This is a purely administrative filing with no trading or ownership disclosure. Monitor for any subsequent Form 4 filings that would indicate insider transactions, which could provide a signal on management's view of the fund's prospects.
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Executive Summary
Dan Ives filed an initial statement of beneficial ownership (Form 3) with the SEC, disclosing his position as a member of the board of managers of the investment adviser to Ives Ultra AI Opportunities Inc. The filing is a routine regulatory requirement under Section 30(h) of the Investment Company Act of 1940 and contains no trading activity or material financial information.
Key Facts
- Dan Ives filed a Form 3 initial statement of beneficial ownership for Ives Ultra AI Opportunities Inc. (IVAI).
- Mr. Ives is a member of the board of managers of Ives Ultra Management LLC, the investment adviser to the fund.
- The filing is made pursuant to Section 30(h) of the Investment Company Act of 1940.
- No securities are beneficially owned by Mr. Ives; a footnote indicates zero shares owned.
- The filing date is October 9, 2026, with a period of report of September 29, 2026.
Financial Impact
No financial impact — the filing discloses zero beneficial ownership and no transactions.
Risk Factors
- No material risks identified from this filing.
Documents Analyzed
This report is based on 3 SEC documents filed with EDGAR.
| Document | Accession Number |
|---|---|
| 3 Filing (Primary) | 0002159384-26-000001 |
| Document: 0002159384-26-000001-index.html | 0002159384-26-000001 |
| Document: 0002159384-26-000001.txt | 0002159384-26-000001 |
Filters
| Type | Now | ||||
|---|---|---|---|---|---|
Oct 9, 2026 18d ago | 3 | $10.10 | awaiting T+20 | — | $10.09 (−0.10%) |
Oct 7, 2026 20d ago | 3 | $10.13 | awaiting T+20 | — | $10.09 (−0.39%) |
Oct 6, 2026 20d ago | 3 | $10.14 | awaiting T+20 | — | $10.09 (−0.49%) |
Sep 30, 2026 27d ago | 3 | $10.16 | awaiting T+20 | — | $10.09 (−0.69%) |
Sep 30, 2026 27d ago | 3 | $10.16 | awaiting T+20 | — | $10.09 (−0.69%) |
Sep 30, 2026 27d ago | 3 | $10.16 | awaiting T+20 | — | $10.09 (−0.69%) |
Sep 30, 2026 27d ago | Press Release | $10.20 | awaiting T+20 | — | $10.09 (−1.08%) |
Sep 30, 2026 27d ago | EFFECT | $10.20 | awaiting T+20 | — | $10.09 (−1.08%) |
US Market Status
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