Filing Details

Accession Number:
0001398344-16-018481
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-15 10:32:13
Reporting Period:
2016-09-13
Filing Date:
2016-09-15
Accepted Time:
2016-09-15 10:32:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1310445 Virtus Total Return Fund DCA () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1067621 Phillip Goldstein 60 Heritage Drive
Pleasantville NY 10570
No No Yes Yes
1581172 Opportunity Income Plus Lp Park 80 West
250 Pehle Ave., Ste 708
Saddle Brook NJ 07663
No No Yes Yes
1584439 Full Value Offshore Fund, Ltd. Park 80 West - Plaza Two
250 Pehle Ave. Suite 708
Saddle Brook NJ 07663
No No Yes Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-09-13 1,261 $4.54 148,154 No 4 P Direct
Common Stock Acquisiton 2016-09-14 976 $4.51 149,130 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 288,662 Direct
Common Stock 20,196 Direct
Footnotes
  1. This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission.
  2. Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
  3. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
  4. Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd.
  5. Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP.
  6. Shares of Common Stock beneficially owned by Phillip Goldstein. Mr. Goldstein is an owner of Bulldog Investors, LLC, an investment adviser registered with the Securities and Exchange Commission, and as a result may be deemed to have a beneficial interest in certain shares of Common Stock of the Issuer indirectly owned by Bulldog Investors, LLC. Such holdings are included in a separate Form 4 filed on behalf of Bulldog Investors, LLC. Mr. Goldstein disclaims beneficial interest in such shares reported by Bulldog Investors, LLC, except to the extent of any pecuniary interest therein.