0001462180-12-000060.txt : 20120822
0001462180-12-000060.hdr.sgml : 20120822
20120822131526
ACCESSION NUMBER: 0001462180-12-000060
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120822
DATE AS OF CHANGE: 20120822
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BROOKLYN CAPITAL MANAGEMENT LLC
GROUP MEMBERS: BULLDOG INVESTORS
GROUP MEMBERS: PHILLIP GOLDSTEIN
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: DIAMOND HILL FINANCIAL TRENDS FUND, INC
CENTRAL INDEX KEY: 0000852954
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-41158
FILM NUMBER: 121049465
BUSINESS ADDRESS:
STREET 1: C/O DIAMOND HILL CAPITAL MANAGEMENT, INC
STREET 2: 325 JOHN H MCCONNELL BLVD, SUITE 200
CITY: COLUMBUS
STATE: OH
ZIP: 43215
BUSINESS PHONE: 614-255-3333
MAIL ADDRESS:
STREET 1: C/O DIAMOND HILL CAPITAL MANAGEMENT, INC
STREET 2: 325 JOHN H MCCONNELL BLVD, SUITE 200
CITY: COLUMBUS
STATE: OH
ZIP: 43215
FORMER COMPANY:
FORMER CONFORMED NAME: FINANCIAL TRENDS FUND, INC
DATE OF NAME CHANGE: 20071120
FORMER COMPANY:
FORMER CONFORMED NAME: JOHN HANCOCK FINANCIAL TRENDS FUNDS INC
DATE OF NAME CHANGE: 20010717
FORMER COMPANY:
FORMER CONFORMED NAME: SOUTHEASTERN THRIFT & BANK FUND INC
DATE OF NAME CHANGE: 19920703
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors
CENTRAL INDEX KEY: 0001462180
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
SC 13D/A
1
thirda.txt
SCHEDULE 13D
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
8/21/12
1. NAME OF REPORTING PERSON
Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[X]
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
917,571
8. SHARED VOTING POWER
0
9. SOLE DISPOSITIVE POWER
917,571
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
917,571
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
23.12%
14. TYPE OF REPORTING PERSON
IA
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #9 to the schedule 13d
filed January 13, 2012. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
As per the N-CSRS filed on September 7, 2011 there were 3,968,124 shares of
common stock outstanding as of 06/30/2011 The percentage set forth in item 5
was derived using such number. Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos beneficially own an aggregate of 917,571
shares of DHFT or 23.12% of the outstanding shares.Power to dispose of and vote
securities resides either with Mr. Goldstein, Mr. Dakos or with clients.
c) During the last 60 days the following shares of DHFT were
purchased:
Date: Shares: Price:
06/21/12 1,502 10.0410
06/22/12 400 10.0100
06/29/12 100 10.1500
07/02/12 2,522 10.1824
07/24/12 300 9.8100
07/25/12 1,100 9.9382
07/30/12 100 10.1400
07/31/12 500 10.0800
08/02/12 900 10.0078
08/03/12 106 10.1500
08/06/12 5,100 10.2476
08/07/12 5,900 10.3466
08/08/12 2,657 10.2244
08/09/12 250 10.2360
08/10/12 5,000 10.2600
08/14/12 700 10.3714
08/15/12 700 10.4500
08/16/12 600 10.5000
08/17/12 1,900 10.5600
08/20/12 4,600 10.5607
08/21/12 5,640 10.6860
d) Beneficiaries of managed accounts are entitled to receive any
dividends or sales proceeds.
e) NA
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
None.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
None.
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this
statement is true, complete and correct.
Dated: 08/22/2012
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos