Filing Details
- Accession Number:
- 0001504304-16-000158
- Form Type:
- 13D Filing
- Publication Date:
- 2016-03-17 09:28:12
- Filed By:
- Bulldog Investors
- Company:
- Virtus Total Return Fund (NYSE:DCA)
- Filing Date:
- 2016-03-17
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
Bulldog Investors | 1,670,408 | 1,458,422 | 1,670,408 | 1,458,422 | 11.39% | |
Bulldog Investors Group of Funds | 1,670,408 | 0 | 1,670,408 | 0 | 6.08% | |
Phillip Goldstein | 1,670,408 | 1,458,422 | 1,670,408 | 1,458,422 | 11.39% | |
Andrew Dakos | 1,670,408 | 1,458,422 | 1,670,408 | 1,458,422 | 11.39% | |
Steven Samuels | 1,670,408 | 1,458,422 | 1,670,408 | 1,458,422 | 11.39% |
SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 3/16/16 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 1,670,408 8. SHARED VOTING POWER 1,458,422 9. SOLE DISPOSITIVE POWER 1,670,408 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 1,458,422 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 3,128,830 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 11.39% 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 1,670,408 8. SHARED VOTING POWER 0 9. SOLE DISPOSITIVE POWER 1,670,408 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 1,670,408 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 6.08% 14. TYPE OF REPORTING PERSON IC 1. NAME OF REPORTING PERSON Phillip Goldstein 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 USA ___________________________________________________________ 7. SOLE VOTING POWER 1,670,408 8. SHARED VOTING POWER 1,458,422 9. SOLE DISPOSITIVE POWER 1,670,408 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 1,458,422 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 3,128,830 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 11.39% 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 1,670,408 8. SHARED VOTING POWER 1,458,422 9. SOLE DISPOSITIVE POWER 1,670,408 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 1,458,422 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 3,128,830 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 11.39% 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 1,670,408 8. SHARED VOTING POWER 1,458,422 9. SOLE DISPOSITIVE POWER 1,670,408 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 1,458,422 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 3,128,830 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 11.39% 14. TYPE OF REPORTING PERSON IN _______________________________________________________ Item 1. SECURITY AND ISSUER This statement constitutes Amendment #3 to the schedule 13d filed February 19, 2016. Except as specifically set forth herein, the Schedule 13d remains unmodified. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) As per the N-CSR filed on February 8, 2016, there were 27,466,109 shares of common stock outstanding as of November 30, 2015. The percentages set forth herein were derived using such number. Phillip Goldstein, Andrew Dakos and Steven Samuels own Bulldog Investors, LLC, a registered investment advisor. As of March 16, 2016, Bulldog Investors, LLC is deemed to be the beneficial owner of 3,128,830 shares of DCA (representing 11.39% of DCA's outstanding shares) solely by virtue of Bulldog Investors LLC's power to direct the vote of,and dispose of, these shares. These 3,128,830 shares of DCA include 1,670,408 shares (representing 6.08% of DCA's outstanding shares) that are beneficially owned by Mr. Goldstein and the following entities over which Messrs. Goldstein, Dakos and Samuels exercise control: Opportunity Partners LP, Calapasas West Partners LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus, Full Value Partners, LP, and MCM Opportunity Partners, LP (collectively, "Bulldog Investors Group of Funds"). Mr. GOldstein and Bulldog Investors Group of Funds may be deemed to constitute a group. All other shares included in the aforementioned 3,128,830 shares of DCA beneficially owned by Bulldog Investors LLC (solely by virtue of its power to sell or direct the vote of these shares) are also beneficially owned by clients of Bulldog Investors, LLC who are not members of any group. The total number of these "non-group" shares is 1,458,422 shares (representing 5.31% of DCA's outstanding shares). (b)Bulldog Investors,LLC has sole power to dispose of and vote 1,670,408 shares. Bulldog Investors, LLC has shared power to dispose of and vote 1,458,422 shares. Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more than 5% of DCA's shares) share this power with Bulldog Investors, LLC. Messrs. Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC. c) Since the last filing on 3/7/16 the following shares of DCA were purchased: Date: Shares: Price: 03/07/16 57,600 3.8543 03/08/16 28,039 3.8527 03/09/16 32,600 3.8815 03/11/16 15,400 4.0453 03/14/16 65,170 4.0388 03/15/16 52,474 4.0322 03/16/16 67,000 4.0429 d) Clients of Bulldog Investors, LLC are entitled to receive any dividends or sales proceeds. e) N/A ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. N/A ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: 3/17/16 By: /S/ Phillip Goldstein Name: Phillip Goldstein By: /S/ Andrew Dakos Name: Andrew Dakos By: /S/ Steven Samuels Name: Steven Samuels Bulldog Investors, LLC By: /s/ Andrew Dakos Andrew Dakos, Member Footnote 1: The reporting persons disclaim beneficial ownership except to the extent of any pecuniary interest therein.