SEC Form 4 · accession 0001251859-18-000011
Vivaldi Opportunities Fund · VAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Asher
10% Owner
Period of report
Nov 19, 2018
Accepted (ET)
Nov 21, 2018 · 3:34 pm EST
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 StockF1 | Nov 19, 2018 | S | 1,588 | $14.7036 | D | 571,092 | I | By Daniel Asher Revocable Trust |
| Common StockF1 | Nov 20, 2018 | S | 1,100 | $14.70 | D | 569,992 | I | By Daniel Asher Revocable Trust |
| Common StockF2 | 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.