Welcome to our dedicated page for RiverNorth Capital & Income Fund SEC filings (Ticker: RSF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on RiverNorth Capital & Income Fund's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.
Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time SEC filing updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into RiverNorth Capital & Income Fund's regulatory disclosures and financial reporting.
Nomura Holdings, Inc. and Nomura Global Financial Products, Inc. filed an amended Schedule 13G reporting their holdings in RiverNorth Capital & Income Fund, Inc. (common stock, CUSIP 76882B108). Both reporting persons state they beneficially own 0 shares representing 0% of the class, and report no sole or shared voting or dispositive power. The filing includes exhibits: a joint filing agreement and a list of subsidiaries, and certifications signed by Samir Patel on behalf of both filers.
Osaic Holdings, Inc. reports beneficial ownership of 456,116 shares of RiverNorth Capital & Income Fund common stock, equal to 13.8% of the class. The disclosure shows no sole or shared voting power and no sole dispositive power, with shared dispositive power of 456,116 shares. The position is held through Osaic's wholly-owned subsidiary, Osaic Wealth, Inc.
The filing includes a certification that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing control of the issuer. Because the stake exceeds 5%, this Schedule 13G identifies Osaic as a material passive investor in RSF and documents its ownership and voting/dispositive profile.
RiverNorth Capital & Income Fund (RSF) – Form 4 insider filing
CEO & Director Patrick W. Galley disclosed the acquisition of 39,813 RSF common shares on 07/11/2025. The transaction, coded “J,” indicates the shares were obtained through a rights offering at a stated price of $14.39 per share. After this purchase, Galley’s direct ownership rises to 254,733 shares. No dispositions or derivative securities were reported.
Net insider buying by the fund’s chief executive can be viewed as a positive signal of management’s conviction; however, because the purchase stems from a rights offering rather than open-market buying, the informational value may be somewhat muted.