0001504304-14-000047.txt : 20141117
0001504304-14-000047.hdr.sgml : 20141117
20141117154325
ACCESSION NUMBER: 0001504304-14-000047
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141117
DATE AS OF CHANGE: 20141117
GROUP MEMBERS: ANDREW DALOS
GROUP MEMBERS: BULLDOG INVESTORS, LLC
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: DEUTSCHE HIGH INCOME OPPORTUNITIES FUND, INC.
CENTRAL INDEX KEY: 0001375387
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-85158
FILM NUMBER: 141227766
BUSINESS ADDRESS:
STREET 1: 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154-0004
BUSINESS PHONE: 212-454-6778
MAIL ADDRESS:
STREET 1: 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154-0004
FORMER COMPANY:
FORMER CONFORMED NAME: DWS High Income Opportunities Fund, Inc.
DATE OF NAME CHANGE: 20101108
FORMER COMPANY:
FORMER CONFORMED NAME: DWS Dreman Value Income Edge Fund, Inc.
DATE OF NAME CHANGE: 20070221
FORMER COMPANY:
FORMER CONFORMED NAME: DWS Dreman Value IncomEdge Fund, Inc.
DATE OF NAME CHANGE: 20060913
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 - PLAZA TWO
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 - PLAZA TWO
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
11/13/14
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
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
589,214
8. SHARED VOTING POWER
503,161
9. SOLE DISPOSITIVE POWER
589,214
_______________________________________________________
10. SHARED DISPOSITIVE POWER
503,161
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,092,375 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.99%
14. TYPE OF REPORTING PERSON
IA
___________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
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
589,214
8. SHARED VOTING POWER
503,161
9. SOLE DISPOSITIVE POWER
589,214
_______________________________________________________
10. SHARED DISPOSITIVE POWER
503,161
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,092,375 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.99%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
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
589,214
8. SHARED VOTING POWER
503,161
9. SOLE DISPOSITIVE POWER
589,214
_______________________________________________________
10. SHARED DISPOSITIVE POWER
503,161
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,092,375 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.99%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
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
589,214
8. SHARED VOTING POWER
503,161
9. SOLE DISPOSITIVE POWER
589,214
_______________________________________________________
10. SHARED DISPOSITIVE POWER
503,161
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,092,375 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.99%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #1 to the schedule 13d
filed July 10, 2014. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the NCSRS filed on June 3,2014, there were 15,633,846 shares of
common stock outstanding as of March 31, 2014. The percentages set forth
herein were derived using such number. Phillip Goldstein, Andrew Dakos and
Steven Samuels own Bulldog Investors, LLC, a registered investment advisor.
As of November 17, 2014, Bulldog Investors, LLC is deemed to be the beneficial
owner of 1,092,375 shares of DHG (representing 6.99% of DHG's outstanding
shares) solely by virtue of Bulldog Investors LLC's power to direct the vote
of, and dispose of, these shares. These 1,092,375 shares of DHG include 589,214
shares (representing 3.76% of DHG's outstanding shares) owned by Mr. Goldstein
and the following entities over which Messrs.Goldstein, Dakos and Samuels
exercise control: 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, and MCM Opportunity Partners, LP
(collectively,"Bulldog Investors Group of Funds"). Bulldog Investors Group of
Funds and Mr. Goldstein may be deemed to constitute a group. All other shares
included in the aforementioned 1,092,375 shares of DHG 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 503,161 shares (representing 3.23% of DHG's
outstanding shares).
(b) Bulldog Investors, LLC has sole power to dispose of and vote 589,214 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 503,161 shares.
Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more
than 5% of DHG's shares) share this power with Bulldog Investors, LLC. Messrs.
Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC.
c) During the past 60 days the following shares of DHG were purchased:
Date: Shares: Price:
09/25/14 7,301 14.3747
09/26/14 1,437 14.2333
09/30/14 856 14.1884
10/02/14 6,500 14.1925
10/30/14 2,700 14.3983
11/03/14 6,877 14.3800
11/04/14 5,230 14.3711
11/05/14 10,273 14.3275
11/06/14 14,239 14.3480
11/07/14 9,862 14.3270
11/10/14 8,600 14.3180
11/11/14 4,100 14.2963
11/12/14 2,287 14.2931
11/13/14 17,207 14.3397
11/14/14 4,989 14.3394
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: 11/17/2014
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.