Filing Details
- Accession Number:
- 0001251859-18-000011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-21 15:34:34
- Reporting Period:
- 2018-11-19
- Accepted Time:
- 2018-11-21 15:34:34
- 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 | Disposition | 2018-11-19 | 1,588 | $14.70 | 571,092 | No | 4 | S | Indirect | By Daniel Asher Revocable Trust |
| Common Stock | Disposition | 2018-11-20 | 1,100 | $14.70 | 569,992 | 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 |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 708,267 | 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.
Billionaire Hedge Funds
