0001398344-16-018185.txt : 20160908
0001398344-16-018185.hdr.sgml : 20160908
20160908093532
ACCESSION NUMBER: 0001398344-16-018185
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160906
FILED AS OF DATE: 20160908
DATE AS OF CHANGE: 20160908
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Virtus Total Return Fund
CENTRAL INDEX KEY: 0001310445
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 101 MUNSON STREET
CITY: GREENFIELD
STATE: MA
ZIP: 01301
BUSINESS PHONE: 800-248-7971
MAIL ADDRESS:
STREET 1: 100 PEARL STREET
CITY: HARTFORD
STATE: CT
ZIP: 06103
FORMER COMPANY:
FORMER CONFORMED NAME: DCA Total Return Fund
DATE OF NAME CHANGE: 20090421
FORMER COMPANY:
FORMER CONFORMED NAME: Dividend Capital Realty Income Allocation Fund
DATE OF NAME CHANGE: 20041202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Opportunity Income Plus LP
CENTRAL INDEX KEY: 0001581172
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161874946
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 881-7100
MAIL ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP
CENTRAL INDEX KEY: 0001067621
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161874947
MAIL ADDRESS:
STREET 1: 60 HERITAGE DRIVE
CITY: PLEASANTVILLE
STATE: NY
ZIP: 10570
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Full Value Offshore Fund, Ltd.
CENTRAL INDEX KEY: 0001584439
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161874948
BUSINESS ADDRESS:
STREET 1: C.O MAPLES CORPORATE SERVICES LIMITED
STREET 2: P.O. BOX 309, UGLAND HOUSE
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1104
BUSINESS PHONE: 1-345-949-8066
MAIL ADDRESS:
STREET 1: C.O MAPLES CORPORATE SERVICES LIMITED
STREET 2: P.O. BOX 309, UGLAND HOUSE
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1104
4
1
fp0021503_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-09-06
0
0001310445
Virtus Total Return Fund
DCA
0001581172
Opportunity Income Plus LP
PARK 80 WEST
250 PEHLE AVE., STE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
0001584439
Full Value Offshore Fund, Ltd.
PARK 80 WEST - PLAZA TWO
250 PEHLE AVE. SUITE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
0001067621
GOLDSTEIN PHILLIP
60 HERITAGE DRIVE
PLEASANTVILLE
NY
10570
0
0
1
1
See Explanation of Responses
Common Stock
2016-09-06
4
P
0
1698
4.6735
A
142755
D
Common Stock
288662
D
Common Stock
20196
D
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.
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.
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.
Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd.
Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP.
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.
/s/ Phillip Goldstein on behalf of Full Value Offshore Fund, Ltd
2016-09-08
/s/ Phillip Goldstein - Manager of the General Partner of Opportunity Income Plus, LP
2016-09-08
/s/ Phillip Goldstein
2016-09-08