RIVERNORTH OPPORTUNITIES FUND, INC. INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • July 24th, 2018 • Rivernorth Opportunities Fund, Inc. • Delaware
This AGREEMENT, dated as of [ ], by and between ALPS Advisors, Inc. (the "Investment Adviser"), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and RiverNorth Capital Management, LLC, a Delaware limited liability company (the "Sub-Adviser"), having its principal place of business at 325 N. LaSalle Street, Suite 645, Chicago, Illinois 60654.
RIVERNORTH OPPORTUNITIES FUND, INC. INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 24th, 2018 • Rivernorth Opportunities Fund, Inc. • Delaware
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this [ ] day of [ ], by and between ALPS Advisors, Inc., a Colorado corporation (the Adviser”), and RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”).
Up to [ ] Shares of Common StockSales Agreement • July 24th, 2018 • Rivernorth Opportunities Fund, Inc.
RiverNorth Opportunities Fund, Inc. (the “Fund”) has entered into a sales agreement, dated [ ], (the “Sales Agreement”) with [ ] (“[ ]”) relating to the Fund’s shares of common stock, $0.0001 par value per share (the “Common Shares”) offered by this Prospectus Supplement and the accompanying Prospectus. In accordance with the terms of the Sales Agreement, the Fund may offer and sell up to [ ] of the Fund’s Common Shares, from time to time through [ ] as the Fund’s agent for the offer and sale of the Common Shares. Under the Investment Company Act of 1940, as amended (the “1940 Act”), the Fund may not sell any Common Shares at a price below the current net asset value (“NAV”) of such Common Shares, exclusive of any distributing commission or discount. The Fund is a diversified, closed-end management investment company which commenced investment operations in December 2015. The Fund’s investment objective is total return consisting of capital appreciation and current income.
REPORT MODERNIZATION ADDENDUM to Administration, Bookkeeping and Pricing Services AgreementAdministration, Bookkeeping and Pricing Services Agreement • July 24th, 2018 • Rivernorth Opportunities Fund, Inc. • Colorado
This Report Modernization Addendum (this “Addendum”) to the Administration, Bookkeeping and Pricing Services Agreement, as amended, is dated as of June 20, 2018 and entered into by and between RiverNorth Opportunities Fund, Inc. (the “Fund”) and ALPS Fund Services, Inc. (“ALPS”).
FORM OF AMENDMENT NO. 1 TO CREDIT AGREEMENTCredit Agreement • July 24th, 2018 • Rivernorth Opportunities Fund, Inc. • Massachusetts
AMENDMENT NO. 1 (this “Amendment”), dated as of [ ], to the Credit Agreement, dated as of [ ], by and among RiverNorth Opportunities Fund, Inc. (the “Borrower”), the Banks party thereto, and State Street Bank and Trust Company, as agent for the Banks (in such capacity, the “Agent) (as the same may be amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”).
