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As
filed with the Securities and Exchange Commission on December 23, 2022
Securities
Act File No. 333-261239
Investment
Company Act File No. 811-22472
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
N-2
(check
appropriate box or boxes)
REGISTRATION
STATEMENT UNDER THE SECURITIES ACT OF 1933 |
[X] |
Pre-Effective
Amendment No. |
[ ] |
Post-Effective
Amendment No. 3 |
[X] |
and/or |
|
REGISTRATION STATEMENT
UNDER THE INVESTMENT COMPANY ACT OF 1940 |
[X] |
Amendment
No. 33 |
[X] |
RIVERNORTH
OPPORTUNITIES FUND, INC.
(Exact
name of registrant as specified in charter)
360
South Rosemary Avenue, Suite 1420
West
Palm Beach, FL 33401
(Address
of principal executive offices)
(303)
623-2577
(Registrant’s
Telephone Number)
Marcus
L. Collins, Esq.
RiverNorth
Capital Management, LLC
360
South Rosemary Avenue, Suite 1420
West
Palm Beach, FL 33401
(Names
and addresses of agents for service)
Copies
to:
Joshua
B. Deringer
Faegre
Drinker Biddle & Reath LLP
One
Logan Square, Ste. 2000
Philadelphia,
PA 19103-6996
(215)
988-2700
Approximate
Date of Proposed Public Offering: This post-effective amendment is being filed pursuant to Rule 462(d) under the Securities
Act and will be effective upon filing.
|
[ ] |
Check box if the
only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans. |
|
[X] |
Check box if any
securities being registered on this Form will be offered on a delayed or continuous basis in reliance on Rule 415 under the
Securities Act of 1933 (“Securities Act”), other than securities offered in connection with a dividend reinvestment
plan. |
|
[X] |
Check box if this
Form is a registration statement pursuant to General Instruction A.2 or a post-effective amendment thereto. |
|
[ ] |
Check box if this
Form is a registration statement pursuant to General Instruction B or a post-effective amendment thereto that will become
effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act. |
|
[ ] |
Check box if this
Form is a post-effective amendment to a registration statement filed pursuant to General Instruction B to register additional
securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act. |
It
is proposed that this filing will become effective (check appropriate box)
|
[ ] |
when declared effective
pursuant to Section 8(c) of the Securities Act |
If
appropriate, check the following box:
|
[ ] |
This [post-effective]
amendment designates a new effective date for a previously filed [post-effective amendment] [registration statement]. |
|
[ ] |
This Form is filed
to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, and the Securities Act
registration statement number of the earlier effective registration statement for the same offering is: _____. |
|
[ ] |
This Form is a post-effective
amendment filed pursuant to Rule 462(c) under the Securities Act, and the Securities Act registration statement number of
the earlier effective registration statement for the same offering is: _____. |
|
[X] |
This Form is a post-effective
amendment filed pursuant to Rule 462(d) under the Securities Act, and the Securities Act registration statement number of
the earlier effective registration statement for the same offering is: 333-261239. |
Check
each box that appropriately characterizes the Registrant:
|
[X] |
Registered Closed-End
Fund (closed-end company that is registered under the Investment Company Act of 1940 (“Investment Company Act”)). |
|
[ ] |
Business Development
Company (closed-end company that intends or has elected to be regulated as a business development company under the Investment
Company Act). |
|
[ ] |
Interval Fund (Registered
Closed-End Fund or a Business Development Company that makes periodic repurchase offers under Rule 23c-3 under the Investment
Company Act). |
|
[X] |
A.2 Qualified (qualified
to register securities pursuant to General Instruction A.2 of this Form). |
|
[ ] |
Well-Known Seasoned
Issuer (as defined by Rule 405 under the Securities Act). |
|
[ ] |
Emerging Growth
Company (as defined by Rule 12b-2 under the Securities Exchange Act of 1934 (“Exchange Act”). |
|
[ ] |
If an Emerging Growth
Company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with
any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of Securities Act. |
|
[ ] |
New Registrant (registered
or regulated under the Investment Company Act for less than 12 calendar months preceding this filing). |
EXPLANATORY
NOTE
This
Post-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File Nos. 333-261239 and 811-22472) of the RiverNorth
Opportunities Fund, Inc. (as amended, the “Registration Statement”) is being filed pursuant to Rule 462(d) under the
Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of filing Exhibits k.15, k.16 and
l.3 to the Registration Statement. No changes have been made to Part A, B or Part C of the Registration Statement, other than
Item 25 (2) of Part C as set forth below. Accordingly, this Post-Effective Amendment No. 3 consists only of the facing page, this
explanatory note and Item 25 (2) of the Registration Statement setting forth the exhibits to the Registration Statement. Pursuant
to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 3 shall become effective immediately upon filing with
the Securities and Exchange Commission. The contents of the Registration Statement are hereby incorporated by reference.
PART
C - OTHER INFORMATION
Item
25: Financial Statements and Exhibits
1. |
Financial Statements: |
|
Part A - Financial
Highlights for the period from December 24, 2015 to October 31, 2016, fiscal year ended October 31, 2017, period ended July
31, 2018, fiscal years ended July 31, 2019, July 31, 2020, July 31, 2021, and July 31, 2022. |
|
|
|
Part B - Incorporated
by reference in the Statement of Additional Information included herewith are the Registrant’s audited financial statements
for the fiscal year ended July 31, 2022, notes to such financial statements and the report of independent registered public
accounting firm thereon, as contained in the Fund’s Form
N-CSR filed with the Securities and Exchange Commission on September 30, 2022. The unaudited Semi-Annual
Report for the fiscal period ending January 31, 2022, is incorporated by reference. |
(1) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-169317 and 811-22472, as filed with the Securities and
Exchange Commission on November 25, 2015. |
(2) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-220156 and 811-22472, as filed with the Securities and
Exchange Commission on August 24, 2017. |
(3) |
Incorporated by
reference from the Registration Statement on Form N-2/A, File no. 333-220156 and 811-22472, as filed with the Securities and
Exchange Commission on October 3, 2017. |
(4) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on May 23, 2018. |
(5) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on July 24, 2018. |
(6) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on August 31, 2018. |
(7) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on October 5, 2018. |
(8) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on March 12, 2019. |
(9) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on June 26, 2019. |
(10) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on September 27, 2019. |
(11) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on September 23, 2020. |
(12) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on November 20, 2020. |
(13) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-225152 and 811-22472, as filed with the Securities and
Exchange Commission on December 18, 2020. |
(14) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-257554 and 811-22472, as filed with the Securities and
Exchange Commission on June 30, 2021. |
(15) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-257554 and 811-22472, as filed with the Securities and
Exchange Commission on September 15, 2021. |
(16) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-257554 and 811-22472, as filed with the Securities and
Exchange Commission on September 21, 2021. |
(17) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-261239 and 811-22472, as filed with the Securities and
Exchange Commission on November 19, 2021. |
(18) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-261239 and 811-22472, as filed with the Securities and
Exchange Commission on January 24, 2022. |
(19) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-261239 and 811-22472, as filed with the Securities and
Exchange Commission on January 27, 2022. |
(20) |
Incorporated by
reference from the Registration Statement on Form N-2, File no. 333-261239 and 811-22472, as filed with the Securities and
Exchange Commission on October 14, 2022. |
+ |
To be filed by amendment. |
SIGNATURES
Pursuant
to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant,
has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the city
of West Palm Beach, and the state of Florida, on the 23rd day of December, 2022.
RIVERNORTH OPPORTUNITIES FUND, INC. |
|
|
|
By |
/s/
Patrick W. Galley |
|
|
Patrick W. Galley, President |
|
Pursuant
to the requirements of the Securities Act of 1933, this amendment to the Registration Statement has been signed below by the following
persons in the capacities and on the date indicated.
/s/
Patrick W. Galley |
|
President
(Principal Executive Officer) |
|
December 23,
2022 |
Patrick W. Galley
|
|
|
|
|
|
|
|
|
|
/s/
Jonathan M. Mohrhardt |
|
Treasurer
(Principal
Financial Officer) |
|
December 23, 2022 |
Jonathan M. Mohrhardt
|
|
|
|
|
|
|
|
|
|
/s/
Patrick W. Galley |
|
Chairman
of the Board and Director |
|
December 23,
2022 |
Patrick W. Galley |
|
|
|
|
|
|
|
|
|
* |
|
Director |
|
December 23,
2022 |
John K. Carter |
|
|
|
|
|
|
|
|
|
* |
|
Director |
|
December 23,
2022 |
J. Wayne Hutchens |
|
|
|
|
|
|
|
|
|
|
|
Director |
|
December 23,
2022 |
Lisa B. Mougin |
|
|
|
|
|
|
|
|
|
* |
|
Director |
|
December
23, 2022 |
Jerry R. Raio |
|
|
|
|
* |
|
Director |
|
December
23, 2022 |
David M. Swanson |
|
|
|
|
* By: |
/s/
Patrick W. Galley |
|
|
Name: |
Patrick W. Galley |
|
|
Title: |
Attorney-in-Fact |
|
|
Date: |
December 23, 2022 |
|
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