Sec Form 4/A Filing - ASHER DANIEL @ Vivaldi Opportunities Fund - 2019-06-13

Insider filing report for Changes in Beneficial Ownership
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FORM 4/A
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
ASHER DANIEL
2. Issuer Name and Ticker or Trading Symbol
Vivaldi Opportunities Fund [ VAM]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
111 W JACKSON BLVD, 20TH FL
3. Date of Earliest Transaction (MM/DD/YY)
06/13/2019
(Street)
CHICAGO, IL60604
4. If Amendment, Date Original Filed (MM/DD/YY)
06/17/2019
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/31/2019 G V 1,066,223 A $ 0 1,066,223 I By AFOB FIP MS , LLC ( 1 )
Common Stock 02/01/2019 G V 67,456 A $ 0 1,663,355 I By AFOB FIP MS , LLC ( 1 )
Common Stock 06/13/2019 S 200 D $ 14.2 33,076 I By Sphinx Trading LP ( 2 )
Common Stock 06/14/2019 S 200 D $ 14.2 32,876 I By Sphinx Trading LP ( 2 )
Common Stock 708,267 I By Castle Creek Fund, LP ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
ASHER DANIEL
111 W JACKSON BLVD
20TH FL
CHICAGO, IL60604
X
Signatures
/s/ Daniel Asher 06/17/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )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.
( 3 )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.

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