SEC Form 4 · accession 0001398344-16-018835
FIRST TRUST DIVIDEND & INCOME FUND · FAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Phillip Goldstein
10% Owner
Andrew Dakos
10% Owner
Bulldog Investors, LLC
10% Owner
Steven Samuels
10% Owner
Period of report
Sep 22, 2016
Accepted (ET)
Sep 26, 2016 · 10:16 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403275
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 22, 2016 | P | 65,780 | $9.0789 | A | 1,859,325 | I | By Clients |
| Common StockF1 | Sep 23, 2016 | P | 39,426 | $9.0689 | A | 1,898,751 | I | By Clients |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.