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home / news releases / VAM - Income Lab Ideas: SEC Filings For Closed-End Funds


VAM - Income Lab Ideas: SEC Filings For Closed-End Funds

Co-produced by Stanford Chemist

In a previous piece, we covered why an N-2 filing is important and what this could mean when the 497 was filed. We discussed that the N-2 was when closed-end funds filed a registration for new shares. This ultimately meant that a fund was either conducting a rights offering or perhaps an at the market offering. Additionally, these N-2 forms are required for a dividend reinvestment plan.

A 497 is a "definitive materials" form that is filed by CEFs and other investment companies. This can be for a broad range of

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Stock Information

Company Name: The Vivaldi Opportunities Fund
Stock Symbol: VAM
Market: NYSE

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