Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2018-04-13 11:26:08
Reporting Period:
Accepted Time:
2018-04-13 11:26:08
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
812090 Virtus Total Return Fund Inc. ZF (0) 133353326
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1180238 M James Oates C/O Virtus Investment Partners
100 Pearl Street
Hartford CT 06103
Yes No No No
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 Disposition 2017-07-17 5,630 $12.06 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
  1. On 4/3/2017, Mr. Oates acquired the ZF shares being reflected as sold within this Form 4 by virtue of Virtus Total Return Fund (ticker: DCA) merging into the Issuer (ticker: ZF), and Mr. Oates receiving ZF shares in exchange for the DCA shares he then held. Prior to this merger, Mr. Oates did not own any shares of the Issuer.
  2. The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.0636 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.