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13D Filing: Bulldog Investors and Putnam Municipal Opportunities Trust (PMO)

You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Bulldog Investors 295 439 295 439 10.26%
Phillip Goldstein 295 439 295 439 10.26%
Andrew Dakos 295 439 295 439 10.26%
Steven Samuels 295 439 295 439 10.26%
Phillip Goldstein, Andrew Dakos And Steven Samuels
Phillip Goldstein, Andrew Dakos And Steven Samuels
Bulldog Investors

Page 1 of 3 – SEC Filing

SCHEDULE 13D/A

DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
5/24/17

1. NAME OF REPORTING PERSON
Bulldog Investors, LLC

2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]

b[]

3. SEC USE ONLY

4. SOURCE OF FUNDS
WC

5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []

6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________

7. SOLE VOTING POWER
295

8. SHARED VOTING POWER
439

9. SOLE DISPOSITIVE POWER
295
_______________________________________________________

10. SHARED DISPOSITIVE POWER
439

11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
734 (Footnote 1)

12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES

[]
___________________________________________________________

13. PERCENT OF CLASS REPRESENTED BY ROW 11

10.26%

14. TYPE OF REPORTING PERSON

IA

___________________________________________________________

1. NAME OF REPORTING PERSON
Phillip Goldstein

2. CHECK THE BOX IF MEMBER OF A GROUP a[]

b[]

3. SEC USE ONLY

4. SOURCE OF FUNDS
WC

5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []

6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________

7. SOLE VOTING POWER
295

8. SHARED VOTING POWER
439

9. SOLE DISPOSITIVE POWER
295
_______________________________________________________

10. SHARED DISPOSITIVE POWER
439

11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
734 (Footnote 1)

12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES

[]
___________________________________________________________

13. PERCENT OF CLASS REPRESENTED BY ROW 11

10.26%

14. TYPE OF REPORTING PERSON

IN

___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos

2. CHECK THE BOX IF MEMBER OF A GROUP a[]

b[]

3. SEC USE ONLY

4. SOURCE OF FUNDS
WC

5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []

6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________

7. SOLE VOTING POWER
295

8. SHARED VOTING POWER
439

9. SOLE DISPOSITIVE POWER
295
_______________________________________________________

10. SHARED DISPOSITIVE POWER
439

11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
734 (Footnote 1)

12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES

[]
___________________________________________________________

13. PERCENT OF CLASS REPRESENTED BY ROW 11

10.26%

14. TYPE OF REPORTING PERSON

IN

___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels

2. CHECK THE BOX IF MEMBER OF A GROUP a[]

b[]

3. SEC USE ONLY

4. SOURCE OF FUNDS
WC

5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []

6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________

7. SOLE VOTING POWER
295

8. SHARED VOTING POWER
439

9. SOLE DISPOSITIVE POWER
295
_______________________________________________________

10. SHARED DISPOSITIVE POWER
439

11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
734 (Footnote 1)

12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES

[]
___________________________________________________________

13. PERCENT OF CLASS REPRESENTED BY ROW 11

10.26%

14. TYPE OF REPORTING PERSON

IN
_______________________________________________________

Item 1. SECURITY AND ISSUER

This statement constitutes Amendment #1 to the schedule 13d
filed March 20, 2017. Except as specifically set forth
herein, the Schedule 13d remains unmodified.

ITEM 4. PURPOSE OF TRANSACTION
See Exhibit A – Standstill Agreement.

ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the PRE 14A filed on March 8, 2017, there were an aggregate of
7,154 Auction Rate Preferred outstanding as of December 31, 2016. The
percentages set forth herein were derived using such number. Phillip
Goldstein, Andrew Dakos and Steven Samuels own Bulldog Investors, LLC,
a registered investment advisor. As of May 25, 2017, Bulldog Investors,
LLC is deemed to be the beneficial owner of 734 aggregate shares of PMO ARPS
(representing 10.26% of PMO ARPS outstanding shares) solely by virtue of
Bulldog Investors LLC’s power to direct the vote of,and dispose of, these
shares. These 734 shares of PMO ARPS include 295 shares (representing 4.12%
of PMO APRS outstanding shares) that are beneficially owned by the following
entities over which Messrs. Goldstein, Dakos and Samuels exercise control:
Opportunity Partners LP, Calapasas West Partners LP, Full Value Special
Situations Fund, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus,
Full Value Partners, LP, and MCM Opportunity Partners, LP (collectively,
“Bulldog Investors Group of Funds”). Bulldog Investors Group of Funds may be
deemed to constitute a group. All other shares included in the aforementioned
734 shares of PMO ARPS beneficially owned by Bulldog Investors LLC (solely by
virtue of its power to sell or direct the vote of these shares) are also
beneficially owned by clients of Bulldog Investors, LLC who are not members
of any group. The total number of these “non-group” shares is 439 shares
(representing 6.14% of PMO ARPS outstanding shares).

(b)Bulldog Investors,LLC has sole power to dispose of and vote 295 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 439 shares.
Certain of Bulldog Investors, LLC’s clients (none of whom beneficially own more
than 5% of PMO APRS shares) share this power with Bulldog Investors, LLC.
Messrs. Goldstein, Dakos and Samuels are control persons of Bulldog Investors,
LLC.

c) During the past 60 days no shares of PMO ARPS were purchased.

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