SPDR SER TR

Ticker: CWB CUSIP: 78464A359 Class: BBG CONV SEC ETF

RIVERNORTH CAPITAL MANAGEMENT, LLC's Holding History (CIK: 0001447578)

Note: Option positions (PUT/CALL) are excluded.

Q3 2013
Shares 111,000 Value ($000) $5,017 Avg Close — Range —
Q2 2013
Shares 111,000 Value ($000) $4,737 Avg Close — Range —