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| LEI | 5493001RICR0OU8TM159 |
| CIK | 1501072 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to RiverNorth Opportunities Fund, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement. [ ] Confidential, for use of the Commission Only (as permit |
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| May 21, 2025 |
As filed with the Securities and Exchange Commission on May 20, 2025 As filed with the Securities and Exchange Commission on May 20, 2025 Securities Act File No. |
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| May 21, 2025 |
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, CO 80203 SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, CO 80203 May 20, 2025 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by RiverNorth Opportunities Fund, Inc. Ladies and Gentlemen: From time to time ALPS Distributors, Inc. (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offer |
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| May 21, 2025 |
CONSENT OF COUNSEL We hereby consent to the use of our name and to the references to our Firm under the caption “Legal Matters” in the Prospectus and the caption “Legal Counsel” in the Statement of Additional Information included in Post-Effective Amendment No. |
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| May 21, 2025 |
DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this "Agreement") made as of May 20, 2025 by and between RiverNorth Opportunities Fund, Inc. |
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| May 21, 2025 |
RiverNorth Opportunities Fund, Inc. Up to 15,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) File No. 333-283156 Prospectus Supplement (To Prospectus dated March 31, 2025) RiverNorth Opportunities Fund, Inc. Up to 15,000,000 Shares of Common Stock RiverNorth Opportunities Fund, Inc. (the “Fund”) has entered into a distribution agreement, dated May 20, 2025 (the “Distribution Agreement”) with ALPS Distributors, Inc. (the “Distributor”), relating to the Fund |
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| April 1, 2025 |
Filed Pursuant to Rule 424(b)(3) File No. 333-283156 PROSPECTUS DATED MARCH 31, 2025 RiverNorth Opportunities Fund, Inc. $600,000,000 Shares of Common Stock Shares of Preferred Stock Subscription Rights for Shares of Common Stock Subscription Rights for Shares of Preferred Stock Subscription Rights for Common and Preferred Stock RiverNorth Opportunities Fund, Inc. (the “Fund”) is a diversified, cl |
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| March 27, 2025 |
Faegre Drinker Biddle & Reath LLP 320 South Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www. |
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| March 21, 2025 |
Faegre Drinker Biddle & Reath LLP 320 South Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www. |
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| February 18, 2025 |
Faegre Drinker Biddle & Reath LLP 320 South Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www. |
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| September 25, 2024 |
Faegre Drinker Biddle & Reath LLP 320 S. Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www.faegredrinker.com September 25, 2024 VIA EDGAR TRANSMISSION U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Megan F. Miller Re: RiverNorth Opportunities Fund, Inc. (the “Fund”) (File Nos. 333-281401; 811-233666) Dear |
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| August 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement. [ ] Confidential, for use of the Commission Only (as permit |
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| May 23, 2024 |
RiverNorth Opportunities Fund, Inc. Announces Change in Fiscal Year End RiverNorth Opportunities Fund, Inc. Announces Change in Fiscal Year End West Palm Beach, FL – May 20, 2024 – RiverNorth Opportunities Fund, Inc. (NYSE: RIV) (the “Fund”) is pleased to announce that on May 14-15, 2024, the Board of Directors of the Fund (the “Board”) approved a change to the fiscal year end (“FYE”) of the Fund, as set forth in the table below. Fund Ticker Current FYE New FYE RiverN |
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| May 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) May 20, 2024 RiverNorth Opportunities Fund, Inc. |
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| April 2, 2024 |
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, CO 80203 SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, CO 80203 April 2, 2024 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by RiverNorth Opportunities Fund, Inc. Ladies and Gentlemen: From time to time ALPS Distributors, Inc. (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offe |
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| April 2, 2024 |
DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this "Agreement") made as of April 2, 2024 by and between RiverNorth Opportunities Fund, Inc. |
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| April 2, 2024 |
As filed with the Securities and Exchange Commission on April 2, 2024 As filed with the Securities and Exchange Commission on April 2, 2024 Securities Act File No. |
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| April 2, 2024 |
CONSENT OF COUNSEL We hereby consent to the use of our name and to the references to our Firm under the caption “Legal Matters” in the Prospectus and the caption “Legal Counsel” in the Statement of Additional Information incorporated by reference in Post-Effective Amendment No. |
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| April 2, 2024 |
RiverNorth Opportunities Fund, Inc. Up to 15,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) File No. 333-274473 Prospectus Supplement (To Prospectus dated February 28, 2024) RiverNorth Opportunities Fund, Inc. Up to 15,000,000 Shares of Common Stock RiverNorth Opportunities Fund, Inc. (the “Fund”) has entered into a distribution agreement, dated April 2, 2024 (the “Distribution Agreement”) with ALPS Distributors, Inc. (the “Distributor”), relating to the |
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| February 23, 2024 |
Faegre Drinker Biddle & Reath LLP 320 S. Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www.faegredrinker.com February 23, 2024 VIA EDGAR TRANSMISSION U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Lisa Larkin and Lauren Hamilton Re: RiverNorth Opportunities Fund, Inc. (the “Fund”) (File Nos. 333-274473; 81 |
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| December 28, 2023 |
Faegre Drinker Biddle & Reath LLP 320 South Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www. |
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| August 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement. [ ] Confidential, for use of the Commission Only (as permit |
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| December 30, 2022 |
See Notes to Quarterly Statement of Investments. NPORT-EX 2 fp0081395-1nportex.htm RiverNorth Opportunities Fund, Inc. Statement of Investments October 31, 2022 (Unaudited) Shares Description Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (67.39%) 452,491 Barings Corporate Investors $ 6,018,130 309,239 Barings Participation Investors 3,661,390 176,578 BlackRock 2022 Global Income Opportunity Trust 7,452 511,779 BlackRock California Municipal In |
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| December 23, 2022 |
Amendment No. 3 to Sub-Placement Agent Agreement. ALPS DISTRIBUTORS, INC. AMENDMENT NO. 3 TO SUB-PLACEMENT AGENT AGREEMENT October 1, 2022 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 Ladies and Gentlemen: Reference is made to the Sub-Placement Agent Agreement dated December 4, 2020, Amendment No. 1 to the Sub-Placement Agent Agreement dated September 21, 2021, and Amendment No. 2 to the Sub-Placement Agent Agreement da |
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| December 23, 2022 |
As filed with the Securities and Exchange Commission on December 23, 2022 As filed with the Securities and Exchange Commission on December 23, 2022 Securities Act File No. |
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| December 23, 2022 |
Consent of Faegre Drinker Biddle & Reath LLP. ** CONSENT OF COUNSEL We hereby consent to the use of our name and to the references to our Firm under the caption ?Legal Matters? in the Prospectus and the caption ?Legal Counsel? in the Statement of Additional Information included in Post-Effective Amendment No. |
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| December 23, 2022 |
Amendment No. 3 to Distribution Agreement. RIVERNORTH OPPORTUNITIES FUND, INC. AMENDMENT NO. 3 TO DISTRIBUTION AGREEMENT October 1, 2022 ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, Colorado 80203 Ladies and Gentlemen: Reference is made to the Distribution Agreement dated November 11, 2020, Amendment No. 1 to the Distribution Agreement, dated September 21, 2021, and Amendment No 2 to the Distribution Agreement, dated January 2 |
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| December 23, 2022 |
RiverNorth Opportunities Fund, Inc. Up to 8,196,130 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) File No. 333-261239 Prospectus Supplement (To Prospectus dated January 25, 2022) RiverNorth Opportunities Fund, Inc. Up to 8,196,130 Shares of Common Stock RiverNorth Opportunities Fund, Inc. (the ?Fund?) has entered into a distribution agreement, dated November 11, 2020 with ALPS Distributors, Inc. (the ?Distributor?), as amended by Amendment No. 1 thereto, dated |
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| December 22, 2022 |
Filed Pursuant to Rule 424(b)(3) File No. 333-261239 RiverNorth Opportunities Fund, Inc. Supplement to the Statement of Additional Information (?SAI?), dated January 25, 2022 December 22, 2022 This supplement provides updated information beyond that contained in the SAI and should be read in conjunction with the SAI. 1. Effective October 1, 2022, RiverNorth Capital Management, LLC (the ?Adviser? o |
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| October 14, 2022 |
Form of Subscription Certificate for Rights Offering. ** RiverNorth Opportunities Fund, Inc. Subscription Agent: Computershare Trust Company, N.A. Information Agent: Georgeson LLC Banks, brokers and shareholders call toll-free: 1-888-624-2255 SUBSCRIPTION RIGHTS CERTIFICATE VOID IF NOT RECEIVED BY THE SUBSCRIPTION AGENT BEFORE 5:00 P.M. EASTERN TIME ON THE EXPIRATION DATE: November 8, 2022 (unless extended) RIVERNORTH OPPORTUNITIES FUND, INC.SUBSCRIPTIO |
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| October 14, 2022 |
As filed with the Securities and Exchange Commission on October 14, 2022 As filed with the Securities and Exchange Commission on October 14, 2022 Securities Act File No. |
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| October 14, 2022 |
Master Custodian Agreement between Registrant and State Street Bank and Trust Company. ** Master Custodian Agreement This Agreement is made as of March 3, 2014 by and between each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 20. |
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| October 14, 2022 |
Information Agent Agreement. ** Georgeson LLC 1290 Avenue of the Americas, 9th Floor New York, NY 10104 www.georgeson.com October 6, 2022 RiverNorth Opportunities Fund, Inc. 360 South Rosemary Avenue, Suite 1420 West Palm Beach, FL 33401 Re: Information Agent This Letter of Agreement, including the Appendix attached hereto (collectively, this ?Agreement?), sets forth the terms and conditions of the engagement of Georgeson LLC (? |
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| October 14, 2022 |
Execution Copy September 30, 2022 State Street Bank and Trust Company 801 Pennsylvania Avenue Kansas City, Missouri 64105 Attention: Vice President ? Mutual Funds Re: RiverNorth Opportunities Fund, Inc. |
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| October 14, 2022 |
Form of Notice of Guaranteed Delivery for Rights Offering. ** NOTICE OF GUARANTEED DELIVERY For Common Stock of RiverNorth Opportunities Fund, Inc. |
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| October 14, 2022 |
Investment Advisory Agreement. ** MANAGEMENT AGREEMENT TO: RiverNorth Capital Management, LLC 360 South Rosemary Avenue, Suite 1420 West Palm Beach, Florida 33401 Dear Sirs: RiverNorth Opportunities Fund, Inc. |
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| October 14, 2022 |
Consent of Independent Registered Public Accounting Firm. ** CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated September 28, 2022, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc. |
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| October 14, 2022 |
RiverNorth OPPORTUNITIES FUND, INC. ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF PERPETUAL Preferred sTOCK DATED AS OF APRIL 12, 2022 RiverNorth Opportunities Fund, Inc., a Maryland corporation (the ?Corporation?), hereby certifies to the State Department of Assessments and Taxation of Maryland that: RECITALS FIRST: The Corporation is authorized under Article V of t |
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| October 14, 2022 |
RiverNorth Opportunities Fund, Inc. Power of Attorney Know All Men By These Presents, that the undersigned, a Director of the above-referenced corporation, hereby constitutes and appoints Joshua B. Deringer, David L. Williams and Patrick W. Galley and each of them (with full power to each of them to act alone) his true and lawful attorney-in-fact and agent, for him on his behalf and in his name, p |
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| October 14, 2022 |
Subscription Agent Agreement. ** Subscription Agent Agreement Between RiverNorth Opportunities Fund, Inc. And Computershare Trust Company, N.A. And Computershare Inc. Page 1 This SUBSCRIPTION AGENT AGREEMENT (the ?Agreement?) is entered into as of this 12th day of October 2022 (the ?Effective Date?) by and among RiverNorth Opportunities Fund, Inc., a company organized and existing under the laws of the State of Maryland (the "Com |
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| October 14, 2022 |
Administrative, Bookkeeping and Pricing Services Agreement. ** ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENT THIS AGREEMENT is made as of September 30, 2022, between RiverNorth Opportunities Fund, Inc. |
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| October 12, 2022 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-261239 Prospectus Supplement (to Prospectus dated January 25, 2022) RiverNorth Opportunities Fund, Inc. 6,227,000 Shares of Common Stock Subscription Rights for Shares of Common Stock 6,227,000 Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for Such Shares RiverNorth Opportunities Fund, Inc. (the “Fund”) is issuing transfe |
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| July 15, 2022 |
DEF 14A 1 riv-def14a081922.htm DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for |
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| June 30, 2022 |
DEFA14A 1 riv-defa14a072722.htm ADDITIONAL DEFINITIVE PROXY SOLICITING MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statem |
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| June 29, 2022 |
RiverNorth Opportunities Fund, Inc. Statement of Investments April 30, 2022 (Unaudited) Shares Description Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (78.78%) 392,948 Aberdeen Emerging Markets Equity Income Fund, Inc. $ 2,298,746 321,973 Barings Corporate Investors 4,572,017 68,051 Barings Global Short Duration High Yield Fund 1,017,362 307,239 Barings Participation Investors 3,997,179 176,57 |
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| June 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confident |
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| May 13, 2022 |
DEF 14A 1 riv-def14a062922.htm DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only ( |
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| May 13, 2022 |
1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| April 29, 2022 |
PRE 14A 1 riv-pre14a060622.htm PRELIMINARY PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only |
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| April 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 RiverNorth Opportunities Fund, Inc. |
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| April 13, 2022 |
PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424B (To Prospectus dated January 25, 2022) Registration Statement No. |
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| April 13, 2022 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated April 12, 2022 Relating to Preliminary Prospectus Supplement dated April 5, 2022 and Prospectus dated January 25, 2022 Registration No. |
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| April 13, 2022 |
AMENDMENT TO THE AGENCY AGREEMENT RiverNorth Opportunities Fund, Inc. 8-K Exhibit (d)(10.1) AMENDMENT TO THE AGENCY AGREEMENT THIS AMENDMENT TO THE AGENCY AGREEMENT (this ?Amendment?) is entered into as of the 12th day of April, 2022 (the ?Effective Date?) by and between RIVERNORTH OPPORTUNITIES FUND, INC., a Maryland corporation, with offices at 1290 Broadway, Suite 1000, Denver, CO 80203 (the ?Fund?), and DST SYSTEMS, INC., a De |
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| April 13, 2022 |
RIVERNORTH OPPORTUNITIES FUND, INC. PRICES OFFERING OF PREFERRED STOCK RiverNorth Opportunities Fund, Inc. 8-K Exhibit (d)(99.1) RIVERNORTH OPPORTUNITIES FUND, INC. PRICES OFFERING OF PREFERRED STOCK DENVER ? April 12, 2022 ? RiverNorth Opportunities Fund, Inc. (NYSE: RIV) (the ?Fund?) today announced that it has priced an underwritten public offering of 3,400,000 shares of 6.00% Series A Perpetual Preferred Stock (the ?Preferred Stock?) at a public offering price of |
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| April 13, 2022 |
RiverNorth Opportunities Fund, Inc. 8-K Exhibit 3.1 RiverNorth OPPORTUNITIES FUND, INC. ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF PERPETUAL Preferred sTOCK DATED AS OF APRIL 12, 2022 RiverNorth Opportunities Fund, Inc., a Maryland corporation (the ?Corporation?), hereby certifies to the State Department of Assessments and Taxation of Maryland that: RECITALS FIRST |
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| April 13, 2022 |
RiverNorth Opportunities Fund, Inc. 8-K Exhibit 1.1 RiverNorth Opportunities Fund, Inc. 3,400,000 Shares of 6.00% Series A Perpetual Preferred Stock UNDERWRITING AGREEMENT Dated: April 12, 2022 Table of Contents Section 1. Representations and Warranties 3 Section 2. Sale and Delivery to Underwriters; Closing 24 Section 3. Covenants of the Fund and the Advisers 25 Section 4. Payment of Expenses 29 |
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| April 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 13, 2022 (April 12, 2022) RIVERNORTH OPPORTUNITIES FUND, INC. (Exact Name of Registrant as Specified in Charter) Maryland 811-22472 46-4084978 (State or Other Jurisdiction of In |
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| April 5, 2022 |
The information in this preliminary prospectus supplement is not complete and may be changed. |
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| March 18, 2022 |
RIVERNORTH OPPORTUNITIES FUND, INC. ANNOUNCES APPROVAL OF INVESTMENT ADVISORY AGREEMENT WITH RIVERNORTH CAPITAL MANAGEMENT DENVER ? March 17, 2022 ? RiverNorth Opportunities Fund, Inc. (NYSE: RIV) (the ?Fund?) is pleased to announce the Fund?s Board of Directors have approved a new investment advisory agreement with RiverNorth Capital Management, LLC (?RiverNorth?), subject to shareholder approval |
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| March 18, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 17, 2022 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact Name of Registrant as Specified in Charter) Maryland 811-22472 46-4084978 (State or Other Jurisdiction of Incorporation) (Com |
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| January 27, 2022 |
Consent of Independent Registered Public Accounting Firm. ** ? CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated September 28, 2021, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc. |
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| January 27, 2022 |
Amendment No. 2 to Sub-Placement Agent Agreement. (19) ALPS DISTRIBUTORS, INC. AMENDMENT NO. 2 TO SUB-PLACEMENT AGENT AGREEMENT January 27, 2022 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 Ladies and Gentlemen: Reference is made to the Sub-Placement Agent Agreement, dated December 4, 2020 and Amendment No. 1 dated September 21, 2021 (together, the ?Sub-Placement Agent Agreement?), by and between UBS Securities LLC, as sub-p |
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| January 27, 2022 |
RiverNorth Opportunities Fund, Inc. Up to 8,196,130 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) File No. 333-261239 Prospectus Supplement (To Prospectus dated January 25, 2022) RiverNorth Opportunities Fund, Inc. Up to 8,196,130 Shares of Common Stock RiverNorth Opportunities Fund, Inc. (the ?Fund?) has entered into a distribution agreement, dated November 11, 2020 with ALPS Distributors, Inc. (the ?Distributor?), as amended by Amendment No. 1 thereto, dated |
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| January 27, 2022 |
As filed with the Securities and Exchange Commission on January 27, 2022 As filed with the Securities and Exchange Commission on January 27, 2022 Securities Act File No. |
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| January 27, 2022 |
Amendment No. 2 to Distribution Agreement. (19) RIVERNORTH OPPORTUNITIES FUND, INC. AMENDMENT NO. 2 TO DISTRIBUTION AGREEMENT January 27, 2022 ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, Colorado 80203 Ladies and Gentlemen: Reference is made to the Distribution Agreement dated November 11, 2020 and Amendment No. 1 to the Distribution Agreement, dated September 21, 2021 (together, the ?Distribution Agreement?), by and between River |
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| December 30, 2021 |
RiverNorth Opportunities Fund, Inc. RiverNorth Opportunities Fund, Inc. Statement of Investments October 31, 2021 (Unaudited) Description Shares Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (58.20%) Aberdeen Emerging Markets Equity Income Fund, Inc. 396,945 $ 3,302,582 Barings Corporate Investors 214,663 3,436,755 Barings Participation Investors 244,356 3,430,758 Blackrock Capital Allocation Trust 114,331 2,302,626 Blackrock Heal |
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| September 28, 2021 |
As filed with the Securities and Exchange Commission on September 28, 2021 As filed with the Securities and Exchange Commission on September 28, 2021 Securities Act File No. |
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| September 28, 2021 |
Consent of Independent Registered Public Accounting Firm.** RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.n CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N?2 of our report dated September 24, 2020, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc., for the year ended July 31, 2020, and to the refer |
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| September 28, 2021 |
Form of Information Agent Agreement.** RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.k.5 Georgeson LLC 1290 Avenue of the Americas, 9th Floor New York, NY 10104 www.georgeson.com September 23, 2021 RiverNorth Opportunities Fund, Inc. 1290 Broadway, Suite 1000 Denver, CO 80203 Re: Information Agent This Letter of Agreement, including the Appendix attached hereto (collectively, this ?Agreement?), sets forth the terms and conditio |
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| September 28, 2021 |
Form of Notice of Guaranteed Delivery for Rights Offering.** RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.d.2 NOTICE OF GUARANTEED DELIVERY For Shares of Common Stock RiverNorth Opportunities Fund, Inc. Subscribed for under the Primary Subscription and Over-Subscription Privilege As set forth in the Prospectus Supplement dated September 28, 2021, and the base prospectus, dated September 17, 2021 (collectively, the ?Prospectus?), this form or one su |
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| September 28, 2021 |
S-1 Filed Pursuant to Rule 424(b)(2) Registration No. 333-257554 Prospectus Supplement (to Prospectus dated September 17, 2021) RiverNorth Opportunities Fund, Inc. 4,373,407 Shares of Common Stock Subscription Rights for Shares of Common Stock 4,373,407 Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for Such Shares RiverNorth Opportunities Fund, Inc. (the ?Fund?) is issuing t |
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| September 28, 2021 |
Form of Subscription Agent Agreement. ** RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.k.4 Subscription Agent Agreement Between RiverNorth Opportunities Fund, Inc. And Computershare Trust Company, N.A. And Computershare Inc. Page 1 This SUBSCRIPTION AGENT AGREEMENT (the ?Agreement?) is entered into as of this 22nd day of September (the ?Effective Date?) by and among RiverNorth Opportunities Fund, Inc., a company organized and exi |
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| September 28, 2021 |
Form of Subscription Certificate for Rights Offering.** RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.d.1 + RiverNorth Opportunities Fund, Inc. Subscription Agent: Computershare Trust Company, N.A. Information Agent: Georgeson LLC Banks, brokers and shareholders call toll-free: (877) 507-1756 Subscription Rights 12345678901234 SUBSCRIPTION RIGHTS CERTIFICATE VOID IF NOT RECEIVED BY THE SUBSCRIPTION AGENT BEFORE 5:00 P.M. EASTERN TIME ON THE EXP |
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| September 21, 2021 |
As filed with the Securities and Exchange Commission on September 21, 2021 As filed with the Securities and Exchange Commission on September 21, 2021 Securities Act File No. |
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| September 21, 2021 |
Amendment to Sub-Placement Agent Agreement.(16) RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.k.11 ALPS DISTRIBUTORS, INC. AMENDMENT NO. 1 TO SUB-PLACEMENT AGENT AGREEMENT September 21, 2021 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 Ladies and Gentlemen: Reference is made to the Sub-Placement Agent Agreement, dated December 4, 2020, as amended (the ?Sub-Placement Agent Agreement?), by and between UBS Securi |
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| September 21, 2021 |
Amendment to Distribution Agreement.(16) RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.k.10 RIVERNORTH OPPORTUNITIES FUND, INC. AMENDMENT NO. 1 TO DISTRIBUTION AGREEMENT September 21, 2021 ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, Colorado 80203 Ladies and Gentlemen: Reference is made to the Distribution Agreement dated November 11, 2020 (the ?Distribution Agreement?), by and between RiverNorth Opportunities Fund, |
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| September 21, 2021 |
RiverNorth Opportunities Fund, Inc. Up to 8,196,130 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) File No. 333-257554 Prospectus Supplement (To Prospectus dated September 17, 2021) RiverNorth Opportunities Fund, Inc. Up to 8,196,130 Shares of Common Stock RiverNorth Opportunities Fund, Inc. (the ?Fund?) has entered into a distribution agreement, dated November 11, 2020 with ALPS Distributors, Inc. (the ?Distributor?), as amended by Amendment No. 1 thereto, date |
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| September 21, 2021 |
Consent of Independent Registered Public Accounting Firm RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.n CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated September 24, 2020, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc., for the year ended July 31, 2020. Cohen & Company, |
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| September 15, 2021 |
RiverNorth Opportunities Fund, Inc. 1290 Broadway, Suite 1000 Denver, Colorado 80203 RiverNorth Opportunities Fund, Inc. 1290 Broadway, Suite 1000 Denver, Colorado 80203 September 15, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn.: Mr. Daniel Greenspan Division of Investment Management Re: RiverNorth Opportunities Fund, Inc. Registration Statement on Form N-2 (File Nos. 333-257554 and 811-22472) Dear Mr. Greenspan: RiverNorth Oppo |
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| August 26, 2021 |
CORRESP 1 filename1.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com allison M. fumai [email protected] +1 212 698 3526 Direct +1 212 698 3599 Fax August 26, 2021 Mr. Daniel Greenspan Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: RiverNorth Opportunities Fund, |
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| August 18, 2021 |
1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| July 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| June 28, 2021 |
RiverNorth Opportunities Fund, Inc. Statement of Investments April 30, 2021 (Unaudited) Description Shares Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (53.28%) Aberdeen Emerging Markets Equity Income Fund, Inc. 329,897 $ 2,820,619 Barings Corporate Investors 196,170 2,877,814 Barings Participation Investors 136,308 1,837,418 Calamos Long/Short Equity & Dynamic Income Trust 275,160 5,706,818 Co |
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| June 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| April 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing a |
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| January 12, 2021 |
Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either |
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| December 29, 2020 |
See Notes to Quarterly Statement of Investments. RiverNorth Opportunities Fund, Inc. Statement of Investments October 31, 2020 (Unaudited) Description Shares Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (58.33%) Aberdeen Emerging Markets Equity Income Fund, Inc. 312,514 $ 2,031,341 Aberdeen Total Dynamic Dividend Fund 201,104 1,470,070 Barings Corporate Investors 57,560 671,150 Barings Participation Investors 95,530 1,018,350 BlackRock Califo |
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| December 8, 2020 |
Sub-Placement Agent Agreement** RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.k.9 SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, CO 80202 December 8, 2020 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by RiverNorth Opportunities Fund, Inc. Ladies and Gentlemen: From time to time ALPS Distributors, Inc. (the “Distributor,” “we” |
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| December 8, 2020 |
As filed with the Securities and Exchange Commission on December 8, 2020 Securities Act File No. |
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| December 8, 2020 |
RiverNorth Opportunities Fund, Inc. Up to 3,196,130 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) File No. 333-225152 Prospectus Supplement (To Prospectus dated November 24, 2020) RiverNorth Opportunities Fund, Inc. Up to 3,196,130 Shares of Common Stock RiverNorth Opportunities Fund, Inc. (the “Fund”) has entered into a distribution agreement, dated November 11, 2020 (the “Distribution Agreement”), with ALPS Distributors, Inc. (the “Distributor”) relating to t |
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| November 20, 2020 |
As filed with the Securities and Exchange Commission on November 20, 2020 Securities Act File No. |
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| November 20, 2020 |
Consent of Independent Registered Public Accounting Firm.** RiverNorth Opportunities Fund Inc. POS 8C Exhibit 99.(n) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated September 24, 2020, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc., for the year ended July 31, 2020, and to the refe |
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| November 20, 2020 |
EX-99.(K)(7) 3 ex99-k7.htm DISTRIBUTION AGREEMENT RiverNorth Opportunities Fund Inc. POS 8C Exhibit 99.(k)(7) DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this "Agreement") made as of November 11, 2020 by and between RiverNorth Opportunities Fund, Inc., a Maryland corporation (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation (the "Distributor"). WITNESSETH: WHEREAS, the Fund |
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| November 20, 2020 |
Consent of McDermott Will & Emery LLP** RiverNorth Opportunities Fund Inc. POS 8C Exhibit 99.(l)(3) mwe.com Tracy Bacigalupo Attorney at Law [email protected] +1 212 547 5656 November 20, 2020 RiverNorth Opportunities Fund, Inc. 1290 Broadway, Suite 1100 Denver, Colorado 80203 Re: Registration Statement on Form N-2A: 1933 Act File No.: 333-225152 1940 Act File No.: 811-22472 Ladies and Gentlemen: We have served as Maryland counsel to |
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| November 20, 2020 |
RiverNorth Opportunities Fund Inc. POS 8C Exhibit 99.(k)(8) CREDIT AGREEMENT FOR MARGIN FINANCING CREDIT AGREEMENT FOR MARGIN FINANCING (this “Agreement”), dated as of November , 2020, by and between RIVERNORTH OPPORTUNITIES FUND INC., a Maryland corporation that is registered under the Investment Company Act of 1940, as amended (the “Client”), and PERSHING LLC (“Pershing”). WHEREAS, Pershing is a |
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| November 20, 2020 |
EX-99.(L)(2) 5 ex99-l2.htm CONSENT OF DECHERT LLP RiverNorth Opportunities Fund Inc. POS 8C Exhibit 99.(l)(2) CONSENT OF DECHERT LLP We hereby consent to the references to our firm under the caption “Legal Matters” in the Prospectus and under the caption “Legal Counsel” in the Statement of Additional Information comprising a part of Post-Effective Amendment No. 10 to the Form N-2 Registration Stat |
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| October 20, 2020 |
riv-424b2102020 Prospectus Supplement dated October 20, 2020 (to Prospectus dated November 27, 2019, as Supplemented on September 29, 2020) RiverNorth Opportunities Fund, Inc. |
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| September 29, 2020 |
Form of Information Agent Agreement, filed herewith. EX-99.(K)(6) 5 ex99-k6.htm FORM OF INFORMATION AGENT AGREEMENT RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.(k)(6) Georgeson LLC 1290 Avenue of the Americas, 9th Floor New York, NY 10104 www.georgeson.com September 22, 2020 RiverNorth Opportunities Fund, Inc. 325 North LaSalle Street, Suite 645 Chicago, IL 60654 Re: Information Agent This Letter of Agreement, including the Appendix attach |
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| September 29, 2020 |
riv-424b2092920 Prospectus Supplement (to Prospectus dated November 27, 2019) RiverNorth Opportunities Fund, Inc. |
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| September 29, 2020 |
Form of Subscription Agent Agreement EX-99.(K)(5) 4 ex99-k5.htm FORM OF SUBSCRIPTION AGENT AGREEMENT RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.(k)(5) Subscription Agent Agreement Between RiverNorth Opportunities Fund, Inc. And Computershare Trust Company, N.A. And Computershare Inc. RiverNorth Subscription Agent Agreement Page 1 This SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 29th day of Sep |
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| September 29, 2020 |
RiverNorth Opportunities Fund, Inc. POS EX As filed with the Securities and Exchange Commission on September 29, 2020 Securities Act File No. |
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| September 29, 2020 |
Form of Notice of Guaranteed Delivery for Rights Offering RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.(d)(2) NOTICE OF GUARANTEED DELIVERY For Shares of Common Stock RiverNorth Opportunities Fund, Inc. Subscribed for under the Primary Subscription and Over-Subscription Privilege As set forth in the Prospectus Supplement dated September 29, 2020, and the base prospectus, dated November 27, 2019 (collectively, the “Prospectus”), this form or one |
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| September 29, 2020 |
Form of Rights Subscription Certificate for Rights Offering RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.(d)(1) . NNNNNNNNNNNN+ NNNNNNNNN RiverNorth Opportunities Fund, Inc. MR.A SAMPLE DESIGNATION.(IF.ANY) ADD.1 ADD 2 ADD 3 ADD 4 ADD 5 ADD 6 Subscription Agent: Computershare Trust Company, N.A. Information Agent: Georgeson LLC Banks, brokers and shareholders call toll-free: (888) 219-8320NNNNNN C1234567890 JNTNNNNNN Subscription 12345678901234 Ri |
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| September 29, 2020 |
Consent of Independent Registered Public Accounting Firm, filed herewith. EX-99.O 6 ex99-o.htm AUDITOR'S CONSENT RiverNorth Opportunities Fund, Inc. POS EX Exhibit 99.(o) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the inclusion in this Registration Statement on Form N-2 of our report dated September 24, 2020, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc., for the year ended July 31 |
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| September 23, 2020 |
RiverNorth Opportunities Fund, Inc. POS 8C As filed with the Securities and Exchange Commission on September 23, 2020 Securities Act File No. |
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| September 23, 2020 |
EX-99.(S) 3 ex99-s.htm POWERS OF ATTORNEY RiverNorth Opportunities Fund, Inc. POS 8C Exhibit 99.(s) RIVERNORTH OPPORTUNITIES FUND, INC. POWER OF ATTORNEY The undersigned Directors of the RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”), hereby appoints Sareena Khwaja-Dixon and Allison Fumai, as attorneys-in-fact, with full power of substitution, and full power to sign for h |
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| September 23, 2020 |
RiverNorth Opportunities Fund, Inc. POS 8C Exhibit 99.(l)(2) CONSENT OF DECHERT LLP We hereby consent to the references to our firm under the caption “Legal Matters” in the Prospectus and under the caption “Legal Counsel” in the Statement of Additional Information comprising a part of Post-Effective Amendment No. 9 to the Form N-2 Registration Statement of RiverNorth Opportunities Fund, Inc., File |
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| August 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| June 26, 2020 |
RiverNorth Opportunities Fund, Inc. RiverNorth Opportunities Fund, Inc. Statement of Investments April 30, 2020 (Unaudited) Description Shares Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (71.27%) Aberdeen Emerging Markets Equity Income Fund, Inc. 310,305 $ 1,737,708 Aberdeen Total Dynamic Dividend Fund 463,322 3,340,552 AllianzGI Artificial Intelligence & Technology Opportunities Fund 36,740 655,442 AllianzGI NFJ Dividend Intere |
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| December 23, 2019 |
RiverNorth Opportunities Fund, Inc. Statement of Investments October 31, 2019 (Unaudited) Description Shares Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (65.67%) Aberdeen Emerging Markets Equity Income Fund, Inc. 174,576 $ 1,232,507 Aberdeen Total Dynamic Dividend Fund 449,956 3,797,629 AllianzGI Convertible & Income 2024 Target Term Fund 4,538 43,202 AllianzGI NFJ Dividend Interest & Premium |
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| November 27, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP - - CORRESP 1 filename1.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com Allison M. Fumai [email protected] +1 212 698 3526 Direct +1 212 698 3599 Fax November 27, 2019 Securities and Exchange Commission Washington, D.C. 20549 Attention: Lauren Hamilton, Division of Investment Management Re: RiverNorth Opportunities Fund, Inc. (th |
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| November 26, 2019 |
EX-99.25.L.2 2 fp0047987ex9925l2.htm CONSENT OF DECHERT LLP We hereby consent to the references to our firm under the caption “Legal Matters” in the Prospectus and under the caption “Legal Counsel” in the Statement of Additional Information comprising a part of Post-Effective Amendment No. 8 to the Form N-2 Registration Statement of RiverNorth Opportunities Fund, Inc., File No. 333-225152. We do n |
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| November 26, 2019 |
As filed with the Securities and Exchange Commission on November 25, 2019 POS 8C 1 fp0047987pos8c.htm As filed with the Securities and Exchange Commission on November 25, 2019 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 [X] Pre-Effective Amendment No. [ ] Post-Effective |
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| November 26, 2019 |
EX-99.25.L.3 3 fp0047987ex9925l3.htm 250 West 55th Street New York, NY 10019-9601 Telephone: 212.468.8000 Facsimile: 212.468.7900 www.mofo.com morrison & foerster llp beijing, berlin, brussels, denver, hong kong, london, los angeles, new york, northern virginia, palo alto, san diego, san francisco, shanghai, singapore, tokyo, washington, d.c. November 25, 2019 RiverNorth Opportunities Fund, Inc. 1 |
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| November 26, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated September 25, 2019, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc. |
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| November 26, 2019 |
1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| November 25, 2019 |
Consent of Morrison & Foerster LLP. (10) CORRESP 1 filename1.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com Allison M. Fumai [email protected] +1 212 698 3526 Direct +1 212 698 3599 Fax November 25, 2019 Securities and Exchange Commission Washington, D.C. 20549 Attention: Ryan Sutcliffe, Division of Investment Management Re: RiverNorth Opportunities Fund, Inc. (the |
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| October 17, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. 144 - - 144 1 fp0046955144.htm UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D.C. 20549 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this f |
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| October 1, 2019 |
1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
|
| October 1, 2019 |
As filed with the Securities and Exchange Commission on October 1, 2019 As filed with the Securities and Exchange Commission on October 1, 2019 Securities Act File No. |
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| October 1, 2019 |
EX-99.25.L.2 2 fp0046186ex9925l2.htm CONSENT OF DECHERT LLP We hereby consent to the references to our firm under the caption “Legal Matters” in the Prospectus and under the caption “Legal Counsel” in the Statement of Additional Information comprising a part of Post-Effective Amendment No. 7 to the Form N-2 Registration Statement of RiverNorth Opportunities Fund, Inc., File No. 333-225152. We do n |
|
| September 27, 2019 |
Form of Subscription Agent Agreement. (10) Subscription Agent Agreement Between RiverNorth Opportunities Fund, Inc. And Computershare Trust Company, N.A. And Computershare Inc. k.5 RIV - Computershare 2019 RO Agreement conformed.docx Page 1 This SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 27th day of September 2019 (the “Effective Date”) by and among RiverNorth Opportunities Fund, Inc., a company organized and |
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| September 27, 2019 |
Form of Subscription Certificate for Rights Offering. + EX-99.25.D.1 2 fp0046118ex9925d1.htm |
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| September 27, 2019 |
Form of Information Agent Agreement. (10) Georgeson LLC 1290 Avenue of the Americas, 9th Floor New York, NY 10104 www.georgeson.com September 9, 2019 RiverNorth Opportunities Fund, Inc. c/o Alps Fund Services, Inc. 1290 Broadway, Suite 1100 Denver, CO 80203 Re: Information Agent This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of George |
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| September 27, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. POS EX - - As filed with the Securities and Exchange Commission on September 27, 2019 Securities Act File No. |
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| September 27, 2019 |
Form of Notice of Guaranteed Delivery for Rights Offering. + NOTICE OF GUARANTEED DELIVERY For Shares of Common Stock RiverNorth Opportunities Fund, Inc. |
|
| August 1, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. DEF 14A - - DEF 14A 1 fp0044645def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commissi |
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| July 17, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. 144 - - 144 1 fp0044403144.htm UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D.C. 20549 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this f |
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| June 27, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. NPORT-EX - - NPORT-EX 1 fp0043467nportex.htm RiverNorth Opportunities Fund, Inc. Statement of Investments April 30, 2019 (Unaudited) Description Shares Value (Note 2) CLOSED-END FUNDS - COMMON SHARES (76.55%) Aberdeen Emerging Markets Equity Income Fund, Inc. 215,223 $ 1,607,694 Aberdeen Total Dynamic Dividend Fund 454,836 3,875,203 Advent Claymore Convertible Securities and Income Fund 42,373 635,171 Alliance |
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| June 26, 2019 |
EX-99.25.L.2 2 fp0043557ex9925l2.htm CONSENT OF DECHERT LLP We hereby consent to the references to our firm under the caption “Legal Matters” in the Prospectus and under the caption “Legal Counsel” in the Statement of Additional Information comprising a part of Post-Effective Amendment No. 5 to the Form N-2 Registration Statement of RiverNorth Opportunities Fund, Inc., File No. 333-225152. We do n |
|
| June 26, 2019 |
250 WEST 55TH STREET NEW YORK, NY 10019-9601 TELEPHONE: 212.468.8000 FACSIMILE: 212.468.7900 WWW.MOFO.COM morrison & foerster llp beijing, berlin, brussels, denver, hong kong, london, los angeles, new york, northern virginia, paloalto, san diego, san francisco, shanghai, singapore, tokyo, washington, d.c. June 26, 2019 RIVERNORTH OPPORTUNITIES FUND, INC. 1290 Broadway, Suite 1100 Denver, Colorado |
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| June 26, 2019 |
RIVERNORTH OPPORTUNITIES FUND, INC. POWER OF ATTORNEY EX-99.25.S 5 fp0043557ex9925s.htm RIVERNORTH OPPORTUNITIES FUND, INC. POWER OF ATTORNEY The undersigned Directors of the RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”), hereby appoints Christopher Moore and Allison Fumai, as attorneys-in-fact, with full power of substitution, and full power to sign for him and in his name in the appropriate capacities, the registration st |
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| June 26, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.25.N 4 fp0043557ex9925n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated September 27, 2018, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc., for the period ended July 31, 2018, and to the references to our firm un |
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| June 26, 2019 |
Sub-Placement Agent Agreement.(13) POS 8C 1 fp0043557pos8c.htm As filed with the Securities and Exchange Commission on June 26, 2019 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 [X] Pre-Effective Amendment No. [ ] Post-Effective Amen |
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| June 26, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP - - 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| April 18, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| April 18, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.25.N 4 fp0041368ex9925n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated September 27, 2018, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc., for the period ended July 31, 2018, and to the references to our firm un |
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| April 18, 2019 |
1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
|
| April 18, 2019 |
CONSENT OF DECHERT LLP We hereby consent to the references to our firm under the caption “Legal Matters” in the Prospectus and under the caption “Legal Counsel” in the Statement of Additional Information comprising a part of Post-Effective Amendment No. |
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| April 18, 2019 |
250 West 55th Street New York, NY 10019-9601 Telephone: 212.468.8000 Facsimile: 212.468.7900 www.mofo.com morrison foerster llp beijing, berlin, brussels, denver, hong kong, london, los angeles, new york, northern virginia, palo alto, san diego, san francisco, shanghai, singapore, tokyo, washington, d.c. April 18, 2019 RiverNorth Opportunities Fund, Inc. 1290 Broadway, Suite 1100 Denver, Colorado |
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| April 18, 2019 |
As filed with the Securities and Exchange Commission on April 18, 2019 POS 8C 1 fp0041368pos8c.htm As filed with the Securities and Exchange Commission on April 18, 2019 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 [X] Pre-Effective Amendment No. [ ] Post-Effective Ame |
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| March 12, 2019 |
RIV / RiverNorth Opportunities Fund, Inc. As filed with the Securities and Exchange Commission on March 12, 2019 Securities Act File No. |
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| March 12, 2019 |
EX-99.25.R.3 6 fp0040330ex9925r3.htm Section 6 - Code of Ethics This Code of Ethics (the “Code”) is a joint Code for RiverNorth Capital Management, LLC (the “Adviser”), RiverNorth Funds (the “RiverNorth Funds”) and any subsequent funds advised by the Adviser. It reflects the requirements of Section 204A of the Investment Advisers Act of 1940, Rule 204A-1 under that Act, and Rule 17j-1 under the In |
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| March 12, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.25.N 3 fp0040330ex9925n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation in this Registration Statement on Form N-2 of our report dated September 27, 2018, relating to the financial statements of RiverNorth Opportunities Fund, Inc., for the period ended July 31, 2018, and to the references to our firm under the headings “Independent Register |
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| March 12, 2019 |
RiverNorth Opportunities Fund, Inc. (the “Fund”) 17j-1 CODE OF ETHICS Code of Ethics RiverNorth Opportunities Fund, Inc. (the “Fund”) 17j-1 CODE OF ETHICS I. Purpose of the Code of Ethics This code is based on the principle that, you as an Access Person of the Fund, will conduct your personal investment activities in accordance with: • the duty at all times to place the interests of the Fund’s shareholders first; • the requirement that all personal securities transa |
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| March 12, 2019 |
ALPS Code of Ethics Amended as of: December 1, 2018 Table of Contents EX-99.25.R.2 5 fp0040330ex9925r2.htm ALPS Code of Ethics Amended as of: December 1, 2018 Table of Contents I. Introduction 3 A. Applicability 4 II. General Standards of Business Conduct 5 A. Conflicts of Interest 5 B. Protecting Confidential Information 5 C. Insider Trading 5 D. Excess Trading 6 E. Limitation on Trading SS&C Stock 6 III. Gifts and Entertainment 8 IV. Other Activities 10 A. Imprope |
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| March 12, 2019 |
Amendment No. 2 to Credit Agreement. (8) AMENDMENT NO. 2 TO CREDIT AGREEMENT AMENDMENT NO. 2 (this “Amendment No. 2”), dated as of November 28, 2018, to the Credit Agreement, dated as of November 30, 2016, by and among RiverNorth Opportunities Fund, Inc. (the “Borrower”), the Banks party thereto, and State Street Bank and Trust Company, as agent for the Banks (in such capacity, the “Agent”), as amended, supplemented or otherwise modified |
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| December 27, 2018 |
EX-99.CERT 2 fp0038011ex99cert.htm EX99.CERT CERTIFICATION I, Jeremy O. May, President and Principal Executive Officer, certify that: 1. I have reviewed this report on Form N-Q of RiverNorth Opportunities Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements mad |
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| December 27, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 fp0038011nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-22472 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executi |
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| December 6, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| October 5, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. POS EX As filed with the Securities and Exchange Commission on October 5, 2018 Securities Act File No. |
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| October 5, 2018 | ||
| October 5, 2018 |
NOTICE OF GUARANTEED DELIVERY For Shares of Common Stock RiverNorth Opportunities Fund, Inc. |
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| October 5, 2018 |
EX-99.25.K.6 5 fp0036272ex9925k6.htm Georgeson LLC 1290 Avenue of the Americas, 9th Floor New York, NY 10104 www.georgeson.com October 1, 2018 RiverNorth Opportunities Fund, Inc. c/o Alps Fund Services, Inc. 1290 Broadway, Suite 1100 Denver, CO 80203 Re: Information Agent This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and con |
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| October 5, 2018 |
EX-99.25.K.5 4 fp0036272ex9925k5.htm Subscription Agent Agreement Between RiverNorth Opportunities Fund, Inc. And Computershare Trust Company, N.A. And Computershare Inc. Subscription Agent Agreement 2018 Page 1 This SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 1st day of October 2018 (the “Effective Date”) by and among RiverNorth Opportunities Fund, Inc., a company or |
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| August 31, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. POS EX As filed with the Securities and Exchange Commission on August 31, 2018 Securities Act File No. |
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| August 31, 2018 |
Exhibit h.1 RIVERNORTH OPPORTUNITIES FUND, INC. UP TO 3,300,000 SHARES OF COMMON STOCK Capital On Demand™ SALES AGREEMENT August 31, 2018 JONESTRADING INSTITUTIONAL SERVICES LLC 757 Third Avenue, 23rd Floor New York, NY 10017 Ladies and Gentlemen: RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”), ALPS Advisors Inc., a Colorado corporation (the “Adviser”), and RiverNorth Cap |
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| August 31, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.25.N 3 fp0035688ex9925n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated December 28, 2017, relating to the financial statements and financial highlights of RiverNorth Opportunities Fund, Inc., for the year ended October 31, 2017, and to the references to our firm un |
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| August 29, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| August 13, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| July 30, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| July 25, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| July 24, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP CORRESP 1 filename1.htm RiverNorth Opportunities Fund, Inc. 1290 Broadway, Suite 1100 Denver, Colorado 80203 July 24, 2018 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn.: Mr. Dominic Minore Division of Investment Management Re: RiverNorth Opportunities Fund, Inc. Registration Statement on Form N-2 (File Nos. 333-225152 and 811-22472) Dear Mr. Minore: R |
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| July 24, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| June 1, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. DEFA14A DEFA14A 1 fp0033805defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Prox |
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| May 24, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. 144 144 1 fp0033665144.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrentl |
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| May 23, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, f |
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| May 7, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. DEFA14A DEFA14A 1 fp0033271defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Prox |
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| April 10, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. DEF 14A fp0032491 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 4, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP Skadden, Arps, Slate, Meagher & Flom llp 155 North Wacker Drive Chicago, Illinois 60606-1720 TEL: (312) 407-0700 FAX: (312) 407-0411 www. |
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| March 29, 2018 |
EX99.CERT CERTIFICATION I, Jeremy O. May, President and Principal Executive Officer, certify that: 1. I have reviewed this report on Form N-Q of RiverNorth Opportunities Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances un |
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| March 29, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-22472 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) |
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| March 23, 2018 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 23, 2018 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: RiverNorth Opportunities Fund, Inc. |
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| March 23, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 20, 2018 |
RIV / RiverNorth Opportunities Fund, Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, f |
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| December 29, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM internalcontrol-rivernorth12.htm - Generated by SEC Publisher for SEC Filing REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Directors of RiverNorth Opportunities Fund, Inc. In planning and performing our audit of the financial statements of RiverNorth Opportunities Fund, Inc. (the ?Fund?) as of and for the year ended October 31, 2017, in accordance with th |
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| December 1, 2017 |
RIV / RiverNorth Opportunities Fund, Inc. Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either |
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| October 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing a |
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| October 5, 2017 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP CORRESP 1 filename1.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com ALLISON M. FUMAI [email protected] +1 212 698 3526 Direct +1 212 698 3599 Fax October 5, 2017 Mr. Dominic Minore Division of Investment Management Securities and Exchange Commission Washington, D.C. 20549 Re: RiverNorth Opportunities Fund, Inc. File Nos. 333- |
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| October 3, 2017 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP RiverNorth Opportunities Fund, Inc. 1290 Broadway, Suite 1100 Denver, Colorado 80203 October 3, 2017 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn.: Mr. Dominic Minore Division of Investment Management Re: RiverNorth Opportunities Fund, Inc. Registration Statement on Form N-2 (File Nos. 333-220156 and 811-22472) Dear Mr. Minore: RiverNorth Opportunitie |
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| October 2, 2017 |
RIV / RiverNorth Opportunities Fund, Inc. CORRESP CORRESP 1 filename1.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com ALLISON M. FUMAI [email protected] +1 212 698 3526 Direct +1 212 698 3599 Fax October 2, 2017 Mr. Dominic Minore Division of Investment Management Securities and Exchange Commission Washington, D.C. 20549 Re: RiverNorth Opportunities Fund, Inc. File Nos. 333- |
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| September 27, 2017 |
Rivernorth Opportunities Fund, Inc. - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-22472 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) |
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| September 27, 2017 |
EX99.CERT CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer, certify that: 1. I have reviewed this report on Form N-Q of RiverNorth Opportunities Fund, Inc. (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| August 31, 2017 |
Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either |
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| August 10, 2017 |
SC 13D 1 sc13d081017.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* RiverNorth Opportunities Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 76881Y 109 (CUSIP Number(s)) Marc Collins RiverNorth Capital Management, LLC 325 N. LaSalle St., Suite 645 Chicago, Illi |
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| August 1, 2017 |
RiverNorth Opportunities Fund 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 5, 2017 |
RiverNorth Opportunities Fund FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| March 29, 2017 |
EX99.CERT CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer, certify that: 1. I have reviewed this report on Form N-Q of RiverNorth Opportunities Fund, Inc. (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| March 29, 2017 |
Rivernorth Opportunities Fund, Inc. - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-22472 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) |
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| February 14, 2017 |
RiverNorth Opportunities Fund FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| December 28, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 2 rivnsarletter77b.htm REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Directors of RiverNorth Opportunities Fund, Inc. In planning and performing our audit of the financial statements of RiverNorth Opportunities Fund, Inc. (the “Fund”), as of October 31, 2016, and for the period December 24, 2015 (commencement of operations) through Oct |
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| December 28, 2016 |
RiverNorth Opportunities Fund, Inc. Converted by EDGARwiz Exhibit 77Q.2 ? RiverNorth Opportunities Fund, Inc. Section 16(a) Beneficial Ownership Reporting Compliance Section 16(a) of the 1934 Act and Section 30(h) of the 1940 Act, and the rules thereunder, require the RiverNorth Opportunities Fund, Inc.?s (the ?Fund?) officers and Directors, officers and directors of the investment adviser, affiliated persons of the investment advis |
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| September 28, 2016 |
RiverNorth Opportunities Fund (Quarterly Schedule of Portfolio Holdings) N-Q 1 fp0021631nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-22472 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executi |
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| September 28, 2016 |
EX-99.CERT 2 fp0021631ex99cert.htm EX99.CERT CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer, certify that: 1. I have reviewed this report on Form N-Q of RiverNorth Opportunities Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements |
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| June 27, 2016 |
Converted by EDGARwiz Sub-Item 77Q1(d): RiverNorth Opportunities Fund, Inc. (the ?Fund?) offers one class of common shares of the Fund (the ?Shares?). Pre-Effective Amendment No. 7 to the Fund Registration Statement on Form N-2A filed on December 23, 2015 (SEC Accession No. 0001398344-15-008387) includes the terms of the Shares, and is hereby incorporated by reference as part of the response to Su |
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| June 27, 2016 |
EX-99.77Q1 OTHR EXHB 3 riv2016nsaraexhibits77q1a.htm Sub-Item 77Q1(a): The Articles of Amendment and Restatement of RiverNorth Opportunities Fund, Inc. (the “Fund”) are hereby incorporated by reference to Exhibit 99.2.A to Pre-Effective Amendment No. 5 to the Fund’s Registration Statement on Form N-2A filed on November 25, 2015 (SEC Accession No. 0001398344-15-007861). |
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| June 27, 2016 |
Converted by EDGARwiz Sub-Item 77I: RiverNorth Opportunities Fund, Inc. (the ?Fund?) offers one class of common shares of the Fund (the ?Shares?). Pre-Effective Amendment No. 7 to the Fund Registration Statement on Form N-2A filed on December 23, 2015 (SEC Accession No. 0001398344-15-008387) includes the terms of the Shares, and is hereby incorporated by reference as part of the response to Sub-It |
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| June 27, 2016 |
Converted by EDGARwiz Sub-Item 77Q1(e): Form of Investment Advisory Agreement between RiverNorth Opportunities Fund, Inc. |
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| March 31, 2016 |
EX-99.CERT 2 fp0018741ex99cert.htm EX99.CERT CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer, certify that: 1. I have reviewed this report on Form N-Q of RiverNorth Opportunities Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements |
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| March 31, 2016 |
RiverNorth Opportunities Fund (Quarterly Schedule of Portfolio Holdings) N-Q 1 fp0018741nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-22472 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executi |
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| December 21, 2015 |
RiverNorth Opportunities Fund ESP December 22, 2015 RiverNorth Opportunities Fund, Inc. 351 West Camden Street Baltimore, Maryland 21201 Re: Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as Maryland counsel to RiverNorth Opportunities Fund, Inc., a Maryland corporation (the ? Company?), in connection with the registration under the Securities Act of 1933, as amended (the ? Securities Act?), pursuant to a R |
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| December 21, 2015 |
RiverNorth Opportunities Fund ESP CORRESP 1 filename1.htm RIVERNORTH OPPORTUNITIES FUND, INC. 1290 Broadway, Suite 1100 Denver, Colorado 80203 VIA EDGAR December 21, 2015 Dominic Minore Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-0504 Re: RiverNorth Opportunities Fund, Inc. Registration Statement on Form N-2 File Nos. 333-169317; 811-22472 Dear Mr. M |
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| December 18, 2015 |
RiverNorth Opportunities Fund ESP 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| December 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(B) OR (G) OF THE SECURITIES EXCHANGE ACT OF 1934 RIVERNORTH OPPORTUNITIES FUND, INC. (Exact name of Registrant as specified in Charter) Maryland 46-4084978 (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, |
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| November 20, 2015 |
RiverNorth Opportunities Fund ESP 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| November 18, 2015 |
RiverNorth Opportunities Fund ESP 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| November 17, 2015 |
RiverNorth Opportunities Fund ESP 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 2 12 698 3599 Fax www. |
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| November 12, 2015 |
RiverNorth Opportunities Fund ESP SUMMARY OF FUND EXPENSES The following table shows estimated Fund expenses as a percentage of net assets attributable to Common Shares. |
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| November 4, 2015 |
RiverNorth Opportunities Fund R COVER 4 filename4.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com STUART STRAUSS [email protected] +1 212 698 3529 Direct +1 212 698 0452 Fax November 4, 2015 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-4720 Re: RiverNorth Opportunities Fund, Inc. (File Nos. 811- 22472 and 333- 1 |
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| November 27, 2013 |
CORRESP 1 filename1.htm Mayer Brown LLP 1999 K Street, N.W. Washington, D.C. 20006-1101 Main Tel +1 202 263 3000 Main Fax +1 202 263 3300 November 27, 2013 www.mayerbrown.com VIA EDGAR Amy W. Pershkow Direct Tel +1 202 263 3336 Mr. Larry L. Greene Direct Fax +1 202 263 5336 Senior Counsel [email protected] Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: RiverNo |
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| October 10, 2013 |
Mayer Brown LLP 1999 K Street, N.W. Washington, D.C. 20006-1101 Main Tel +1 202 263 3000 Main Fax +1 202 263 3300 October 10, 2013 www.mayerbrown.com VIA EDGAR Amy W. Pershkow Direct Tel +1 202 263 3336 Mr. Larry L. Greene Direct Fax +1 202 263 5336 Senior Counsel [email protected] Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: RiverNorth Tactical Opportunitie |
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| September 10, 2010 |
N-8A 1 n8a091010.htm FORM N-8A File No. 811- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Ac |
