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Home > Insider Trading > Filing (0001140361-18-031007)

Filing Details

Accession Number:: 0001140361-18-031007
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-07-02 18:38:17
Reporting Period:: 2018-06-28

Accepted Time:: 2018-07-02 18:38:17
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1703117	Vivaldi Opportunities Fund	VAM	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1251859	Daniel Asher	111 W Jackson Blvd 20Th Fl Chicago IL 60604		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2018-06-28	1,000	$15.00	577,489	No	4	S	Indirect	By Daniel Asher Revocable Trust
Common Stock	Disposition	2018-06-28	100	$15.41	577,389	No	4	S	Indirect	By Daniel Asher Revocable Trust
Common Stock	Disposition	2018-06-29	1,000	$15.10	576,389	No	4	S	Indirect	By Daniel Asher Revocable Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Daniel Asher Revocable Trust
No	4	S	Indirect	By Daniel Asher Revocable Trust
No	4	S	Indirect	By Daniel Asher Revocable Trust

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	702,402	Indirect	By Castle Creek Fund, LP

Footnotes

Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants.
Mr. 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.