Filing Details
- Accession Number:
- 0001398344-16-018838
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-26 10:25:00
- Reporting Period:
- 2016-09-22
- Filing Date:
- 2016-09-26
- Accepted Time:
- 2016-09-26 10:25:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1403275 | First Trust Dividend & Income Fund | FAV | () | 1231 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1364773 | Partnership General Investors Bulldog | Park 80 West - Plaza Two 250 Pehle Ave., Ste 708 Saddle Brook NJ 07663 | No | No | Yes | No | |
| 1581172 | Opportunity Income Plus Lp | Park 80 West - Plaza Two 250 Pehle Ave., Ste 708 Saddle Brook NJ 07663 | No | No | Yes | No | |
| 1584439 | Full Value Offshore Fund, Ltd. | C.o Maples Corporate Services Limited P.o. Box 309, Ugland House Grand Cayman E9 KY1-1104 | No | No | Yes | No |
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 | 2016-09-22 | 63,882 | $9.08 | 1,568,672 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-09-23 | 38,289 | $9.07 | 1,606,961 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-09-22 | 1,898 | $9.08 | 70,853 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-09-23 | 1,137 | $9.07 | 71,990 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 219,600 | Direct |
Footnotes
- Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein.
- Shares are held by Full Value Offshore Fund, Ltd.
- Shares are held by Opportunity Income Plus, LP.
Billionaire Hedge Funds
