SEC Form 4 · accession 0001398344-16-018838
FIRST TRUST DIVIDEND & INCOME FUND · FAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 22, 2016
Accepted (ET)
Sep 26, 2016 · 10:25 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 | 63,882 | $9.0789 | A | 1,568,672 | D | |
| Common StockF1 | Sep 23, 2016 | P | 38,289 | $9.0689 | A | 1,606,961 | D | |
| Common StockF2 | Sep 22, 2016 | P | 1,898 | $9.0789 | A | 70,853 | D | |
| Common StockF2 | Sep 23, 2016 | P | 1,137 | $9.0689 | A | 71,990 | D | |
| Common StockF3 | holding | — | — | — | 219,600 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares 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.
- F2Shares are held by Full Value Offshore Fund, Ltd.
- F3Shares are held by Opportunity Income Plus, LP.