BURNS KATHRYN

PrivateCIK: 1740311

Location

DENVER, CO

SPAHR LATON

→PRINCIPAL REAL ESTATE INCOME FUND

Nov 12, 2025·Nov 12, 2025

2 txn

RAIO JERRY

→RIVERNORTH OPPORTUNITIES FUND, INC.

Oct 14, 2025·Oct 14, 2025

1 txn

RIVERNORTH STRATEGIC HOLDINGS, LLC

→RIVERNORTH OPPORTUNITIES FUND, INC.

Oct 14, 2025·Oct 14, 2025

1 txn

RIVERNORTH FINANCIAL HOLDINGS, LLC

→RIVERNORTH OPPORTUNITIES FUND, INC.

Sep 18, 2025·Sep 18, 2025

1 txn

RIVERNORTH STRATEGIC HOLDINGS, LLC

→RIVERNORTH OPPORTUNITIES FUND, INC.

Nov 29, 2024·Nov 29, 2024

1 txn

RAIO JERRY

→RIVERNORTH OPPORTUNITIES FUND, INC.

Oct 27, 2023·Oct 27, 2023

1 txn

SPAHR LATON

→PRINCIPAL REAL ESTATE INCOME FUND

Jul 19, 2023·Jul 19, 2023

1 txn

SPAHR LATON

→PRINCIPAL REAL ESTATE INCOME FUND

Jul 7, 2023·Jul 7, 2023

1 txn

RAIO JERRY

→RIVERNORTH OPPORTUNITIES FUND, INC.

Apr 11, 2023·Apr 11, 2023

1 txn

SPAHR LATON

→PRINCIPAL REAL ESTATE INCOME FUND

Dec 29, 2022·Dec 29, 2022

1 txn

SWANSON DAVID

→RIVERNORTH OPPORTUNITIES FUND, INC.

Nov 15, 2021·Nov 15, 2021

1 txn

SCHMUCKER BRIAN H

→RIVERNORTH OPPORTUNITIES FUND, INC.

Jun 8, 2021·Jun 8, 2021

1 txn

SCHMUCKER BRIAN H

→RIVERNORTH OPPORTUNITIES FUND, INC.

Apr 6, 2021·Apr 6, 2021

2 txn

MILLER STEPHEN C

→SRH TOTAL RETURN FUND, INC.

Mar 5, 2021·Mar 5, 2021

1 txn

GUARDIAN LIFE INSURANCE CO OF AMERICA

→SRH TOTAL RETURN FUND, INC.

Nov 13, 2020·Nov 13, 2020

1 txn

SWANSON DAVID

→RIVERNORTH OPPORTUNITIES FUND, INC.

Nov 9, 2020·Nov 9, 2020

1 txn

SUN LIFE ASSURANCE CO OF CANADA

→SRH TOTAL RETURN FUND, INC.

Nov 9, 2020·Nov 9, 2020

4 txn

MASSACHUSETTS MUTUAL LIFE INSURANCE CO

→SRH TOTAL RETURN FUND, INC.

Nov 6, 2020·Nov 6, 2020

2 txn

STEWART R. HOREJSI TRUST NO. 2

→SRH TOTAL RETURN FUND, INC.

Nov 3, 2020·Nov 3, 2020

1 txn

MILDRED B. HOREJSI TRUST

→SRH TOTAL RETURN FUND, INC.

Nov 3, 2020·Nov 3, 2020

1 txn

SUSAN L CICIORA TRUST

→SRH TOTAL RETURN FUND, INC.

Nov 3, 2020·Nov 3, 2020

2 txn

STEWART WEST INDIES TRUST

→SRH TOTAL RETURN FUND, INC.

Nov 3, 2020·Nov 3, 2020

2 txn

LOLA BROWN TRUST 1B

→SRH TOTAL RETURN FUND, INC.

Nov 3, 2020·Nov 3, 2020

1 txn

ERNEST HOREJSI TRUST NO 1B

→SRH TOTAL RETURN FUND, INC.

Nov 3, 2020·Nov 3, 2020

1 txn

SPAHR LATON

→PRINCIPAL REAL ESTATE INCOME FUND

Jul 14, 2020·Jul 14, 2020

1 txn

Page 1 of 3 · 60 total

Filer	Form	Target	Filed	Activity
SPAHR LATONCIK · 1791988	4 Trade	PRINCIPAL REAL ESTATE INCOME FUNDCIK · 1557523	Nov 12, 2025 Nov 12, 2025	2txn
RAIO JERRYCIK · 1753342	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Oct 14, 2025 Oct 14, 2025	1txn
RIVERNORTH STRATEGIC HOLDINGS, LLCCIK · 2045087	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Oct 14, 2025 Oct 14, 2025	1txn
RIVERNORTH FINANCIAL HOLDINGS, LLCCIK · 2085200	3 Initial	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Sep 18, 2025 Sep 18, 2025	1txn
RIVERNORTH STRATEGIC HOLDINGS, LLCCIK · 2045087	3 Initial	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Nov 29, 2024 Nov 29, 2024	1txn
RAIO JERRYCIK · 1753342	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Oct 27, 2023 Oct 27, 2023	1txn
SPAHR LATONCIK · 1791988	4 Trade	PRINCIPAL REAL ESTATE INCOME FUNDCIK · 1557523	Jul 19, 2023 Jul 19, 2023	1txn
SPAHR LATONCIK · 1791988	4 Trade	PRINCIPAL REAL ESTATE INCOME FUNDCIK · 1557523	Jul 7, 2023 Jul 7, 2023	1txn
RAIO JERRYCIK · 1753342	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Apr 11, 2023 Apr 11, 2023	1txn
SPAHR LATONCIK · 1791988	4 Trade	PRINCIPAL REAL ESTATE INCOME FUNDCIK · 1557523	Dec 29, 2022 Dec 29, 2022	1txn
SWANSON DAVIDCIK · 1298613	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Nov 15, 2021 Nov 15, 2021	1txn
SCHMUCKER BRIAN HCIK · 1662166	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Jun 8, 2021 Jun 8, 2021	1txn
SCHMUCKER BRIAN HCIK · 1662166	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Apr 6, 2021 Apr 6, 2021	2txn
MILLER STEPHEN CCIK · 1245551	4 Trade	SRH TOTAL RETURN FUND, INC.CIK · 102426	Mar 5, 2021 Mar 5, 2021	1txn
GUARDIAN LIFE INSURANCE CO OF AMERICACIK · 901849	3 Initial	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 13, 2020 Nov 13, 2020	1txn
SWANSON DAVIDCIK · 1298613	4 Trade	RIVERNORTH OPPORTUNITIES FUND, INC.CIK · 1501072	Nov 9, 2020 Nov 9, 2020	1txn
SUN LIFE ASSURANCE CO OF CANADACIK · 1381352	3 Initial	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 9, 2020 Nov 9, 2020	4txn
MASSACHUSETTS MUTUAL LIFE INSURANCE COCIK · 225602	3 Initial	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 6, 2020 Nov 6, 2020	2txn
STEWART R. HOREJSI TRUST NO. 2CIK · 1638181	4 Trade	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 3, 2020 Nov 3, 2020	1txn
MILDRED B. HOREJSI TRUSTCIK · 1365133	4 Trade	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 3, 2020 Nov 3, 2020	1txn
SUSAN L CICIORA TRUSTCIK · 1247999	4 Trade	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 3, 2020 Nov 3, 2020	2txn
STEWART WEST INDIES TRUSTCIK · 1247997	4 Trade	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 3, 2020 Nov 3, 2020	2txn
LOLA BROWN TRUST 1BCIK · 1247992	4 Trade	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 3, 2020 Nov 3, 2020	1txn
ERNEST HOREJSI TRUST NO 1BCIK · 1091477	4 Trade	SRH TOTAL RETURN FUND, INC.CIK · 102426	Nov 3, 2020 Nov 3, 2020	1txn
SPAHR LATONCIK · 1791988	4 Trade	PRINCIPAL REAL ESTATE INCOME FUNDCIK · 1557523	Jul 14, 2020 Jul 14, 2020	1txn

Page 1 of 3 · 60 total