Insider · CIK 0001504304

Bulldog Investors, LLC

Files at: AKP, PCF, AEF, JFC, PMO, PHF, KEF, XRDC and 14 more. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market buys & salesbuys $93.5M · 391sales $19.8M · 43net $73.7M

Reported trades — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Mar 17, 2016 PForm 4 →	Mar 21, 11:35 am EDT	Virtus Total Return FundDCA	189,128	$4.12	$778,858	2,464,526	+8.31%	plan?
Mar 15, 2016 PForm 4 →	Mar 17, 9:51 am EDT	Virtus Total Return FundDCA	119,474	$4.04	$482,460	2,275,398	+5.54%	plan?
Mar 11, 2016 PForm 4 →	Mar 15, 1:36 pm EDT	FIRST TRUST DIVIDEND & INCOME FUNDFAV	33,160	$8.33	$276,326	1,301,628	+2.61%	plan?
Mar 11, 2016 PForm 4 →	Mar 15, 10:13 am EDT	Virtus Total Return FundDCA	53,971	$4.04	$218,045	2,155,924	+2.57%	plan?
Mar 9, 2016 PForm 4 →	Mar 11, 10:26 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	11,002	$8.20	$90,232	1,268,468	+0.87%	plan?
Mar 7, 2016 PForm 4 →	Mar 9, 1:52 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	7,602	$8.21	$62,398	1,257,466	+0.61%	plan?
Mar 4, 2016 PForm 4 →	Mar 8, 10:06 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	6,810	$13.01	$88,596	2,156,655	+0.32%	plan?
Mar 3, 2016 PForm 4 →	Mar 7, 1:53 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	13,495	$8.18	$110,338	1,249,864	+1.09%	plan?
Mar 1, 2016 PForm 4 →	Mar 3, 9:40 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	84,104	$8.01	$673,915	1,236,369	+7.30%	plan?
Feb 26, 2016 PForm 4 →	Mar 1, 9:50 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	900	$7.88	$7,090	1,152,265	+0.08%	plan?
Feb 25, 2016 PForm 4 →	Feb 29, 10:35 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	200	$12.54	$2,508	2,149,845	+0.01%	plan?
Feb 23, 2016 PForm 4 →	Feb 25, 9:34 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	33,175	$7.73	$256,424	1,151,365	+2.97%	plan?
Feb 19, 2016 PForm 4 →	Feb 23, 2:06 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	37,099	$7.83	$290,542	1,118,190	+3.43%	plan?
Feb 19, 2016 PForm 4 →	Feb 23, 1:37 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	7,688	$12.32	$94,694	2,149,645	+0.36%	plan?
Feb 12, 2016 PForm 4 →	Feb 17, 9:46 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	35,460	$7.33	$259,869	1,081,091	+3.39%	plan?
Feb 10, 2016 PForm 4 →	Feb 12, 1:26 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	54,209	$7.28	$394,704	1,045,631	+5.47%	plan?
Feb 8, 2016 PForm 4 →	Feb 10, 12:39 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	27,520	$12.06	$331,810	2,141,957	+1.30%	plan?
Feb 8, 2016 PForm 4 →	Feb 10, 12:20 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	39,302	$7.43	$291,959	991,422	+4.13%	plan?
Feb 4, 2016 PForm 4 →	Feb 8, 9:51 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	35,628	$12.58	$448,166	2,114,437	+1.71%	plan?
Feb 4, 2016 PForm 4 →	Feb 8, 9:47 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	8,468	$7.70	$65,243	952,120	+0.90%	plan?
Feb 2, 2016 PForm 4 →	Feb 4, 12:59 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	68,157	$12.54	$854,684	2,078,809	+3.39%	plan?
Feb 2, 2016 PForm 4 →	Feb 4, 12:56 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	33,685	$7.64	$257,341	943,652	+3.70%	plan?
Jan 29, 2016 PForm 4 →	Feb 2, 12:23 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	58,342	$7.69	$448,753	909,967	+6.85%	plan?
Jan 29, 2016 PForm 4 →	Feb 2, 12:13 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	11,110	$12.55	$139,459	2,010,652	+0.56%	plan?
Jan 27, 2016 PForm 4 →	Jan 29, 1:50 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	21,262	$7.52	$159,896	851,625	+2.56%	plan?
Jan 26, 2016 PForm 4 →	Jan 28, 9:59 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	8,500	$12.42	$105,598	1,999,542	+0.43%	plan?
Jan 25, 2016 PForm 4 →	Jan 27, 10:38 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	47,243	$7.51	$355,008	830,363	+6.03%	plan?
Jan 21, 2016 PForm 4 →	Jan 25, 11:00 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	1,483	$7.66	$11,360	783,120	+0.19%	plan?
Jan 19, 2016 PForm 4 →	Jan 21, 9:24 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	4,979	$7.54	$37,552	781,637	+0.64%	plan?
Jan 15, 2016 SForm 4 →	Jan 20, 9:34 am EST	ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM	5,317	$7.70	$40,941	1,082,607	−0.49%	plan?
Jan 13, 2016 PForm 4 →	Jan 19, 10:10 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	19,915	$7.77	$154,675	776,658	+2.63%	plan? late
Jan 13, 2016 SForm 4 →	Jan 15, 2:41 pm EST	ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM	31,909	$7.89	$251,825	1,087,924	−2.85%	plan?
Jan 13, 2016 PForm 4 →	Jan 15, 1:50 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	1,900	$12.55	$23,845	1,991,042	+0.10%	plan?
Jan 11, 2016 PForm 4 →	Jan 13, 12:38 pm EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	4,380	$8.05	$35,248	756,743	+0.58%	plan?
Jan 8, 2016 PForm 4 →	Jan 12, 9:51 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	4,469	$12.71	$56,790	1,989,142	+0.23%	plan?
Jan 6, 2016 PForm 4 →	Jan 8, 11:55 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	8,446	$12.98	$109,638	1,984,673	+0.43%	plan?
Jan 5, 2016 PForm 4 →	Jan 7, 11:26 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	1,615	$8.41	$13,585	752,363	+0.22%	plan?
Jan 4, 2016 PForm 4 →	Jan 6, 9:27 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	8,563	$13.00	$111,306	1,976,227	+0.44%	plan?
Dec 31, 2015 PForm 4 →	Jan 5, 2016, 11:23 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	11,596	$8.33	$96,592	750,748	+1.57%	plan?
Dec 30, 2015 PForm 4 →	Jan 4, 2016, 3:04 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	4,620	$13.02	$60,173	1,967,664	+0.24%	plan?
Dec 28, 2015 PForm 4 →	Dec 30, 11:01 am EST	FIRST TRUST DIVIDEND & INCOME FUNDFAV	13,615	$8.41	$114,482	739,152	+1.88%	plan?
Dec 28, 2015 PForm 4 →	Dec 30, 10:36 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	7,148	$12.92	$92,364	1,963,044	+0.37%	plan?
Dec 21, 2015 PForm 4 →	Dec 23, 10:55 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	21,262	$12.74	$270,964	1,955,896	+1.10%	plan?
Dec 17, 2015 PForm 4 →	Dec 21, 1:05 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	6,983	$12.69	$88,589	1,934,634	+0.36%	plan?
Dec 15, 2015 PForm 4 →	Dec 17, 2:40 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	11,709	$12.65	$148,105	1,927,651	+0.61%	plan?
Dec 8, 2015 PForm 4 →	Dec 10, 9:56 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	1,000	$12.67	$12,670	1,915,942	+0.05%	plan?
Dec 4, 2015 PForm 4 →	Dec 8, 9:53 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	364	$12.71	$4,626	1,914,942	+0.02%	plan?
Dec 2, 2015 PForm 4 →	Dec 4, 10:15 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	11,117	$12.88	$143,207	1,914,578	+0.58%	plan?
Nov 30, 2015 PForm 4 →	Dec 2, 10:49 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	2,082	$12.94	$26,940	1,903,461	+0.11%	plan?
Nov 20, 2015 PForm 4 →	Nov 24, 9:38 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	218,995	$12.73	$2,787,943	1,901,379	+13.0%	plan?
Nov 16, 2015 PForm 4 →	Nov 18, 1:14 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	16,810	$12.53	$210,683	1,682,384	+1.01%	plan?
Nov 4, 2015 PForm 4/A →	Nov 18, 12:41 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	303	$13.07	$3,960	1,665,574	+0.02%	plan?
Nov 3, 2015 PForm 4 →	Nov 5, 1:20 pm EST	LMP REAL ESTATE INCOME FUND INC.RIT	400	$13.06	$5,223	1,665,571	+0.02%	plan?
Oct 29, 2015 PForm 4 →	Nov 2, 10:12 am EST	LMP REAL ESTATE INCOME FUND INC.RIT	8,300	$12.99	$107,802	1,665,171	+0.50%	plan?
Oct 27, 2015 PForm 4 →	Oct 29, 12:14 pm EDT	LMP REAL ESTATE INCOME FUND INC.RIT	20,795	$13.01	$270,613	1,656,871	+1.27%	plan?
Oct 26, 2015 SForm 4 →	Oct 28, 2:02 pm EDT	ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM	20,724	$8.77	$181,813	1,119,833	−1.82%	plan?
Oct 21, 2015 PForm 4 →	Oct 23, 10:00 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	4,200	$13.16	$55,272	1,636,076	+0.26%	plan?
Oct 19, 2015 PForm 4 →	Oct 21, 10:33 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	12,370	$13.17	$162,895	1,631,876	+0.76%	plan?
Oct 15, 2015 PForm 4 →	Oct 19, 10:31 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	22,630	$13.01	$294,388	1,619,506	+1.42%	plan?
Oct 12, 2015 PForm 4 →	Oct 14, 10:18 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	145	$13.00	$1,885	1,596,876	+0.01%	plan?
Oct 7, 2015 PForm 4 →	Oct 9, 10:17 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	21,560	$12.80	$276,045	1,596,731	+1.37%	plan?
Oct 5, 2015 PForm 4 →	Oct 7, 11:50 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	10,263	$12.54	$128,695	1,575,171	+0.66%	plan?
Oct 1, 2015 PForm 4 →	Oct 5, 9:58 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	9,200	$12.32	$113,325	1,564,908	+0.59%	plan?
Sep 29, 2015 PForm 4 →	Oct 1, 10:31 am EDT	ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM	25,700	$8.14	$209,070	1,140,557	+2.31%	plan?
Sep 24, 2015 PForm 4 →	Sep 28, 11:13 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	14,460	$11.85	$171,386	1,555,708	+0.94%	plan?
Sep 24, 2015 PForm 4 →	Sep 28, 11:11 am EDT	ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM	17,548	$8.26	$144,873	1,114,857	+1.60%	plan?
Sep 22, 2015 PForm 4 →	Sep 24, 12:21 pm EDT	ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM	6,853	$8.40	$57,554	1,097,309	+0.63%	plan?
Sep 21, 2015 PForm 4 →	Sep 23, 12:23 pm EDT	LMP REAL ESTATE INCOME FUND INC.RIT	13,591	$11.87	$161,345	1,541,248	+0.89%	plan?
Sep 18, 2015 PForm 4 →	Sep 22, 11:56 am EDT	ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM	100	$8.51	$851	1,090,456	+0.01%	plan?
Sep 17, 2015 PForm 4 →	Sep 21, 11:49 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	73,671	$11.81	$869,843	1,527,657	+5.07%	plan?
Sep 15, 2015 PForm 4 →	Sep 17, 10:33 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	29,842	$11.67	$348,195	1,453,986	+2.10%	plan?
Sep 11, 2015 PForm 4 →	Sep 15, 11:52 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	23,018	$11.47	$263,939	1,424,144	+1.64%	plan?
Sep 9, 2015 PForm 4 →	Sep 10, 2:25 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	6,714	$8.62	$57,875	14,089	+91.0%	plan?
Sep 3, 2015 PForm 4 →	Sep 8, 4:17 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	1,975	$8.59	$16,965	7,375	+36.6%	plan?
Aug 24, 2015 PForm 4/A →	Sep 8, 4:16 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	51,000	$8.52	$434,530	1,587,717	+3.32%	plan?
Aug 24, 2015 PForm 4 →	Aug 26, 2:56 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	51,000	$8.52	$434,530	1,593,117	+3.31%	plan? amended
Aug 17, 2015 PForm 4/A →	Sep 8, 4:15 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	26,100	$8.65	$225,697	1,536,717	+1.73%	plan?
Aug 17, 2015 PForm 4 →	Aug 19, 10:52 am EDT	MFS INTERMARKET INCOME TRUST ICMK	26,100	$8.65	$225,697	1,542,117	+1.72%	plan? amended
Aug 12, 2015 PForm 4 →	Aug 13, 9:40 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	5,800	$12.38	$71,794	1,401,126	+0.42%	plan?
Aug 11, 2015 PForm 4 →	Aug 12, 10:17 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	8,852	$12.40	$109,759	1,395,326	+0.64%	plan?
Jul 22, 2015 PForm 4/A →	Sep 8, 4:14 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	500,300	$8.64	$4,322,592	1,510,617	+49.5%	plan?
Jul 22, 2015 PForm 4 →	Jul 24, 10:37 am EDT	MFS INTERMARKET INCOME TRUST ICMK	500,300	$8.64	$4,322,592	1,516,017	+49.3%	plan? amended
Jul 21, 2015 PForm 4 →	Jul 23, 11:12 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	109,000	$12.36	$1,347,163	1,386,474	+8.53%	plan?
Jul 20, 2015 PForm 4 →	Jul 22, 10:55 am EDT	ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN	3,500	$14.05	$49,192	559,507	+0.63%	plan?
Jul 17, 2015 PForm 4/A →	Sep 8, 4:13 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	95,000	$8.66	$822,954	1,010,317	+10.4%	plan?
Jul 17, 2015 PForm 4 →	Jul 21, 9:43 am EDT	MFS INTERMARKET INCOME TRUST ICMK	95,000	$8.66	$822,954	1,015,717	+10.3%	plan? amended
Jul 16, 2015 PForm 4 →	Jul 20, 12:28 pm EDT	ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN	120,685	$14.03	$1,693,528	545,056	+28.4%	plan?
Jul 15, 2015 PForm 4/A →	Sep 8, 4:12 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	100,000	$8.52	$852,000	915,317	+12.3%	plan?
Jul 15, 2015 PForm 4 →	Jul 17, 9:51 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	7,445	$12.24	$91,139	1,277,474	+0.59%	plan?
Jul 15, 2015 PForm 4 →	Jul 16, 2:36 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	100,000	$8.52	$852,000	920,717	+12.2%	plan? amended
Jul 14, 2015 PForm 4 →	Jul 16, 2:31 pm EDT	ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN	10,622	$13.98	$148,516	435,322	+2.50%	plan?
Jul 13, 2015 PForm 4 →	Jul 15, 2:12 pm EDT	LMP REAL ESTATE INCOME FUND INC.RIT	11,200	$12.20	$136,603	1,270,029	+0.89%	plan?
Jul 9, 2015 PForm 4/A →	Sep 8, 4:11 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	3,700	$8.52	$31,508	815,317	+0.46%	plan?
Jul 9, 2015 PForm 4 →	Jul 13, 11:40 am EDT	MFS INTERMARKET INCOME TRUST ICMK	3,700	$8.52	$31,508	820,717	+0.45%	plan? amended
Jul 9, 2015 PForm 4 →	Jul 13, 11:39 am EDT	BDCA VENTURE, INC.BDCV	11,000	$4.77	$52,420	826,327	+1.35%	plan?
Jul 7, 2015 PForm 4/A →	Sep 8, 4:10 pm EDT	MFS INTERMARKET INCOME TRUST ICMK	22,062	$8.51	$187,814	811,617	+2.79%	plan?
Jul 7, 2015 PForm 4 →	Jul 9, 10:25 am EDT	BDCA VENTURE, INC.BDCV	578	$4.64	$2,684	815,327	+0.07%	plan?
Jul 7, 2015 PForm 4 →	Jul 9, 10:22 am EDT	ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN	9,027	$14.16	$127,777	424,700	+2.17%	plan?
Jul 7, 2015 PForm 4 →	Jul 9, 10:15 am EDT	MFS INTERMARKET INCOME TRUST ICMK	22,062	$8.51	$187,814	817,017	+2.78%	plan? amended
Jul 7, 2015 PForm 4 →	Jul 9, 10:08 am EDT	LMP REAL ESTATE INCOME FUND INC.RIT	18,834	$12.04	$226,784	1,258,829	+1.52%	plan?

Reported trades — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Jun 24, 2015 XForm 4 →	Jun 26, 1:10 pm EDT	IMPERIAL HOLDINGS, INC.IFT	1,305,849	—	—	0	—
Feb 21, 2014 PForm 5 →	Feb 13, 2015, 9:33 am EST	IMPERIAL HOLDINGS, INC.IFT	6,302	$1,000.00	$6,302,000	6,302	—