0001567619-20-012326.txt : 20200617
0001567619-20-012326.hdr.sgml : 20200617
20200617181356
ACCESSION NUMBER: 0001567619-20-012326
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190621
FILED AS OF DATE: 20200617
DATE AS OF CHANGE: 20200617
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ASHER DANIEL
CENTRAL INDEX KEY: 0001251859
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-23255
FILM NUMBER: 20970777
MAIL ADDRESS:
STREET 1: 111 W JACKSON BLVD
STREET 2: 20TH FL
CITY: CHICAGO
STATE: IL
ZIP: 60604
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Vivaldi Opportunities Fund
CENTRAL INDEX KEY: 0001703117
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: C/O UMB FUND SERVICES, INC.
STREET 2: 235 WEST GALENA STREET
CITY: MILWAUKEE
STATE: WI
ZIP: 53201
BUSINESS PHONE: 414-299-2200
MAIL ADDRESS:
STREET 1: C/O UMB FUND SERVICES, INC.
STREET 2: 235 WEST GALENA STREET
CITY: MILWAUKEE
STATE: WI
ZIP: 53201
4/A
1
doc1.xml
FORM 4/A
X0306
4/A
2019-06-21
2019-06-25
0
0001703117
Vivaldi Opportunities Fund
VAM
0001251859
ASHER DANIEL
111 W JACKSON BLVD
20TH FL
CHICAGO
IL
60604
0
0
1
0
Common Stock
2019-06-21
4
S
0
1580
14.1905
D
28210
I
By Sphinx Trading LP
Common Stock
1663355
I
By AFOB FIP MS , LLC
Common Stock
708267
I
By Castle Creek Fund, 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.
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.
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.
/s/ Daniel Asher
2020-06-17