Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROOKFIELD HIGH INCOME FUND INC.HHY · Entity 180579 | Adviser's Portfolio Manager | December 05, 2016 | December 06, 2016 |
| BROOKFIELD TOTAL RETURN FUND INCHTR · Entity 180591 | Adviser's Portfolio Manager | December 05, 2016 | December 06, 2016 |
| Brookfield Mortgage Opportunity Income Fund Inc.BOI · Entity 180555 | Portfolio Manager | September 26, 2016 | September 26, 2016 |
| Brookfield Real Assets Income Fund Inc.RA · Entity 5232 | Adviser's Portfolio Manager | December 05, 2016 | December 06, 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.
BROOKFIELD HIGH INCOME FUND INC.
Report date December 05, 2016 · Filed December 06, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-12-05 transaction · row 1
1 source rowRow 1 · 2016-12-05 · Disposition to issuer · Disposed 4,924.37 · Balance 0 F1: Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization.
BROOKFIELD TOTAL RETURN FUND INC
Report date December 05, 2016 · Filed December 06, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-12-05 transaction · row 1
1 source rowRow 1 · 2016-12-05 · Disposition to issuer · Disposed 311.76 · Balance 0 F1: Includes 8.04 shares acquired through dividend reinvestment between Septemebr 26, 2016 and December 5, 20165. F2: Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 8.04 shares acquired through dividend reinvestment between Septemebr 26, 2016 and December 5, 20165.
F2: Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization.
Brookfield Mortgage Opportunity Income Fund Inc.
Report date September 26, 2016 · Filed September 26, 2016
This filing explicitly reported no securities owned.
Brookfield Real Assets Income Fund Inc.
Report date December 05, 2016 · Filed December 06, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,879 |
Ending reported balance
After 2016-12-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2016-12-05 · Grant · Acquired 1,581 · Balance 1,581 F1: Received in exchange for 4,924.37 shares of Brookfield High Income Fund Inc. [NYSE: HHY] in connection with the reorganization of HHY into Brookfield Real Assets Income Fund Inc. [NYSE: RA}. At the effective time of the reorganization, the net asset value of HHY was $8.03 per share, the net asset value of RA was $25.00 and the conversion rate was 0.32112. Row 2 · 2016-12-05 · Grant · Acquired 298 · Balance 1,879 F2: Received in exchange for 311.76 shares of Brookfield Total Return Fund Inc. [NYSE: HTR] in connection with the reorganization of HTR into Brookfield Real Assets Income Fund Inc. [NYSE: RA]. At the effective time of the reorganization, the net asset value of HTR was $23.96 per share, the net asset value of RA was $25.00 per share and the conversion rate was 0.95830. |
Filing footnotes · ownership attribution and instrument terms
F1: Received in exchange for 4,924.37 shares of Brookfield High Income Fund Inc. [NYSE: HHY] in connection with the reorganization of HHY into Brookfield Real Assets Income Fund Inc. [NYSE: RA}. At the effective time of the reorganization, the net asset value of HHY was $8.03 per share, the net asset value of RA was $25.00 and the conversion rate was 0.32112.
F2: Received in exchange for 311.76 shares of Brookfield Total Return Fund Inc. [NYSE: HTR] in connection with the reorganization of HTR into Brookfield Real Assets Income Fund Inc. [NYSE: RA]. At the effective time of the reorganization, the net asset value of HTR was $23.96 per share, the net asset value of RA was $25.00 per share and the conversion rate was 0.95830.
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 |
|---|---|---|---|---|---|---|
| December 05, 2016 Filed Dec 6, 2016 17:06 UTC | BROOKFIELD TOTAL RETURN FUND INC HTR · Entity 180591 | Disposition to issuerCommon Stock | 311.76 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001655099-16-000044 · primary_doc.xml · nonDerivative · entry 1 Shipley Mark · CIK 0001521802 · Adviser's Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Includes 8.04 shares acquired through dividend reinvestment between Septemebr 26, 2016 and December 5, 20165. F2 · price: Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 17:12 UTC | BROOKFIELD HIGH INCOME FUND INC. HHY · Entity 180579 | Disposition to issuerCommon Stock | 4,924.37 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001655099-16-000045 · primary_doc.xml · nonDerivative · entry 1 Shipley Mark · CIK 0001521802 · Adviser's Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 13:56 UTC | Brookfield Real Assets Income Fund Inc. RA · Entity 5232 | GrantCommon Stock | 298 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001655099-16-000026 · primary_doc.xml · nonDerivative · entry 2 Shipley Mark · CIK 0001521802 · Adviser's Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,879 F2 · price: Received in exchange for 311.76 shares of Brookfield Total Return Fund Inc. [NYSE: HTR] in connection with the reorganization of HTR into Brookfield Real Assets Income Fund Inc. [NYSE: RA]. At the effective time of the reorganization, the net asset value of HTR was $23.96 per share, the net asset value of RA was $25.00 per share and the conversion rate was 0.95830. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 13:56 UTC | Brookfield Real Assets Income Fund Inc. RA · Entity 5232 | GrantCommon Stock | 1,581 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001655099-16-000026 · primary_doc.xml · nonDerivative · entry 1 Shipley Mark · CIK 0001521802 · Adviser's Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,581 F1 · price: Received in exchange for 4,924.37 shares of Brookfield High Income Fund Inc. [NYSE: HHY] in connection with the reorganization of HHY into Brookfield Real Assets Income Fund Inc. [NYSE: RA}. At the effective time of the reorganization, the net asset value of HHY was $8.03 per share, the net asset value of RA was $25.00 and the conversion rate was 0.32112. 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.