假
pos EX
0001678130
不
0001678130
2024-10-31
2024-10-31
0001678130
dei:BusinessContactMember
2024-10-31
2024-10-31
iso4217:美元指數
xbrli:shares
iso4217:美元指數
xbrli:股份
純種成員
已於2024年10月31日向證券交易委員會提交檔案
1933年法案檔案編號 333-260203
1940法案檔案編號811-23166
美國證券交易委員會
華盛頓特區 20549
表格 N-2
[X] 根據1933年證券法的登記聲明
[ ] 預生效修訂案編號 No.
[X] 發帖生效修訂案第4號
和
[X] 根據1940年投資公司法之註冊聲明
[X] 修正案第23號
RiverNorth/DoubleLine 策略機會
基金, Inc.
登記人的確切名稱，依據
章程所指定的名稱
南羅斯馬利大道360號，1420套房
West Palm Beach 佛羅里達州 33401
主要行政辦公室地址
(561) 484-7185
註冊人的電話號碼，包括
區號
馬庫斯·L·柯林斯，執業律師。
RiverNorth Capital Management, LLC
南羅斯馬利大道360號，1420套房
西棕櫚海灘 佛羅里達州 33401
服務代理的名稱及地址
傳真副本送至：
Joshua b. Deringer
Faegre Drinker Biddle & Reath LLP
洛根廣場一號，2000號單位
費城市, PA 19103-6996
(215) 988-2700
拟议公开发行的大约日期 ：此次生效的修正案根据证券法规462(d)条款提交，并将在提交后生效。
如果在此表格上註冊的唯一證券是根據股息或利息再投資計劃提供的，請勾選下方方框 [ ]
如果本表格註冊的任何證券將根據1933年的《證券法》（“《證券法》”）第415條，基於延遲或持續的方式進行發售，
除了與股息或利息再投資計劃相關的證券外，請勾選下方方框 [X]
如果此表格屬於根據一般說明書A.2條款或其後生效的修正檔案註冊聲明，請勾選下列方塊 [X]
如果此表格是根據一般指示b的登記聲明或其後的發帖有效修正，並且將根據證券法第462(e)條在提交給委員會時生效，請勾選以下方框 [ ]
如果這個表格是根據一般指示b對已提交的註冊聲明進行的後續生效修訂，以註冊額外的證券或額外類別的證券，請勾選下方的方框 [ ]
建議此申報表將於生效（請勾選適當方框）：
[ ] 當根據第8(c)條生效時。
如果適用，請勾選以下框：
[ ] 這個生效的修訂指定了先前提出的後續生效的修訂的新生效日期。
[ ] 本表格是申請根據證券法第462(b)條的要求登記額外證券的，先前有效的同一項目登記聲明的證券法登記聲明編號為：________。
[ ]
[X] 333-260203.
請勾選適當的方框，以描述申請人的特點：
[X] 註冊的封閉式基金（根據1940年《投資公司法》（“投資公司法”）註冊的封閉式公司）。
[ ] 業務發展公司（根據投資公司法規定的封閉式公司，
打算或已選擇被規範為業務發展公司）。
[ ] 週期基金（註冊的封閉式基金或根據《投資公司法》下的第23c-3條規定定期提供回購的業務發展公司）。
[X] A.2合格（根據本表A.2條款有資格登記證券）。
[ ]
[ ]
[ ] 如果是新興成長公司，請以勾選的方式表示
如果登記人選擇不使用根據證券法第7(a)(2)(B)條款所提供的任何新或修訂的財務會計標準的延長過渡期。
[ ] 新登記者（在提交此文件之前的12個日歷月內註冊或受規範的）。
解說說明
本「生效後修訂第4號」的登記聲明
於N-2表格上（檔案號 333-260203 和 811-23166）由RiverNorth/DoubleLine策略機會基金公司（經修訂後，以下稱
「登記聲明」）根據1933年證券法（經修訂，以下稱「證券法」）第462(d)條的規定提交，僅用於提交登記聲明的附錄 a.6、d.1、d.0.2萬.12、l.5 和 l.6。除下文所述的登記聲明第C部第25(2)項外，登記聲明的A億部分或C部分未做其他更改。因此，本「生效後修訂第4號」僅包含封面頁、此說明性註釋以及登記聲明中列出所附的第25(2)項。根據證券法第462(d)條，本「生效後修訂第4號」在向證券交易委員會提交後將立即生效。登記聲明的內容特此納入參考。
第C部分 - 其他資訊
項目25：基本報表和附件
登記人的經審核
基本報表截至2024年6月30日的財政年度已被引用至登記
聲明的第b部分. 年報 截至2024年6月30日的財政年度.
g.1 Form of Management Agreement between Registrant and RiverNorth Capital Management, LLC. Filed on September 27, 2016 in Pre-Effective Amendment No. 5 as Exhibit g.1 to Registrant's Registration Statement on Form N-2 (File No. 333- 212400) and incorporated herein by reference.
g.2 Form of Subadvisory Agreement. Filed on September 27, 2016 in Pre-Effective Amendment No. 5 as Exhibit g.2 to Registrant's Registration Statement on Form N-2 (File No. 333- 212400) and incorporated herein by reference.
h.1 Distribution Agreement to be filed by amendment.
i. None.
j.1 Master Custodian Agreement. Filed on September 3, 2020 in Post-Effective Amendment No. 2 as Exhibit j.1 to Registrant’s Registration Statement on Form N-2 (File No. 333-230320) and incorporated herein by reference.
j.2 Letter Agreement incorporating the Custody Agreement as of December 6, 2019, between Registrant and State Street Bank and Trust Company. Filed on September 3, 2020 in Post-Effective Amendment No. 2 as Exhibit j.2 to Registrant’s Registration Statement on Form N-2 (File No. 333-230320) and incorporated herein by reference.
j.3 Custody Agreement between Registrant and Millennium Trust Company. Filed on October 17, 2024 in Pre-Effective Amendment No. 1 as Exhibit j.3 to Registrant’s Registration Statement on Form N-2 (File No. 333-282688) and incorporated herein by reference.
k.l Administration, Bookkeeping and Pricing Services Agreement between Registrant and ALPS Fund Services, Inc. Filed on September 3, 2020 in Post-Effective Amendment No. 2 as Exhibit k.1 to Registrant’s Registration Statement on Form N-2 (File No. 333-230320) and incorporated herein by reference.
k.2 Amendment No. 1 to Administration, Bookkeeping and Pricing Services Agreement between Registrant and ALPS Fund Services, Inc. Filed on December 4, 2020 in Post-Effective Amendment No. 6 as Exhibit k.2 to Registrant’s Registration Statement on Form N-2 (File No. 333-230320) and incorporated herein by reference.
k.3 Agency Agreement with DST Systems, Inc. Filed on September 3, 2020 in Post-Effective Amendment No. 2 as Exhibit k.7 to Registrant’s Registration Statement on Form N-2 (File No. 333-230320) and incorporated herein by reference.
k.6 Adoption Agreement incorporating the Agency Agreement between Registrant and DST Systems, Inc. Filed on December 29, 2021 in Post-Effective Amendment No. 2 as Exhibit k.9 to Registrant’s Registration Statement on Form N-2 (File No. 333-260203) and incorporated herein by reference.
k.7 Franklin Rule 12d1-4 Fund of Funds Investment Agreement. Filed on August 25, 2022 as Exhibit k.12 to Post-Effective Amendment No. 3 to the Registrant's Registration Statement on Form N-2 (File No. 333-260203) and incorporated herein by reference.
k.8 BlackRock Closed-End Funds Rule 12d1-4 Fund of Funds Agreement. Filed on August 25, 2022 as Exhibit k.13 to Post-Effective Amendment No. 3 to the Registrant's Registration Statement on Form N-2 (File No. 333-260203) and incorporated herein by reference.
k.9 Nuveen Closed-End Funds Rule 12d1-4 Investment Agreement. Filed on August 25, 2022 as Exhibit k.14 to Post-Effective Amendment No. 3 to the Registrant's Registration Statement on Form N-2 (File No. 333-260203) and incorporated herein by reference.
k.10 Voya Fund of Funds Investment Agreement. Filed on August 25, 2022 as Exhibit k.15 to Post-Effective Amendment No. 3 to the Registrant's Registration Statement on Form N-2 (File No. 333-260203) and incorporated herein by reference.
k.11
Credit Agreement with BNP Paribas. Filed on October 17, 2024 in Pre-Effective Amendment No. 1 as Exhibit k.11 to Registrant’s Registration Statement on Form N-2 (File No. 333-282688) and incorporated herein by reference.
k.12 Subscription Agent and Information Agent Agreement is filed herewith.
l.1 Opinion and consent of Shapiro Sher Guinot & Sandler, P.A. Filed on October 17, 2024 in Pre-Effective Amendment No. 1 as Exhibit l.1 to Registrant’s Registration Statement on Form N-2 (File No. 333-282688) and incorporated herein by reference.
l.2 Opinion and consent of Faegre Drinker Biddle & Reath LLP. Filed on October 17, 2024 in Pre-Effective Amendment No. 1 as Exhibit l.2 to Registrant’s Registration Statement on Form N-2 (File No. 333-282688) and incorporated herein by reference.
SIGNATURES
Pursuant to the requirements of the Securities
Act of 1933 and the Investment Company Act of 1940, the Registrant has duly caused this Registration Statement to be signed on
its behalf by the undersigned, thereunto duly authorized, in this City of West Palm Beach, and State of Florida, on the 31st day
of October, 2024.
RIVERNORTH/DOUBLELINE
STRATEGIC OPPORTUNITY FUND, INC.
By: /s/ Patrick W. Galley
Patrick W. Galley, President
Pursuant to the requirements of the Securities
Act of 1933, this Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
Signature
Title
Date
By: /s/ Patrick W. Galley
President (Principal Executive Officer)
October 31, 2024
Patrick W. Galley
By: /s/ Jonathan M. Mohrhardt
Chief Financial Officer and Treasurer (Principal Financial Officer/ Principal Accounting Officer)
October 31, 2024
Jonathan M. Mohrhardt
By: /s/ Patrick W. Galley
Chairman of the Board and Director
October 31, 2024
Patrick W. Galley
John K. Carter(1)
Director By: /s/ Patrick W Galley
Lisa B. Mougin(1)
Director
Patrick W. Galley
David M. Swanson(1)
Director
Attorney-In-Fact
Jerry Raio(1)
Director
October 31, 2024
J. Wayne Hutchens(1)
Director
(1) Original powers of attorney authorizing Joshua B. Deringer, David L. Williams and Patrick W. Galley to execute Registrant’s Registration Statement, and Amendments thereto, for the directors of the Registrant on whose behalf this Registration Statement were previously executed and were filed on August 15, 2024 as Exhibit t to the Registrant's Registration Statement on Form N-2 (File No. 333-282688)
INDEX TO EXHIBITS