SEC Form 4 · accession 0001387131-17-003173
CROSSROADS CAPITAL, INC. · XRDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Dakos
Director · 10% Owner
Period of report
Jun 7, 2017
Accepted (ET)
Jun 8, 2017 · 5:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001444706
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 7, 2017 | S | 28,479 | $2.17 | D | 797,848 | I | By Clients |
| Common StockF1 | Jun 7, 2017 | P | 28,479 | $2.17 | A | 826,327 | 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 the shares. Mr. Dakos is an owner of Bulldog Investors, LLC and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Dakos 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.