Offerings // RIVERNORTH OPPORTUNITIES FUND, INC.

RIV offering history

Every offering-related filing in RIVERNORTH OPPORTUNITIES FUND, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 499 filings back to Sep 10, 2010.

Last executed offering

Sep 18, 2026

8-K — priced deal (shares or notes)

Last registration (announced)

None found

in filings back to Sep 10, 2010

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Sep 18, 2026	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Aug 28, 2026	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Aug 14, 2026	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jun 16, 2026	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 8, 2025	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
May 21, 2025	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Apr 1, 2025	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 31, 2025	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 2, 2024	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 28, 2024	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 23, 2022	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Dec 22, 2022	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 12, 2022	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Apr 13, 2022	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Apr 13, 2022	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Apr 5, 2022	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Jan 27, 2022	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jan 25, 2022	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 28, 2021	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Sep 21, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Sep 17, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 8, 2020	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Nov 24, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 20, 2020	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Sep 29, 2020	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Nov 27, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 2, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 26, 2018	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 5, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 23, 2015	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin

RIV offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes — EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full RIV workspace →

RIV offering FAQ

When did RIV last execute an offering?

Per SEC filings, RIVERNORTH OPPORTUNITIES FUND, INC.'s most recent priced offering document is a 8-K filed 2026-09-18. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did RIV last announce or register an offering?

No offering registration (S-1/S-3/F-1/F-3) appears in the filings reviewed back to 2010-09-10.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.

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