Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CROSSROADS CAPITAL, INC.XRDC · Entity 175375 | 10% owner | June 07, 2017 | June 08, 2017 |
| FIRST TRUST DIVIDEND & INCOME FUNDFAV · Entity 181564 | 10% owner | October 19, 2016 | October 21, 2016 |
| JPMORGAN CHINA REGION FUND, INC.JFC · Entity 171078 | 10% owner | September 15, 2017 | September 19, 2017 |
| KOREA EQUITY FUND INCKEF · Entity 175017 | 10% owner | June 20, 2017 | June 22, 2017 |
| Nuveen Global Equity Income FundJGV · Entity 181700 | 10% owner | September 28, 2016 | September 30, 2016 |
| Nuveen Long/Short Commodity Total Return FundCTF · Entity 180459 | 10% owner | December 08, 2016 | December 12, 2016 |
| PACHOLDER HIGH YIELD FUND INCPHF · Entity 12396 | 10% owner | July 07, 2017 | July 11, 2017 |
| Virtus Total Return FundDCA · Entity 177496 | 10% owner | March 22, 2017 | March 23, 2017 |
| WESTERN ASSET CORPORATE LOAN FUND INC.TLI · Entity 16378 | 10% owner | November 26, 2019 | December 06, 2019 |
| abrdn Emerging Markets ex-China Fund, Inc.CH · Entity 5686 | 10% owner | December 05, 2017 | December 07, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CROSSROADS CAPITAL, INC.
Report date June 07, 2017 · Filed June 08, 2017
Jointly reported with Bulldog Investors, LLP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 826,327 |
Last balance in matching sequence
After 2017-06-07 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-06-07 · Sale · Disposed 28,479 · Balance 797,848 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Samuels is an owner of Bulldog Investors, LLC, and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Samuals also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Row 2 · 2017-06-07 · Purchase · Acquired 28,479 · Balance 826,327 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Samuels is an owner of Bulldog Investors, LLC, and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Samuals also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Samuels is an owner of Bulldog Investors, LLC, and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Samuals also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients.
FIRST TRUST DIVIDEND & INCOME FUND
Report date October 19, 2016 · Filed October 21, 2016
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 1,951,679 |
Last balance in matching sequence
After 2016-10-20 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2016-10-19 · Purchase · Acquired 10,900 · Balance 1,951,379 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2016-10-20 · Purchase · Acquired 300 · Balance 1,951,679 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
JPMORGAN CHINA REGION FUND, INC.
Report date September 15, 2017 · Filed September 19, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 845,368 |
Reported balance
After 2017-09-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-09-15 · Purchase · Acquired 22,517 · Balance 845,368 F1: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
KOREA EQUITY FUND INC
Report date June 20, 2017 · Filed June 22, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 1,726,574 |
Last balance in matching sequence
After 2017-06-21 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-06-20 · Purchase · Acquired 25,000 · Balance 1,706,374 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2017-06-21 · Purchase · Acquired 20,200 · Balance 1,726,574 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
Nuveen Global Equity Income Fund
Report date September 28, 2016 · Filed September 30, 2016
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 2,194,974 |
Reported balance
After 2016-09-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-09-28 · Purchase · Acquired 18,049 · Balance 2,194,974 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
Nuveen Long/Short Commodity Total Return Fund
Report date December 08, 2016 · Filed December 12, 2016
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 1,179,781 |
Reported balance
After 2016-12-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-12-08 · Purchase · Acquired 1,267 · Balance 1,179,781 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
PACHOLDER HIGH YIELD FUND INC
Report date July 07, 2017 · Filed July 11, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 1,408,152 |
Reported balance
After 2017-07-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-07-07 · Purchase · Acquired 15,500 · Balance 1,408,152 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
Virtus Total Return Fund
Report date March 22, 2017 · Filed March 23, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 1,553,860 |
Reported balance
After 2017-03-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-03-22 · Sale · Disposed 2,636,634 · Balance 1,553,860 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Shares were tendered by the Reporting Persons in connection with the Issuer tender offer that commenced February 15, 2017 and expired March 15, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Shares were tendered by the Reporting Persons in connection with the Issuer tender offer that commenced February 15, 2017 and expired March 15, 2017.
WESTERN ASSET CORPORATE LOAN FUND INC.
Report date November 26, 2019 · Filed December 06, 2019
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,803 |
Reported balance
Holding disclosure · report date 2019-11-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,803 F1: Shares are held by Phillip Goldstein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Phillip Goldstein.
abrdn Emerging Markets ex-China Fund, Inc.
Report date December 05, 2017 · Filed December 07, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,875 |
Reported balance
After 2017-12-05 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-12-05 · Sale · Disposed 877 · Balance 1,875 F2: Shares are held by Steven Samuels. |
| Common StockSEC Table I · non-derivative | Direct | 21,107 |
Reported balance
After 2017-12-05 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-12-05 · Sale · Disposed 1,713 · Balance 21,107 F3: Shares are held by Phillip Goldstein. |
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 917,955 |
Reported balance
Holding disclosure · report date 2017-12-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 917,955 F1: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
F2: Shares are held by Steven Samuels.
F3: Shares are held by Phillip Goldstein.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Report date May 17, 2017 · Filed May 18, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
Section 16 reporting ended · disclosed 2017-05-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 927,037 |
Last balance in matching sequence
After 2017-05-17 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-05-17 · Sale · Disposed 65,998 · Balance 942,547 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2017-05-17 · Sale · Disposed 15,510 · Balance 927,037 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Report date April 17, 2019 · Filed April 22, 2019
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
Section 16 reporting ended · disclosed 2019-04-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 1,086 |
Last balance in matching sequence
After 2019-04-18 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2019-04-01 · Other · Disposed 96,742 · Balance 537,379 F1: The shares of AKP are held by a former private investment fund client of Bulldog Investors. As of April 1, 2019 such fund is no longer a client of Bulldog Investors and as a result such shares will no longer be reported. F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2019-04-17 · Sale · Disposed 39,111 · Balance 498,268 F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 3 · 2019-04-17 · Sale · Disposed 39,782 · Balance 458,486 F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 4 · 2019-04-18 · Sale · Disposed 457,400 · Balance 1,086 F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 6,375 |
Reported balance
Holding disclosure · report date 2019-04-17 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 6,375 F3: Shares are held by Steven Samuels. |
| Common StockSEC Table I · non-derivative | Direct | 500 |
Reported balance
Holding disclosure · report date 2019-04-17 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 500 F4: Shares are held by Andrew Dakos. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of AKP are held by a former private investment fund client of Bulldog Investors. As of April 1, 2019 such fund is no longer a client of Bulldog Investors and as a result such shares will no longer be reported.
F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
F3: Shares are held by Steven Samuels.
F4: Shares are held by Andrew Dakos.
FRANKLIN MUNICIPAL OPPORTUNITIES TRUST
Report date August 10, 2017 · Filed August 21, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
Section 16 reporting ended · disclosed 2017-08-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred Series B and CSEC Table I · non-derivative | IndirectBy Clients | 0 |
Reported balance
After 2017-08-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-10 · Other · Disposed 400 · Balance 0 F1: Shares of Series B and C auction rate preferred securities were disposed of pursuant to an issuer tender offer. F2: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Series B and C auction rate preferred securities were disposed of pursuant to an issuer tender offer.
F2: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
HIGH INCOME SECURITIES FUND
Report date March 19, 2019 · Filed March 20, 2019
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
Section 16 reporting ended · disclosed 2019-03-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 220,106 |
Reported balance
After 2019-03-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-03-19 · Disposition to issuer · Disposed 1,247,106 · Balance 220,106 F1: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-03-19 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-03-19 · Disposition to issuer · Disposed 6,241 · Balance 0 F1: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F6: As reported on Mr. Goldstein's Form 5 filed February 14, 2019, 10,772 shares of the Fund were disposed of via a gift on December 26, 2018. F3: Shares are held by Phillip Goldstein. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-03-19 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-03-19 · Disposition to issuer · Disposed 3,123 · Balance 0 F1: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F4: Shares are held by Steven Samuels. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-03-19 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-03-19 · Disposition to issuer · Disposed 933 · Balance 0 F1: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F5: Shares are held by Andrew Dakos. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer.
F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
F3: Shares are held by Phillip Goldstein.
F4: Shares are held by Steven Samuels.
F5: Shares are held by Andrew Dakos.
F6: As reported on Mr. Goldstein's Form 5 filed February 14, 2019, 10,772 shares of the Fund were disposed of via a gift on December 26, 2018.
NEUBERGER REAL ESTATE SECURITIES INCOME FUND INC
Report date December 15, 2016 · Filed December 16, 2016
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
Section 16 reporting ended · disclosed 2016-12-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 4,295,140 |
Reported balance
After 2016-12-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-12-15 · Sale · Disposed 45,096 · Balance 4,295,140 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
NXG NextGen Infrastructure Income Fund
Report date February 15, 2017 · Filed February 16, 2017
Jointly reported with Bulldog Investors, LLP, GOLDSTEIN PHILLIP, Dakos Andrew
Section 16 reporting ended · disclosed 2017-02-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Clients | 457,550 |
Reported balance
Holding disclosure · report date 2017-02-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 457,550 F2: There have been no transactions required to be reported. F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
F2: There have been no transactions required to be reported.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 03, 2016 Filed Nov 7, 2016 19:27 UTC | Nuveen Long/Short Commodity Total Return Fund CTF · Entity 180459 | PurchaseCommon Stock | 4,692 | $13.07 | $61,339.45 |
DisclosureSEC source: 0001398344-16-020401 · fp0022371_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,089,014 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| November 02, 2016 Filed Nov 3, 2016 15:37 UTC | Nuveen Long/Short Commodity Total Return Fund CTF · Entity 180459 | PurchaseCommon Stock | 6,580 | $12.99 | $85,468.94 |
DisclosureSEC source: 0001398344-16-020303 · fp0022330_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,084,322 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 15:37 UTC | Nuveen Long/Short Commodity Total Return Fund CTF · Entity 180459 | PurchaseCommon Stock | 1,362 | $13.19 | $17,965.46 |
DisclosureSEC source: 0001398344-16-020303 · fp0022330_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,077,742 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 11:52 UTC | PACHOLDER HIGH YIELD FUND INC PHF · Entity 12396 | SaleCommon Stock | 10,436 | $7.01 | $73,156.36 |
DisclosureSEC source: 0001398344-16-020183 · fp0022297_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 964,292 F1 · ownership.nature: (1) Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 18:07 UTC | Nuveen Long/Short Commodity Total Return Fund CTF · Entity 180459 | PurchaseCommon Stock | 3,508 | $13.26 | $46,519.59 |
DisclosureSEC source: 0001398344-16-020207 · fp0022303_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,076,380 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 18:07 UTC | Nuveen Long/Short Commodity Total Return Fund CTF · Entity 180459 | PurchaseCommon Stock | 4,184 | $13.40 | $56,048.45 |
DisclosureSEC source: 0001398344-16-020207 · fp0022303_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,072,872 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 20, 2016 Filed Oct 21, 2016 15:49 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 300 | $8.86 | $2,658.00 |
DisclosureSEC source: 0001398344-16-019825 · fp0022123_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,951,679 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 19, 2016 Filed Oct 21, 2016 15:49 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 10,900 | $8.89 | $96,901.00 |
DisclosureSEC source: 0001398344-16-019825 · fp0022123_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,951,379 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 16:01 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 1,500 | $9.11 | $13,669.95 |
DisclosureSEC source: 0001398344-16-019503 · fp0021984_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,940,479 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 14:10 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 15,004 | $9.10 | $136,594.92 |
DisclosureSEC source: 0001398344-16-019327 · fp0021925_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,938,979 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 28, 2016 Filed Sep 29, 2016 13:57 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 4,524 | $9.05 | $40,954.87 |
DisclosureSEC source: 0001398344-16-019094 · fp0021833_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,923,975 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 28, 2016 Filed Sep 30, 2016 15:58 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 18,049 | $11.89 | $214,570.12 |
DisclosureSEC source: 0001398344-16-019197 · fp0021846_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,194,974 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 27, 2016 Filed Sep 29, 2016 13:57 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 20,700 | $9.02 | $186,714.00 |
DisclosureSEC source: 0001398344-16-019094 · fp0021833_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,919,451 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 14:16 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 39,426 | $9.07 | $357,550.45 |
DisclosureSEC source: 0001398344-16-018835 · fp0021741_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,898,751 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 16:44 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 1,043 | $11.97 | $12,484.71 |
DisclosureSEC source: 0001398344-16-018788 · fp0021725_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,176,925 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 14:16 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 65,780 | $9.08 | $597,210.04 |
DisclosureSEC source: 0001398344-16-018835 · fp0021741_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,859,325 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 21, 2016 Filed Sep 22, 2016 15:51 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 55,000 | $9.00 | $495,038.50 |
DisclosureSEC source: 0001398344-16-018744 · fp0021710_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,793,545 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 16:44 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 50,100 | $11.85 | $593,820.27 |
DisclosureSEC source: 0001398344-16-018788 · fp0021725_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,175,882 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 20, 2016 Filed Sep 22, 2016 15:51 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 34,240 | $9.00 | $308,033.31 |
DisclosureSEC source: 0001398344-16-018744 · fp0021710_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,738,545 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 13:42 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 1,000 | $11.78 | $11,781.00 |
DisclosureSEC source: 0001398344-16-018684 · fp0021692_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,125,782 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 14:19 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 11,200 | $11.65 | $130,492.32 |
DisclosureSEC source: 0001398344-16-018594 · fp0021638_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,124,782 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 16, 2016 Filed Sep 20, 2016 14:03 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 9,795 | $8.96 | $87,798.46 |
DisclosureSEC source: 0001398344-16-018627 · fp0021662_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,704,305 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 14:19 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 14,300 | $11.74 | $167,874.85 |
DisclosureSEC source: 0001398344-16-018594 · fp0021638_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,113,582 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 14, 2016 Filed Sep 15, 2016 14:29 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 32,453 | $4.51 | $146,515.56 |
DisclosureSEC source: 0001398344-16-018479 · fp0021601_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 4,190,476 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 13, 2016 Filed Sep 14, 2016 16:30 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 1,004 | $11.71 | $11,755.84 |
DisclosureSEC source: 0001398344-16-018408 · fp0021589_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,099,282 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 14:29 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 41,954 | $4.54 | $190,466.96 |
DisclosureSEC source: 0001398344-16-018479 · fp0021601_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 4,158,023 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 16:30 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 7,017 | $12.04 | $84,479.77 |
DisclosureSEC source: 0001398344-16-018408 · fp0021589_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,098,278 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 16:32 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 640 | $9.07 | $5,805.38 |
DisclosureSEC source: 0001398344-16-018410 · fp0021590_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,694,510 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 09, 2016 Filed Sep 12, 2016 13:45 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 36,369 | $4.59 | $167,111.92 |
DisclosureSEC source: 0001398344-16-018335 · fp0021545_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 4,116,069 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 08, 2016 Filed Sep 9, 2016 13:21 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 7,300 | $12.29 | $89,689.99 |
DisclosureSEC source: 0001398344-16-018267 · fp0021523_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,091,261 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 09:42 UTC | PACHOLDER HIGH YIELD FUND INC PHF · Entity 12396 | SaleCommon Stock | 12,866 | $7.22 | $92,893.81 |
DisclosureSEC source: 0001398344-16-018333 · fp0021544_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 974,728 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 13:45 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 101,268 | $4.66 | $471,635.46 |
DisclosureSEC source: 0001398344-16-018335 · fp0021545_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 4,079,069 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 13:21 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 14,200 | $12.26 | $174,057.92 |
DisclosureSEC source: 0001398344-16-018267 · fp0021523_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,083,961 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 13:53 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 2,546 | $9.19 | $23,396.72 |
DisclosureSEC source: 0001398344-16-018104 · fp0021471_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,693,870 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 06, 2016 Filed Sep 8, 2016 13:33 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 56,478 | $4.67 | $263,949.93 |
DisclosureSEC source: 0001398344-16-018183 · fp0021502_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 3,978,432 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 09:48 UTC | PACHOLDER HIGH YIELD FUND INC PHF · Entity 12396 | SaleCommon Stock | 1,017 | $7.24 | $7,363.08 |
DisclosureSEC source: 0001398344-16-018100 · fp0021469_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 987,594 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 13:51 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 37,634 | $12.22 | $459,736.94 |
DisclosureSEC source: 0001398344-16-018102 · fp0021470_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 2,069,761 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 13:53 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 1,000 | $9.16 | $9,160.00 |
DisclosureSEC source: 0001398344-16-018104 · fp0021471_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,691,324 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.