SEC Form 4 · accession 0000899243-18-023839
FRANKLIN LTD DURATION INCOME TRUST · FTF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
UBS Group AG
10% Owner
Period of report
Aug 31, 2018
Accepted (ET)
Sep 5, 2018 · 2:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001233087
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Auction Preferred StockF4,F3,F2,F1 | Aug 31, 2018 | J | 593 | — | D | 0 | I | By subsidiary - |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients.
- F2This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.
- F3At Par
- F4(Cusip Nos 35472T200, 35472T309, 35472T408)
Remarks
*The relevant APS was redeemed by the issuer The Shares reported herein represent UBS Group AG's combined holdings in multiple series of auction preferred securities of the issuer, which are treated herein as one class of securities.