SEC Form 4 · accession 0001655099-16-000028
Brookfield Real Assets Income Fund Inc. · RA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Dec 5, 2016
Accepted (ET)
Dec 6, 2016 · 2:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001655099
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 5, 2016 | A | 12,902 | — | A | 12,902 | D | |
| Common StockF3,F4 | Dec 5, 2016 | A | 2,622 | — | A | 15,524 | D | |
| Common StockF5,F6 | Dec 5, 2016 | A | 892 | — | A | 892 | I | Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Received in exchange for 19,650 shares of Brookfield Mortgage Opportunity Income Fund Inc. [NYSE: BOI] in connection with the reorganization of BOI into Brookfield Real Assets Income Fund Inc. [NYSE: RA]. At the effective time of the reorganization, the net asset value of BOI was $16.42 per share, the net asset value of RA was $25.00 per share and the conversion rate was 0.65664.
- F2Excludes shares held indirectly by Reporting Person - see the third line of Table I of this Form 4.
- F3Received in exchange for 2,737 shares of Brookfield Total Return Fund Inc. [NYSE: HTR] in connection with the reorganization of HTR into Brookfield Real Assets Income Fund Inc. [NYSE: RA]. At the effective time of the reorganization, the net asset value of HTR was $23.96 per share, the net asset value of RA was $25.00 and the conversion rate was 0.95830.
- F4Excludes shares held indrectly by the Reporting Person - see the third line of Table I of this Form 4.
- F5Received in exchange for 931 shares of Brookfield Total Return Inc. [NYSE: HTR] in connection with the reorganization of HTR into Brookfield Real Assets Income Fund Inc. [NYSE: RA]. At the effective time of the reorganization, the net asset value of HTR was $23.96 per share, the net asset value of RA was $25.00 per share and the conversion rate was 0.95830.
- F6Excludes 15,524 shares held directly by the Reporting Person - see the second line of Table I of the Form 4.