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Filing Details

Issuer

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

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	2019-01-31	1,066,223	$0.00	1,066,223	No	5	G	Indirect	By AFOB FIP MS , LLC
Common Stock	Acquisiton	2019-02-01	67,456	$0.00	1,663,355	No	5	G	Indirect	By AFOB FIP MS , LLC
Common Stock	Disposition	2019-06-13	200	$14.20	33,076	No	4	S	Indirect	By Sphinx Trading LP
Common Stock	Disposition	2019-06-14	200	$14.20	32,876	No	4	S	Indirect	By Sphinx Trading LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	5	G	Indirect	By AFOB FIP MS , LLC
No	5	G	Indirect	By AFOB FIP MS , LLC
No	4	S	Indirect	By Sphinx Trading LP
No	4	S	Indirect	By Sphinx Trading LP

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	708,267	Indirect	By Castle Creek Fund, LP

Footnotes

The 562,951 shares previously held by the Daniel Asher Revocable Trust were transferred in a transaction exempt from reporting under rule 16a-13, with 529,675 shares transferred to AFOB FIP MS, LLC and 33,276 shares transferred to Sphinx Trading LP. AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.
The 562,951 shares previously held by the Daniel Asher Revocable Trust were transferred in a transaction exempt from reporting under rule 16a-13, with 529,675 shares transferred to AFOB FIP MS, LLC and 33,276 shares transferred to Sphinx Trading LP. Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein.
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.