0001567619-20-012324.txt : 20200617 0001567619-20-012324.hdr.sgml : 20200617 20200617180419 ACCESSION NUMBER: 0001567619-20-012324 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190619 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: 20970742 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 2019-06-19 2019-06-20 0 0001703117 Vivaldi Opportunities Fund VAM 0001251859 ASHER DANIEL 111 W JACKSON BLVD 20TH FL CHICAGO IL 60604 0 0 1 0 Common Stock 2019-06-19 4 S 0 2886 14.15 D 29790 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