RIV Form 4: Portfolio Manager acquired 15,000 shares at $11.95

RiverNorth Opportunities Fund, Inc. (RIV) reported an insider transaction on a Form 4.

Accepted by SEC EDGAR 10/14/2025 - 04:42 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

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.

Insider Trade Summary

Other: 15,000 shares

Other 1 txn

Insider O'Neill Stephen Andrew

Role Insider

Type	Security	Shares	Price	Value
Other	Common Shares of Beneficial Interest	15,000	$11.95	$179K

Holdings After Transaction: Common Shares of Beneficial Interest — 94,767.83 shares (Direct)

Footnotes (1)

1. F1. The shares were acquired from rights offering.

FAQ

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

What did RIV disclose in this Form 4?

A Portfolio Manager, Stephen A. O’Neill, acquired 15,000 common shares on 10/10/2025 at $11.95 per share.

How many RIV shares does the reporting person own after the transaction?

Following the transaction, beneficial ownership is 94,767.83 shares, held directly.

What was the transaction code on the Form 4 for RIV?

The transaction is labeled J(1), with the explanation that the shares were acquired from a rights offering.

Who is the reporting person in RIV’s Form 4?

The reporting person is Stephen A. O’Neill, identified as a Portfolio Manager.

What is the security involved in RIV’s insider transaction?

The security is Common Shares of RiverNorth Opportunities Fund, Inc.

Was the ownership direct or indirect after the transaction?

Ownership is reported as Direct (D) following the transaction.

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

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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).

1. Name and Address of Reporting Person^*

O'Neill Stephen Andrew

(Last) (First) (Middle)

360 S. ROSEMARY AVE.

SUITE 1420

(Street)

WEST PALM BEACH FL 33401

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
RIVERNORTH OPPORTUNITIES FUND, INC. [ RIV ]

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

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

3. Date of Earliest Transaction (Month/Day/Year)
10/10/2025

4. 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 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
Common Shares of Beneficial Interest	10/10/2025	10/10/2025	J(1)		15,000	A	$11.95	94,767.83	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:

1. The shares were acquired from rights offering.

	/s/ Stephen A. O'Neill	10/14/2025
	** 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 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.