Welcome to our dedicated page for Rivernorth Opportunities Fund SEC filings (Ticker: RIV), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page aggregates U.S. regulatory filings and related information for RiverNorth Opportunities Fund, Inc. (NYSE: RIV), a diversified, closed-end management investment company whose stated objective is total return consisting of capital appreciation and current income. While specific SEC forms are not listed in the provided data, the Fund’s press releases reference an effective shelf registration statement and prospectus supplements filed with the Securities and Exchange Commission in connection with its transferable rights offerings.
For RiverNorth Opportunities Fund, Inc., key SEC documents typically include registration statements and prospectuses that describe the Fund’s investment objective, risks, fees and expenses, as well as the detailed terms of offerings of common and preferred shares. In its public communications, the Fund directs investors to these filings, along with its annual and semi-annual reports, for comprehensive information about its operations, capital structure and risk factors.
On Stock Titan, this filings page is designed to surface RIV’s regulatory disclosures as they become available from EDGAR. AI-powered summaries help explain the structure and implications of complex documents, such as registration statements and prospectus supplements for rights offerings or preferred stock. Instead of reading full-length filings line by line, users can review concise explanations that highlight the Fund’s stated objectives, distribution policies, leverage considerations and other disclosed risks.
Investors interested in topics such as the Fund’s rights offerings, preferred share terms or advisory arrangements can use this page to locate the underlying filings that support the information described in RIV’s press releases. Real-time updates from EDGAR, combined with AI-generated overviews, aim to make RiverNorth Opportunities Fund, Inc.’s regulatory history more accessible and easier to interpret for both individual and professional users.
RiverNorth Opportunities Fund, Inc. is registering up to
As of
Sit Investment Associates, Inc. and Sit Fixed Income Advisors II, LLC filed a Schedule 13G reporting beneficial ownership in RiverNorth Opportunities Fund, Inc. (RIV).
They report beneficial ownership of 2,881,742 shares, representing 10.5% of the common stock. The firms have shared voting power over 2,881,742 shares and shared dispositive power over 2,881,742 shares, with no sole voting or dispositive power. The percentage is based on 27,371,263 shares outstanding as of June 30, 2025, adjusted for the rights offering dated October 6, 2025.
The shares are owned by client accounts advised by the firms, which certify they were acquired and are held in the ordinary course and not to change or influence control. The filers disclaim beneficial ownership under Rule 13d-4. The date of event is October 31, 2025.
RiverNorth Opportunities Fund, Inc. (RIV) reported an insider transaction on a Form 4. Portfolio Manager Stephen A. O’Neill acquired 15,000 common shares at $11.95 on 10/10/2025, noted with transaction code J(1).
The filing states the shares were acquired from a rights offering. Following the transaction, O’Neill beneficially owned 94,767.83 shares, held directly.
RiverNorth Opportunities Fund (RIV) director reported acquiring 3,834 common shares on 10/10/2025 at $11.95 per share. The filing lists transaction code J, with the note that the shares were acquired from a rights offering.
Following this transaction, the director’s beneficial ownership stands at 8,412.4 shares, held directly.
RiverNorth Opportunities Fund (RIV) disclosed a Form 4 reporting that a reporting person acquired 25,599 shares of common stock on 10/10/2025 at $11.95 per share. The filing lists transaction code J and states the shares were acquired from a rights offering.
Following the transaction, the reporting person’s direct beneficial ownership stands at 102,395 shares. This filing records a shareholder’s activity and does not reflect an operational change at the fund.
RiverNorth Opportunities Fund, Inc. (RIV) insider Patrick W. Galley, a director and President, reported acquiring common shares on 10/10/2025. He acquired 112,213 shares at a $11.95 price per share under transaction code J, which the filing explains were acquired from a rights offering.
Following the transaction, the filing lists 330,695.36 shares beneficially owned in total, held directly.
RiverNorth Financial Holdings, LLC filed an initial Form 3 for RiverNorth Opportunities Fund, Inc. (Ticker: RIV) dated 09/18/2025. The filing identifies the reporting person as an Officer and an affiliate of the adviser. Table I of the form lists 0 common shares of beneficial interest owned, indicating no direct ownership reported on this initial statement. The submission is signed by Marc Collins. No derivative securities, amendments, or additional ownership lines are reported in the document.
RiverNorth Opportunities Fund, Inc., a registered closed-end fund, filed Post-Effective Amendment No. 2 to its Form N-2 registration statement under the Securities Act and Amendment No. 39 under the Investment Company Act. The filing is made pursuant to Rule 462(d) and becomes effective upon filing.
The amendment is described as being filed solely to add specific exhibits to the existing registration statement, including a form of subscription certificate and a form of notice of guaranteed delivery for a rights offering, a subscription agent and information agent agreement, and a consent of counsel. No other changes were made to Parts A, B, or C of the registration statement other than updating the exhibit list.
RiverNorth Opportunities Fund, Inc. is launching a transferable rights offering for its common stockholders. Investors of record on September 11, 2025 will receive one subscription right for each share owned, and for every three rights they may buy one new share in the primary subscription.
The subscription price will be based on a formula using the higher of 92.5% of net asset value or 95% of market price on the October 6, 2025 expiration date. Rights are expected to trade on the NYSE under ticker RIV.RT, and stockholders who fully exercise their rights may subscribe for any shares not taken up by others. The Fund reported about $268.5 million of net assets and 21.5 million common shares outstanding as of July 31, 2025.