POS EX 1 riv-posex_092920.htm POST-EFFECTIVE AMENDMENT

 

As filed with the Securities and Exchange Commission on September 29, 2020

 

Securities Act File No. 333-225152

Investment Company Act File No. 811-22472

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

FORM N-2

(check appropriate box or boxes)

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Pre-Effective Amendment No.
Post-Effective Amendment No. 10
and/or  
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940
Amendment No. 22

 

RIVERNORTH OPPORTUNITIES FUND, INC.
(Exact name of registrant as specified in charter)

 

1290 Broadway, Suite 1000

Denver, Colorado 80203

(Address of principal executive offices)

 

(303) 623-2577

(Registrant’s Telephone Number)

 

Sareena Khwaja-Dixon

RiverNorth Opportunities Fund, Inc.

1290 Broadway, Suite 1000

Denver, Colorado 80203

(Names and addresses of agents for service)

 

Copies to:

Allison M. Fumai

Dechert LLP

1095 Avenue of the Americas

New York, NY 10036

 

Approximate Date of Proposed Public Offering: As soon as practicable after the effective date of this Registration Statement.

 

If any securities being registered on this form will be offered on a delayed or continuous basis in reliance on Rule 415 under the Securities Act of 1933, other than securities offered in connection with a dividend reinvestment plan, check the following box. ☒

 

 

 

 

 

EXPLANATORY NOTE

 

This Post-Effective Amendment No. 10 to the Registration Statement on Form N-2 (File Nos. 333-225152 and 811-22472) of the RiverNorth Opportunities Fund, Inc. (as amended, the “Registration Statement”) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of filing Exhibits d.1, d.2, k.5 and k.6 to the Registration Statement. No changes have been made to Part A, B or Part C of the Registration Statement, other than Item 25 (2) of Part C as set forth below. Accordingly, this Post-Effective Amendment No. 10 consists only of the facing page, this explanatory note and Item 25 (2) of the Registration Statement setting forth the exhibits to the Registration Statement. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 10 shall become effective immediately upon filing with the Securities and Exchange Commission. The contents of the Registration Statement are hereby incorporated by reference.

 

 

 

 

PART C — OTHER INFORMATION

 

Item 25: Financial Statements and Exhibits

 

2. Exhibits:
   
  a. Articles of Amendment and Restatement. (1)
  b. Bylaws, as amended July 16, 2018. (5)
  c. Not applicable.
  d.1 Form of Subscription Certificate for Rights Offering, filed herewith.
  d.2 Form of Notice of Guaranteed Delivery for Rights Offering, filed herewith.
  e. Form of Dividend Reinvestment and Cash Purchase Plan. (1)
  f. Not applicable.
  g.1 Form of Investment Advisory Agreement. (5)
  g.2 Form of Subadvisory Agreement. (5)
  h.1. Form of Sales Agreement. (6)
  i. Not applicable.
  j.1 Form of Custodian Agreement. (1)
  j.2 Special Custody Agreement. (2)
  k.1 Administrative, Bookkeeping and Pricing Services Agreement. (1)
  k.2 Transfer Agency, Registrar and Dividend Disbursing Agency Agreement. (1)
  k.3 Credit Agreement. (3)
  k.4 Security Agreement. (3)
  k.5 Form of Subscription Agent Agreement, filed herewith.
  k.6 Form of Information Agent Agreement, filed herewith.
  k.7 Form of Amendment No. 1 to Credit Agreement. (5)
  k.8 Amendment to Administrative Bookkeeping and Pricing Services Agreement. (5)
  k.9 Amendment No. 2 to Credit Agreement. (8)
  l.1 Opinion of Morrison & Foerster LLP. (5)
  l.2 Consent of Dechert LLP. (11)
  m. Consent of Morrison & Foerster LLP. (10)
  n. Not applicable.
  o. Consent of Independent Registered Public Accounting Firm, filed herewith.
  p. Not applicable.
  q. Initial Subscription Agreement. (1)
  r. Not applicable.
  r.1 Code of Ethics of the Fund. (2)
  r.2 Code of Ethics of the Investment Manager. (5)
  r.3 Code of Ethics of the Subadviser. (5)
  s. Powers of Attorney. (11)
  z.1 Form of Prospectus Supplement for “At The Market Offering.” (5)
  z.2

Form of Prospectus Supplement for Rights Offering. (5)

 

(1) Incorporated by reference from the Registration Statement on Form N-2/A, File no. 333-169317 and 811-22472, as filed with the Securities and Exchange Commission on November 25, 2015.
(2) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-220156 and 811-22472, as filed with the Securities and Exchange Commission on August 24, 2017.
(3) Incorporated by reference from the Registration Statement on Form N-2/A, File no. 333-220156 and 811-22472, as filed with the Securities and Exchange Commission on October 3, 2017.
(4) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on May 23, 2018.

 

 

 

 

(5) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on July 24, 2018.
(6) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on August 31, 2018.
(7) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on October 5, 2018.
(8) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on March 12, 2019.
(9) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on June 26, 2019.
(10) Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on November 25, 2019.
(11)Incorporated by reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and Exchange Commission on September 23, 2020.

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant, has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the city of Denver and the state of Colorado, on the 29 day of September, 2020.

 

  RIVERNORTH OPPORTUNITIES FUND, INC.
   
  By /s/ Kathryn A. Burns
    Kathryn A. Burns, President

 

Pursuant to the requirements of the Securities Act of 1933, this amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.

 

/s/ Kathryn A. Burns   President
(Principal Executive Officer)
  September 29, 2020
Kathryn A. Burns        
         
/s/ Jill A. Kerschen  

Treasurer and Chief Accounting Officer

(Principal Financial Officer)

  September 29, 2020
Jill A. Kerschen        
         
*   Director   September 29, 2020
John K. Carter        
         
*   Director   September 29, 2020
Patrick W. Galley        
         
*   Director   September 29, 2020
J. Wayne Hutchens        
         
*   Director, Chairman   September 29, 2020
John S. Oakes        
         
*   Director   September 29, 2020
Jerry Raio        
         
*   Director   September 29, 2020
David M. Swanson        

 

* By: /s/ Sareena Khwaja-Dixon  
  Name: Sareena Khwaja-Dixon  
  Title: Secretary and Attorney in Fact  
  Date: September 29, 2020  

 

 

 

 

 

Exhibit Index

 

Exhibit
Number
  Description
   
d.1   Form of Rights Subscription Certificate for Rights Offering
d.2  

Form of Notice of Guaranteed Delivery for Rights Offering

k.5   Form of Subscription Agent Agreement
k.6   Form of Information Agent Agreement
o Consent of Independent Registered Public Accounting Firm