Home > Insider Trading > Filing (0000851169-16-000001)

Filing Details

Accession Number:: 0000851169-16-000001
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-05-19 16:36:59
Reporting Period:: 2012-10-26

Filing Date:: 2016-05-19
Accepted Time:: 2016-05-19 16:36:59
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
851169	Brookfield Total Return Fund Inc	HTR.R	()	132529369

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1305496	Lyn Michelle Russell-Dowe	Brookfield Investment Management Inc. Brookfield Place, 250 Vesey St., 15 Fl New York X1 10281-1023		No	No	No	Yes

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2012-10-26	265	$21.50	765	No	4	P	Indirect	Spouse
Common Stock	Acquisiton	2012-10-26	166	$22.59	931	No	4	P	Indirect	Spouse
Common Stock	Acquisiton	2012-10-26	385	$21.50	1,854	No	4	P	Direct
Common Stock	Acquisiton	2012-10-26	696	$22.59	2,737	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Spouse
No	4	P	Indirect	Spouse
No	4	P	Direct
No	4	P	Direct

Footnotes

Shares purchased through the exercise of stock purchase rights issued to the spouse of the Reporting Person in connection with the issuer's rights offfering.
Effective 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.
Shares purchased through the exercise of stock purchase rights acquired by the spouse of the Reporting Person in connection with the Issuer's rights offering.
This amount does not include shares held indirectly by the Reporting Person as those shares are reflected in the second line of this Form 4.
Shares purchased through the exercise of stock purchase rights issued to the Reporting Person in connection with the Issuer's rights offering.
Effective 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.
Shares purchased through the exercise of stock purchase rights acquired by the Reporting Person in connection with the Issuer's rights offering.
The 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.