SEC Form 4 · accession 0000883237-18-000044
Virtus Total Return Fund Inc. · ZF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Oates
Director
Period of report
Jul 17, 2017
Accepted (ET)
Apr 13, 2018 · 11:26 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000812090
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jul 17, 2017 | S | 5,630 | $12.0605 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On 4/3/2017, Mr. Oates acquired the ZF shares being reflected as sold within this Form 4 by virtue of Virtus Total Return Fund (ticker: DCA) merging into the Issuer (ticker: ZF), and Mr. Oates receiving ZF shares in exchange for the DCA shares he then held. Prior to this merger, Mr. Oates did not own any shares of the Issuer.
- F2The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.0636 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.