Ives Ultra AI Opportunities: Dan Ives holds 0 shares

The reporting person is identified as a member of the investment adviser’s board of managers, not as an issuer officer or director.

Rhea-AI Filing Summary

Ives Ultra AI Opportunities Inc. reports that Dan Ives, a member of the board of managers of its investment adviser, Ives Ultra Management LLC, held 0 shares of the Fund’s common stock directly as of September 29, 2026. Ives Ultra Management LLC serves as investment adviser to the Fund, and the common stock has a par value of $0.001 per share.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Ives Dan

Role Insider

Type	Security	Shares	Price	Value
holding	Common Stock, par value $0.001 F1	--	--	--

Holdings After Transaction: Common Stock, par value $0.001 — 0 shares (Direct)

Footnotes (1)

1. F1. Mr. Ives is a member of the board of managers of the Investment Adviser (defined below). This Form 3 is filed pursuant to Section 30(h) of the Investment Company Act of 1940, as amended (the "1940 Act"). Ives Ultra Management LLC (the "Investment Adviser") serves as the investment adviser to Ives Ultra AI Opportunities Inc. (the "Fund").

Key Figures

Direct common stock holdings: 0 shares Common stock par value: $0.001 per share

2 metrics

Direct common stock holdings 0 shares As of September 29, 2026

Common stock par value $0.001 per share Ives Ultra AI Opportunities Inc. common stock

Key Terms

Investment Adviser, Section 30(h), 1940 Act

3 terms

Investment Adviser financial

"serves as the investment adviser to Ives Ultra AI Opportunities Inc."

An investment adviser is a person or firm that professionally manages money and gives recommendations about buying, selling, or holding investments. Like a financial coach or guide, they have a legal duty to act in a client's best financial interest, so their advice, fees and potential conflicts can directly affect returns and risk — making their role important for investors who want informed, accountable help with portfolios.

Section 30(h) regulatory

"filed pursuant to Section 30(h) of the Investment Company Act"

1940 Act regulatory

"Investment Company Act of 1940, as amended (the "1940 Act")"

A U.S. federal law that serves as the rulebook for investment funds, setting standards for how pooled money must be organized, managed and reported. It requires funds to register, provide clear disclosures about fees and holdings, keep independent oversight, and limit risky practices so investors can understand what they own and how their money is handled. For investors, it reduces the chance of fraud or hidden risks—think of it as basic consumer protection and transparency rules for mutual funds and similar vehicles.

FAQ

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

How many IVAI common shares did Dan Ives report holding directly?

Dan Ives is reported with 0 directly held shares of Ives Ultra AI Opportunities Inc. common stock as of September 29, 2026. He is identified as a member of the board of managers of Ives Ultra Management LLC, the Fund’s investment adviser.

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

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Available on EDGAR 10/09/2026 - 09:39 AM EDT Accepted by SEC EDGAR 10/09/2026 - 09:39 AM EDT Learn about SEC filing dates

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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Ives Dan

(Last) (First) (Middle)

1012 SPRINGFIELD AVENUE

(Street)

MOUNTAINSIDE NEW JERSEY 07092

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
09/29/2026

3. Issuer Name and Ticker or Trading Symbol
Ives Ultra AI Opportunities Inc. [ IVAI ]

3a. Foreign Trading Symbol

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

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

	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
			See Footnote #1

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, par value $0.001	0	D(1)

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:

1. Mr. Ives is a member of the board of managers of the Investment Adviser (defined below). This Form 3 is filed pursuant to Section 30(h) of the Investment Company Act of 1940, as amended (the "1940 Act"). Ives Ultra Management LLC (the "Investment Adviser") serves as the investment adviser to Ives Ultra AI Opportunities Inc. (the "Fund").

	/s/Dan Ives	10/09/2026
	** 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 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.
* Form 3: SEC 1473 (03-26)