SEC Form 3 · accession 0001144204-18-027746
Vivaldi Opportunities Fund · VAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael P Peck
Officer — President
Period of report
Jun 1, 2017
Accepted (ET)
May 11, 2018 · 6:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001703117
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | holding | — | — | — | 2,956,121 | I | Vivaldi Holdings LLC | |
| Common Shares | holding | — | — | — | 97,946 | I | Vivaldi Capital Management LLC | |
| Common Shares | holding | — | — | — | 1,483 | I | Bear Creek Ventures LLC |
Table II — derivative securities
No Table II lines on this filing.