Virtus AIO manager sells 11.5K shares in amendment

Virtus Artificial Intelligence & Technology Opportunities Fund (AIO) reported that portfolio manager James C. K. Chen amended a prior insider report to reclassify transactions on August 10, 2026 as sales rather than dispositions to the issuer.

Rhea-AI Filing Summary

Virtus Artificial Intelligence & Technology Opportunities Fund (AIO) reported that portfolio manager James C. K. Chen amended a prior insider report to reclassify transactions on August 10, 2026 as sales rather than dispositions to the issuer. On that date, he directly sold a total of 11,485.2589 shares of the fund in three non-derivative transactions at prices between $26.1208 and $26.2050 per share. The filing does not state Chen’s share holdings after these transactions, and the Rule 10b5‑1 checkbox is not marked as being pursuant to a trading plan.

Insider Trade Summary

Net Seller: 11,485.2589 shares

Net Sell 3 txns

Insider Chen James C. K.

Role Insider

Sold 11,485.2589 shs ($300K)

Type	Security	Shares	Price	Value
Sale	Virtus Artificial Intelligence Opportunities Fund	3,853.2589	$26.1208	$101K
Sale	Virtus Artificial Intelligence Opportunities Fund	7,382	$26.1553	$193K
Sale	Virtus Artificial Intelligence Opportunities Fund	250	$26.205	$7K

Holdings After Transaction: Virtus Artificial Intelligence Opportunities Fund — 0 shares (Direct)

Key Figures

Shares sold (first transaction): 3,853.2589 shares Shares sold (second transaction): 7,382.0000 shares Shares sold (third transaction): 250.0000 shares +2 more

5 metrics

Shares sold (first transaction) 3,853.2589 shares Non-derivative sale on August 10, 2026 at $26.1208 per share

Shares sold (second transaction) 7,382.0000 shares Non-derivative sale on August 10, 2026 at $26.1553 per share

Shares sold (third transaction) 250.0000 shares Non-derivative sale on August 10, 2026 at $26.2050 per share

Total shares sold 11,485.2589 shares Aggregate of three non-derivative sales on August 10, 2026

Transaction count 3 sales Number of reported non-derivative sale transactions on August 10, 2026

Key Terms

non-derivative, open market or private transaction, direct or indirect ownership

3 terms

non-derivative financial

"transaction_type": "non-derivative" for each reported sale"

open market or private transaction financial

"transaction_code_description": "Sale in open market or private transaction""

direct or indirect ownership financial

"direct_or_indirect": "D" indicating direct or indirect ownership type"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did AIO disclose in this amended Form 4?

The fund disclosed that James C. K. Chen filed an amendment correcting prior coding and reporting that he sold 11,485.2589 shares of Virtus Artificial Intelligence & Technology Opportunities Fund on August 10, 2026 in three non-derivative transactions.

How many AIO shares did James C. K. Chen sell and at what prices?

James C. K. Chen sold 11,485.2589 shares of AIO on August 10, 2026 in three trades: 3,853.2589 shares at $26.1208, 7,382 shares at $26.1553, and 250 shares at $26.2050 per share.

What was corrected by this AIO Form 4/A amendment?

The amendment states it is “amending to correct transaction Code from D to S”, changing the coding of the reported transactions to show them as sales rather than dispositions to the issuer, without altering the reported share amounts or prices.

Were James C. K. Chen’s AIO sales under a Rule 10b5-1 trading plan?

The filing’s Rule 10b5‑1 checkbox is set to false, indicating the reported sales on August 10, 2026 were not affirmatively designated as being made pursuant to a Rule 10b5‑1 trading plan.

Does the Form 4/A state James C. K. Chen’s AIO holdings after these sales?

For each of the three reported sales, the field for total shares following the transaction is left blank, so the filing does not state James C. K. Chen’s remaining direct holdings after the August 10, 2026 transactions.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/26/2026 - 03:13 PM EDT Accepted by SEC EDGAR 08/26/2026 - 03:13 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Chen James C. K.

(Last) (First) (Middle)

2999 OAK ROAD

SUITE 1000

(Street)

WALNUT CREEK CALIFORNIA 94597

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Virtus Artificial Intelligence & Technology Opportunities Fund [ AIO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
			PM

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/10/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)
08/18/2026

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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
Virtus Artificial Intelligence Opportunities Fund	08/10/2026		S		3,853.2589	D	$26.1208	7,632	D
Virtus Artificial Intelligence Opportunities Fund	08/10/2026		S		7,382	D	$26.1553	250	D
Virtus Artificial Intelligence Opportunities Fund	08/10/2026		S		250	D	$26.205	0	D

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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (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: 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

Explanation of Responses:

Remarks:

Amending to correct transaction Code from D to S

	Brenda DeBlasio	08/26/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)