0001504304-13-000017.txt : 20131018
0001504304-13-000017.hdr.sgml : 20131018
20131018161028
ACCESSION NUMBER: 0001504304-13-000017
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20131018
DATE AS OF CHANGE: 20131018
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BULLDOG INVESTORS, LLC
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: HELIOS STRATEGIC INCOME FUND, INC
CENTRAL INDEX KEY: 0001275902
IRS NUMBER: 270081847
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-79954
FILM NUMBER: 131159546
BUSINESS ADDRESS:
STREET 1: BROOKFIELD INVESTMENT MANAGEMENT INC
STREET 2: BROOKFIELD PLACE, 250 VESEY ST, 10TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
BUSINESS PHONE: 2125498328
MAIL ADDRESS:
STREET 1: BROOKFIELD INVESTMENT MANAGEMENT INC
STREET 2: BROOKFIELD PLACE, 250 VESEY ST, 10TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
FORMER COMPANY:
FORMER CONFORMED NAME: HELIOS STRATEGIC INCOME FUND INC
DATE OF NAME CHANGE: 20090107
FORMER COMPANY:
FORMER CONFORMED NAME: RMK STRATEGIC INCOME FUND INC
DATE OF NAME CHANGE: 20040109
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors, LLC
CENTRAL INDEX KEY: 0001504304
IRS NUMBER: 270926182
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
FORMER COMPANY:
FORMER CONFORMED NAME: Brooklyn Capital Management LLC
DATE OF NAME CHANGE: 20101026
SC 13D/A
1
thirda.txt
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
10/16/13
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC, Phillip Goldstein,
Andrew Dakos, Steven Samuels
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
DE
___________________________________________________________
7. SOLE VOTING POWER
236,486
8. SHARED VOTING POWER
223,835
9. SOLE DISPOSITIVE POWER
236,486
_______________________________________________________
10. SHARED DISPOSITIVE POWER
223,835
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
460,321 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
7.76%
14. TYPE OF REPORTING PERSON
IA, IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #1 to the schedule 13d
filed September 30, 2013. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the N-CSR filed on June 6, 2013, there were 5,930,400 shares
outstanding as of March 31, 2013. The percentage set forth herein was derived
using such number. Phillip Goldstein, Andrew Dakos and Steven Samuels own
Bulldog Investors, LLC, a registered investment adviser. As of 10/17/13, Bulldog
Investors, LLC is deemed to be the beneficial owner of 460,321 shares of
HSA (representing 7.76% of HSA's outstanding shares) solely by virtue of
Bulldog Investors, LLC's power to direct the vote of, and dispose of, these
shares. These 460,321 shares of HSA include 236,486 shares (representing 3.99%
of HSA's outstanding shares) that are beneficially owned by the following
entities over which Messrs. Goldstein, Dakos and Samuels exercise control:
Opportunity Partners LP, Calapasas West Partners, LP,
Opportunity Income Plus, LP, Full Value Special Situations Fund,LP,
Full Value Offshore Fund, Ltd., Full Value Partners, LP, and MCM Opportunity
Partners, LP. (collectively, the Bulldog Investors Funds). The Bulldog Investors
Funds may be deemed to constitute a group. All other shares included in the
aforementioned 460,321 shares of HSA beneficially owned by Bulldog Investors,
LLC (solely by virtue of its power to sell or direct the vote of these shares)
are also beneficially owned by clients of Bulldog Investors, LLC who are not
members of any group. The total number of these "non-group" shares is 223,835
shares (representing 3.77% of HSA's outstanding shares).
(b) Bulldog Investors, LLC has sole power to dispose of and vote 236,486
shares. Bulldog Investors, LLC has shared power to dispose of and vote 223,835
shares. Certain of Bulldog Investors, LLC's clients (none of whom beneficially
own more than 5% of HSA's shares) share this power with Bulldog Investors, LLC.
Messrs. Goldstein, Dakos and Samuels are control persons of Bulldog
Investors, LLC.
c) Since the last filing on 9/30/13 the following shares of HSA were purchased:
09/30/13 31,514 6.3471
10/01/13 3,677 6.3500
10/02/13 6,448 6.3178
10/03/13 7,000 6.3496
10/04/13 3,112 6.3500
10/07/13 6,507 6.3357
10/16/13 6,516 6.3500
The following shares of HSA were sold:
10/11/13 (1,447) 6.5500
10/14/13 (100) 6.5500
d) Clients of Bulldog Investors, LLC are entitled to receive any dividends or
sales proceeds.
e) N/A
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
N/A
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: 10/18/13/30/2013
By: /S/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels
Bulldog Investors, LLC
By: /s/ Andrew Dakos
Andrew Dakos, Member
Footnote 1: The reporting persons disclaim beneficial ownership except
to the extent of any pecuniary interest therein.