RiverNorth Opportunities Fund, Inc. (RIV) shareholders
RIVNYSEFiscal year ends June 30Also trades as RIV.PA
$10.02−0.04 (-0.40%)
Close on Nov 13, 2026Market cap –P/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
10M
Shares held, 13F filers
Institutional holders
60
10 new, 6 sold out
Net institutional buying
-0M
In Q2 2026
Insider trades, 12 months
0 buys · 0 sales
Open-market trades only
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Sit Fixed Income Advisors II, LLC Joint filing with Sit Investment Associates, Inc. (10.50%) | 2,881,742 | 10.50% | 13G (passive) | Oct 31, 2025 |
| Morgan Stanley Joint filing with Morgan Stanley Smith Barney LLC (8.20%) | 1,768,520 | 8.20% | 13G (passive) amendment | Mar 31, 2025 |
| Equitable Holdings, Inc. | 1,404,000 | 47.00% | 13G (passive) | Sep 30, 2026 |
| Thrivent Financial For Lutherans | 740,000 | 24.70% | 13G (passive) | Sep 18, 2026 |
| Alliancebernstein L.P. | 656,000 | 22.00% | 13G (passive) | Sep 30, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of RIV | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Sit Investment Associates Inc | 2,488,022 | – | $29.01M | −10,000 | 0.55% |
| Morgan Stanley | 1,868,969 | – | $21.79M | −24,027 | 0.00% |
| Penserra Capital Management LLC | 775,986 | – | $9.05M | +29,612 | 0.07% |
| LPL Financial LLC | 595,638 | – | $6.95M | +60,965 | 0.00% |
| Arete Wealth Advisors, LLC | 440,153 | – | $5.13M | +2,888 | 0.34% |
| Bank Of America Corp /De/ | 331,846 | – | $3.87M | +9,600 | 0.00% |
| Wells Fargo & Company/Mn | 292,223 | – | $3.41M | +971 | 0.00% |
| Yakira Capital Management, Inc. | 232,717 | – | $2.71M | −34,489 | 0.77% |
| Everstar Asset Management, LLC | 213,685 | – | $2.49M | +45,159 | 1.20% |
| Royal Bank of Canada | 199,892 | – | $2.33M | −5,249 | 0.00% |
| Envestnet Asset Management Inc | 177,189 | – | $2.07M | +4,571 | 0.00% |
| Raymond James Financial Inc | 169,706 | – | $1.98M | +109,817 | 0.00% |
| Principal Securities, Inc. | 168,674 | – | $1.97M | +4,571 | 0.02% |
| Baird Financial Group, Inc. | 118,791 | – | $1.39M | −3,885 | 0.00% |
| Tennessee Valley Asset Management Partners | 114,169 | – | $1.33M | −16,955 | 0.15% |
| Marks Group Wealth Management, Inc | 107,869 | – | $1.26M | – | 0.11% |
| Osaic Holdings, Inc. | 99,572 | – | $1.16M | −3,129 | 0.00% |
| Nations Financial Group Inc, /Ia/ /Adv | 85,337 | – | $995.04K | −1,349 | 0.05% |
| Advisory Solutions Group, LLC | 84,470 | – | $984.92K | New | 0.33% |
| Nomura Holdings Inc | 83,864 | – | $977.85K | – | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 60 | 10M | 10 / 21 | 16 / 6 | 1M | 1M |
| Q1 2026 | 57 | 10M | 4 / 21 | 18 / 4 | 1M | 1M |
| Q4 2025 | 58 | 10M | 11 / 20 | 17 / 5 | 5M | 0M |
| Q3 2025 | 52 | 6M | 10 / 21 | 10 / 4 | 1M | 0M |
| Q2 2025 | 48 | 5M | 8 / 14 | 13 / 6 | 1M | 0M |
| Q1 2025 | 47 | 5M | 6 / 19 | 12 / 6 | 0M | 0M |
| Q4 2024 | 49 | 5M | 10 / 19 | 13 / 4 | 1M | 0M |
| Q3 2024 | 45 | 5M | 5 / 18 | 12 / 9 | 1M | 1M |
| Q2 2024 | 49 | 5M | 2 / 24 | 12 / 5 | 1M | 4M |
| Q1 2024 | 52 | 8M | 4 / 17 | 18 / 6 | 2M | 1M |
| Q4 2023 | 54 | 7M | 14 / 23 | 9 / 3 | 2M | 0M |
| Q3 2023 | 43 | 5M | 4 / 19 | 10 / 6 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
4 funds held RIV in Q4 2025, 0% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of RIV | Value | % of fund | As of |
|---|---|---|---|---|---|
| Amplify CEF High Income ETF | 772,290 | – | $9.00M | 1.25% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Patrick W. Galley | President, Director | 550,403 | Oct 5, 2026 |
| David Swanson | Director | 1,835 | Oct 5, 2026 |
| Jerry Raio | Director | 8,412 | Oct 14, 2025 |
| RiverNorth Strategic Holdings, LLC | – | 2,375,123 | Oct 5, 2026 |
| Stephen Andrew O'Neill | – | 119,923 | Oct 5, 2026 |
| Financial For Lutherans Thrivent | 10% owner | 740,000 | Sep 21, 2026 |
| RiverNorth Financial Holdings, LLC | – | 0 | Sep 18, 2025 |
| Rivernorth Capital Management, Llc | – | 0 | Nov 27, 2024 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| David Swanson Director | Sep 24, 2026 | Other | +459 | $10.49 | $4.81K | 1,835 |
| RiverNorth Strategic Holdings, LLC – | Sep 24, 2026 | Other | +2,272,728 | $10.49 | $23.84M | 2,375,123 |
| Patrick W. Galley President, Director | Sep 24, 2026 | Other | +219,708 | $10.49 | $2.30M | 550,403 |
| Stephen Andrew O'Neill – | Sep 24, 2026 | Other | +10,000 | $10.49 | $104.90K | 119,923 |
| RiverNorth Strategic Holdings, LLC – | Oct 10, 2025 | Other | +25,599 | $11.95 | $305.91K | 102,395 |
| Patrick W. Galley President, Director | Oct 10, 2025 | Other | +112,213 | $11.95 | $1.34M | 330,695 |
| Jerry Raio Director | Oct 10, 2025 | Other | +3,834 | $11.95 | $45.82K | 8,412 |
| Stephen Andrew O'Neill – | Oct 10, 2025 | Other | +15,000 | $11.95 | $179.25K | 94,768 |
| Rivernorth Capital Management, Llc – | Nov 22, 2024 | Other | −76,796 | – | – | 0 |
| Rivernorth Capital Management, Llc – | Dec 27, 2023 | Award | +12,608 | $11.12 | $140.20K | 89,368 |
| Rivernorth Capital Management, Llc – | Dec 14, 2023 | Award | +8,674 | $11.06 | $95.93K | 76,760 |
| Rivernorth Capital Management, Llc – | Dec 8, 2023 | Award | +600 | $10.83 | $6.50K | 68,086 |
| Rivernorth Capital Management, Llc – | Dec 7, 2023 | Award | +292 | $10.77 | $3.14K | 67,486 |
| Rivernorth Capital Management, Llc – | Dec 4, 2023 | Award | +1,053 | $10.68 | $11.25K | 67,194 |
| Rivernorth Capital Management, Llc – | Dec 1, 2023 | Award | +47 | $10.65 | $501 | 66,141 |
| Rivernorth Capital Management, Llc – | Nov 21, 2023 | Award | +12,400 | $10.50 | $130.20K | 66,094 |
| Rivernorth Capital Management, Llc – | Nov 20, 2023 | Award | +15,245 | $10.49 | $159.92K | 53,694 |
| Rivernorth Capital Management, Llc – | Nov 17, 2023 | Award | +18,094 | $10.47 | $189.44K | 38,449 |
| Jerry Raio Director | Oct 27, 2023 | Buy | +2,500 | $9.74 | $24.35K | 4,000 |
| Rivernorth Capital Management, Llc – | Jun 2, 2023 | Award | +916 | $11.20 | $10.26K | 20,355 |
| Rivernorth Capital Management, Llc – | May 12, 2023 | Award | +4,539 | $10.98 | $49.84K | 19,439 |
| Rivernorth Capital Management, Llc – | May 11, 2023 | Award | +728 | $11.13 | $8.10K | 14,900 |
| Rivernorth Capital Management, Llc – | May 10, 2023 | Award | +1,600 | $11.13 | $17.81K | 14,172 |
| Jerry Raio Director | Apr 10, 2023 | Buy | +1,500 | $11.55 | $17.33K | 1,500 |
| Patrick W. Galley President, Director | Nov 15, 2022 | Buy | +41,899 | – | – | 282,018 |
| John Wayne Hutchens Director | Nov 8, 2022 | Buy | +2,773 | $11.93 | $33.08K | 7,763 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +200 | $14.95 | $2.99K | 68,629 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +1,702 | $14.98 | $25.50K | 67,929 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +500 | $14.94 | $7.47K | 68,429 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +1,198 | $14.92 | $17.87K | 69,827 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +200 | $14.97 | $2.99K | 70,027 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +1,200 | $14.92 | $17.90K | 71,227 |
| John Wayne Hutchens Director | Nov 16, 2021 | Buy | +1,664 | $16.81 | $27.97K | 6,654 |
| Stephen Andrew O'Neill – | Nov 15, 2021 | Buy | +16,557 | $16.81 | $278.32K | 66,227 |
| Stephen Andrew O'Neill – | Nov 15, 2021 | Buy | +16,557 | $16.81 | $278.32K | 82,784 |
| David Swanson Director | Nov 15, 2021 | Buy | +344 | $16.81 | $5.78K | 1,376 |
| Brian H. Schmucker – | Jun 4, 2021 | Sale | −4,000 | $17.88 | $71.52K | 0 |
| Rivernorth Capital Management, Llc – | May 10, 2021 | Sale | −4,917 | $18.04 | $88.70K | 12,572 |
| Rivernorth Capital Management, Llc – | May 7, 2021 | Sale | −8,800 | $18.09 | $159.19K | 17,489 |
| Rivernorth Capital Management, Llc – | Apr 30, 2021 | Sale | −5,302 | $17.68 | $93.74K | 26,289 |
| Rivernorth Capital Management, Llc – | Apr 23, 2021 | Sale | −5,000 | $17.47 | $87.35K | 31,591 |
| Rivernorth Capital Management, Llc – | Apr 13, 2021 | Sale | −7,114 | $17.77 | $126.42K | 36,591 |
| Rivernorth Capital Management, Llc – | Apr 5, 2021 | Sale | −4,000 | $17.60 | $70.40K | 43,705 |
| Brian H. Schmucker – | Apr 1, 2021 | Sale | −7,616 | $17.54 | $133.58K | 4,000 |
| Brian H. Schmucker – | Mar 31, 2021 | Sale | −15,000 | $17.38 | $260.70K | 11,616 |
| Rivernorth Capital Management, Llc – | Mar 21, 2021 | Sale | −6,279 | $17.36 | $109.00K | 47,705 |
| Rivernorth Capital Management, Llc – | Mar 17, 2021 | Sale | −5,000 | $17.68 | $88.40K | 53,984 |
| Rivernorth Capital Management, Llc – | Mar 15, 2021 | Sale | −5,510 | $17.72 | $97.64K | 58,984 |
| Rivernorth Capital Management, Llc – | Mar 12, 2021 | Sale | −5,000 | $17.60 | $88.00K | 64,494 |
| Rivernorth Capital Management, Llc – | Mar 5, 2021 | Sale | −8,500 | $17.02 | $144.67K | 69,494 |
| Rivernorth Capital Management, Llc – | Mar 3, 2021 | Sale | −7,635 | $17.37 | $132.62K | 77,994 |
| Rivernorth Capital Management, Llc – | Feb 9, 2021 | Sale | −9,450 | $17.50 | $165.38K | 85,629 |
| Rivernorth Capital Management, Llc – | Feb 5, 2021 | Sale | −8,792 | $17.34 | $152.45K | 95,079 |
| Rivernorth Capital Management, Llc – | Feb 5, 2021 | Sale | −8,792 | $17.34 | $152.45K | 103,871 |
| Rivernorth Capital Management, Llc – | Feb 4, 2021 | Sale | −2,000 | $17.17 | $34.34K | 112,663 |
| Rivernorth Capital Management, Llc – | Feb 3, 2021 | Sale | −7,459 | $17.01 | $126.88K | 114,663 |
| Rivernorth Capital Management, Llc – | Feb 2, 2021 | Sale | −2,000 | $17.01 | $34.02K | 122,122 |
| David Swanson Director | Nov 9, 2020 | Buy | +258 | $14.08 | $3.63K | 1,032 |
| Stephen Andrew O'Neill – | Mar 23, 2020 | Buy | +500 | $9.35 | $4.68K | 47,722 |
| Stephen Andrew O'Neill – | Mar 23, 2020 | Buy | +2,000 | $9.39 | $18.78K | 47,222 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of shares outstanding
–
0M shares short
Days to cover
1.0
At 0M shares a day
Change since last report
+20.9%
From 0M shares
Short volume, 20 days
44.9%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of RiverNorth Opportunities Fund's stock actually held short. Settlement fails (shares not delivered on time) peaked at 26,295 shares on Aug 31, 2026 over the last 90 days.
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