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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Vivaldi Opportunities Fund
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| September 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): ? Merger ? Liquidation ? Abandonment of Registration (Note: Abandonments of Registration answer only quest |
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| July 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): ? Merger ? Liquidation ? Abandonment of Registration (Note: Abandonments of Registration answer only quest |
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| June 18, 2020 |
92853C207 / CLOSED-E / Asher Daniel Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vivaldi Opportunities Fund (Name of Issuer) Common Stock, par value $.0001 per share (Title of Class of Securities) 92853C207 (CUSIP Number) June 9, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| June 8, 2020 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on June 19, 2020, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 18, 2020 Vivaldi Opportunities Fund (Exact name of Registrant as specified in its charter) Maryland 811-23255 82-2021388 (State or other jurisdiction of incorporation) (Commission |
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| March 2, 2020 |
Vivaldi Opportunities Fund SCHEDULE OF INVESTMENTS As of December 31, 2019 (Unaudited) Principal Amount Value ASSET-BACKED SECURITIES — 17. |
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| February 14, 2020 |
VAM / Vivaldi Opportunities Fund / Asher Daniel Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vivaldi Opportunities Fund (Name of Issuer) Common Stock, par value $.0001 per share (Title of Class of Securities) 92853C207 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| February 7, 2020 |
VAM / Vivaldi Opportunities Fund 425 - Merger Prospectus - 425 Filed by: Vivaldi Opportunities Fund Pursuant to Rule 425 under the Securities Act of 1933 Subject Company: Vivaldi Opportunities Fund Angel Oak Financial Strategies Income Term Trust (NYSE: FINS) and Vivaldi Opportunities Fund (NYSE: VAM), each a closed-end fund, announced today that the Board of Trustees/Directors of each Fund has approved a merger proposal to be considered by shareholders of each Fund at a Special Meeting of Shareholders of each Fund expected to be held in the second quarter. |
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| February 6, 2020 |
Angel Oak and Vivaldi Closed-End Funds Announce Boards’ Approval of Proposed Merger Angel Oak Financial Strategies Income Term Trust (NYSE: FINS) and Vivaldi Opportunities Fund (NYSE: VAM), each a closed-end fund, announced today that the Board of Trustees/Directors of each Fund has approved a merger proposal to be considered by shareholders of each Fund at a Special Meeting of Shareholders of each Fund expected to be held in the second quarter. |
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| January 28, 2020 |
VAM / Vivaldi Opportunities Fund DEF 14A - - SCHEDULE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive |
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| January 10, 2020 |
VAM / Vivaldi Opportunities Fund AW - - AW Vivaldi Opportunities Fund c/o UMB Fund Services, Inc. 235 West Galena Street Milwaukee, WI 53212 January 10, 2020 Via EDGAR Transmission Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Vivaldi Opportunities Fund, File Nos.: 333-227574; 811-23255; Form AW-Request for Withdrawal of Post-Effective Amendment No. 1 to the Registration Statement on Form N-2. Ladies and |
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| December 4, 2019 |
Exhibit 99.(k)(3) JOINT INSURED BOND AGREEMENT AGREEMENT dated as of this 1st day of July, 2019, by and between Infinity Core Alternative Fund, The Relative Value Fund, Vivaldi Opportunities Fund, Infinity Long/Short Equity Fund, LLC, Variant Alternative Income Fund, Cliffwater Corporate Lending Fund, Corbin Multi-Strategy Fund, LLC and Agility Multi-Asset Income Fund (each a “Fund” and together, |
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| December 4, 2019 |
EX-99.(E) 2 tm1924018d1ex99-e.htm DIVIDEND REINVESTMENT PLAN Exhibit 99.(e) VIVALDI OPPORTUNITIES FUND DIVIDEND REINVESTMENT PLAN Vivaldi Opportunities Fund (the “Fund”) has a dividend reinvestment plan commonly referred to as an “opt-out” plan. Unless the registered owner of the Fund’s common stock (the “Common Shares”) elects otherwise by contacting American Stock Transfer & Trust Company LLC (t |
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| December 4, 2019 |
Consent of Drinker Biddle & Reath LLP Exhibit 99.(n)(2) CONSENT OF COUNSEL We hereby consent to the use of our name and to the references to our Firm under the caption “Independent Registered Public Accounting Firm; Legal Counsel” in the Prospectus and Statement of Additional Information included in Post-Effective Amendment No. 1 to the Registration Statement (No. 333-227574) on Form N-2 under the Securities Act of 1933, as amended (t |
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| December 4, 2019 |
Amended and Restated Code of Ethics of Vivaldi Asset Management, LLC Exhibit 99.(r)(2) Code of Ethics As Required by Rule 204A-1 of the Investment Advisers Act of 1940 & Rule 17j-1 of the Investment Company Act of 1940 November 2019 CONFIDENTIAL: FOR INTERNAL COMPANY USE ONLY CODE OF ETHICS TABLE OF CONTENTS CODE OF ETHICS i CODE OF ETHICS 1 I. INTRODUCTION 1 II. DEFINITIONS 1 III. STANDARDS OF BUSINESS CONDUCT 4 IV. MATERIAL NON-PUBLIC INFORMATION | INSIDER TRADIN |
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| December 4, 2019 |
Exhibit 99.(n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated May 30, 2019 with respect to the financial statements and financial highlights of Vivaldi Opportunities Fund for the year ended March 31, 2019, which are contained in the Prospectus and Statement of Additional Information contained in this Registration Statement. We consent to the use of the |
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| December 4, 2019 |
Joint Liability Insurance Agreement EX-99.(K)(4) 5 tm1924018d1ex99-k4.htm JOINT LIABILITY INSURANCE AGREEMENT Exhibit 99.(k)(4) JOINT LIABILITY INSURANCE AGREEMENT AGREEMENT dated the 1st day of July, 2019 between the Infinity Core Alternative Fund, The Relative Value Fund, Vivaldi Opportunities Fund, Infinity Long/Short Equity Fund, LLC, Variant Alternative Income Fund, Cliffwater Corporate Lending Fund, Corbin Multi-Strategy Fund, |
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| December 4, 2019 |
Amended and Restated Custody Agreement EX-99.(J) 3 tm1924018d1ex99-j.htm AMENDED AND RESTATED CUSTODY AGREEMENT Exhibit 99.(j) AMENDED AND RESTATED CUSTODY AGREEMENT Dated September 20, 2018 Between UMB BANK, N.A. and Vivaldi Asset Management, LLC on behalf of Vivaldi Opportunities Fund 1 CUSTODY AGREEMENT This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal |
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| December 4, 2019 |
VAM / Vivaldi Opportunities Fund POS 8C - - POS 8C As filed with the Securities and Exchange Commission on December 4, 2019 Securities Act File No. |
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| August 29, 2019 |
VAM / Vivaldi Opportunities Fund NPORT-EX - - FORM NPORT-EX Form NPORT-EX Vivaldi Opportunities Fund SCHEDULE OF INVESTMENTS As of June 30, 2019 (Unaudited) Principal Amount Value ASSET-BACKED SECURITIES — 13. |
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| April 4, 2019 |
VAM / Vivaldi Opportunities Fund / Asher Daniel Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Vivaldi Opportunities Fund (Name of Issuer) Common Stock, par value $.0001 per share (Title of Class of Securities) 92853C207 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| February 27, 2019 |
VAM / Vivaldi Opportunities Fund N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23255 Vivaldi Opportunities Fund (Exact name of registrant as specified in charter) c/o UMB Fund Services, Inc. |
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| February 27, 2019 |
EX-99.CERT CERTIFICATIONS I, Michael Peck, certify that: 1. I have reviewed this report on Form N-Q of Vivaldi Opportunities Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| January 30, 2019 |
EX-99.1 2 tv511969ex99-1.htm EXHIBIT 99.1 PROXY TABULATOR P.O. BOX 9112 FARMINGDALE, NY 11735 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website www.proxyvote.com 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement and have the proxy card below at hand. 2) Call 1-800-690-6903 3) Follow the instruc |
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| January 30, 2019 |
VAM / Vivaldi Opportunities Fund DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive |
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| December 10, 2018 |
VAM / Vivaldi Opportunities Fund CORRESP Vivaldi Opportunities Fund c/o UMB Fund Services, Inc. 235 West Galena Street Milwaukee, WI 53212 December 10, 2018 VIA EDGAR TRANSMISSION Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Vivaldi Opportunities Fund (the “Fund”) (1933 Act Registration No. 333-227574)/(1940 Act Registration No. 811-23255) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities |
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| November 13, 2018 |
VAM / Vivaldi Opportunities Fund CORRESP Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103-6996 www. |
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| November 13, 2018 |
VAM / Vivaldi Opportunities Fund CORRESP Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103-6996 www. |
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| September 12, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 5, 2018 Vivaldi Opportunities Fund (Exact name of Registrant as specified in its charter) Maryland 811-23255 82-2021388 (State or other jurisdiction (Commission (I.R.S. Employer |
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| August 29, 2018 |
EX-99.CERT CERTIFICATIONS I, Michael Peck, certify that: 1. I have reviewed this report on Form N-Q of Vivaldi Opportunities Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| August 29, 2018 |
VAM / Vivaldi Opportunities Fund N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23255 Vivaldi Opportunities Fund (Exact name of registrant as specified in charter) c/o UMB Fund Services, Inc. |
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| June 22, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 26, 2017 Vivaldi Opportunities Fund (Exact name of Registrant as specified in its charter) Maryland 811-23255 82-2021388 (State or other jurisdiction (Commission (I.R.S. Emplo |
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| June 8, 2018 |
UMB FUND SERVICES, INC. 235 West Galena Street Milwaukee, Wisconsin 53212 (414) 299-2000 UMB FUND SERVICES, INC. 235 West Galena Street Milwaukee, Wisconsin 53212 (414) 299-2000 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Re: Vivaldi Opportunites Fund Registration No.: 811-23255 Filing pursuant to Rule 30b2-1 and Section 24(b) of the Investment Company Act of 1940 Dear Sir or Madam: On behalf of the above-named registrant (the ?Fund?) and pursuant to Ru |
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| May 8, 2018 |
Vivaldi Opportunities Fund 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 VIVALDI OPPORTUNITIES FUND (Exact name of Registrant as specified in Charter) Maryland 82-2021388 (state of incorporation or organization) (I.R.S. Employer Identification No.) 225 West Wacker Drive |
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| March 29, 2018 |
VAM / Vivaldi Opportunities Fund CORRESP Vivaldi Opportunities Fund c/o UMB Fund Services, Inc. 235 West Galena Street Milwaukee, WI 53212 March 29, 2018 VIA EDGAR TRANSMISSION Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Vivaldi Opportunities Fund (the “Fund”) (1933 Act Registration No. 333-223727)/(1940 Act Registration No. 811-23255) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Ac |
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| March 28, 2018 |
VAM / Vivaldi Opportunities Fund CORRESP Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103-6996 www. |
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| March 22, 2018 |
VAM / Vivaldi Opportunities Fund CORRESP Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103-6996 www. |
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| February 28, 2018 |
EX-99.CERT CERTIFICATIONS I, Michael Peck, certify that: 1. I have reviewed this report on Form N-Q of Vivaldi Opportunities Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| February 28, 2018 |
Vivaldi Opportunities Fund - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23255 Vivaldi Opportunities Fund (Exact name of registrant as specified in charter) c/o UMB Fund Services, Inc. |
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| August 10, 2017 |
VAM / Vivaldi Opportunities Fund CORRESP Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103-6996 www. |
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| July 17, 2017 |
VAM / Vivaldi Opportunities Fund CORRESP Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103-6996 www. |
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| May 22, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940, and in connection with such notification of registration submits the following information: Name: Vivaldi Opportunities Fund Address of Principal Business Office (No. |
