Amended Statement of Ownership (sc 13g/a)
11 8월 2020 - 5:02AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
__________
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
RiverNorth
Specialty Finance Corp
(Name of Issuer)
(Title of Class of Securities)
(CUSIP Number)
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)
* The
remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the
subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in
a prior cover page.
The
information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section
18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP
No. 76882B207
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13G
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Page
2 of 5 Pages
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1.
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NAME
OF REPORTING PERSON(S)
Karpus
Investment Management
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
☐
(b)
☒
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3.
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SEC
USE ONLY
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4.
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CITIZENSHIP
OR PLACE OF ORGANIZATION
New
York
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NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE
VOTING POWER
556,134 Shares
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6.
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SHARED
VOTING POWER
0
Shares
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7.
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SOLE
DISPOSITIVE POWER
556,134
Shares
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8.
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SHARED
DISPOSITIVE POWER
0
Shares
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9.
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
556,134
Shares
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10.
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CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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☐
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11.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
33.58%
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12.
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TYPE
OF REPORTING PERSON
IA
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CUSIP
No. 76882B207
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13G
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Page
3 of 5 Pages
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Item 1(a).
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Name of Issuer:
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RiverNorth Specialty Finance Corp.
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Item 1(b).
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Address of Issuer's Principal Executive Offices:
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325 N LaSalle Street, Suite 645
Chicago, IL 60610
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Item 2(a).
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Name of Person Filing:
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Karpus
Management, Inc., d/b/a Karpus Investment Management ("KIM")
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Item 2(b).
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Address of Principal Business Office or, if None, Residence:
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183
Sully's Trail, Pittsford, New York 14534.
Each
of the Principals is a United States citizen. KIM is a New York corporation.
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Item 2(d).
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Title of Class of Securities:
Cumulative Preferred
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Item 3.
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If
this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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☐
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Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
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(b)
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☐
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Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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☐
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Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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☐
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Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
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☒
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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☐
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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☒
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A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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☐
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐
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A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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☐
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A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
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(k)
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☐
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Group, in accordance with §240.13d-1(b)(1)(ii)(K).
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CUSIP
No. 76882B207
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13G
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Page
4 of 5 Pages
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Provide
the following information regarding the aggregate number and percentage of the class
of securities of the issuer identified in Item 1.
(a)
Amount
beneficially owned: 556,134
