SEC Form 4 · accession 0001398344-17-003938
Virtus Total Return Fund · DCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
MERCURY PARTNERS L P
10% Owner · Other
OPPORTUNITY PARTNERS LP
10% Owner · Other
Phillip Goldstein
10% Owner · Other
FULL VALUE PARTNERS LP
10% Owner · Other
STEADY GAIN PARTNERS LP
10% Owner · Other
Bulldog Investors General Partnership
10% Owner · Other
Calapasas West Partners LP
10% Owner · Other
Full Value Special Situations Fund LP
10% Owner · Other
MCM Opportunity Partners LP
10% Owner · Other
Opportunity Income Plus LP
10% Owner · Other
Period of report
Mar 22, 2017
Accepted (ET)
Mar 27, 2017 · 12:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001310445
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Mar 22, 2017 | S | 2,636,634 | $4.8707 | D | 1,553,860 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed jointly by Bulldog Investors General Partnership, Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, MCM Opportunity Partners, LP, Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons").
- F2Each 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 March 23, 2017. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
- F3Each 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 were tendered by the Reporting Persons in connection with the Issuer tender offer that commenced February 15, 2017 and expired March 15, 2017.