0001398344-16-019096.txt : 20160929 0001398344-16-019096.hdr.sgml : 20160929 20160929100202 ACCESSION NUMBER: 0001398344-16-019096 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160927 FILED AS OF DATE: 20160929 DATE AS OF CHANGE: 20160929 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST DIVIDEND & INCOME FUND CENTRAL INDEX KEY: 0001403275 IRS NUMBER: 392057966 BUSINESS ADDRESS: STREET 1: C/O FIRST TRUST PORTFOLIOS L.P. STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: C/O FIRST TRUST PORTFOLIOS L.P. STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRUST ACTIVE DIVIDEND INCOME FUND DATE OF NAME CHANGE: 20070614 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: 811-22080 FILM NUMBER: 161908556 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: 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: 811-22080 FILM NUMBER: 161908557 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bulldog Investors General Partnership CENTRAL INDEX KEY: 0001364773 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22080 FILM NUMBER: 161908558 BUSINESS ADDRESS: STREET 1: PARK 80 WEST, 250 PEHLE AVENUE STREET 2: SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201-556-0092 MAIL ADDRESS: STREET 1: PARK 80 WEST, 250 PEHLE AVENUE STREET 2: SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 4 1 fp0021834_4.xml OWNERSHIP DOCUMENT X0306 4 2016-09-27 0 0001403275 FIRST TRUST DIVIDEND & INCOME FUND FAV 0001364773 Bulldog Investors General Partnership PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., STE 708 SADDLE BROOK NJ 07663 0 0 1 0 0001584439 Full Value Offshore Fund, Ltd. C.O MAPLES CORPORATE SERVICES LIMITED P.O. BOX 309, UGLAND HOUSE GRAND CAYMAN E9 KY1-1104 CAYMAN ISLANDS 0 0 1 0 0001581172 Opportunity Income Plus LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., STE 708 SADDLE BROOK NJ 07663 0 0 1 0 Common Stock 2016-09-27 4 P 0 20103 9.02 A 1627064 D Common Stock 2016-09-28 4 P 0 4393 9.0528 A 1631457 D Common Stock 2016-09-27 4 P 0 597 9.02 A 72587 D Common Stock 2016-09-28 4 P 0 131 9.0528 A 72718 D Common Stock 219600 D Shares are held by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP and Mercury Partners, LP, which together may constitute a group. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Shares are held by Full Value Offshore Fund, Ltd. Shares are held by Opportunity Income Plus, LP. /s/ Phillip Goldstein--Manager of the Managing General Partner--Bulldog Investors General Partnership 2016-09-29 /s/ Phillip Goldstein--Manager of the General Partner--Full Value Offshore Fund, Ltd. 2016-09-29 /s/ Phillip Goldstein--Manager of the General Partner--Opportunity Income Plus, LP 2016-09-29