According to a newly-amended 13D filing with the US SEC, Phillip Goldstein, Andrew Dakos, and Steven Samuels’ Bulldog Investors increased its stake in First Trust Dividend & Income Fund (NYSE:FAV) to 1.94 million shares, which account for 23.49%. Previously, Bulldog Investors’ stake consisted of 1.85 million shares, which amassed 22.39%, as reported in its last 13D filing on the company.
First Trust Dividend and Income Fund is a closed-end management investment company. Over the past 12 months, the company’s stake has gained 16.65%.
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According to our hedge fund database, an investor who dumped First Trust Dividend & Income Fund (NYSE:FAV) during the quarter, was William Michaelcheck’s Mariner Investment Group, which said goodbye to a position valued at the end of March at $203,000.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Bulldog Investors | 1,688,924 | 251,189 | 1,688,924 | 251,189 | 23.49% | |
| Bulldog Investors Group of Funds | 1,688,924 | 0 | 1,688,924 | 0 | 20.45% | |
| Phillip Goldstein | 1,688,924 | 251,189 | 1,688,924 | 251,189 | 23.49% | |
| Andrew Dakos | 1,688,924 | 251,189 | 1,688,924 | 251,189 | 23.49% | |
| Steven Samuels | 1,688,924 | 251,189 | 1,688,924 | 251,189 | 23.49% |
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Page 1 of 2 – SEC Filing
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
8/29/16
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
1,688,924
8. SHARED VOTING POWER
251,189
9. SOLE DISPOSITIVE POWER
1,688,924
_______________________________________________________
10. SHARED DISPOSITIVE POWER
251,189
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,940,113 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
23.49%
14. TYPE OF REPORTING PERSON
IA
____________________________________________________________
1. NAME OF REPORTING PERSON
Bulldog Investors Group of Funds
2. CHECK THE BOX IF MEMBER OF A GROUP a[X]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
1,688,924
8. SHARED VOTING POWER
0
9. SOLE DISPOSITIVE POWER
1,688,924
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,688,924 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
20.45%
14. TYPE OF REPORTING PERSON
IC
____________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
1,688,924
8. SHARED VOTING POWER
251,189
9. SOLE DISPOSITIVE POWER
1,688,924
_______________________________________________________
10. SHARED DISPOSITIVE POWER
251,189
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,940,113 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
23.49%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
1,688,924
8. SHARED VOTING POWER
251,189
9. SOLE DISPOSITIVE POWER
1,688,924
_______________________________________________________
10. SHARED DISPOSITIVE POWER
251,189
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,940,113 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
23.49%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
1,688,924
8. SHARED VOTING POWER
251,189
9. SOLE DISPOSITIVE POWER
1,688,924
_______________________________________________________
10. SHARED DISPOSITIVE POWER
251,189
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,940,113 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
23.49%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #15 to the schedule 13d
filed September 25, 2015. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
