SEC Form 4 · accession 0001251859-18-000005
Vivaldi Opportunities Fund · VAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Asher
10% Owner
Period of report
Sep 13, 2018
Accepted (ET)
Sep 14, 2018 · 3:45 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 StockF3,F1 | Sep 13, 2018 | S | 300 | $15.0367 | D | 577,575 | I | By Daniel Asher Revocable Trust |
| Common StockF3,F1 | Sep 13, 2018 | S | 600 | $15.05 | D | 576,975 | I | By Daniel Asher Revocable Trust |
| Common StockF3,F2 | holding | — | — | — | 708,267 | I | By Castle Creek Fund, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants.
- F2Mr. Asher is the principal of the general partner of Castle Creek Fund, LP, and a limited partner in the Fund. Mr. Asher disclaims beneficial interest in shares held by the Fund except to the extent of any pecuniary interest therein.
- F3End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to section 16(a).