Filing Details

Accession Number:
0001251859-18-000009
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-18 16:59:02
Reporting Period:
2018-10-16
Accepted Time:
2018-10-18 16:59:02
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-10-16 4 $14.95 572,681 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
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 708,267 Indirect By Castle Creek Fund LP
Footnotes
  1. Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants.
  2. 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 the shares held by the fund except to the extent of any pecuniary interest therein.