Report of Proposed Sale of Securities (144)
29 Junio 2022 - 5:01AM
Edgar (US Regulatory)
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UNITED STATES |
OMB APPROVAL |
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SECURITIES AND EXCHANGE COMMISSION |
OMB Number: |
3235-0101 |
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Washington, D.C. 20549 |
Expires: |
June 30, 2020 |
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Estimated average burden |
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hours per response |
1.00 |
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FORM 144 |
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NOTICE OF PROPOSED SALE OF SECURITIES |
SEC USE ONLY |
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PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 |
DOCUMENT SEQUENCE NO. |
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CUSIP NUMBER |
ATTENTION: |
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale |
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or executing a sale directly with a market maker. |
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WORK LOCATION |
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1(a) Name of Issuer |
(b) IRS Ident. No. |
(c) SEC File No. |
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RiverNorth Flexible Municipal income Fund, Inc. |
84-3219463 |
333-234122 |
(e) Telephone No. |
1(d) Address of Issuer |
Street |
City |
State |
Zip Code |
Area Code |
Number |
360 South Rosemary Avenue, Suite 1420 |
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West Palm Beach |
Florida |
33401 |
312 |
445.2249 |
2(a) Name of Person for Whose Account the Securities are to be Sold |
(b) Relationship to Issuer |
(c) Address (street) |
City |
State |
Zip Code |
RiverNorth Capital Management, LLC |
Adviser |
360 South Rosemary Avenue, Suite 1420 |
West Palm Beach |
FL |
33401 |
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INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number. |
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3 (a) |
(b) |
SEC USE |
(c) |
(d) |
(e) |
(f) |
(g) |
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Name and Address of |
ONLY |
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Each Broker Through |
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Title of the |
Whom the Securities |
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Number of |
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Number of Shares |
Approximate |
Name of Each |
Class of |
are to be Offered or Each |
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Shares or Other |
Aggregate |
or Other Units |
Date of Sale |
Securities |
Securities |
Market Maker Who is |
Broker-Dealer |
Units to be Sold |
Market Value |
Outstanding |
(See instr. 3(f)) |
Exchange |
To Be Sold |
Acquiring the Securities |
File Number |
(See instr. 3(c)) |
(See instr. 3(d)) |
(See instr. 3(e)) |
(MO. DAY YR.) |
(See instr. 3(g)) |
Common |
Interactive Brokers, One Pickwick Plaza Greenwich, CT 06830 |
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61,147 |
1,008,925 |
6,114,699 |
6/28/2022 |
NYSE |
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INSTRUCTIONS: |
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1. (a) |
Name of issuer |
3. (a) |
Title of the class of securities to be sold |
(b) |
Issuer’s I.R.S. Identification Number |
(b) |
Name and address of each broker through whom the securities are intended to be sold |
(c) |
Issuer’s S.E.C. file number, if any |
(c) |
Number of shares or other units to be sold (if debt securities, give the aggregate face amount) |
(d) |
Issuer’s address, including zip code |
(d) |
Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the |
(e) |
Issuer’s telephone number, including area code |
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filing of this notice |
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(e) |
Number of shares or other units of the class outstanding, or if debt securities the face amount thereof |
2. (a) |
Name of person for whose account the securities are to be sold |
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outstanding, as shown by the most recent report or statement published by the issuer |
(b) |
Such person’s relationship to the issuer (e.g., officer, director, |
(f) |
Approximate date on which the securities are to be sold |
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10 percent stockholder, or member of immediate family of |
(g) |
Name of each securities exchange, if any, on which the securities are intended to be sold |
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any of the foregoing) |
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(c) |
Such person’s address, including zip code |
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Potential persons who are to respond to the collection of information contained in this form are not required |
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to respond unless the form displays a currently valid OMB control number. |
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SEC 1147 (08-07) |
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TABLE I — SECURITIES TO BE SOLD |
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Furnish the following information with respect to the acquisition of the securities to be sold |
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and with respect to the payment of all or any part of the purchase price or other consideration therefor: |
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Name of Person From |
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Title of |
Date You |
Name of Acquisition |
Whom Acquired (If gift, |
Amount of |
Date of |
Nature |
the Class |
Acquired |
Transaction |
also give date donor acquired) |
Securities Acquired |
Payment |
of Payment |
Common |
3/26/20 |
Shares purchased at IPO |
Issuer |
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Cash |
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INSTRUCTIONS: |
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the |
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consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when |
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the note or other obligation was discharged in full or the last installment paid. |
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TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS |
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Furnish the following information as to all securities of the issuer sold during the past 3 months |
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by the person for whose account the securities are to be sold. |
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Name and Address of the Seller |
Title of Securities Sold |
Date of Sale |
Amount of Securities Sold |
Gross Proceeds |
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Remarks: |
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INSTRUCTIONS: |
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ATTENTION: |
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not |
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The person for whose account the securities to which this notice relates are to be sold |
only as to the person for whose account the securities are to be sold but also as to all |
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hereby represents by signing this notice that he does not know any material adverse |
other persons included in that definition. In addition, information shall be given as to |
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information in regard to the current and prospective operations of the Issuer of the securities |
sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated |
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to be sold which has not been publicly disclosed. If such person has adopted a written |
with sales for the account of the person filing this notice. |
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trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, |
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by signing the form and indicating the date that the plan was adopted or the instruction |
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given, that person makes such representation as of the plan adoption or instruction date. |
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6/28/2022 |
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Marcus L. Collins |
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DATE OF NOTICE |
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(SIGNATURE) |
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The notice shall be signed by the person for whose account the securities |
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DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, |
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are to be sold. At least one copy of the notice shall be manually signed. |
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IF RELYING ON RULE 10B5-1. |
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Any copies not manually signed shall bear typed or printed signatures. |
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ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
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SEC 1147 (02-08) |
RiverNorth Flexible Muni... (NYSE:RFM)
Gráfica de Acción Histórica
De Dic 2024 a Ene 2025
RiverNorth Flexible Muni... (NYSE:RFM)
Gráfica de Acción Histórica
De Ene 2024 a Ene 2025