Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADAMS NATURAL RESOURCES FUND, INC.PEO · Entity 5103 | 10% owner · See Explanation of Response | July 02, 2020 | July 09, 2020 |
| BNY MELLON MUNICIPAL INCOME, INC.DMF · Entity 11293 | Director | June 12, 2024 | June 21, 2024 |
| Brookfield DTLA Fund Office Trust Investor Inc.DTLA PR · Entity 158776 | Director | December 31, 2018 | March 30, 2019 |
| CROSSROADS CAPITAL, INC.XRDC · Entity 175375 | Director · 10% owner | June 07, 2017 | June 08, 2017 |
| FIRST TRUST DIVIDEND & INCOME FUNDFAV · Entity 181564 | 10% owner | October 19, 2016 | October 21, 2016 |
| HIGH INCOME SECURITIES FUNDPCF · Entity 6747 | Director · Affiliate of the Adviser | August 19, 2026 | August 21, 2026 |
| 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 |
| Logan Ridge Finance Corp.LRFC · Entity 77418 | 10% owner | March 13, 2025 | April 03, 2025 |
| MEXICO EQUITY & INCOME FUND INCMXE · Entity 7114 | Director | October 15, 2021 | October 18, 2021 |
| MFS INVESTMENT GRADE MUNICIPAL TRUSTCXH · Entity 12806 | 10% owner | February 24, 2026 | February 26, 2026 |
| 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 |
| SPECIAL OPPORTUNITIES FUND, INC.SPE · Entity 6548 | Director · Chairman and Secretary · Affiliate of the Adviser | March 02, 2026 | March 09, 2026 |
| TG Venture Acquisition Corp.TGVC · Entity 108563 | 10% owner | August 14, 2023 | September 20, 2023 |
| TORTOISE ENERGY INDEPENDENCE FUND, INC.NDP · Entity 84717 | 10% owner | April 30, 2021 | May 10, 2021 |
| Total Return Securities FundSWZ · Entity 8820 | Director · Secretary · Affiliate of the Adviser | October 01, 2026 | October 13, 2026 |
| WESTERN ASSET CORPORATE LOAN FUND INC.TLI · Entity 16378 | 10% owner | February 28, 2020 | March 06, 2020 |
| 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.
ADAMS NATURAL RESOURCES FUND, INC.
Report date July 02, 2020 · Filed July 09, 2020
Jointly reported with Bulldog Investors, LLP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,246 |
Reported balance
Holding disclosure · report date 2020-07-02 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 31,246 F1: Andrew Dakos and Phillip Goldstein are the members of Bulldog Investors, LLC. 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 a Schedule 13D, filed on behalf of the Reporting Persons and certain other stockholders of the Issuer on July 7, 2020. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The securities reported herein do not include any securities held by any group member other than the Reporting Persons, as such shares are being reported in a separate Form 3 filing. F2: 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. F3: Shares are held by Phillip Goldstein and/or his spouse. |
Filing footnotes · ownership attribution and instrument terms
F1: Andrew Dakos and Phillip Goldstein are the members of Bulldog Investors, LLC. 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 a Schedule 13D, filed on behalf of the Reporting Persons and certain other stockholders of the Issuer on July 7, 2020. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The securities reported herein do not include any securities held by any group member other than the Reporting Persons, as such shares are being reported in a separate Form 3 filing.
F2: 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.
F3: Shares are held by Phillip Goldstein and/or his spouse.
BNY MELLON MUNICIPAL INCOME, INC.
Report date June 12, 2024 · Filed June 21, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $.001 Per ShareSEC Table I · non-derivative | Direct | 58,110 |
Reported balance
Holding disclosure · report date 2024-06-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 58,110 |
Brookfield DTLA Fund Office Trust Investor Inc.
Report date December 31, 2018 · Filed March 30, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 7.625% Series A Cumulative Redeemable Preferred StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-06-06 transaction · row 1
1 source rowRow 1 · 2018-06-06 · Gift · Disposed 682 · Balance 0 |
CROSSROADS CAPITAL, INC.
Report date June 07, 2017 · Filed June 08, 2017
| 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 the shares. Mr. Goldstein is an owner of Bulldog Investors, LLC and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. 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. 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 the shares. Mr. Goldstein is an owner of Bulldog Investors, LLC and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of the shares. Mr. Goldstein is an owner of Bulldog Investors, LLC and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. 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.
FIRST TRUST DIVIDEND & INCOME FUND
Report date October 19, 2016 · Filed October 21, 2016
Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven
| 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.
HIGH INCOME SECURITIES FUND
Report date August 19, 2026 · Filed August 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,860 |
Ending reported balance
After 2026-08-20 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-08-19 · Purchase · Acquired 10,000 · Balance 57,860 Row 2 · 2026-08-19 · Purchase · Acquired 10,000 · Balance 67,860 Row 3 · 2026-08-20 · Purchase · Acquired 5,000 · Balance 72,860 |
JPMORGAN CHINA REGION FUND, INC.
Report date September 15, 2017 · Filed September 19, 2017
Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven
| 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, Dakos Andrew, Samuels Steven
| 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.
Logan Ridge Finance Corp.
Report date March 13, 2025 · Filed April 03, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,500 |
Reported balance
Holding disclosure · report date 2025-03-13 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,500 |
MEXICO EQUITY & INCOME FUND INC
Report date October 15, 2021 · Filed October 18, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,002 |
Reported balance
After 2021-10-15 transaction · row 1
1 source rowRow 1 · 2021-10-15 · Exercise / conversion · Acquired 10,001 · Balance 10,002 F1: Non-transferable rights were issued to stockholders of record as of August 27, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. |
Filing footnotes · ownership attribution and instrument terms
F1: Non-transferable rights were issued to stockholders of record as of August 27, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.
MFS INVESTMENT GRADE MUNICIPAL TRUST
Report date February 24, 2026 · Filed February 26, 2026
Jointly reported with Bulldog Investors, LLP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,268 |
Reported balance
After 2026-02-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-02-24 · Purchase · Acquired 1,372 · Balance 18,268 F1: Shares are held by Phillip Goldstein. Bulldog Investors, LLP and Andrew Dakos disclaim beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Phillip Goldstein. Bulldog Investors, LLP and Andrew Dakos disclaim beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP
Nuveen Global Equity Income Fund
Report date September 28, 2016 · Filed September 30, 2016
Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven
| 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, Dakos Andrew, Samuels Steven
| 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, Dakos Andrew, Samuels Steven
| 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.
SPECIAL OPPORTUNITIES FUND, INC.
Report date March 02, 2026 · Filed March 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 2.75% Convertible Preferred Stock, Series CSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 6,198 |
Reported balance
After 2026-03-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-03-02 · Other · Acquired 100 · Balance 6,198 F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. |
| 2.75% Convertible Preferred Stock, Series CSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 6,298 |
Reported balance
After 2026-03-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-03-04 · Other · Acquired 100 · Balance 6,298 F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. |
| 2.75% Convertible Preferred Stock, Series CSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 10,250 |
Reported balance
After 2026-03-05 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-03-05 · Purchase · Acquired 3,952 · Balance 10,250 F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. |
| Common StockSEC Table I · non-derivative | Direct | 34,822 |
Reported balance
Holding disclosure · report date 2026-03-02 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 34,822 |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held.
F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.
TG Venture Acquisition Corp.
Report date August 14, 2023 · Filed September 20, 2023
Jointly reported with Bulldog Investors, LLP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy voting/management authority | 0 |
Reported balance
Holding disclosure · report date 2023-08-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP. This Form 3 is being filed solely due to the redemptions of 10,106,304 shares of Class A Common Stock by shareholders other than the Reporting Persons, as announced by the Issuer on Form 10-Q on August 14, 2023 (the "Redemptions"). After the Redemptions, the Reporting Persons' beneficial ownership was above 10%; however, the Reporting Persons have no pecuniary interest in such shares, which are held by a client of Bulldog Investors, LLP and a registered investment company for which Messrs. Dakos and Goldstein serve on the Investment Committee. Thus, the amount of Shares reported in Column 2 in Table 1 is zero. The Reporting Persons have not acquired Class A Common Stock or any other equity securities of the Issuer since exceeding the 10% threshold due to the Redemptions. |
Filing footnotes · ownership attribution and instrument terms
F1: Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP. This Form 3 is being filed solely due to the redemptions of 10,106,304 shares of Class A Common Stock by shareholders other than the Reporting Persons, as announced by the Issuer on Form 10-Q on August 14, 2023 (the "Redemptions"). After the Redemptions, the Reporting Persons' beneficial ownership was above 10%; however, the Reporting Persons have no pecuniary interest in such shares, which are held by a client of Bulldog Investors, LLP and a registered investment company for which Messrs. Dakos and Goldstein serve on the Investment Committee. Thus, the amount of Shares reported in Column 2 in Table 1 is zero. The Reporting Persons have not acquired Class A Common Stock or any other equity securities of the Issuer since exceeding the 10% threshold due to the Redemptions.
TORTOISE ENERGY INDEPENDENCE FUND, INC.
Report date April 30, 2021 · Filed May 10, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2021-04-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Total Return Securities Fund
Report date October 01, 2026 · Filed October 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 124,229 |
Ending reported balance
After 2026-10-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-01 · Other · Acquired 15 · Balance 119,229 Row 2 · 2026-10-08 · Purchase · Acquired 5,000 · Balance 124,229 |
WESTERN ASSET CORPORATE LOAN FUND INC.
Report date February 28, 2020 · Filed March 06, 2020
Jointly reported with Bulldog Investors, LLP, Dakos Andrew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,889 |
Reported balance
After 2020-02-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-02-28 · Purchase · Acquired 586 · Balance 19,889 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, Dakos Andrew, Samuels Steven
| 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 (10)
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, Dakos Andrew, Samuels Steven
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, Samuels Steven, 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, Dakos Andrew, Samuels Steven
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.
Herzfeld Credit Income Fund, Inc
Report date April 06, 2020 · Filed April 21, 2020
Section 16 reporting ended · disclosed 2020-04-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 203,931 |
Ending reported balance
After 2020-04-17 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2020-04-06 · Sale · Disposed 18,714 · Balance 240,697 Row 2 · 2020-04-07 · Sale · Disposed 25,000 · Balance 215,697 Row 3 · 2020-04-08 · Sale · Disposed 5,000 · Balance 210,697 Row 4 · 2020-04-09 · Sale · Disposed 5,177 · Balance 205,520 Row 5 · 2020-04-17 · Sale · Disposed 1,589 · Balance 203,931 |
MFS HIGH YIELD MUNICIPAL TRUST
Report date January 20, 2026 · Filed January 23, 2026 · Amendment
Jointly reported with Bulldog Investors, LLP, Dakos Andrew
Section 16 reporting ended · disclosed 2026-01-22. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 24,878 |
Reported balance
After 2026-01-20 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2026-01-20 · Purchase · Acquired 678 · Balance 24,878 F2: This Amendment is filed solely to reflect in Column 4 of Table I, that the securities in the reported transaction were Acquired, not Disposed of. F1: Shares are held by Phillip Goldstein. Bulldog Investors, LLP and Andrew Dakos disclaim beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Phillip Goldstein. Bulldog Investors, LLP and Andrew Dakos disclaim beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP
F2: This Amendment is filed solely to reflect in Column 4 of Table I, that the securities in the reported transaction were Acquired, not Disposed of.
MVC CAPITAL, INC.
Report date December 23, 2020 · Filed December 23, 2020
Section 16 reporting ended · disclosed 2020-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-12-23 transaction · row 1
1 source rowRow 1 · 2020-12-23 · Disposition to issuer · Disposed 13,666 · Balance 0 F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger"). F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger").
F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock.
NEUBERGER REAL ESTATE SECURITIES INCOME FUND INC
Report date December 15, 2016 · Filed December 16, 2016
Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven
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.
NEW IRELAND FUND INC
Report date April 05, 2021 · Filed August 05, 2021
Jointly reported with Bulldog Investors, LLP, Dakos Andrew
Section 16 reporting ended · disclosed 2021-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by Clients | 394,374 |
Reported balance
After 2021-04-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-05 · Sale · Disposed 25,088 · Balance 394,374 F1: Certain clients of Bulldog Investors, LLP are the beneficial owners of these shares. Bulldog Investors, LLP disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP |
Filing footnotes · ownership attribution and instrument terms
F1: Certain clients of Bulldog Investors, LLP are the beneficial owners of these shares. Bulldog Investors, LLP disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP
NXG NextGen Infrastructure Income Fund
Report date February 15, 2017 · Filed February 16, 2017
Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven
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.
Virtus Total Return Fund
Report date March 22, 2017 · Filed March 27, 2017
Jointly reported with Bulldog Investors General Partnership, Opportunity Income Plus LP, MCM Opportunity Partners LP, FULL VALUE PARTNERS LP, Calapasas West Partners LP, OPPORTUNITY PARTNERS LP, MERCURY PARTNERS L P, STEADY GAIN PARTNERS LP, Full Value Special Situations Fund LP
Section 16 reporting ended · disclosed 2017-03-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 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: This Form 4 is filed jointly by Bulldog Investors General Partnership, Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, MCM Opportunity Partners, LP, Opportunity Income Plus Fund, LP, and Phillip Goldstein (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 on March 23, 2017. 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. 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: This Form 4 is filed jointly by Bulldog Investors General Partnership, Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, MCM Opportunity Partners, LP, Opportunity Income Plus Fund, LP, and Phillip Goldstein (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 on March 23, 2017. 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. Shares were tendered by the Reporting Persons in connection with the Issuer tender offer that commenced February 15, 2017 and expired March 15, 2017.
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 |
|---|---|---|---|---|---|---|
| January 04, 2019 Filed Jan 8, 2019 22:34 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Purchase3.50% Convertible Preferred Stock Series B · Derivative | 2,500 | $24.90 Strike: $0.00 | $62,250.00 |
DisclosureSEC source: 0001144204-19-001123 · tv510625_form4.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,999 Underlying: Common Stock · 3,290 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021. Read SEC document |
| January 03, 2019 Filed Jan 4, 2019 22:30 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Other3.50% Convertible Preferred Stock Series B · Derivative | 3,000 | $24.90 Strike: $0.00 | $74,700.00 |
DisclosureSEC source: 0001144204-19-000710 · tv510449_form4.xml · derivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,499 Underlying: Common Stock · 3,947 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021. Read SEC document |
| January 03, 2019 Filed Jan 8, 2019 22:33 UTC Amendment | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Purchase3.50% Convertible Preferred Stock Series B · Derivative | 3,000 | $24.90 Strike: $0.00 | $74,700.00 |
DisclosureSEC source: 0001144204-19-001122 · tv510624_form4a.xml · derivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,499 Underlying: Common Stock · 3,947 shares Expires not disclosed F3 · kind: This amended Form 4 is being filed to correct the Transaction Code. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:46 UTC | Total Return Securities Fund SWZ · Entity 8820 | OtherCommon Stock | 104,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-000546 · doc4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 0 F1 · kind: These shares of common stock of The Swiss Helvetia Fund, Inc. are held in the accounts of certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors"). Mr. Goldstein (the "Reporting Person") is a controlling member of Bulldog Investors, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Bulldog Investors and the Reporting Person are no longer deemed to have a pecuniary interest in such shares as of January 2, 2019 and as a result such shares will no longer be reported on the Reporting Person's Form 4. F1 · price: These shares of common stock of The Swiss Helvetia Fund, Inc. are held in the accounts of certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors"). Mr. Goldstein (the "Reporting Person") is a controlling member of Bulldog Investors, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Bulldog Investors and the Reporting Person are no longer deemed to have a pecuniary interest in such shares as of January 2, 2019 and as a result such shares will no longer be reported on the Reporting Person's Form 4. F1 · ownership.nature: These shares of common stock of The Swiss Helvetia Fund, Inc. are held in the accounts of certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors"). Mr. Goldstein (the "Reporting Person") is a controlling member of Bulldog Investors, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Bulldog Investors and the Reporting Person are no longer deemed to have a pecuniary interest in such shares as of January 2, 2019 and as a result such shares will no longer be reported on the Reporting Person's Form 4. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 22:30 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 3 | $11.75 | $35.25 |
DisclosureSEC source: 0001144204-19-000710 · tv510449_form4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,091 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:45 UTC | Brookfield DTLA Fund Office Trust Investor Inc. DTLA PR · Entity 158776 | Other7.625% Series A Cumulative Redeemable Preferred Stock | 200,936 | $0.00 | $0.00 |
DisclosureSEC source: 0000895345-19-000012 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 0 F1 · kind: These shares are held in the accounts of private investment fund clients of Bulldog Investors. The Reporting Person is a Principal of Bulldog Investors. Bulldog Investors is no longer deemed to have a pecuniary interest in such shares as of January 2, 2019 and as a result such shares will no longer be reported on the Reporting Person's Form 4. F2 · ownership.nature: Shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment advisor of each fund, and is a limited partner in certain funds. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 22:31 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 3,000 | $11.34 | $34,020.00 |
DisclosureSEC source: 0001144204-18-066787 · tv510124_form4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,088 Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 22:31 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 3,000 | $11.29 | $33,870.00 |
DisclosureSEC source: 0001144204-18-066787 · tv510124_form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,088 Read SEC document |
| December 26, 2018 Filed Feb 14, 2019 22:32 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | GiftCOMMON STOCK | 10,772 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-19-008398 · tv513819_5.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,241 F1 · price: No compensation was given for the gifting of shares. Read SEC document |
| December 19, 2018 Filed Jan 4, 2019 22:30 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 5,000 | $11.61 | $58,050.00 |
DisclosureSEC source: 0001144204-19-000710 · tv510449_form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,088 Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:06 UTC | Total Return Securities Fund SWZ · Entity 8820 | Disposition to issuerCommon Stock | 17,633 | $7.86 | $138,595.38 |
DisclosureSEC source: 0000899243-18-029608 · doc4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,050 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:06 UTC | Total Return Securities Fund SWZ · Entity 8820 | Disposition to issuerCommon Stock | 1,782,348 | $7.86 | $14,009,255.28 |
DisclosureSEC source: 0000899243-18-029608 · doc4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 104,660 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer. F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of the Fund's common stock deemed to be beneficially owned by Mr. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein is a controlling member of Bulldog Investors, LLC, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Mr. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:50 UTC | Total Return Securities Fund SWZ · Entity 8820 | OtherCommon Stock | 5,924 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027301 · doc4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,683 F1 · kind: Represents shares of common stock of The Swiss Helvetia Fund, Inc. (the "Fund") received pursuant to a stock dividend with a cash election feature, payable on October 19, 2018, that was declared by the Fund's Board of Directors on September 7, 2018 to all common stockholders of record as of the close of business on September 18, 2018. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:50 UTC | Total Return Securities Fund SWZ · Entity 8820 | OtherCommon Stock | 598,378 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027301 · doc4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,887,008 F1 · kind: Represents shares of common stock of The Swiss Helvetia Fund, Inc. (the "Fund") received pursuant to a stock dividend with a cash election feature, payable on October 19, 2018, that was declared by the Fund's Board of Directors on September 7, 2018 to all common stockholders of record as of the close of business on September 18, 2018. F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of the Fund's common stock deemed to be beneficially owned by Mr. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein is a controlling member of Bulldog Investors, LLC, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Mr. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 10, 2018 Filed Oct 12, 2018 17:00 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 449,476 | $9.41 | $4,229,569.16 |
DisclosureSEC source: 0000922423-18-000026 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 0 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| October 08, 2018 Filed Oct 9, 2018 18:02 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 600 | $13.35 | $8,010.00 |
DisclosureSEC source: 0001398344-18-014674 · fp0036325_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 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: 634,121 F1 · ownership.nature: 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. Read SEC document |
| October 05, 2018 Filed Oct 9, 2018 16:41 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 65,957 | $9.43 | $621,974.51 |
DisclosureSEC source: 0000922423-18-000020 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 449,476 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| October 05, 2018 Filed Oct 9, 2018 18:02 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 13,348 | $13.41 | $179,051.41 |
DisclosureSEC source: 0001398344-18-014674 · fp0036325_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 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: 633,521 F1 · ownership.nature: 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. Read SEC document |
| October 05, 2018 Filed Oct 10, 2018 19:08 UTC Amendment | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 65,957 | $9.43 | $621,974.51 |
DisclosureSEC source: 0000922423-18-000024 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 449,476 F1 · ownership.nature: The purpose of the amendment is to revise the footnote previously reported. F2 · ownership.nature: The Reporting Person is a principal of the investment adviser to several private investment funds, a registered investment company, and other clients. The general partner (of which the Reporting Person is not a principal) of a private investment fund advised by such investment adviser recently determined to liquidate it. Consequently, the aforementioned investment adviser of that private investment fund is required to dispose of all of its assets, including its shares of MVC Capital. The Reporting Person disclaims any beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. The Reporting Person has not sold any shares of MVC Capital held that he holds directly. Read SEC document |
| October 04, 2018 Filed Oct 5, 2018 17:09 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 970 | $9.50 | $9,215.00 |
DisclosureSEC source: 0000922423-18-000017 · form4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 515,433 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| October 04, 2018 Filed Oct 5, 2018 18:13 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 17,720 | $13.36 | $236,774.64 |
DisclosureSEC source: 0001398344-18-014574 · fp0036288_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: 620,173 F1 · ownership.nature: 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. Read SEC document |
| October 03, 2018 Filed Oct 5, 2018 17:09 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 9,035 | $9.51 | $85,922.85 |
DisclosureSEC source: 0000922423-18-000017 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 516,403 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| October 03, 2018 Filed Oct 5, 2018 18:13 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 9,000 | $13.59 | $122,347.80 |
DisclosureSEC source: 0001398344-18-014574 · fp0036288_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: 602,453 F1 · ownership.nature: 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. Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 16:30 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 14,042 | $9.58 | $134,522.36 |
DisclosureSEC source: 0000922423-18-000015 · form4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 525,438 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 16:43 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 8,353 | $13.62 | $113,758.67 |
DisclosureSEC source: 0001398344-18-014426 · fp0036232_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: 593,453 F1 · ownership.nature: (1) 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. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 16:40 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | OtherCommon Stock | 149,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-18-014262 · fp0036193_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: 583,990 F4 · kind: These shares of AKP are held in the account of a private investment fund client of Bulldog Investors. Bulldog Investors is no longer deemed to have a pecuniary interest in such shares as of October 1, 2018 and as a result such shares will no longer be reported on the Reporting Persons' Form 4. F1 · ownership.nature: 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:30 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 4,813 | $9.61 | $46,252.93 |
DisclosureSEC source: 0000922423-18-000015 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 539,480 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 20:19 UTC | Brookfield DTLA Fund Office Trust Investor Inc. DTLA PR · Entity 158776 | Other7.625% Series A Cumulative Redeemable Preferred Stock | 46,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-18-003643 · doc1.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 200,936 F2 · kind: These shares are held in the account of a private investment fund client of Bulldog Investors. The Reporting Person is a Principal of Bulldog Investors. Bulldog Investors is no longer deemed to have a pecuniary interest in such shares as of October 1, 2018 and as a result such shares will no longer be reported on the Reporting Person's Form 4. F1 · ownership.nature: Shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment advisor of each fund, and is a limited partner in certain funds. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:43 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 1,110 | $13.61 | $15,106.99 |
DisclosureSEC source: 0001398344-18-014426 · fp0036232_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: 585,100 F1 · ownership.nature: (1) 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. Read SEC document |
| September 28, 2018 Filed Oct 1, 2018 16:40 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 100 | $13.50 | $1,350.00 |
DisclosureSEC source: 0001398344-18-014262 · fp0036193_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: 733,555 F1 · ownership.nature: 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. Read SEC document |
| September 25, 2018 Filed Sep 26, 2018 18:19 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 2,200 | $13.45 | $29,579.00 |
DisclosureSEC source: 0001398344-18-013951 · fp0035704_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: 733,455 F1 · ownership.nature: 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. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 17:27 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 6,700 | $9.75 | $65,325.00 |
DisclosureSEC source: 0000922423-18-000013 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 544,293 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| September 24, 2018 Filed Sep 25, 2018 16:32 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 3,511 | $9.78 | $34,337.58 |
DisclosureSEC source: 0001567619-18-003096 · doc1.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 550,993 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| September 24, 2018 Filed Sep 26, 2018 18:19 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 300 | $13.45 | $4,034.40 |
DisclosureSEC source: 0001398344-18-013951 · fp0035704_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: 731,255 F1 · ownership.nature: 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. Read SEC document |
| September 21, 2018 Filed Sep 25, 2018 16:32 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | SaleCommon Stock, .01 par value | 5,291 | $9.75 | $51,587.25 |
DisclosureSEC source: 0001567619-18-003096 · doc1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 554,504 F1 · ownership.nature: Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| August 30, 2018 Filed Aug 31, 2018 14:46 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 12,200 | $13.80 | $168,347.80 |
DisclosureSEC source: 0001398344-18-013021 · fp0035704_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: 730,955 F1 · ownership.nature: 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. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 14:46 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 6,408 | $13.80 | $88,417.58 |
DisclosureSEC source: 0001398344-18-013021 · fp0035704_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: 718,755 F1 · ownership.nature: 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. Read SEC document |
| August 27, 2018 Filed Aug 29, 2018 18:47 UTC | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973 | PurchaseCommon Stock | 8,200 | $13.76 | $112,832.00 |
DisclosureSEC source: 0001398344-18-012773 · fp0035630_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: 712,347 F1 · ownership.nature: 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. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 17:22 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 2,407 | $14.95 | $35,984.65 |
DisclosureSEC source: 0001144204-18-037145 · tv497967_form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,088 Read SEC document |
| June 28, 2018 Filed Jul 2, 2018 11:46 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 93 | $14.95 | $1,390.35 |
DisclosureSEC source: 0001144204-18-036803 · tv497829_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,681 Read SEC document |
| June 08, 2018 Filed Oct 3, 2018 20:19 UTC | Brookfield DTLA Fund Office Trust Investor Inc. DTLA PR · Entity 158776 | Purchase7.625% Series A Cumulative Redeemable Preferred Stock | 1,155 | $24.79 | $28,635.45 |
DisclosureSEC source: 0001567619-18-003643 · doc1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 246,986 F1 · ownership.nature: Shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment advisor of each fund, and is a limited partner in certain funds. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| June 06, 2018 Filed Jun 7, 2018 14:38 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | OtherCommon Stock | 90,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001398344-18-008689 · fp0033896_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: 1,467,199 F5 · kind: These shares of PCF are held in the account of a private investment fund client of Bulldog Investors. Bulldog Investors is no longer deemed to have a pecuniary interest in such account as of June 1, 2018 and as a result such shares will no longer be reported on the Reporting Persons' Form 4. F1 · ownership.nature: 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. Read SEC document |
| June 06, 2018 Filed Mar 30, 2019 00:25 UTC | Brookfield DTLA Fund Office Trust Investor Inc. DTLA PR · Entity 158776 | Gift7.625% Series A Cumulative Redeemable Preferred Stock | 682 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-007877 · doc1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 24, 2018 Filed May 25, 2018 15:45 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 3,000 | $15.00 | $45,000.00 |
DisclosureSEC source: 0001144204-18-030983 · tv495130_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,588 Read SEC document |
| May 11, 2018 Filed May 15, 2018 14:03 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 186 | $15.03 | $2,795.58 |
DisclosureSEC source: 0001144204-18-028485 · tv494209_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,588 Read SEC document |
| April 13, 2018 Filed Apr 17, 2018 14:51 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 3,000 | $14.89 | $44,670.00 |
DisclosureSEC source: 0001144204-18-020846 · tv491146_form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,402 Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 15:23 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 2,500 | $14.70 | $36,750.00 |
DisclosureSEC source: 0001144204-18-017782 · tv489883_form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,402 Read SEC document |
| March 23, 2018 Filed Mar 26, 2018 15:49 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 3,000 | $14.55 | $43,650.00 |
DisclosureSEC source: 0001144204-18-016816 · tv489528_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,902 Read SEC document |
| March 22, 2018 Filed Mar 26, 2018 15:49 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 630 | $14.74 | $9,286.20 |
DisclosureSEC source: 0001144204-18-016816 · tv489528_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,902 Read SEC document |
| February 28, 2018 Filed Mar 1, 2018 19:50 UTC | MEXICO EQUITY & INCOME FUND INC MXE · Entity 7114 | Disposition to issuerCommon Stock | 1,985 | $12.15 | $24,117.75 |
DisclosureSEC source: 0001144204-18-012183 · tv487517_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,615 F1 · kind: The reported securities were purchased by the issuer in a cash tender offer. F1 · balance_after: The reported securities were purchased by the issuer in a cash tender offer. 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.