct 30, 2017 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | — | Sale | 19,691 | $0.22 | $4,332 | 279,727 | Oct 23, 2017 |