Filing Details
- Accession Number:
- 0001504304-17-000052
- Form Type:
- 13D Filing
- Publication Date:
- 2017-06-20 15:41:03
- Filed By:
- Bulldog Investors
- Company:
- Adventaymore Enhanced Growth & Income Fund (NYSE:LCM)
- Filing Date:
- 2017-06-20
- 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 | 416,141 | 371,822 | 416,141 | 371,822 | 5.79% | |
Phillip Goldstein | 416,141 | 371,822 | 416,141 | 371,822 | 5.79% | |
Andrew Dakos | 416,141 | 371,822 | 416,141 | 371,822 | 5.79% | |
Steven Samuels | 416,141 | 371,822 | 416,141 | 371,822 | 5.79% |
SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 6/19/17 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 416,141 8. SHARED VOTING POWER 371,822 9. SOLE DISPOSITIVE POWER 416,141 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 371,822 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 787,963 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 5.79% 14. TYPE OF REPORTING PERSON IA ___________________________________________________________ 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 416,141 8. SHARED VOTING POWER 371,822 9. SOLE DISPOSITIVE POWER 416,141 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 371,822 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 787,963 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 5.79% 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 416,141 8. SHARED VOTING POWER 371,822 9. SOLE DISPOSITIVE POWER 416,141 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 371,822 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 787,963 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 5.79% 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 416,141 8. SHARED VOTING POWER 371,822 9. SOLE DISPOSITIVE POWER 416,141 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 371,822 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 787,963 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 5.79% 14. TYPE OF REPORTING PERSON IN _______________________________________________________ Item 1. SECURITY AND ISSUER This statement constitutes Amendment #6 to the schedule 13d filed July 10, 2015. 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 January 6, 2017, there were 13,603,025 shares of common stock outstanding as of October 31, 2016. 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 June 19, 2017, Bulldog Investors, LLC is deemed to be the beneficial owner of 787,963 shares of LCM (representing 5.79% of LCM's outstanding shares) solely by virtue of Bulldog Investors LLC's power to direct the vote of, and dispose of, these shares. These 787,963 shares of LCM include 416,141 shares (representing 3.06% of LCM's outstanding shares) that are beneficially owned by 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 Partners, LP, Opportunity Income Plus, LP, and MCM Opportunity Partners, LP (collectively,"Bulldog Investors Group of Funds"). Bulldog Investors Group of Funds may be deemed to constitute a group. All other shares included in the aforementioned 787,963 shares of LCM 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 371,822 shares (representing 2.73% of LCM's outstanding shares). (b)Bulldog Investors,LLC has sole power to dispose of and vote 416,141 shares. Bulldog Investors, LLC has shared power to dispose of and vote 371,822 shares. Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more than 5% of LCM'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 6/9/17 the following shares of LCM were sold: Date: Shares: Price: 06/09/17 (39,374) 8.8271 06/12/17 (5,083) 8.8100 06/13/17 (28,180) 8.8050 06/14/17 (37,500) 8.7990 06/15/17 (15,500) 8.7816 06/16/17 (9,510) 8.7719 06/19/17 (32,168) 8.8153
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 None 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: 6/20/2017 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.