RIVERNORTH CAPITAL MANAGEMENT, LLC Diversified Active

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	NEW MTN FIN CORP	5,000,000	$517,875	22.5%	$103.58	—	NOTE 5.750% 8/1	647551AC4
—	BLACKROCK TCP CAPITAL CORP	2,500,000	$251,838	11.0%	$1.01	—	NOTE 5.250% 12/1	87238QAB9
—	WESTERN ASSET HIGH INCM OPP	12,322,229	$63,090	2.7%	$5.00	—	COM	95766K109
—	NUVEEN QUALITY MUNCP INCOME	4,174,688	$58,446	2.5%	$13.10	—	COM	67066V101
—	EATON VANCE LTD DUR INCOME F	4,553,627	$57,603	2.5%	$13.27	—	COM	27828H105
—	WESTERN ASSET EMRG MKT DEBT	3,907,885	$55,961	2.4%	$15.00	—	COM	95766A101
—	NUVEEN AMT FREE QLTY MUN INC	3,235,916	$44,688	1.9%	$13.05	—	COM	670657105
—	HIGHLAND INCOME FUND HIGHLAND INCOME	3,218,154	$44,443	1.9%	$14.22	—	COM	43010E404
—	INVESCO DYNAMIC CR OPP FD	3,573,515	$39,845	1.7%	$11.28	—	COM	46132R104
—	NUVEEN CR STRATEGIES INCM FD	4,878,057	$38,634	1.7%	$8.78	—	COM SHS	67073D102
—	VOYA PRIME RATE TR	7,871,360	$37,468	1.6%	$5.00	—	SH BEN INT	92913A100
—	INVESCO SR INCOME TR	8,672,976	$37,381	1.6%	$4.16	—	COM	46131H107
—	PGIM GLOBAL HIGH YIELD FD IN	2,569,502	$37,129	1.6%	$13.73	—	COM	69346J106
—	WESTERN ASSET GLB HI INCOME	3,704,662	$36,787	1.6%	$9.69	—	COM	95766B109
—	BLACKROCK CR ALLCTN INC TR	2,691,270	$34,906	1.5%	$12.97	—	COM	092508100
—	BRANDYWINEGBL GLBAL INM OPRT	2,969,643	$34,864	1.5%	$12.37	—	COM	10537L104
—	TEMPLETON GLOBAL INCOME FD	5,488,809	$34,799	1.5%	$6.97	—	COM	880198106
BBDC	BARINGS BDC INC	3,002,031	$29,540	1.3%	$5.23	+0.9%	COM	06759L103
—	WESTERN AST INFL LKD OPP & I	2,399,134	$26,846	1.2%	$11.24	—	COM	95766R104
—	PGIM HIGH YIELD BOND FUND IN	1,479,862	$21,650	0.9%	$13.93	—	COM	69346H100
—	NUVEEN MTG OPPORTUNITY TERM	728,725	$16,921	0.7%	$23.32	—	COM	670735109
—	GOLDMAN SACHS MLP ENERGY REN	2,021,466	$16,859	0.7%	$7.19	—	COM	38148G107
—	NUVEEN FLOATING RATE INCOME	1,615,433	$15,912	0.7%	$9.40	—	COM	67072T108
—	ALLIANZGI NFJ DIVID INT & PR	1,245,879	$15,449	0.7%	$12.41	—	COM	01883A107
—	NEUBERGER BERMAN HGH YLD FD	1,287,219	$15,060	0.7%	$11.39	—	COM	64128C106
—	PUTNAM MUN OPPORTUNITIES TR	1,184,776	$14,999	0.7%	$11.73	—	SH BEN INT	746922103
—	BLACKROCK DEBT STRAT FD INC	1,374,028	$14,798	0.6%	$10.15	—	COM NEW	09255R202
—	CORNERSTONE STRATEGIC VALUE	1,229,863	$14,316	0.6%	$13.36	—	COM	21924B302
—	WESTERN ASSET HIGH INCM FD I	2,037,554	$14,161	0.6%	$6.76	—	COM	95766J102
—	EATON VANCE FLTING RATE INC	1,036,167	$13,968	0.6%	$12.92	—	COM	278279104
—	WESTERN ASSET HGH YLD DFNDFD	897,738	$13,439	0.6%	$15.81	—	COM	95768B107
—	WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD	1,600,773	$13,190	0.6%	$7.89	—	COM	94987B105
—	BLACKROCK MULTI-SECTOR INC T	713,525	$12,451	0.5%	$16.50	—	COM	09258A107
—	EATON VANCE SR FLTNG RTE TR	912,090	$11,939	0.5%	$12.53	—	COM	27828Q105
—	INVESCO MUN OPPORTUNITY TR	962,129	$11,834	0.5%	$11.04	—	COM	46132C107
—	ALLIANCEBERNSTEIN GBL HGH IN	950,498	$11,197	0.5%	$10.95	—	COM	01879R106
—	ADVENT CLAYMORE CV SECS & IN	739,943	$11,144	0.5%	$14.05	—	COM	00764C109
—	INVESCO HIGH INCOME TR II	761,920	$11,056	0.5%	$14.23	—	COM	46131F101
—	FIRST TR HIGH INCOME L/S FD	734,235	$11,028	0.5%	$14.27	—	COM	33738E109
—	NUVEEN CA QUALTY MUN INCOME	759,258	$10,994	0.5%	$12.77	—	COM	67066Y105
—	CLOUGH GLOBAL OPPORTUNITIES	1,164,418	$10,887	0.5%	$11.38	—	SH BEN INT	18914E106
SPY	SPDR S&P 500 ETF TR TR UNIT	34,521	$10,118	0.4%	$270.54	—	COM	78462F103
—	BLACKROCK FLOAT RATE OME STR	769,532	$9,873	0.4%	$11.95	—	COM	09255X100
—	NUVEEN NEW YORK AMT QLT MUNI	709,952	$9,293	0.4%	$11.61	—	COM	670656107
—	NUVEEN GLOBAL HIGH INCOME FD	600,198	$9,285	0.4%	$15.65	—	SHS	67075G103
—	DELAWARE ENHANCED GBL DIV &	928,114	$9,188	0.4%	$11.31	—	COM	246060107
—	KAYNE ANDERSN MLP MIDS INVT	593,236	$9,082	0.4%	$17.56	—	COM	486606106
—	BLACKROCK MUNIYIELD QLTY FD	683,169	$9,018	0.4%	$12.93	—	COM	09254E103
—	FRANKLIN LTD DURATION INC T	926,675	$8,924	0.4%	$9.10	—	COM	35472T101
—	ARES DYNAMIC CR ALLOCATION F	579,607	$8,769	0.4%	$14.45	—	COM	04014F102
—	FS KKR CAPITAL CORP	1,381,016	$8,231	0.4%	$5.33	—	COM	302635107
—	NUVEEN OHIO QLTY MUN INCOME	541,758	$8,078	0.4%	$14.85	—	COM	670980101
—	MORGAN STANLEY EMER MKTS DEB	854,901	$7,968	0.3%	$9.57	—	COM	61744H105
—	NUVEEN AMT FREE MUN CR INC F	488,781	$7,757	0.3%	$13.73	—	COM	67071L106
—	GARRISON CAP INC	1,107,708	$7,643	0.3%	$9.05	—	COM	366554103
—	TORTOISE MIDSTRM ENERGY FD I	563,096	$7,596	0.3%	$14.89	—	COM	89148B101
XPHDX	PIONEER FLOATING RATE TR	698,749	$7,470	0.3%	$10.27	—	COM	72369J102
XBFZX	BLACKROCK CALIF MUN INCOME T	562,054	$7,447	0.3%	$12.48	—	SH BEN INT	09248E102
PRF	INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000	61,419	$7,164	0.3%	$118.76	—	COM	46137V613
—	WESTERN ASSET CORPORATE LN F	748,387	$7,162	0.3%	$9.03	—	COM	95790J102
—	BLACKROCK LTD DURATION INC T	475,181	$7,128	0.3%	$14.84	—	COM SHS	09249W101
—	CORNERSTONE TOTAL RTRN FD IN	626,669	$7,094	0.3%	$12.77	—	COM	21924U300
—	EATON VANCE SR INCOME TR	1,093,265	$6,800	0.3%	$6.36	—	SH BEN INT	27826S103
—	BLACKROCK MUNIHLDNGS CALI QL	497,741	$6,794	0.3%	$12.93	—	COM	09254L107
—	ALLIANZGI CON INCM 2024 TARG	696,518	$6,429	0.3%	$8.87	—	COM	01883H102
—	BLACKROCK CORPOR HI YLD FD I	575,184	$6,166	0.3%	$10.77	—	COM	09255P107
—	NEUBERGER BRMAN CLIFRN MUNI	439,887	$5,980	0.3%	$12.49	—	COM	64123C101
—	BLACKROCK MUNIYIELD CALI QLT	413,935	$5,878	0.3%	$13.15	—	COM	09254N103
—	EATON VANCE MUN BD FD	470,617	$5,850	0.3%	$11.88	—	COM	27827X101
—	ALLIANCEBERNSTEIN NATL MUNI	430,309	$5,788	0.3%	$12.70	—	COM	01864U106
—	BLACKROCK NY MUNI INC QLTY T	394,886	$5,244	0.2%	$12.46	—	COM	09249U105
XEVMX	EATON VANCE CALIF MUN BD FD	459,351	$5,067	0.2%	$10.05	—	COM	27828A100
—	NUVEEN NORTH CAROLINA QLTY M	379,343	$5,057	0.2%	$12.72	—	COM	67060P100
—	TEMPLETON EMERG MKTS INCOME	489,237	$5,000	0.2%	$11.09	—	COM	880192109
—	FIRST TR SR FLG RTE INCM FD	416,898	$4,999	0.2%	$11.47	—	COM	33733U108
XXHYBXX	NEW AMER HIGH INCOME FD INC	562,448	$4,989	0.2%	$8.79	—	COM NEW	641876800
—	SPECIAL OPPORTUNITIES FD INC	191,280	$4,841	0.2%	$25.83	—	PFD CONV SE B	84741T302
—	NUVEEN MTG OPPTY TERM FD 2	214,107	$4,815	0.2%	$23.90	—	COM	67074R100
—	NUVEEN GEORGIA QLTY MUN INC	388,155	$4,803	0.2%	$12.28	—	COM	67072B107
—	BLACKROCK FLOATING RATE INCO	385,337	$4,786	0.2%	$11.71	—	COM	091941104
—	NUVEEN SR INCOME FD	794,079	$4,669	0.2%	$5.52	—	COM	67067Y104
—	EATON VANCE TAX MNGD BUY WRI	491,514	$4,630	0.2%	$8.78	—	COM SH BEN IN	27829M103
—	NUVEEN CONNECTICUT QLTY MUN COM	353,826	$4,589	0.2%	$12.23	—	COM	67060D107
—	ABERDEEN EMRG MRKTS EQT INM	600,996	$4,393	0.2%	$6.79	—	COM	00301W105
XNBOX	NEUBERGER BRMAN NY MUNI FD I	356,455	$4,370	0.2%	$11.53	—	COM	64124K102
—	ALLIANCE CALIF MUN INCOME FD	288,140	$4,337	0.2%	$13.45	—	COM	018546101
—	SPECIAL OPPORTUNITIES FD INC	309,130	$4,251	0.2%	$13.20	—	COM	84741T104
PXH	INVESCO EXCHNG TRADED FD TR FTSE RAFI EMNG	187,653	$4,053	0.2%	$21.14	—	COM	46138E727
—	SPROTT FOCUS TR INC	568,256	$3,830	0.2%	$6.79	—	COM	85208J109
—	LAZARD WORLD DIVID & INCOME	373,077	$3,712	0.2%	$9.81	—	COM	521076109
—	NUVEEN CALIFORNIA AMT QLT MU	249,010	$3,636	0.2%	$12.62	—	COM	670651108
—	BLACKROCK MUNICIPL INC QLTY	263,978	$3,632	0.2%	$12.47	—	COM	092479104
—	NUVEEN FLTNG RTE INCM OPP FD	371,777	$3,621	0.2%	$9.76	—	COM SHS	6706EN100
—	WESTERN ASSET GLOBAL CP DEFI	209,028	$3,585	0.2%	$15.49	—	COM	95790C107
—	NUVEEN INTER DURATION MN TMF	264,842	$3,557	0.2%	$12.48	—	COM	670671106
—	NUVEEN INT DUR QUAL MUN TRM	256,877	$3,419	0.1%	$12.43	—	COM	670677103
—	EAGLE GRWTH & INCOME OPPTY F	215,886	$3,316	0.1%	$15.76	—	COM SHS BEN IN	26958J105
XMHIX	PIONEER MUN HIGH INCOME TR	268,982	$3,282	0.1%	$10.86	—	COM SHS	723763108
—	PROFICIENT ALPHA ACQUSTN COR	325,000	$3,266	0.1%	$10.05	—	UNIT 04/30/2026	74317H204
—	LEISURE ACQUISITION CORP	306,594	$3,118	0.1%	$9.68	—	COM	52539T107
—	GRAF INDL CORP	300,000	$3,087	0.1%	$10.01	—	UNIT 12/31/2025	384278206
—	ANDINA ACQUISITION CORP III	300,000	$3,084	0.1%	$10.10	—	UNIT 09/24/2020	G04415116
—	TKK SYMPHONY ACQUISITION COR	300,000	$3,081	0.1%	$10.10	—	UNIT 08/15/2023	G88950111
—	DD3 ACQUISITION CORP	300,000	$3,072	0.1%	$10.00	—	UNIT 10/12/2023	G2692M129
—	BLACKROCK MUNIYIELD NY QLTY	241,552	$3,070	0.1%	$11.96	—	COM	09255E102
—	CHURCHILL CAP CORP II	300,000	$3,045	0.1%	$10.15	—	UNIT 99/99/9999	17143G205
—	SCHULTZE SPL PURP ACQUSTN CO	300,000	$3,045	0.1%	$9.95	—	UNIT 12/31/2023	80821R208
—	DTF TAX-FREE INCOME INC	219,201	$3,034	0.1%	$13.84	—	COM	23334J107
—	TRINE ACQUISITION CORP	275,000	$2,778	0.1%	$10.02	—	UNIT 03/31/2021	89628U207
—	DREYFUS STRATEGIC MUNS INC	335,552	$2,741	0.1%	$7.17	—	COM	261932107
VWO	VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF	63,796	$2,713	0.1%	$39.35	—	COM	922042858
—	TUSCAN HOLDINGS CORP	250,000	$2,650	0.1%	$10.42	—	UNIT 99/99/9999	90069K203
—	OPES ACQUISITION CORP	250,000	$2,575	0.1%	$9.70	—	COM	68373P100
—	8I ENTERPRISES ACQUISITIN CO	240,000	$2,532	0.1%	$10.04	—	UNIT 99/99/9999	G2956M138
—	BIG ROCK PARTNERS ACQUISI CO	239,998	$2,527	0.1%	$9.94	—	COM	089482103
—	AGBA ACQUISITION LTD	250,000	$2,505	0.1%	$10.02	—	UNIT 05/10/2024	G0120M133
—	BLACKROCK RES & COMM STRAT T	293,282	$2,399	0.1%	$8.41	—	SHS	09257A108
—	ROYCE VALUE TR INC	167,669	$2,334	0.1%	$11.74	—	COM	780910105
VEA	VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF	55,877	$2,331	0.1%	$41.26	—	COM	921943858
—	APOLLO SR FLOATING RATE FD I	153,837	$2,300	0.1%	$14.52	—	COM	037636107
—	WEALTHBRIDGE ACQUISITION LTD	225,000	$2,284	0.1%	$10.04	—	UNIT 99/99/9999	G4887W102
—	TWELVE SEAS INVESTMENT COMPA	225,000	$2,284	0.1%	$9.60	—	SHS	G9145A107
—	PURE ACQUISITION CORP	224,996	$2,281	0.1%	$9.65	—	CL A	74621Q106
—	BLACKROCK MUN 2030 TAR TERM	94,510	$2,195	0.1%	$20.39	—	COM SHS BEN IN	09257P105
—	SOUTH MTN MERGER CORP	214,000	$2,140	0.1%	$10.00	—	UNIT 99/99/9999	838884203
—	ALBERTON ACQUISITION CORP	200,000	$2,092	0.1%	$10.09	—	UNIT 04/22/2020	G35006116
—	HENNESSY CAP ACQUSTION CORP	200,000	$2,080	0.1%	$10.08	—	UNIT 99/99/9999	42589C203
—	BOXWOOD MERGER CORP	200,000	$2,060	0.1%	$9.96	—	UNIT 11/26/2025	10319T200
—	LEO HOLDINGS CORP	200,000	$2,054	0.1%	$10.27	—	COM CL A	G5463L105
—	CHARDAN HEALTHCARE ACQUISITI	200,000	$2,038	0.1%	$10.01	—	UNIT 12/13/2023	15957A207
—	MUDRICK CAP ACQUISITION CORP	200,000	$2,036	0.1%	$9.64	—	COM CLASS A	624745105
—	AMCI ACQUISITION CORP	200,000	$2,034	0.1%	$9.95	—	UNIT 01/07/2019	00165R200
—	LEGACY ACQUISITION CORP	200,000	$2,020	0.1%	$9.64	—	COM CL A	524643103
—	GX ACQUISITION CORP	200,000	$2,010	0.1%	$10.05	—	UNIT 05/24/2026	36251A206
—	CRESCENT ACQUISITION CORP	200,000	$2,010	0.1%	$10.00	—	UNIT 99/99/9999	22564L204
—	GIGCAPITAL2 INC	200,000	$2,006	0.1%	$10.03	—	UNIT 02/28/2026	375036209
—	BLACKROCK MUNIHLDGS NY QLTY	150,977	$1,987	0.1%	$12.46	—	COM	09255C106
—	BLACK RIDGE ACQUISITION CORP	191,057	$1,958	0.1%	$9.65	—	COM	09216T107
—	GORDON POINTE ACQUISITION CO	175,000	$1,808	0.1%	$9.73	—	COM CLASS A	382788107
—	INDIA FD INC	84,690	$1,802	0.1%	$23.85	—	COM	454089103
—	OHA INVT CORP	1,640,387	$1,799	0.1%	$3.42	—	COM	67091U102
—	EATON VANCE CA MUNI INCOME T	132,168	$1,636	0.1%	$12.12	—	SH BEN INT	27826F101
—	FINTECH ACQUISITION CORP III	150,000	$1,606	0.1%	$9.96	—	UNIT 12/01/2023	31811A309
—	THUNDER BRIDGE ACQUISITION L	150,000	$1,565	0.1%	$9.71	—	SHS CLASS A	G8857R100
—	MEGALITH FINL ACQUISITION CO	150,000	$1,554	0.1%	$10.10	—	UNIT 09/30/2025	58518F208
—	CF FIN ACQUISITION CORP	150,000	$1,553	0.1%	$10.00	—	UNIT 04/30/2025	12528N206
—	TRIDENT ACQUISITIONS CORP	150,000	$1,551	0.1%	$9.75	—	COM	89615T106
—	INVESCO QUALITY MUNI INC TRS	124,370	$1,543	0.1%	$11.34	—	COM	46133G107
—	VECTOIQ ACQUISITION CORP	149,999	$1,519	0.1%	$9.58	—	COM	92243N103
—	NUVEEN NEW YORK QLT MUN INC	108,500	$1,504	0.1%	$12.27	—	COM	67066X107
RPLA/U	REPLAY ACQUISITION CORP	150,000	$1,503	0.1%	$10.02	—	UNIT 03/01/2024	G75130123
—	B RILEY PRINCIPAL MERGER COR	150,000	$1,497	0.1%	$9.98	—	UNIT 99/99/9999	05586Y205
XHNWX	PIONEER DIV HIGH INCOME TRUS	104,135	$1,489	0.1%	$14.30	—	COM	723653101
—	INVESCO TR INVT GRADE MUNS	116,877	$1,481	0.1%	$12.67	—	COM	46131M106
—	MEXICO EQUITY & INCOME FD	126,685	$1,406	0.1%	$10.62	—	COM	592834105
—	EATON VANCE FLTG RATE INCOM	92,649	$1,389	0.1%	$14.99	—	COM SHS BEN IN	278284104
—	TENZING ACQUISITION CORP	125,000	$1,303	0.1%	$10.06	—	UNIT 08/24/2024	G8708A124
—	NUVEEN EMERGING MKTS DEBT 20	145,889	$1,295	0.1%	$8.46	—	COM	67077P101
—	FIRST TR SR FLOATING RATE 20	143,702	$1,279	0.1%	$8.29	—	COM SHS	33740K101
—	TIBERIUS ACQUISITION CORP	125,000	$1,275	0.1%	$9.61	—	COM	88633A107
—	HL ACQUISITIONS CORP	125,000	$1,264	0.1%	$9.56	—	SHS	G4603R106
—	BLACKROCK MUNI N Y INTER DUR	87,042	$1,246	0.1%	$13.84	—	COM	09255F109
TOTA	TOTTENHAM ACQUISITION I LTD	118,000	$1,204	0.1%	$9.70	—	SHS	G8959N106
—	HIGH INCOME SECS FD	143,311	$1,185	0.1%	$8.27	—	SHS BEN INT	42968F108
—	NUVEEN PENNSYLVANIA QLT MUN	85,053	$1,161	0.1%	$13.65	—	COM	670972108
XZFGX	VIRTUS TOTAL RETURN FUND INC	103,965	$1,099	0.0%	$10.84	—	COM	92837G100
—	WESTERN ASST INFLTN LKD INM	93,179	$1,086	0.0%	$11.65	—	COM SH BEN IN	95766Q106
—	DWS MUN INCOME TR	95,099	$1,072	0.0%	$10.26	—	NEW COM	233368109
—	HEALTH SCIENCES ACQUSTN CORP	100,000	$1,060	0.0%	$10.60	—	UNIT 04/01/2024	42227C201
—	LONGEVITY ACQUISITION CORP	100,000	$1,032	0.0%	$10.24	—	UNIT 08/29/2024	G56372108
—	INSURANCE ACQUISITION CORP	100,000	$1,031	0.0%	$10.10	—	UNIT 03/31/2024	457867307
—	CHASERG TECHNLGY ACQUISITN C	100,000	$1,023	0.0%	$9.98	—	UNIT 09/30/2023	16166A202
—	EDTECHX HLDGS ACQUISITION CO	100,000	$1,022	0.0%	$9.98	—	UNIT 12/31/2025	28138X202
—	HAYMAKER ACQUISITION CORP II	100,000	$1,021	0.0%	$10.21	—	UNIT 10/31/2026	42087L200
—	LF CAP ACQUISITION CORP	100,000	$1,018	0.0%	$9.60	—	CL A	50200K108
—	PIVOTAL ACQUISITION CORP	100,000	$1,015	0.0%	$10.15	—	COM	72583A101
—	ACT II GLOBAL ACQUISITION CO	100,000	$1,012	0.0%	$10.12	—	UNIT 04/30/2026	G0080J112
—	ALLEGRO MERGER CORP	100,000	$1,002	0.0%	$9.53	—	COM	01749N103
—	TRINITY MERGER CORP	96,000	$989	0.0%	$9.77	—	COM CL A	89653L106
—	MFS CALIF MUN FD	73,226	$874	0.0%	$10.26	—	COM	59318C106
—	SOURCE CAP INC	22,709	$830	0.0%	$36.55	—	COM	836144105
—	HIGHLAND GLOBAL ALLOCATION F	72,858	$819	0.0%	$11.69	—	COM	43010T104
—	LIBERTY ALL STAR EQUITY FD	127,564	$818	0.0%	$5.71	—	SH BEN INT	530158104
—	MONOCLE ACQUISITION CORP	75,000	$772	0.0%	$10.04	—	UNIT 99/99/9999	609754205
—	GREENLAND ACQUISITIN CORPORA	75,000	$762	0.0%	$9.67	—	SHS	G40981139
—	VOYA EMERGING MKTS HIGH DIVI	89,448	$694	0.0%	$7.88	—	COM	92912P108
—	ROYCE MICRO-CAP TR INC	82,506	$678	0.0%	$8.22	—	COM	780915104
—	BLACKROCK NY MUN INCOME TR I	47,933	$662	0.0%	$12.38	—	COM	09249R102
—	PIMCO ENRGY TACTICAL CR OPP	32,466	$637	0.0%	$19.62	—	COM SHS BEN INT	69346N107
—	INVESCO MUN TR	48,704	$600	0.0%	$11.05	—	COM	46131J103
XMUIX	BLACKROCK MUNI INTER DR FD I	40,795	$573	0.0%	$13.43	—	COM	09253X102
—	FAR PT ACQUISITION CORP	49,995	$509	0.0%	$9.68	—	COM CL A	30734W109
—	NUVEEN CALIF MUN VALUE FD	42,316	$427	0.0%	$9.22	—	COM	67062C107
—	FRANKLIN UNVL TR	58,214	$424	0.0%	$7.28	—	SH BEN INT	355145103
XMQTX	BLACKROCK MUNIY QUALITY FD I	26,725	$336	0.0%	$11.41	—	COM	09254G108
—	NUVEEN CA SELECT TAX FREE PR	22,376	$331	0.0%	$14.79	—	SH BEN INT	67063R103
—	THUNDER BRIDGE ACQUISITION L	150,000	$303	0.0%	$0.45	—	*W EXP 01/01/202	G8857R126
—	COLLIER CREEK HOLDINGS	20,000	$212	0.0%	$10.05	—	UNIT 99/99/9999	G22707122
—	BLACKROCK NY MUNICIPAL BOND	13,339	$197	0.0%	$14.77	—	COM	09249P106
—	AKERNA CORP	48,610	$145	0.0%	$2.98	—	*W EXP 01/30/202	00973W110
—	PIVOTAL ACQUISITION CORP	100,000	$135	0.0%	$1.35	—	*W EXP 12/01/202	72583A119
—	BLACK RIDGE ACQUISITION CORP	300,000	$123	0.0%	$0.33	—	*W EXP 07/10/202	09216T115
—	PURE ACQUISITION CORP	112,498	$121	0.0%	$1.28	—	*W EXP 04/17/202	74621Q114
—	CHURCHILL CAP CORP	24,999	$119	0.0%	$3.28	—	*W EXP 09/11/202	17142R111
—	RANPAK HLDGS CORP	96,399	$116	0.0%	$1.20	—	*W EXP 06/03/202	75321W111
—	NRC GROUP HLDGS CORP	67,468	$111	0.0%	$0.75	—	*W EXP 10/17/202	629375114
—	LEISURE ACQUISITION CORP	153,297	$100	0.0%	$0.81	—	*W EXP 12/05/201	52539T115
—	MUDRICK CAP ACQUISITION CORP	200,000	$98	0.0%	$0.64	—	*W EXP 02/12/202	624745113
—	GDL FUND	10,353	$96	0.0%	$9.27	—	COM SH BEN IN	361570104
NESRW	NATIONAL ENERGY SERVICES REU	96,089	$82	0.0%	$0.40	—	*W EXP 05/05/202	G6375R115
—	FALCON MINERALS CORP	85,390	$81	0.0%	$1.70	—	*W EXP 07/21/202	30607B208
—	VECTOIQ ACQUISITION CORP	149,999	$70	0.0%	$0.52	—	*W EXP 05/11/202	92243N111
—	MODERN MEDIA ACQUISITION	230,000	$67	0.0%	$0.39	—	RIGHT 99/99/9999	60765P129
—	TWELVE SEAS INVESTMENT COMPA	225,000	$65	0.0%	$0.42	—	RIGHT 12/22/2019	G9145A131
—	LEGACY ACQUISITION CORP	200,000	$64	0.0%	$0.44	—	*W EXP 11/30/202	524643111
—	OPES ACQUISITION CORP	250,000	$63	0.0%	$0.36	—	*W EXP 03/13/202	68373P118
—	GORDON POINTE ACQUISITION CO	175,000	$60	0.0%	$0.56	—	*W EXP 07/30/202	382788115
—	KBL MERGER CORP IV	230,000	$57	0.0%	$0.29	—	RIGHT 09/09/2019	48242A120
—	PENSARE ACQUISITION CORP	349,994	$52	0.0%	$0.50	—	RIGHT 99/99/9999	70957E121
—	TWELVE SEAS INVESTMENT COMPA	225,000	$50	0.0%	$0.36	—	*W EXP 12/22/202	G9145A115
—	BIG ROCK PARTNERS ACQUISI CO	239,998	$46	0.0%	$0.46	—	RIGHT 12/01/2022	089482129
—	TIBERIUS ACQUISITION CORP	125,000	$44	0.0%	$0.56	—	*W EXP 02/28/202	88633A115
—	TOTTENHAM ACQUISITION I LTD	118,000	$44	0.0%	$0.37	—	RIGHT 06/05/2020	G8959N122
—	BLACK RIDGE ACQUISITION CORP	100,000	$42	0.0%	$0.28	—	RIGHT 07/10/2019	09216T123
—	HL ACQUISITIONS CORP	125,000	$41	0.0%	$0.40	—	RIGHT 07/17/2023	G4603R130
—	KBL MERGER CORP IV	230,000	$35	0.0%	$0.20	—	*W EXP 01/15/202	48242A112
—	LF CAP ACQUISITION CORP	100,000	$34	0.0%	$0.55	—	*W EXP 06/22/202	50200K116
—	HL ACQUISITIONS CORP	125,000	$34	0.0%	$0.36	—	*W EXP 06/21/202	G4603R122
—	TRINITY MERGER CORP	96,000	$32	0.0%	$0.40	—	*W EXP 05/11/202	89653L114
—	PENSARE ACQUISITION CORP	174,997	$30	0.0%	$5.82	—	*W EXP 07/27/202	70957E113
—	GREENLAND ACQUISITIN CORPORA	75,000	$29	0.0%	$0.36	—	RIGHT 04/27/2025	G40981113
—	BIG ROCK PARTNERS ACQUISI CO	119,999	$26	0.0%	$0.40	—	*W EXP 12/01/202	089482111
—	PHUNWARE INC	71,794	$25	0.0%	$0.22	—	*W EXP 12/26/202	71948P118
—	MODERN MEDIA ACQUISITION	115,000	$25	0.0%	$0.55	—	*W EXP 05/17/202	60765P111
—	ALLEGRO MERGER CORP	100,000	$25	0.0%	$0.35	—	*W EXP 01/06/202	01749N111
—	TRIDENT ACQUISITIONS CORP	150,000	$23	0.0%	$0.32	—	*W EXP 05/09/202	89615T114
—	CONSTELLATION ALPHA CAP CORP	120,000	$22	0.0%	$0.31	—	RIGHT 99/99/9999	G2379F132
—	ALLEGRO MERGER CORP	100,000	$21	0.0%	$0.40	—	RIGHT 12/31/2023	01749N129
—	FAR PT ACQUISITION CORP	16,665	$21	0.0%	$1.62	—	*W EXP 06/01/202	30734W117
—	HUNTER MARITIME ACQUISITION	75,001	$15	0.0%	$0.80	—	*W EXP 11/17/202	Y37828129
—	TOTTENHAM ACQUISITION I LTD	118,000	$12	0.0%	$0.20	—	*W EXP 05/06/202	G8959N114
—	CONSTELLATION ALPHA CAP CORP	120,000	$9	0.0%	$0.22	—	*W EXP 03/23/202	G2379F116
—	GREENLAND ACQUISITIN CORPORA	75,000	$8	0.0%	$0.27	—	*W EXP 03/03/202	G40981105