DLY Form 3: VP Carolyn Liu-Hartman Files Initial Statement Showing Zero Holdings

Rhea-AI Filing Summary

DoubleLine Yield Opportunities Fund (DLY) initial Form 3 reports that Carolyn Liu-Hartman, listed as a Vice President and officer of the issuer, holds no shares of the fund's common stock. The Form 3 documents the event date of 08/19/2025 and is signed on behalf of the reporting person by an attorney-in-fact, Jeremy Smith, with a signature date of 08/27/2025. This filing establishes the reporting person's official relationship to the issuer and discloses there are currently no direct or indirect non-derivative or derivative holdings reported on this statement.

Insights

Financial Analyst

TL;DR: Routine initial disclosure shows an officer with no reported equity stake; immaterial to valuation.

The Form 3 is an initial, routine Section 16 filing meeting disclosure requirements for insiders. It identifies the reporting person as an officer (Vice President) and records zero shares of common stock and no derivative positions. From a financial perspective, the filing contains no ownership that would affect share supply, dilution, or insider alignment with shareholders; therefore it is informational and not material to the fund's financial metrics.

Corporate Governance Expert

TL;DR: Initial officer filing is procedural; absence of holdings reduces potential conflict-of-interest signals.

As an initial beneficial ownership statement, the filing documents compliance with reporting rules and clarifies the reporting person's status. The lack of reported holdings simplifies governance oversight on insider transactions but provides no insight into future transactions or compensation arrangements. The attorney-in-fact signature is properly noted, indicating the filing was executed on the reporting person's behalf.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Liu-Hartman Carolyn

(Last) (First) (Middle)

C/O DOUBLELINE FUNDS

2002 N. TAMPA STREET, SUITE 200

(Street)

TAMPA FL 33602

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/19/2025

3. Issuer Name and Ticker or Trading Symbol
DoubleLine Yield Opportunities Fund [ DLY ]

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

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

5. If Amendment, Date of Original Filed (Month/Day/Year)

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

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

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	0	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	Jeremy Smith as Attorney-in-Fact for Carolyn Liu-Hartman	08/27/2025
	** 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 5 (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.

FAQ

What does the Form 3 for DoubleLine Yield Opportunities Fund (DLY) disclose about Carolyn Liu-Hartman's holdings?

The filing states Carolyn Liu-Hartman holds 0 shares of common stock and reports no derivative securities.

What is Carolyn Liu-Hartman's relationship to DLY according to the Form 3?

She is listed as a Vice President and an officer of DoubleLine Yield Opportunities Fund.

When was the event requiring this Form 3 recorded and when was it signed?

The event date is 08/19/2025 and the form was signed by attorney-in-fact Jeremy Smith on 08/27/2025.

Does the Form 3 report any indirect ownership or derivative positions for the reporting person?

No. The Form 3 shows no indirect beneficial ownership and no derivative securities disclosed.

Who signed the Form 3 on behalf of Carolyn Liu-Hartman?

The form is signed by Jeremy Smith as attorney-in-fact for Carolyn Liu-Hartman.