organization · Reporting owner
Full Value Offshore Fund, Ltd.
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 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 01, 2017 | September 01, 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 |
| Virtus Total Return FundDCA · Entity 177496 | 10% owner · See Explanation of Responses | September 13, 2016 | September 15, 2016 |
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.
FIRST TRUST DIVIDEND & INCOME FUND
Report date October 19, 2016 · Filed October 21, 2016
Jointly reported with Bulldog Investors General Partnership, Opportunity Income Plus LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,656,626 |
Reported balance
After 2016-10-19 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2016-10-19 · Purchase · Acquired 10,598 · Balance 1,656,626 F1: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 1,656,926 |
Reported balance
After 2016-10-20 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2016-10-20 · Purchase · Acquired 300 · Balance 1,656,926 F1: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 73,453 |
Reported balance
After 2016-10-19 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2016-10-19 · Purchase · Acquired 302 · Balance 73,453 F2: Shares are held by Full Value Offshore Fund, Ltd. |
| Common StockSEC Table I · non-derivative | Direct | 221,100 |
Reported balance
Holding disclosure · report date 2016-10-19 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 221,100 F3: Shares are held by Opportunity Income Plus, LP. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein.
F2: Shares are held by Full Value Offshore Fund, Ltd.
F3: Shares are held by Opportunity Income Plus, LP.
JPMORGAN CHINA REGION FUND, INC.
Report date September 01, 2017 · Filed September 01, 2017
Jointly reported with Bulldog Investors General Partnership, Opportunity Income Plus LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-09-01 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2017-09-01 · Other · Disposed 22,517 · Balance 0 F1: This Form 4 is filed jointly by Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Bulldog Investors General Partnership (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13G, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4: Shares are held by Full Value Offshore Fund, Ltd. Full Value Offshore Fund, Ltd. is in the process of liquidating and winding up, and as a result has withdrawn as a member of the Section 13(d) filing group referenced in Explanation 2 above. |
| Common StockSEC Table I · non-derivative | Direct | 61,349 |
Reported balance
Holding disclosure · report date 2017-09-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 61,349 F1: This Form 4 is filed jointly by Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Bulldog Investors General Partnership (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13G, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F5: Shares are held by Opportunity Income Plus Fund, LP. |
| Common StockSEC Table I · non-derivative | Direct | 761,501 |
Reported balance
Holding disclosure · report date 2017-09-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 761,501 F1: This Form 4 is filed jointly by Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Bulldog Investors General Partnership (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13G, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F6: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Bulldog Investors General Partnership (collectively, the "Reporting Persons").
F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13G, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
F4: Shares are held by Full Value Offshore Fund, Ltd. Full Value Offshore Fund, Ltd. is in the process of liquidating and winding up, and as a result has withdrawn as a member of the Section 13(d) filing group referenced in Explanation 2 above.
F5: Shares are held by Opportunity Income Plus Fund, LP.
F6: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein.
KOREA EQUITY FUND INC
Report date June 20, 2017 · Filed June 22, 2017
Jointly reported with Bulldog Investors General Partnership, OPPORTUNITY PARTNERS LP, Calapasas West Partners LP, Full Value Special Situations Fund LP, FULL VALUE PARTNERS LP, Opportunity Income Plus LP, STEADY GAIN PARTNERS LP, MERCURY PARTNERS L P, MCM Opportunity Partners LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 463,530 |
Reported balance
After 2017-06-20 transaction · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · 2017-06-20 · Purchase · Acquired 20,000 · Balance 463,530 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F10: Shares of Common Stock beneficially owned by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Opportunity Income Plus Fund, LP, Full Value Offshore Fund, Ltd., Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP and MCM Opportunity Partners. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 479,730 |
Reported balance
After 2017-06-21 transaction · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · 2017-06-21 · Purchase · Acquired 16,200 · Balance 479,730 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F10: Shares of Common Stock beneficially owned by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Opportunity Income Plus Fund, LP, Full Value Offshore Fund, Ltd., Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP and MCM Opportunity Partners. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 177,712 |
Reported balance
After 2017-06-20 transaction · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · 2017-06-20 · Purchase · Acquired 5,000 · Balance 177,712 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F13: Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP. |
| Common StockSEC Table I · non-derivative | Direct | 181,712 |
Reported balance
After 2017-06-21 transaction · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · 2017-06-21 · Purchase · Acquired 4,000 · Balance 181,712 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F13: Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP. |
| Common StockSEC Table I · non-derivative | Direct | 263,667 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 263,667 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4: Shares of Common Stock beneficially owned by Opportunity Partners, LP. |
| Common StockSEC Table I · non-derivative | Direct | 96,452 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 96,452 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F5: Shares of Common Stock beneficially owned by Calapasas West Partners, LP. |
| Common StockSEC Table I · non-derivative | Direct | 32,805 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 32,805 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F6: Shares of Common Stock beneficially owned by Full Value Special Situations Fund, LP. |
| Common StockSEC Table I · non-derivative | Direct | 282,346 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 282,346 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F7: Shares of Common Stock beneficially owned by Full Value Partners, LP. |
| Common StockSEC Table I · non-derivative | Direct | 188,614 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 188,614 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F8: Shares of Common Stock beneficially owned by Steady Gain Partners, LP. |
| Common StockSEC Table I · non-derivative | Direct | 122,040 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 122,040 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F9: Shares of Common Stock beneficially owned by Mercury Partners, LP. |
| Common StockSEC Table I · non-derivative | Direct | 41,664 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 41,664 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F11: Shares of Common Stock beneficially owned by MCM Opportunity Partners, LP. |
| Common StockSEC Table I · non-derivative | Direct | 37,544 |
Reported balance
Holding disclosure · report date 2017-06-20 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 37,544 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F12: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Opportunity Income Plus Fund, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, and Full Value Offshore Fund, Ltd., (collectively, the "Reporting Persons").
F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
F4: Shares of Common Stock beneficially owned by Opportunity Partners, LP.
F5: Shares of Common Stock beneficially owned by Calapasas West Partners, LP.
F6: Shares of Common Stock beneficially owned by Full Value Special Situations Fund, LP.
F7: Shares of Common Stock beneficially owned by Full Value Partners, LP.
F8: Shares of Common Stock beneficially owned by Steady Gain Partners, LP.
F9: Shares of Common Stock beneficially owned by Mercury Partners, LP.
F10: Shares of Common Stock beneficially owned by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Opportunity Income Plus Fund, LP, Full Value Offshore Fund, Ltd., Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP and MCM Opportunity Partners. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein.
F11: Shares of Common Stock beneficially owned by MCM Opportunity Partners, LP.
F12: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd.
F13: Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP.
Nuveen Global Equity Income Fund
Report date September 28, 2016 · Filed September 30, 2016
Jointly reported with Bulldog Investors General Partnership, Opportunity Income Plus LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,028,952 |
Reported balance
After 2016-09-28 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2016-09-28 · Purchase · Acquired 17,528 · Balance 2,028,952 F1: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 82,892 |
Reported balance
After 2016-09-28 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2016-09-28 · Purchase · Acquired 521 · Balance 82,892 F2: Shares are held by Full Value Offshore Fund, Ltd. |
| Common StockSEC Table I · non-derivative | Direct | 82,930 |
Reported balance
Holding disclosure · report date 2016-09-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 82,930 F3: Shares are held by Opportunity Income Plus, LP. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein.
F2: Shares are held by Full Value Offshore Fund, Ltd.
F3: Shares are held by Opportunity Income Plus, LP.
Virtus Total Return Fund
Report date September 13, 2016 · Filed September 15, 2016
Jointly reported with Opportunity Income Plus LP, GOLDSTEIN PHILLIP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 148,154 |
Reported balance
After 2016-09-13 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2016-09-13 · Purchase · Acquired 1,261 · Balance 148,154 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. |
| Common StockSEC Table I · non-derivative | Direct | 149,130 |
Reported balance
After 2016-09-14 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2016-09-14 · Purchase · Acquired 976 · Balance 149,130 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. |
| Common StockSEC Table I · non-derivative | Direct | 288,662 |
Reported balance
Holding disclosure · report date 2016-09-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 288,662 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F5: Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP. |
| Common StockSEC Table I · non-derivative | Direct | 20,196 |
Reported balance
Holding disclosure · report date 2016-09-13 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 20,196 F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F6: Shares of Common Stock beneficially owned by Phillip Goldstein. Mr. Goldstein is an owner of Bulldog Investors, LLC, an investment adviser registered with the Securities and Exchange Commission, and as a result may be deemed to have a beneficial interest in certain shares of Common Stock of the Issuer indirectly owned by Bulldog Investors, LLC. Such holdings are included in a separate Form 4 filed on behalf of Bulldog Investors, LLC. Mr. Goldstein disclaims beneficial interest in such shares reported by Bulldog Investors, LLC, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission.
F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
F4: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd.
F5: Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP.
F6: Shares of Common Stock beneficially owned by Phillip Goldstein. Mr. Goldstein is an owner of Bulldog Investors, LLC, an investment adviser registered with the Securities and Exchange Commission, and as a result may be deemed to have a beneficial interest in certain shares of Common Stock of the Issuer indirectly owned by Bulldog Investors, LLC. Such holdings are included in a separate Form 4 filed on behalf of Bulldog Investors, LLC. Mr. Goldstein disclaims beneficial interest in such shares reported by Bulldog Investors, LLC, except to the extent of any pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| September 22, 2016 Filed Sep 23, 2016 12:46 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 1,043 | $11.97 | $12,484.71 |
DisclosureSEC source: 0001398344-16-018791 · fp0021726_4.xml · nonDerivative · entry 2 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,011,424 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 10:25 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 1,898 | $9.08 | $17,231.75 |
DisclosureSEC source: 0001398344-16-018838 · fp0021742_4.xml · nonDerivative · entry 3 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,853 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 10:25 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 63,882 | $9.08 | $579,978.29 |
DisclosureSEC source: 0001398344-16-018838 · fp0021742_4.xml · nonDerivative · entry 1 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,568,672 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 21, 2016 Filed Sep 22, 2016 11:55 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 1,587 | $9.00 | $14,284.11 |
DisclosureSEC source: 0001398344-16-018746 · fp0021711_4.xml · nonDerivative · entry 4 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,955 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 21, 2016 Filed Sep 22, 2016 11:55 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 53,413 | $9.00 | $480,754.39 |
DisclosureSEC source: 0001398344-16-018746 · fp0021711_4.xml · nonDerivative · entry 2 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,504,790 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 12:46 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 1,445 | $11.85 | $17,127.15 |
DisclosureSEC source: 0001398344-16-018791 · fp0021726_4.xml · nonDerivative · entry 3 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,371 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 12:46 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 48,655 | $11.85 | $576,693.12 |
DisclosureSEC source: 0001398344-16-018791 · fp0021726_4.xml · nonDerivative · entry 1 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,010,381 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 20, 2016 Filed Sep 22, 2016 11:55 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 1,029 | $9.00 | $9,257.19 |
DisclosureSEC source: 0001398344-16-018746 · fp0021711_4.xml · nonDerivative · entry 3 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,368 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 20, 2016 Filed Sep 22, 2016 11:55 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 33,211 | $9.00 | $298,776.12 |
DisclosureSEC source: 0001398344-16-018746 · fp0021711_4.xml · nonDerivative · entry 1 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,451,377 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 09:58 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 1,000 | $11.78 | $11,781.00 |
DisclosureSEC source: 0001398344-16-018690 · fp0021693_4.xml · nonDerivative · entry 1 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,961,726 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 10:21 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 337 | $11.65 | $3,926.42 |
DisclosureSEC source: 0001398344-16-018596 · fp0021639_4.xml · nonDerivative · entry 4 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,926 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 10:21 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 10,863 | $11.65 | $126,565.90 |
DisclosureSEC source: 0001398344-16-018596 · fp0021639_4.xml · nonDerivative · entry 2 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,960,726 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 16, 2016 Filed Sep 20, 2016 10:07 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 294 | $8.96 | $2,635.30 |
DisclosureSEC source: 0001398344-16-018629 · fp0021663_4.xml · nonDerivative · entry 2 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,339 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 16, 2016 Filed Sep 20, 2016 10:07 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 9,501 | $8.96 | $85,163.16 |
DisclosureSEC source: 0001398344-16-018629 · fp0021663_4.xml · nonDerivative · entry 1 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,418,166 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 10:21 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 430 | $11.74 | $5,047.99 |
DisclosureSEC source: 0001398344-16-018596 · fp0021639_4.xml · nonDerivative · entry 3 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,589 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 10:21 UTC | Nuveen Global Equity Income Fund JGV · Entity 181700 | PurchaseCommon Stock | 13,870 | $11.74 | $162,826.87 |
DisclosureSEC source: 0001398344-16-018596 · fp0021639_4.xml · nonDerivative · entry 1 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,949,863 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 14, 2016 Filed Sep 15, 2016 14:32 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 976 | $4.51 | $4,406.35 |
DisclosureSEC source: 0001398344-16-018481 · fp0021602_4.xml · nonDerivative · entry 2 Opportunity Income Plus LP · CIK 0001581172 · 10% owner · See Explanation of Responses Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner · See Explanation of Responses GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,130 F1 · security: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2 · security: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4 · ownership.direct: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 14:32 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 1,261 | $4.54 | $5,724.81 |
DisclosureSEC source: 0001398344-16-018481 · fp0021602_4.xml · nonDerivative · entry 1 Opportunity Income Plus LP · CIK 0001581172 · 10% owner · See Explanation of Responses Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner · See Explanation of Responses GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,154 F1 · security: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2 · security: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4 · ownership.direct: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 12:33 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 640 | $9.07 | $5,805.38 |
DisclosureSEC source: 0001398344-16-018412 · fp0021591_4.xml · nonDerivative · entry 2 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,045 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 09, 2016 Filed Sep 12, 2016 13:48 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 1,093 | $4.59 | $5,022.23 |
DisclosureSEC source: 0001398344-16-018337 · fp0021546_4.xml · nonDerivative · entry 2 Opportunity Income Plus LP · CIK 0001581172 · 10% owner · See Explanation of Responses Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner · See Explanation of Responses GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,893 F1 · security: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2 · security: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4 · ownership.direct: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 13:48 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 3,045 | $4.66 | $14,181.48 |
DisclosureSEC source: 0001398344-16-018337 · fp0021546_4.xml · nonDerivative · entry 1 Opportunity Income Plus LP · CIK 0001581172 · 10% owner · See Explanation of Responses Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner · See Explanation of Responses GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,800 F1 · security: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2 · security: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4 · ownership.direct: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 09:54 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 77 | $9.19 | $707.60 |
DisclosureSEC source: 0001398344-16-018106 · fp0021472_4.xml · nonDerivative · entry 4 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,405 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 09:54 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 2,469 | $9.19 | $22,689.12 |
DisclosureSEC source: 0001398344-16-018106 · fp0021472_4.xml · nonDerivative · entry 2 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,408,665 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Read SEC document |
| September 06, 2016 Filed Sep 8, 2016 13:35 UTC | Virtus Total Return Fund DCA · Entity 177496 | PurchaseCommon Stock | 1,698 | $4.67 | $7,935.60 |
DisclosureSEC source: 0001398344-16-018185 · fp0021503_4.xml · nonDerivative · entry 1 Opportunity Income Plus LP · CIK 0001581172 · 10% owner · See Explanation of Responses Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner · See Explanation of Responses GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,755 F1 · security: This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. F2 · security: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F4 · ownership.direct: Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 09:54 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 30 | $9.16 | $274.80 |
DisclosureSEC source: 0001398344-16-018106 · fp0021472_4.xml · nonDerivative · entry 3 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,328 F2 · security: Shares are held by Full Value Offshore Fund, Ltd. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 09:54 UTC | FIRST TRUST DIVIDEND & INCOME FUND FAV · Entity 181564 | PurchaseCommon Stock | 970 | $9.16 | $8,885.20 |
DisclosureSEC source: 0001398344-16-018106 · fp0021472_4.xml · nonDerivative · entry 1 Bulldog Investors General Partnership · CIK 0001364773 · 10% owner Full Value Offshore Fund, Ltd. · CIK 0001584439 · 10% owner Opportunity Income Plus LP · CIK 0001581172 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,406,196 F1 · security: Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its 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.