Exempt Offering Notice · D
RiverNorth Opportunities Fund, Inc.
RIVNYSEEQUITYCurrent
Exempt Offering Notice
Structured filing — D
primary_doc.xml
Issuer
- Name
- RIVERNORTH OPPORTUNITIES FUND, INC.
- CIK
- 0001501072
- Entity type
- Corporation
- Jurisdiction
- MARYLAND
- Phone
- 561-484-7185
- Street
- 360 S. ROSEMARY AVE.
- Street (continued)
- SUITE 1420
- City
- WEST PALM BEACH
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
- Incorporated more than five years ago
- true
- Previous issuer names
- None
- Previous EDGAR names
- RIVERNORTH TACTICAL OPPORTUNITIES FUND, INC.
Related person 1
- First name
- Patrick
- Middle name
- W.
- Last name
- Galley
- Relationships
- Executive Officer · Director
- Relationship clarification
- Director, Chairman and President
- Street
- 360 South Rosemary Avenue
- Street (continued)
- Suite 1420
- City
- West Palm Beach
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
Related person 2
- First name
- Marcus
- Middle name
- L.
- Last name
- Collins
- Relationships
- Executive Officer
- Relationship clarification
- Chief Compliance Officer and Secretary
- Street
- 360 South Rosemary Avenue
- Street (continued)
- Suite 1420
- City
- West Palm Beach
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
Related person 3
- First name
- Jonathan
- Middle name
- M.
- Last name
- Mohrhardt
- Relationships
- Executive Officer
- Relationship clarification
- Treasurer and Chief Financial Officer
- Street
- 360 South Rosemary Avenue
- Street (continued)
- Suite 1420
- City
- West Palm Beach
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
Related person 4
- First name
- Jerry
- Middle name
- R.
- Last name
- Raio
- Relationships
- Director
- Street
- 360 South Rosemary Avenue
- Street (continued)
- Suite 1420
- City
- West Palm Beach
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
Related person 5
- First name
- John
- Middle name
- K.
- Last name
- Carter
- Relationships
- Director
- Street
- 360 South Rosemary Avenue
- Street (continued)
- Suite 1420
- City
- West Palm Beach
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
Related person 6
- First name
- Lisa
- Middle name
- B.
- Last name
- Mougin
- Relationships
- Director
- Street
- 360 South Rosemary Avenue
- Street (continued)
- Suite 1420
- City
- West Palm Beach
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
Related person 7
- First name
- David
- Middle name
- M.
- Last name
- Swanson
- Relationships
- Director
- Street
- 360 South Rosemary Avenue
- Street (continued)
- Suite 1420
- City
- West Palm Beach
- State / country code
- FL
- State / country
- FLORIDA
- Postal code
- 33401
Offering
- Industry
- Pooled Investment Fund
- Fund type
- Other Investment Fund
- Investment Company Act indication
- true
- Net asset value range
- Over $100,000,000
- Exemption codes
- 06b
- Amendment
- false
- First sale date
- 2026-09-18
- Offering lasts more than one year
- false
- Equity securities
- true
- Business combination
- false
- Minimum investment accepted
- 0
- Total offering amount
- 75,000,000
- Amount sold
- 75,000,000
- Remaining amount
- 0
- Non-accredited investors reported
- false
- Investors already participating
- 7
Commissions, fees and proceeds
- Sales commissions
- 130,000
- Sales commissions are estimated
- true
- Finders’ fees
- 0
- Commission / fee clarification
- [blank]
- Gross proceeds used
- 0
- Use of proceeds clarification
- [blank]
Sales compensation recipient 1
- Name
- UBS Securities LLC
- CRD
- 000007654
- Associated broker-dealer
- UBS Securities LLC
- Broker-dealer CRD
- 000007654
- Foreign solicitation
- false
- Street
- 11 Madison Avenue
- City
- New York
- State / country code
- NY
- State / country
- NEW YORK
- Postal code
- 10010
- Solicitation jurisdictions
- All States
Signature authorization
- Authorized representative
- false
Signature 1
- Issuer
- RIVERNORTH OPPORTUNITIES FUND, INC.
- Signer
- Patrick W. Galley
- Signed
- /S/ Patrick W. Galley
- Title
- President
- Date
- 2026-09-25