The Vivaldi Opportunities Fund is a non-diversified, registered, closed-end fund whose shares are traded on NYSE.

Shares cannot be redeemed within the Fund and, after the public offering period ends, can be bought and sold only through a stock exchange (except for shares purchased through automatic dividend reinvestment). Shares of closed-end funds may trade above (at a premium) or below their net asset value.

The Fund’s investment objective is to seek to achieve long-term capital appreciation by pursuing positive absolute returns across market cycles. In pursuing its objective, the Fund seeks to generate attractive long-term returns with low sensitivity to traditional equity and fixed income indices. The Fund uses a “multi-manager” approach whereby the Fund’s assets are allocated amongst “Vivaldi Asset Management, LLC” and one or more sub-advisers (each, a “Sub- Adviser” and together, the “Sub-Advisers”), in percentages determined at the discretion of the Investment Manager.

The Investment Manager and Sub-Advisers implement both fundamentally and technically driven strategies. The allocation amongst these strategies will vary over time in response to changing market opportunities. These strategies may include, without limitation, opportunistic equity and fixed income, multi-strategy fixed income and arbitrage strategies that invest in different asset classes, securities and derivative instruments.

Portfolio Managers

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