SEC Form 4 · accession 0001655099-16-000044
BROOKFIELD TOTAL RETURN FUND INC · HTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Shipley
Other
Period of report
Dec 5, 2016
Accepted (ET)
Dec 6, 2016 · 5:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000851169
Table I — non-derivative securities
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 8.04 shares acquired through dividend reinvestment between Septemebr 26, 2016 and December 5, 20165.
- F2Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization.