RIVERNORTH CAPITAL MANAGEMENT, LLC Diversified Active

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	WESTERN ASSET EMRG MKT DEBT	4,745,389	$58,273	3.5%	$15.00	—	COM SHS	95766A101
—	NUVEEN AMT FREE QLTY MUN INC	4,587,230	$56,515	3.4%	$13.05	—	COM	670657105
—	NUVEEN QUALITY MUNCP INCOME	4,504,071	$56,301	3.4%	$13.10	—	COM	67066V101
—	EATON VANCE LTD DUR INCOME F	4,284,716	$51,117	3.0%	$13.31	—	COM	27828H105
—	WESTERN ASSET HIGH INCM OPP	9,857,102	$43,371	2.6%	$5.00	—	COM	95766K109
—	HIGHLAND FLOATNG RATE OPPRT SHS BEN INT	2,981,262	$37,385	2.2%	$14.25	—	SHS BEN INT	43010E404
—	PGIM GLOBAL SHORT DURATION H	2,665,065	$34,672	2.1%	$13.73	—	COM	69346J106
—	NUVEEN CR STRATEGIES INCM FD	4,585,542	$33,704	2.0%	$8.99	—	COM SHS	67073D102
—	VOYA PRIME RATE TR	7,322,554	$33,537	2.0%	$5.02	—	BEN INT	92913A100
—	BLACKROCK CR ALLCTN INC TR	2,951,458	$33,027	2.0%	$12.97	—	COM	092508100
—	INVESCO SR INCOME TR	8,161,369	$31,666	1.9%	$4.16	—	COM	46131H107
—	TEMPLETON GLOBAL INCOME FD	4,975,797	$30,303	1.8%	$7.04	—	COM	880198106
—	BRANDYWINEGBL GLBAL INM OPRT	2,721,981	$28,472	1.7%	$12.43	—	COM	10537L104
—	FS KKR CAPITAL CORP	5,082,671	$27,091	1.6%	$5.33	—	COM	302635107
—	GOLDMAN SACHS MLP ENERGY REN	3,535,824	$25,423	1.5%	$7.19	—	COM	38148G107
—	BLACKROCK CORPOR HI YLD FD I	2,670,242	$24,860	1.5%	$10.77	—	COM	09255P107
BBDC	BARINGS BDC INC	2,694,179	$24,275	1.4%	$5.22	-2.2%	COM	06759L103
—	WESTERN ASSET GLB HI INCOME	2,596,051	$21,417	1.3%	$9.82	—	COM	95766B109
—	NUVEEN CA QUALTY MUN INCOME	1,636,505	$20,505	1.2%	$12.77	—	COM	67066Y105
—	INVESCO DYNAMIC CR OPP FD	1,973,650	$20,289	1.2%	$11.53	—	COM	46132R104
—	BLACKROCK MUN 2030 TAR TERM	994,367	$20,215	1.2%	$20.39	—	COM SHS BEN IN	09257P105
—	INVESCO MUN OPPORTUNITY TR	1,772,634	$19,570	1.2%	$11.04	—	COM	46132C107
—	TORTOISE MLP FD INC	1,522,524	$18,255	1.1%	$14.89	—	COM	89148B101
—	WESTERN AST INFL LKD OPP & I	1,737,430	$17,635	1.1%	$11.34	—	COM	95766R104
—	PGIM SHORT DURATION HIGH YIE	1,333,953	$17,475	1.0%	$13.90	—	COM	69346H100
—	TEMPLETON EMERG MKTS INCOME	1,766,328	$16,868	1.0%	$11.09	—	COM	880192109
—	CORNERSTONE STRATEGIC VALUE	1,440,368	$15,930	0.9%	$14.00	—	COM	21924B302
—	NUVEEN AMT FREE MUN CR INC F	1,119,142	$15,366	0.9%	$13.73	—	COM	67071L106
—	NUVEEN PFD & INCM SECURTIES	1,840,177	$15,218	0.9%	$8.31	—	COM	67072C105
—	BLACKROCK DEBT STRAT FD INC	1,523,271	$15,035	0.9%	$10.03	—	COM	09255R202
NXDT	NEXPOINT STRATEGIC OPORTUNT	740,087	$14,824	0.9%	$21.83	—	COM	65340G205
—	ALLIANCEBERNSTEIN GBL HGH IN	1,318,973	$14,007	0.8%	$10.95	—	COM	01879R106
—	WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD	1,882,676	$13,819	0.8%	$7.89	—	COM	94987B105
—	WESTERN ASSET HGH YLD DFNDFD	1,018,228	$13,492	0.8%	$15.81	—	COM	95768B107
—	BLACKROCK MULTI-SECTOR INC T	858,753	$13,405	0.8%	$16.50	—	COM	09258A107
—	ALLIANZGI CON INCM 2024 TARG	1,638,055	$13,268	0.8%	$8.87	—	COM	01883H102
—	FIRST TR INTER DUR PFD & IN	659,495	$13,084	0.8%	$19.84	—	COM	33718W103
—	BROOKFIELD REAL ASSETS INCOM SHS BEN INT	678,557	$12,933	0.8%	$19.06	—	SHS BEN INT	112830104
—	KAYNE ANDERSN MLP MIDS INVT	955,706	$12,654	0.8%	$17.87	—	COM	486606106
—	DELAWARE ENHANCED GBL DIV &	1,432,166	$12,004	0.7%	$11.31	—	COM	246060107
—	ADVENT CLAYMORE CV SECS & IN	949,955	$11,912	0.7%	$14.05	—	COM	00764C109
—	ALLIANZGI NFJ DIVID INT & PR	1,091,523	$11,581	0.7%	$12.45	—	COM	01883A107
—	NUVEEN MTG OPPORTUNITY TERM	508,640	$11,439	0.7%	$23.37	—	COM	670735109
—	CLOUGH GLOBAL OPPORTUNITIES	1,381,305	$11,396	0.7%	$11.38	—	SH BEN INT	18914E106
—	ALLIANCE CALIF MUN INCOME FD	828,329	$11,303	0.7%	$13.45	—	COM	018546101
—	INVESCO VALUE MUN INCOME TR	836,168	$11,238	0.7%	$13.44	—	COM	46132P108
—	NUVEEN FLOATING RATE INCOME	1,159,810	$10,798	0.6%	$9.31	—	COM	67072T108
—	NUVEEN MUN HIGH INCOME OPP F	896,361	$10,308	0.6%	$11.50	—	COM	670682103
—	FRANKLIN LTD DURATION INC TR	1,110,807	$10,097	0.6%	$9.09	—	COM	35472T101
—	MORGAN STANLEY EMER MKTS DEB	1,204,525	$9,937	0.6%	$9.57	—	COM	61744H105
—	LIBERTY ALL-STAR GROWTH FD I	2,202,598	$9,603	0.6%	$4.36	—	COM	529900102
—	EATON VANCE SR FLTNG RTE TR COM	772,523	$9,602	0.6%	$12.43	—	COM	27828Q105
—	BLACKROCK MUNIYIELD QLTY FD	760,786	$9,237	0.6%	$12.14	—	COM	09254F100
—	BLACKROCK FLOAT RATE OME STR	772,207	$9,143	0.5%	$11.84	—	COM	09255X100
—	NUVEEN NEW YORK AMT QLT MUNI	780,967	$9,067	0.5%	$11.61	—	COM	670656107
—	ARES DYNAMIC CR ALLOCATION F	657,922	$9,053	0.5%	$14.45	—	COM	04014F102
—	NUVEEN MUNICIPAL CREDIT INC	676,225	$8,994	0.5%	$13.30	—	COM SH BEN INT	67070X101
—	GARRISON CAP INC	1,330,952	$8,798	0.5%	$9.05	—	COM	366554103
XMUIX	BLACKROCK MUNI INTER DR FD I	689,502	$8,702	0.5%	$13.43	—	COM	09253X102
—	NUVEEN GLOBAL HIGH INCOME FD	600,198	$8,229	0.5%	$15.65	—	COM	67075G103
—	EAGLE GRWTH & INCOME OPPTY F	641,706	$8,102	0.5%	$15.76	—	COM SH BEN INT	26958J105
SPY	SPDR S&P 500 ETF TR	31,826	$7,884	0.5%	$269.53	—	COM	78462F103
—	NUVEEN MTG OPPTY TERM FD 2	343,595	$7,556	0.5%	$23.90	—	COM	67074R100
—	INVESCO HIGH INCOME TR II	589,602	$7,329	0.4%	$14.16	—	COM	46131F101
—	NEUBERGER BERMAN HGH YLD FD	739,342	$7,216	0.4%	$11.45	—	COM	64128C106
—	ALLIANCEBERNSTEIN NATL MUNI	585,009	$7,003	0.4%	$12.70	—	COM	01864U106
—	NUVEEN INTER DURATION MN TMF	557,013	$6,913	0.4%	$12.48	—	COM	670671106
—	MORGAN STANLEY EMER MKTS FD	424,446	$6,902	0.4%	$17.33	—	COM	61744G107
—	PUTNAM MUN OPPORTUNITIES TR	608,056	$6,822	0.4%	$11.22	—	SH BEN INT	746922103
—	EATON VANCE SR INCOME TR	1,143,562	$6,816	0.4%	$6.36	—	SH BEN INT	27826S103
XZFGX	VIRTUS TOTAL RETURN FUND INC	803,287	$6,812	0.4%	$10.84	—	COM	92837G100
—	SPROTT FOCUS TR INC	1,169,632	$6,749	0.4%	$6.79	—	COM	85208J109
—	EATON VANCE FLTING RATE INC	521,958	$6,603	0.4%	$12.65	—	COM	278279104
—	BLACKROCK 2022 GBL INCM OPP	785,137	$6,572	0.4%	$8.63	—	COM	09258P104
—	WESTERN ASSET GLOBAL CP DEFI	431,956	$6,432	0.4%	$15.49	—	COM	95790C107
—	NUVEEN TAXABLE MUNICPL INCM	333,427	$6,415	0.4%	$19.24	—	COM	67074C103
—	WESTERN ASSET HIGH INCM FD I	1,115,404	$6,402	0.4%	$6.78	—	COM	95766J102
PRF	INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000	61,419	$6,191	0.4%	$118.76	—	COM	46137V613
—	NUVEEN EMERGING MKTS DEBT 20	810,852	$6,171	0.4%	$8.46	—	COM	67077P101
XEVMX	EATON VANCE CALIF MUN BD FD	609,567	$6,010	0.4%	$10.00	—	COM	27828A100
—	PIMCO DYNMIC CREDIT AND MRT	285,357	$5,995	0.4%	$21.01	—	COM	72202D106
—	ABERDEEN EMRG MRKTS EQT INM	937,448	$5,953	0.4%	$6.71	—	COM	00301W105
—	BLACKROCK LTD DURATION INC T	443,757	$5,951	0.4%	$14.85	—	COM	09249W101
—	DREYFUS STRATEGIC MUNS INC	829,202	$5,945	0.4%	$7.17	—	COM	261932107
—	CORNERSTONE TOTAL RTRN FD IN	533,982	$5,842	0.3%	$13.88	—	COM	21924U300
—	BLACKROCK FLOATING RATE INCO	505,691	$5,831	0.3%	$11.53	—	COM	091941104
—	HIGH INCOME SECS FD	646,600	$5,768	0.3%	$9.48	—	SHS BEN INT	42968F108
—	WESTERN ASSET CORPORATE LN F	632,111	$5,645	0.3%	$8.93	—	COM	95790J102
—	BLACKROCK NY MUNI INC QLTY T	464,189	$5,603	0.3%	$12.22	—	COM	09249U105
XBFZX	BLACKROCK CALIF MUN INCOME T	436,028	$5,197	0.3%	$12.35	—	SH BEN INT	09248E102
XMHIX	PIONEER MUN HIGH INCOME TR	463,244	$5,026	0.3%	$10.85	—	COM	723763108
—	NUVEEN CALIFORNIA AMT QLT MU	387,985	$4,881	0.3%	$12.62	—	COM	670651108
—	FIRST TR SR FLOATING RATE 20	572,459	$4,746	0.3%	$8.29	—	COM	33740K101
—	SPECIAL OPPORTUNITIES FD INC PFD	191,280	$4,725	0.3%	$25.83	—	CONV SER B	84741T302
—	NUVEEN CONNECTICUT QLTY MUN	405,674	$4,556	0.3%	$11.59	—	COM	67060D107
—	MFS CHARTER INCOME TR	615,676	$4,519	0.3%	$8.96	—	SHS BEN INT	552727109
—	NUVEEN INT DUR QUAL MUN TRM	365,287	$4,511	0.3%	$12.43	—	COM	670677103
—	LAZARD WORLD DIVID & INCOME	533,362	$4,486	0.3%	$9.81	—	COM	521076109
BCSF	BAIN CAP SPECIALTY FIN INC	256,678	$4,438	0.3%	$7.90	0.0%	COM	05684B107
—	ABERDEEN ASIA PACIFIC INCOM	1,112,348	$4,349	0.3%	$4.47	—	COM	003009107
—	CALAMOS CONV OPP AND INC FD	481,936	$4,217	0.3%	$8.75	—	SH BEN INT	128117108
—	FIRST TR SR FLG RTE INCM FD	362,170	$4,053	0.2%	$11.19	—	COM	33733U108
—	APOLLO SR FLOATING RATE FD I	277,047	$4,023	0.2%	$14.52	—	COM	037636107
PACK	ONE MADISON CORP	398,073	$4,001	0.2%	$9.70	—	COM	G6772P100
—	PENSARE ACQUISITION CORP	389,994	$3,943	0.2%	$5.82	—	*W EXP 05/05/2022	70957E113
—	NUVEEN SR INCOME FD	718,780	$3,932	0.2%	$5.47	—	COM	67067Y104
XNBOX	NEUBERGER BRMAN NY MUNI FD I	344,096	$3,799	0.2%	$11.27	—	COM	64124K102
—	NUVEEN CALIF MUN VALUE FD	410,781	$3,746	0.2%	$9.22	—	COM	67062C107
PXH	INVESCO EXCHNG TRADED FD TR FTSE RAFI EMNG	187,653	$3,717	0.2%	$21.14	—	COM	46138E727
—	NEUBERGER BRMAN CLIFRN MUNI	291,681	$3,506	0.2%	$12.18	—	COM	64123C101
XPHDX	PIONEER FLOATING RATE TR	347,869	$3,447	0.2%	$9.91	—	COM	72369J102
—	BLACKROCK MUNICIPL INC QLTY	269,678	$3,363	0.2%	$12.47	—	COM	092479104
—	PIMCO CORPORATE & INCOME OPP	213,460	$3,332	0.2%	$15.61	—	COM	72201B101
—	EATON VANCE MUN BD FD	294,695	$3,292	0.2%	$11.17	—	COM	27827X101
—	PIMCO CORPORATE INCOME STRAT	214,540	$3,274	0.2%	$15.26	—	COM	72200U100
—	INVESCO TR INVT GRADE MUNS	287,167	$3,265	0.2%	$11.37	—	COM	46131M106
—	LIBERTY ALL STAR EQUITY FD	589,323	$3,165	0.2%	$5.71	—	SH BEN INT	530158104
XPMAX	PIONEER MUN HIGH INCOME ADV	305,668	$3,103	0.2%	$10.15	—	COM	723762100
—	BLACKROCK MUNIYIELD CALI QLT	242,147	$3,037	0.2%	$12.82	—	COM	09254N103
—	CM SEVEN STAR ACQUISITION	300,000	$3,033	0.2%	$9.65	—	COM	G2345N102
—	TKK SYMPHONY ACQUISITION COR	300,000	$3,027	0.2%	$10.10	—	UNIT 08/15/2023	G88950111
—	LEISURE ACQUISITION CORP	306,594	$3,008	0.2%	$9.68	—	COM	52539T107
—	GRAF INDL CORP	300,000	$3,003	0.2%	$10.01	—	UNIT 12/31/2025	384278206
—	DD3 ACQUISITION CORP	300,000	$3,000	0.2%	$10.00	—	UNIT 10/12/2023	G2692M129
—	SCHULTZE SPL PURP ACQUISITIO	300,000	$2,985	0.2%	$9.95	—	UNIT 12/31/2023	80821R208
XJPIX	NUVEEN PFD & INCOME TERM FD	145,482	$2,965	0.2%	$20.38	—	COM	67075A106
—	HAYMAKER ACQUISITION CORP	294,996	$2,959	0.2%	$9.76	—	COM	420870107
—	FIRST TR HIGH INCOME L/S FD	222,049	$2,953	0.2%	$13.30	—	COM	33738E109
—	EATON VANCE NJ MUNI INCOME T	263,928	$2,951	0.2%	$11.28	—	SH BEN INT	27826V106
—	NUVEEN MUN VALUE FD INC	313,634	$2,904	0.2%	$9.26	—	COM	670928100
—	BLACKSTONE GSO STRATEGIC CR	211,176	$2,904	0.2%	$13.75	—	COM SHS BEN IN	09257R101
—	EATON VANCE TAX ADV BD OPT	334,773	$2,852	0.2%	$8.52	—	COM SH BEN INT	27829M103
XPCKX	PIMCO CALIF MUN INCOME FD II	346,696	$2,722	0.2%	$7.85	—	COM	72200M108
—	ROYCE VALUE TR INC	218,685	$2,567	0.2%	$11.74	—	COM	780910105
—	OPES ACQUISITION CORP	250,000	$2,488	0.1%	$9.70	—	COM	68373P100
—	DREYFUS ALCENTRA GBL CR INCO	307,309	$2,449	0.1%	$7.97	—	COM	26189A105
—	BIG ROCK PARTNERS ACQUISI CO	239,998	$2,448	0.1%	$9.94	—	COM	089482103
—	BLACKROCK MUNIHLDNGS CALI QL	199,123	$2,447	0.1%	$12.29	—	COM	09254L107
VWO	VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF	63,796	$2,435	0.1%	$39.35	—	COM	922042858
—	INDIA FD INC	118,115	$2,384	0.1%	$23.85	—	COM	454089103
—	BLACKSTONE GSO FLTING RTE FU	150,131	$2,341	0.1%	$15.59	—	COM	09256U105
—	MODERN MEDIA ACQUISITION	228,000	$2,323	0.1%	$9.80	—	COM	60765P103
—	BARINGS GLOBAL SHORT DURATIO	144,624	$2,289	0.1%	$15.83	—	COM	06760L100
—	KBL MERGER CORP IV	220,375	$2,248	0.1%	$9.71	—	COM	48242A104
—	PURE ACQUISITION CORP	224,996	$2,216	0.1%	$9.65	—	COM	74621Q106
—	INVESCO MUN TR	200,152	$2,212	0.1%	$11.05	—	COM	46131J103
—	TWELVE SEAS INVESTMENT COMPA	225,000	$2,205	0.1%	$9.60	—	COM	G9145A107
—	SPECIAL OPPORTUNITIES FD INC	184,656	$2,133	0.1%	$12.99	—	COM	84741T104
VEA	VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF	55,877	$2,069	0.1%	$41.26	—	COM	921943858
—	ALBERTON ACQUISITION CORP	200,000	$2,018	0.1%	$10.09	—	UNIT 04/22/2020	G35006116
—	CHARDAN HEALTHCARE ACQUISITI	200,000	$2,002	0.1%	$10.01	—	UNIT 12/13/2023	15957A207
—	UNION ACQUISITION CORP	200,000	$2,000	0.1%	$9.69	—	COM	G9366W101
—	BOXWOOD MERGER CORP	200,000	$1,992	0.1%	$9.96	—	UNIT 11/26/2025	10319T200
—	AMCI ACQUISITION CORP	200,000	$1,990	0.1%	$9.95	—	UNIT 01/07/2019	00165R200
—	MUDRICK CAP ACQUISITION CORP	200,000	$1,976	0.1%	$9.64	—	COM	624745105
—	MEXICO EQUITY & INCOME FD	195,608	$1,956	0.1%	$10.62	—	COM	592834105
—	LEGACY ACQUISITION CORP	200,000	$1,950	0.1%	$9.64	—	COM	524643103
—	BLACK RIDGE ACQUISITION CORP	191,057	$1,920	0.1%	$9.65	—	COM	09216T107
—	EATON VANCE HIGH INCOME 2021	208,876	$1,890	0.1%	$9.05	—	COM SHS BEN IN	27829W101
—	GORDON POINTE ACQUISITION CO	175,000	$1,750	0.1%	$9.73	—	COM	382788107
—	PIMCO INCOME STRATEGY FUND I	181,707	$1,750	0.1%	$9.63	—	COM	72201J104
—	WESTERN ASSET INTM MUNI FD I	208,755	$1,739	0.1%	$8.39	—	COM	958435109
—	BLACKROCK RES & COMM STRAT T	233,996	$1,657	0.1%	$8.52	—	COM	09257A108
—	OHA INVT CORP	1,640,387	$1,640	0.1%	$3.42	—	COM	67091U102
—	PIMCO DYNAMIC INCOME FD	54,902	$1,601	0.1%	$29.16	—	COM	72201Y101
—	MORGAN STANLEY EM MKTS DM DE	262,638	$1,589	0.1%	$11.32	—	COM	617477104
—	MTECH ACQUISITION CORP	155,000	$1,564	0.1%	$9.81	—	COM	55378W107
—	DREYFUS STRATEGIC MUN BD FD	222,363	$1,545	0.1%	$6.95	—	COM	26202F107
—	NUVEEN NORTH CAROLINA QLTY M	130,739	$1,538	0.1%	$11.76	—	COM	67060P100
—	MEGALITH FINL ACQUISITION CO	150,000	$1,514	0.1%	$10.10	—	UNIT 09/30/2025	58518F208
—	CF FIN ACQUISITION CORP	150,000	$1,500	0.1%	$10.00	—	UNIT 04/30/2025	12528N206
—	TRIDENT ACQUISITIONS CORP	150,000	$1,495	0.1%	$9.75	—	COM	89615T106
—	FINTECH ACQUISITION CORP III	150,000	$1,494	0.1%	$9.96	—	UNIT 12/01/2023	31811A309
—	INVESCO ADVANTAGE MUNICIPAL	150,267	$1,486	0.1%	$9.89	—	SH BEN INT	46132E103
—	THUNDER BRIDGE ACQUISITION L	150,000	$1,478	0.1%	$9.71	—	COM	G8857R100
—	VECTOIQ ACQUISITION CORP	149,999	$1,462	0.1%	$9.58	—	COM	92243N103
—	DWS MUN INCOME TR NEW	137,568	$1,411	0.1%	$10.26	—	COM	233368109
—	BLACKROCK MUNIYIELD NY QLTY	121,322	$1,389	0.1%	$11.45	—	COM	09255E102
—	BISON CAP ACQUISITION CORP	125,000	$1,296	0.1%	$9.87	—	COM	G1142P104
—	NUVEEN NEW YORK QLT MUN INC	104,200	$1,274	0.1%	$12.23	—	COM	67066X107
—	TENZING ACQUISITION CORP	125,000	$1,258	0.1%	$10.06	—	UNIT 08/24/2024	G8708A124
—	HL ACQUISITIONS	125,000	$1,231	0.1%	$9.56	—	COM	G4603R106
—	TIBERIUS ACQUISITION CORP	125,000	$1,224	0.1%	$9.61	—	COM	88633A107
—	DREYFUS MUN INCOME INC	157,434	$1,200	0.1%	$7.62	—	COM	26201R102
TOTA	TOTTENHAM ACQUISITION I LTD	118,000	$1,168	0.1%	$9.70	—	COM	G8959N106
—	CONSTELLATION ALPHA CAP	112,469	$1,152	0.1%	$9.75	—	COM	G2379F108
—	INVESCO QUALITY MUNI INC TRS	98,290	$1,094	0.1%	$11.13	—	COM	46133G107
OCCI	OFS CREDIT COMPANY INC	71,208	$1,086	0.1%	$15.25	—	COM	67111Q107
—	COHEN & STEERS LTD DUR PFD I	49,895	$1,079	0.1%	$21.63	—	COM	19248C105
—	BLACKROCK MUNIHLDGS NY QLTY	88,177	$1,051	0.1%	$11.92	—	COM	09255C106
—	RMR REAL ESTATE INCOME FUND	69,006	$1,048	0.1%	$16.44	—	COM	76970B101
—	FIRST TR ABERDEEN GLBL OPP F	108,860	$1,017	0.1%	$9.34	—	COM	337319107
—	LONGEVITY ACQUISITION CORP	100,000	$1,015	0.1%	$10.24	—	UNIT 08/29/2024	G56372108
—	NUVEEN ENHANCED MUN VALUE FD	77,512	$1,001	0.1%	$12.91	—	COM	67074M101
—	CHASERG TECHNLGY ACQUISITN C UNIT 09/30/2023	100,000	$998	0.1%	$9.98	—	UNIT 09/30/2023	16166A202
—	EDTECHX HLDGS ACQUISITION CO	100,000	$998	0.1%	$9.98	—	UNIT 12/31/2025	28138X202
—	MFS CALIF MUN FD	98,856	$983	0.1%	$10.05	—	COM	59318C106
—	PIMCO MUNICIPAL INCOME FD	78,350	$983	0.1%	$12.55	—	COM	72200R107
—	LF CAP ACQUISITION CORP	100,000	$978	0.1%	$9.60	—	COM	50200K108
—	ALLEGRO MERGER CORP	100,000	$977	0.1%	$9.53	—	COM	01749N103
—	TRINITY MERGER CORP	96,000	$956	0.1%	$9.77	—	COM	89653L106
—	EATON VANCE PA MUNI INCOME T	82,362	$911	0.1%	$11.13	—	SH BEN INT	27826T101
XXCHNXX	CHINA FD INC	46,055	$777	0.0%	$20.54	—	COM	169373107
—	VIRTUS GLOBAL MULTI-SEC INC	69,453	$764	0.0%	$11.00	—	COM	92829B101
—	GREENLAND ACQUISITIN CORPORA	75,000	$733	0.0%	$9.67	—	COM	G40981139
—	BLACKROCK NY MUN INCOME TR I	58,332	$722	0.0%	$12.38	—	COM	09249R102
XEFLX	EATON VANCE FLTNG RATE 2022	77,895	$685	0.0%	$8.79	—	COM	27831H100
—	EATON VANCE MA MUNI INCOME T	52,897	$647	0.0%	$12.36	—	SH BEN INT	27826E104
—	EATON VANCE PA MUN BD FD	49,543	$565	0.0%	$11.40	—	COM	27828W102
—	EATON VANCE MUNI INCOME TRUS	49,841	$555	0.0%	$11.14	—	SH BEN INT	27826U108
—	NUVEEN FLTNG RTE INCM OPP FD	60,856	$550	0.0%	$10.30	—	COM	6706EN100
—	EATON VANCE OH MUNI INCOME T	43,735	$533	0.0%	$12.23	—	SH BEN INT	27826G109
XBNYX	BLACKROCK N Y MUN INCOME TR	43,801	$532	0.0%	$12.15	—	SH BEN INT	09248L106
—	MFS MUN INCOME TR	85,866	$529	0.0%	$6.16	—	SH BEN INT	552738106
—	EATON VANCE OHIO MUNICIPAL B	44,549	$511	0.0%	$11.36	—	COM	27828L106
—	CHURCHILL CAP CORP	50,000	$506	0.0%	$10.14	—	UNIT 99/99/9999	17142R202
—	FAR PT ACQUISITION CORP	49,995	$482	0.0%	$9.68	—	COM	30734W109
—	NUVEEN HIGH INCOME NOVEMBER	50,852	$457	0.0%	$8.99	—	COM	67077N106
—	WELLS FARGO MULTI SECTOR INC	41,499	$456	0.0%	$10.99	—	COM	94987D101
—	EATON VANCE N J MUN BD FD	36,191	$423	0.0%	$11.76	—	COM	27828R103
—	BLACKSTONE GSO LNG SHRT CR I	27,639	$381	0.0%	$13.78	—	COM SHS BN INT	09257D102
XMQTX	BLACKROCK MUNIY QUALITY FD I	32,425	$370	0.0%	$11.41	—	COM	09254G108
—	VOYA EMERGING MKTS HIGH DIVI	46,853	$342	0.0%	$8.07	—	COM	92912P108
—	WESTERN ASSET MUN DEF OPP TR	14,769	$290	0.0%	$19.64	—	COM	95768A109
NESRW	NATIONAL ENERGY SERVICES REU	216,015	$270	0.0%	$0.40	—	*W EXP 05/05/2022	G6375R115
—	PCM FUND INC	26,264	$268	0.0%	$10.20	—	COM	69323T101
—	NEUBERGER BERMAN MUNI FD INC	16,608	$208	0.0%	$12.52	—	COM	64124P101
—	BLACKROCK NY MUNICIPAL BOND	16,420	$208	0.0%	$12.88	—	COM	09249P106
—	COLLIER CREEK HOLDINGS	20,000	$201	0.0%	$10.05	—	UNIT 99/99/9999	G22707122
—	NUVEEN CR OPPORTUNITIES 2022	23,000	$196	0.0%	$8.52	—	COM	67075U102
—	NUVEEN MUN 2021 TARGET TERM	19,256	$179	0.0%	$9.30	—	COM	670687102
—	ONE MADISON CORP	199,999	$156	0.0%	$1.03	—	*W EXP 99/99/999	G6772P126
—	MFS MULTIMARKET INCOME TR	28,974	$150	0.0%	$6.40	—	SH BEN INT	552737108
—	INTERNATIONAL MNY EXPRESS IN	62,501	$150	0.0%	$2.35	—	*W EXP 01/19/202	46005L119
—	EATON VANCE MUN BD FD II	13,450	$146	0.0%	$10.86	—	COM	27827K109
—	MFS HIGH YIELD MUN TR	32,830	$135	0.0%	$4.11	—	SH BEN INT	59318E102
—	NRC GROUP HLDGS CORP	168,750	$127	0.0%	$0.75	—	*W EXP 10/17/202	629375114
—	PURE ACQUISITION CORP	112,498	$124	0.0%	$1.28	—	*W EXP 04/17/202	74621Q114
—	LEISURE ACQUISITION CORP	153,297	$123	0.0%	$0.81	—	*W EXP 12/05/201	52539T115
—	HAYMAKER ACQUISITION CORP	147,498	$122	0.0%	$0.95	—	*W EXP 10/27/202	420870115
—	CM SEVEN STAR ACQUISITION CO	300,000	$120	0.0%	$0.32	—	RIGHT 08/21/2022	G2345N136
—	BLACKROCK MUNIENHANCED FD IN	12,200	$120	0.0%	$9.84	—	COM	09253Y100
—	INVESCO CALIF VALUE MUN INC	10,173	$114	0.0%	$11.21	—	COM	46132H106
—	BLACK RIDGE ACQUISITION CORP	300,000	$102	0.0%	$0.33	—	*W EXP 07/10/202	09216T115
—	PENSARE ACQUISITION CORP	349,994	$98	0.0%	$0.50	—	RIGHT 99/99/9999	70957E121
—	MTECH ACQUISITION CORP	155,000	$93	0.0%	$0.73	—	*W EXP 08/01/202	55378W115
—	GDL FUND	10,303	$93	0.0%	$9.03	—	COM	361570104
—	MUDRICK CAP ACQUISITION CORP	200,000	$92	0.0%	$0.64	—	*W EXP 02/12/202	624745113
—	TWELVE SEAS INVESTMENT COMPA	225,000	$79	0.0%	$0.42	—	RIGHT 12/22/2019	G9145A131
—	UNION ACQUISITION CORP	200,000	$78	0.0%	$0.32	—	RIGHT 12/02/2019	G9366W135
—	VECTOIQ ACQUISITION CORP	149,999	$75	0.0%	$0.52	—	*W EXP 05/11/202	92243N111
—	U S WELL SVCS INC	150,000	$74	0.0%	$0.49	—	*W EXP 03/15/202	91274U119
—	OPES ACQUISITION CORP	250,000	$74	0.0%	$0.36	—	*W EXP 03/13/202	68373P118
—	BIG ROCK PARTNERS ACQUISI CO	239,998	$72	0.0%	$0.46	—	RIGHT 12/01/2022	089482129
—	LEGACY ACQUISITION CORP	200,000	$68	0.0%	$0.44	—	*W EXP 11/30/202	524643111
—	KBL MERGER CORP IV	230,000	$64	0.0%	$0.29	—	RIGHT 03/22/2019	48242A120
—	TWELVE SEAS INVESTMENT COMPA	225,000	$61	0.0%	$0.36	—	*W EXP 12/22/202	G9145A115
—	HL ACQUISITIONS CORP	125,000	$56	0.0%	$0.40	—	RIGHT 07/17/2023	G4603R130
—	FALCON MINERALS CORP	87,500	$56	0.0%	$1.70	—	*W EXP 07/21/202	30607B208
—	THUNDER BRIDGE ACQUISITION L	150,000	$56	0.0%	$0.45	—	*W EXP 01/01/202	G8857R126
—	UNION ACQUISITION CORP	200,000	$52	0.0%	$0.35	—	*W EXP 07/01/202	G9366W127
—	MODERN MEDIA ACQUISITION	230,000	$48	0.0%	$0.39	—	RIGHT 99/99/9999	60765P129
—	PHUNWARE INC	200,000	$44	0.0%	$0.22	—	*W EXP 08/11/202	71948P118
—	PENSARE ACQUISITION CORP	174,997	$44	0.0%	$9.67	—	*W EXP 07/27/202	70957E105
—	TIBERIUS ACQUISITION CORP	125,000	$44	0.0%	$0.56	—	*W EXP 02/28/202	88633A115
—	LF CAP ACQUISITION CORP	100,000	$43	0.0%	$0.55	—	*W EXP 06/22/202	50200K116
—	CM SEVEN STAR ACQUISITION CO	150,000	$43	0.0%	$0.29	—	*W EXP 08/21/202	G2345N110
—	TRIDENT ACQUISITIONS CORP	150,000	$42	0.0%	$0.32	—	*W EXP 05/09/202	89615T114
—	GORDON POINTE ACQUISITION CO	175,000	$42	0.0%	$0.56	—	*W EXP 07/30/202	382788115
—	HL ACQUISITIONS CORP	125,000	$38	0.0%	$0.36	—	*W EXP 06/21/202	G4603R122
—	BISON CAP ACQUISITION CORP	125,000	$38	0.0%	$0.38	—	RIGHT 03/20/2019	G1142P138
—	CONCRETE PUMPING HLDGS INC	50,000	$37	0.0%	$0.74	—	*W EXP 08/01/202	206704116
—	BIG ROCK PARTNERS ACQUISI CO	119,999	$36	0.0%	$0.40	—	*W EXP 12/01/202	089482111
—	TRINITY MERGER CORP	96,000	$35	0.0%	$0.40	—	*W EXP 05/11/202	89653L114
—	TOTTENHAM ACQUISITION I LTD	118,000	$35	0.0%	$0.37	—	RIGHT 06/05/2020	G8959N122
—	GREENLAND ACQUISITIN CORPORA	75,000	$34	0.0%	$0.36	—	RIGHT 04/27/2025	G40981113
—	ALLEGRO MERGER CORP	100,000	$33	0.0%	$0.35	—	*W EXP 01/06/202	01749N111
—	BLACK RIDGE ACQUISITION CORP	100,000	$30	0.0%	$0.28	—	RIGHT 07/10/2019	09216T123
—	ALLEGRO MERGER CORP	100,000	$30	0.0%	$0.40	—	RIGHT 12/31/2023	01749N129
—	MODERN MEDIA ACQUISITION	115,000	$29	0.0%	$0.55	—	*W EXP 05/17/202	60765P111
—	TOTTENHAM ACQUISITION I LTD	118,000	$24	0.0%	$0.20	—	*W EXP 05/06/202	G8959N114
—	REEBONZ HLDG LT	11,998	$23	0.0%	$1.92	—	COM	G7457R106
—	CONSTELLATION ALPHA CAP CORP	120,000	$23	0.0%	$0.31	—	RIGHT 99/99/9999	G2379F132
—	FAR PT ACQUISITION CORP	16,665	$22	0.0%	$1.62	—	*W EXP 06/01/202	30734W117
—	KBL MERGER CORP IV	230,000	$21	0.0%	$0.20	—	*W EXP 01/15/202	48242A112
—	GTY TECHNOLOGY HOLDINGS INC	26,667	$20	0.0%	$1.16	—	*W EXP 10/25/202	G4182A128
—	SMAAASH ENTERTAINMENT INC	97,950	$18	0.0%	$0.18	—	*W EXP 05/22/202	831550116
—	CONSTELLATION ALPHA CAP CORP	120,000	$18	0.0%	$0.22	—	*W EXP 03/23/202	G2379F116
—	GREENLAND ACQUISITIN CORPORA	75,000	$15	0.0%	$0.27	—	*W EXP 03/03/202	G40981105
—	BISON CAP ACQUISITION CORP	62,500	$15	0.0%	$0.37	—	*W EXP 06/20/202	G1142P112
—	HUNTER MARITIME ACQUISITION	75,001	$13	0.0%	$0.80	—	*W EXP 11/17/202	Y37828129
—	REEBONZ HLDG LTD	60,000	$8	0.0%	$0.13	—	*W EXP 12/19/202	G7457R114