SEC Form 4 · accession 0000851169-16-000001
BROOKFIELD TOTAL RETURN FUND INC · HTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Oct 26, 2012
Accepted (ET)
May 19, 2016 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000851169
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 26, 2012 | P | 265 | $21.50 | A | 765 | I | Spouse |
| Common StockF3,F4 | Oct 26, 2012 | P | 166 | $22.59 | A | 931 | I | Spouse |
| Common StockF5,F6 | Oct 26, 2012 | P | 385 | $21.50 | A | 1,854 | D | |
| Common StockF7,F8 | Oct 26, 2012 | P | 696 | $22.59 | A | 2,737 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares purchased through the exercise of stock purchase rights issued to the spouse of the Reporting Person in connection with the issuer's rights offfering.
- F2Effective August 22, 2012, the issuer affected a 1 for 4 reverse stock split for its shares. The amount of securities beneficially owned following the reported transaction has been adjusted to reflect the reverse stock split. This amount does not include shares held indirectly by the Reporting Person as those shares are reflected in the third and fourth lines of this form.
- F3Shares purchased through the exercise of stock purchase rights acquired by the spouse of the Reporting Person in connection with the Issuer's rights offering.
- F4This amount does not include shares held indirectly by the Reporting Person as those shares are reflected in the second line of this Form 4.
- F5Shares purchased through the exercise of stock purchase rights issued to the Reporting Person in connection with the Issuer's rights offering.
- F6Effective August 22, 2012, the Issuer affected a for 4 reverse stock split for its shares. The amount of securities beneficially owned following the reported transaction has been adjusted to reflect the reverse stock split. This amount does not include shares held directly by the Reporting Person as those shares are reflected in the first and second lines of this Form 4.
- F7Shares purchased through the exercise of stock purchase rights acquired by the Reporting Person in connection with the Issuer's rights offering.
- F8The amount of securities listed herein also includes 187.25 shares acquired through dividend reinvestment between September 26, 2012 and May 18, 2016. This amount does not include shares held directly by the Reporting Person as those shares are reflected in the first and second lines of this Form 4.