Filing Details
- Accession Number:
- 0001398344-16-015470
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-07-22 11:07:51
- Reporting Period:
- 2016-07-20
- Filing Date:
- 2016-07-22
- Accepted Time:
- 2016-07-22 11:07:51
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1310445 | Virtus Total Return Fund | DCA | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1067621 | Phillip Goldstein | 60 Heritage Drive Pleasantville NY 10570 | No | No | Yes | Yes | |
1581172 | Opportunity Income Plus Lp | Park 80 West 250 Pehle Ave., Ste 708 Saddle Brook NJ 07663 | No | No | Yes | Yes | |
1584439 | Full Value Offshore Fund, Ltd. | Park 80 West - Plaza Two 250 Pehle Ave. Suite 708 Saddle Brook NJ 07663 | No | No | Yes | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2016-07-20 | 530 | $4.60 | 134,819 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 288,662 | Direct | |
Common Stock | 20,196 | Direct |
Footnotes
- This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission.
- 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 May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
- 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 of Common Stock beneficially owned by Full Value Offshore Fund, Ltd.
- Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP.
- Shares of Common Stock beneficially owned by Phillip Goldstein. Mr. Goldstein is an owner of Bulldog Investors, LLC, an investment adviser registered with the Securities and Exchange Commission, and as a result may be deemed to have a beneficial interest in certain shares of Common Stock of the Issuer indirectly owned by Bulldog Investors, LLC. Such holdings are included in a separate Form 4 filed on behalf of Bulldog Investors, LLC. Mr. Goldstein disclaims beneficial interest in such shares reported by Bulldog Investors, LLC, except to the extent of any pecuniary interest therein.